development consultants and consulting services 2018

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Development Finance, MPP, VJU Prof Koji Fujimoto Class Development Consultants and Consulting Services International Development Cooperation and Development Consultants (1) What is International Development Cooperation? 5W 1H “ International Development Cooperation” can be understood by answering the question of “When and Where, Who does What to Whom, and Why and How?” (i) When? : After WW II, two international problems were recognized, namely when write report the East-West problem and the North-South problem The developed world (ii) (iii) started to help develop the third world seriously in and around 1960 Where? : Where are regions and countries? Developing regions and countries Who? : The stakeholders of International Development Cooperation are governments of developing countries and developed countries, international organizations (MDBs and UN specialized agencies), private sector contractors contruction and consultants, NGOs/CSOs and so forth “Who” means here donors companies What? : What donors (developed countries and international organizations) for recipients (developing countries)? The donors extend program small scale (iv) industries *structural adjustment*assistance and project assistance (v) (vi) (vii) A program = many small projects To whom? : The donors extend development assistance at various levels such as international, developed country, private company and individual, to the recipients for their economic and social development chủ nghĩa nhân đạo Why? : There are a variety of philosophies such as humanitarian, interdependence/co-existence, international peace and stability, international public goods and so forth How? : International development cooperation has to be exercised in fair and impartial fashion and extended for well-being of targeted population of the recipient (2) Consulting or Engineering Consulting in International Development (i) Consulting services and project cycle In accordance with the project cycle (identification, preparation, appraisal, implementation and post-evaluation), there are variety of services development consultants provide Consulting services of the identification phase cover development planning and pre-feasibility study, those of the preparation phase cover the feasibility study, those of the appraisal phase cover supporting services of the appraisal by staff of lending institution, those of the project implementation phase cover design and bidding document Development Finance, MPP, VJU Prof Koji Fujimoto (ii) preparation, bid evaluation, monitoring, training for operation, those of the post-evaluation phase cover project performance evaluation and O&M services (See Figure of Class Lecture Text, which is attached at the end of this text.) Types of consulting services Consultants are regarded as one of the stakeholders of development cooperation other than governments of developing countries, multilateral and bilateral aid organizations (both financial and technical cooperation), NGOs/CSOs and private contractors/suppliers Consulting services are broadly divided into two kinds of services: Project Services and Advisory Services The former is again divided into two kinds of services, namely Preparation Services such as sector studies, master plans, feasibility studies, design studies, specialist studies and so forth, and Implementation Services such as tender documents, procurement assistance, construction supervision, project management, integrated solutions, training and so forth The latter services consist of strategy and policy, regulation, institutional reform, capacity building, management and leadership, information technology and so forth (See Reference Consulting Services Manual of World Bank 2006) Development Consultants (1) Definition of Consultants American Consulting Engineers Council defines consultants as follows “A Consulting Engineer……………………………… An experienced engineer applying technical competence and judgement to his clients’ best interest by unbiased independent practice, A business man, both in his own right and as applied to his clients’ economic and contractual affairs, A professional man embracing the highest standards of ethical and professional performance.” Association of Consulting Engineering Companies of Canada defines as follows “Consulting engineers offer professional engineering services and expertise to both public and private sector organizations Consulting engineers also act as independent agents and advocates for their clients, and are responsible for finding innovative solutions to technical problems and provide strategic advice to business and management In Canada, these licensed professionals offer a wide array of services and expertise in areas not only related to engineering and science, but also in economic sectors such as energy, resource development, environmental protection, and manufacturing Firms that specialize in consulting engineering are responsible for designing and building much of our public infrastructure.” An English dictionary’s definition is as follows Development Finance, MPP, VJU Prof Koji Fujimoto “A consulting engineer refers to a professionally qualified engineer or even an engineering firm which renders advice, consultancy services or technical assistance to a client in any disciplines of engineering for a fee The consulting engineer can also carry out feasibility studies or prepare proposals.” (2) Types of Consultants The term “consultant” or “consultants” refers to any organization or person that provides consulting services to a Borrower, or client There are various types of consultants who engage in development projects in developing countries (i) Common types of consultants (ii) ➢ Individuals ➢ Private partnerships ➢ Limited liability companies ➢ For-profit corporations ➢ State-owned enterprises ➢ Foundations and non-profit organization Particular types of consultants ➢ UN agencies ➢ Consulting marketing groups ➢ Universities and research institutes ➢ Non-governmental organization: NGO ➢ Financial institutions such as banks, financial firms and fund managers ➢ Procurement agents and inspection agents (See Reference Consulting Services Manual of World Bank 2006) (3) Code of Ethics of Consultants Consultants are often referred to as lawyers and doctors and regarded as an integral part of clients Therefore, they are obliged to obey the code of ethics The representative code of ethics is set forth by FIDI (International Federation of Consulting Engineers), which is shown hereunder FIDIC FIDIC Code of Ethics The International Federation of Consulting Engineers recognises that the work of the consulting engineering industry is critical to the achievement of sustainable development of society and the environment To be fully effective not only must engineers constantly improve their knowledge and skills, but also society must respect the integrity and trust the judgement of members of the profession and remunerate them fairly Development Finance, MPP, VJU Prof Koji Fujimoto All member associations of FIDIC subscribe to and believe that the following principles are fundamental to the behaviour of their members if society is to have that necessary confidence in its advisors RESPONSIBILITY TO SOCIETY AND THE CONSULTING INDUSTRY The consulting engineer shall: - Accept the responsibility of the consulting industry to society - Seek solutions that are compatible with the principles of sustainable development - At all times uphold the dignity, standing and reputation of the consulting industry COMPETENCE lực The consulting engineer shall: - Maintain knowledge and skills at levels consistent with development in technology, legislation and management, and apply due skill, care and diligence in the services rendered to the client - Perform services only when competent to perform them INTEGRITY tính trực, liêm The consulting engineer shall: - Act at all times in the legitimate interest of the client and provide all services with integrity and faithfulness IMPARTIALITY k thiên vị The consulting engineer shall: k thiên vị - Be impartial in the provision of professional advice, judgement or decision - Inform the client of any potential conflict of interest that might arise in the performance of services to the client - Not accept remuneration which prejudices independent judgement FAIRNESS TO OTHERS The consulting engineer shall: Development Finance, MPP, VJU Prof Koji Fujimoto - Promote the concept of “Quality-Based Selection” (QBS) - Neither carelessly nor intentionally anything to injure the reputation or business of others - Neither directly nor indirectly attempt to take the place of another consulting engineer, already appointed for a specific work - Not take over the work of another consulting engineer before notifying the consulting engineer in question, and without being advised in writing by the client of the termination of the prior appointment for that work - In the event of being asked to review the work of another, behave in accordance with appropriate conduct and courtesy CORRUPTION tham nhũng, hối lộ The consulting engineer shall: tiền thù lao - Neither offer nor accept remuneration of any kind which in perception or in effect either a) seeks to influence the process of selection or compensation of consulting engineers and/or their clients or b) seeks to affect the consulting engineer’s impartial judgement money!!! - Co-operate fully with any legitimately constituted investigative body which makes inquiry into the administration of any contract for services or construction A number of consulting associations have published their codes of ethics whose basic principles are the same For instance, the following Code of Ethics of AMCF (Association of Management Consulting Firms) includes those basic principles Clients We will serve our clients with integrity, competence and objectivity We will keep client information and records of client engagements confidential and will use proprietary client information only with the client’s permission We will not take advantage of confidential client information for ourselves or our firms We will not allow conflicts of interest which provide a competitive advantage to one client through our use of confidential information from another client who is a direct competitor without that competitor’s permission Engagements We will accept only engagements for which we are qualified by our experience and competence We will assign staff to client engagements I accord with their experience, knowledge, and expertise We will immediately acknowledge any influences on our objectivity to our clients and will offer to withdraw from a consulting engagement when our objectivity or integrity may be impaired Development Finance, MPP, VJU Prof Koji Fujimoto Fees We will agree independently and in advance on the basis for our fees and expenses and will charge fees and expenses that are reasonable, legitimate, and commensurate with the services we deliver and the responsibility we accept We will disclose to our clients in advance any fees or commissions that we will receive for equipment, supplies or services we recommend to our clients Profession 10 We will respect the intellectual property rights of our clients, other consulting firms, and sole practitioners and will not use proprietary information or methodologies without permission 11 We will not advertise our services in a deceptive manner and will not misrepresent the consulting profession, consulting firms, or sole practitioners (4) TOR (Terms of Reference) of Consulting Services really have to TOR explains the objectives of the assignment, scope of work, activities, tasks to be performed, respective responsibilities of the Borrower and the consultant, expected results, and deliverables of the assignment A comprehensive and clear TOR is important for the understanding of the assignment and its correct execution It reduces the risk of unnecessary extra work, delays, and additional expenses for the Borrower In addition, it helps reduce the risk of ambiguities during the preparation of consultant proposals, contract negotiation, and execution of the services Consultants carry out their job of consulting services in accordance with specific TOR TOR is usually prepared at the project appraisal phase by the Borrower in consultation with the lender Aid organizations or lenders such as the World Bank and JICA of Japan usually have their guidelines for the employment of consultants, in which outlines of TOR are spelled out (i) World Bank’s TOR (from Reference Consulting Services Manual of World Bank 2006) ➢ Background of the Project The background summaries the main features of the project and describes the assignment’s key objectives and general purpose ▻ Name of the Borrower ▻ Project location Development Finance, MPP, VJU Prof Koji Fujimoto ▻ ▻ ▻ ▻ ▻ ▻ ▻ Rationale for the project Project history (what has been done so far and by whom) List of relevant studies and basic data Need for consultants in the project and issues to be resolved Activities to be carried out by the consultants Source of financing for the assignment Supervision arrangement ➢ Objectives of the Consulting Assignment The TOR precisely describes the objectives and expected results of the assignment The typical objectives of an assignment may include the following: ▻ Sector and strategy studies or assessments ▻ Studies on public sector reform, institutional and regulatory reforms, or leadership and management change ▻ Master plans or project feasibility before investment ▻ Preparation of bidding documents and project-detailed design ▻ ▻ ▻ ▻ Project management and implementation supervision (monitoring) Capacity building and training Collection and analysis of data Evaluation of Borrower assets for sale (such as in privatization projects) ➢ Scope of Work This section of the TOR details all the main activities/tasks to be conducted by consultants and the expected results of the activities/tasks Generally speaking, the TOR describes only activities/tasks, not the approach or methodology by which the results are to be achieved, which is the responsibility of the consultant who is preparing the proposal In the TOR, the scope of work of the assignment is defined by addressing the following issues: ▻ Relevance of the assignment for the implementation of the project ▻ Definition, scope, and limits of the assignment ▻ Desired level of detail (level of design, accuracy, composition of cost estimates, and so forth) ▻ Span of projections (time horizon, life span of project components, and so forth) Development Finance, MPP, VJU Prof Koji Fujimoto ▻ Necessary comparison of the assignment with similar projects ▻ Main issues to be addressed ▻ Alternatives to be considered, and the main criteria to be used to compare them ▻ ▻ ▻ ▻ Required surveys, special analyses, and models Special equipment requirements Borrower’s institutional framework, organizations, and legal setting Transfer of knowledge, objectives, and scope ▻ ▻ ▻ ▻ Language requirements Units of measurement to be used Need for continuity, such as data gathering Quality management requirements ➢ Capacity Building and Transfer of Knowledge If capacity building and transfer of knowledge are a specific objective of the assignment, the TOR should provide specific details on the characteristics of the required services and ask consultants to propose approach and methodology ➢ Reports and Schedule of Deliveries The TOR should indicate the estimated duration of the assignment, from the date of commencement to the date of the Borrower receives and accepts the consultant’s final report or specific completion date The assignment’s reporting requirement should be clearly specified The TOR should indicate the format, frequency, and content of reports, as well as the number of copies, the language, and the names of the prospective recipients of the reports Depending on the assignment, the following reports are usually required: ▻ Inception Report This report should be submitted shortly after the commencement date Any major inconsistency in the TOR, deficiency in Borrower assistance, or staffing problems that have become apparent during this period should be includes ▻ Progress Reports These reports keep the Borrower and Bank regularly informed about the progress of the assignment They may also provide warnings, of anticipated problems or serve as a reminder for payment of invoices due Depending on the needs of the assignment, progress reports may be Development Finance, MPP, VJU Prof Koji Fujimoto delivered monthly or bimonthly For feasibility studies and design assignments, delivery of progress reports at two-month intervals is generally satisfactory For technical assistance and implementation supervision (in construction, for instance), monthly progress reports are submitted Progress report could include bar charts and photographs for better and quicker understanding of the status of the project ▻ Interim Report If the assignment is phased, interim reports are required to inform the Borrower of preliminary results, alternative solutions, and major decisions that need to be made The Bank and Borrower should discuss the draft interim report with consultants in the field And the Borrower should approve draft interim reports ▻ Final Report The final report (project completion report) is due at the completion of the assignment The Borrower, Bank, and consultants discuss the draft final report Although the consultants alone are responsible for their findings Changes may be suggested during the discussions If the consultants not accept comments and recommendations from the Borrower, these should be noted in the report with reasons why the consultants not accept them ➢ Data, Services, Personnel, and Facilities to be Provided by the Borrower The TOR indicates the inputs provided by the Borrower to the consultants Those inputs should include all the information and services that will be made available by the Borrower, such as the Borrower’s available software and computer modes to be used by the consultants, office space, vehicles, survey equipment, office and computer equipment, telecommunication systems and Borrower’s counterpart staff to the project ➢ Institutional and Organizational Arrangements The TOR should define the institutional setup and the organization surrounding the assignment and indicate the role and responsibilities of all those involved, specifying the type, timing, and relevance of participation The TOR should define the hierarchy and level of authority of counterpart personnel, as well as the requested level of experience of the Borrower’s personnel who will be integrated into the consultants’ team Development Finance, MPP, VJU Prof Koji Fujimoto (ii) JICA’s TOR (from Reference 2: Guidelines for the Employment of Consultants under Japanese ODA Loans 2012) (The Terms of Reference shall include the items mentioned below The relevance of an item will depend on the nature of the project.) Project Information (1) Background information history of the project's evolution and the reason(s) why it is necessary to implement the project (2) Location of the project and information on the surrounding area (3) Stage reached in the project's preparation and summary of the findings of studies to date (4) Implementing organization (5) Details of the major problem areas Other Relevant Information (1) Technical information availability of relevant basic data, technical standards or specifications to be used, etc (2) Relevant laws and regulations (3) Related projects General Terms of Reference (1) Objectives (2) Scope of consulting services Categories of consulting services to be provided, nature of consulting work (the latter in detail, including equipment and materials to be supplied by the consultant) In the case of projects classified into specific categories in accordance with the relevant environmental guidelines published by JICA, consulting services related to environmental consideration, such as those described in Section 2.01, shall be included in the scope (3) Nature of and limit to the responsibilities which the consultant is to assume (4) Estimated time required to complete (a) the project, (b) the consulting work; number and qualifications of experts; man-months as estimated by the Borrower for budget purposes (5) Scope, number, type and frequency of the reports to be presented by the consultant (6) Other necessary provisions regarding the obligations between the Borrower and the consultant which are stipulated in Guidelines for the Employment of Consultants under Japanese ODA Loans (e.g Section 2.02(3), Section 2.06) Specific Terms of Reference (1) Methodological details relating to the consulting services mentioned above (2) Provision for the review of previous studies and for possible additional studies 10 Development Finance, MPP, VJU Prof Koji Fujimoto Services and Facilities to be provided by the Borrower (iii) Sample of TOR See Reference Sample Terms of Reference ADB Project “Outline Terms of Reference for Consulting Services” Selection and Employment of Consultants Multilateral and bilateral financial aid organizations such as the World Bank, Asian contractors development Bank, and Japan International Cooperation Agency (Yen loan wing) possess two types of guidelines: consultant guidelines and procurement guidelines In implementing development projects, the Borrower as client first employs consultants and then enters into (construction) contract with contractors The World Bank’s Guidelines ▻ Guidelines Selection and Employment of Consultants by World Bank Borrowers (▻ Guidelines Procurement of Goods, Works, and Non-consulting Services under IBRD Loans and IDA Credits by World Bank Borrowers) ADB’s Guidelines ▻ Guidelines on the Use of Consultants by Asian Development Bank and Its Borrowers (▻ Procurement Guidelines) JICA’s Guidelines ▻ Guidelines for the Employment of Consultants under Japanese ODA Loans (▻ Guidelines for Procurement under JICA Loans) (1) Procedure of Consultant Selection (i) Cost: How much fund technical quality Method of Selection There are a variety of selection methods such as Quality- and Cost-Based Selection (QCBS), Quality-Based Selection (QBS), Fixed Budget Selection, Least-Cost Selection, Consultants’ Qualifications Selection, Single-Source Selection and so forth Among these, the first two are the most basic selection methods QCBS is a method which takes into account the quality of the proposal and the cost of the services to be provided QBC is a method based on evaluating only the quality of the technical proposals and subsequent negotiation of the financial proposal and the contract with the consultant who QBS: technical quality; First 11 Two envelope system - Tech proposal + Financial proposal Development Finance, MPP, VJU Prof Koji Fujimoto submitted the highest ranked technical proposal QCBS is generally applicable to the following assignments; the scope of work can be precisely defined, the TORs are well specified and clear, and the financier (financial assistance organization) or the Borrower and the consultants can estimate with reasonable precision the personnel time as well as the inputs required of the consultants QBS is applicable to the following types of assignments; complex or highly specialized assignments for which it is difficult to define precise TOR and the required input from the consultants, (ii) assignments where the downstream impact is so large that the quality of services is of overriding importance for the outcome of the project, and assignments that can be carried out in substantially different ways such that financial proposals maybe difficult to compare Selection Procedure The selection methods sated above have their own selection procedures of consultants The selection procedures for QCBS and QBS shall include the following steps individually: QCBS (a) (b) (c) (d) Preparation of TOR and cost estimates Advertising Preparation of short list of consultants Preparation and issuance of the Request for Proposal (RFP) which should research proposal include the Letter of Invitation (LOI), Instructions to Consultants (ITC), the TOR and the proposed draft contract (e) Receipt of proposals (f) Evaluation of technical proposals (consideration of quality) (g) Public opening of financial proposals (h) (i) (j) (k) Evaluation of financial proposals Final evaluation of quality and cost, and ranking of proposals Negotiations and award of the contract to the selected consultant firm Publication of award of contract QBS (a) Preparation of TOR (b) Advertising (c) Preparation of short list of consultants (d) Preparation and issuance of RFP 12 Development Finance, MPP, VJU Prof Koji Fujimoto (e) Receipt of proposals (f) Evaluation of technical proposals and ranking of the technical proposals (g) The Borrower invites consultant with the highest ranked technical proposal to submit a financial proposal, or opens a sealed financial proposal of the consultant already submitted in a separate envelope in the proposal (two-envelope system) (h) Negotiations and award of contract to the selected consultant firm (i) Publication of the award of contract (2) Request for Proposals (RFP) The Request for Proposals (RFP) provides all the instructions and information necessary for the short-listed consultants to prepare their proposals The RFP, in the case of the World Bank, includes the following sections: Letter of Invitation, Instructions to Consultants (ITC) (including the Data Sheet), Technical ProposalStandard Forms, Financial Proposals-Standard Forms (including the appendix on breakdown of remuneration rates), Eligible Countries, Bank’s Policy – Corruption and Fraudulent Practices, Terms of Reference, and Standard Forms of Contract (Reference 3: Standard Request for Proposals Selection of Consultants, World Bank, 2011) (i) (ii) Section 1: Letter of Invitation This Section is a template of a letter from the Client addressed to a shortlisted consulting firm inviting it to submit a proposal for a consulting assignment The LOI includes a list of all shortlisted firms to whom similar letters of invitation are sent, and a reference to the selection method and applicable guidelines or policies of the financing institution that govern the selection and award process (See Page and of Reference 3) Section 2: Instructions to Consultants This Section consists of two parts: “Instructions to Consultants” and “Data Sheet” “Instructions to Consultants” contains provisions that are to be used without modifications “Data Sheet” contains information specific to each selection and corresponds to the clauses in “Instructions to Consultants” that call for selectionspecific information to be added This Section provides information to help shortlisted consultants prepare their proposals Information is also provided on the submission, opening and evaluation of proposals, contract negotiation and award of contract Information in the Data Sheet indicates whether a Full Technical 13 Development Finance, MPP, VJU Prof Koji Fujimoto (iii) Proposal (FTP) or a Simplified Technical Proposal (STP) shall be used (See Page 20-29 of Reference on “Data Sheet”) Section 3: Technical Proposal-Standard Forms This Section includes the forms for FTP and STP that are to be completed by the shortlisted consultants and submitted in accordance with the requirements of Section (See Page 31 “Check List of Required Forms”, Page 32 & 33 “Form TECH-1: Technical Proposal Submission Form”, Page 34 & 35 “Form TECH-2 for Full Technical Proposal: Consultant’s Organization and Experience”, Page 36 “Form TECH-3 for Full Technical Proposal: Comments and Suggestions on the Terms of Reference, Counterpart Staff, and Facilities to be Provided by the Client”, Page 37 “Form TECH-4 for Full Technical Proposal Only: Description of Approach, Methodology, and Work Plan Responding to the Terms of Reference”, Page 38 “Form TECH-4 for Simplified Technical Proposal Only: Description of Approach, Methodology, and Work Plan for Performing the Assignment”, Page 39 “Form TECH-5 for FTP and STP: Work Schedule and Planning for Deliverables”, and Page 40 & 41 “Form TECH-6 for FTP and STP: Team Composition, Assignment, (iv) (v) (vi) (vii) Key Experts’ Inputs”, and Page 42 & 43 “Form TECH-6 for FTP and STP: Curriculum Vitae” of the above Reference 3) Section 4: Financial Proposal-Standard Forms This Section includes the financial forms that are to be completed by the shortlisted consultants, including the consultant’s costing of its technical proposal, which are to be submitted in accordance with the requirements of Section (See Page 46 & 47 “Form FIN-1: Financial Proposal Submission Form”, Page 48 “Form FIN-2: Summary of Costs”, Page 49-53 “Form FIN-3: Breakdown of Remuneration”, Page 54 “Form FIN-4: Breakdown of Reimbursement Expenses” of the above Reference 3) Section 5: Eligible Countries Section 6: Bank’s Policy – Corrupt and Fraudulent Practices Section 7: Terms of Reference This Section describes the scope of services, objectives, goals, specific tasks required to implement the assignment, and relevant background information; provides details on the required qualifications of the key experts; and lists the expected deliverables This Section shall not be used to over-write provisions in Section (See Page 59 “Section Terms of Reference” of Reference 3.) 14 Development Finance, MPP, VJU Prof Koji Fujimoto (viii) Section 8: Standard Form of Contract This Section includes two types of standard contract forms for large or complex assignments: a Time-Based Contract and a Lump-Sum Contract Each type includes General Conditions of Contract (“GCC”) that shall not be modified, and Special Conditions of Contract (“SCC”) The SCC include clauses specific to each contract to supplement the General Conditions Proposal Evaluation and Costs of Consulting Services (1) Proposal Evaluation In both QCBS and QBS, the technical proposal is first evaluated, followed by the financial evaluation The technical proposal evaluation is in fact the evaluation of “quality” of consulting services/assignment The financial proposal evaluation is literally the evaluation of “price” of consulting services/assignment Both evaluations are carried out by using numerical ratings The Borrower prepares a summary evaluation sheet for technical proposal as well as that for financial evaluation And then, in case of QCBS, the total score of each short-listed consultant is obtained by weighting and adding technical and financial scores, which determines the overall ranking of the consultants’ proposals (i) Technical Evaluation Generally speaking, the criteria of technical evaluations covers three items: Experience of Firm, Methodology and Work Plan, and Personnel/Staff Weight in terms of points is given to each of these three items in such a formula (which varies depending on the type and nature of the project) as 20-30-50 In Table 1, a sample case is shown Each item is composed of sub-items and the third item Personnel/Staff is usually divided into international staff (international recruited staff) and local staff (domestically recruited staff) It is expected that the international staff will transfer technology to the local staff The technical evaluation ranks the firms based on total score/points obtained However, firms who not clear either the total pre-fixed qualifying score or the item-wise score shall be disqualified 15 Development Finance, MPP, VJU Prof Koji Fujimoto Table Technical Evaluation Name of Consulting Firm Selection Criteria *1 Consulting Firm A Weight (w)*2 Rating (r)*3 I Experience relevant to the assignment Experience of international projects of comparable size, complexity and technical speciality Experience in developing countries under comparable conditions II Proposed methodoligy and work plan Approach and methodoligy Work plan (including staffing schedule) 20 III Personnel 50 10 70 10 30 15 15 Score (w) x (r) 16.00 Consulting Firm B Rating (r) Score (w) x (r) 19.00 Consulting Firm C Rating (r) 7.00 90 9.00 100 90 9.00 100 10.00 70 70 21.00 10.50 10.50 90 90 27.00 13.50 13.50 38.05 42.19 Score (w) x (r) 19.00 Consulting Firm D Rating (r) Score (w) x (r) 16.00 10.00 80 90 9.00 80 8.00 70 90 24.00 10.50 13.50 95 85 27.00 14.25 12.75 41.65 8.00 32.15 International staff 35 26.85 29.84 29.30 32.15 Project manager/road engineer 15 75 11.25 90 13.50 80 12.00 95 14.25 Transport economist 80 5.60 80 5.60 80 5.60 100 7.00 Environmental expert 75 6.00 78 6.24 90 7.20 80 6.40 Social sector analyst 80 4.00 90 4.50 90 4.50 90 4.50 Local staff 15 11.20 12.35 12.35 13.30 Road engineer 80 4.00 90 4.50 75 3.75 95 4.75 Transport economist 70 2.10 80 2.40 90 2.70 85 2.55 Environmental expert 75 3.00 80 3.20 80 3.20 90 3.60 Social sector analyst 70 2.10 75 2.25 90 2.70 80 2.40 Total 100 75.05 88.19 84.65 88.45 Rank *1 Additional items may be used and criteria included above may be deleted, as appropriate *2 The weight distribution will depend on the type and natue of the project *3 The rating categories shall be devdided and shown in % as "Excellent 90 - 100", "Good 80 - 89", "Average 60 - 79", "Below average 40 - 59", "Poor - 39" (ii) Financial Evaluation The Borrower should first review the financial proposal for arithmetical errors and inconsistencies (e.g., staffing schedule inputs, number and duration of field trips, applicable per diems, etc.) between the financial and technical proposals Arithmetical errors and inconsistencies as well as omissions should be corrected Thus, the evaluated financial proposal is prepared, and in order to compare proposals, evaluated prices should be converted to a single currency (often US$) using the exchange rate, date, and source indicated by the Borrower in the RFP The scores of the evaluated prices should then be calculated according to the formula provided in the RFP Let us assume that the consulting firm A’s evaluated price is US$ 0.5 million, the consulting firm B’s US$ 0.6 million, the consulting firm C’s US$ 0.65 million and the consulting firm D’s US$ 0.7 million We, then, give the firm of the lowest price the highest point 100 and the firm of the highest price the lowest point 71.4 (=100 x 0.5/0.7) calculated regressively Prices are thus converted into points as shown in the following table 16 Development Finance, MPP, VJU Prof Koji Fujimoto Table Financial Evaluation Consulting Firm A Consulting Firm B Consulting Firm C Consulting Firm D Evaluated Cost/Price (US$ million) 0.5 0.6 0.65 0.7 Rating Point Based on Evalutaed Cost/Price 100 83.33 76.92 71.43 (iii) Overall Evaluation and Ranking In case of QCBS, the technical and financial proposals are combined to obtain overall ranking of the consulting firms In order to combine the proposals, weight of 80% is often given to technical evaluation and weight of 20% to financial evaluation And then the combined scores are calculated to rank the consulting firms Table is a sample overall evaluation table The Borrower invites the consultant whose proposal obtained the highest combined score to negotiate for award In our present case, the firm B is the highest score firm Table Overall Evaluation Weighted Technical Score (St) x (Wt) Rating Point based on Net Evaluated Cost/Price (R) Weight for Financial Proposal (Wf) Weighted Financial Score (R) x (Wf) Overall Score (Technical and Financial Scores Combined) Rank Consulting Firm Technical Score (St) Weight for Technical Proposal (Wt) A 75.05 0.80 60.04 100.00 0.20 20.00 80.04 B 88.19 0.80 70.55 83.33 0.20 16.67 87.22 C 84.65 0.80 67.72 76.92 0.20 15.38 83.10 D 88.45 0.80 70.76 71.43 0.20 14.29 85.05 (2) Costs of Consulting Services Consultants receive consulting fees for consulting services performed in accordance with TOR The consulting fees are composed of three components as follows: (i) Remuneration of Staff Consultants Total amount of remuneration is calculated on the basis of an equation: R = Staff Billing Rate x Person-Month (Man-Month) 17 Development Finance, MPP, VJU Prof Koji Fujimoto A breakdown of staff billing rate includes such elements as salary, bonuses, social charges, cost of leave, overheads, profit/technical service fee, away-fromhome-office allowance It is often argued that the billing rate is obtained by “salary times a multiplier which ranges from 2.4 to 3.0” As staff consultants are consisted of foreign and local staff, staff billing rates are calculated in foreign currency for foreign staff and local currency for local staff (ii) Direct Cost/Reimbursable Expenses The direct cost, or the reimbursable expenses in other words, includes international travel, hotel and per-diem, communication and transport, car rent, office furniture, office rent, report preparation and printing, data processing, field survey equipment, local staff and so forth (iii) Contingencies việc bất ngờ very important There are two kinds of contingencies; price contingency and physical contingency The price contingency means that the consultant’s contract provides for price escalation in foreign and local currency and the physical contingency is also included in the contract to cover unexpected or unforeseen volume of consulting services to be provided The former is calculated by utilizing an expected inflation rate, while the latter allowance is often 5~10 % of contract value  Reference 1: Consulting Services Manual of World Bank 2006 Reference 2: Guidelines for the Employment of Consultants under Japanese ODA Loans 2012) Reference 3: Standard Request for Proposals Selection of Consultants, World Bank, 2011 Reference 4: Sample Terms of Reference ADB Project “Outline Terms of Reference for Consulting Services” 18 tăng bất ngờ 19 Beneficiaries /Clients of TA for Preinvestment Studies TA for Preinvestment Studies Beneficiaries /Clients of TA for Regional/Sec tor Development Plan TA for Formulation of Regional/Sec tor Development Plan Beneficiaris/ Clients of TA for National Development Plan TA for Formulation of National Development Plan Participation in F/S as Representati ve of Residents Participation in Preinvestment Studies as Representati ve of Residents Participation in Planning as Representati ve of Residents Participation in Planning as Representati ve of Residents Consultants CSOs/NGOs Contractors (Construction Companies) Documentati on of Feasibility Study as Consultant Job Documentati on of Preinvestment Studies as Consultant Job TA for Feasibility Study Regional/Sec tor Development Plan Formulation as Consultant Job Financial Assistance Agencies Feasibility Study Preinvestment Studies Regional/Sec tor Development Plan National Development Plan Beneficiaries /Clients of TA for Feasibility Study Project Preparation Project Identification National Development Plan Formulation as Consultant Business Aid Organizatio ns (Muitiand BiAgencies) Technical Assistance Agencies Governments of DCs/Recipient Governments Consulting Services Project Cycle Sources: Engineering Consulting Firms Association of Japan, Overseas Economic Cooperation Fund of Japan and Author Stakeholders Figure Project Cycle, Stakeholders and Their Roles Partial Support for Appraisal, if necessary, as Consultant Job Appraisal Report Documentati on by FA Agencies (Internal Procedure in principle) Supporting Services for Appraisal Project Appraisal FA Agencies' Own Responsibility (Internal Procedure) (No Services) L/A Nego And Board Presentation Approval of Bid Evaluation by FA Agencies Documentati on of Bid Evaluation Report as Consultant Job Detaied Design & Bidding Documents Preparation as Consultant Job Beneficiaries /Clients of FA (Recipient of Consulting Services) Beneficiaries /Clients of FA for Design & Bid Preparation (Recipient of Consulting Services) Approval of Bidding Documents by FA Agencies Bid Evaluation Design & Bidding Document Preparation Construction Contract with Recipient Government Documentati on of Progress Report as Consultant Job Monitoring as FA Agencies Beneficiaries /Clients of FA (Recipient of Consulting Services) Monitoring Project Implementation (Local Staff Training for Operation as a Part of Constraction Contract) Local Staff Training for Operation as Consultant Job (A Component of FA) Beneficiaries /Clients of FA (Recipient of Consulting Services) Training for Operation (Local Staff Training for O & M as a Part of Construction Contract) Post-Evaluation Partly or Fully by Third Party Consultant as Consultant Job, O & M Services as Consultant Job Objevtive Post-Evaluation by FA Agencies and/or Third Party, O & M is Taken Care of by Recipient Governments Beneficiaries/Clients of Post-Evaluation Undertaken by FA Agencies, O & M is Taken Care of by Recipient Governments O & M Services Project Performance Evaluation Project Project Post-Evaluation Completion Development Finance, MPP, VJU Prof Koji Fujimoto ... 16.67 87 .22 C 84 .65 0 .80 67.72 76.92 0.20 15. 38 83.10 D 88 .45 0 .80 70.76 71.43 0.20 14.29 85 .05 (2) Costs of Consulting Services Consultants receive consulting fees for consulting services performed... (Technical and Financial Scores Combined) Rank Consulting Firm Technical Score (St) Weight for Technical Proposal (Wt) A 75.05 0 .80 60.04 100.00 0.20 20.00 80 .04 B 88 .19 0 .80 70.55 83 .33 0.20 16.67 87 .22... (r) 19.00 Consulting Firm D Rating (r) Score (w) x (r) 16.00 10.00 80 90 9.00 80 8. 00 70 90 24.00 10.50 13.50 95 85 27.00 14.25 12.75 41.65 8. 00 32.15 International staff 35 26 .85 29 .84 29.30
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