LRT Line 6 Project - PPP Center · or any other person. The purpose of the Invitation Documents is to provide interested parties with information that may be useful to them for the

Republic of the Philippines Department of Transportation and Communications

LRT Line 6 Project

INSTRUCTIONS TO PROSPECTIVE BIDDERS

January 2016


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DISCLAIMER

The information contained in these Instructions to Prospective Bidders and the other Invitation Documents subsequently provided to Prospective Bidders, whether verbally or in documentary or any other form, by or on behalf of the Department of Transportation and Communications (DOTC) or any of its employees or advisors, is provided to the Prospective Bidders on the terms and conditions set out in the Invitation Documents and such other terms and conditions subject to which such information is provided. The Invitation Documents are not agreements or offers by the DOTC to the Prospective Bidders or any other person. The purpose of the Invitation Documents is to provide interested parties with information that may be useful to them for the purpose of pre-qualifying for the Light Rail Transit (LRT) Line 6 Project (hereinafter referred to as “Project”) pursuant to the Invitation Documents. The Invitation Documents include statements that reflect various assumptions and assessments arrived at by the DOTC in relation to the Project. Such assumptions, assessments and statements do not purport to contain all the information that each Prospective Bidder may require. The Invitation Documents may not be appropriate for all persons, and it is not possible for the DOTC and its employees or advisors to consider the investment objectives, financial situation and particular needs of each party who reads or uses the Invitation Documents. The assumptions, assessments, statements and information contained in the Invitation Documents and associated documents may not be complete, accurate, adequate or correct. Each Prospective Bidder should therefore, conduct its own investigations and analysis and should check the accuracy, adequacy, correctness, reliability and completeness of the assumptions, assessments, statements and information contained in the Invitation Documents and obtain independent advice from appropriate sources. Information provided in the Invitation Documents to the Prospective Bidders is on a wide range of matters, some of which may depend upon the interpretation of law. The information given is not intended to be an exhaustive account of statutory requirements and should not be regarded as a complete or authoritative statement of law. The DOTC accepts no responsibility for the accuracy or otherwise for any interpretation or opinion on law expressed herein. The DOTC, its employees and advisors make no representation or warranty and shall have no liability to any person, including any Prospective Bidder, under any law, statute, rules or regulations, principles of restitution or unjust enrichment or otherwise, for any loss, damages, cost or expense that may arise from or be incurred or suffered on account of anything contained in the Invitation Documents or other information provided to Prospective Bidders, including the accuracy, adequacy, correctness, completeness or reliability of the Invitation Documents and any assessment, assumption, statement or information contained therein or deemed to form part of the Invitation Documents or arising in any way from participation in the Bidding Process. The DOTC also accepts no liability of any nature, whether resulting from negligence or otherwise howsoever caused, arising from reliance of any Prospective Bidder upon the statements contained in the Invitation Documents. The DOTC may, in its absolute discretion, but without being under any obligation to do so, update, amend or supplement the information, assessments or assumptions contained in the Invitation Documents.


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The issuance of the Invitation Documents does not imply that the DOTC is bound to select a Pre-qualified Bidder or to appoint the Winning Bidder, as the case may be, for the Project, and the DOTC reserves the right to reject all or any of the Prospective Bidders or Bid Proposals without assigning any reason whatsoever. Each interested party and the Prospective Bidder shall bear all costs associated with or relating to the preparation and submission of its Bid Proposal including but not limited to preparation, copying, postage, delivery fees and expenses associated with any demonstrations or presentations which may be required by the DOTC or any other costs incurred in connection with or relating to its Bid Proposal. All such costs and expenses shall be for the account of the Prospective Bidder and the DOTC, its advisors, consultants or other persons acting on its behalf shall not be liable in any manner whatsoever for the same or for any other direct or indirect costs or other expenses incurred by a Prospective Bidder in the preparation or submission of the Bid Proposal, regardless of the conduct or outcome of the Bidding Process.


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TABLE OF CONTENTS

INTRODUCTION …………………………………………………………………………………………………………………5

Section 1 GENERAL CONDITIONS .................................................................................................................... 6

1.1 General Conditions .................................................................................................................................. 6

1.2 Governing Law and Rules ..................................................................................................................... 7

1.3 Definitions ................................................................................................................................................... 7

Section 2 THE BIDDING PROCESS ................................................................................................................. 14

2.1 PBAC and Advisors ............................................................................................................................... 14

2.2 Outline of the Bidding Process ......................................................................................................... 15

2.3 Responsibility of Prospective Bidders .......................................................................................... 18

2.4 Costs and Expenses of Participation .............................................................................................. 19

2.5 Queries and Supplemental Notices ................................................................................................ 19

2.6 Ownership of Pre-qualification Documents ............................................................................... 21

2.7 Language and Foreign Documents ................................................................................................. 21

Section 3 PRE-QUALIFICATION REQUIREMENTS .................................................................................. 22

3.1. Legal Qualification Requirements .................................................................................................. 22

3.2 Technical Qualification Requirements ......................................................................................... 23

3.3 Financial Capability Qualification Requirements ..................................................................... 37

Section 4 PRE-QUALIFICATION DOCUMENTS ......................................................................................... 38

Section 5 CROSS-MEMBERSHIP AND OTHER RESTRICTIONS .......................................................... 46

5.1 One Prospective Bidder, One Submission ................................................................................... 46

5.2 No Cross-Membership in Different Consortia ........................................................................... 46

5.3 Cross-Ownership and Affiliate Restrictions ............................................................................... 46

Section 6 SUBMISSION OF PRE-QUALIFICATION DOCUMENTS ....................................................... 47

6.1 Format of Pre-qualification Documents ....................................................................................... 47

6.2 Procedures for Submission and Opening of Pre-qualification Documents on the Pre-

qualification Documents Submission Date ................................................................................................ 48

Section 7 EVALUATION OF PRE-QUALIFICATION DOCUMENTS ..................................................... 48

7.1 General Provisions ................................................................................................................................ 48

7.2 Other Grounds for Disqualification ................................................................................................ 49

7.3 Corrupt Practice, Fraud, Collusion, Coercion, Undesirable Practices and Restrictive

Practices ................................................................................................................................................................... 50

7.4 Conflict of Interest ................................................................................................................................. 51

7.5 Lock-Up Rules ......................................................................................................................................... 52

Section 8 MISCELLANEOUS PROVISIONS................................................................................................... 54


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8.1 Notice of Pre-qualification ................................................................................................................. 54

8.2 Provision of Bidding Documents..................................................................................................... 55

8.3 Failure of Qualification Process ....................................................................................................... 55

8.4 Right to Reject Pre-qualification Documents, Waive Minor Defects and Not Proceed

with the Bidding ................................................................................................................................................... 55

ANNEX QD-1A: Business Structure (for a Prospective Bidder which is a partnership or

corporation) ……………………………………………………………………………………………………………….56

ANNEX QD-1B: Business Structure (for a Prospective Bidder which is a Consortium) ............ 61

ANNEX QD-2: Basic Information Sheet ....................................................................................................... 67

ANNEX QD-3A: Certification of Absence of Unsatisfactory Performance Record for Entities

other than those proposed to meet the Financial Capability Qualification Requirements ............. 70

ANNEX QD-3B: Certification of Absence of Unsatisfactory Performance Record for Entities

proposed to meet the Financial Capability Qualification Requirements ................................................ 72

ANNEX QD-4: Railway Infrastructure and Systems Design Experience ........................................ 74

ANNEX QD-5: Railway Infrastructure Construction Experience ...................................................... 77

ANNEX QD-6 Railway Systems Construction Experience .................................................................. 80

ANNEX QD-7 Rolling Stock Experience ..................................................................................................... 83

ANNEX QD-8: Operation and Maintenance Experience ....................................................................... 86

ANNEX QD-9: Certification of Presence of a Health and Safety Policy ........................................... 90

ANNEX QD-10: Notarized Statement of Willingness to Participate In and Capacity to

Undertake the Requirements of the Project ....................................................................................................... 91

ANNEX QD-11: Key Personnel ........................................................................................................................... 93

ANNEX QD-12: Notarized Statement of Financial Capability ............................................................... 97

ANNEX QD-13: Notarized Application to Pre-qualify and Bid ........................................................... 100

ANNEX QD-14A: Notarized Authority to Apply to Pre-qualify and Designation of Authorized

Representative ……………………………………………………………………………………………………………..102

ANNEX QD-14B: Consortium Member’s Notarized Authority to Participate in Consortium and

Apply to Pre-qualify and Designation of Lead Member and Authorized Representative of

Consortium ……………………………………………………………………………………………………………..104

Annex QD-15A: Certificate of Project Completion for Railway Infrastructure and Systems

Design Experience ……………………………………………………………………………………………………………..106

Annex QD-15B: Certificate of Project Completion for Railway Infrastructure Construction

Experience ……………………………………………………………………………………………………………..108

Annex QD-15C: Certificate of Project Completion for Railway Systems Construction

Experience ……………………………………………………………………………………………………………..110

Annex QD-15D: Certificate of Project Completion for Rolling Stock Experience ........................ 112

Annex QD-15E: Certification for O&M Experience .................................................................................. 114

Annex QD-16: Certificate for Establishing Relationship with Affiliates ...................................... 116


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Republic of the Philippines

DEPARTMENT OF TRANSPORTATION AND COMMUNICATIONS

LIGHT RAIL TRANSIT LINE 6 PROJECT

INSTRUCTIONS TO PROSPECTIVE BIDDERS (“ITPB”)

INTRODUCTION 1. The Department of Transportation and Communications (“DOTC”) invites Prospective

Bidders to apply to pre-qualify and bid to finance, design, construct, operate and maintain the Light Rail Transit (“LRT”) Line 6 pursuant to a two-stage public bidding process in accordance with the BOT Law and its Revised IRR, the applicable provisions of which are deemed incorporated herein by reference. The LRT Line 6 Project (the “Project”) consists of:

(a) Design, procurement, engineering, construction, installation, completion,

testing and commissioning of the Project infrastructure and facilities, which will include:

(i) railway infrastructure component with a 19-kilometer elevated rail line

in the Province of Cavite, from Niyog, Bacoor City to Dasmariňas City, having seven (7) stations,) namely: (1) Niyog (transfer between LRT Line 6 and LRT Line 1 Cavite Extension project (“LRT1 CAVEX”)), (2) Tirona, (3) Imus, (4) Daang Hari, (5) Salitran, (6) Congressional Avenue and (7) Governor’s Drive and other related assets including the depot (“Railway Infrastructure”);

(ii) railway systems component which includes provisions for train control

and signaling system, traction power supply distribution system, power substations and telecommunications system (“Railway Systems”); and

(iii) rolling stock (“Rolling Stock”), which shall conform to the

specifications to be set out in the minimum performance standards and specifications that will form part of the Concession Agreement;

(b) Operation and maintenance of the LRT Line 6 system composed of the depot,

the Railway Infrastructure, the Railway Systems, Rolling Stock and other related assets (“LRT Line 6 System”);

(c) System enhancement works covering whole-of-life investments for the LRT

Line 6 System, which include fleet upgrades (replacements and refurbishments), periodic rehabilitation/restoration works, any required depot expansion works to accommodate outstanding train fleet and all other investments needed to ensure sustained levels of services in accordance with the minimum performance standards and specifications to be set out in the Concession Agreement; and


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(d) Provision of a pedestrian connection between the LRT Line 6 station at Niyog

and the LRT1 CAVEX project station at Niyog to provide users of each system with access to the system of the other.

The Project Information Memorandum describes the Project and its indicative contract terms.

2. The documents which govern the process to be followed for pre-qualification are:

(a) the Invitation to Pre-qualify to Bid; (b) this Instructions to Prospective Bidders (ITPB) and its annexes; (c) the Project Information Memorandum; and (d) Bid Bulletins which may be issued from time to time.

3. The Invitation Documents provided by the DOTC are being made available to

Prospective Bidders only in connection with the Project and may not be disclosed or used other than for purposes of the Bidding.

Section 1 GENERAL CONDITIONS 1.1 General Conditions By submitting Pre-qualification Documents and participating in the Pre-qualification process, the Prospective Bidder acknowledges and agrees that: (a) It, including all its Consortium Members and proposed Railway Experience Nominees,

O&M Experience Nominee, their Affiliates and their respective officers, employees, agents and advisors, shall observe the highest standard of ethics during the Bidding Process.

(b) It, including all its Consortium Members and proposed Railway Experience Nominees,

O&M Experience Nominee, their Affiliates and their respective officers, employees, agents and advisors, shall not commit any Corrupt, Fraudulent, Coercive, Undesirable and Restrictive Practice.

(c) It, including all its Consortium Members and proposed Railway Experience Nominees,

O&M Experience Nominee, their Affiliates and their respective officers, employees, agents and advisors, will not engage in any form of political or other lobbying with respect to the Project or attempt to influence the outcome of the Bidding Process.

(d) It accepts all the terms and conditions of the Invitation Documents. (e) The PBAC has the right to modify any of the Invitation Documents at any time. (f) The interpretation and construction of the Invitation Documents shall rest solely with

the PBAC. The PBAC shall not assume any responsibility for any erroneous interpretation or conclusions by the Bidders out of data furnished or indicated in the Invitation Documents.


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1.2 Governing Law and Rules The provisions of the BOT Law and its Revised IRR and other applicable Philippine laws shall govern all matters not specifically covered by this ITPB and the other Invitation Documents. 1.3 Definitions The following words or terms shall have the following meanings in this ITPB and other Invitation Documents: 1. “Affiliate” means a person, corporation or any entity Controlled by or Controlling the

Prospective Bidder or Consortium Member (as the case may be) or associated with the Prospective Bidder or Consortium Member (as the case may be) under common ownership and Control.

2. “Auditor” means an external independent auditor who must be a reputable international

auditing company with presence and operations in at least ten (10) jurisdictions, including the Philippines. For the purpose of determining presence and scope of operations, an auditor’s partner firms in other jurisdictions will be considered.

3. “ATO” means automatic train operation. 4. “ATP” means automatic train protection. 5. “ATS” means aautomatic train supervision. 6. “Authorized Issuer” means the entity who should execute Annexes QD-15A

(Certificate of Project Completion for Railway Infrastructure and Systems Design Experience), QD-15B (Certificate of Project Completion for Railway Infrastructure Construction Experience.), QD-15C (Certificate of Project Completion for Railway Systems Construction Experience), QD-15D (Certificate of Project Completion for Rolling Stock Experience), QD-15E (Certificate for O&M Experience), and QD-16 (Certificate for Establishing Relationship with Affiliates).

For Annexes QD-15A, QD-15B, QD-15C, QD-15D and QD-15E, these may be executed by an Auditor or the reference project's Client/Project Owner, provided, that if the Client/Project Owner is a private entity and an Affiliate of the concerned Prospective Bidder, or is the Prospective Bidder itself, then Annexes QD-15A, QD-15B, QD-15C, QD-15D and QD-15E may only be executed by an Auditor.

For Annex QD-15E, if the entity whose experience is being used to fulfill the O&M Experience requirement is a contractor of the entity who has overall responsibility for the reference project, such entity who has overall responsibility for the reference project may execute Annex QD-15E, provided, that if such entity is a private entity and an Affiliate of the concerned Prospective Bidder, or is the Prospective Bidder itself, then Annex QD-15E may only be executed by an Auditor.

For Annex QD-16, this may be executed only by an Auditor.


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7. “Bidder” means any individual, partnership, corporation, or any other juridical entity, or Consortium that participates in the Bidding Process, whether before or after Pre-qualification.

8. “Bid Proposal” means the Bid Letter, Bid Security, additional requirements for

changes in the composition, form or shareholding structure of the Pre-qualified Bidders (as may be allowed under this ITPB), technical proposal and financial proposal to be submitted by the Pre-qualified Bidders pursuant to the Instructions to Bidders that will be released by the PBAC after Pre-qualification.

9. “Bid Proposals Submission Date” means the day to be set by the PBAC for the

submission of the Bid Proposals. 10. “Bid Security” means the security to be provided by the Pre-qualified Bidder to

guarantee that it shall comply with all its obligations under the Instructions to Bidders and, if declared the Winning Bidder that it shall comply with all the Post-Award Requirements, execute the Concession Agreement, and (if the Winning Bidder is a Consortium) that the Project SPC it shall form for the Project shall thereafter accede to the Concession Agreement.

11. “Bidding Documents” means the documents enumerated in Section 8.2 which are

furnished to the Pre-qualified Bidders. 12. “Bidding Process” or “Bidding” means the procurement process beginning from the

publication of the Invitation to Pre-qualify to Bid until the signing of the Concession Agreement, as described in Section 2.2.

13. “BIR” means the Bureau of Internal Revenue. 14. “BOT Law and its Revised IRR” means Republic Act No. 6957, as amended by

Republic Act No. 7718, entitled “An Act Authorizing the Financing, Construction, Operation and Maintenance of Infrastructure Projects by the Private Sector and for Other Purposes” and the “Revised Implementing Rules and Regulations of Republic Act No. 6957, as amended by Republic Act No. 7718”.

15. “Business Structure” means the structure of the Prospective Bidder as described in

Annex QD-1A or QD-1B (as applicable). 16. “Certificate of Incorporation” or “COI” means the certificate of incorporation issued

by the SEC attesting to the due incorporation and registration of a corporation. 17. “Client/Project Owner” means the entity which bid out, commissioned, procured,

awarded, accepted or received the infrastructure, assets or services under a reference project.

18. “Concession Agreement” means the contract to be executed between the DOTC and

the Winning Bidder or a legal entity formed by the Winning Bidder. 19. “Concessionaire” means the counterparty of the DOTC under the Concession

Agreement and which will undertake the Project.


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20. “Conflict of Interest” is defined in Section 7.4. 21. “Consortium” means an unincorporated association of natural or juridical persons

bound by contract or law, solidarily undertaking by mutual written agreement a common enterprise which is to participate in the Bidding Process.

22. “Consortium Member” means any of the natural or juridical persons or group of

persons comprising a Consortium, each having a definite interest in the common undertaking, solidarily liable in the Bid Proposal and whose interest will be converted into an equity participation in the Project SPC if the Consortium is awarded and accepts the Project;

23. “Construction” means all aspects of construction work and activities relating to a

Reference Project. 24. “Control” or “Controlled” or “Controlling” means the power to direct or cause the

direction of the management policies and actions of a body corporate, whether through: (i) ownership of at least fifty percent (50%) plus one (1) of either or a combination of the following (i.a) the total outstanding voting shares, (i.b) the voting rights, in another entity, or (ii) the ability to elect a majority of the members of the other entity’s board of directors, or (iii) any legal agreement or legal agreements, including a voting trust or other voting agreements.

In determining ownership by a corporation of the shares of another corporation, shares held both directly and indirectly will be counted.

For purposes of confirming a Pre-qualification Requirement through an Affiliate of a Prospective Bidder, Consortium Member, Railway Experience Nominee or O&M Experience Nominee, only agreements entered into more than one (1) year before the Pre-qualification Documents Submission Date will be considered.

For purposes of determining the existence of a Conflict of Interest, only agreements which are in effect during the Bidding Process will be considered.

25. “Corrupt Practice, Fraud, Collusion, Coercion, Undesirable Practices and

Restrictive Practices” are each defined in Section 7.3. 26. “day” means a calendar day, unless otherwise specified. 27. “DOTC” means the Department of Transportation and Communications. 28. “Facility Operator” means the entity designated by the Winning Bidder that will

operate the Project in accordance with the Concession Agreement. 29. “Financial Capability Qualification Requirements” refers to the Pre-qualification

Requirements which must be met by a Prospective Bidder, as provided in Section 3.3. 30. “GIS” means the General Information Sheet in the form specified by, and that all

corporations are required to file annually with, the SEC.


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31. “Health and Safety Policy” means a policy providing for a systematic and

comprehensive corporate/institutional process for managing health and safety concerns. 32. “Instructions to Bidders” or “ITB” means the Bidding Document setting out detailed

information about the requirements for the preparation and submission of Bid Proposals that Pre-qualified Bidders may purchase in accordance with Section 8.2.

33. “Instructions to Prospective Bidders” or “ITPB” means this Instructions to

Prospective Bidders. 34. “Invitation Documents” means the Invitation to Pre-qualify to Bid, this Instructions to

Prospective Bidders, including its annexes, the Project Information Memorandum and any supplemental notices and bid bulletins issued by the PBAC from the date of first publication of the Invitation to Pre-qualify to Bid until the Pre-qualification Documents Submission Date.

35. “Invitation to Pre-qualify to Bid” means the notice inviting interested parties to pre-

qualify and bid for the Project first published by the DOTC on December 21, 2015. 36. “ISO” means the International Organization for Standardization. 37. “Lead Member” means, for a Bidder which bids as a Consortium, the Consortium

Member having the most significant interest in the Consortium, which should not be less than thirty three and one-third percent (33 1/3%), and which should be designated in writing as such by the other Consortium Members. A Consortium may only designate a single entity as Lead Member which entity must have the largest equity interest in the Consortium (at least 33 1/3%) and must fully meet the two (2) Financial Capability Qualification Requirements prescribed in Section 3.3.

38. “Legal Qualification Requirements” refers to the Pre-qualification Requirements that

must be met by a Prospective Bidder, as provided in Section 3.1. 39. “Lock-Up Period” is defined in Section 7.5. 40. “Lock-Up Rules” is defined in Section 7.5. 41. “LRT1 CAVEX” means the LRT Line 1 Cavite Extension Public- Private Partnership

(PPP) Project. 42. “LRT Line 6 System” is defined in paragraph 1(b) of the Introduction to this ITPB. 43. “Notice of Award” is defined in Section 2.2.2(e). 44. “Notice of Pre-qualification” is defined in Section 8.1. 45. “O&M” means operation and maintenance. 46. “O&M Experience” refers to one of the Technical Qualification Requirements that

must be met by a Prospective Bidder, as provided in Section 3.2.6.


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47. “O&M Experience Nominee” means an entity nominated by a Prospective Bidder to

meet the O&M Experience. 48. “OLE” means overhead line equipment. 49. “Outstanding Dispute” with government refers to any pending judicial, administrative

or alternative dispute resolution proceeding, including suspension or blacklisting proceedings, between the Prospective Bidder, any Consortium Member, their Affiliates that are directly involved with the Project, Railway Experience Nominee or O&M Experience Nominee, on the one hand, and the DOTC, on the other, in connection with any transportation project or contract of the DOTC provided such project or contract is: (i) intended to provide a critical basic necessity, (ii) of paramount public interest and importance, and (iii) where the Prospective Bidder, any Consortium member, or their Affiliates that are directly involved with the Project, Railway Experience Nominee or O&M Experience Nominee has/have, in the opinion of the DOTC or the PBAC committed a default or breach of: (a) contract, (b) any representation, or (c) any warranty, which act prevents the DOTC from fully or timely complying with their statutory obligations in the implementation of such other project or contract.

50. “PBAC” means the Pre-qualification, Bids and Awards Committee for the Project

created by the DOTC under DOTC Special Order No. 2015-500, dated 27 November 2015, pursuant to the BOT Law and its Revised IRR.

51. “PCAB” means the Philippine Contractors Accreditation Board. 52. “Post-Award Requirements” is defined in Section 2.2.2(e). 53. “PPP Center” means the Public-Private Partnership Center. 54. “Pre-qualification” means the first stage of the Bidding Process involving the

submission, opening and evaluation of the Pre-qualification Documents submitted by the Prospective Bidders.

55. “Pre-qualification Documents” mean the documents required to be submitted by the

Prospective Bidder during the Pre-qualification stage as provided in Section 4. 56. “Pre-qualification Documents Submission Date” means the date designated in

Section 2.2.1 as the date on which Prospective Bidders are required to submit their respective Pre-qualification Documents.

57. “Pre-qualification Requirements” means the criteria which a Prospective Bidder must

meet in order to pre-qualify to submit a Bid Proposal for the Project as described in Section 3 and includes Legal Qualification Requirements, Technical Qualification Requirements and Financial Capability Qualification Requirements.

58. “Pre-qualified Bidder” means a Prospective Bidder which passed Pre-qualification. 59. “Project” is defined in paragraph 1 of the Introduction to this ITPB.


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60. “Project Information Memorandum” means the document denominated as such to provide preliminary information on the Project issued on or about the date on which the Invitation to Pre-qualify to Bid was first published.

61. “Project Special Purpose Company” or “Project SPC” means a domestic special

purpose company incorporated pursuant to the Corporation Code of the Philippines for the purpose of undertaking the Project.

62. “Prospective Bidder” means any individual, partnership, corporation, or any other

juridical entity, or Consortium that participates in the Bidding Process by applying to pre-qualify and bid.

63. “Railway Experience Nominee” refers to an entity nominated by a Prospective Bidder

to meet the Railway Infrastructure and Systems Design Experience, the Railway Infrastructure Construction Experience, the Railway Systems Construction Experience or the Rolling Stock Experience, as the context may require, other than the Prospective Bidder itself or a Consortium Member (if the Prospective Bidder is a Consortium).

64. “Railway Infrastructure” refers to a component of the Project as described in

paragraph 1(a)(i) of the Introduction of this ITPB. 65. “Railway Infrastructure and Systems Design Experience" refers to one of the

components of the Technical Qualification Requirements, as provided in Section 3.2.2. 66. “Railway Infrastructure Construction Experience" refers to one of the components

of the Technical Qualification Requirements, as provided in Section 3.2.3. 67. “Railways Systems” refers to a component of the Project as described in paragraph

1(a)(ii) of the Introduction to this ITPB. 68. “Railway Systems Construction Experience” refers to one of the components of the

Technical Qualification Requirements, as provided in Section 3.2.4. 69. “Reference Project” means a project submitted to demonstrate a Prospective Bidder’s

experience to meet the Technical Qualification Requirements. 70. “RIC Nominee” is defined in Section 3.2.1(d). 71. “RISD Nominee” is defined in Section 3.2.1(d). 72. “Rolling Stock” is defined in paragraph 1(a)(iii) of the Introduction to this ITPB. 73. “Rolling Stock Experience” refers to one of the components of the Technical

Qualification Requirements, as provided in Section 3.2.5. 74. “RS Nominee” is defined in Section 3.2.1(d). 75. “RSC Nominee” is defined in Section 3.2.1(d).


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76. “Safety Case Manual” means a manual which defines the minimum acceptable safety standards for all of the safety critical actions and operations that may be necessary on a railway system.

77. “Safety Management System Manual” means a manual or plan providing for a

systematic, explicit and comprehensive process for managing safety risks. 78. “SEC” means the Securities and Exchange Commission. 79. “Substitution” is defined in Section 7.5(b)(iii). 80. “Technical Qualification Requirements” refers to the Pre-qualification Requirements

that must be met by a Prospective Bidder, as provided in Section 3.2. 81. “Transaction Advisors” is defined in Section 2.1.2. 82. “TWG” refers to the Technical Working Group for the Project created by the DOTC

under DOTC Special Order No. 2015-500, dated 27 November 2015, pursuant to the BOT Law and its Revised IRR.

83. “Unsatisfactory Performance” means any of the following:

(i) within the last five (5) years prior to the Pre-qualification Documents Submission Date:

(A) failure to satisfactorily perform any of its material obligations on any

contract, as evidenced by a final judicial pronouncement or arbitration award or an agreement by way of settlement and compromise wherein there is an acknowledgement of the failure;

(B) expulsion from any project or contract; provided, that where the

expulsion (1) results from an act of all or some of the parties to such project or contract pursuant to the relevant project agreements, or (2) results from the mutual agreement of the parties to the project or contract, or (3) results from a final court or arbitral judgment, or (4) results from agreements by way of settlement or compromise, in all cases there being no fault on the part of the expelled party, as evidenced by a final judicial pronouncement or arbitration award, such expulsion shall not be deemed as an incident of Unsatisfactory Performance;

(C) termination or suspension of any of its projects or contracts due to a

breach of its obligations, as evidenced by a final judicial pronouncement or arbitration award or an agreement by way of settlement and compromise wherein there is an acknowledgment of the breach; or

(D) material violation of the laws and/or regulations applicable to any of its

projects or contracts, including but not limited to environmental, health, safety, labor and social welfare laws and regulations, as evidenced by a final judicial pronouncement or arbitration award or an agreement by way of settlement and compromise wherein there is an


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acknowledgement of the violation,

where in each case the references to “judicial pronouncement” and “arbitration award” are not limited to those promulgated in the Philippines or by Philippine courts or entities;

(ii) inclusion in a blacklist issued by any governmental agency of the Philippines

or in the debarred and cross-debarred firms and individuals list of major international financial institutions such as, but not limited to, the World Bank, European Bank for Reconstruction and Development, Asian Development Bank, Inter-American Development Bank and African Development Bank Group, whether as an individual contractor, partnership or corporation, or as a member of a joint venture or consortium; or

(iii) involvement in any Corrupt, Fraudulent, Coercive, Undesirable, or Restrictive

Practices or having Conflicts of Interest. 84. “Winning Bidder” means the Bidder determined by the PBAC as having the highest

complying post-qualified Bid Proposal and issued a Notice of Award as described in Section 2.2.2(e).

85. “Withdrawal” is defined in Section 7.5(b)(ii). 86. “year” means a calendar year, unless otherwise specified.

Section 2 THE BIDDING PROCESS 2.1 PBAC and Advisors 2.1.1 Role of the PBAC The PBAC for the Project created by the DOTC Special Order No. 2015-500 (issued on 27 November 2015) and the amendments thereto shall be responsible for all aspects of the Bidding Process for the Project, including the interpretation of the rules regarding the Bidding. 2.1.2 Role of Transaction Advisors

A consortium of advisors led by Ernst & Young Solutions LLP (“EY”) as transaction advisor and CPCS Transcom Limited (“CPCS”) as technical advisor (“Transaction Advisors”) has been appointed to assist the DOTC in the structuring and tendering of the Project. Transaction Advisors will assist the DOTC in undertaking and ensuring a fair, transparent and competitive selection process that will mobilize private sector participation in the implementation of the Project. The assistance of the Transaction Advisors covers all Project pre-investment activities including due diligence review, transaction structuring, marketing and promotion, contract preparation, and support to the DOTC in the development of bid documents, conduct of the Bidding, evaluation of the Bid Proposals and the award of the Project to the Winning Bidder. Supporting the Transaction Advisors in its advisory work is a team of international technical and legal service firms and local legal consultants.


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2.2 Outline of the Bidding Process The international competitive public bidding for the Project shall be conducted in accordance with the rules and procedures for public bidding set under the BOT Law and its Revised IRR, the applicable provisions of which are incorporated herein by reference. 2.2.1 The table below contains the indicative schedule for the Bidding Process:

Milestone Indicative Date First Publication of Invitation to Pre-qualify to Bid and Issuance of ITPB

21 December 2015

Issuance of ITPB 27 January 2016

Pre-qualification conference

January 2016 (date to be confirmed by the PBAC in a subsequent bid bulletin)

Last day of submission of queries on pre-qualification

12 February 2016

Issuance of responses to queries on Pre-qualification

22 February 2016

Pre-qualification Documents Submission and Opening Date

04 March 2016

Results of the evaluation of Pre-qualification Documents

Within twenty (20) calendar days from the Pre-qualification Documents Submission Date

Issuance of Notice to pre-qualified and disqualified Bidders

Within five (5) calendar days from approval of the results of the evaluation of the Pre-qualification Documents

Issuance of ITB and draft Concession Agreement

May 2016 (date to be confirmed)

Pre-Bid Conference May 2016 (date to be confirmed)

First round of One-on-One Meetings with Pre-qualified Bidders


Submission of first batch of queries / comments on the ITB and draft Concession Agreement


Issuance of responses to the first batch of queries/comments on the ITB and draft Concession Agreement

June 2016 (date to be confirmed)

Submission of second batch of Queries/Comments on the ITB and draft Concession Agreement

July 2016 (date to be confirmed)

Second round of One-on-One Meetings with Pre-qualified Bidders

July 2016 (date to be confirmed)

Issuance of responses to second batch of queries/comments on the ITB and draft Concession Agreement

August 2016 (date to be confirmed)


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Issuance of the Final ITB and draft Concession Agreement

August 2016 (date to be confirmed)

Bid Proposals Submission Date September 2016 (date to be confirmed)

Evaluation of technical proposals Within twenty (20) calendar days from the Bid Proposals Submission Date

Notification of results of evaluation of technical proposals and opening of financial proposals

October 2016 (date to be confirmed)

Evaluation of financial proposals Within fifteen (15) calendar days from the completion of the evaluation of Technical Proposals

PBAC recommendation of Winning Bidder Within three (3) calendar days from completion of the evaluation of the Financial Proposals

Issuance of the Notice of Award Within five (5) calendar days from decision by DOTC Secretary to award the Project to the Winning Bidder

Submission of Post-Award Requirements Within twenty (20) calendar days from receipt by Winning Bidder of Notice of Award

Issuance of Notice of Compliance with Post-Award Requirements

Within five (5) calendar days of receipt by the DOTC of Post-Award Requirements

Signing of Concession Agreement and compliance with Other Requirements

Within five (5) calendar days of receipt by Winning Bidder of notice from DOTC of compliance with all Post-Award Requirements

The actual schedule may be changed by the PBAC at any time, without incurring any liability to the Prospective Bidders or Pre-qualified Bidders. Prospective Bidders and Pre-qualified Bidders shall be notified by the PBAC of any changes in the indicative milestone dates through the ITB or bid bulletins. 2.2.2 The general procedure for the Bidding will be as follows: (a) The PBAC will conduct a Pre-qualification conference for interested parties and

Prospective Bidders to clarify any part of the Invitation Documents and to answer any relevant questions from interested parties and Prospective Bidders. The Pre-qualification conference will be held at a location to be advised by the PBAC in a subsequent bid bulletin on the date indicated in the table above. Additional details of the Pre-qualification conference, if any, will be provided for in a bid bulletin to be issued by the PBAC.

(b) The PBAC will conduct the Pre-qualification of Prospective Bidders. Prospective

Bidders may apply to pre-qualify and bid by submitting their Pre-qualification


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Documents, as described in greater detail in this document, on the Pre-qualification Documents Submission Date. After reviewing the documents, the PBAC will determine which of the Prospective Bidders fulfill the Pre-qualification Requirements and inform all Prospective Bidders who are pre-qualified on the date indicated in the table above through the issuance of a Notice of Pre-qualification to each Pre-qualified Bidder. Disqualified bidders shall likewise be informed in writing stating therein the grounds for their disqualification within the same period. Only Pre-qualified Bidders will be invited and allowed to submit a Bid Proposal for the Project.

(c) After the Pre-qualification is completed, the PBAC shall issue the ITB and draft

Concession Agreement to all Pre-qualified Bidders. The ITB shall provide in detail the form and required contents of the Bid Proposals and the detailed procedures to be followed for Bid Proposal submission and evaluation. The draft Concession Agreement shall likewise be provided to all Pre-qualified Bidders to give each the opportunity to comment on the draft. The PBAC may consider these comments in refining the draft Concession Agreement leading up to the issuance of the final Concession Agreement on which the Pre-qualified Bidders must base their Bid Proposals. This will ensure that binding unconditional Bid Proposals are submitted on the basis of the final Concession Agreement.

The Pre-qualified Bidders will be invited to raise any questions and issues regarding the Project and the Bidding Process during the pre-bid conference. In addition, the DOTC will make arrangements for Pre-qualified Bidders who wish to have one-on-one discussions regarding the Project. Pre-qualified Bidders will be asked to bid for the Project by submitting their Bid Proposals.

(d) After submission of Bid Proposals, the PBAC will first review the Pre-qualified

Bidders’ technical proposals and evaluate them on a “pass”/”fail” basis. Pre-qualified Bidders will be informed as to whether their technical proposals were rated “pass”. The PBAC will return the unopened financial proposals and Bid Securities of Prospective Bidders whose technical proposals were rated “fail”.

(e) Financial Proposals of Pre-qualified Bidders whose technical proposals were rated

“pass” will be opened and evaluated at a later date, which evaluation will be based on the financial bid parameters and criteria to be specified by the PBAC in the ITB. The Pre-qualified Bidder whose technical proposal is rated “pass” and who submits the best financial proposal will be considered the best complying Bid Proposal. On the date indicated in the table above, the PBAC will recommend to the DOTC Secretary the award of the Project to the Winning Bidder by the issuance of written notice thereof (“Notice of Award”). The DOTC Secretary shall approve the award and issue the Notice of Award to the Winning Bidder. This Notice of Award shall indicate the requirements that the Winning Bidder has to comply with before the signing of the Concession Agreement (“Post-Award Requirements”).

(f) The Winning Bidder will have to comply with all the Post-Award Requirements within

twenty (20) days from receipt of the Notice of Award. Failure to comply with the Post-Award Requirements within the prescribed twenty (20)-day period will result in the forfeiture of the Bid Security and the cancellation of the Notice of Award. Within five (5) days from the receipt by the PBAC of all the Post-Award Requirements, the PBAC shall determine and notify the Winning Bidder of its compliance therewith.


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Immediately thereafter, the Winning Bidder will have to enter into the Concession Agreement with the DOTC. Failure by the Winning Bidder to enter into the Concession Agreement within the timeframe specified in the notice of compliance with the Notice of Award will result in the forfeiture of the Bid Security and the cancellation of the Notice of Award.

2.3 Responsibility of Prospective Bidders 2.3.1 Notwithstanding any information given in the Invitation Documents and any additional

communications from the DOTC or the PBAC, including any notices and bid bulletins, it is the sole responsibility of the Prospective Bidder to:

(a) be fully acquainted with the laws, requirements, terms, and conditions of the

Bidding Process;

(b) examine all the Invitation Documents, including all instructions, annexes, forms, schedules, terms, specifications, and drawings and verify the correctness, accuracy, completeness and reliability of the information contained in these documents;

(c) familiarize itself with all existing laws, decrees, acts, ordinances, rules and

regulations of the Philippines, whether national or local, that may affect the Pre-qualification, the Bidding Process and the Project; and

(d) determine and satisfy itself, at its own cost and risk, and by such means as it

considers necessary and desirable, as to all matters pertaining to the execution of the Project, including but not limited to the location and nature of the Project; the relevant terrain, geological, meteorological and hydrological conditions; the requirements and availability of labor, materials, equipment, aggregate sources, water, power, roads, communications and other relevant factors; relevant resource requirements; and any risks and contingencies that may affect the cost, duration, execution and completion of the Project.

2.3.2 The Prospective Bidders (including any Consortium Members or Affiliates) shall not

be entitled to and shall not make any claim against the DOTC or any other associated party, whether on the basis of contract, quasi-delict or delict, for damages, extensions of time or payments on the grounds:

(a) of any misunderstanding or misapprehension in respect of the Invitation

Documents and the Project; or

(b) that incorrect or insufficient information relating to the Invitation Documents and the Project was given to them by the DOTC or any other associated party.

By submitting Pre-qualification Documents, a Prospective Bidder shall be presumed to have fully examined and accepted all the terms and conditions in the Invitation Documents.


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2.4 Costs and Expenses of Participation Interested parties and Prospective Bidders shall bear all costs associated with or resulting from their participation in the Bidding Process including but not limited to the preparation and submission of their Pre-qualification Documents, the costs of reproducing and notarizing the Concession Agreement at execution, and all possible losses or damages resulting thereto. The DOTC and its advisors, consultants or other persons acting on its behalf shall not be held responsible or liable in any way for such costs, losses or damages incurred by any Prospective Bidder (whether incurred by it directly or indirectly, or by its advisors, contractors, Affiliates or other persons), regardless of the conduct or outcome of the Bidding Process. 2.5 Queries and Supplemental Notices 2.5.1 All parties who obtain the Invitation Documents may send any queries on any aspect of

these documents in writing by (a) personal delivery of signed hard copies and (b) e-mail in MS Word format, to the PBAC Chairman, the PBAC Secretariat, the Chairman of the TWG, the DOTC, the PPP Center and Transaction Advisors at the following addresses and e-mail addresses:

(a) PBAC Chairman

Attention: Undersecretary Edwin R. Lopez Address: Unit 161, 16th Floor, The Columbia Tower Ortigas Avenue, Barangay Wack-Wack, Mandaluyong City E-mail: [email protected] Telephone: (+63 2) 790 8300 local 363 or 291 / 727 6401 / 725 9164 Fax: (+63 2) 726 6231

(b) PBAC Member-Secretary

Attention: Undersecretary Catherine P. Gonzales Address: Unit 153, 15th Floor, The Columbia Tower Ortigas Avenue, Barangay Wack-Wack, Mandaluyong City E-mail: [email protected] Telephone: (+63 2) 790 8300 local 272 or 235 / 726 7128 Fax: (+63 2) 654 7725

(c) Chairman of the TWG

Attention: Dir. Deo Leo Manalo Address: Unit 81 and 83, 8th Floor, The Columbia Tower Ortigas Avenue, Barangay Wack-Wack, Mandaluyong City E-mail: [email protected] Telephone: (+63 2) 790 8300 local 725 or 351 / 726 3493 Fax: (+63 2) 726 3493

(d) DOTC

Attention: Undersecretary Rene K. Limcaoco Address: Unit 169, 16th Floor, The Columbia Tower


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Ortigas Avenue, Barangay Wack-Wack, Mandaluyong City E-mail: [email protected] Telephone: (+63 2) 790 8300 local 247 or 294 or 216 / 725 0204 / 725 0013 Fax: (+63 2) 726 6221

(e) PPP Center

Attention: Executive Director Cosette V. Canilao Address: Public-Private Partnership Center 8th Floor, One Cyberpod Centris

EDSA corner Quezon Avenue Brgy. Pinyahan, Quezon City E-mail: [email protected] Telephone: (+63 2) 727 -7960 / 725- 0204 Fax: (+63 2) 929 8593

(f) Ernst & Young

Attention: Lynn Tho Address: One Raffles Quay, North Tower, Level 18

Singapore, 048583 E-mail: [email protected] Telephone: (+65) 6535 7777

A copy shall be furnished to the following email address: [email protected]. In case of any discrepancy between copies personally delivered and those delivered by email, the former shall prevail. 2.5.2 Prospective Bidders must use the template below for all of its queries/comments:

Date: [ Insert Date of Submission] Prospective Bidder Name: [Insert Prospective Bidder Name]

Topic

Name and Section of Document

Query/Comment Proposed Wording / Draft* (if any)

*Note: Please apply strikethrough to deleted items and italics / underscore to added items Although the PBAC will attempt to respond to all reasonable queries, it is under no obligation to respond to all queries. Responses to queries and any modifications to the Invitation Documents or the Bidding Documents shall be done in writing and provided to Prospective Bidders through supplemental notices or bid bulletins issued by the PBAC. All supplemental notices and bid bulletins issued by the PBAC shall be deemed to be incorporated in and made an integral part of these ITPB and/or the relevant Bidding Documents. Supplemental notices and bid bulletins issued by the PBAC shall be published at the website of DOTC at www.dotc.gov.ph.


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2.6 Ownership of Pre-qualification Documents Except for the financial proposals and the Bid Securities that shall be returned pursuant to the BOT Law and its Revised IRR, all documents submitted by the Prospective Bidders in response to the Invitation to Pre-qualify to Bid, including Pre-qualification Documents and their attachments, shall become the property of the DOTC and any information obtained by the DOTC from such documents may be reasonably used by them; provided, however, that information relating to the examination, clarification, evaluation and comparison of Pre-qualification Documents shall not be disclosed to any of the Prospective Bidders or other persons not officially involved in the Bidding Process; provided that the DOTC and the PBAC shall not have the obligation to keep any information submitted by a Prospective Bidder confidential after award of the Project. 2.7 Language and Foreign Documents 2.7.1 The Pre-qualification Documents and all correspondence and documents relating to the

Invitation Documents and the Bid Proposal, shall be prepared and written in the English language. Any printed literature or document furnished by Prospective Bidders written in another foreign language shall be accompanied by an English translation, certified by the translator to be a complete and accurate translation of the original. The certification issued by the translator shall be authenticated by a Philippine consular official at the relevant Philippine consulate at the place where the certification is issued. In case of conflict, the English translation shall prevail.

2.7.2 All documents or certifications issued by foreign authorities or executed outside of the

Philippines shall be authenticated before a Philippine consular official at the relevant Philippine consulate having jurisdiction over the place of issue or execution.

2.7.3 If the document was issued by a foreign authority, the Prospective Bidder should also

submit a copy of such document certified to be true and correct by the foreign authority that issued the document, in addition to the authentication by the relevant Philippine consular official required pursuant to Section 2.7.2 above.

2.7.4 If the document is a foreign law or regulation, the Prospective Bidder should also

submit (a) a copy of such law or regulation certified to be true and correct by the relevant competent government authority in addition to the authentication by the relevant Philippine consular officer required pursuant to Section 2.7.2 above, or (b) a certification from the embassy or the consular office of the relevant foreign country in the Philippines that such law is an accurate copy of the foreign law.

2.7.5 For documents issued or executed outside the Philippines, notarization made separately

before a notary public, civil officer or other person authorized under foreign law to administer oaths or to authenticate signatures shall be allowed, provided that the notarized document must be authenticated before a Philippine consular official at the relevant Philippine consulate at the place of incorporation.

2.7.6 For each instance in this ITPB where authentication by a Philippine consular official is

required, the form, including language, of the authentication shall be subject to the forms and rules applicable in the relevant Philippine consular office.


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2.7.7 For purposes of the Pre-qualification, the PBAC will accept a translated, notarized or Ministry of Foreign Affairs/State Department-authenticated document, or a document for authentication by a Philippine consular officer, provided that such has been stamped “Received” by the appropriate Philippine consular office on or before the Pre-qualification Documents Submission Date, or the official receipt issued by the Philippine consular office is submitted, subject (in each case) to submission of the same document with the required authentication on the Bid Proposals Submission Date.

2.7.8 A Pre-qualified Bidder shall be disqualified if:

a. it fails to submit the authenticated documents on the Bid Proposals Submission Date; or

b. there are differences in the Pre-qualification Documents submitted on the Pre-

qualification Documents Submission Date and the authenticated documents submitted on the Bid Proposals Submission Date.

Section 3 PRE-QUALIFICATION REQUIREMENTS Prospective Bidders must fulfill all the Legal, Technical, and Financial Capability Qualification Requirements listed below. 3.1. Legal Qualification Requirements 3.1.1 The Prospective Bidder must be either: (a) An individual, partnership or corporation or any other juridical entity. In the case of

Philippine partnerships or corporations created pursuant to the Corporation Code of the Philippines, such partnerships of corporations must be registered in the Philippines with the Philippine SEC or in case of a foreign partnerships, corporations or other juridical entities, the appropriate government agency in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The Prospective Bidder must certify that it and its Affiliates whose projects and experience are being submitted as evidence of fulfillment of the requirements in Section 3.2 and Section 3.3 have no Unsatisfactory Performance Record, as per the format provided in Annex QD-3A (in the case of each entity other than entities proposed to meet the Financial Capability Qualification Requirements) and Annex QD-3B (in the case of the entities proposed to meet the Financial Capability Qualification Requirement); or

(b) A Consortium whose members are individuals, partnerships or corporations or any other

juridical entities. In the case of Philippine partnerships, or corporations created pursuant to the Corporation Code of the Philippines, such partnerships or corporations must be registered in the Philippines with the SEC, or in the case of partnerships, corporations or other juridical entities, the appropriate government agency in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. Each Consortium Member must certify that it and its Affiliates whose projects and experience are being submitted as evidence of fulfillment of the requirements in Section 3.2 and Section 3.3 have no Unsatisfactory Performance Record,


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as per the format provided in Annex QD-3A (in the case of each entity other than entities proposed to meet the Financial Capability Qualification Requirements) and Annex QD-3B (in the case of the entities proposed to meet the Financial Capability Qualification Requirement).

The Lead Member in the Consortium must (i) hold an interest in the Consortium of at least thirty three and one third percent (33 1/3%); (ii) always hold the most significant interest in the Consortium; and (iii) be designated in writing as such by the other Consortium Members.

No Consortium Member, on its own or together with its Affiliates, shall hold a greater interest in the Consortium than the Lead Member, on its own or together with its Affiliates.

3.1.2 All Prospective Bidders, Consortia, Consortium Members, and their Affiliates that are

directly involved in the Projects, and subcontractors proposed by a Prospective Bidder or Consortium, shall comply with the Constitution of the Republic of the Philippines and other applicable laws, including those relating to nationality restrictions.

If the Prospective Bidder proposes to undertake the O&M of the Project, then it must be Filipino or, if a juridical entity, must be owned at least sixty percent (60%) by Filipinos or, if a Consortium, the ownership interest of Filipino Consortium Members in the Consortium must be at least sixty percent (60%). If the O&M of the Project shall be delegated to a Facility Operator, the Facility Operator must be owned at least sixty percent (60%) by Filipinos.

For the purpose of determining an entity’s compliance with the applicable nationality requirements, the “Control Test” shall be applied, except when there is doubt on the entity’s nationality or on its equity ownership, in which case the “Grandfather Rule” shall be applied. A doubt shall exist when circumstances similar to those cited in the relevant Supreme Court of the Republic of the Philippines decisions are present.

3.2 Technical Qualification Requirements 3.2.1 General Provisions (a) To qualify to bid for the Project, the Prospective Bidder must meet the following

technical qualification requirements:

● Railway Infrastructure and Systems Design Experience; ● Railway Infrastructure Construction Experience; ● Railway Systems Construction Experience; ● Rolling Stock Experience; ● O&M Experience; and ● Qualified Key Personnel.

Prospective Bidders must provide supporting documents, whenever applicable, as per the relevant formats set out in the Annexes hereto, as evidence for meeting the technical requirements. Experience for any activity (Railway Infrastructure and Systems Design Experience/Railway Infrastructure Construction/Railway Systems


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Construction/Rolling Stock/ O&M) relating to an eligible project shall not be claimed by two (2) or more Consortium Members. Accordingly, no double counting by a Consortium in respect of the same experience shall be permitted in any manner whatsoever.

(b) All entities which are proposed to meet any of the Technical Qualification

Requirements must submit a Certification of Absence of Unsatisfactory Performance Record.

(c) If (i) the Prospective Bidder’s nominee for the O&M Experience is pre-qualified; (ii)

at least one (1) of the Prospective Bidder’s nominees for each of the Railway Infrastructure and Systems Design Experience, the Railway Infrastructure Construction Experience, the Railway Systems Construction Experience and the Rolling Stock Experience is pre-qualified; and (iii) the entities whose Reference Projects are being submitted in fulfillment of the Railway Infrastructure and Systems Design Experience, Railway Infrastructure Construction Experience, Railway Systems Construction Experience, Rolling Stock Experience and O&M Experience requirements are determined to have individuals with the qualifications and experience set out in Section 3.2.7, then the Prospective Bidder shall be deemed to have met the Technical Qualification Requirements.

(d) A Prospective Bidder can nominate only two (2) entities to meet the Railway

Infrastructure and Systems Design Experience (“RISD Nominee”), two (2) entities to meet the Railway Infrastructure Construction Experience (“RIC Nominee”) and two (2) entities to meet the Railway Systems Construction Experience (“RSC Nominee”). A Prospective Bidder may nominate one (1) entity to meet a combination of any two (2) or all of the Railway Infrastructure and Systems Design Experience, the Railway Infrastructure Construction Experience and the Railway Systems Construction Experience; provided, however, that there shall not be more than two (2) entities nominated to meet each of the Railway Infrastructure and Systems Design Experience, the Railway Infrastructure Construction Experience and the Railway Systems Construction Experience. The following nomination arrangements are permitted:

RISD RIC RSC

Nominee A Nominee B

Nominee C Nominee D

Nominee E Nominee F

RISD RIC RSC

Nominee A Nominee B

Nominee A Nominee C

Nominee A Nominee D

RISD RIC RSC

Nominee A Nominee C

Nominee A Nominee B

Nominee B Nominee C

RISD RIC RSC

Nominee A Nominee B


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A Prospective Bidder can nominate only two (2) entities to meet the Rolling Stock Experience (“RS Nominee”).

(e) To the extent ISO 9001 and 14001 certifications are required by the terms of this Section

3.2 and/or the related annexes, an “equivalent” certification would be a notarized certification from a competent regulatory authority stating that: (i) it is the regulatory authority in the country where the entity proposed to meet the

required experience was registered for creation or recognition of its juridical personality or capacity and it has jurisdiction over such entity;

(ii) the laws in such country do not require entities like the entity proposed to meet the required experience to secure such ISO certifications;

(iii) the entity proposed to meet the required experience is compliant with the relevant policies, procedures and programs required by applicable laws, rules and regulations of such country; and

(iv) the entity proposed to meet the requirement experience has in place internal procedures and processes substantially equivalent to those required under the ISO 9001 and ISO 14001 certifications.

3.2.2 Railway Infrastructure and Systems Design Experience (a) The Prospective Bidder or a related entity, as described below, must have Philippine or

international experience in the design of an elevated metropolitan rail transit system at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per fiscal year, including the railway system composed of the track form, signaling (which should include the provision of automatic train protection, automatic train supervision and automatic train operation technology), traction, telecommunications and control systems that make up a metropolitan passenger rail transit system.

Each Reference Project that is proposed to meet the various components of the Railway Infrastructure and Systems Design Experience must have been completed or implemented within the last fifteen (15) years prior to the Pre-qualification Documents Submission Date.

(b) A Prospective Bidder shall be allowed to nominate not more than two (2) RISD

Nominees. Each RISD Nominee must be:

(i) the Prospective Bidder itself (if the Prospective Bidder is a partnership or corporation); or

(ii) a Consortium Member (if the Prospective Bidder is a Consortium); or (iii) a contractor; or (iv) an Affiliate of (i), (ii) or (iii) above.

The Railway Infrastructure and Systems Design Experience may, but need not be, fulfilled by the same entity that fulfills either the Railway Infrastructure Construction Experience in Section 3.2.3 or the Railway Systems Construction Experience in Section 3.2.4. The Reference Project submitted to demonstrate compliance with the Railway Infrastructure and Systems Design Experience may, but need not be, the same Reference Project submitted to demonstrate compliance with either the Railway


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Infrastructure Construction Experience in Section 3.2.3 or the Railway Systems Construction Experience requirement in Section 3.2.4, as the case may be.

(c) The RISD Nominees must prove that they meet the required experience through the

submission of Reference Projects for which they were entirely responsible for the design of the railway system. Regardless of the specific designation of an entity’s role in the Reference Project, the RISD Nominee must have been the entity controlling the design works and is the entity directly responsible and accountable for the outcome of such design works to the project owner.

If the RISD Nominees only participated in a Reference Project as financial investors (whether through loans or equity), such project will not be considered as evidence of the Railway Infrastructure and Systems Design Experience.

The RISD Nominees should submit a notarized certification indicating fulfillment of this requirement to satisfactorily establish such claim in the form set out in Annex QD-15A.

(d) For the purpose of determining whether the Prospective Bidder fulfills the Railway

Infrastructure and Systems Design Experience, a Reference Project completed by an Affiliate of a Prospective Bidder, Consortium Member or Railway Experience Nominee will be considered as having been completed by that Prospective Bidder, Consortium Member, or Railway Experience Nominee.

(e) The RISD Nominees must certify that they have: (i) a Health and Safety Policy; and (ii)

no Unsatisfactory Performance record. (f) Any RISD Nominee must also possess the following:

(i) a valid ISO 9001 certification or its equivalent; and

(ii) a valid ISO 14001 certification or its equivalent.

For the aforementioned ISO 9001 and 14001 certification requirements, an “equivalent” certification would be a notarized certification from a competent regulatory authority stating that: (aa) it is the regulatory authority in the country where RISD Nominee was registered

for creation or recognition of its juridical personality or capacity and it has jurisdiction over such entity;

(bb) the laws in such country do not require entities like the RISD Nominee to secure such ISO certifications;

(cc) the RISD Nominee is compliant with the relevant policies, procedures and programs required by applicable laws, rules and regulations of such country; and

(dd) the RISD Nominee has in place internal procedures and processes substantially equivalent to those required under the ISO 9001 and ISO 14001 certifications.

(g) Any RISD Nominee must also provide a statement of willingness to participate in and

capacity to undertake the requirements of the Project. After pre-qualifying, the RISD


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Nominees may be asked to reiterate their willingness to participate in and capacity to undertake, the requirements of the Project at the time that Bid Proposals are submitted.

(h) Under the terms of the Concession Agreement, for purposes of designing the Railway

Infrastructure or the Railway System, the Winning Bidder will be required to use only construction contractors which fulfill the requirements in this Section 3.2.2. If the Prospective Bidder proposes a construction contractor to meet the requirements in Section 3.2.2, and these construction contractors are pre-qualified as described in Section 7.1, then the Concession Agreement will identify the pre-qualified construction contractors and the Concessionaire will be allowed to use any of them or an Affiliate without need for further consent from the DOTC. The use of any construction contractors other than these pre-qualified construction contractors or their Affiliates, will require prior written consent of the DOTC and will be subject to the Concessionaire’s demonstration that the proposed construction contractor meets the requirements in this Section 3.2.2.

3.2.3 Railway Infrastructure Construction Experience (a) The Prospective Bidder or a related entity, as described below, must have Philippine or

international experience in successfully completing or implementing the construction and commissioning (together or separately) of one (1) of the following:

(i) an elevated metropolitan passenger rail transit system at least ten (10)

kilometers in length (if applicable); or

(ii) a bridge or viaduct structure at least ten (10) kilometers in length, which structure is not necessarily dedicated to supporting a passenger rail transit system.

Each Reference Project that is proposed to meet the various components of the Railway Infrastructure Construction Experience must have been completed or implemented within the last fifteen (15) years prior to the Pre-qualification Documents Submission Date.

(b) A Prospective Bidder shall be allowed to nominate not more than two (2) RIC Nominees.

Each RIC Nominee must be:


(ii) a Consortium Member (if the Prospective Bidder is a Consortium); or (iii) a contractor; or (iv) an Affiliate of (i), (ii) or (iii).

The Railway Infrastructure Construction Experience may, but need not be, fulfilled by the same entity that fulfills either the Railway Infrastructure and Systems Design Experience in Section 3.2.2 or the Railway Systems Construction Experience in Section 3.2.4. The Reference Project submitted to demonstrate compliance with the Railway Infrastructure Construction Experience may, but need not be, the same Reference Project submitted to demonstrate compliance with either the Railway Infrastructure and


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Systems Design Experience in Section 3.2.2 or the Railway Systems Construction Experience in Section 3.2.4, as the case may be.

(c) The RIC Nominees must prove that they meet the required experience through the

submission of Reference Projects where they actively participated in the construction works for such Reference Project, whether as principal or primary contractors or as lead construction managers. Regardless of the specific designation of an entity’s role in the Reference Project, the RIC Nominee must have been the entity controlling the construction works and is the entity directly responsible and accountable for the outcome of such construction works to the project owner.

If the RIC Nominees only participated in a Reference Project as sub-contractors or as financial investors (whether through loans or equity), such project will not be considered as evidence of the required construction experience.

The RIC Nominees should submit a notarized certification indicating fulfillment of this requirement to satisfactorily establish such claim in the form set out in Annex QD-15B.

(d) For the purpose of determining whether the Prospective Bidder fulfills the Railway

Infrastructure Construction Experience, a Reference Project completed by an Affiliate of a Prospective Bidder, Consortium Member or Railway Experience Nominee will be considered as having been completed by that Prospective Bidder, Consortium Member or Railway Experience Nominee.

(e) The RIC Nominees must certify that they have: (i) a Health and Safety Policy; and (ii)

no Unsatisfactory Performance record. (f) Any RIC Nominee must also possess the following:

(i) a valid license issued by the PCAB for Large B Classification/License Category AAA, in the case of a Filipino construction contractor, or by an equivalent accreditation institution in the construction contractor’s country of origin, in the case of a foreign construction contractor, provided that such foreign construction contractor must secure a license and accreditation from the PCAB after the Bidder is awarded the Project;

(ii) a valid ISO 9001 certification or its equivalent; and

(iii) a valid ISO 14001 certification or its equivalent.

For the aforementioned ISO 9001 and 14001 certification requirements, an “equivalent” certification would be a notarized certification from a competent regulatory authority stating that: (aa) it is the regulatory authority in the country where the RIC Nominee was

registered for creation or recognition of its juridical personality or capacity and it has jurisdiction over such entity;

(bb) the laws in such country do not require entities like the RIC Nominee to secure such ISO certifications;


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(cc) the RIC Nominee is compliant with the relevant policies, procedures and programs required by applicable laws, rules and regulations of such country; and

(dd) the RIC Nominee has in place internal procedures and processes substantially equivalent to those required under the ISO 9001 and ISO 14001 certifications.

(g) Any RIC Nominee must also provide a statement of willingness to participate in and

capacity to undertake the requirements of the Project. After pre-qualifying, the RIC Nominees may be asked to reiterate their willingness to participate in and capacity to undertake, the requirements of the Project at the time that Bid Proposals are submitted.

(h) Under the terms of the Concession Agreement, for purposes of constructing the Railway

Infrastructure, the Winning Bidder will be required to use only construction contractors which fulfill the requirements in this Section 3.2.3. If the Prospective Bidder proposes a construction contractor to meet the requirements in this Section 3.2.3, and these construction contractors are pre-qualified as described in Section 7.1, then the Concession Agreement will identify the pre-qualified construction contractors and the Concessionaire will be allowed to use any of them or an Affiliate without need for further consent from the DOTC. The use of any construction contractors other than these pre-qualified construction contractors or their Affiliates, will require prior written consent of the DOTC and will be subject to the Concessionaire’s demonstration that the proposed construction contractor meets the requirements in this Section 3.2.3.

3.2.4 Railway Systems Construction Experience (a) The Prospective Bidder or a related entity, as described below, must have Philippine or

international experience in successfully completing or implementing the delivery, installation and commissioning of a metropolitan passenger rail transit system composed of the track form, signaling (including the provision of automatic train protection, automatic train supervision and automatic train operation technology), traction, telecommunications and control systems that make up a metropolitan passenger rail transit system. Such railway system should be for a metropolitan passenger rail transit system at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per fiscal year implemented within the last fifteen (15) years prior to the Pre-qualification Documents Submission Date.

(b) The RSC Nominees may propose different Reference Projects to demonstrate its

experience in successfully completing or implementing the delivery, installation, and commissioning of the different components that make up a metropolitan passenger rail transit system, as required above, namely:

(i) track form; (ii) signaling (including automatic train protection, automatic train supervision and

automatic train operation technology); (iii) traction; and (iv) telecommunications and control systems.

Accordingly, the RSC Nominees may propose: (aa) one (1) Reference Project demonstrating experience in the delivery, installation and commissioning of all of the


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components enumerated above; or (bb) two (2) or more Reference Projects, with one (1) (or more) of such Reference Projects demonstrating such experience in one (1) (or more) of the components enumerated above and the other Reference Projects establishing such experience in those components not represented in the other projects submitted for consideration.

(c) Each Reference Project that is proposed to meet the various components of the Railway

Systems Construction Experience must be for:

(i) a passenger rail transit system at least ten (10) kilometers in length; (ii) capable of transporting at least twenty five (25) million passengers per fiscal

year; and (iii) completed or implemented within the last fifteen (15) years prior to the Pre-

qualification Documents Submission Date. (d) The RSC Nominees must prove that they meet the required experience through the

submission of Reference Projects where they actively participated in the construction works for such Reference Project, whether as principal or primary contractors or as lead construction managers. Regardless of such specific designation of an entity’s role in the Reference Project, the RSC Nominee must have been the entity controlling the construction works and is the entity directly responsible and accountable for the outcome of such construction works to the project owner.

If the RSC Nominees only participated in a Reference Project as sub-contractors or as financial investors (whether through loans or equity), such project will not be considered as evidence of the required construction experience.

The RSC Nominees should submit a notarized certification indicating fulfillment of this requirement to satisfactorily establish such claim in the form set out in Annex QD-15C.

(e) A Prospective Bidder shall be allowed to nominate not more than two (2) RSC

Nominees. Each RSC Nominee must be:



(f) For the purpose of determining whether the Prospective Bidder fulfills the Railway

Systems Construction Experience requirement, a Reference Project completed by an Affiliate of a Prospective Bidder, Consortium Member or Railway Experience Nominee will be considered as having been completed by that Prospective Bidder, Consortium Member or Railway Experience Nominee.

(g) The Railway Systems Construction Experience requirement may, but need not be,

fulfilled by the same entity that fulfills either the Railway Infrastructure and Systems Design Experience in Section 3.2.2 or the Railway Infrastructure Construction Experience requirement in Section 3.2.3. The Reference Project submitted to


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demonstrate compliance with the Railway Systems Construction Experience requirement may, but need not be, the same Reference Project submitted to demonstrate compliance with either the Railway Infrastructure and Systems Design Experience in Section 3.2.2 or the Railway Infrastructure Construction Experience requirement in Section 3.2.3.

(h) The RSC Nominees must certify that they have: (a) a Health and Safety Policy; and (b)

no Unsatisfactory Performance record. (i) Any RSC Nominee must possess the following in its own name:

(i) a valid ISO 9001 certification or its equivalent; and (ii) a valid ISO 14001 certification or its equivalent.

For the aforementioned ISO 9001 and 14001 certification requirements, an “equivalent” certification would be a notarized certification from a competent regulatory authority stating that: (aa) it is the regulatory authority in the country where the RSC Nominee was


(bb) the laws in such country do not require entities like the RSC Nominee to secure such ISO certifications;

(cc) the RSC Nominee is compliant with the relevant policies, procedures and programs required by applicable laws, rules and regulations of such country; and

(dd) the RSC Nominee has in place internal procedures and processes substantially equivalent to those required under the ISO 9001 and ISO 14001 certifications.

(j) Any RSC Nominee must also provide a statement of willingness to participate in and

capacity to undertake the requirements of the Project. After pre-qualifying, the RSC Nominees may be asked to reiterate their willingness to participate in and capacity to undertake, the requirements of the Project at the time that Bid Proposals are submitted.

(k) Under the terms of the Concession Agreement, for purposes of constructing the Railway

System, the Winning Bidder will be required to use only construction contractors which fulfill the requirements in this Section 3.2.4. If the Prospective Bidder proposes a construction contractor to meet the requirements in Section 3.2.4 and these construction contractors are pre-qualified as described in Section 7.1, then the Concession Agreement will identify the pre-qualified construction contractors and the Concessionaire will be allowed to use any of them or any Affiliate of such pre-qualified construction contractors without need for further consent from the DOTC. The use of any construction contractors other than these pre-qualified construction contractors or their Affiliates will require prior written consent of the DOTC and will be subject to the Concessionaire’s demonstration that the proposed construction contractor meets the requirements in this Section 3.2.4.


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3.2.5 Rolling Stock Experience (a) The Prospective Bidder or a related entity, as described below, must have Philippine or

international experience in successfully manufacturing and delivering rolling stock (the “Rolling Stock Experience”).

(b) The RS Nominee must have been in existence for at least ten (10) consecutive years,

prior to the Pre-qualification Documents Submission Date and should have manufactured and delivered at least one hundred (100) passenger rail cars in the last ten (10) years prior to the Pre-qualification Documents Submission Date, of which at least fifty (50) cars should have been delivered and commissioned in the last five (5) years prior to the Pre-qualification Documents Submission Date. The specified number of rail cars need not have been from a single project or contract.

(c) The Prospective Bidder shall be allowed to nominate not more than two (2) RS

Nominees. Each RS Nominee must be:



For the purpose of determining whether the Prospective Bidder fulfills the Rolling Stock Experience requirement, a Reference Project completed by an Affiliate of a Prospective Bidder, Consortium Member or Railway Experience Nominee will be considered as having been completed by that Prospective Bidder, Consortium Member or Railway Experience Nominee.

(d) The RS Nominees must prove that they meet the required experience through the

submission of Reference Projects in which they were the entity controlling the design, engineering, manufacture and delivery of the rolling stock and the entity directly responsible and accountable for the outcome of such work.

If the RS Nominees only participated in a Reference Project as sub-contractors or as

financial investors (whether through loans or equity), such project will not be considered as evidence of the required construction experience.

The RS Nominees should submit a notarized certification indicating fulfillment of this requirement to satisfactorily establish such claim in the form set out in Annex QD-15D.

(e) Any RS Nominee must also possess the following:

(i) a Health and Safety Policy; (ii) no Unsatisfactory Performance record; and (ii) a valid ISO 9001 certification or its equivalent.


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For the aforementioned ISO 9001 certification requirement, an “equivalent” certification would be a notarized certification from a competent regulatory authority stating that: (aa) it is the regulatory authority in the country where the RS Nominee was


(bb) the laws in such country do not require entities like the RS Nominee to secure such an ISO certification;

(cc) the RS Nominee is compliant with the relevant policies, procedures and programs required by applicable laws, rules and regulations of such country; and

(dd) the RS Nominee has in place internal procedures and processes substantially equivalent to those required under the ISO 9001 certification.

(f) Any RS Nominee must also provide a statement of willingness to participate in and

capacity to undertake the requirements of the Project. After pre-qualifying, the RS Nominees may be asked to reiterate their willingness to participate in and capacity to undertake, the requirements of the Project at the time that Bid Proposals are submitted.

(g) If at least one (1) of the Prospective Bidder’s RS Nominees is pre-qualified, the

Prospective Bidder shall be deemed to have met the Rolling Stock Experience. (h) Under the terms of the Concession Agreement, for purposes of procurement of the

Rolling Stock, the Winning Bidder will be required to use only a contractor which fulfills the requirements in this Section 3.2.5. If the Prospective Bidder proposes contractors to meet the requirements in this Section 3.2.5 and these contractors are pre-qualified as described in Section 7.1, then the Concession Agreement will identify the pre-qualified contractors and the Concessionaire will be allowed to use any of them or any Affiliate of such pre-qualified contractors without need for further consent from the DOTC. The use of any contractors other than these pre-qualified construction contractors or their Affiliates will require prior written consent of the DOTC and will be subject to the Concessionaire’s demonstration that the proposed contractor meets the requirements in this Section 3.2.5.

3.2.6 Operations and Maintenance Experience (a) The Prospective Bidder or a related entity, as described below, must have Philippine or

international experience in all of the following:

(i) Operation of a metropolitan passenger rail transit system which is capable of transporting at least twenty five (25) million passengers and has actually transported at least fifteen (15) million passengers per fiscal year for a period of at least three (3) full consecutive fiscal years within the last five (5) years prior to the Pre-qualification Documents Submission Date;

(ii) Maintenance of a metropolitan passenger rail transit system which has achieved

a minimum of one (1) million train kilometers per fiscal year for a period of at least three (3) full consecutive fiscal years within the last five (5) years prior to the Pre-qualification Documents Submission Date, provided that if it can be


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proven that the entity proposed to meet the O&M Experience was fully responsible for the maintenance of a metropolitan passenger rail transit system meeting the specifications prescribed in this paragraph, even if it was not directly performing the maintenance itself, such entity shall be deemed to possess the maintenance experience required under this paragraph; and

(iii) Management of or active participation in the commissioning process for a

metropolitan passenger rail transit system which is capable of transporting at least twenty five (25) million passengers and has actually transported at least fifteen (15) million passengers per fiscal year, for a period of at least three (3) full consecutive fiscal years or a section of such system, within the last fifteen (15) years prior to the Pre-qualification Documents Submission Date.

(b) The experience enumerated in the preceding paragraph (a) may be fulfilled by a single

Reference Project. Alternatively, one (1) Reference Project may be proposed to meet the O&M Experience required in paragraphs (a)(i) and (a)(ii) above respectively, and another Reference Project may be proposed to meet the commissioning experience required under paragraph (a)(iii).

(c) The entity proposed to meet the O&M Experience must be:

(i) the Prospective Bidder; or (ii) a Consortium Member holding at least twenty percent (20%) of the interest in

the Consortium. (d) The Prospective Bidder shall only be allowed to propose one (1) entity to meet the

O&M Experience requirement. (e) For purposes of determining whether the Prospective Bidder fulfills the O&M

Experience requirement, a Reference Project operated and maintained by an Affiliate of a Prospective Bidder or Consortium Member will be considered as having been or being operated and maintained by that Prospective Bidder or Consortium Member.

(f) The entity proposed to meet the O&M Experience shall be required to hold at least

twenty percent (20%) of the capital of the Concessionaire if the Concessionaire shall undertake the O&M of the Project.

(g) If a Facility Operator shall be designated to operate and maintain the Project, (i) the

Concessionaire shall be required to hold at least twenty percent (20%) of the capital of the Facility Operator; and (ii) the entity proposed to meet the O&M Experience shall be required to hold at least twenty percent (20%) of the capital of the Facility Operator. The Facility Operator must be a corporation organized under Philippine laws and at least sixty percent (60%) of its capital must be owned by Philippine citizens.

(h) The entity proposed to fulfill the O&M Experience requirement:

(i) must certify that it has no Unsatisfactory Performance record; (ii) must possess the following certifications:

(aa) a valid ISO 9001 certification or its equivalent; and (bb) a valid ISO 14001 certification or its equivalent; and


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(iii) must submit the following documents for the project/s proposed to meet this requirement: (aa) a Safety Case Manual; (bb) a Safety Management System Manual; (cc) Annual Operation and Maintenance Performance Reports for the last

three (3) years prior to the Pre-qualification Documents Submission Date;

(dd) Annual Audited Safety Reports for the last three (3) years prior to the Pre-qualification Documents Submission Date; and

(ee) Annual Audited Financial Reports for the last three (3) years prior to the Pre-qualification Documents Submission Date.

(i) The entities proposed to meet the O&M Experience must prove that they meet the

required experience through the submission of projects in which they were responsible for the services described in Section 3.2.6(a) above.

The entity whose O&M Experience is being submitted in fulfillment of this requirement should submit a notarized certification indicating fulfillment of this requirement to satisfactorily establish such claim in the form set out in Annex QD-15E.

(j) For the aforementioned ISO 9001 and 14001 certification requirements, an “equivalent”

certification would be a notarized certification from a competent regulatory authority stating that:

(i) it is the regulatory authority in the country where the entity proposed to meet the

required experience was registered for creation or recognition of its juridical personality or capacity and it has jurisdiction over such entity;

(ii) the laws in such country do not require entities like the entity proposed to meet the required experience to secure such ISO certifications;

(iii) the entity proposed to meet the required experience is compliant with the relevant policies, procedures and programs required by applicable laws, rules and regulations of such country; and

(iv) the entity proposed to meet the requirement experience has in place internal procedures and processes substantially equivalent to those required under the ISO 9001 and ISO 14001 certifications.

3.2.7 Qualified Key Personnel (a) The Prospective Bidder, Consortium Members, Railway Experience Nominees, and

any Affiliates of these entities whose projects are being submitted in fulfillment of the Railway Infrastructure and Systems Design Experience, Railway Infrastructure Construction Experience, Railway Systems Construction Experience, Rolling Stock Experience and O&M Experience requirements, must have, among their personnel individuals with the following required qualifications and experience:


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Personnel Category

Minimum Experience & Qualification Required Minimum Number of

Years Of

Experience

1.Railway Infrastructure Design and Construction

Experience: Local or international experience of successfully completing or implementing the design, construction, installation, and commissioning of a metropolitan passenger rail transit infrastructure on at least three projects of at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per year. Qualification: Relevant bachelor or under-graduate university degree in engineering and master or post-graduate university degree and recognized professional affiliation, certification or license in engineering, and/or management. Registered professional engineer designation is required.

Fifteen (15)

years

2.Railway Systems Design and Construction

Experience: Local or international experience of successfully completing or implementing the design, construction, installation, and commissioning of railway systems for at least three metropolitan passenger rail transit projects of at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per year. Qualification: Relevant bachelor or under-graduate university degree in engineering and master or post-graduate university degree and recognized professional affiliation, certification or license in engineering, and/or management. Registered professional engineer designation is required.

Fifteen (15)

years

3.Operations and Maintenance

Experience: Local or international experience of supervising and managing operations and maintenance of a metropolitan passenger rail transit system which actually transported at least fifteen (15) million passengers per year on at least three (3) projects. Qualification: Relevant university degree and recognized professional affiliation, certification or license in civil engineering or in railway operations and maintenance.

Fifteen (15)

years

4.Rolling Stock Procurement

Experience: Local or international experience of planning, coordination, supervision and project management of procurement, installation, testing and commissioning of rolling stock for a passenger rail transit system capable of transporting at least twenty five (25) million passengers per year on at least three (3) projects.

Fifteen (15)

years


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Personnel Category

Minimum Experience & Qualification Required Minimum Number of

Years Of

Experience

Qualification: Relevant university degree and recognized professional affiliation, certification or license in civil engineering or in railway operations and maintenance.

5.Financial Management

Experience: Local or international experience of financial management of either construction of a similar metropolitan rail transit system or financial management of an operational metropolitan passenger rail transit system capable of transporting at least twenty five (25) million passengers per fiscal year on at least three (3) projects. Qualification: Relevant university degree and/or recognized professional affiliation, certification or license in accounting, finance or management.

Fifteen (15)

years

(b) In order to meet the qualifications and experience required in clause (a) above, a

Prospective Bidder may propose for each personnel category at least one (1) but not more than three (3) persons who are employed or engaged, including external experts, by the Prospective Bidder itself, a Consortium Member or any of their proposed Rail Experience Nominees or Affiliates.

(c) In the event that it is selected as the Winning Bidder, a Prospective Bidder must

undertake to assign these key personnel to implement the Project. In case any of these key personnel is no longer available or no longer connected with the Prospective Bidder at the time of implementation by the Winning Bidder of the Project, they may be replaced or substituted by new personnel possessing at least the same qualifications as those of the key personnel initially assigned to implement the Project subject to the prior consent of the DOTC, which consent shall not be unreasonably withheld.

3.3 Financial Capability Qualification Requirements (a) To qualify to bid for the Project, the Prospective Bidder or a related entity, as described

below, must meet the following Financial Capability Requirements:

(i) have a net worth of at least Twelve Billion Philippine Pesos (PhP 12,000,000,000.00) or its equivalent as of its latest Audited Financial Statements, which must be dated not earlier than 31 December 2014; and

(ii) provide evidence that it has the capability to raise loans of at least Twenty Billion

Philippine Pesos (PhP 20,000,000,000.00) for the Project. (b) The entity which fulfills this requirement must be:

(i) if the Prospective Bidder is a partnership or corporation:


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(aa) the Prospective Bidder itself; or (bb) an Affiliate of the Prospective Bidder; and

(ii) if the Prospective Bidder is a Consortium:

(aa) the Lead Member of the Consortium; or (bb) an Affiliate of the Lead Member of the Consortium.

(c) The Lead Member of the Consortium must be the Consortium Member with the largest

proposed equity interest in the Consortium, and this interest must be at least thirty three and one third percent (33 1/3%).

(d) A single entity, whether the Prospective Bidder, Lead Member, or an Affiliate of either,

must meet all of the Financial Capability Requirements. For example: either the Prospective Bidder or its Affiliate, or the Lead Member or its Affiliate must, by itself and not along with any other entity, fulfill all of the Financial Capability Requirements in this Section 3.3.

(e) Entities which are proposed to meet the Financial Capability Qualification Requirement

must also submit a Certification of Absence of Unsatisfactory Performance Record, but only in relation to the last two paragraphs of the definition of “Unsatisfactory Performance” which deal with:

(i) inclusion in a blacklist issued by any governmental agency of the Philippines or

in the debarred and cross-debarred firms and individuals list of any major financial institution, whether as an individual contractor, partnership or corporation or as a member of a joint venture or consortium; and

(ii) involvement in any Corrupt, Fraudulent, Coercive, Undesirable or Restrictive

Practices or having Conflicts of Interest.

Section 4 PRE-QUALIFICATION DOCUMENTS On the Pre-qualification Documents Submission Date, the Prospective Bidder must submit its application to pre-qualify and bid. The application to pre-qualify and bid consists of the following Pre-qualification Documents, using the relevant forms in the Annexes. (a) Business Structure - using the form in Annex QD-1A for partnerships or corporations,

or Annex QD-1B for Consortiums.

(i) For Consortia, this document must show the Lead Member and all Consortium Members and the proposed equity interest of each Consortium Member, with the total percentage interest of all Consortium Members being one hundred percent (100%).

(ii) The Business Structure must also indicate the entities which fulfill the Technical

Qualification Requirements and Financial Capability Qualification Requirements in the relevant provisions of Section 3 and any Affiliates of these


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entities whose projects, experience, or financial capability are being submitted to comply with the Pre-qualification Requirements.

(iii) If an Affiliate will be used to comply with any of the Technical Qualification

Requirements or the Financial Capability Qualification Requirements, evidence of affiliation must be submitted. A copy of the latest GIS evidencing affiliation, as described in the definition of “Affiliate”, stamped “received” by the SEC and certified as a true and faithful reproduction by the Corporate Secretary of the relevant entity would be accepted as evidence of affiliation. For foreign entities, if the equivalent document of the GIS does not contain information on the affiliation between an entity and its Affiliate, such foreign entity can submit, together with the equivalent document of the GIS, a notarized certification from its Auditor setting out the affiliation between such entity and its Affiliate in the form set out in Annex QD-16.

(b) Basic Information Sheet - using the form in Annex QD-2.

(i) The Basic Information Sheet must be submitted by all entities identified in all sections of the Business Structure (Annex QD-1A or QD-1B).

(ii) Required attachments for each entity in the Business Structure:

(1) Certified true copy of its latest GIS, stamped “received” by the SEC or

for a foreign entity, the equivalent document submitted to and acknowledged by the appropriate government agency equivalent to the SEC in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The certification may come from either the SEC or its equivalent in a foreign country or the entity’s corporate secretary. If it comes from the entity’s corporate secretary, the certification must be under oath and notarized. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue. Further, if the foreign country does not require an equivalent document of the GIS, a notarized certification setting out the same or similar information executed by the corporate secretary of the foreign entity will suffice.

(2) Certified true copy of the SEC COI or for a foreign entity, the equivalent

document submitted to and acknowledged by the appropriate government agency equivalent to the SEC in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The SEC COI or the equivalent document for a foreign entity, must be certified by the SEC or its equivalent in a foreign country. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue.

(3) Certified true copy of the latest Articles of Incorporation or for a foreign

entity, the equivalent document submitted to and acknowledged by the appropriate government agency equivalent to the SEC in the foreign


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country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The Articles of Incorporation may be certified either by the SEC or its equivalent in a foreign country or by the entity’s corporate secretary. All certifications by the entity’s corporate secretary must be under oath and notarized. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue.

(4) Certified true copy of the latest By-Laws or for a foreign entity, the

equivalent document submitted to and acknowledged by the appropriate government agency equivalent to the SEC in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The By-Laws may be certified either by the SEC or its equivalent in a foreign country or by the entity’s corporate secretary. All certifications by the entity’s corporate secretary must be under oath and notarized. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue.

For the foregoing documents, if the appropriate government agency equivalent to the SEC in the foreign country does not stamp “received” or acknowledge the said documents, the entity’s corporate secretary may attest to such fact in a notarized certification.

If the jurisdiction where the foreign entity is incorporated or registered does not require or accept the filing of the equivalent of the Philippines’ GIS, COI, Articles of Incorporation and By-Laws, the PBAC will accept a certification by the authorized representative of the foreign entity attesting that there is no equivalent document of the GIS, COI, Articles of Incorporation and By-laws and providing similar information required to be indicated in these SEC documents. Such document need not be submitted to and acknowledged by a government agency of the foreign jurisdiction and is only required to be certified by the authorized representative of the foreign entity (which authorized representative may include such entity’s corporate secretary) under oath and notarized and thereafter authenticated by a Philippine consular or embassy official.

(c) Notarized Certification of Absence of Unsatisfactory Performance Record, using the

form in Annex QD-3A or Annex QD-3B, as the case may be. The Notarized Certification of Absence of Unsatisfactory Performance Record must be submitted by all entities listed in all sections of the Business Structure (Annex QD-1A or QD-1B).

(d) Railway Infrastructure and Systems Design Experience, using the form in Annex QD-

4.

(i) To be submitted by the entity or entities which fulfill the Railway Infrastructure and Systems Design Experience in Section 3.2.2, as identified in the Business Structure (Annex QD-1A or QD-1B), item 3.


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(ii) For each entity required to submit this document, the following attachments must also be submitted:

(aa) Notarized certificate of project completion from an Authorized Issuer in

the form set out in Annex QD-15A or the original certificate of project completion or a copy thereof accompanied by a notarized certification issued by an officer of the RISD Nominee that such copy is a true and faithful reproduction of the original certificate or a statement by the respective railway authority that the Reference Project has been completed and is operational.

(bb) If the Reference Project submitted to establish compliance with the

Railway Infrastructure and Systems Design Experience was completed by an Affiliate of the RISD Nominee, evidence of such affiliation in the form set out in Annex QD-16.

(cc) Certified true copy of a valid ISO 9001 certification or its equivalent, or

in lieu thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the RISD Nominee that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent.

(dd) Certified true copy of a valid ISO 14001 certification or its equivalent, or

in lieu thereof, a copy of the ISO 14001 certification accompanied by a notarized certification issued by an officer of the RISD Nominee that such copy is a true and faithful reproduction of the original ISO 14001 certification or its equivalent.

(ee) Notarized Certification of Presence of a Health and Safety Policy, using

the form in Annex QD-9.

(ff) Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project, using the form in Annex QD-10.

(e) Railway Infrastructure Construction Experience, using the form in Annex QD-5.

(i) To be submitted by the entity or entities which fulfill the Railway Infrastructure Construction Experience in Section 3.2.3, as identified in the Business Structure (Annex QD-1A or QD-1B), item 5.

(ii) For each RIC Nominee, the following attachments must also be submitted:


the form set out in Annex QD-15B or the original certificate of project completion or a copy thereof accompanied by a notarized certification issued by an officer of the RIC Nominee that such copy is a true and faithful reproduction of the original certificate, or a statement by the respective railway authority that the Reference Project has been completed and is operational.


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(bb) If the Reference Project submitted to establish compliance with the

Railway Infrastructure Construction Experience was completed by an Affiliate of the RIC Nominee, evidence of such affiliation in the form set out in Annex QD-16.

(cc) Certified true copy of a valid license issued by the PCAB for Large B

Classification/License Category AAA, in the case of a Filipino construction contractor or an equivalent license issued by an equivalent accreditation institution in the construction contractor’s country of origin, in the case of a foreign construction contractor, provided that such foreign construction contractor must secure a license and accreditation from the PCAB after the Bidder is awarded the Project. The certified true copy of the PCAB license or the equivalent license must be issued by the PCAB or by the equivalent accreditation institution, respectively.

(dd) Certified true copy of a valid ISO 9001 certification or its equivalent or

in lieu thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the RIC Nominee that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent.

(ee) Certified true copy of a valid ISO 14001 certification or its equivalent or

in lieu thereof, a copy of the ISO 14001 certification accompanied by a notarized certification issued by an officer of the RIC Nominee that such copy is a true and faithful reproduction of the original ISO 14001 certification or its equivalent.

(ff) Certification of Presence of a Health and Safety Policy, using the form in

Annex QD-9.

(gg) Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project, using the form in Annex QD-10.

(f) Railway Systems Construction Experience, using the form in Annex QD-6.

(i) This must be submitted by the entity or entities which fulfill the Railway Systems Construction Experience in Section 3.2.4, as identified in the Business Structure (Annex QD-1A or QD-1B), item 7.

(ii) The entities required to submit this document must attach the following:


the form set out in Annex QD-15C or the original certificate of project completion or a copy thereof accompanied by a notarized certification issued by an officer of the RSC Nominee that such copy is a true and faithful reproduction of the original certificate or a statement by the respective railway authority that the Reference Project has been completed and is operational.


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(bb) If the project was completed by an Affiliate of the RSC Nominee,

evidence of such affiliation in the form set out in Annex QD-16.

(cc) Certified true copy of a valid ISO 9001 certification or its equivalent, or in lieu thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the RSC Nominee that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent (accompanied by a written explanation of why it is considered an equivalent to an ISO 9001 certification); and

(dd) Certified true copy of a valid ISO 14001 certification or its equivalent, or

in lieu thereof, a copy of the ISO 14001 certification accompanied by a notarized certification issued by an officer of the RSC Nominee that such copy is a true and faithful reproduction of the original ISO 14001 certification or its equivalent (accompanied by a written explanation of why it is considered an equivalent to an ISO 14001 certification).

(ee) Notarized Certification of Presence of a Health and Safety Policy, using

the form in Annex QD-9.

(ff) Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project, using the form in Annex QD-10.

(g) Rolling Stock Experience, using the form in Annex QD-7.

(i) This must be submitted by the entity or entities which fulfill the Rolling Stock Experience in Section 3.2.5, as identified in the Business Structure (Annex QD-1A or QD-1B), item 9.

(ii) The RS Nominee must attach the following:


the form set out in Annex QD-15D or the original certificate of project completion or a copy thereof accompanied by a notarized certification issued by an officer of the RS Nominee that such copy is a true and faithful reproduction of the original certificate or a statement by the respective railway authority that the Reference Project has been completed and is operational.

(bb) If the project was completed by an Affiliate of the RS Nominee, evidence

of such affiliation in the form set out in Annex QD-16.

(cc) Certified true copy of a valid ISO 9001 certification or its equivalent, or in lieu thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the RS Nominee that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent.


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(dd) Notarized Certification of Presence of a Health and Safety Policy, using the form in Annex QD-9.

(ee) Notarized Statement of Willingness to Participate In and Capacity to

Undertake the Requirements of the Project – using the form in Annex QD-10.

(h) O&M Experience, using the form in Annex QD-8.

(i) To be submitted by the entity which fulfills the O&M Experience requirement in Section 3.2.6, as identified in the Business Structure (Annex QD-1A or QD-1B), item 11.

(ii) Required attachments:

(aa) notarized certificate for O&M Experience from an Authorized Issuer in

the form set out in Annex QD-15E or a copy of the original certificate that the Reference Project is ongoing or in operation accompanied by a notarized certification issued by an officer of the entity which fulfills the O&M Experience that such copy is a true and faithful reproduction of the original certificate;

(bb) if the project was completed by an Affiliate of the entity which fulfills

the O&M Experience requirement, evidence of such affiliation in the form set out in Annex QD-16;

(cc) certified true copy of a valid ISO 9001 certification or its equivalent or

in lieu thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the entity required to submit this document that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent;

(dd) certified true copy of a valid ISO 14001 certification or its equivalent or

in lieu thereof, a copy of the ISO 14001 certification accompanied by a notarized certification issued by an officer of the entity required to submit this document that such copy is a true and faithful reproduction of the original ISO 14001 certification or its equivalent;

(ee) certified true copy of a Safety Case Manual;

(ff) certified true copy of a Safety Management System Manual;

(gg) certified true copy of Annual Operation and Maintenance Performance

Reports for the last three (3) years prior to the Pre-qualification Documents Submission Date;

(hh) certified true copy of Annual Audited Safety Reports for the last three (3)

years prior to the Pre-qualification Documents Submission Date; and


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(ii) certified true copy of Annual Audited Financial Reports for the last three (3) years prior to the Pre-qualification Documents Submission Date.

The certifications required for those documents identified in items (ee) to (ii) above may be made by an authorized representative of the entity proposed to meet the O&M Experience.

(i) Key Personnel, using the form in Annex QD-11. This is a list of the key personnel who

will fulfill the requirement of Section 3.2.7 of these ITPB. Not more than three (3) names may be submitted for each personnel category.

(j) Notarized Statement of Financial Capability, using the form in Annex QD-12.

(i) This must be submitted by the entity which fulfills the Financial Capability Qualification Requirements in Section 3.3 as identified in the Business Structure (Annex QD-1A or Annex QD-1B), item 13.

(ii) This document must be submitted together with the following required

attachments:

(aa) Certified true copy of Audited Financial Statements dated not earlier than 31 December 2014, stamped “received” by the BIR or for foreign entities, the appropriate government agency equivalent to the BIR in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The certification may be issued by an officer of, or auditor engaged by, the entity proposed to meet the Financial Capability Qualification Requirements, in which case the certification must be under oath and notarized.

(bb) Certified true copy of Annual Income Tax Return for the taxable year

ending in 2014 (BIR Form 1702), stamped “received” by the BIR, or for foreign entities, the appropriate government agency equivalent to the BIR in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The Annual Income Tax Return must be certified by the entity’s corporate secretary. All certifications by the entity’s corporate secretary must be under oath and notarized. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue.

(cc) Letter(s) from the Prospective Bidder or Lead Member’s potential

lenders expressing their willingness to lend it or the Project SPC at least Twenty Billion Philippine Pesos (PhP 20,000,000,000.00). This amount can be reduced by the excess of the Prospective Bidder’s or related entity’s net worth over Twelve Billion Philippine Pesos (PhP 12,000,000,000.00). Such a letter or letters should come from financial institutions licensed to lend money in the country where it is registered for recognition or creation of its juridical personality or capacity (for entities incorporated in the Philippines, this must come from a financial institution licensed by the Bangko Sentral ng Pilipinas).


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(dd) If the Prospective Bidder will use an Affiliate or Affiliate of the Lead

Member to comply with the Financial Qualification Requirements in Section 3.3 of this ITPB, attach evidence of such affiliation in the form set out in Annex QD-16.

(k) Notarized Application to Pre-qualify to Bid, using the form of Annex QD-13.

This document must be submitted by the Prospective Bidder or if the Prospective Bidder is a Consortium, the authorized representative of the Consortium as designated in the form in Annex QD-14B.

(l) Authority to Apply to Pre-qualify and Designation of Authorized Representative

(i) For Partnerships or Corporations: Notarized Authority to Apply to Pre-qualify and Designation of Authorized Representative, using the form in Annex QD-14A. This must be submitted by the Prospective Bidder.

(ii) For Consortiums: Consortium Member’s Notarized Authority to Participate in

Consortium and Apply to Pre-qualify and Designation of Lead Member and Authorized Representative of Consortium, using the form in Annex QD-14B. This document must be submitted by each Consortium Member.

Section 5 CROSS-MEMBERSHIP AND OTHER RESTRICTIONS 5.1 One Prospective Bidder, One Submission Each Prospective Bidder may submit only one (1) Application to Pre-qualify and Bid. 5.2 No Cross-Membership in Different Consortia A Prospective Bidder may not be a member of another Consortium, nor have an Affiliate which is a member of another Consortium. A Prospective Bidder, Consortium Member, or an Affiliate of any Prospective Bidder or Consortium Member may not be proposed as a Railway Experience Nominee or O&M Experience Nominee of another Prospective Bidder. No Consortium Member may be a member of more than one (1) Consortium, nor have an Affiliate which is a member of another Consortium. 5.3 Cross-Ownership and Affiliate Restrictions To ensure a level playing field and a competitive Bidding Process, there are restrictions on the extent of affiliation and ownership between Prospective Bidders and members of different Consortia. These are described in greater detail in Section 7.4. These restrictions, however, do not cover or limit the participation of Railway Experience Nominees in more than one (1) application to pre-qualify to bid provided such contractors are not (i) Prospective Bidders; (ii) Consortium Members or (ii) Affiliates of any Prospective Bidders or Consortium Members.


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Section 6 SUBMISSION OF PRE-QUALIFICATION DOCUMENTS 6.1 Format of Pre-qualification Documents (a) Each page of each Pre-qualification Document, including any required attachments,

shall be initialed on the right margin by the Prospective Bidder’s authorized representative as identified in the form in Annex QD-14A or QD-14B.

(b) Pre-qualification Documents must be printed either in standard A4 or letter size (8 ½”

x 11”) paper and bound together in ring binders or folders of appropriate size. Documents must be paginated and the text must be at least of font size 12.

(c) Prospective Bidders shall submit the Pre-qualification Documents in the following form:

● one (1) complete original set, clearly marked on each page as “ORIGINAL”;

● five (5) photocopies, clearly marked on each page as “COPY NO. __”; and

● five (5) readable flash drives or flash disks, each containing electronic files of all of the Pre-qualification Documents in both Portable Document Format (.pdf) and Microsoft Word (.doc) formats, and electronic files of all of the attachments of each Pre-qualification Document in Portable Document Format (.pdf). Each electronic copy of the Pre-qualification Documents shall be scanned as separate documents and should have file names that correctly reflect the title of the document. Bidders are strongly advised to refrain from scanning the documents as one continuous electronic document. Each flash drive or flash disk and its container (if any) shall set out the name of the Prospective Bidder, the name of the Project, and marked “E-COPY NO. ___”

(d) In the event the same document is used in compliance with multiple requirements under

Section 4, the submission of one (1) original document that is certified, notarized and authenticated and which serves as the equivalent of two (2) or more documents required under these ITPB, shall be considered sufficiently compliant with the requirements of this Section 6.1. The use of photocopies of this same document in other parts of the original set is acceptable. Apart from this exception, the original set must consist of the original versions of the Pre-qualification Documents.

(e) Each set of the Pre-qualification Documents should contain a Table of Contents. Each

set of the Pre-qualification Documents must be placed in separate envelopes. The five (5) CDs should also be placed in a separate envelope. Each of the six (6) envelopes containing the Pre-qualification Documents and the envelope containing the five (5) CDs must be sealed and appropriately addressed and marked as follows:

All six (6) sets of the Pre-qualification Documents and the envelope containing the CDs shall be placed in one or, if necessary, more sealed outer envelope(s) or box.

DEPARTMENT OF TRANSPORTATION AND COMMUNICATIONS

LRT LINE 6 PROJECT

PRE-QUALIFICATION DOCUMENTS – [ORIGINAL/COPY NO. _____/CDs]

[STATE NAME AND ADDRESS OF BIDDER]


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If any of the envelopes are not properly sealed and/or marked as instructed above, the PBAC shall not assume any responsibility for the loss of the Pre-qualification Documents.

6.2 Procedures for Submission and Opening of Pre-qualification Documents on the

Pre-qualification Documents Submission Date (a) On the Pre-qualification Documents Submission Date, Prospective Bidders are required

to submit their Pre-qualification Documents to:

Pre-qualification, Bids and Awards Committee for the LRT Line 6 Project Department of Transportation and Communications

(b) The Pre-qualification Documents must be submitted not later than the designated time

on the Pre-qualification Documents Submission Date at the venue to be designated by the PBAC in a subsequent bid bulletin. The date and time of submission shall be recorded through the use of an official clock designated by the PBAC Secretariat for that purpose. The Pre-qualification Documents submitted by the Prospective Bidders shall be numbered in the order received and stamped with the time of receipt. In addition, the receipt of the Pre-qualification Documents will be recorded in a register in the order of receipt specifying the date, time and name of the Prospective Bidder submitting the same.

Prospective Bidders who submit Pre-qualification Documents after the designated time on the Pre-qualification Documents Submission Date shall be disqualified.

(c) Immediately after the designated time on the Pre-qualification Documents Submission

Date, the PBAC will begin the opening proceedings by announcing the names of the Prospective Bidders who have submitted Pre-qualification Documents within the deadline indicated above and such other details as the PBAC may consider appropriate. The PBAC will then proceed with opening the envelopes of each Prospective Bidder, one at a time, in the order in which the same were received. The duly authorized representatives for each Prospective Bidder who attend the opening proceedings shall sign the register confirming their attendance.

Section 7 EVALUATION OF PRE-QUALIFICATION DOCUMENTS 7.1 General Provisions (a) The PBAC shall examine the Pre-qualification Documents during the period indicated

in Section 2.2. The detailed evaluation of the compliance by the Prospective Bidder with the Legal, Technical and Financial Capability Qualification Requirements for the Project shall be based solely upon the Pre-qualification Documents submitted.

(b) The PBAC reserves the right to seek clarifications from Prospective Bidders on the

form and contents of their respective Pre-qualification Documents. The PBAC also reserves the right to make inquiries with any person, government authority, client organization, Consortium Member, officer, director, employee or other agent of any


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Prospective Bidder for the purpose of clarifying any matter included in its Pre-qualification Documents.

(c) All submitted information and any clarifications requested by the PBAC shall be

assessed against the criteria for qualification as set out in Section 3 and the documents required in Section 4 and rated on a “pass-or-fail” basis. The overall rating for the evaluation will be “qualified” if each criterion is rated “pass” and each required Pre-qualification Document and attachment is completely submitted. The Prospective Bidder will be disqualified if any criterion is rated “fail” or if any required Pre-qualification Document or attachment is missing, without prejudice to the right of the PBAC to waive minor defects under Section 8.4 hereof. In reviewing the Prospective Bidder’s compliance with the Railway Infrastructure and Systems Design Experience requirement in Section 3.2.2, if a Prospective Bidder submits the name of more than one (1) entity meeting the Railway Infrastructure and Systems Design Experience to fulfill this requirement, then as long as at least one (1) such entity is rated “pass”, then the Prospective Bidder will be rated “pass” for this requirement. The same principle will apply to the Railway Infrastructure Construction Experience requirement in Section 3.2.3, the Railway Systems Construction Experience requirement in Section 3.2.4 and to the Rolling Stock Experience requirement in Section 3.2.5.

7.2 Other Grounds for Disqualification In addition to the grounds for disqualification described in Section 7.1(c), a Prospective Bidder may also be disqualified from participation in the Bidding for any of the following reasons: (a) material or willful misrepresentation in the Pre-qualification process; (b) Corrupt Practice, Fraud, Collusion, Coercion, Undesirable Practices or Restrictive

Practices in the Pre-qualification process; (c) any form of political or other lobbying with respect to the Pre-qualification process; (e) illegal conduct or attempt to influence the PBAC’s evaluation of the Pre-qualification

Documents or the Pre-qualification process; (f) any Conflict of Interest that would give it any unfair advantage in the Pre-qualification

process; (g) any Outstanding Dispute; (h) failure to comply with any of the terms, conditions and instructions of the Invitation

Documents; or (i) other grounds for rejection or disqualification of Bidders under the BOT Law and its

Revised IRR and all other applicable laws. The grounds for disqualification in this Section 7 shall also apply to all Consortium Members (in case the Prospective Bidder is a Consortium) and any Affiliates or contractors proposed by the Prospective Bidder to fulfil any of the Pre-qualification Requirements.


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7.3 Corrupt Practice, Fraud, Collusion, Coercion, Undesirable Practices and Restrictive Practices

For purposes of this Section 7.3, “Corrupt Practice”, “Fraud”, “Collusion”, “Coercion”, “Undesirable Practices” and “Restrictive Practices” are defined as follows: (a) "Corrupt Practice" means any behavior on the part of officials in the public or private

sectors by which they improperly and unlawfully enrich themselves or others, or induce others to do so, by misusing the position in which they are placed, and includes the offering, giving, receiving or soliciting of anything of value to influence the action of any such official in the Bidding or in contract execution, and includes, without limitation, acts and omissions punishable under: (i) Republic Act No. 3019 (otherwise known as the “Anti-Graft and Corrupt Practices Act”); (ii) Act No. 3815 (otherwise known as the “Revised Penal Code”); (iii) Republic Act No. 6713 (otherwise known as the “Code of Conduct and Ethical Standards for Public Officials and Employees”); (iv) Republic Act No. 7080 (otherwise known as “Plunder Law”); and (v) other applicable laws and relevant rules and procedures;

(b) "Fraud" means a misrepresentation of facts in order to influence the Bidding Process

to the detriment of the government and includes collusive practices among Bidders (prior to or after the submission of the Pre-qualification Documents or the Bid Proposals) designed to establish financial offers or prices at artificial, non-competitive levels and to deprive the government of the benefits of a free, transparent and open competition;

(c) “Collusion” means a scheme or arrangement between two (2) or more Bidders, with or

without the knowledge of the government, designed to establish financial offers or prices at artificial, non-competitive levels;

(d) “Coercion” means harming or threatening to harm, directly or indirectly, persons or

their property to influence their involvement in the Bidding Process, or affect the execution of the Concession Agreement;

(e) “Undesirable Practices” means (i) establishing contact with any person connected with

or employed or engaged by the DOTC or the PPP Center with the objective of canvassing or lobbying; or (ii) in any manner influencing or attempting to influence the Bidding; and

(f) “Restrictive Practices” means any act, scheme, plan or agreement such as forming a

group, clique, cartel, trust, syndicate, combine, pool and the like or arriving at any understanding or arrangement among Bidders, Consortium Members, Railway Experience Nominees, an O&M Experience Nominee, or the Affiliates of any of these entities, with the objective of restricting, subverting or manipulating a full and fair competition in the Bidding Process.

Aside from being disqualified from the Bidding, any person found to be engaging in any Corrupt Practice, Fraud, Collusion, Coercion or Undesirable or Restrictive Practices shall incur civil and criminal liability under the applicable laws and regulations and shall be prohibited from participating in any bidding conducted by the DOTC.


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7.4 Conflict of Interest (a) Prospective Bidders and Consortium Members (if the Prospective Bidder is a

Consortium), including their Affiliates, must not have any Conflict of Interest. The assessment of the existence of a Conflict of Interest shall be based on the specific facts of each case.

(b) Without limiting the generality of what would constitute a Conflict of Interest, any of

the following shall be considered a Conflict of Interest because they constitute overt acts or situations which indicate collusion between two (2) or more Prospective Bidders:

(i) a Prospective Bidder, any Consortium Member, or any of their Affiliates (of

either a Prospective Bidder or of the Consortium Member) is a member of another Consortium, or an Affiliate of a member of another Consortium;

(ii) a Prospective Bidder, any Consortium Member, or any of their Affiliates (of

either a Prospective Bidder or of the Consortium Member) which are used to meet any of the Pre-qualification Requirements has ownership interest of at least thirty three and one third percent (33 1/3%) in any other Prospective Bidder, any Consortium Member of any other Prospective Bidder or any of their Affiliates (of either the other Prospective Bidder or any of its Consortium Members) that are used to meet any of the Pre-qualification Requirements;

(iii) a member of the board of directors, partner, officer, employee, professional

advisor or agent of a Prospective Bidder, any Consortium Member or any of their Affiliates (of either the Prospective Bidder or any of its Consortium Members), who is directly involved in any capacity related to the Bidding Process for the Project, is also directly involved in any capacity related to the Bidding Process for another Prospective Bidder, any Consortium Member of any other Prospective Bidder or any of their Affiliates (of either the Prospective Bidder or any of its Consortium Members) during the course of the Bidding Process; provided, however, that in relation to professional advisors, there shall be no Conflict of Interest if prior written disclosure is submitted by such professional advisor to its client Prospective Bidder and the PBAC, together with a conflict management plan which must be approved by the PBAC;

For purposes of Section 7.4(b)(iii) above and without limiting the discretion of the PBAC to determine what constitutes Conflict of Interest, “direct involvement” shall mean actual participation in the deliberations and decision-making for the Bidding Process that would give the director, partner, officer or employee knowledge/information regarding the Bid Proposals of the Prospective Bidders and which allow such director, partner, officer or employee to influence the Bidding Process.

For the avoidance of doubt, matters listed under Section 7.4(b)(iii) above shall not be considered Collusive Practice as defined under Section 7.3(c).

(c) Without limiting the generality of what constitutes Conflict of Interest, any of the

following shall be considered a Conflict of Interest because of engagement by the DOTC, or the PPP Center for the Project:


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(i) a Prospective Bidder, any of its Consortium Members, any of its proposed

Railway Experience Nominees or its O&M Experience Nominee, or any Affiliate of any of these entities, has been directly engaged as a consultant by the DOTC or the PPP Center in the preparation of any Bidding Documents, or the design, or technical specifications of the Project or in connection with the Bidding Process; or

(ii) a Prospective Bidder, any of its Consortium Members, any of its proposed

Railway Experience Nominees or its O&M Experience Nominee, or any Affiliate of any of these entities, for the purpose of participation in the Bidding Process, engages any legal, financial or technical advisor that the DOTC or the PPP Center engaged in relation to the Project, or anyone who is or was an employee of the DOTC or the PPP Center less than one year before his or her engagement in relation to the Project by the Prospective Bidder, any of its Consortium Members, any of its proposed Railway Experience Nominees or its O&M Experience Nominee, or any Affiliate of any of these entities.

(d) If at any time prior to the signing of the Concession Agreement, any Prospective Bidder,

Consortium Member, proposed Railway Experience Nominee or O&M Experience Nominee, or any Affiliate of any of these entities, is found to have a Conflict of Interest as defined in this Section 7.4, it shall be disqualified from further participating in the Bidding Process. If the Conflict of Interest involves another Prospective Bidder, then both Prospective Bidders shall be disqualified.

(e) An entity proposed to meet the O&M Experience may not be proposed by more than one

(1) Prospective Bidder. 7.5 Lock-Up Rules The following rules (“Lock-Up Rules”) shall apply from the Pre-qualification Documents Submission Date to the Bid Proposals Submission Date (“Lock-Up Period”): (a) Corporation, Partnership or other Juridical Entity

(i) For a Pre-qualified Bidder which is a corporation, partnership or other juridical entity, no restrictions shall be imposed on the ownership structure of such Pre-qualified Bidder subject to existing laws and provided that the Pre-qualified Bidder shall ensure its continuing eligibility with respect to the Legal, Technical and Financial Qualification Requirements.

(ii) However, if a Pre-qualified Bidder which is a corporation, partnership or other

juridical entity proposes an Affiliate to meet any of the Pre-qualification Requirements, the proposed Affiliate must remain as such in accordance with the criteria for Affiliates as provided in Section 1.3(1).

(b) Consortium

(i) Once a Consortium is pre-qualified to bid, the Consortium’s Lead Member may not withdraw from the Consortium.


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(ii) A Consortium Member may leave the Consortium and not be replaced by any

other entity (“Withdrawal”), subject to the following conditions:

(aa) A Consortium Member proposed to meet the Technical Qualification Requirements cannot Withdraw from the Consortium, except in the event of a Substitution as provided in paragraph (b)(iii) of this Section 7.5.

(bb) Any Consortium Member not proposed to meet the Technical or

Financial Qualification Requirements may Withdraw from the Consortium.

(iii) Except for the Lead Member, a Consortium Member may be replaced by

another entity not previously identified in the Consortium’s Business Structure (Annex QD-1B) (“Substitution”), subject to the following conditions:

(aa) Any Consortium Member other than the Lead Member can be

substituted by another entity.

(bb) If the Consortium Member leaving the Consortium is the only entity which is proposed to meet a particular Technical Qualification Requirement, then the substitute should meet the particular Technical Qualification Requirement which such Consortium Member was proposed to meet and the Legal Qualification Requirements.

(cc) The substitute should not be another Prospective Bidder, Consortium

Member or Affiliate of any other Prospective Bidder or Consortium Member of that other Prospective Bidder. For the avoidance of doubt, Bidders shall include those Bidders that failed to pre-qualify and bid for the Project.

(iii) Any Consortium Member, whether or not proposed to meet the Technical or

Financial Qualification Requirements, can increase or reduce its committed percentage equity interest in the Concessionaire as specified in Annex QD-1B (Business Structure).

(iv) A Consortium Member may form a holding company or a subsidiary which

would hold its entire interest in the Consortium. All Consortium Members may form a holding company or subsidiary which would hold their collective interests in the Consortium. All limitations and restrictions applicable to the Consortium Members with respect to their interests in the Project SPC shall continue to apply to each of the Consortium Members irrespective of the holding structure they enter into.

(v) Withdrawing Consortium Members cannot join any other Bidder that has been

pre-qualified to bid for the Project. (c) In the event of a Withdrawal, Substitution or change in equity interest in the

Concessionaire, the following requirements must be met:


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(i) The Lead Member must –

(aa) maintain its commitment to own at least thirty three and one third

percent (33 1/3%) of the total outstanding shares of the Concessionaire; and

(bb) maintain its commitment to always own the highest percentage of

outstanding shares of the Concessionaire.

(ii) No Consortium Member, on its own or together with its Affiliates, shall own a greater percentage of outstanding voting shares in the Concessionaire than the Lead Member, on its own or together with its Affiliates.

(iii) Any change in the composition of the Consortium or the shareholding structure

of the Concessionaire must be approved by the PBAC, which approval shall not be unreasonably withheld.

(iv) A Pre-qualified Bidder may only submit a single application with the PBAC

during the Lock-Up Period for all changes in the composition of the Consortium or in the proposed equity structure of the Concessionaire or in the entities proposed as Railway Experience Nominee or O&M Experience Nominee. The application must be submitted to the PBAC at least forty five (45) days before the Bid Proposals Submission Date. Together with its application, the Bidder should submit the relevant Pre-qualification Documents which should be revised to reflect the changes applied for.

(v) If the proposed change is not approved by the PBAC, the applying Pre-qualified

Bidder may revert to the original Consortium composition or proposed Concessionaire shareholding structure or maintain the Railway Experience Nominee or O&M Experience Nominee originally proposed, all as provided in the Pre-qualification Documents it submitted on the Pre-qualification Documents Submission Date.

(d) Any violation of the Lock-Up Rules shall be a ground for disqualification from the

Bidding. (e) For the avoidance of doubt, the entity proposed to meet any Technical Qualification

Requirement of a Consortium or Prospective Bidder which did not pre-qualify is allowed to participate and join a Pre-qualified Bidder provided that such entity did not cause the disqualification of the original Consortium or Prospective Bidder that had proposed it.

Section 8 MISCELLANEOUS PROVISIONS 8.1 Notice of Pre-qualification The PBAC will notify all Prospective Bidders as to whether they passed the Pre-qualification stage by the date set out in Section 2.2 (“Notice of Pre-qualification”). All Prospective Bidders which pass the Pre-qualification stage shall be known as Pre-qualified Bidders.


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If the Prospective Bidder proposed more than one Railway Experience Nominee to fulfill the Railway Infrastructure and Systems Design Experience requirement in Section 3.2.2, the PBAC shall also notify such Prospective Bidder as to which of the Railway Experience Nominees it proposed were rated “pass”. The same procedure shall be followed if the Prospective Bidder proposed more than one Railway Experience Nominee to fulfill the Railway Infrastructure Construction Experience Requirement in Section 3.2.3, the Railway Systems Construction Experience requirement in Section 3.2.4 or the Rolling Stock Experience in Section 3.2.5. 8.2 Provision of Bidding Documents Pre-qualified Bidders will be provided with the following Bidding Documents immediately upon notification that they have been pre-qualified: (a) Instructions to Bidders, which will give detailed information about the requirements for the

preparation of Bid Proposals;

(b) the draft Concession Agreement;

(c) the minimum performance standards and specifications, which will set out the technical requirements for the design, construction, commissioning, operation and maintenance of the Project throughout the concession period; and

(d) other technical documents prepared by or on behalf of DOTC. 8.3 Failure of Qualification Process If only one (1) Prospective Bidder submits its Pre-qualification Documents or if there is only one (1) Pre-qualified Bidder after the evaluation of Pre-qualification Documents, the Pre-qualification Process shall proceed in accordance with the BOT Law and its Revised IRR. 8.4 Right to Reject Pre-qualification Documents, Waive Minor Defects and Not

Proceed with the Bidding (a) The PBAC reserves the right to accept or reject all or any application to pre-qualify and

bid without assigning any reason whatsoever. (b) The PBAC reserves the right to waive any minor defects in the Pre-qualification

Documents or Bid Proposals, and accept the offer it deems most advantageous to government.

(c) At any time, the PBAC reserves the right not to proceed with the Bidding Process and

the execution of the Concession Agreement without prior notice or liability, and without any obligation to give any reason not to proceed.

Instructions to Prospective Bidders

Annex QD-1A

Page 56 of 116

ANNEX QD-1A: Business Structure (for a Prospective Bidder which is a partnership or corporation) ___________________________________________________________________________

QD-1A Business Structure for a Prospective Bidder

which is a Partnership or Corporation 1. Name of Prospective Bidder:

_____________________________________________________________ 2. Contact Information of Prospective Bidder a. Address b. Website c. Contact Person i. Telephone ii. Fax iii. Email

3. RISD Nominee a. Name of Entity b. Relationship to

Prospective Bidder

c. Address d. Website e. Contact Person i. Telephone ii. Fax iii. Email

Note:

If the Prospective Bidder proposes a design contractor to meet the Railway Infrastructure and Systems Design Experience independently of the Railway Infrastructure Construction Experience, up to two (2) such entities for each of the Railway Infrastructure and Systems Design Experience and the Railway Infrastructure Construction Experience may be listed and the information requested above must be provided for each nominated entity.

4. Affiliate, if any, of the RISD Nominee, whose completed Reference Projects are being

submitted as evidence of the design experience of that entity. a. Name b. Address c. Contact Person i. Telephone ii. Fax


Annex QD-1A

Page 57 of 116

iii. Email Note:

If the Prospective Bidder proposes an Affiliate, evidence of affiliation must be submitted in accordance with Section 4(a)(iii) of the ITPB (Annex QD-16).

5. RIC Nominee a. Name of Entity b. Relationship to

Prospective Bidder


Note

If this requirement is fulfilled by the Prospective Bidder proposing a construction contractor to meet the Railway Infrastructure Construction Experience, up to two (2) such entities may be listed and the information requested above must be provided for each nominated entity.

6. Affiliate, if any, of RIC Nominee, whose completed Reference Projects are being submitted

as evidence of the construction experience of that entity. a. Name b. Address c. Contact Person i. Telephone ii. Fax iii. Email

Note:


7. RSC Nominee a. Name of Entity b. Relationship to

Prospective Bidder



Annex QD-1A

Page 58 of 116

Note:

If this requirement is fulfilled by the Prospective Bidder proposing a construction contractor to meet the Railway Systems Construction Experience, up to two (2) such entities may be listed and the information requested above must be provided for each nominated entity.

8. Affiliate, if any, of the RSC Nominee, whose completed Reference projects are being

submitted as evidence of the construction experience of that entity. a. Name b. Address c. Contact Person i. Telephone ii. Fax iii. Email

Note:


9. RS Nominee a. Name of Entity b. Relationship to

Prospective Bidder


Note:

If this requirement is fulfilled by the Prospective Bidder proposing a railcar manufacturer to meet the Rolling Stock Experience, up to two (2) such entities may be listed and the information requested above must be provided for each nominated entity.

10. Affiliate, if any, of the RS Nominee, whose completed Reference Projects are being

submitted as evidence of that entity’s experience. a. Name b. Address c. Contact Person i. Telephone ii. Fax iii. Email

Note:


Annex QD-1A

Page 59 of 116


11. Entity which fulfills the O&M Experience a. Name of Entity b. Relationship to

Prospective Bidder


12. Affiliate, if any, of the entity which fulfills the O&M Experience whose experience is being

submitted as evidence of the operation and maintenance experience of that entity. a. Name b. Address c. Contact Person i. Telephone ii. Fax iii. Email

Note:


13. Entity which fulfills the Financial Capability Qualification Requirement a. Name of Entity b. Relationship to

Prospective Bidder


14. Affiliate, if any, of the entity which fulfills the Financial Capability Qualification

Requirement, whose financial capability is being submitted as evidence of the financial capability of that entity.

a. Name b. Address c. Contact Person i. Telephone


Annex QD-1A

Page 60 of 116

ii. Fax iii. Email

Note:


For and on behalf of (Name of Prospective

Bidder/if Consortium, Name of Consortium and Lead Member): (Signature of Authorized Representative) ______________________________________ (Name, Title, Date and Place of Execution)

Instructions to Prospective Bidders Annex QD-1B

Page 61 of 116

ANNEX QD-1B: Business Structure (for a Prospective Bidder which is a Consortium) ___________________________________________________________________________

Annex QD-1B Business Structure for a Prospective Bidder which is a Consortium

Name of Consortium: ____________________________________________________________ 1. Consortium Members Name Percentage Interest

in the Consortium Type of Legal Entity

(corporation/partnership) Lead Member Other Member Other Member

(Insert rows as necessary.) 2. Contact Information of Consortium Members a. Lead Member b. Address c. Website d. Contact Person i. Telephone ii. Fax iii. Email

a. Consortium Member b. Address c. Website d. Contact Person i. Telephone ii. Fax iii. Email

a. Consortium Member b. Address c. Website d. Contact Person i. Telephone ii. Fax iii. Email

a. Consortium Member b. Address c. Website d. Contact Person


Page 62 of 116

i. Telephone ii. Fax iii. Email

3. RISD Nominee a. Name of Entity b. Relationship to

Prospective Bidder


Note:

If the RISD Nominee is a Consortium Member and this is indicated in the response to (b) in the table above, there is no need to provide the information under (c), (d) and (e) in the table above, as this information has already been provided in item 2 of this Annex QD-1B.

If the Prospective Bidder proposes a design contractor to meet the Railway Infrastructure and Systems Design Experience independently of the Railway Infrastructure Construction Experience, up to two (2) such entities for each of the Railway Infrastructure and Systems Design Experience and the Railway Infrastructure Construction Experience may be listed and the information requested above must be provided for each nominated entity.

4. Affiliate, if any, of the RISD Nominee, whose completed Reference Projects are being

submitted as evidence of the design experience of that entity. a. Name b. Address c. Contact Person i. Telephone ii. Fax iii. Email

Note:


5. RIC Nominee a. Name of Entity b. Relationship to

Prospective Bidder

c. Address d. Website


Page 63 of 116

e. Contact Person i. Telephone ii. Fax iii. Email

Note

If the RIC Nominee is a Consortium Member and this is indicated in the response to (b) in the table above, there is no need to provide the information under (c), (d) and (e) in the table above, as this information has already been provided in item 2 of this Annex QD-1B.

If this requirement is fulfilled by the Prospective Bidder proposing a construction contractor to meet the Railway Infrastructure Construction Experience, up to two (2) such entities may be listed and the information requested above must be provided for each nominated entity.

6. Affiliate, if any, of the RIC Nominee, whose completed Reference Projects are being


Note:


7. RSC Nominee a. Name of Entity b. Relationship to

Prospective Bidder


Note:

If the RSC Nominee is a Consortium Member and this is indicated in the response to (b) in the table above, there is no need to provide the information under (c), (d) and (e) in the table above, as this information has already been provided in item 2 of this Annex QD-1B.

If this requirement is fulfilled by the Prospective Bidder proposing a construction contractor to meet the Railway Systems Construction Experience, up to two (2) such


Page 64 of 116

entities may be listed and the information requested above must be provided for each nominated entity.

8. Affiliate, if any, of the RSC Nominee, whose completed Reference Projects are being


Note:


9. RS Nominee a. Name of Entity b. Relationship to

Prospective Bidder


Note:

If the RS Nominee is a Consortium Member and this is indicated in the response to (b) in the table above, there is no need to provide the information under (c), (d) and (e) in the table above, as this information has already been provided in item 2 of this Annex QD-1B.

If this requirement is fulfilled by the Prospective Bidder proposing a railcar manufacturer to meet the Rolling Stock Experience, up to two (2) such entities may be listed and the information requested above must be provided for each nominated entity.

10. Affiliate, if any, of the RS Nominee, whose completed Reference Projects are being

submitted as evidence of the experience in the manufacturing and delivery of railcars of that entity.

a. Name b. Address c. Contact Person i. Telephone ii. Fax iii. Email


Page 65 of 116

Note: If the Prospective Bidder proposes an Affiliate, evidence of affiliation must be submitted

in accordance with Section 4(a)(iii) of the ITPB (Annex QD-16). 11. Entity which fulfills the O&M Experience a. Name of Entity b. Relationship to

Prospective Bidder


Note: If the entity proposed to fulfill the O&M Experience is a Consortium Member and this

is indicated in the response to (b) in the table above, there is no need to provide the information under (c), (d) and (e) in the table above, as this information has already been provided in item 2 of this Annex QD-1B.

12. Affiliate, if any, of the entity which fulfills the O&M Experience, whose experience is

being submitted as evidence of the operation and maintenance experience of that entity. a. Name b. Address c. Contact Person i. Telephone ii. Fax iii. Email

Note:


13. Entity which fulfills the Financial Capability Qualification Requirement a. Name of Entity b. Relationship to Lead

Member



Page 66 of 116

14. Affiliate, if any, of the entity which fulfills the Financial Capability Qualification Requirement, whose financial capability is being submitted as evidence of the financial capability of that entity.

a. Name b. Address c. Contact Person i. Telephone ii. Fax iii. Email

Note:




Instructions to Prospective Bidders Annex QD-2

Page 67 of 116

ANNEX QD-2: Basic Information Sheet

Instructions a. To be submitted by all entities listed in any sections of the Business Structure (Annex QD-

1A or QD-1B). b. Required attachments for all entities submitting this form:

1. Certified true copy of its latest GIS, stamped “received” by the SEC or for a foreign entity, the equivalent document submitted to and acknowledged by the appropriate government agency equivalent to the SEC in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The certification may come from either the SEC or its equivalent in a foreign country or the entity’s corporate secretary. If it comes from the entity’s corporate secretary, the certification must be under oath and notarized. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue. Further, if the foreign country does not require an equivalent document of the GIS, a notarized certification setting out the same or similar information executed by the corporate secretary of the foreign entity will suffice.

2. Certified true copy of the SEC COI or for a foreign entity, the equivalent document

submitted to and acknowledged by the appropriate government agency equivalent to the SEC in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The SEC COI or the equivalent document for a foreign entity, must be certified by the SEC or its equivalent in a foreign country. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue.

3. Certified true copy of the latest Articles of Incorporation or for a foreign entity, the equivalent document submitted to and acknowledged by the appropriate government agency equivalent to the SEC in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The Articles of Incorporation may be certified either by the SEC or its equivalent in a foreign country or by the entity’s corporate secretary. All certifications by the entity’s corporate secretary must be under oath and notarized. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue.

4. Certified true copy of the latest By-Laws or for a foreign entity, the equivalent document submitted to and acknowledged by the appropriate government agency equivalent to the SEC in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The By-Laws may be certified either by the SEC or its equivalent in a foreign country or by the entity’s corporate secretary. All certifications by the entity’s corporate secretary must be under oath and notarized. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue.


Page 68 of 116

For the foregoing documents, if the appropriate government agency equivalent to the SEC in the foreign country does not stamp “received” or acknowledge the said documents, the entity’s corporate secretary may attest to such fact in a notarized certification. If the jurisdiction where the foreign entity is incorporated or registered does not require or accept the filing of the equivalent of the Philippines’ GIS, COI, Articles of Incorporation and By-Laws, the PBAC will accept a certification by the authorized representative of the foreign entity attesting that there is no equivalent document of the GIS, COI, Articles of Incorporation and By-laws and providing similar information required to be indicated in these SEC documents. Such document need not be submitted to and acknowledged by a government agency of the foreign jurisdiction and is only required to be certified by the authorized representative of the foreign entity (which authorized representative may include such entity’s corporate secretary) under oath and notarized and thereafter authenticated by a Philippine consular or embassy official. ___________________________________________________________________________

Annex QD-2 Basic Information Sheet

1. Name of Entity 2. Type of Entity

(Please check one) Partnership Corporation

3. Consortium Member or not? (please check one)

Yes No

4. Railway

Infrastructure and Systems Design contractor or not? (please check one)

Yes No

5. Railway Infrastructure Construction contractor or not? (please check one)

Yes No

6. Railway Systems Construction contractor or not? (please check one)

Yes No

7. Rolling Stock manufacturer or not? (please check one)

Yes No

8. O&M Experience Nominee or not? (please check one)

Yes No

9. Entity proposed to

fulfill the Financial Capability Qualification

Yes No


Page 69 of 116

Requirements or not? (please check one)

10. Affiliate of an entity listed in QD-1A or QD-1B?

Yes, Affiliate of _______________ No

11. Place of Incorporation or Registration

12. Year of Incorporation or Registration

13. Principal Purpose or Business

12. Shareholder or Partner Information

Name of Shareholder or Partner

Nationality Percentage Total of Shareholding or Partnership Interest

(Insert rows as necessary)

13. Information on Beneficial Owners who own more than five percent (5%) Beneficial Interest

Name of Beneficial Owner Nationality Percentage Total of Beneficial Ownership

(Insert rows as necessary)

For and on behalf of (Name of Entity): (Signature of Authorized Representative) ___________________________________ (Name, Title, Date and Place of Execution)

For and on behalf of (Name of Prospective Bidder/if Consortium, Name of Consortium and Lead Member): (Signature of Authorized Representative) ______________________________________ (Name, Title, Date and Place of Execution)

Instructions to Prospective Bidders Annex QD-3A

Page 70 of 116

ANNEX QD-3A: Certification of Absence of Unsatisfactory Performance Record for Entities other than those proposed to meet the Financial Capability Qualification Requirement

Instructions To be submitted by all entities listed in all sections of the Business Structure (Annex QD-1A or QD-1B) other than entities proposed to meet the Financial Capability Qualification Requirements (which must submit the equivalent form set out in Annex QD-3B). ___________________________________________________________________________

Annex QD-3A Certification of Absence of Unsatisfactory Performance Record

for Entities other than those proposed to meet the Financial Capability Qualification Requirements

Prospective Bidder Entity listed in the Business Structure (Annex QD-1A or QD-1B)

Entity which fulfills a Technical Qualification Requirement?

Yes No

Pre-qualification Requirement (if the answer to the immediately preceding item is “Yes”)

Relationship to Prospective Bidder

[Place of Notarization] ) ) ss

Certification of Absence of Unsatisfactory Performance Record I, (name),(citizenship), of legal age, with office address at (address), as the (position/designation) of (name of company represented), a (corporation/partnership) organized and existing under and by virtue of the laws of (place of incorporation/registration) hereby certify, for and on behalf of (name of company represented), that (name of company represented) does not have any record of Unsatisfactory Performance, as defined in Section 1.3(83) of the Instructions to Prospective Bidders, in any of its projects and contracts. (Date and Place of Execution) For and on behalf of (Name of Entity): (Signature of Authorized Representative) ____________________________________ (Name) (Designation)


Page 71 of 116

SUBSCRIBED AND SWORN TO before me this (____) day of (month and year) at (place), affiant exhibiting to me his/her (proof of identity acceptable under Philippine notarial regulations), issued at (city) on (date). Notary Public Doc. No.: _________ Page No.: _________ Book No.: ________ Series of 2016.


Page 72 of 116

ANNEX QD-3B: Certification of Absence of Unsatisfactory Performance Record for Entities proposed to meet the Financial Capability Qualification Requirements

Instructions To be submitted by all entities which are proposed to meet the Financial Capability Qualification Requirements, as required under Section 3.3(e) of the ITPB. ___________________________________________________________________________

Annex QD-3B Certification of Absence of Unsatisfactory Performance Record for Entities

proposed to meet the Financial Capability Qualification Requirements Prospective Bidder Entity which fulfills the Financial Capability Qualification Requirement


[Place of Notarization] ) ) ss

Certification of Absence of Unsatisfactory Performance Record I, (name),(citizenship), of legal age, with office address at (address), as the (position/designation) of (name of company represented), a (corporation/partnership) organized and existing under and by virtue of the laws of (place of incorporation/registration) hereby certify, for and on behalf of (name of company represented), that (name of company represented) does not have any record of Unsatisfactory Performance as defined in paragraphs (ii) and (iii) of the definition thereof in Section 1.3(83) of the Instructions to Prospective Bidders. (Date and Place of Execution) For and on behalf of (Name of Entity): (Signature of Authorized Representative) ______________________________________ (Name) (Designation)


Page 73 of 116



Page 74 of 116

ANNEX QD-4: Railway Infrastructure and Systems Design Experience

Instructions a. To be submitted by the entity or entities which fulfill the Railway Infrastructure and Systems

Design Experience in Section 3.2.2 of the ITPB, as identified in the Business Structure (Annex QD-1A or QD-1B), item 3.

b. Required attachments for each entity submitting this form:

1. Notarized certificate of project completion from an Authorized Issuer or the original certificate of project completion or a copy thereof accompanied by a notarized certification issued by an officer of the RISD Nominee that such copy is a true and faithful reproduction of the original certificate or a statement by the respective railway authority that the Reference Project has been completed and is operational in the form set out in Annex QD-15A;

2. If the Reference Project submitted to establish compliance with the Railway

Infrastructure and Systems Design Experience was completed by an Affiliate of the RISD Nominee, evidence of such affiliation in the form set out in Annex QD-16.

3. Notarized Certification of Absence of Unsatisfactory Performance Record in the form

set out in Annex QD-3A. 4. These additional documents:

(a) Certified true copy of a valid ISO 9001 certification or its equivalent, or in lieu

thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the RISD Nominee that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent.

(b) Certified true copy of a valid ISO 14001 certification or its equivalent, or in lieu

thereof, a copy of the ISO 14001 certification accompanied by a notarized certification issued by an officer of the RISD Nominee that such copy is a true and faithful reproduction of the original ISO 14001 certification or its equivalent.

(c) Notarized Certification of Presence of a Health and Safety Policy in the form set

out in Annex QD-9.

(d) Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project in the form set out in Annex QD-10.

___________________________________________________________________________


Page 75 of 116

Annex QD-4 Railway Infrastructure and Systems Design Experience

1. Entity which fulfills the Railway Infrastructure and Systems Design Experience in Section

3.2.2 of the ITPB, as identified in item 3 of the Business Structure (Annex QD-1A or QD-1B).

Prospective Bidder Entity which fulfills the requirement


(Prospective Bidder / Consortium Member / Railway Experience Nominee)

2. Reference Project evidencing Philippine or international experience in the design of an

elevated metropolitan passenger rail transit system, at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per fiscal year, including the railway system composed of the track form, signaling (including the provision of automatic train protection, automatic train supervision and automatic train operation technology), traction, telecommunications and control systems that make up a metropolitan passenger rail transit system. Each Reference Project that is proposed to meet the various components of the Railway Infrastructure and Systems Design Experience must have been completed or implemented within the last fifteen (15) years prior to the Pre-qualification Documents Submission Date.

Name of Reference Project

Location Description Date of Contract Nature of Involvement Client* Cost of Contract Name of Entity which completed the Reference Project**

Route length (km)

At grade length (km)

Elevated length (km)

Number of stations (at grade/elevated)

Number of passengers per fiscal (for the last fifteen (15) years) the rail transit system is capable of transporting


Page 76 of 116

Signaling (ATP, ATS, ATO, Driverless) (km)

Traction (OLE, Third rail, 25KV AC, 750V DC, 1500 VDC, other)

Design headway and commercial speed

Track form – Ballasted/non-ballasted (km)

*Please attach notarized Certificate of Project Completion (Annex QD-15A). **Must be the entity identified in item 1 of this QD-4 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). 3. Other Reference Projects Name of Reference Project


*Please attach notarized Certificate of Project Completion (Annex QD-15A). **Must be the entity identified in item 1 of this QD-4 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). Note

● Insert additional tables for other nominated Reference Projects. For and on behalf of (Name of Entity): (Signature of Authorized Representative) ______________________________________ (Name, Title, Date and Place of Execution)

For and on behalf of (Name of Prospective Bidder/if Consortium, Name of Consortium and Lead Member): (Signature of Authorized Representative) ___________________________________ (Name, Title, Date and Place of Execution)


Page 77 of 116

ANNEX QD-5: Railway Infrastructure Construction Experience

Instructions a. To be submitted by the entity or entities which fulfill the Railway Infrastructure

Construction Experience in Section 3.2.3 of the ITPB, as identified in the Business Structure (Annex QD-1A or Annex QD-1B), item 5.


1. Notarized certificate of project completion from an Authorized Issuer or the original certificate of project completion or a copy thereof accompanied by a notarized certification issued by an officer of the RIC Nominee that such copy is a true and faithful reproduction of the original certificate or a statement by the respective railway authority that the Reference Project has been completed and is operational in the form set out in Annex QD-15B;

2. If the Reference Project submitted to establish compliance with the Railway

Infrastructure Construction Experience was completed by an Affiliate of the RIC Nominee, evidence of such affiliation in the form set out in Annex QD-16; and

3. Notarized Certification of Absence of Unsatisfactory Performance Record in the form

set out in Annex QD-3A.

4. These additional documents: (a) Certified true copy of a valid license issued by the PCAB for Large B

Classification/License Category AAA, in the case of a Filipino construction contractor or an equivalent license issued by an equivalent accreditation institution in the construction contractor’s country of origin, in the case of a foreign construction contractor, provided that such foreign construction contractor must secure a license and accreditation from the PCAB after the Bidder is awarded the Project. The certified true copy of the PCAB license or the equivalent license must be issued by the PCAB or by the equivalent accreditation institution, respectively;

(b) Certified true copy of a valid ISO 9001 certification or its equivalent or in lieu thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the RIC Nominee that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent; and

(c) Certified true copy of a valid ISO 14001certification or its equivalent or in lieu thereof, a copy of the ISO 14001 certification accompanied by a notarized certification issued by an officer of the RIC Nominee that such copy is a true and faithful reproduction of the original ISO 14001 certification or its equivalent .

5. Notarized Certification of Presence of a Health and Safety Policy in the form set out in

Annex QD-9.

6. Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project in the form set out in Annex QD-10.


Page 78 of 116

Annex QD-5 Railway Infrastructure Construction Experience

1. Entity which fulfills the Railway Infrastructure Construction Experience in Section 3.2.3

of the ITPB, as identified in item 5 of the Business Structure (Annex QD-1A or QD-1B).



(Prospective Bidder / Consortium Member / Railway Experience Nominee)

2. Reference Project evidencing Philippine or international experience in successfully

completing or implementing the construction and commissioning (together or separately) of one (1) of the following:

(i) an elevated metropolitan passenger rail transit system, at least ten (10) kilometers in

length (if applicable); or

(ii) a bridge or viaduct structure at least ten (10) kilometers in length, which structure is not necessarily dedicated to supporting a passenger rail transit system.

Each Reference Project that is proposed to meet the various components of the Railway Infrastructure Construction Experience must have been completed or implemented within the last fifteen (15) years prior to the Pre-qualification Documents Submission Date.



Route length (km) At grade length (km) Elevated length (km) Number of stations (at grade/elevated)

*Please attach notarized Certificate of Project Completion (Annex QD-15B). **Must be the entity identified in item 1 of this QD-5 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). 3. Reference Project completed consisting of a bridge or viaduct structure at least ten (10)

kilometers in length, which structure is not necessarily dedicated to supporting a passenger rail transit system (if applicable)


Page 79 of 116



Route length (km) At grade length (km) Elevated length, bridge or viaduct (road or rail) (km)

*Please attach notarized Certificate of Project Completion (Annex QD-15B). **Must be the entity identified in item 1 of this QD-5 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). 4. Other Reference Projects Name of Reference Project


*Please attach notarized Certificate of Project Completion (Annex QD-15B). **Must be the entity identified in item 1 of this QD-5 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). Note

● Insert additional tables for other nominated Reference Projects. For and on behalf of (Name of Entity): (Signature of Authorized Representative) ______________________________________ (Name, Title, Date and Place of Execution)



Page 80 of 116

ANNEX QD-6 Railway Systems Construction Experience

Instructions a. To be submitted by the entity or entities which fulfill the Railway Systems Construction

Experience in Section 3.2.4 of the ITPB, as identified in the Business Structure (Annex QD-1A or Annex QD-1B), item 7.


1. Notarized certificate of project completion from an Authorized Issuer or the original certificate of project completion or a copy thereof accompanied by a notarized certification issued by an officer of the RSC Nominee that such copy is a true and faithful reproduction of the original certificate or a statement by the respective railway authority that the Reference Project has been completed and is operational in the form set out in Annex QD-15C.

2. If the Reference Project was completed by an Affiliate of the RSC Nominee, evidence of

such affiliation in the form set out in Annex QD-16. 3. Notarized Certification of Absence of Unsatisfactory Performance Record in the form


4. These additional documents: (a) certified true copy of a valid ISO 9001 certification or its equivalent, or in lieu

thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the RSC Nominee that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent; and

(b) certified true copy of a valid ISO 14001 certification or its equivalent, or in lieu

thereof, a copy of the ISO 14001 certification accompanied by a notarized certification issued by an officer of the RSC Nominee that such copy is a true and faithful reproduction of the original ISO 14001 certification or its equivalent.

5. Notarized Certification of Presence of a Health and Safety Policy in the form set out in

Annex QD-9.

6. Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project in the form set out in Annex QD-10.

___________________________________________________________________________


Page 81 of 116

Annex QD-6 Railway Systems Construction Experience

1. Entity which fulfills the Railway Systems Construction Experience in Section 3.2.4 of the

ITPB, as identified in item 7 of the Business Structure (Annex QD-1A or QD-1B).



(Prospective Bidder / Consortium Member /Railway Experience Nominee)

2. Reference Project evidencing experience in successfully completing or implementing the

delivery, installation and commissioning of a metropolitan passenger rail transit system composed of the track form, signaling (including the provision of automatic train protection, automatic train supervision and automatic train operation technology), traction, telecommunications and control systems that make up a metropolitan passenger rail transit system. Such railway system should be for a metropolitan passenger rail transit system at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per fiscal year implemented within the last fifteen (15) years prior to the Pre-qualification Documents Submission Date.


Location Description Date of Contract Nature of Involvement Client* Cost of Contract Number of passengers per fiscal (for the last 15 years) the rail transit system is capable of transporting

Name of Entity which completed the Reference Project**

Signaling (ATP, ATS, ATO, Driverless) (km)

Traction (OLE, Third rail, 25KV AC, 750V DC, 1500 VDC, other)

Design headway and commercial speed

Track form – Ballasted/non-ballasted (km)

*Please attach notarized Certificate of Project Completion (Annex QD-15C).


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**Must be the entity identified in item 1 of this QD-6 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). 3. Other Reference Projects



*Please attach notarized Certificate of Project Completion (Annex QD-15C). **Must be the entity identified in item 1 of this QD-6 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). Note

● Insert additional tables for other nominated Reference Projects. For and on behalf of (Name of Entity): (Signature of Authorized Representative) ___________________________________ (Name, Title, Date and Place of Execution)



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ANNEX QD-7 Rolling Stock Experience

Instructions a. To be submitted by the entity or entities which fulfill the Rolling Stock Experience in Section

3.2.5 of the ITPB, as identified in the Business Structure (Annex QD-1A or Annex QD-1B), item 9.


1. Notarized certificate of project completion from an Authorized Issuer or the original certificate of project completion or a copy thereof accompanied by a notarized certification issued by an officer of the RS Nominee that such copy is a true and faithful reproduction of the original certificate or a statement by the respective railway authority that the Reference Project has been completed and is operational in the form set out in Annex QD-15D.

2. If the Reference Project was completed by an Affiliate of the RS Nominee, evidence of

such affiliation in the form set out in Annex QD-16. 3. Notarized Certification of Absence of Unsatisfactory Performance Record in the form


4. Certified true copy of a valid ISO 9001 certification or its equivalent or in lieu thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the entity required to submit this document that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent.

5. Notarized Certification of Presence of a Health and Safety Policy, using the form in

Annex QD-9.

6. Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project, using the form in Annex QD-10.

___________________________________________________________________________


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Annex QD-7

Rolling Stock Experience 1. Entity which fulfills the Rolling Stock Experience in Section 3.2.5 of the ITPB, as identified

in item 9 of the Business Structure (Annex QD-1A or QD-1B). Prospective Bidder Entity which fulfills the requirement


(Prospective Bidder / Consortium Member /Rolling Stock Contractor)

2. Reference Project evidencing manufacture and delivery of at least one hundred (100)

passenger rail cars in the past ten (10) years prior to the Pre-qualification Documents Submission Date, of which at least fifty (50) cars should have been delivered and commissioned in the last five (5) years prior to the Pre-qualification Documents Submission Date.

The Reference Project must demonstrate that the RS Nominee was the entity controlling the design, engineering, manufacture and delivery of the rolling stock and the entity directly responsible and accountable for the outcome of such work.

Name of Reference Project Location Description Date of Contract Nature of Involvement Client* Cost of Contract Name of Entity which Reference completed the Project**

*Please attach notarized Certificate of Project Completion (Annex QD-15D). **Must be the entity identified in item 1 of this QD-7 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). 3. Other Reference Projects Name of Reference Project Location Description Date of Contract Nature of Involvement Client* Cost of Contract Name of Entity** which completed the Reference Project

*Please attach notarized Certificate of Project Completion (Annex QD-15D).


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**Must be the entity identified in item 1 of this QD-7 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). Note

● Insert additional tables for other nominated Reference Projects. For and on behalf of (Name of Entity): (Signature of Authorized Representative) ___________________________________ (Name, Title, Date and Place of Execution)



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ANNEX QD-8: Operation and Maintenance Experience

Instructions a. To be submitted by the entity which fulfills the O&M Experience requirement in Section

3.2.6 of the ITPB, as identified in the Business Structure (Annex QD-1A or Annex QD-1B), item 11.

b. Required attachments:

1. Notarized certification from an Authorized Issuer in the form set out in Annex QD-15E or a copy of the original certificate that the Reference Project is ongoing or in operation accompanied by a notarized certification issued by an officer of the entity which fulfills the O&M Experience that such copy is a true and faithful reproduction of the original certificate;

2. If the Reference Project was completed by an Affiliate of the entity which fulfills the O&M Experience requirement, evidence of such affiliation in the form set out in Annex QD-16;

3. A certified true copy of a valid ISO 9001 certification or its equivalent or in lieu thereof, a copy of the ISO 9001 certification accompanied by a notarized certification issued by an officer of the entity required to submit this document that such copy is a true and faithful reproduction of the original ISO 9001 certification or its equivalent;

4. A certified true copy of a valid ISO 14001 certification or its equivalent or in lieu thereof, a copy of the ISO 14001 certification accompanied by a notarized certification issued by an officer of the entity required to submit this document that such copy is a true and faithful reproduction of the original ISO 14001 certification or its equivalent;

5. certified true copy of a Safety Case Manual; 6. certified true copy of a Safety Management System Manual; 7. certified true copy of Annual Operation and Maintenance Performance Reports for the

last three (3) years prior to the Pre-qualification Documents Submission Date; 8. Certified true copy of Annual Audited Safety Reports for the last three (3) years prior to

the Pre-qualification Documents Submission Date; and 9. Certified true copy of Annual Audited Financial Reports for the last three (3) years prior

to the Pre-qualification Documents Submission Date.

The certifications required for those documents identified in items (5) to (9) above may be made by an authorized representative of the entity proposed to meet the O&M Experience.

___________________________________________________________________________


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Annex QD-8 Operation and Maintenance Experience

1. Entity which fulfills the O&M Experience requirement in Section 3.2.6 of the ITPB, as

identified in item 11 of the Business Structure (Annex QD-1A or QD-1B).



(Prospective Bidder / Consortium Member)

2. Reference Project demonstrating local or international experience in all of the following:

a. operation of a metropolitan passenger rail transit system which is capable of transporting at least twenty five (25) million passengers and has actually transported at least fifteen (15) million passengers per fiscal year for a period of at least three (3) full consecutive fiscal year within the last five (5) years prior to the Pre-qualification Documents Submission Date;

b. maintenance of a metropolitan passenger rail transit system which has achieved a minimum of one (1) million train kilometers per fiscal year, for a period of at least three (3) full consecutive fiscal years, within the last five (5) years prior to the Pre-qualification Documents Submission Date, provided that if it can be proven that the entity proposed to meet the O&M Experience was fully responsible for the maintenance of a metropolitan passenger rail transit system meeting the specifications prescribed in Section 3.2.6(a)(ii) of the ITPB, even if it was not directly performing the maintenance itself, such entity shall be deemed to possess the maintenance experience required thereunder; and

c. management of or active participation in the commissioning process for a metropolitan passenger rail transit system which is capable of transporting at least twenty five (25) million passengers and has actually transported at least fifteen (15) million passengers per fiscal year, for a period of at least three (3) full consecutive fiscal years or a section of such system within the last fifteen (15) years prior to the Pre-qualification Documents Submission Date.


Location Description Start Date of Operation Period

End Date of Operation Period

Nature of Involvement Client* Cost of Contract Name of Entity which Completed the Reference Project**

Number of passengers the rail transit system


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is capable of transporting in each of the last five (5) years Number of passengers the rail transit system actual transported in each of the last five (5) years

Million Train Kms achieved in each of the last five (5) years

Whether the entity witnessed or actively participated in the commissioning process of the Reference Project

*Please attach notarized Certificate for O&M Experience (Annex QD-15E). **Must be the entity identified in item 1 of this QD-8 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16).

3. Other Reference Projects Name of Reference Project

Location Description Start Date of Operation Period

End Date of Operation Period

Nature of Involvement Client* Cost of Contract Name of Entity which Completed the Reference Project**

*Please attach notarized Certificate for O&M Experience (Annex QD-15E). **Must be the entity identified in item 1 of this QD-8 or an Affiliate. If an Affiliate, please attach evidence of such affiliation (Annex QD-16). Note

● Insert additional tables for other nominated Reference Projects.


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For and on behalf of (Name of Entity): (Signature of Authorized Representative) ______________________________________ (Name, Title, Date and Place of Execution)



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ANNEX QD-9: Certification of Presence of a Health and Safety Policy

Instructions To be submitted by the entity or entities which fulfill the Railway Infrastructure and Systems Design Experience in Section 3.2.2 of the ITPB, as identified in the Business Structure (Annex QD-1A or QD-1B), item 3, the Railway Infrastructure Construction Experience in Section 3.2.3 of the ITPB, as identified in the Business Structure (Annex QD-1A or QD-1B), item 5, the Railway Systems Construction Experience in Section 3.2.4 of the ITPB, as identified in the Business Structure (Annex QD-1A or QD-1B), item 7 and the Rolling Stock Experience in Section 3.2.5 of the ITPB, as identified in the Business Plan (Annex QD-1A or QD-1B), item 9. ___________________________________________________________________________

Annex QD-9 Certification of Presence of a Health and Safety Policy

Republic of the Philippines ) ) ss

Certification of Presence of a Health and Safety Policy I, (name),(citizenship), of legal age, with office address at (address), as the (position/designation) of (name of company represented), a (corporation/partnership) organized and existing under and by virtue of the laws of (place of incorporation/registration) hereby certify, for and on behalf of (name of company represented), that (name of company represented) has a Health and Safety Policy, as defined in Section 1.3(31) of the Instructions to Prospective Bidders, applicable to all of its projects and contracts. (Date and Place of Execution) For and on behalf of (Name of Entity): (Signature of Authorized Representative) ______________________________________ (Name) (Designation)



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ANNEX QD-10: Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project

Instructions To be submitted by an entity proposed by the Prospective Bidder to fulfill the Railway Infrastructure and Systems Design Experience in Section 3.2.2 of the ITPB, as identified in the Business Structure (Annex QD-1A or QD-1B), item 3; the Railway Infrastructure Construction Experience in Section 3.2.3 of the ITPB, as identified in the Business Structure (Annex QD-1A or QD-1B), item 5; Railway Systems Construction Experience in Section 3.2.4 of the ITPB, as identified in the Business Structure (Annex QD-1A or QD-1B), item 7; and the Rolling Stock Experience in Section 3.2.5 of the ITPB, as identified in the Business Structure (Annex QD-1A or QD-1B), item 9. ___________________________________________________________________________

Annex QD-10 Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project

Prospective Bidder: Entity which fulfills the requirement


(Prospective Bidder / Consortium Member/ Railway Experience Nominee)


Notarized Statement of Willingness to Participate In and Capacity to Undertake the Requirements of the Project

I, (name), (citizenship), of legal age, with office address at (address), as the (position/designation) of (name Railway Experience Nominee), a (corporation/partnership) organized and existing under and by virtue of the laws of (place of incorporation/registration) hereby declare for and on behalf of (name of Railway Experience Nominee) that:

1. (name of entity Railway Experience Nominee) is willing to participate, through the (name of Prospective Bidder) in the Pre-qualification for the LRT Line 6 Project in accordance with the Invitation Documents.

2. (name of Railway Experience Nominee) has the required experience and capacity to

undertake the requirements for its services in the Project in accordance with the provisions of the Invitation Documents.

3. Based on my personal knowledge or authentic documents, the information provided in

Annex (list all Pre-qualification Documents required to be submitted by or on behalf of the Railway Experience Nominee) are true and correct.


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4. If selected by (name of Prospective Bidder), (name of Railway Experience Nominee) shall formally enter into a contract with the Concessionaire to perform the obligations and assume the attendant liabilities as [Railway Infrastructure and Systems Design contractor/Railway Infrastructure Construction contractor/Railway Systems Construction contractor/Rolling Stock supplier] for the LRT Line 6 Project.

(Date and Place of Execution) For and on behalf of (Name of Entity): (Signature of Authorized Representative) ______________________________________ (Name) (Designation)

For and on behalf of (Name of Prospective Bidder/if Consortium, Name of Consortium and Lead Member): (Signature of Authorized Representative) ___________________________________ (Name) (Designation)



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ANNEX QD-11: Key Personnel

Annex QD-11 Key Personnel

Name of Prospective Bidder: ________________________________________________________________ 1. Railway Infrastructure Design and Construction:

Not more than three (3) individuals with at least fifteen (15) years of local or international experience in successfully completing or implementing the design, construction, installation and commissioning of a metropolitan passenger rail transit infrastructure on at least three (3) projects of at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per year, with relevant bachelor or under-graduate university degree in engineering and master or post-graduate university degree and recognized professional affiliation, certification or license in engineering and/or management (registered professional engineer designation required).

a. Name b. Employer c. Position d. Nationality e. Date of Birth

a. Key Experience (add columns as necessary)

Employer Position Start Date End Date Description of Projects Undertaken

b. Educational Background

College Degree: School: Year Graduated: Graduate Studies: School: Year Graduated: Professional License: Year:

Note:

● Provide the same information required above for other individuals nominated as Key Personnel under this category.

2. Railway Systems Design and Construction:

Not more than three (3) individuals with at least fifteen (15) years of local or international experience in successfully completing or implementing the design, construction, installation


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and commissioning of railway systems on at least three (3) metropolitan passenger rail transit projects of at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per year, with relevant bachelor or under-graduate university degree in engineering and master or post-graduate university degree and recognized professional affiliation, certification or license in engineering and/or management (registered professional engineer designation required).






Note:


3. Operations and Maintenance

Not more than three (3) individuals with at least fifteen (15) years of local or international experience in supervising and managing operations and maintenance of a metropolitan passenger rail transit system which actually transported at least fifteen (15) million passengers per year on at least (3) projects and with relevant university degree and recognized professional affiliation, certification or license in civil engineering or in railway operations and maintenance.



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Note:


4. Rolling Stock Procurement

Not more than three (3) individuals with at least fifteen (15) years local or international experience in planning, coordination, supervision and project management of procurement, installation, testing and commissioning of rolling stock for a metropolitan passenger rail transit system capable of transporting at least twenty five (25) million passengers per year on at least three (3) projects and with relevant university degree and recognized professional affiliation, certification or license in civil engineering or in railway operations and maintenance.







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Note:


5. Financial Management

Not more than three (3) individuals with at least fifteen (15) years local or international experience in the financial management of either the construction of a similar metropolitan rail transit system or the financial management of an operational metropolitan passenger rail transit system capable of transporting at least twenty five (25) million passengers per year on at least three (3) projects and with a relevant university degree and/or recognized professional affiliation, certification or license in accounting, finance or management.






Note:





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ANNEX QD-12: Notarized Statement of Financial Capability

Instructions a. To be submitted by the entity which fulfills the Financial Capability Qualification

Requirement in Section 3.3 of the ITPB, as identified in the Business Structure (Annex QD-1A or Annex QD-1B), item 13.

b. Required attachments: 1. Certified true copy of Audited Financial Statements dated not earlier than 31 December

2014, stamped “received” by the BIR or for foreign entities, the appropriate government agency equivalent to the BIR in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The certification may be issued by an officer of, or auditor engaged by, the entity proposed to meet the Financial Capability Qualification Requirements, in which case the certification must be under oath and notarized.

2. Certified true copy of Annual Income Tax Return for the taxable year ending in 2014

(BIR Form 1702), stamped “received” by the BIR, or for foreign entities, the appropriate government agency equivalent to the BIR in the foreign country where the foreign entity was registered for recognition or creation of its juridical personality or capacity. The Annual Income Tax Return must be certified by the entity’s corporate secretary. All certifications by the entity’s corporate secretary must be under oath and notarized. If the certification is issued or notarized outside the Philippines, it must be authenticated before a Philippine consular official at the Philippine consulate nearest the place of issue.

3. Letter(s) from the Prospective Bidder or Lead Member’s potential lenders expressing

their willingness to lend it or the Project SPC at least Twenty Billion Philippine Pesos (PhP 20,000,000,000.00). This amount can be reduced by the excess of the Prospective Bidder’s or related entity’s net worth over Twelve Billion Philippine Pesos (PhP 12,000,000,000.00). Such a letter or letters should come from financial institutions licensed to lend money in the country where it is registered for recognition or creation of its juridical personality or capacity (for entities incorporated in the Philippines, this must come from a financial institution licensed by the Bangko Sentral ng Pilipinas).

4. If the Prospective Bidder will use an Affiliate or Affiliate of the Lead Member to comply

with the Financial Qualification Requirements in Section 3.3 of this ITPB, attach evidence of such affiliation (Annex QD-16).

___________________________________________________________________________


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Annex QD-12

Notarized Statement of Financial Capability Prospective Bidder Entity which fulfills the requirement


(Prospective Bidder / Affiliate of Prospective Bidder/ Lead Member of Consortium / Affiliate of Lead Member of Consortium)


Notarized Statement of Financial Capability

I, (name), (citizenship), of legal age, with office address at (address), as the (position/designation) of (name of entity), a (corporation/partnership) organized and existing under and by virtue of the laws of (place of incorporation /registration), after having been duly sworn according to law, hereby certify for and on behalf of (name of entity) that the information stated in this Notarized Statement of Financial Capability is true and that the attached documents are genuine and true copies of the original. 1. The (name of entity) has a minimum net worth equivalent to at least Twelve Billion

Philippine Pesos (PhP 12,000,000,000.00) or its equivalent as of its Audited Financial Statements for the most recent fiscal year, a certified true copy of which is attached to this certificate.

2. The financial summary of (name of entity) from (most recent fiscal year) is as follows:

Financial Information (Most Recent Fiscal Year)

(indicate last day of accounting year)

1. Total assets

2. Total liabilities

3.Total net worth

4. Profits before taxes

5. Profits after taxes

3. The Prospective Bidder or Lead Member is a client in good standing in the following

financial institutions (provide the names of at least two (2) financial institutions):


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Name of Financial Institution

Address

Contact Person

(Date and Place of Execution) For and on behalf of (Name of Entity): (Signature of Authorized Representative) ______________________________________ (Name) (Designation)

SUBSCRIBED AND SWORN TO before me this (____) day of (month and year) at (place), each affiant exhibiting to me his/her (proof of identity acceptable under Philippine notarial regulations), issued at (city) on (date). Notary Public Doc. No.: _________ Page No.: _________ Book No.: ________ Series of 2016.


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ANNEX QD-13: Notarized Application to Pre-qualify and Bid ___________________________________________________________________________

Annex QD-13 Notarized Application to Pre-qualify and Bid

[Letterhead]


Notarized Application to Pre-qualify and Bid I, (name), (citizenship), of legal age, with office address at (address), as the authorized representative of (name of Prospective Bidder), a (corporation/partnership or Consortium) (organized and existing under and by virtue of the laws of [place of incorporation/ registration] or organized by agreement among its Consortium Members), as indicated by the authorization certificate attached as [Annex QD-14A (for a partnership or corporation): Notarized Authority to Apply to Pre-qualify and Designation of Authorized Representative or Annex QD-14B (for a Consortium Prospective Bidder, to be submitted by each Consortium Member): Consortium Member’s Notarized Authority to Participate in Consortium and Apply to Pre-qualify and Designation of Lead Member and Authorized Representative of Consortium], after having been duly sworn according to law, hereby certify for and on behalf of (name of Prospective Bidder) that:

1. In accordance with the Bidding Documents for the LRT Line 6 Project (hereinafter referred

to as the “Project”), the (name of Prospective Bidder), a (partnership/corporation/Consortium) with business address at (business address), is applying to pre-qualify and bid for the Project and submits its Pre-qualification Documents.

2. (name of Prospective Bidder) confirms that all statements made and the information and

documents provided in its Pre-qualification Documents, including statements made by all Consortium Members, their Affiliates, proposed Railway Experience Nominees and proposed O&M Experience Nominee in any of the Pre-qualification Documents are true and correct, and any misrepresentation or false statement made therein shall be a ground for its disqualification from the Bidding.

3. (name of Prospective Bidder) authorizes the Department of Transportation and

Communications (“DOTC”) to conduct any inquiries or investigations to verify the statements, documents, and information submitted in its Pre-qualification Documents, and to seek clarification from its clients and bankers regarding any technical and financial aspects. (name of Prospective Bidder) also permits third parties to supply information required to verify statements and information submitted in its Pre-qualification Documents.

4. (name of Prospective Bidder) acknowledges the right of the DOTC to reject its Pre-

qualification Documents without assigning any reason and to cancel the Bidding Process at


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any time, without incurring any liability, and accepts all the terms and conditions of the Instructions to Prospective Bidders and other Invitation Documents.

5. (name of Prospective Bidder), including the entities it has identified to comply with the Pre-

qualification Requirements under the Instructions to Prospective Bidders, have not at any time engaged in any Corrupt, Fraudulent, Coercive, Undesirable, or Restrictive Practices, nor have a Conflict of Interest.

6. (name of Prospective Bidder) waives any right to and shall not seek or obtain any restraining

order, writ of injunction or prohibition or any other form of coercive judicial, quasi-judicial or administrative writ, process or issuance against the DOTC to restrain, prevent, suspend, or in any manner forestall, hinder or render inconvenient the Bidding Process. (name of Prospective Bidder) acknowledges that the DOTC are undertaking this Bidding Process in the performance of their functions to ensure the provision of a critical basic necessity and that, therefore, the Project is of paramount public interest and importance and that the DOTC will suffer serious and irreparable damage on account of any breach by (name of Prospective Bidder) of these undertakings, and agree that the breach of these undertakings shall result in (name of Prospective Bidder)’s automatic disqualification from the Bidding.

(Date and Place of Execution) For and on behalf of (Name of Prospective Bidder/Name of Consortium / List of Consortium Members): (Signature of Authorized Representative) ______________________________________ (Name) (Designation)

SUBSCRIBED AND SWORN TO before me this (____) day of (month and year) at (place), each affiant exhibiting to me his/her (proof of identity acceptable under Philippine notarial regulations), issued at (city) on (date).

Notary Public Doc. No.: ________ Page No.: ________ Book No.: _______ Series of 2016.


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ANNEX QD-14A: Notarized Authority to Apply to Pre-qualify and Designation of Authorized Representative ___________________________________________________________________________

Annex QD-14 Notarized Authority to Apply to Pre-qualify and

Designation of Authorized Representative [Letterhead of Prospective Bidder]


I, (name of corporate secretary or equivalent officer), after having been duly sworn according to law, hereby depose and state that:

1. I am a (Filipino) citizen, of legal age and a resident of []; 2. I am the duly elected (corporate secretary or equivalent officer) of (name of

Prospective Bidder) (the “Prospective Bidder”), a (corporation/partnership) organized and existing under and by virtue of the laws of (the Philippines);

3. At a (regular/special) meeting of the (board of directors/partners) of the

Prospective Bidder, held on (date) at (place), in which meeting a quorum was present and acting throughout, the following Resolutions were unanimously passed and approved:

RESOLVED, AS IT IS HEREBY RESOLVED, that (name of Prospective Bidder) be, and is, authorized to participate in the Bidding Process for the financing, design, construction, operation and maintenance of the LRT Line 6 Project and to apply for Pre-qualification as a Bidder for the Project;

RESOLVED FURTHER, that (name of representative) be and is hereby appointed as the authorized representative of the Prospective Bidder during Pre-qualification, authorized to execute, sign, submit and receive documents for and otherwise act in the name of the Prospective Bidder;

RESOLVED, FINALLY, that any and all acts done and/or performed by (name of representative) under and by virtue of this resolution be, as they are hereby, confirmed and ratified.

4. These resolutions have not been revoked, amended or modified and remain valid

and binding on the Prospective Bidder; and

5. The above resolutions are in accordance with the records of the Prospective Bidder.


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(Date and Place of Execution) (Signature of Corporate Secretary or Equivalent Officer) ___________________________________ [Corporate Secretary or Equivalent Officer] SUBSCRIBED AND SWORN TO before me this (____) day of (month and year) at (place), each affiant exhibiting to me his/her (proof of identity acceptable under Philippine notarial regulations), issued at (city) on (date). Notary Public Doc. No.: ________ Page No.: ________ Book No.: _______ Series of 2016.


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ANNEX QD-14B: Consortium Member’s Notarized Authority to Participate in Consortium and Apply to Pre-qualify and Designation of Lead Member and Authorized Representative of Consortium ___________________________________________________________________________

Annex QD-14B Consortium Member’s Notarized Authority to Participate in Consortium and Apply to Pre-qualify, and Designation of Lead Member and Authorized Representative of Consortium

[Letterhead of Consortium Member]


I, (corporate secretary or equivalent officer), after having been duly sworn according to law, hereby depose and state that: 1. I am a (Filipino) citizen, of legal age and a resident of []; 2. I am the duly elected (corporate secretary or equivalent officer) of (Consortium

Member), a (corporation/partnership) organized and existing under and by virtue of the laws of (the Philippines);

3. At a regular/special meeting of the (board of directors/partners) of (Consortium

Member), held on (date) at (place), in which meeting a quorum was present and acting throughout, the following Resolutions were unanimously passed and approved:

RESOLVED, AS IT IS HEREBY RESOLVED, that (Consortium Member) be, and is, authorized to participate, through a Consortium consisting of the following Members and their respective nationalities and percentage interests in the Consortium, in the Bidding Process for the financing, design, construction, operation and maintenance of the LRT Line 6 Project (“Project”) and to apply for Pre-qualification of Prospective Bidders for the Project;

Name of Consortium Member Nationality % Interest

RESOLVED FURTHER, that (Consortium Member) in the exercise of its interest in the Consortium hereby:

(a) designates (name of Lead Member of Consortium) as Lead Member

of the Consortium with the authority to represent the Consortium during the Pre-qualification of Prospective Bidders for the Project;


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(b) authorizes (name of authorized representative) of (name of Lead

Member of Consortium) as representative of the Consortium during the Pre-qualification of Bidders for the Project, and for such purpose shall have the authority to execute, sign, submit and receive documents for and otherwise act in the name of the Consortium.

RESOLVED, FURTHER, that any and all acts done and/or performed by (name of Lead Member of Consortium) and (name of authorized representative) under and by virtue of this resolution be, as they are hereby, confirmed and ratified.

RESOLVED, FURTHER, that in the event the Consortium is declared as the Winning Bidder, (Consortium Member) will cooperate with the other Consortium Members to register a domestic corporation with the Philippine Securities and Exchange Commission which corporation shall undertake to bind itself to be liable for the obligations of the Concessionaire under the Concession Agreement.

RESOLVED, FINALLY, that until the Concession Agreement has been awarded and the domestic corporation has been formed, (Consortium Member) binds itself jointly and severally for all the obligations of the Prospective Bidder under the Instructions to Prospective Bidders and the obligations of the Bidder under the Instructions to Bidders, and those of the Concessionaire under the Concession Agreement, as may be applicable.

4. These resolutions have not been revoked, amended or modified and remain valid

and binding on (Consortium Member); and

5. The above resolutions are in accordance with the records of the (Consortium Member).

(Date and Place of Execution) (Signature of Corporate Secretary or Equivalent Officer) ___________________________________ [Corporate Secretary or Equivalent Officer] SUBSCRIBED AND SWORN TO before me this (____) day of (month and year) at (place), each affiant exhibiting to me his/her (proof of identity acceptable under Philippine notarial regulations), issued at (city) on (date). Notary Public Doc. No.: ________ Page No.: ________ Book No.: ________ Series of 2016.


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Annex QD-15A: Certificate of Project Completion for Railway Infrastructure and Systems Design Experience

Instructions a. Required to be submitted by the entity or entities which fulfill the Railway Infrastructure

and Systems Design Experience in Section 3.2.2 of the ITPB, as identified in the Business Structure (Annex QD-1A or Annex QD-1B), item 3.

b. For each Reference Project being cited as an experience towards the Railway

Infrastructure and Systems Design Experience, a certificate shall need to be produced by the entity claiming such experience as evidence for having the said experience. Such certificate shall need to be obtained from an Authorized Issuer and shall substantially cover the details required in the format prescribed below.

___________________________________________________________________________

Annex QD-15A Certificate of Project Completion for Railway Infrastructure and Systems Design Experience This is to certify that [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the Railway Infrastructure and Systems Design Experience] designed the [name of project] which is a/an [nature of project], where [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the Railway Infrastructure and Systems Design Experience] was entirely responsible for the design for the project and that [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the Railway Infrastructure and Systems Design Experience] was the entity controlling the design works and the entity directly responsible and accountable for the outcome of such design works. The project was commissioned on [date of commissioning of the project]. We further certify that the project consists of an elevated metropolitan passenger rail transit system at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per fiscal year, including the railway system composed of the track form, signaling (which should include the provision of automatic train protection, automatic train supervision and automatic train operation technology), traction, telecommunications and control systems that make up a metropolitan passenger rail transit system. Certified by: Name of the Authorized Issuer: Seal of the Authorized Issuer: Designation: (Signature, name and designation of the authorized signatory) Date: Place of Execution:


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SUBSCRIBED AND SWORN TO before me this (____) day of (month and year) at (place), affiant exhibiting to me his/her (proof of identity acceptable under Philippine notarial regulations), issued at (city) on (date). Notary Public Doc. No.: ________ Page No.: ________ Book No.: ________ Series of 2016.


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Annex QD-15B: Certificate of Project Completion for Railway Infrastructure Construction Experience

Instructions a. Required to be submitted by the entity or entities which fulfill the Railway Infrastructure


b. For each Reference Project being cited as an experience towards the Railway

Infrastructure Construction Experience, a certificate shall need to be produced by the entity claiming such experience as evidence for having the said experience. Such certificate shall need to be obtained from an Authorized Issuer and shall substantially cover the details required in the format prescribed below.

___________________________________________________________________________

Annex QD-15B Certificate or Project Completion for Railway Infrastructure Construction Experience This is to certify that [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the Railway Infrastructure Construction Experience] actively participated in the construction works for the [name of project] which is a/an [nature of project], where [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the Railway Infrastructure Construction Experience] was the entity controlling the construction works and the entity directly responsible and accountable for the outcome of such construction work. The project was commissioned on [date of commissioning of the project]. We further certify that the project consists of [an elevated metropolitan passenger rail transit system at least ten (10) kilometers in length] OR [a bridge or viaduct structure at least ten (10) kilometers in length]. Certified by: Name of the Authorized Issuer: Seal of the Authorized Issuer: Designation: (Signature, name and designation of the authorized signatory) Date: Place of Execution:


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SUBSCRIBED AND SWORN TO before me this (____) day of (month and year) at (place), each affiant exhibiting to me his/her (proof of identity acceptable under Philippine notarial regulations), issued at (city) on (date). Notary Public Doc. No.: ________ Page No.: ________ Book No.: ________ Series of 2016.

Instructions to Prospective Bidders Annex QD-15C

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Annex QD-15C: Certificate of Project Completion for Railway Systems Construction Experience

Instructions a. Required to be submitted by the entity or entities which fulfill the Railway Systems


b. For each Reference Project being cited as an experience towards the Railway Systems Construction Experience, a certificate shall need to be produced by the entity claiming such experience as evidence for having the said experience. Such certificate shall need to be obtained from an Authorized Issuer and shall substantially cover the details required in the format prescribed below.

___________________________________________________________________________

Annex QD-15C Certificate of Project Completion for Railway Systems Construction Experience) This is to certify that [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the Railway Systems Construction Experience] actively participated in the construction works for the [name of project] which is a/an [nature of project], where [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the Railway Systems Construction Experience] was the entity controlling the construction works and the entity directly responsible and accountable for the outcome of such construction work. The project was commissioned on [date of commissioning of the project]. We further certify that: (a) the project consists of the delivery, installation and commissioning of a metropolitan

passenger rail transit system at least ten (10) kilometers in length and capable of transporting at least twenty five (25) million passengers per fiscal year implemented within the last fifteen (15) years prior to [insert date of Pre-qualification Documents Submission Date]; and

(b) the rail transit system project was composed of the track form, signaling (including the

provision of automatic train protection, automatic train supervision and automatic train operation technology), traction and telecommunications and control systems that make up a metropolitan rail transit system.

Certified by: Name of the Authorized Issuer: Seal of the Authorized Issuer: Designation: (Signature, name and designation of the authorized signatory) Date: Place of Execution:

Instructions to Prospective Bidders Annex QD-15C

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Instructions to Prospective Bidders Annex QD-15D

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Annex QD-15D: Certificate of Project Completion for Rolling Stock Experience

Instructions a. Required to be submitted by the entity or entities which fulfill the Rolling Stock Experience

in Section 3.2.5 of the ITPB, as identified in the Business Structure (Annex QD-1A or Annex QD-1B), item 9.

b. For each Reference Project being cited as an experience towards the Rolling Stock

Experience, a certificate shall need to be produced by the entity claiming such experience as evidence for having the said experience. Such certificate shall need to be obtained from an Authorized Issuer and shall substantially cover the details required in the format prescribed below.

___________________________________________________________________________

Annex QD-15D Certificate of Project Completion for Rolling Stock Experience

This is to certify that [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the Rolling Stock Experience] was the entity controlling the design, engineering, manufacture and delivery of the [name of project] which is a/an [nature of project], where [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the Rolling Stock Experience] and the entity directly responsible and accountable for the outcome of such work. Delivery of the rail cars was accepted on [date of acceptance]. We further certify that the project consists of the manufacture and delivery of [insert number of rail cars manufactured delivered in the last ten years before the Pre-qualification Documents Submission Date, which must not be less than one hundred (100)] rail cars in the last ten (10) years reckoned from [insert date of Pre-qualification Documents Submission Date], of which [insert number of rail cars delivered and commissioned in the five years preceding the Pre-qualification Documents Submission Date, which must not be less than fifty (50)] cars have been delivered and commissioned in the last five (5) years, reckoned from [insert date of Pre-qualification Documents Submission Date]. Certified by: Name of the Authorized Issuer: Seal of the Authorized Issuer: Designation: (Signature, name and designation of the authorized signatory) Date: Place of Execution:

Instructions to Prospective Bidders Annex QD-15D

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Instructions to Prospective Bidders Annex QD-15E

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Annex QD-15E: Certification for O&M Experience

Instructions a. Required to be submitted by the entity or entities which fulfill the O&M Experience

Requirements in Section 3.2.6 of the ITPB, as identified in the Business Structure (Annex QD-1A or Annex QD-1B), item 11.

b. For each Reference Project being cited as an experience towards the O&M Experience, a

certificate shall need to be produced by the entity claiming such experience as evidence for having the said experience. Such certificate shall need to be obtained from an Authorized Issuer and shall substantially cover the details required in the format prescribed below.

___________________________________________________________________________

Annex QD-15E Certificate for O&M Experience

This is to certify that [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the O&M Experience] [is operating/operated] the [name of project] which is a/an [nature of project], where [name of the Prospective Bidder/Consortium Member/Affiliate/other entity proposed to meet the O&M Experience] was the entity controlling the operation and/or maintenance of the project and the entity directly responsible and accountable for the outcome thereof. (a) operation of a metropolitan passenger rail transit system capable of transporting at least

twenty five (25) million passengers and has actually transported at least fifteen (15) million passengers per fiscal year for a period of at least three (3) full consecutive fiscal years within the last five (5) years;

(b) maintenance of a metropolitan passenger rail transit system which has achieved a minimum

of one (1) million train kilometers per fiscal year for a period of at least three (3) full consecutive fiscal years within the last five years; and

(c) management of or active participation in the commissioning process for a metropolitan

passenger rail transit system which is capable of transporting at least twenty five (25) million passengers and has actually transported at least fifteen (15) million passengers per fiscal year for a period of at least three (3) full consecutive fiscal years, or a section of such system, within the last fifteen (15) years.

Certified by: Name of the Authorized Issuer: Seal of the Authorized Issuer: Designation: (Signature, name and designation of the authorized signatory) Date: Place of Execution:

Instructions to Prospective Bidders Annex QD-15E

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Annex QD-16: Certificate for Establishing Relationship with Affiliates

Instructions If the experience for which the Prospective Bidder applies for qualification belongs to an Affiliate of the entity, a certificate providing evidence of such Affiliate relationship shall be provided, substantially covering the details prescribed in the format below. ___________________________________________________________________________

Annex QD-16 Certificate for Establishing Relationship with Affiliates

As per authenticated records, this is to certify that [name of the Prospective Bidder/Consortium Member/Affiliate/entity) is an Affiliate of [name of Prospective Bidder/Consortium Member/Affiliate/entity) as defined in the Instructions to Prospective Bidders. A brief description of such affiliation is given below: [Describe the shareholding of the Applicant/Consortium Member and the Affiliate. In the event the Affiliates are under common control with the Applicant/Consortium Member, the relationship may be suitably described and similarly certified herein. In case the control is exercised through a legal agreement, provide provisions of such legal agreement evidencing such control.] Certified by: Name of Auditor: Seal of Auditor: Designation: (Signature, name and designation of the authorized signatory) Date: Place of Execution: SUBSCRIBED AND SWORN TO before me this (____) day of (month and year) at (place), each affiant exhibiting to me his/her (proof of identity acceptable under Philippine notarial regulations), issued at (city) on (date). Notary Public Doc. No.: ________ Page No.: ________ Book No.: ________ Series of 2016.