Executing Agency Consulting Recruitment
Submission 1: Shortlisting of Consulting Firms and
Request for Proposals (QCBS/QBS/FBS/LCS)
Part A [by the Executing Agency] – use checkboxes after reading instructions carefully
and completing the documents as required prior to sending this Submission 1.
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 Selection Committee-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
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 of Reference (TOR),
Data Sheet, Summary and Personnel Evaluation Sheets 2 and Draft
Contract
Yes [ ]
No [ ]
Attachment 5: Narrative Evaluation Criteria (NEC), if requested by ADB.
Yes [ ]
No [ ]
Yes [ ]
No [ ]
Yes [ ]
No [ ]
[Procurement plan must be within a year and for each loan, not per MFF.
Attach approval memo for individual changes in the procurement plan.]
[Part A includes a checklist for EA to certify NEC’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”).]
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.]
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, please
always 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:
_____________________________________________________________
1
2
Use the template at the end of Submission 1 form marked as Format for Attachment 3.
The appropriate templates can be downloaded from ADB website in the following link: http://www.adb.org/site/businessopportunities/operational-procurement/consulting/documents.
October 2013
1.
EA CSC Members*:
Name
Ministry/Department/Agency
Designation
* Is there any consultant in the EA’s CSC Meeting? – if Yes, please certify:
- “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.”
Yes [ ]
2.
- Confirmed [ ]
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:
No [ ]
- Confirmed [ ]
(Details of discrepancies): _____________________________________________
- EA is requested to prepare RFP consistent with what EA has advertised through CMSCSRN. 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.
2.1. Date of CMSCSRN 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 basis by a fax letter. E-mail is not acceptable.
2.2. Method of Selection:
- If QCBS, Quality Cost Ratio:
[ ] QCBS
[ ] FBS
[ ] 70:30
[ ] LCS
[ ] QBS
[ ] 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]
2.4. Loan Closing Date:
months
Or if advance action, tick here >
2.5. Type of Contract …………………………..
[ ] Time-Based
[ ] Lump-Sum
2.6. Type of Shortlisting: ………………………
[ ] International
[ ] National1
[
]
- if national shortlisting, attach ADB’s approval.
3.
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.
- Confirmed [ ]
- If Not, coordinate with the Project Unit the posting of the updated procurement plant to
ADB website prior to sending this submission 1.
1
National shortlist may comprise entirely national consultants (i.e., firms incorporated in the borrower’s country); however, national
shortlisting does not exclude foreign firms if they expressed interest.
October 2013
4.
Attachment 2: Budget
US$ _________________
[ ] Estimated
Please confirm if the Budget followed the following norms:
[ ] Maximum
- 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?
5.
6.
Attachment 3: Long list – EOI Evaluation - Shortlisting:
5.1. EA attached a report prepared in the standard template?
[EA’s internal minutes will not be accepted.]
Yes [ ]
No [ ]
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 a change specific to this
selection, describe the change:
- Confirmed [ ]
________________________________________________________________
October 2013
There is no modification to Contract Forms in Section 8, RFP. … tick when it is
confirmed. If EA has a change specific to this selection, describe the change:
______________________________________________
- Confirmed [ ]
[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.]
6.5. Special Conditions of Contract (SCC) related to ADB’s Consulting Services Guidelines
[SCCs in Italics are required by ADB’s consulting services guidelines in C. Important Contract Provisions for
Loans.]
TimeBased
Contract
Lump-Sum
Contract
Special Conditions
SCC13.1
SCC13.1
Confirmation of Key Experts’ availability in
accordance with the agreed schedule, which shall be
[To be finalized during
negotiation.]
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.
SCC21.b
SCC21.b
Conflict of Interest Delete “on a case by case basis” and
“Yes ___ No ___”.
Yes [ ]
SCC23.1
SCC23.1
Professional Liability as at least one time the total value of
[To be finalized during
negotiation.]
the Contract as stated in the standard SCC provision.
SCC24.1
SCC42.3
SCC24.1
SCC38.1
No [ ]
each currency of payment, corresponding to SCC23.1.
[To be finalized during
negotiation.]
Adjustment of Remuneration:
Yes [ ]
No [ ]
Yes [ ]
No [ ]
Insurance coverage not less than the total ceiling amount for
 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).
SCC43.1
and 43.2
SCC38.1,
39.1, and
39.2
Taxes: a provision for local indirect taxes consistent with Data
SCC44.1
SCC38.1
and 41.2
Currencies as stated in the financial proposal, subject to up to
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.]
Interest on delayed payment is indicated by annual rate
available to the Consultant for the currency of payment.
[To be finalized during
negotiation.]
SCC45.1
(a)
-
Sheet.
three convertible foreign currencies and a local currency.
SCC46.1
SCC42.1
SCC49
SCC45.1 (a) Dispute provisions including arbitrator, appointing authority,
[To be finalized during
negotiation.]
Yes [ ]
No [ ]
etc. as stated in the standard Contract Form. For national
shortlisting, Project Division should consult with OGC for advice
to the EA.
7.
Narrative Evaluation Criteria (NEC) – NEC must comply with the following items with “Yes” except para.
7.6, which is EA’s option whether or not EA attaches the NEC for ADB’s review.
October 2013
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 are not 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 be rated 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)?
Yes [ ]
No [ ]
[Example: 5 points per a page excess deducted from the total score in summary
evaluation sheet.]
October 2013
Part B [ADB Comments on EA’s Submission]
1.
Conclusion:
1.1. LCU/Project Division approves this Submission 1.
1.2. LCU/Project Division approves 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 Division disapproves 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 1
[ ]
[ ]
Attachment 4: Draft Request for Proposals (RFP) with Terms of Reference (TOR), Data
Sheet, Summary and Personnel Evaluation Sheets 2 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: ________________________________
[ ]
[ ]
[ ]
2.
CSC members:
2.1. __________________________________________________________________________
2.2. __________________________________________________________________________
3.
Consistency with CMS-CSRN:
3.1. __________________________________________________________________________
3.2. __________________________________________________________________________
4.
Attachment 1: Procurement Plan
4.1. __________________________________________________________________________
4.2. __________________________________________________________________________
5.
Attachment 2: Budget
5.1. __________________________________________________________________________
5.2. __________________________________________________________________________
6.
Attachment 3: Longlist, EOI evaluation, and Shortlisting
6.1. __________________________________________________________________________
6.2. __________________________________________________________________________
7.
Attachment 4: RFP
7.1. Completeness:
7.1.1. ___________________________________________________________________
1
2
Use the template at the end of Submission 1 form marked as Format for Attachment 3.
The appropriate templates can be downloaded from ADB website in the following link: http://www.adb.org/site/businessopportunities/operational-procurement/consulting/documents.
October 2013
7.1.2.
___________________________________________________________________
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. ___________________________________________________________________
8.
Attachment 5: Narrative Evaluation Criteria (NEC)
8.1. __________________________________________________________________________
8.2. __________________________________________________________________________
9.
Attachment 6: CRAM (as of dd/mm/yyyy)
9.1.
Cumulative
Cumulative
planned days
achieved days
(a)
(b)
Difference
Comment on the causes of
delays
(c) = (b) - (a)
Note: Numbers pertain to calendar days. Negative number indicates being ahead of the recruitment
process.
9.2.
__________________________________________________________________________
10.
Other Issues:
10.1. __________________________________________________________________________
10.2. __________________________________________________________________________
11.
Advance Reminders for Submission 2 Review: Please refer to the Guide for Submission 2 in
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).
October 2013
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 expert for a position, the CSC evaluates all
candidates and applies the lowest rating among them in the PES/SES.
12.
Anticorruption Sanction/Terrorism Lists Checking
and External ADB Auditor Clearance:
Any of the shortlisted firms (including their Joint Venture
Yes
No
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?
If Yes, please obtain clearance from OAG before proceeding.
Yes
No
13. Checking of Conflict of Interest [in accordance with the Guidelines on the Use
of Consultants by ADB and Its Borrowers (CG)]:
Conflict with concerned OSFMD/Project Unit Specialists [CG 1.11(c)]
Yes
No
This includes staff relation with the shortlisted consultant past one year.
If Yes, state relationship and state the remedy: _________________________________________
_______________________________________________________________________________
Reminders for the Project Unit
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 to OSFMDLCU (see PAI 2.05, paragraph 14).
2.
The Project Unit should ensure that EA uses the latest SRFP without modification or omission of
the standard provisions.
3.
The Project Unit should ensure that the submission is consistent with the latest uploaded
procurement plan.
4.
The Project Unit will send an updated CRAM sheet to the EA for its monitoring of the recruitment
activities.
October 2013
Prepared by:
_________________________________
Signature above Printed Name
OSFMD (If applicable)
___________________
Date
___________________________________
Signature above Printed Name
Project Unit
Note: When OSFMD review is required,
the Project Unit Officer signs the
review document after the OSFMD
Officer 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 Unit Specialist)
OSFMD-LCU
October 2013
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.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
1.1. Longlist includes all EOIs which EA has received via CMS-CSRN on or before Yes [ ]
the deadline?
No [ ]
1.2. Information of each consulting firm / entity as stated in EOI?
No [ ]
Yes [ ]
Col. 1
Col. 2
Col. 3
Col. 4
Name of the Consultant
Country
Lead/
JV member
or Sub-consultant
Type of the legal
entity
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Col. 5
EOI certified
Eligibility
Declaration?
(Tick if yes.)
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
October 2013
Firm 2
Firm 3
JV member / Sub-consultant
JV member / Sub-consultant
(… add / delete rows as
needed.)
Note:
2.
Private / SOE / NGO
Private / SOE / NGO
[ ]
[ ]
Private / SOE / NGO
[ ]
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 not in 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.
EOI Evaluation Criteria: EA applied the following criteria?
Yes [ ]
No [ ]
2.1. Eligibility: certification in ADB standard EOI form, country of incorporation in ADB member
country, ADB sanction, SOE, COI.
2.2. Technical Competence
2.3. Geographical Experience
2.4. Management Competence
Note:
3.
1. EA should not consider EOIs which do not certify the eligibility declaration in ADB standard EOI form.
2. Sanction: refer to ADB sanction list in ADB’s website for integrity: <http://www.adb.org/site/integrity/main>.
3. SOE (state or government owned enterprise) in the borrower’s country can be considered for shortlisting only
when the SOE meets: (i) legally and financially autonomous; (ii) operate under commercial law; and (iii) not
dependent agency of the borrower or sub-borrower (i.e., of any government agency.) EA should consult with
ADB project staff on SOE eligibility and attach a copy of the consultation result to Submission 1.
4. Conflict of interest (COI), see 3.5.
5. EOI evaluation should not include experts except CQS. Experts will be evaluated during evaluation of the
technical proposal (for CQS, EA should confirm if the same experts are nominated in the technical proposal).
6. Financial criterion is not acceptable.
7. Additional criteria should have ADB’s prior approval.
EA excluded any EOI from evaluation?
[- If Yes, complete sub-paragraphs, otherwise jump to para. 4.]
Yes [ ]
No [ ]
3.1. If it is by failure to certify the eligibility declaration in the ADB’s standard EOI form (see Col. 5 in the
longlist), indicate which EOI in the longlist with the items not certified:
____________________________________________
3.2. If it is by membership eligibility, indicate which EOI in the longlist:
____________________________________________
3.3. If it is by ADB sanction, indicate which EOI in the longlist with the name of the consultant:
____________________________________________
3.4. If it is by SOE eligibility, indicate which EOI in the longlist with the name of the consultant:
____________________________________________
3.5. If it is by Conflict Of Interest, indicate name of the consultant and describe the reasons based on the
fact with reference to the ADB’s consulting services guidelines (CG).
Name of the Consultant: _______________
Reasons to exclude: ______________________________________________
Note 1: Related CG provisions are: CG 1.11(a): Conflict between upstream procurement and consulting activities;
CG 1.11(b): Conflict among consulting assignments; and CG 1.11(c): Relationship with borrower’s staff (see para.
4 – subject to a remedy).
Note 2: CG1.12: Unfair competitive advantage is not a reason to reject a EOI from evaluation (see para. 5).
Note 3: When EA reports COI issue, the project division should consult with OAI for their advice on the case and
October 2013
attach the result to Submission 1 document.
3.6. If it is by other requirement in CSRN which ADB approved in advance to CSRN, describe the detail of
such additional requirement and attach ADB’s approval.
Details of the requirement: _______________________________
Name of the Consultant: _______________
Reasons to exclude: ______________________________________________
Note:
4.
A condition indicated only in the government own advertisement or other reasons not directly related to the above
statements are not acceptable.
Any consultant in the shortlist with an issue related to CG 1.11(c): Relationship with
borrower’s staff has been remedied to eliminate the risk?
Yes [ ]
No [ ]
Did any of the shortlisted firms participate in upstream assignment such as PPTA or other Yes [ ]
assignment regardless of financing source from which the firm may derive an unfair
competitive advantage to this assignment? [CG1.12]
No [ ]
– if Yes, state relationship and clarify the remedy which resolved the conflict stemming
from the relationship throughout the selection process and the execution of the
contract:
Name of the Consultant: _________________________
Conflicting relationships: ___________________________________________
Remedy: ____________________________________________________________
– if No, risk remains. The consultant’s EOI should be excluded from evaluation.
Note: When EA reports the CG1.11(c) issue, the project division should consult with OAI for their
advice on the case and attach the result to Submission 1 document.
5.
- If Yes, EA cannot exclude the EOI from evaluation. Complete RFP Data Sheet 4.1.
6.
Proposed Shortlist:
6.1. Shortlist should comprise six firms with wide geographic spread.
- If No, justification/s for the proposed shortlist:
_____________________________
Yes [ ]
No [ ]
6.2. The shortlist includes an SOE?
- if Yes, attach a copy of the ADB’s clearance (see Note 3, para. 2).
Yes [ ]
No [ ]
6.3. The shortlist was copy-pasted to LOI, Section 1 of the draft RFP?
Yes [ ]
No [ ]
[No more than two firms from a country and at least a firm from a developing member country
if the firm is qualified.]
1.
2.
Name of the
Consultant (Full
Name not Acronym)
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Country of
Incorporation
Type of Association
(Lead/JV member or Subconsultant.)
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Type of the legal entity
(Private Firm, StateOwned (SOE) or NGO)
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
October 2013
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
Firm 1
Firm 2
Firm 3
3.
4.
5.
6.
Note:
7.
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Lead
JV member / Sub-consultant
JV member / Sub-consultant
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
Private / SOE / NGO
1. Local office/affiliate should not be shortlisted as a lead, JV member, or sub-consultant unless the EA
confirmed the certificate of incorporation in the borrower’s country. If EA receives EOI which includes a local
office of the international consultant, EA is suggested to ask the consultant to resubmit EOI from the main
office. This is to avoid the risk of transfer of invitation (see para. 4 of LOI, Section 1 of SRFP) and to
ensure the eligibility of the consultant.
2. Shortlist with incomplete information will not be processed.
Any Other Issues for ADB’s review:
Prepared by (Name/Designation):
Signature:
Date:
October 2013