GUIDELINES SELECTION AND EMPLOYMENT OF C …

1 This is a MS Word version of the official Consultant GUIDELINES . If altered, this document no longer holds its official status. iii GUIDELINES : SELECTION AND EMPLOYMENT OF CONSULTANTS BY WORLD BANK BORROWERS May 2004 Revised October 1, 2006 & May 1, 2010 This is a MS Word version of the official Consultant GUIDELINES . If altered, this document no longer holds its official status. iii The May 2004 revised October 2006 GUIDELINES have been revised to reflect the recent agreement amongst Multilateral Development Banks to cross-debar firms and individuals found to have violated the fraud and corruption provisions of their respective procurement and consultant GUIDELINES .

2 These revisions affect respectively paragraphs and Please note that the above-captioned revisions should not be confused with the proposal for a broader revision of the GUIDELINES for which a consultation process is on-going. The latter revisions will be submitted to the Board of EDs for approval next FY. This is a MS Word version of the official Consultant GUIDELINES . If altered, this document no longer holds its official status. iv I. Introduction .. 1 Purpose .. 1 General Considerations .. 1 Applicability of GUIDELINES .. 2 Conflict of Interest.

3 3 Unfair Competitive Advantage .. 4 Eligibility .. 4 Advance Contracting and Retroactive Financing .. 5 Associations between Consultants .. 5 Bank Review, Assistance, and Monitoring .. 6 Misprocurement .. 7 References to the Bank .. 7 Training or Transfer of 7 Language .. 8 Fraud and Corruption .. 8 Procurement Plan .. 10 II. Quality- and Cost-Based SELECTION (QCBS) .. 11 The SELECTION Process .. 11 Terms of Reference (TOR) .. 11 Cost Estimate (Budget) .. 12 Advertising .. 12 Short List of Consultants .. 12 Preparation and Issuance of the Request for Proposals (RFP).

4 13 Letter of Invitation (LOI) .. 14 Instructions to Consultants (ITC) .. 14 Contract .. 14 Receipt of Proposals .. 14 Evaluation of Proposals: Consideration of Quality and Cost .. 15 Evaluation of the Quality .. 15 Evaluation of Cost .. 17 Combined Quality and Cost Evaluation .. 18 Negotiations and Award of Contract .. 18 Publication of the Award of Contract .. 19 Debriefing .. 19 Rejection of All Proposals, and Reinvitation .. 19 Confidentiality .. 20 III. Other Methods of SELECTION .. 21 General .. 21 Quality-Based SELECTION (QBS).

5 21 SELECTION under a Fixed Budget (FBS) .. 22 Least-Cost SELECTION (LCS) .. 22 This is a MS Word version of the official Consultant GUIDELINES . If altered, this document no longer holds its official status. v SELECTION Based on the Consultants Qualifications (CQS) .. 22 Single-Source SELECTION (SSS) .. 23 Commercial Practices .. 24 SELECTION of Particular Types of Consultants .. 24 IV. Types of Contracts and Important Provisions .. 27 Types of Contracts .. 27 Important Provisions .. 28 V. SELECTION of Individual Consultants .. 31 Appendix 1: Review by the Bank of the SELECTION of Consultants.

6 32 1. Scheduling the SELECTION Process .. 32 2. Prior 32 5. Post Review .. 34 Appendix 2: Instructions to Consultants (ITC) .. 35 Appendix 3: Guidance to Consultants .. 37 1. Purpose .. 37 2. Responsibility for SELECTION of Consultants .. 37 3. Bank s Role .. 37 5. Information on Consultant Services .. 38 7. Consultants Role .. 38 10. Confidentiality .. 39 11. Action by the Bank .. 39 15. Debriefing .. 40 This is a MS Word version of the official Consultant GUIDELINES . If altered, this document no longer holds its official status. vi Acronyms CQS SELECTION Based on Consultants Qualifications FBS SELECTION under a Fixed Budget IBRD International Bank for Reconstruction and Development (World Bank)

7 IDA International Development Association ITC Instructions to Consultants LCS Least-Cost SELECTION LOI Letter of Invitation MOS Monthly Operational Summary NGO Nongovernment Organization PAD Project Appraisal Document PAs Procurement Agents PID Project Information Document QBS Quality-Based SELECTION QCBS Quality- and Cost-Based SELECTION RFP Request for Proposal SSS Single-Source SELECTION SWAps Sector Wide Approaches TOR Terms of Reference UN United Nations UNDB United Nations Development Business 1 I. INTRODUCTION Purpose The purpose of these GUIDELINES is to define the Bank s policies and procedures for selecting, contracting, and monitoring consultants required for projects that are financed in whole or in part by loans from the International Bank for Reconstruction and Development (IBRD), credits or grants from the International Development Association (IDA),1 or grants from the Bank or trust funds2 administered by the Bank and executed by the beneficiary.

8 The Loan Agreement governs the legal relationships between the Borrower and the Bank, and the GUIDELINES apply to the SELECTION and EMPLOYMENT of consultants for the project as provided in the Agreement. The rights and obligations of the Borrower3 and the consultant are governed by the specific Request for Proposals (RFP)4 issued by the Borrower and by the contract signed by the Borrower with the consultant, and not by these GUIDELINES or the Loan Agreement. No party other than the parties to the Loan Agreement shall derive any rights therefrom or have any claim to loan proceeds.

9 For the purpose of these GUIDELINES , the term consultants includes a wide variety of private and public entities, including consulting firms, engineering firms, construction managers, management firms, procurement agents, inspection agents, auditors, United Nations (UN) agencies and other multinational organizations, investment and merchant banks, universities, research institutions, government agencies, nongovernmental organizations (NGOs), and Bank Borrowers use these organizations as consultants to help in a wide range of activities such as policy advice; institutional reforms; management; engineering services; construction supervision; financial services; procurement services; social and environmental studies; and identification, preparation, and implementation of projects to complement Borrowers capabilities in these areas.

10 General Considerations The Borrower is responsible for preparing and implementing the project, and therefore for selecting the consultant, and awarding and subsequently administering the contract. While the specific rules and procedures to be followed for employing consultants 1 Requirements of IBRD and IDA are identical. References in these GUIDELINES to the Bank include both IBRD and IDA, and references to loans include IBRD loans, as well as IDA credits and grants and project preparation advances (PPAs).