Consulting Services Manual - World Bank

1 Consulting Services Manual A Comprehensive Guide to Selection of Consultants THE World BANK Washington, 2002 The International Bank for Reconstruction and Development / THE World BANK 1818 H Street, Washington, 20433, USA All rights reserved Manufactured in the United States of America First printing November 2001 1 2 3 4 04 03 02 01 Rights and Permissions The material in this work is copyrighted. No part of this work may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or inclusion in any information storage and retrieval system, without the prior written permission of the World Bank. The World Bank encourages dissemination of its work and will normally grant permission promptly.

2 For permission to photocopy or reprint, please send a request with complete information to the Copyright Clearance Center, Inc, 222 Rosewood Drive, Danvers, MA 01923, USA, telephone 978-750-8400, fax 978-750-4470, All other queries on rights and licenses, including subsidiary rights, should be addressed to the Office of the Publisher, World Bank, 1818 H Street NW, Washington, DC 20433, USA, fax 202-522-2422, e-mail Library of Congress Cataloging-in-Publication Data has been applied for. ii Consulting Services Manual Contents ABBREVIATIONS AND xii 1 Consulting Types of Consulting 2. Main Consulting Particular Types of Evolution of the Consulting Services 3. GENERAL POLICIES AND PRINCIPLES IN THE USE _OF Main Considerations in the Selection of Use of National Associations between Handling of Information to Consultants Selected and Engaged by the 18 4.

3 CONFLICT OF Main Bank Categories of Conflicts of Prevention of Conflicts of Utility Management Consultants Engaged by the 25 5. FRAUD AND General Most Common Corrupt Sources of Contents iii Investigations and Sanctions by the Prevention of Corrupt 6. TRANSFER OF KNOWLEDGE IN CONSULTANT Main On-the-Job Training of Borrower Stand-Alone Twinning of 7. FINANCING Consulting Reimbursable Grants and Trust Disbursements and Suspension of Cofinancing of Consulting 8. THE ROLE OF THE Main Prior Post Assistance to 9. THE SELECTION PROCESS AND SELECTION Steps in the Selection General Criteria for Selection Selection Selection of Particular Types of Time Schedule of the Selection 10.

4 DEVELOPING THE TERMS OF Main Drafting Terms of Outline of the Terms of 11. ESTIMATING COST AND Main Estimating Cost 12. SETTING THE EVALUATION Main Specific iv Consulting Services Manual Methodology and Work Qualifications and Competence of Key Transfer of Knowledge (Training)..77 National The Point Evaluation Criteria and 79 13. ADVERTISING AND Main Associations between Review and Approval of the DACON 84 14. REQUEST FOR Letter of Information to Technical and Financial Proposal Standard Standard Forms of 92 15. TYPES AND FORMS OF Types of Consultant Selection of the Appropriate Contract Bank Standard Contract 16. PREPARATION, SUBMISSION, AND EVALUATION OF Preparation of Evaluation Receipt and Opening of Evaluation of Financial Combined Evaluation and Final Rejection of All Role of the Bank in the Evaluation 17.

5 EVALUATION PRACTICES OF TECHNICAL Rating Specific Experience of Consultants that Relates to the Adequacy of Proposed Methodology and Work Qualifications and Competence of Proposed Key 18. NEGOTIATIONS AND AWARD OF Preparations for Contents v Items Subject to Outline of Negotiation Limits of Negotiations of Technical Negotiation of Financial Negotiation of Contract 19. SUPERVISING Contract Execution of the Completing the Bank Role in 20. PREPARATION, SUBMISSION, AND EVALUATION OF 21. SELECTION OF INDIVIDUAL Individual Consultants Versus Consulting Selection of Individual Hiring of Government Officials and ANNEXES Annex 1. Bank s Comments/ No-Objections Annex 2. Single Source Selection Annex 3.

6 Sample Activity Annex 4. Sample Staffing ANNEX 5. Cost Estimate ANNEX 6. Format for Request for Expressions of ANNEX 7. Examples of Evaluation of ANNEX 8. Taxation of Consulting ANNEX 9. Form for Performance ANNEX 10. The Design ANNEX 11. Instructions and Guidance vi Consulting Services Manual FIGURES Consultant Conflicts of Interest: Range of Possible Cases The Steps of the Selection Process Time Schedule of the Selection Process (Large Assignment with QCBS) Estimating Cost and Budget Steps in the Shortlisting Process Preparation, Submission, and Evaluation of Proposals (QCBS Method) Evaluation of Quality Negotiations (Both Technical and Financial Proposals Received) Supervising Consultants TABLES Point Distribution of Evaluation Criteria for Technical Proposals Range of Percentage in Point Distribution of Key Staff Qualifications and Competence Subcriteria Distribution of Points between Team Leader and Remaining Key Staff Allocation of Points to Main Criteria Evaluation Criteria and Sample Subcriteria Correlation between Type of Assignment, Selection Method, and Type of _Contract Recommended Grades and Percentage Rating for Specific Experience Recommended Grades and Percentage Rating for Methodology and Work Plan Recommended Grades and Percentage Rating for Qualifications and Competence of Key Staff Recommended Grades and Percentage Rating for Transfer of Knowledge _(Training)

7 Sample Payment Schedule Points Allocated to Main Criteria Key Staff Evaluation Points Allocated to Criteria and Subcriteria Key Staff Evaluation Evaluation Worksheet for Specific Experience Evaluation Worksheet for Methodology and Work Plan Evaluation Worksheet for Qualifications and Competence of the Key Staff (Group Scoring) Evaluation Worksheet for Qualifications and Competence of the Key Staff (Group Scoring) Evaluation Worksheet for Qualifications and Competence of the Key Staff (Consolidated Scoring) Evaluation Worksheet for Qualifications and Competence of the Key Staff (Consolidated Scoring) Evaluation Worksheet for Local Participation Summary of Evaluation (Technical Proposal) Summary of Evaluation Points Allocated to Main Criteria Key Staff Evaluation Points Allocated to Criteria and Subcriteria Key Staff Evaluation Contents vii Points Allocated to Main Criteria Key Staff Evaluation Points Allocated to Criteria and Subcriteria Key Staff Evaluation viii Consulting Services Manual Abbreviations and Acronyms AMS Administrative Manual Statement BPOG Bank Business Partnership and Outreach Group CADD Computer-Aided Design and Drafting COI Conflict of Interest CP Commercial Practices CPAR Country Procurement Assessment Report CSM Consulting Services Manual CTF Consultant Trust Funds CV Curriculum Vitae DACON Data on Consulting Firms DC

8 Design Contest ED Bank Executive Director ESMAP Energy Sector Management Assistance Program FIDIC F d ration Internationale des Ing nieurs Conseils (International Federation of Consulting Engineers) GCC General Conditions of Contract GEF Global Environmental Facility GPN General Procurement Notice IBRD International Bank for Reconstruction and Development ICR Implementation Completion Report IDA International Development Agency IT Information Technology ITC Information to Consultants LCS Least Cost Selection LEGOP Legal Operations LOI Letter of Invitation MC Management Contract METAP Mediterranean Environment Technical Assistance Program NGO Nongovernmental Organization OPCPR Procurement Policy and Services Group PAD Project Appraisal Document PHRD Policy and Human Resources Development PID Project Information

9 Document PPF Project Preparation Facility QBS Quality Based Selection QCBS Quality and Cost Based Selection QM Quality Management REI Request for Expressions of Interest RFP Request for Proposals SRFP Standard Request for Proposals RPA Regional Procurement Adviser Contents ix SBCQ Selection Based on Consultant s Qualifications SCC Special Conditions of Contract SFB Selection under a Fixed Budget SOE Statement of Expenditures SRFP Standard Request for Proposals SSS Single Source Selection TAL Technical Assistance Loan TF Trust Fund TOR Terms of Reference United Nations UNDB United Nations Development Business x Consulting Services Manual Introduction The World Bank1 finances Consulting assignments in all sectors, from socioeconomic and environmental projects to reforms of state and financial sectors, privatization, information technology, and infrastructure.

10 When engaging consultants financed by the Bank, Borrowers must follow procedures outlined in the applicable Guidelines: Selection and Employment of Consultants by World Bank Borrowers (Consultant Guidelines), as updated from time to time by the Since the first Handbook on Consulting Services was issued in 1985, the Bank has expanded the scope of its lending and technical assistance to Borrowers. As in the past, consultants have been instrumental to the successful preparation and implementation of projects. Borrower requests from consultants have gradually shifted from traditional design Services of physical works to assistance in the fields of poverty reduction, social development, institutional reforms and institutional development, environment, information technology, knowledge management, and other nontraditional sectors.