Forest Carbon Partnership Facility

Nancy Bikondo- Omosa

Procurement Specialist, OPSOR

Agenda Procurement: Roles & Responsibilities in Project Cycle

Main Features of Selection and Employment of consultants under Bank operations

Main Features of Procurement of Goods, Works & Non-Consulting Services under Bank operations

Procurement: Roles & Responsibilities in Project Cycle

Procurement & Consultant Guidelines

Role of the PS/PAS assigned to a Project

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• Assesses the procurement capacity & risk of the Recipient EAs

• Reviews & clears procurement Plans & procurement arrangements & drafts procurement section of PAD (Project Paper) & GA

• Prior/post reviews & clears procurement documentation & decisions

• Makes sure all necessary internal reviews (RPM / OPRC) take place Fid

uci

ary

Fu

nct

ion

s

• Makes sure Recipient assigns qualified resources to procurement

• Provides training in procurement to recipients & bidders

• Advises TTLs in application of procurement policies & procedures

• Participates in negotiations

• Assists the TTL in monitoring complaints

• Maintains procurement monitoring system

Ser

vice

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un

ctio

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Procurement Responsibilities of TTL

TTL is the main interlocutor of the Recipient on the Project:

Signs letters to recipients on procurement on behalf of the Bank after internal clearances are obtained

Overall fiduciary responsibility

Is in charge of team leadership:

Get a PS /PAS into the team as early as at the identification

Informs line managers of progress / issues affecting procurement (ISR)

Funds procurement supervision, including post reviews;

Monitors procurement plans and its publications;

Monitors contract management and conducts physical inspections

Follows-up With the Recipient on Procurement review & supervision outcomes

Ensures Compliance with staff obligations with regards to information systems (e.g. complaints database, 384s, publication of GPN / SPN, etc.)

Maintains files on all project related procurement documents

Quality of ToR, technical specifications & other technical aspects

Role of Bank Staff in Procurement

Maintain strict neutrality & impartiality

Do not:

Recommend to Recipients the use of particular contractors/consultant

Undertake activities under the Recipient’s responsibility

Participate in evaluation

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Identification – Concept Stage

Integrated Assessment Framework (IAF) filled by Recipients

Project Concept Note / Concept Memo (incl. Simplified Operational Risk Assessment Framework (ORAF)):

RPM/delegate reviews (virtually)

Once Trust Fund Proposal /grant process is approved, TTL requests and RPM /CPPO (if global grant by Network) assigns a PS/PAS.

PS/PAS brings a knowledge of country / region / sub-region procurement systems and practices and helps identify and mitigate risks in an efficient way.

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Appraisal to Grant Signature

Implementation Annex

Based on IAF, PS prepares:

Procurement capacity constraints

Procurement arrangements under the project

Measures to address identified procurement issues

Mechanisms to ensure procurement plan is monitored and updated regularly

TTL discusses with Recipient:

Procurement Plan

Risk mitigation measures

PS reviews Final package

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Procurement Plan for Small Grants The Recipient must have a Procurement Strategy to

implement the Project Procurement Plan

For Grants: Simplified Procurement Plan for the entire scope of project agreed with the Bank!

All Procurement plans are subject to Bank’s prior review

Procurement provisions legally applicable as of Grant Signature

Implementation as per approved procurement Plan

Recipient shall update the procurement Plan annually or as needed

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Simplified Procurement Plan content Specific Plan for goods, works, consultancy and other services to be

procured during initial period of at least 18 months:

Brief description of Goods Works , Services

Procurement methods as permitted by the Grant Agreement

Bank review requirements & thresholds

Time schedule for contract signature

Any information that the Bank may reasonably require

Large number of small contracts may be clubbed together

For demand driven project (CDD / SWAPs) agree on a specific template to monitor and implement procurement (refer to Operational Manual if applicable)

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Project Implementation What does the Bank do during Procurement implementation?

Evaluate the Recipient’s procurement action’s compliance with the GA

Monitor adherence to Procurement Plan

Monitor progress in the action Plan agreed, incl. capacity building of Recipient

How does the Bank do?

Procurement prior review

Supervision missions according to supervision arrangements’ in the Project Paper/developed concept memo:

Follow-up of the action Plan & procurement Plan

Procurement post reviews

periodic risk assessment: update of mitigation measures/action Plan ISR

Reviewing Project Progress Reports prepared by the Recipient

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Completion

Implementation Completion Report (ICR)

Evaluates implementation performance of parties including Achievement of project objectives

Cost/Benefits

Analysis of successes and failures, inc. procurement

Sustainability

Lessons learned

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Main Features of Selection and Employment of consultants under Bank operations

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Consultant Guidelines (January 2011)

Consulting Services

I. Introduction

II. Quality- and Cost-Based Selection

III. Other Methods of Selection

IV. Types of Contracts and Important Provisions

V. Selection of Individual Consultants

VI. Appendices

Consultant Guidelines Section I. Introduction

Purpose

General Considerations

Applicability of Guidelines

Conflict of Interest

Unfair Competitive Advantage

Eligibility

Advance Contracting & Retroactive Financing

Association between Consultants

Bank Review, Assistance, and monitoring

Misprocurement

References to Bank

Training or Transfer of Knowledge

Language

Fraud & Corruption

Procurement Plan 16

Basic Principles of Bank Selection of Consultants

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0.2

0.4

0.6

0.8

1Quality of services

Efficiency & Economy

TransparencyEqual opportunity

Development ofnational consultants

in developing countrymembers

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• Quality- and Cost-Based Selection QCBS

• Quality-Based Selection QBS

• Fixed Budget FBS

• Least Cost Selection LCS

• Consultants’ Qualifications CQS

• Single Source Selection SSS

SELECTION METHODS

Process: Selection of consultants (QCBS – FBS - LCS)

Prepare Terms of

Reference (ToR) & budget

Advertise: “Request for Expression of interest”

Evaluate “Expressions of

interest” & establish a short

list

Issue a “Request for Proposals”

(RFP) to short listed firms

Receipt of proposals &

public opening of “Technical Proposals”

Technical Evaluation

Report

Public Opening of Financial Proposals

Evaluation of Financial Proposals

Preparation of the combined technical

and financial evaluation report

Negotiations of the contract

Award to the selected firm.

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Selection based on Consultant’s Qualification (CQS)

Small assignment or emergency

competitive proposals not justified

Obtain expression of interest from min. 3 qualified firms

Select the most qualified firm for the assignment

Firm will prepare & submit technical & financial proposals

Evaluate technical & financial proposals

If proposal responsive & acceptable Negotiate the contract & award

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Single Source Selection (SSS)

Natural continuation of previous work

Emergency

Very small assignment

only one firm has experience of exceptional worth

Make sure SSS is well justified & proven

Make sure price is reasonable

Make sure contract is well balanced

Selection of Individual Consultants Advertisement encouraged but not required in all cases and for

small contracts

Basis for selection: qualifications No need to submit proposals

2 selection methods:

Compare at least 3 candidates interested or approached by Borrower

Single Source Selection if:

Continuation of previous work for which consultant was selected competitively

Assignments of a total expected duration of < 6 months

Urgent situations

Unique qualification

Selection of individual consultants is mainly a technical task since selection based on qualification.

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TTL’s Responsibility in Selection & Employment of Consultants

ToR & Cost estimate

Technical qualification of short listed firms

Evaluation criteria in the RFP

Technical quality of the technical evaluation report ( &

technical proposals as needed)

Technical aspects of the contract negotiations & final draft

contract, incl. “Description of Services” & Reporting

Supervision of implementation

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Procurement Guidelines (January 2011)

Goods and Works & Non consulting services

I. Introduction

II. International Competitive Bidding

III. Other Methods of Procurement

IV. Appendices

24 Working for a world free of poverty

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International Competitive Bidding (ICB)

One Stage

Two Stage

Limited International Bidding (LIB)

National Competitive Bidding (NCB)

Shopping

Framework Agreements

Direct Contracting (DC)

Force Account

Procurement from UN Agencies

Procurement Agents & Construction Managers

Inspection Services

Procurement in Loans to Financial Intermediary Institutions & Entities

Procurement under Public Private Partnership (PPP) Arrangements

Performance Based Procurement

Procurement under Loans Guaranteed by Bank

Community Participation in Procurement

Use of Country Systems

Methods of Procurement

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Main Characteristics of Shopping

Compliance with 3.5 of GLs:

Comparison of price quotations obtained from 3 or more suppliers / contractors / service providers

If less than 3 quotations obtained Bank’s no objection!

Appropriate for:

limited quantities of readily available off-the-shelf Goods

standard specification commodities of small value

simple works

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Shopping: Request for quotations Content of a Request for quotations:

Description / Specification of G/W Quantity Delivery / completion time & place Template for quotations (recommended for ease of comparison) Deadline for submission of quotations Where /how to submit quotations: Address, fax. No, email Min. period of validity of quotations required Conditions of the Purchase order (PO) / Contract Applicable law (as needed) Avoid use of brand names (or follow by “or equivalent”)

Quotations by letter / fax / electronic means

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Shopping: Evaluation of quotations Same principles than open bidding:

Set a deadline & place for receipt of quotations Reject quotations received after the deadline Record name of bidders, amount of quotations in writing Alteration of quotations after the deadline not permitted Clarifications may be asked after the deadline in writing Confidentiality after deadline until disclosure of award Check:

Eligibility of bidders Proper signature of quotations Quotations must include warranty conditions (if required) and be

substantially responsive to the request for quotations

Determine the quotation with the lowest evaluated cost in accordance with the request for quotation

Prepare detailed evaluation report justifying award decision. 29

Shopping: Purchase Order Name, address, Tel., fax., etc. of supplier / contractor

Name, address, Tel., fax, etc. of client

Description / Specification of G/W + Serial number

Quantity

Delivery / completion time & place

Warranty / performance security conditions

Conditions of delivery (inspection, test, etc. if any)

Payment terms: account number, payment calendar, documents required to process payment

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Main Characteristics of Direct Contracting

Compliance with 3.7 & 3.8 of GLs: No competition Appropriate when:

Existing G / W / NCS: extension of additional of similar nature + no advantage through further competition + awarded initially through acceptable procedures

Compatibility with existing equipment Proprietary: only one source Goods from a particular source essential to achieve the required

performance / functional guarantee of an equipment / facility Exceptions: natural disasters, emergency declared by the Borrower

& recognized by the Bank Procurement from a specific UN Agency

Advertisement of the contract award information

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Tips for Direct Contracting

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Make sure DC is well justified & proven

Make sure price is reasonable

Make sure contract is well balanced

LEARN MORE

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• Procurement & Consultants Guidelines • Standard Bidding and Proposal Documents • Other

Procurement website www.worldbank.org/procure