APPENDICES
APPENDIX I. REVIEW BY THE BANK OF THE SELECTION OF CONSULTANTS Scheduling the Selection Process 1. The Bank shall review the selection process for the hiring of consultants proposed by the Borrower for the Project to ensure compliance with these Guidelines and the proposed implementation plan and disbursement schedule. Prior Review 2. With respect to all contracts that are subject to the Bank's prior review in accordance with the Loan Agreement: (a) Before inviting proposals, the Borrower shall furnish to the Bank for its review and "no objection" the proposed cost estimate and RFP (including the short list). The Borrower shall make such modifications to the short list and the documents as the Bank reasonably request. Any further modification shall require the Bank's "no objection" before the RFP is issued to the short-listed consultants. (b) After the technical proposals have been evaluated, the Borrower shall furnish to the Bank, in sufficient time for its review, a technical evaluation report (prepared, if the Bank shall so request, by experts acceptable to the Bank) and a copy of the proposals, if requested by the Bank. If the Bank determines that the technical evaluation is inconsistent with the provisions of the RFP, it shall promptly inform the Borrower and state the reasons for its determination; otherwise the Bank shall issue a "no objection" to the technical evaluation. The Borrower shall also request the Bank's "no objection" if the evaluation report recommends rejection of all proposals. (c) When price is a factor in the selection of a consultant, the Borrower may proceed with the opening of the financial envelopes only after receiving the Bank's "no-objection" to the technical evaluation. The Borrower may then proceed with the financial evaluation in accordance with the provisions of the RFP. The Borrower shall furnish to the Bank, for its information, the final technical and evaluation report along with its recommendation of the winning firm. The Borrower shall notify the firm that received the highest total score in the final evaluation of its intention to award the contract to the firm and shall invite the firm for negotiations. (d) After negotiations are completed, the Borrower shall furnish to the Bank, in sufficient time for its review, a copy of the initialed negotiated contract. If the negotiated contract resulted in substitution of key staff or any changes in the TOR and original proposed contract, the Borrower shall highlight the changes and provide an explanation of why these changes are approriate and necessary. (e) If the Bank determines that the final evaluation report, recommendation for award, and/or negotiated contract are inconsistent with the provisions of the RFP, it shall promptly inform the Borrower and state the reasons for its determination. Otherwise, the Bank shall provide its final "no objection" to the contract award. The Borrower shall confirm the award of the contract only after receiving the "no objection" from the Bank. (f) Following contract signature, the Borrower shall furnish to the Bank a copy of the final contract before submitting the first application for disbursement under the contract. (g) The description and amount of the contract, together with the name and address of the firm, shall be subject to public disclosure by the Bank upon the Borrower's confirmation of contract award. Modifications of Contract 3. Before granting a substantial extension of the stipulated time for performance of a contract, agreeing to any substantial modification of the scope of the services, substituting key staff, waiving the conditions of a contract, or making any changes in the contract that would in aggregate increase the original amount of the contract by more than 15 percent, the Borrower shall inform the Bank of the proposed extension, modification, substitution, waiver, or change, and the reasons therefor. If the Bank determines that the proposal would be inconsistent with the provisions of the Loan Agreement, it shall promptly inform the Borrower and state the reasons for its determination. A copy of all amendments to the contract shall be furnished to the Bank. Post Review 4. During Project implementation and up to two years after the closing date of the Loan Agreement, the Borrower shall retain all documentation with respect to each contract not governed by paragraph 2 including, but not limited to, the signed original of the contract, the analysis of the respective proposals, and recommendations for award, for examination by the Bank or by independent auditors. The Borrower shall also furnish such documentation to the Bank upon request. The Bank shall, if it determines that the award of the contract or the contract itself is not consistent with the Loan Agreement, promptly inform the Borrower that paragraph 1.18 of the Guidelines shall apply and state the reasons for such determination. Translations 5. If a contract is subject to prior review and if national firms were permitted to submit a proposal in the national language, a certified translation of the proposal, evaluation report, and the draft contract in either English, French, or Spanish shall be furnished to the Bank for facilitating the review. Such certified translation shall also be furnished to the Bank for any subsequent modifications of such contracts.
APPENDIX 2
INFORMATION TO CONSULTANTS (ITC)These Guidelines specify that whenever possible, the Borrower shall use the standard RFPs issued by the Bank, which include the ITC, covering the majority of assignments. If under exceptional circumstances, the Borrower needs to amend the standard ITC, it shall do so through the technical data sheet and not by amending the main text. The ITC shall include adequate information on the following aspects of the assignment: (a) a very brief description of the assignment; (b) standard formats for the technical and financial proposals; (c) the names and contact information of officials to whom clarifications shall be addressed and with whom the consultants' representative shall meet, if necessary; (d) details of the selection procedure to be followed, including (i) a description of the two-stage process, if appropriate; and (ii) a listing of the technical evaluation criteria and weights given to each criterion; (iii) the details of the financial evaluation; (iv) the relative weights for quality and cost in the case of QCBS; (v) the minimum pass score for quality; and (vi) the details on the public opening of financial proposals; (e) an estimate of the level of key staff inputs (in staff-months) required of the consultants; and indication of minimum experience, academic achievement, and so forth, expected of key staff or the total budget, if a given figure cannot be exceeded; (f) details and status of any external financing; (g) information on negotiations; and financial and other information that shall be required of the selected firm during negotiation of the contract; (h) the deadline for submission of proposals; (i) currency(ies) in which the costs of services shall be expressed, compared, and paid; (j) reference to any laws of the Borrower's country that may be particularly relevant to the proposed consultants' contract; (k) a statement that the firm and any of its affiliates shall be disqualified from providing downstream goods, works, or services under the project if, in the Bank's judg-ment, such activities constitute a conflict of interest with the services provided under the assignment; (l) the method in which the proposal shall be submitted, including the requirement that the technical proposals and price propos-als be sealed and submitted separately in a manner that shall ensure that the technical evaluation is not influenced by price; (m) a request that the invited firm (i) acknowledges receipt of the RFP, and (ii) informs the Borrower whether or not it will be submitting a proposal; (n) the short list of consultants being invited to submit proposals, and whether or not associations between short-listed consultants are acceptable; (o) the period for which the consultants' proposals shall be held valid (normally 60-90 days) and during which the consultants shall undertake to maintain, without change, the proposed key staff, and shall hold to both the rates and total price proposed; in case of extension of the proposal validity period, the right of the consultants not to maintain their proposal; (p) the anticipated date on which the selected Consultant shall be expected to commence the assignment; (q) a statement indicating (i) whether or not the consultants' contract and personnel shall be tax-free or not; if not, (ii) what the likely tax burden will be or where this information can be obtained, and a statement requiring that the Consultant shall include in its financial proposal a separate amount clearly identified, to cover taxes; (r) if not included in the TOR or in the draft contract, details of the services, facilities, equipment, and staff to be provided by the Borrower; (s) phasing of the assignment, if appropriate; and likelihood of follow-up assignments; (t) the procedure to handle clarifications about the information given in the RFP; and (u) any conditions for subcontracting part of the assignment.
APPENDIX 3
DISBURSEMENTS1. The responsibility for the implementation of the project, and therefore for the payment of consulting services under the project, rests solely with the Borrower. The Bank, for its part, is required by its Articles of Agreement to ensure that funds are paid from a Bank loan only as expenditures are incurred. Disbursements of the proceeds of a loan or a grant are made only at the Borrower's request. Supporting evidence that the funds are used in accordance with the Loan Agreement (or the Trust Fund Agreement) shall be submitted with the Borrower's withdrawal application. Payments may be made (a) to reimburse the Borrower for payments already made from its own resources, (b) directly to a third party (to the Consultant), or (c) to a commercial bank for expenditures against a World Bank Special Commitment covering a commercial bank's letter of credit (a procedure that is exceptional in the case of consultants). 2. When disbursement documentation29 would otherwise be cumbersome or voluminous (for example, payments against small consultant contracts or purchase orders), Borrowers may be reimbursed upon presentation of Statements of Expenditures (SOEs), using a simple form with details of the expenditures, and retain the actual supporting documentation in the field for subsequent examination by independent auditors and the Bank's supervision missions. 3. Special Accounts (SAs) are revolving accounts funded with an advance from a Bank loan for use by the Borrower exclusively to cover the Bank's share of eligible expenses in both local and foreign currencies. The primary objective of the SA is to help the Borrower overcome cash flow problems and speed disbursements. The Borrower makes payments from the account to consultants and others when the payments are due. The Bank replenishes the SA regularly upon receipt of a withdrawal application with appropriate supporting documentation from the Borrower. Towards the end of loan disbursements, the Bank initiates a recovery procedure to obtain full documentation for the amount of the outstanding advance. 4. The Loan Agreement and the disbursement letter outline the disbursement procedures to be followed for the loan, including retroactive financing provisions, items eligible for disbursement under the SOE procedure, requirements for the operation of an SA, and a minimum application value. The minimum application value varies among loans, depending on the size of the loan and the nature of the project. When there is an SA, the minimum value is generally between 10 percent and 33 percent of the total advanced to the SA. The method of payment specified in the RFP shall take into account the disbursement procedures applicable to the loan. 5. A complete description of the Bank's disbursement procedures is provided in the Disbursement Handbook.
APPENDIX 4
GUIDANCE TO CONSULTANTSPurpose 1. This appendix provides guidance to consultants wishing to provide consulting and professional services financed by the Bank or trust funds. Responsibility for Selection of Consultants 2. As emphasized in paragraph 1.4 of these Guidelines, the Borrower is responsible for the selection and employment of consultants. It invites, receives, and evaluates proposals and awards the contract. The contract is between the Borrower and the Consultant. The Bank is not a party to the contract. Bank's Role 3. As stated in these Guidelines (Appendix 1) the Bank reviews the RFP, the evaluation of proposals, award recommendations, and contract to ensure that the process is carried out in accordance with agreed procedures, as required in the Loan Agreement. Except for small contracts (below dollar thresholds specified in each Loan Agreement), the Bank reviews the documents before they are issued, as described in Appendix 1. Also, if at any time in the selection process (even after the award of contract) the Bank concludes that the agreed procedures were not followed in any substantial respect, the Bank may declare misprocurement, as described in paragraph 1.18. However, if a Borrower has awarded a contract after obtaining the Bank's "no objection," the Bank will declare mispro-curement only if the "no objection" was issued on the basis of incomplete, inaccurate, or misleading information furnished by the Borrower. Furthermore, if the Bank determines that corrupt or fraudulent practices were engaged in by representatives of the Borrower or of the Consultant, the Bank may impose the applicable sanctions set forth in paragraph 1.25 of the Guidelines. 4. The Bank publishes standard RFPs and contracts for different types of consulting services. As stated in paragraphs 2.8 and 2.11 of these Guidelines, it is mandatory for the Borrower to use these documents, with minimum changes acceptable to the Bank to address country- and project-specific issues. The Borrower finalizes and issues these documents as part of the RFP. Information on Consultant Services 5. Information on consultant services, including a brief description of the nature of services, timing, estimated cost, staff-month, and so forth, will be included in the Project Information Document (PID) which describes projects under preparation. Similar information will also be included in the description of each project in the Monthly Operational Summary (MOS). Such information will be continuously updated. Each project requires the publication of a General Procurement Notice in the United Nations Development Business (UNDB)30 (updated annually for all outstanding procurement), which will include a more detailed description of the required services, the client agency, and the budgeted cost. In the case of large value contracts,31 this will be followed by a specific notice seeking "expression of interest" in the national press and UNDB. The project documentation will provide yet more detailed information. 6. The PID is available on the Internet and from the Public Information Center (PIC)32 in the Bank. The project documentation is available after the loan is approved. The UNDB, which includes the MOS, is available by subscription. Consultants' Role 7. When consultants receive the RFP, and if they can meet the requirements of the TOR, and the commercial and contractual conditions, they should make the arrangements necessary to prepare a responsive proposal (for example, visiting the country of the assignment, seeking associations, collecting documentation, setting up the preparation team). If the consultants find in the RFP documents-especially in the selection procedure and evaluation criteria-any ambiguity, omission or internal contradiction, or any feature that is unclear or that appears discriminatory or restrictive, they should seek clarification from the Borrower, in writing, within the period specified in the RFP for seeking clarifications. 8. In this connection, it should be empha-sized that the specific RFP issued by the Borrower governs each selection, as stated in paragraph 1.2 of these Guidelines. If consultants feel that any of the provisions in the RFP are inconsistent with the Guidelines, they should also raise this issue with the Borrower. 9. Consultants should ensure that they submit a fully responsive proposal including all the supporting documents requested in the RFP. It is essential to ensure accuracy in the curricula vitae of key staff submitted with the proposals. The curricula vitae shall be signed by the consultants and the individuals and dated. Noncompliance with important requirements will result in rejection of the proposal. Once technical proposals are received and opened, consultants shall not be required nor permitted to change the substance, the key staff, and so forth. Similarly, once financial proposals are received, consultants shall not be required or permitted to change the quoted fee and so forth, except at the time of negotiations carried out in accordance with the provisions of the RFP. Confidentiality 10. As stated in paragraph 2.28, the process of proposal evaluation shall be confidential until the contract award is notified to the successful firm. Confidentiality enables the Borrower and the Bank's reviewers to avoid either the reality or perception of improper interference. If, during the evaluation process, consultants wish to bring additional information to the notice of the Borrower, the Bank, or both, they should do so in writing. Action by the Bank 11. If consultants wish to raise issues or questions about the selection process, they may send the Bank copies of their communications with the Borrower, or they may write to the Bank directly when the Borrower does not respond promptly or when the communication is a complaint against the Borrower. All such communications should be addressed to the chief of the division for the relevant sector for the borrowing country, with a copy to the Regional Procurement Adviser. 12. References received by the Bank from short-listed consultants prior to the closing date for submission of the proposal shall be, if appropriate, referred to the Borrower with the Bank's comments and advice, for action or response. 13. Communications that the Bank receives from consultants after the opening of the technical proposals shall be handled as follows. In the case of contracts not subject to prior review by the Bank, any communication shall be sent to the Borrower for due consideration and appropriate action. The Borrower's response shall be reviewed during subsequent supervision of the project by the Bank staff. In the case of contracts subject to prior review, the Bank shall examine the communication, in consultation with the Borrower, and if it needs additional information, shall request it from the Borrower. If additional information or clarification is required from the Consultant, the Bank shall ask the Borrower to obtain it and comment on or incorporate it, as appropriate, in the evaluation report. The Bank's review will not be completed until the communication is fully examined and considered. 14. Besides acknowledging receipt of communications, the Bank shall not enter into discussion or correspondence with any consultant during the selection and review process, until award of the contract is notified. Debriefing 15. If after notification of award, a Consultant wishes to ascertain the grounds on which its proposal was not selected, it should address its request to the Borrower. If the Consultant is not satisfied with the explanation given and wishes to seek a meeting with the Bank, it may address the Regional Procurement Adviser for the borrowing country, who will arrange a meeting at the appropriate level and with the relevant staff. In this discussion, only the Consultant's proposal can be discussed and not the proposals of competitors.
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Footnotes
29. Refer to the Disbursement Handbook, which provides a complete description of disbursement procedures.
30. UNDB is a publication of the United Nations Department of Public Information. Subscription information: Development Business, United Nations, PO Box 5850, Grand Central Stationn, New York, NY 10163-5850, USA.. A UNDB liaison office is maintained at the World Bank; see address below.
31. Contracts expected to cost more than US$200,000 equivalent.
32. The Public Information Center address is also the World Bank address: 1818 H Street, N.W., Washington, DC, 20433, USA.
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