Executing Agency Consulting Recruitment

Submission 1: Shortlisting of Consulting Firms and

Request for Proposals (QCBS/QBS/FBS/LCS)

This is the: [indicate whether 1st, 2nd, 3rd, etc.] request for review

Loan/Grant (Country) (No.): Title

Package/Component: ______

Name of Executing Agency (EA):______

______

Report Submitted by:

Name/Designation:______

Signature:______

Date Submitted:______

Date of EA Consultant SelectionCommittee-Shortlisting (CSC-SL) Meeting:______

Checklist of Attached Documents(For 1st Review):[Make sure all attachments with “Yes”.]

(For the 1st review)

Attachment 1: Procurement Plan published in ADB website
[Procurement plan must be within a year and for each loan, not per MFF. Attach approval memo for individual changes in the procurement plan.] / Yes [ ] / No [ ]
Attachment 2: Budget for consulting services including contingency, provisional sums with breakdown, and a provision for indirect local tax / Yes [ ] / No [ ]
Attachment 3: Report on Longlist, EOI Evaluation, and Shortlisting[1] / Yes [ ] / No [ ]
Attachment 4: Draft Request for Proposals (RFP) with Terms ofReference (TOR), Data Sheet, Summary and Personnel Evaluation Sheets[2] and Draft Contract / Yes [ ] / No [ ]
Attachment 5: Narrative Evaluation Criteria (NEC), if requested by ADB.
[Part A includes a checklist for EA to certifyNEC’s compliance to the important requirements. However, EA may be requested to attach a draft NEC for a full review by ADB (see below “For ADB’s project division”).] / Yes [ ] / No [ ]
Attachment 6: Updated Consultant Recruitment Activities Monitoring (CRAM) Sheet
[Project Unit to update CRAM sheet in Consulting Services Reference (Lotus Notes) before submitting this Submission 1 to LCU.] / Yes [ ] / No [ ]
For ADB’s Project Division: Please attach a copy of previous communications with procurement specialist assigned to the country, project counsel, or integrity specialist on items covered by this Submission Document (if any). For OSP2 countries, pleasealways request Attachment 5: Narrative Evaluation Criteria from the EA.
(For the succeeding review)
The information or documents requested in the latest review in Part B:
______/ Yes [ ] / No [ ]
  1. EACSC Members*:

Name / Ministry/Department/Agency / Designation
* Is there any consultant in the EA’s CSC Meeting? – if Yes, please certify: / Yes [ ] / No [ ]
- “The EA confirms that the consultant in the EA’s CSC Meeting does not have any ongoing business associations (whether direct or indirect) with any of the firms in the shortlist.” / - Confirmed [ ]
  1. CSRN:please confirm that this submission 1 is consistent with the CMS-CSRN for (i) selection method, (ii) the assignment title, (iii) contract period, (iv) budget amount and type (see para. 4), (v) type of contract, (vi) source (type of shortlisting), and (vii) TOR (expert input). If No, describe the discrepancies:
(Details of discrepancies): ______
- EA is requested to prepare RFP consistent with what EA has advertised through CMS-CSRN. ADB may request re-advertisement, subject to the discrepancies or if CMS-CSRN did not properly advertise the assignment.
- Advertisement in CMS-CSRN- prevails over the government advertisement. / - Confirmed [ ]
2.1.Date of CMS-CSRN Posting: / / Deadline of EOI Submission:

- For reduced period of advertisement (less than 30 days) or waiver of advertisement, attach the ADB’s formal approval

- If it has been more than 60 days since the deadline of EOI submission, EA should ask written reconfirmation of interest from all consultants who submitted EOI. Request for reconfirmation must be sent to the consultants on non-committal basisby a fax letter. E-mail is not acceptable.

2.2.Method of Selection: / [ ] QCBS / [ ] FBS / [ ] LCS / [ ] QBS
- If QCBS, Quality Cost Ratio: / [ ] 70:30 / [ ] 80:20 / [ ] 90:10
[If not 80:20, attach the project document which supports the ratio other than 80:20 unless the procurement plan published in ADB website includes the ratio.]
2.3.Contract Period: [Contract must end before the loan closing date, SCC14.1] / months
2.4.Loan Closing Date: / Or if advance action, tick here > / [ ]
2.5.Type of Contract ………………………….. / [ ] Time-Based / [ ] Lump-Sum
2.6.Type of Shortlisting:………………………
- if national shortlisting, attach ADB’s approval. / [ ] International / [ ] National[3]
  1. Attachment 1:please confirm that the procurement plan supports this consultant recruitment by (i) the assignment title, (ii) budget, (iii) selection method, and (iv) type of shortlisting.
- If Not,coordinate with the Project Unit the posting of the updated procurement plant to ADB website prior to sending this submission 1. / - Confirmed [ ]
  1. Attachment 2: Budget
/ US$ ______/ [ ] Estimated / [ ] Maximum
Please confirm if the Budget followed the following norms: / - Confirmed [ ]
4.1.Budget comprises five categories: (i) remuneration, (ii) expenses, (iii) provisional sums, (iv) contingencies, and (v) indirect local taxes?
4.2.Remuneration covers Key- and Non Key- experts following positions in TOR?
4.3.Contracted staff is under expenses?
4.4.Provisional sums are enumerated with corresponding amounts?
4.5.Contingencies are 5-10% of the base cost which comprises remuneration, expenses, and provisional sums?
  1. Attachment3:Longlist – EOI Evaluation - Shortlisting:

5.1.EA attached a report prepared in the standard template?
[EA’s internal minutes will not be accepted.] / Yes [ ] / No [ ]
  1. Attachment 4: RFP – please confirm each item. If EA cannot confirm, please state the reasons: ______

6.1.Section 1 – LOI includes the shortlist as instructed in Attachment 3: Report on Longlist, EOI Evaluation, and Shortlisting. / - Confirmed [ ]
6.2.Data Sheet followed instructions in the template, without modifying the original text. / - Confirmed [ ]
6.3.Terms of Reference:please make sure the following: / - Confirmed [ ]
6.3.1.using the standard template in Section 7, RFP.
6.3.2.including position-based TORs for Key Experts in “4. Team Composition and Qualification Requirements for Key Experts”.
6.3.3.excluding a pass/fail or restrictive criteria (example: age, gender).
[“minimum”, “at least”, “must”, “shall”, etc. should be replaced with “preferred” or “… will be advantage.”]
6.3.4.using a separate appendix for support staff requirements, if any.
6.3.5.excluding financial information.
6.3.6.including “6.Clients Input and Counterpart Personnel”.
6.3.7.including “7. Information to facilitate Proposal preparation”.
NOTE: Position based TOR for an expert includes (i) international / national; (ii) key / non-key; (iii) position title; (ii) preferred qualification; (iv) tasks and responsibility. EA evaluates only key experts for technical evaluation. When TOR has specific support staff provision, EA is recommended to consider non-key expert positions instead. If EA prefers support staff, the requirements should be in a separate appendix to TOR, may be indicating “the Consultants should price them under Expenses in FIN-4, otherwise the Client may adjust the proposed price”; and Data Sheet 16.1 should include an item for the support staff.
6.4.Please confirm: there is no modification to the standard text and forms in RFP (except Section 8 Contract Forms). If EA has achange specific to this selection, describe the change:
______ / - Confirmed [ ]
There is no modification to Contract Forms in Section 8, RFP. … tick when it is confirmed. If EA has achange specific to this selection, describe the change:
______
[A change to GCC should be through SCC. For any change to GCC/SCC, or any part in the standard contract provisions and Forms, EA should report to ADB project staff for the clearance by ADB’s legal department (OGC)prior to this submission 1. For SCC provisions, refer to para. 6.6, too.] / - Confirmed [ ]
6.5.Special Conditions of Contract (SCC) related to ADB’s Consulting Services Guidelines
[SCCsin Italicsare required by ADB’s consulting services guidelines in C. Important Contract Provisions for Loans.]
Time-Based Contract / Lump-Sum Contract / Special Conditions
SCC13.1 / SCC13.1 / Confirmation of Key Experts’ availability in accordance with the agreed schedule,which shall be submitted to the Client in writing signed by each Key Expert and as a precondition to start the assignment. Confirmation will define the agreed uncontrollable circumstance, too that allows replacement with reference to GCC30.2. This will be added to Appendix B. / [To be finalized during negotiation.]
SCC21.b / SCC21.b / Conflict of Interest Delete “on a case by case basis” and “Yes ___ No ___”. / Yes [ ] / No [ ]
SCC23.1 / SCC23.1 / Professional Liabilityas at least one time the total value of the Contract as stated in the standard SCC provision. / [To be finalized during negotiation.]
SCC24.1 / SCC24.1 / Insurancecoverage not less than the total ceiling amount for each currency of payment, corresponding to SCC23.1. / [To be finalized during negotiation.]
SCC42.3 / SCC38.1 / Adjustment of Remuneration:
  • Time-Based Contract shall apply the index based formula in the standard Contract Form. Other form of adjustment such as 3% annually shall be discouraged as it is not always neutral.
  • Lump-Sum Contract has no adjustment. It is a fixed price contract (GCC38.1).
/ Yes [ ] / No [ ]
SCC43.1 and 43.2 / SCC38.1,39.1, and 39.2 / Taxes: a provision for local indirect taxes consistent with Data Sheet. / Yes [ ] / No [ ]
SCC44.1 / SCC38.1 and 41.2 / Currenciesas stated in the financial proposal, subject to up to three convertible foreign currencies and a local currency. / [To be finalized during negotiation.]
SCC45.1(a) / SCC41.2.1 / Advance: around 5%. Advance exceeding 10% of the contract amount requires bank guarantees by the Form in Appendix E. / [To be finalized during negotiation.]
- / SCC41.2 / Payment schedule for Lump-Sum Contract:linked to the delivery of services/ outputs in Appendix A. / [To be finalized during negotiation.]
SCC46.1 / SCC42.1 / Interest on delayed paymentis indicated by annual rate available to the Consultant for the currency of payment. / [To be finalized during negotiation.]
SCC49 / SCC45.1 / (a)Disputeprovisions including arbitrator, appointing authority, etc. as stated in the standard Contract Form. For national shortlisting, Project Division should consult with OGC for advice to the EA. / Yes [ ] / No [ ]
  1. Narrative Evaluation Criteria (NEC) – NEC must comply with the following itemswith “Yes” except para. 7.6, which is EA’s optionwhether or not EA attaches the NEC for ADB’s review.

7.1.NEC used ADB’s standard template? / Yes [ ] / No [ ]
7.2.NEC has criteria and weights consistent with the summary evaluation sheet? / Yes [ ] / No [ ]
7.3.NEC excludes additional requirements which arenot in the TOR? / Yes [ ] / No [ ]
7.4.NEC excludes a pass/fail approach? [A pass/fail approach is not acceptable. Example: less than 5 projects will berated as non-compliant with zero rating.] / Yes [ ] / No [ ]
7.5.NEC excludes restrictive criteria such as age, gender, etc.? / Yes [ ] / No [ ]
7.6.NEC includes penalty for excess pages (Section 3, RFP)?
[Example: 5 points per a page excess deducted from the total score in summary evaluation sheet.] / Yes [ ] / No [ ]
  1. Conclusion:

1.1.LCU/Project Division approves this Submission 1. / [ ]
1.2.LCU/Project Divisionapproves this Submission 1 with the following comments in Part B. The Project Unit must confirm EA’s incorporation of the comments in Part B prior to extending ADB’s approval to the EA. / [ ]
1.3.LCU/Project Divisiondisapproves this Submission 1.The submission for the next review needs to attach the following documents which have incorporated ADB’s comments. / [ ]
Attachment 1: Procurement Plan published in ADB website
[Procurement plan must be within a year and for each loan, not per MFF. Attach approval memo for individual changes in the procurement plan.] / [ ]
Attachment 2: Budget for consulting services including contingency, provisional sums with breakdown, and a provision for indirect local tax / [ ]
Attachment 3: Report on Longlist, EOI Evaluation, and Shortlisting[4] / [ ]
Attachment 4: Draft Request for Proposals (RFP) with Terms ofReference (TOR), Data Sheet, Summary and Personnel Evaluation Sheets[5] and Draft Contract / [ ]
Attachment 5: Narrative Evaluation Criteria (NEC) in ADB template / [ ]
Attachment 6: Updated Consultant Recruitment Activities Monitoring (CRAM) Sheet
[Project Unit to update CRAM sheet.] / [ ]
Other requirements: ______/ [ ]
  1. CSC members:
  2. ______
  3. ______
  1. Consistency with CMS-CSRN:
  2. ______
  3. ______
  1. Attachment 1: Procurement Plan
  2. ______
  3. ______
  1. Attachment 2: Budget
  2. ______
  3. ______
  1. Attachment 3: Longlist, EOI evaluation, and Shortlisting
  2. ______
  3. ______
  1. Attachment 4:RFP
  2. Completeness:
  3. ______
  4. ______

7.2.Section 1: Letter of Invitation (LOI):

7.2.1.______

7.2.2.______

7.3.Section 2: Data Sheet:

7.3.1.______

7.3.2.______

7.4.Summary and Personnel Evaluation Sheets (SES and PES):

7.4.1.______

7.4.2.______

7.5.Section 7: Terms of Reference (TOR):

7.5.1.______

7.5.2.______

7.6.Section 8: Contract Form:

7.6.1.______

7.6.2.______

  1. Attachment 5: Narrative Evaluation Criteria (NEC)
  2. ______
  3. ______
  1. Attachment 6: CRAM (as of dd/mm/yyyy)

9.1. / Cumulative planned days (a) / Cumulative achieved days (b) / Difference
(c) = (b)-(a) / Comment on the causes of delays

Note: Numbers pertain to calendar days. Negative number indicates being ahead of the recruitment process.

9.2.______

  1. Other Issues:
  2. ______
  3. ______
  1. Advance Remindersfor Submission 2 Review:Please refer to the Guide for Submission 2in ADB website for detailed instructions.

11.1.In reference to SRFP Section 1, LOI, para. 7(a), the Project Unit should request the EA to secure a confirmation of withdrawal in writing from a shortlisted firm if the EA did not receive its proposal on the submission.

11.2.Copy of confirmation of withdrawal from the Consultant should be attached in Submission 2. Unless the status of shortlisted Consultants which were not evaluated is clarified with evidence, ADB will not be able to process Submission 2.

11.3.For a Proposal which EA received after the deadline, EA must attach a signed document from the courier, which certifies time and place of delivery. EA’s internal record is not acceptable.

11.4.EA should confirm approval if there is a change (dropping/removal or addition) in the original association with reference to Section 1, LOI, paras. 4 and 7(b).

11.5.EA must ensure that the firm that submits the proposal is the same legal entity that submitted the EOI. If the proposal received has a different legal entity from the shortlisted one, the proposal should be rejected. This also applies when a parent company, a group of firm, a subsidiary, or a local affiliate of the shortlisted firm submits the proposal (see para. 4 - LOI, Section 1 of the SRFP).

11.6.The EA should ensure that evaluation is conducted taking into account the issues on disqualification (see “Disqualification of an Expert” in the SRFP).

11.7.If there is an expert proposed by multiple firms for the same position, the CSC should evaluate the expert in accordance with the CV included in each technical proposal. This may result in uniform rating for the said expert if the same CV is used or otherwise different ratings if the CVs submitted by the firms for the expert were different.

11.8.If a technical proposal nominates more than one expertfor a position, the CSC evaluates all candidates and appliesthe lowest rating among them in the PES/SES.

  1. Anticorruption Sanction/Terrorism Lists Checking and External ADB Auditor Clearance:

Any of the shortlisted firms (including their Joint VentureYesNo

Partner/s or Sub-consultant/s) in ADB Anticorruption Sanction Lists and Terrorism Lists? (Please check ADB website)

If Yes, state the name of the consulting firm/s: ______

External ADB auditor included in the shortlist?YesNo

If Yes,please obtain clearance from OAG before proceeding.

  1. Checking of Conflict of Interest [in accordance with the Guidelines on the Use ofConsultants by ADB and Its Borrowers(CG)]:

Conflict with concernedOSFMD/Project Unit Specialists [CG 1.11(c)]YesNo

This includes staff relation with the shortlisted consultant past one year.

If Yes, state relationshipand state the remedy: ______

______

  1. Subject to Section F of PAI 2.05, upon receipt of the EA’s Submission 1, the Project Unit ensures that the EA submitted complete documents required (Checklist of Attached Documents) in the submission form before immediately forwarding an electronic copy of the submission toOSFMD-LCU (see PAI 2.05, paragraph 14).
  1. The Project Unit should ensure that EAusesthe latestSRFP without modification or omission of the standard provisions.
  1. The Project Unit should ensure that the submission is consistent with the latestuploaded procurement plan.
  1. The Project Unit will send an updated CRAM sheet to the EA for its monitoring of the recruitment activities.

Prepared by:

______

Signature above Printed NameSignature above Printed Name

OSFMD(If applicable)Project Unit

Note: When OSFMD review is required,

the Project Unit Officer signs the

______review document after the OSFMD

DateOfficer signs it.

______

Date

Approved by:

______

Signature above Printed Name

Director, Project Unit/

Country Director, Resident Mission

(Please sign as applicable)

______

Date

Disclaimer:The review and approval of this submission document is conducted independently and must not serve as a precedent for future reviews.

Distribution:

Country Director / Director (Project Unit) / (Project UnitSpecialist)

OSFMD-LCU

Attachment 3 to Submission 1:

EA’s Report on

Longlist, EOI Evaluation, and Shortlisting

  1. Long list:This is a record of EOIs.EA certifies:

1.1.Longlist includes all EOIs which EA has received via CMS-CSRN on or before the deadline? / Yes [ ] / No [ ]
1.2.Information of each consulting firm / entity as stated in EOI? / Yes [ ] / No [ ]
Col. 1 / Col. 2 / Col. 3 / Col. 4 / Col. 5
Name of the Consultant / Country / Lead/
JV member
or Sub-consultant / Type of the legal entity / EOI certified Eligibility Declaration?
(Tick if yes.)
1. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
2. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
3. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
4. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
5. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
6. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
7. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
8. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
9. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
10. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
11. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
12. / Firm 1 / Lead / Private / SOE / NGO / [ ]
Firm 2 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
Firm 3 / JV member / Sub-consultant / Private / SOE / NGO / [ ]
(… add / delete rows as needed.) / Private / SOE / NGO / [ ]
Note: /
  1. Col. 1 Name of consultant: Name must be in full-name (not acronym).
  2. Col. 2 Country: for each consultant including JV member and sub-consultant, country of incorporation must be supported by the certificate of incorporation (not by business or tax registration)or its equivalent that establishes legal personality to independently sign and enter into a contract.
  3. Col. 3: Type of association must be either JV or sub-consultant. If not clear or EOI indicates something else such as association or consortium, EA must confirm the type of association from the consultant [para. 4 and 7(b) of LOI, Section 1 of the SRFP – a change may result in a rejection of the Proposal].
  4. Col. 4: Type of legal entity: SOE refers to State Owned Enterprise.
  5. Col. 5: Eligibility Declaration is included in ADB’s standard EOI form. EA must reject EOI which is notin ADB form; or request resubmission in ADB’s standard form certifying eligibility declaration.CMS registration is NOT a requirement; it is applicable only to ADB’s TA consultant selection.
  6. If less than 12 EOIs, it is suggested to review budget and TOR for re-advertisement.