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SELECTION OF CONSULTANTS BY ASIAN DEVELOPMENT BANK ADB

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Title: SELECTION OF CONSULTANTS BY ASIAN DEVELOPMENT BANK ADB


1
SELECTION OF CONSULTANTS BY ASIAN DEVELOPMENT
BANK(ADB)
  • Presented by
  • Jyothi Krishnamoorthy
  • Disbursement Analyst, India Resident Mission

2
OBJECTIVES
  • Understand the need for consultants
  • Understand Consultant Selection Process in ADB
  • Points that need attention for being considered
    for consultant selection in ADB
  • Where to look for information

3
Why CONSULTANTS?
  • Specialized expertise in a particular
    environment/ particular problem/ sub-sector
  • Dedicated attention to the specified task to be
    completed within a predetermined time.
  • Maximum efficiency and economy
  • Transfer of knowledge and skills to personnel of
    Executing Agency

4
Where CONSULTANTS?
  • Project Preparation
  • sector studies
  • master plans
  • feasibility studies
  • strategic frameworks etc
  • Project Implementation
  • tender documents
  • procurement assistance
  • construction supervision
  • project managers
  • commissioning
  • Advisory Services
  • policy strategy
  • commercialization and privatization
  • institutional building
  • training
  • management advice
  • technical advice

5
Types of Consultants
  • Individual consultants
  • TAs and Loans
  • Consulting Firms
  • TAs and Loans
  • Staff consultants
  • Short Term individual consultants engaged by ADB
    to work directly with ADBs own staff

6
Use of consultants
  • Directly appointed by the Executing Agency of any
    ADB project
  • Appointed by ADB for a TA directly implemented by
    ADB
  • Appointed by ADB as Staff Consultant for work
    with ADB staff
  • Domestic Consultants
  • Defined as Nationals of the project country
  • May compete for domestic and international
    services
  • International Consultants
  • National of any ADB member country having
    exposure to international assignments.

7
Guidelines
  • Are applicable for selection of consultants in
    any project or TA where ADB is financing
    consulting services
  • Highlight the need to adhere to highest standards
    of ethics in consultant selection
  • Clause 1.05 defines corrupt practice and
    fraudulent practice (relation to anti corruption)
  • Any consultant /proposal disregarding
    anti-corruption clause of guidelines will be
    rejected and blacklisted.

8
Guidelines - 1
  • Only Nationals or firms of ADB member countries
    may participate as Consultants
  • Not possible for a firm to participate in both
    consulting and procurement activities
  • Should not have exceeded the quota for
    shortlisting specified in guidelines

9
Guidelines-Quota
  • Consulting Firms
  • Can submit only 3 technical proposals in a
    calendar year (applicable only in case of TA
    projects with a total budget exceeding 500,000)
  • Quota not applicable
  • For technical assistance projects of budget less
    than 500,000
  • For Loan projects
  • Individuals
  • May be engaged on a repetitive basis for a
    cumulative period of 12 months during any 24
    month period.
  • Quota applicable only to Staff consultants
  • Quota not applicable to TA or loan individual
    consultants

10
Guidelines-Selection Principles
  • Consultants should be selected on competitive
    basis
  • Process must be fair and well defined
  • Selection must be fair and conducted in a
    transparent manner
  • Competing consultants should be advised of
    competitors
  • Consultants should be provided with evaluation
    criteria
  • Consultants to be provided with the budget

11
Methods of Consultant Selection
  • Individual Consultants
  • Evaluation by the CV
  • Consulting Firms
  • Quality and Cost Based Selection (QCBS)
  • Preferred method of selection
  • Quality Based Selection (QBS)
  • Preferred only when scope of work is difficult to
    define in detail because of
  • the complexity of assignment
  • the need for an innovative solution
  • alternative methodologies possible, therefore
    difficult to compare Financial Proposals
  • Direct Selection
  • Used only in exceptional cases with adequate
    justification and prior approval
  • Used only when a form is clearly more qualified
    than any other or in case of emergency

12
Selection of Individual /Staff Consultants -
Steps Involved
  • Advertisement in ADB-BO
  • Receive Expression of Interest from individuals
    in the form of CVs / prepare a LONG list of
    individuals from DICON
  • Prepare shortlist of Individual Consultants
  • Evaluate the CVs of shorlisted Consultants based
    on selection criteria
  • Finalize contract with the first ranked
    consultant

13
Selection of Consulting Firms-Steps Involved
  • Advertisement in ADB-BO
  • Receive Expression of Interest from interested
    firms / prepare a REFINED LONG list of firms from
    DACON
  • Prepare shortlist of Consultants
  • Send Request for Proposal with Terms of Reference
    to shorlisted consultants
  • Receive proposals
  • Evaluate Proposals and rank the consultants
  • Finalize contract with the first ranked
    consultant

Go to Performance Evaluation
14
ADB-BO
  • Requirement of Consultant in new projects or
    Technical Assistance published in ADB Business
    Opportunities (Blue book)
  • Also Updated regularly in the ADB Website
    (Business Opportunities)
  • Back to Individual consultant selection Steps
  • Back to Consultant Firms Selection Steps

15
DICON
  • Database of Individual Consultants
  • Individual consultants to be registered in the
    DICON
  • Requirements
  • National of an ADB member country
  • Minimum 3 years of experience in primary field of
    expertise
  • No close relatives presently working in ADB
  • Update profile regularly
  • Will be deactivated if not updated for 2 years or
    more
  • -Back to Individual Consultant Selection Steps

16
DACON
  • Database of Consulting Firms
  • For shortlisting in TA projects consulting firms
    need to be registered in the DACON
  • Requirements
  • Incorporated in an ADB member country
  • Minimum of 5 full time professional staff
  • Been established for at least 2 years
  • Completed a minimum of 3 major projects
  • At least 50 of the professional staff must be
    nationals of the country where the firm is
    registered
  • Update profile regularly
  • Will be deactivated if not updated for 2 years or
    more
  • Back to Consulting Firm Selection Steps

17
Shortlisting of Consultants
  • Prepared from the refined long list after
    evaluation of the individual/ firm
  • Generally 6 in number
  • Should represent ADBs member countries in a
    reasonably geographically balanced way
  • Should have experience in similar projects
  • experience in the project country or in a similar
    geographical region
  • For TAs firm must meet the DACON registration
    requirements
  • in terms of staffing, management, and financial
    capabilities
  • Back to Individual consultant selection Steps
  • Back to Consultant Firms Selection Steps

18
Selection Criteria for Individual Consultants
  • CV evaluation
  • Evaluation Parameters
  • Academic Qualification 20
  • Project Related Experience 70
  • Country/Region Experience 10
  • Selection of staff consultants is also the same
    as Individual consultant
  • Engagements are short term, requiring travel with
    ADB staff

--Back to Individual Consultant Selection Steps
19
Expression of Interest
  • To be sent to the concerned authority as
    mentioned in the ADB-Business Opportunities
  • Enables a firm to be considered in the selection
    process
  • Present it in the format requested giving
    reference to the DACON registration
  • Highlight on
  • relevant project experience
  • project country/regional experience
  • Keep it short, focused, easy to read, project
    specific and not general
  • if it is for an assignment to be undertaken by a
    firm, DO NOT submit biodata as it is the firm
    which is being short listed
  • Back to Consultant Firms Selection Steps

20
Request for Proposal
  • Contains
  • the letter of invitation
  • instructions to consultants
  • preparation of Technical Proposal
  • preparation of Financial Proposal
  • Data Sheet
  • Terms of Reference (TOR)
  • standard form of Contract
  • list of ADB Member Countries
  • diskette for Financial Proposal (QCBS)
  • terms of reference (TOR)
  • copy of ADB Consulting Services Guidelines
  • Sent to Shortlisted firms requesting them to send
    the technical and financial proposals for the
    project
  • Provides information for shortlisted firms on how
    to prepare Proposals according to ADB
    requirements

Back to Consultant Firms Selection Steps
21
Terms of Reference
The TOR consists of
  • Detailed tasks
  • detailed objectives
  • scope of work and tasks to be undertaken
  • required expertise and estimated inputs
  • scheduling and reporting requirements
  • available counterpart facilities
  • Background information
  • sub-sector information
  • relevant work previously undertaken by ADB or
    others
  • name of executing agency (EA) and implementation
    arrangements
  • overall description of project
  • overall objectives of the consulting assignment

22
Terms of Reference
The TOR also includes
  • Budget
  • the budget is an estimate of the cost for the
    consulting services
  • prepared by ADB in conjunction with the EA during
    project formulation
  • the budget indicates the maximum available for
    the consulting services
  • Data Sheet
  • general information
  • clients name and contact details
  • selection method
  • type of Technical Proposal
  • budget
  • provisional sums
  • Proposal validity period
  • currency conversion details
  • Taxation details

Back to Consultant Firms Selection Steps
23
Proposal Preparation - Steps
  • Types of Technical Proposal and submission time
  • Full Technical Proposal for projects
    gt1,000,000 (45 days)
  • Simplified Technical Proposal for projects
    gt500,0000 lt1,000,000 (35 days)
  • Biodata Proposal for projects
    lt500,000 (21 days)
  • FOLLOW ALL INSTRUCTIONS WHILE SUBMITTING YOUR
    PROPOSALS.
  • Acknowledge the letter of invitation
  • Appoint production team and assign
    responsibilities
  • production director
  • technical coordinator
    (preferably the team leader)
  • editor
  • Prepare the technical proposal strictly in the
    format as specified in the RFP
  • DO NOT ADD ADDITIONAL DETAILS !!! YOU WILL LOSE
    MARKS

24
Proposal Preparation - Steps
  • Proposal Personnel
  • identify expertise required
  • identify potential personnel
  • identify the possible need for participation of
    associate firms
  • international and domestic
  • Proposal Research
  • analyze terms of reference requirements
  • assemble background information
  • visit project site to assess local factors
  • meet with executing agency staff

25
Proposal Contents FTP
  • COVER
  • Name of Firm and any associates
  • Name of Project number and Title
  • maybe a photo or relevant map or graphic
  • COVERING LETTER
  • Maximum two pages excluding necessary attachments
  • EXPERIENCE OF THE FIRM
  • Consists of two parts
  • Part 1 of maximum 2 pages introducing the firm
    and associate firms background and general
    experience
  • Part 2 (maximum 20 pages) illustrating firm and
    associate firms relevant experience.
  • DO NOT INCLUDE PROMOTIONAL MATERIAL

Complete all sections or state N/A. If you do not
provide information you will not get marks
26
Proposal Contents FTP
  • GENERAL APPROACH METHODOLOGY
  • your understanding of project
  • make reference to findings on site visit
  • explain how work will be done
  • identify key steps, phases, etc.
  • use a structured logical approach
  • be innovative without deviating from TOR
    requirements
  • consider use of charts, diagrams, etc.

27
Proposal Contents FTP
  • STAFFING AND STAFFING SCHEDULE
  • Include detailed organization chart
  • personnel are the most critical component of the
    technical proposal
  • selection of team leader will be evaluated twice
  • for leadership capability and
  • as a technical expert
  • when possible nominate permanent employees
  • WORK PROGRAM
  • Include detailed Work program chart for all the
    staff selected
  • useful to show task responsibilities of experts

28
Proposal Contents FTP
  • EXPERTs CVs
  • Should not exceed 5 pages for each experts CV

29
Proposal Contents FTP
  • COMMENTS ON THE TOR
  • also known as innovation
  • suggestions and comments on any aspect of the TOR
    which you think is not in consonance with the
    implementation of the project
  • Do not be too loud But do exercise your
    viewpoint with proper justifications concisely
  • points are allocated to this section so say
    something!!!

30
Proposal Contents FTP
  • COUNTERPART STAFF AND FACILITY REQUIREMENTS
  • also known as required support facilities
  • items typically required
  • office accommodation, secretarial assistance,
    office equipment
  • local transportation, documents etc
  • be realistic and take into account local
    conditions
  • points are allocated to this section so do not
    ignore this section. BE REALISTIC !!

31
Proposal Preparation - Others
  • Simplified Technical Proposal
  • Same as that of FTP
  • Only 10 pages for General Methodology, Work and
    Staffing Schedule (50 pages in FTP)
  • Need not include
  • Experience of the firm
  • Counterpart Staff and Facility requirements
  • Bio-data Technical Proposals
  • Same as that of FTP
  • Only 2 pages for General Methodology, Work, Staff
    Scheduling
  • Need not include
  • Experience of the firm
  • Comments on TOR
  • Counterpart Staff and Facilities Required

32
PROPOSAL STYLE
  • STANDARDIZATION AND DESIGN
  • KEEP IT SIMPLE
  • use a single type face and organize headings,
    sub-headings and text in a standard way
  • develop a standard numbering system
  • use running headers along the top of pages to
    sections of the proposal
  • use section dividers (could be colored), to give
    structure to the proposal
  • use tabs with labels to clearly identify the
    different sections
  • consider the use of charts, graphs and diagrams
    to explain concepts
  • WRITING STYLE
  • obey simple rules such as using short sentences
    and a standard vocabulary of terms
  • standardize punctuation, spelling, capitalization
    and use of underlining and bold face text
  • write names of organizations in full the first
    time with the abbreviation in parenthesis

33
PRESENTATION
  • OBJECTIVES
  • the proposal should be
  • easy to read and well referenced
  • well organized
  • Convincing
  • well written
  • PRESENTATION QUALITY
  • need to develop quality within the proposal
  • quality of intellectual input
  • quality of technical input
  • quality of logic and expression

Back to Consultant Firms Selection Steps
34
EVALUATION
  • QCBS
  • Technical and Financial proposals submitted at
    the same time
  • Technical proposals evaluated first 80 weightage
    for technical marks
  • Only firms which get 75 or more qualify for
    consideration of financial proposals
  • Financial evaluation is marked on 20
  • First ranked firm is one which scores highest
    cumulative technical and financial score
  • QBS
  • Technical proposals submitted initially
  • Technical bids evaluated
  • First ranked consultant requested to submit
    financial proposal

Full Technical Proposal Simplified Technical
Proposal Bio Data Proposal
Back to Consultant Firms Selection Steps
35
EVALUATION CRITERIAFULL TECHNICAL PROPOSAL
  • MAXIMUM 1,000 points
  • Qualification of Proposer 100-200
  • Approach and Methodology 200-400
  • Personnel 500-700

Back to Evaluation Main Page
36
EVALUATION CRITERIAFULL TECHNICAL PROPOSAL -
QUALIFICATION
  • QUALIFICATION OF PROPOSER 100-200
  • Experience in similar projects 70
  • Experience in Similar Geographical Areas 50
  • Any other factor 30

Back to Evaluation Criteria-FTP
37
EVALUATION CRITERIAFULL TECHNICAL PROPOSAL
APPROACH METHODOLOGY
  • APPROACH AND METHODOLOGY 200-400
  • Understanding of Objectives 40
  • Quality of Methodology 80
  • Innovativeness(Comments on TOR) 40
  • Work Plan 70
  • Staffing Schedule 30
  • Counterpart Facilities 20
  • Proposal Presentation 20

Back to Evaluation Criteria-FTP
38
EVALUATION CRITERIAFULL TECHNICAL PROPOSAL
PERSONNEL
  • PERSONNEL 500-700
  • Nominated International Experts 400
  • (Each Evaluated separately)
  • Team Leader 100
  • Others 300
  • Nominated Domestic Experts 200
  • (Each Evaluated separately)

Back to Evaluation Criteria-FTP
39
EVALUATION CRITERIASIMPLIFIED TECHNICAL PROPOSAL
  • APPROACH AND METHODOLOGY (300)
  • Approach and Methodology 200
  • Work Plan 50
  • Staffing Schedule 50
  • PERSONNEL (700)
  • Nominated International Experts
  • Nominated Domestic Experts

Back to Evaluation Main Page
40
EVALUATION CRITERIABIO-DATA PROPOSAL
  • Staffing schedule an Work Plan 100
  • Work Plan 50
  • Staffing Schedule 50
  • PERSONNEL 900
  • Nominated International Experts
  • Nominated Domestic Experts

Back to Evaluation Main Page
41
FINAL RESULT
  • Final Ranking is ascertained by combining the
    technical and Financial Proposal scores
  • 80 of technical score
  • 20 of the financial score
  • EMPHASIS ON QUALITY

Back to Consultant Firms Selection Steps
42
PERFORMANCE EVALUATION
  • On completion of a TA or staff consulting
    assignment the ADB undertakes a performance
    evaluation
  • both firms and experts are evaluated
  • The ratings are stored in ADB database
  • Ratings are considered while making refined long
    list / short list of consultants for subsequent
    projects

43
COMMON ERRORS MADE BY CONSULTANTS
  • extracts from minutes of meetings held to rank
    consultants TA technical proposals
  • NOTE, MANY OF THESE ERRORS ARE BASIC AND THEY ARE
    OFTEN A RESULT FROM CONSULTANTS NOT PROVIDING
    REQUESTED INFORMATION OR FOLLOWING INSTRUCTIONS

44
ERRORS (1)
  • Proposal ranked 2nd, (4 Proposals), 18 points
    behind winner
  • the Proposal showed an implementation period of 4
    months longer than that required by the TOR
  • 7 international experts were proposed compared to
    the 4 positions in the TOR
  • 15 proposed trips to the field were considered to
    be excessive

45
ERRORS (2)
  • Proposal ranked 2nd (3 Proposals), 23 points
    behind winner
  • the personnel schedule was not in the required
    format
  • the methodology gave the impression that the firm
    did not intend addressing all the TOR tasks
  • inclusion of a project director was considered
    inappropriate

46
ERRORS (3)
  • Proposal ranked 5th, (5 Proposals), 83 points
    behind winner
  • strong project and country experience
  • very experienced domestic associate firm, BUT..
  • no nomination for one domestic position
  • international economist was rated at zero because
    she was from Bulgaria, a non-ADB member country

47
ERRORS (4)
  • Proposal ranked 4th, (4 Proposals), 67 points
    behind winner
  • the work plan was weak as there were no linkages
    between experts inputs and timing of deliverables
  • the committee was of the opinion that there were
    too many associate firms which could complicate
    management of the team
  • too much home office input was shown for the team
    leader

48
ERRORS (5)
  • Proposal ranked 5th, (6 Proposals), 99 points
    behind winner
  • assignment of tasks to team members was not clear
  • the staffing schedule indicated limited input by
    the team leader which was due to a conflict of a
    previous commitment to another ADB project
  • the international financial analyst had strong
    academic qualifications but no DMC experience

49
ERRORS (6)
  • Proposal ranked 3rd, (5 Proposals), 72 points
    behind winner
  • a strong team of experts BUT.
  • no site visit had been undertaken
  • there were no details as to when the various
    reports were to be submitted
  • distribution of person months indicated
    inadequate allowance for economic analysis tasks
  • the TOR for this study was specific on the inputs
    of the various experts in the team

50
ERRORS (7)
  • Proposal ranked 3rd, (5 Proposals), 68 points
    behind winner
  • the number of pages exceeded the limit for
    Simplified Technical Proposals
  • this applied to both the approach methodology
    section and the experts biodata
  • there were 4 trips to the field for each expert
    for a study with a 6 month duration
  • the inclusion of an administrative assistant was
    not a TOR requirement

51
ERRORS (8)
  • Proposal ranked 4th, (5 Proposals), 76 points
    behind winner
  • the methodology did not cover all TOR requirement
    and focused too much on training activities
  • there was a lack of understanding of related
    sector work previously undertaken by the ADB
  • the Proposal was difficult to read because of the
    size and style of font used

52
ERRORS (9)
  • Proposal ranked 2nd, (3 Proposals), 17 points
    behind winner
  • the proposed additional 10 months input and the
    addition of 3 experts to the 8 required by the
    TOR was inappropriate
  • the fragmented input by the team leader could
    lead to management problems
  • otherwise very good methodology and a strong team
    of experts

53
ERRORS (10)
  • Proposal ranked 3rd, (4 Proposals), 12 points
    behind winner
  • proposal contained information about the firms
    previous work experience which is not permitted
    for the Simplified Technical proposal
  • the committee did not see the need for input by
    the firms chairman

54
ERRORS (11)
  • Proposal ranked 4th, (4 Proposals), 80 points
    behind winner
  • the Proposal presented a rather cursory approach
    and methodology which demonstrated a lack of
    understanding of the TOR objectives
  • none of the experts in the team were permanent
    employees of either the lead firm or the
    associate firms
  • 9 experts were nominated for the 5 TOR positions

55
ERRORS (12)
  • Proposal ranked 2nd, (3 Proposals), 80 points
    behind winner
  • the methodology was very brief and was only
    presented in chart form
  • the personnel schedule was not in the required
    format
  • only expertise was shown, there were no names and
    inputs were shown in days, not months
  • the team leader had a background in statistics
    rather than investment finance

56
ERRORS (13)
  • Proposal ranked 4th, (4 Proposals), 91 points
    behind winner
  • the Proposal was poorly presented with numerous
    typing errors and redundant content
  • names in the personnel schedule did not match
    those in the organization chart
  • the methodology was brief and did not address all
    issues
  • biodata was not in the ADBs format

57
ERRORS (14)
  • Proposal ranked 4th, (4 Proposals), 182 points
    behind winner
  • none of the quoted projects in the experience
    section were relevant to the TAs requirements
  • the personnel schedule and the work program were
    difficult to interpret
  • there were no nominations for two domestic
    positions
  • the committee determined the Proposal to be
    non-responsive

58
ERRORS (15)
  • Proposal ranked 3rd, (3 Proposals), 177 points
    behind winner
  • inadequate information was contained in the
    biodata of the domestic experts to allow for a
    detailed evaluation
  • the inclusion of an executing agency employee as
    a domestic consultant was not acceptable
  • the committee determined the Proposal to be
    non-responsive

59
SOURCES OF INFORMATION
  • ADB Website www.adb.org
  • New releases
  • Conferences and seminars
  • Publications
  • DMC statistical data
  • Project profiles
  • ADB documents
  • Links -http//www.adb.org/Business/Opportunities
  • http//www.adb.org/Consulting/dicon
    .asp
  • http//www.adb.org/Consulting/dacon
    .asp
  • ADB Personnel at ADB office

60
THANK YOU
  • For Enquiries Contact
  • ASIAN DEVELOPMENT BANK
  • 4, San Martin Marg,
  • Chanakyapuri,
  • New Delhi - 110021
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