世界银行出版的
The International Bank for Reconstruction and Development/ THE WORLD BANK,Consulting Services Manual: A Comprehensive Guide to Selection of Consultants


ABBREVIATIONS AND ACRONYMS  ix
INTRODUCTION  xi
1  CONSULTING SERVICES  1
1 1 Background  1
1 2 Types of Consulting Services  2
Notes  2
2  CONSULTANTS  3
2 1 Main Considerations  3
2 2 Consulting Organizations  3
2 3 Particular Types of Consultants  4
2 4 Evolution of the Consulting Services Industry  6
Notes  8
3  GENERAL POLICIES AND PRINCIPLES IN THE USE OF CONSULTANTS  9
3 1 Main Considerations in the Selection of Consultants  9
3 2 Eligibility  10
3 3 Use of National Capacity  10
3 4 Associations between Consultants  11
3 5 Property  13
3 6 Misprocurement  13
3 7 Handling of Complaints  13
3 8 Information to Consultants  14
3 9 Consultants Selected and Engaged by the Bank  15
Notes  15
4  CONFLICT OF INTEREST  17
4 1 Main Considerations  17
4 2 Bank Policy  17
4 3 Categories of Conflicts of Interest  17
4 4 Prevention of Conflicts of Interest  19
4 5 Utility Management Contracts  22
4 6 Partnerships  22
4 7 Consultants Engaged by the Bank  22
Notes  23
5  FRAUD AND CORRUPTION  25
5 1 General Considerations  25
5 2 Most Common Corrupt Practices  25
5 3 Sources of Allegations  26
5 4 Investigations and Sanctions by the Bank  27
5 5 Prevention of Corrupt Practices  27
Notes  29
6  TRANSFER OF KNOWLEDGE IN CONSULTANT CONTRACTS  31
6 1 Main Considerations  31
6 2 On-the-Job Training of Borrower Staff  31
6 3 Stand-Alone Training  32
6 4 Twinning of Organizations  32
Notes  33
7  FINANCING CONSULTING SERVICES  35
7 1 Introduction  35
7 2 Reimbursable Funds  35
7 3 Grants and Trust Funds  36
7 4 Disbursements and Suspension of Disbursements  37
7 5 Cofinancing of Consulting Services  37
Notes  38
8  THE ROLE OF THE BANK  39
8 1 Main Considerations  39
8 2 Prior Review  39
8 3 Post Review  41
8 4 Assistance to Borrowers  41
Notes  42
9  THE SELECTION PROCESS AND SELECTION METHODS  43
9 1 Steps in the Selection Process  43
9 2 General Criteria for Selection Procedures  43
9 3 Selection Methods  44
9 4 Selection of Particular Types of Consultants  50
9 5 Time Schedule of the Selection Process  52
Notes  52
10  DEVELOPING THE TERMS OF REFERENCE  55
10 1 Main Considerations  55
10 2 Drafting Terms of Reference  55
10 3 Outline of the Terms of Reference  56
Notes  59
11  ESTIMATING COST AND BUDGET  61
11 1 Main Considerations  61
11 2 Estimating Cost Components  62
Notes  64
12  SETTING THE EVALUATION CRITERIA  67
12 1 Main Considerations  67
12 2 Specific Experience  69
12 3 Methodology and Work Plan  69
12 4 Qualifications and Competence of Key Staff  71
12 5 Transfer of Knowledge (Training)  73
12 6 National Participation  73
12 7 The Point System  73
12 8 Evaluation Criteria and Subcriteria  73
Notes  74
13  ADVERTISING AND SHORTLIST  75
13 1 Main Considerations  75
13 2 Advertising  75
13 3 Preparation of Shortlists  76
13 4 Associations between Consultants  77
13 5 Review and Approval of the Shortlist  77
13 6 DACON Registration  78
Notes  78
14  REQUEST FOR PROPOSALS  81
14 1 Introduction  81
14 2 Letter of Invitation  82
14 3 Information to Consultants  82
14 4 Technical and Financial Proposal Standard Forms  85
14 5 Standard Forms of Contract  86
Notes  86
15  TYPES AND FORMS OF CONTRACTS  87
15 1 Types of Consultant Contracts  87
15 2 Selection of the Appropriate Contract Form  90
15 3 Bank Standard Contract Forms  91
16  PREPARATION, SUBMISSION, AND EVALUATION OF PROPOSALS  93
16 1 Introduction  93
16 2 Preparation of Proposals  93
16 3 Evaluation Committee  94
16 4 Receipt and Opening of Proposals  94
16 5 Evaluation Procedure for Technical Proposals  95
16 6 Evaluation of Financial Proposals  97
16 7 Combined Evaluation and Final Score  97
16 8 Rejection of All Proposals  98
16 9 Role of the Bank in the Evaluation Process  98
Notes  99
17  EVALUATION PRACTICES OF TECHNICAL PROPOSALS  103
17 1 Rating System  103
17 3 Adequacy of Proposed Methodology and Work Plan  106
17 4 Qualifications and Competence of Proposed Key Staff  109
17 5 Transfer of Knowledge (Training)  111
17 6 Local Participation as Reflected by Nationals among Key Staff  113
18  NEGOTIATIONS AND AWARD OF CONTRACT  115
18 1 Preparations for Negotiation  115
18 2 Items Subject to Negotiation  115
18 3 Outline of Negotiation Procedures  116
18 4 Limits of Negotiations  117
18 5 Negotiations of Technical Aspects  117
18 6 Negotiation of Financial Conditions  119
18 7 Negotiation of Contract Conditions  123
19  SUPERVISING CONSULTANTS  125
19 1 Contract Effectiveness  125
19 2 Execution of the Assignment  125
19 3 Completing the Assignment  126
19 4 Bank Role in Supervision  127
20  PERFORMANCE EVALUATION  129
Notes  130
21  SELECTION OF INDIVIDUAL CONSULTANTS  131
21 1 Individual Consultants Versus Consulting Firms  131
21 2 Selection of Individual Consultants  132
21 3 Hiring of Government Officials and Academics  132
21 4 Nepotism  133
Notes  133
ANNEXES
Annex 1 Bank’s Comments/No-Objections Templates  135
Bank’s Comments/No-Objection to Request for Proposals  136
Bank’s Comments/No-Objection to Technical Evaluation  137
Bank’s Comments/No-Objection to Combined (Technical-Financial) Evaluation  138
Bank’s Comments/No-Objection to Draft Final Contract  139
Annex 2 Single Source Selection Form  141
Annex 3 Sample Activity Schedule  145
Annex 4 Sample Staffing Schedule  147
Annex 5 Cost Estimate Templates  149
Cost Estimate  149
Cost Estimate—Summary  150
Cost Estimate—Staff Remuneration  151
Cost Estimate—Reimbursables  152
Cost Estimate—Office Costs  153
Cost Estimate—Office Furniture and Equipment  154
Annex 6 Format for Request for Expressions of Interest  155
Annex 7 Examples of Evaluation of Proposals  157
7 1 Project and Construction Management of a Water Supply System  158
7 2 Technical Assistance Services for an Agricultural Development Program  171
7 3 Technical Assistance Services for a Privatization Project  174
Annex 8 Taxation of Consulting Services  177
Annex 9 Form for Performance Evaluation  179
Annex 10 The Design Contest  183
1  The Design Contest Procedure  183
2  The Request for Design Proposals  184
Notes  185
Annex 11 Instructions and Guidance Notes  187
1  Office Memorandum: Hiring Government-Owned Universities, Research
Institutes, Government Officials and Academic/Research Staff as Consultants in
Bank-Financed Operations  188
2  Waivers of Conflict of Interest Provisions in Cases Where the Incumbent of a
Utility Management Contract Wants to Compete for a Subsequent Lease or
Concession Contract  190
REFERENCES  195
INDEX  197