Beruflich Dokumente
Kultur Dokumente
User’s Guide
for
Prequalification Documents for
Procurement of Consulting
Services
April 2003
ii User’s Guide
Contents
Page
Introduction ................................................................................................... 1
Abbreviations ................................................................................................ 3
The Prequalification Process......................................................................... 5
Invitation to Prequalify for Procurement of Consulting Services ................. 9
Invitation for Prequalification for Procurement of Consulting Services..... 11
Invitation for Prequalification for Procurement of Consulting Services..... 13
Section I. Instructions to Applicants .......................................................... 17
Section II. Application Data Sheet............................................................. 19
Section III. Evaluation Criteria .................................................................. 23
Section IV. Application Forms................................................................... 35
Section V. Eligible Countries..................................................................... 55
Section VI. Scope of Consulting Services ................................................. 59
Introduction
The purpose of the User’s Guide (the Guide) is to provide guidance to the Contracting Agency on
how to prepare the prequalification documents for Consulting Services based on the standard
procurement documents. The provisions in Section I, Instructions to Applicants (ITA) must be
used without any modification to its text or format. Any data and provisions that this section
requires for a specific prequalification shall be included in Section II, Application Data Sheet.
The remaining sections of the PQC and also explained in the Guide are: Section III, Evaluation
Criteria; Section IV, Application Forms; Section V, Eligible Countries; and Section VI, Scope
of Consulting Services.
The Guide includes an initial section on how to prepare the Invitation to Prequalify (ITP). The
Contracting Agency should note that the ITP is not a part of the prequalification documents.
Abbreviations
• Publicity
• Preparation and Issuing of the Prequalification Documents
• Application preparation and submission
• Applications opening ceremony
• Applications evaluation, and
• Prequalification of Applicants.
Publicity
The Contracting Agency must announce an upcoming prequalification process in the international
media (the United Nations publication “Development Business”) and in the national media, taking
into account giving enough time for potential Applicants to respond with well-prepared applications.
• The Contracting Agency shall allow Applicants sufficient time for studying the prequalification
documents, preparing complete and responsive applications, and submitting the applications.
• Promptly respond to requests for clarifications from Applicants and amend, as needed, the
Prequalification Documents
• Amend the Prequalification Documents, but only with the Bank’s no-objection.
Opening of Applications
The Contracting Agency is responsible for the Opening of Applications, which is a critical event in
the Prequalification process. The Contracting Agency shall appoint experienced staff to conduct the
Opening of Applications, as inappropriate procedures at the opening of applications are usually
irreversible and may require cancellation of the prequalification process with the consequent delays
and waste of time and resources.
• Reject any attempts or pressures to distort the outcome of the evaluation, including fraud and
corruption;
• Always comply with the prior-review requirements of the Bank;
• Strictly apply only and all the factors, methods, and criteria defined in the Prequalification
Documents for Consulting Services, Section III, Evaluation Criteria, to evaluate the applications.
The Invitation to Prequalify for Procurement of Consulting Services (ITP) provides information that
enables potential Applicants to decide whether to participate. In addition to the essential items
specified in the Standard Procurement Documents for Prequalification for Procurement of Consulting
Services, the ITP should also indicate any important prequalification evaluation criteria (e.g., the
minimum level of experience required in a similar type of Consulting Services).
The ITP is not part of the prequalification documents and, therefore, it shall not be included.
____________________
_________________________
1. This Invitation to Prequalify follows the General Procurement Notice for this project that
appeared in the Development Business, issue number ________ of _____________________.
4. Interested eligible Applicants may obtain further information from ___________________ and
inspect the Prequalification Documents at the address given below,
________________________________________ from ___________________.
7. The __________________ will not be responsible for any costs or expenses incurred by Applicants
in connection with the preparation or delivery of Applications.
8. In the comparison of applications, only and all those factors, methods, and criteria specified in
Section III, Evaluation Criteria, will be used, in accordance with the provisions stipulated in the
Instructions to Applicants.
9. Applicants will be advised in due course, of the result of their applications. Only Applicants
prequalified under this process will be invited to bid under the international competitive bidding
for the Consulting Services.
_______________________________
_______________________________
________________________________
________________________________
________________________________
1. This Invitation to Prequalify for Consulting Services follows the General Procurement Notice
for this project that appeared in the Business Development, issue no. [insert number] of
[insert date]. 1
2. The [insert name of borrower] [has received/has applied for/intends to apply for] a
[loan/credit] from the Inter-American Development Bank toward the cost of [insert name of
Project], and it intends to apply part of the proceeds of this [loan/credit] to payments under
the contract for [insert name/No. of Contract].2
3. Prequalification is open to Applicants from eligible countries of the Bank.3 The [insert name
of Contracting Agency] now invites sealed applications for [insert description of
Consulting Services]. 4
4. Interested eligible Applicants may obtain further information from [insert name of
Contracting Agency] and inspect the Prequalification Documents at the address given below,
[insert address at end of document] from [insert office hours]. 5
7. The [insert name of Contracting Agency] will not be responsible for any costs or expenses
incurred by Applicants in connection with the preparation or delivery of Applications.
8. In the comparison of applications, only and all those factors, methods, and criteria specified in
Section III., Evaluation Criteria, will be used, in accordance with the provisions stipulated in
the Instructions to Applicants.
9. Applicants will be advised in due course of the result of their applications. Only Applicants
prequalified under this process will be invited to bid under the international competitive
bidding for the Consulting Services.
Notes:
1. Day, month, year; for example, 31 January 2001.
2. Insert if applicable: “This contract will be jointly financed by [insert name of cofinancing
institution]. The eligibility rules and procedures for procurement of [complete with information
specified in the Loan Contract] will govern the prequalification process.”
3. Occasionally, contracts may be financed out of special funds that would further restrict eligibility to
a particular group of eligible countries. When this is the case, it should be mentioned in this
paragraph.
4. A brief description of the type of Consulting Services should be provided, including location of
project, and other information necessary to enable potential Applicants to decide whether to
respond to the invitation. The Prequalification Documents may require Applicants to have specific
experience or capabilities; such requirements should be also included in this paragraph.
5. For example: 09:00 to 12:00 hours.
6. The fee, to defray printing and mailing/shipping costs should be a nominal amount.
7. For example, cashier’s check, direct deposit to specified account number, etc
8. The delivery procedure is usually airmail for overseas delivery and surface mail or express courier
for local delivery. If urgency or security dictates, express courier services may be required for
overseas delivery.
PROCUREMENT DOCUMENTS
The Instructions to Applicants (ITA) specify the procedures that regulate the prequalification process.
The ITA contain standard provisions that have been designed to remain unchanged and to be used
without modification. The ITA clearly identify the provisions that may need to be specified for a
particular prequalification process and require that such specifications be introduced in Section II,
Application Data Sheet (ADS).
The Instructions to Applicants are not a contract document and, therefore, are not part of any
contract that may arise subject to the prequalification process.
The Application Data Sheet (ADS) contains information and provisions specific to a particular
prequalification process. The Contracting Agency must specify in the ADS only the information that
the ITA request to be specified in the ADS. All information requested shall be provided; no clause
shall be left blank.
To facilitate the preparation of the ADS, its clauses are numbered with the same numbers as the
corresponding ITA clauses. The following explains where to complete the information being
requested and what kind of information should be provided.
ITA 1.1 The name of the Contracting Agency is: ___[insert full name]_____________
The names, identification and number of the contracts are: ____[insert the full
ITA 1.1
name and identification for each contract, if applicable] _________________
The name and identification number of the ICB are: ____[insert full name and
ITA 1.1
identification number for the international competitive
bidding]_________________________
The parties in a JVCA __[insert “shall be” or “shall not be”] __ jointly and
ITA 4.1
severally liable.
[If the parties shall not be jointly and severally liable, insert: “Instead, the
following specific liabilities and responsibilities shall apply to each individual
or firm: [__specify in detail__]”]
B. Prequalification Documents
ITA 7.1 For clarification purposes only, the Contracting Agency's address is:
C. Preparation of Applications
ITA 10.1 The language of the application as well as of all correspondence is: ___[insert
language]________________
ITA 11.1 (e) The Applicant shall submit with its application the following additional
documents: [insert any additional document not already listed in ITA Sub-
Clause 11.1, that must be submitted with the application]
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
ITA 15.2 In addition to the original, the number of copies to be submitted with the
application is: _[insert total number of copies]____
ITA 15.3 The authorization to represent and sign on behalf of the Applicant shall
comply with the following specific requirements: ___[insert the description
of the documentation required to demonstrate the authority of the
signatory to sign the application] ___________________________
_______________________________________________________________
_______________________________________________________________
ITA 17.1 For application submission purposes only, the Contracting Agency's address
is:
Time: __[insert time, and identify if a.m. or p.m., i.e., 11:30 a.m.]__
ITA 20.1 The application opening shall take place at:
Floor/Room number: ____[insert floor and room number and full name of
person, if applicable]____
On
Time: __[insert time, and identify if a.m. or p.m., i.e., 11:30 a.m.]__
E. Evaluation of Applications
ITA 25.3 The prequalification __[insert “will be” or “will not be”]__ for multiple
contracts.
The purpose of the Evaluation Criteria, Section III in the prequalification documents, is to specify the
criteria that the Contracting Agency shall use to evaluate the applications and prequalify the
Applicants. The Contracting Agency must prepare the evaluation criteria and include them as part of
the Prequalification Documents. The evaluation criteria is not a contract document and, therefore,
will not be part of the contract subject to this process.
The four factors considered to be the most important when evaluating a qualification are:
1. Eligibility
2. Historical Contract Non-Performance
3. Financial Situation
4. Experience
Within each of these factors there are sub-factors, which are specified in the forms presented in the
following pages. In order to make the factor and sub-factors understandable to Applicants, these
forms specify who must provide what information. Blank spaces allow the Contracting Agency to
insert the criterion that will be evaluated.
Factor 1. Eligibility
Criteria
Applicant
Single Joint Venture, Consortium, or Documentation
Sub-Factor Requirement Required
Entity Association
All parties Each party At least one
combined party
1.1 Nationality Nationality in accordance Existing or Forms ELI –1.1
Must meet Must meet
with ITA Sub-Clause 4.2. intended and 1.2, with
requirement requirement N/A
JVCA must attachments
meet
requirement
1.2 Conflict of No conflicts of interest in Existing or Application
Must meet Must meet
Interest ITA Sub-Clause 4.4 and intended Submission
requirement requirement N/A
4.5. JVCA must Sheet
meet
requirement
1.3 Bank Not having been declared Existing Application
Must meet Must meet
Ineligibility ineligible by the Bank, as JVCA must Submission
requirement requirement N/A
described in ITA Sub- meet Sheet
Clause 4.6. requirement
1.4 Government Applicant required to meet Forms ELI –1.1
Must meet Must meet Must meet
Owned Entity conditions of ITA Sub- and 1.2, with
requirement requirement requirement N/A
Clause 4.7 attachments
Factor 4. Experience
Criteria
Applicant
Documentation
Requirement Single Entity Joint Venture, Consortium, or
Sub-Factor Required
Association
All parties Each party At least one
combined party
4.1 General Experience under contracts
Experience in the role of consultant for
at least the last __[insert
number of years in words
Must meet N/A Must meet N/A Form
and figures__ (___)] years
requirement requirement EXP-4.1
prior to the applications
submission deadline, and
with activity in at least nine
(9) months in each year.
Factor 4. Experience
Criteria
Applicant
Documentation
Requirement Single Entity Joint Venture, Consortium, or
Sub-Factor Required
Association
All parties Each party At least one
combined party
4.3 Specific (a) Participation as
Experience Consultant in at least
__[insert number of
contracts] contracts within
the last __[insert number
in words and figures]_
(__) years, each with a
value of at least [insert
amount in US$ equivalent
Must meet Must meet N/A Must meet Form
in words and
minimum minimum minimum EXP-4.3(a)
figures]__(___), that have
requirement. requirement. requirement.
been successfully or are
Above a Above a Above a
substantially completed
specified specified level specified
and that are similar to the
level shall shall receive level shall
proposed Consulting
receive maximum receive
Service. The similarity
maximum points and maximum
shall be based on the
points and proportional points and
complexity, methods/
proportional in between proportional
technology or other
in between in between
characteristics as described
in Section VI, Scope of
Consulting Services.
Factor 4. Experience
Criteria
Applicant
Documentation
Requirement Single Entity Joint Venture, Consortium, or
Sub-Factor Required
Association
All parties Each party At least one
combined party
4.3 Specific (b) For the above or other
Experience contracts executed during
the period stipulated in
4.3(a) above, a minimum
construction experience in
the following key Must meet Must meet Must meet
activities: minimum in minimum in minimum in
requirement. requirement. requirement.
1. [e.g., Amount]
Above a Above a Above a
specified specified level specified
2. [e.g., Complexity] Form
level shall shall level shall
EXP- 4.3(b)
receive receive N/A receive
3. [e.g.,Methods/
maximum maximum maximum
Technology ]
points and points and points and
4. [e.g.,]
proportional proportional proportional
between between between
5. [e.g.,]
6. [e.g.,]
The Contracting Agency shall include in the PQC all application forms that the Applicant must
complete and submit together with the Application. These forms are as specified in Section IV, of
the prequalification documents:
We, the undersigned, apply to be prequalified for the referenced ICB and declare that:
(a) we have examined and have no reservations to the prequalification documents, including
Addenda No.________, issued in accordance with ITA Clause 8: ___[insert the number and
issuing date of each addendum]
_____________________________________________________________
_______________________________________________;
(b) we, including any subcontractors or suppliers for any part of the contract subject to this
prequalification process, have or will have nationalities from eligible countries, in accordance
with ITA Sub-Clause 4.2: _[insert the nationality of the Applicant, including that of all
parties in case of a JVCA, and the nationality of each already identified subcontractor and
supplier of related services, if applicable]__;
(c) we, including any subcontractors or suppliers for any part of the contract subject to this
prequalification do not have any conflict of interest, and specifically are not participating as
Applicants in more than one application in this prequalification process, in accordance with ITA
Clause 4;
(d) we, including any subcontractors or suppliers for any part of the contract subject to this
prequalification, have not been declared ineligible by the Bank;
(e) we are not a government-owned entity, and if we are, we meet the requirements of ITA Sub-Clause
4.7;
(f) we, in accordance with ITA Sub-Clause 24.1, plan to subcontract the following key activities:
_[provide specific details for first key activity specified in Section III by the Contracting Agency]_
_[provide specific details for n key activity specified in Section III by the Contracting Agency]_
(g) we declare that the following commissions, gratuities, or fees have been paid or are to be paid to
agents, representatives or commission agents with respect to the prequalification process, the
corresponding bidding process or execution of the Contract, in accordance with ITA Sub-Clause
3.3: [indicate full name of recipient of such payment, full address, reasons for the
commission or donation paid or that will be paid, amount and currency. If none has been
paid or is to be paid, indicate “none”]
(h) we understand that you may cancel the prequalification process at any time and that you are
neither bound to accept any application that you may receive nor to invite the prequalified
applicants to bid for the contract subject of this prequalification, without incurring any liability to
the Applicants, in accordance with ITA Clause 26.
(i) by presenting this Application, we accept and agree with the content, scope, evaluation criteria
and procedures established in this Prequalification Documents, including any addenda mentioned
in literal (a) above.
Signed __[insert signature of person whose name and capacity are shown below]__
Form CON – 2
Input of information to be completed by Applicant and each JVCA party
Historical Contract Non-Performance
Applicant’s Legal Name: [insert full name] Date: [insert day, month, year]
JVCA Party Legal Name:[insert full name] ITP No.: [insert ITP number]
ICB No.: [insert ICB number]
Page [insert page number] of [insert total number] pages
Contract non-performance did not occur during the stipulated period in accordance with Sub-Factor
2.1 of Section III, Evaluation Criteria.
Pending Litigation, in accordance with Section III, Evaluation Criteria
No pending litigation in accordance with Sub-Factor 2.2 of Section III, Evaluation Criteria.
Pending litigation in accordance with Sub-Factor 2.2 of Section III, Evaluation Criteria, as indicated
below.
Year Outcome as Total Contract
Percent of Contract Identification Amount
Total Assets (current value,
US$
equivalent)
[insert [insert Contract Identification: [indicate complete contract name/ [insert
year] percentage] number and any other identification] amount]
____ ______ Name of Contracting Entity: [insert full name] ___________
Address of Contracting Entity: [insert street/city/country]
Matter in dispute: [indicate main issues in dispute]
Contract Identification:
____ ______ Name of Contracting Entity: ___________
Address of Contracting Entity:
Matter in dispute:
Contract Identification:
____ ______ Name of Contracting Entity: ___________
Address of Contracting Entity:
Matter in dispute:
Attached are copies of financial statements (balance sheets, including all related notes, and
income statements) for the years required above complying with the following conditions:
(a) Must reflect the financial situation of the Applicant or party of a JVCA, and not sister or
parent companies.
(c) Historic financial statements must be complete, including all notes to the financial
statements.
(d) Historic financial statements must correspond to accounting periods already completed and
audited (no statements for partial periods shall be requested or accepted).
[Identify contracts that demonstrate continuous Consulting Services in accordance with Section
III, Evaluation Criteria, Sub-Factor 4.1.]
* List calendar year for years with contracts with at least nine (9) months activity per year, starting
with the earliest year
Average
Annual
Turnover *
* Average annual turnover calculated as total certified payments received for Consulting Services in
progress or completed, divided by the number of years specified in Section III, Evaluation Criteria,
Sub-Factor 4.2.
[All applicants and JVCA parties must complete the information in this form as specified in
Section III, Evaluation Criteria, Sub-Factor 4.3(a).]
Similar Contract Number __[insert Information
specific number] of [total number of
contracts] ___ required
Contract Identification _[insert contract name and number, if applicable]_
Award date _[insert day, month, year, i.e., 15 June, 2015]_
Completion date _[insert day, month, year, i.e., 03 October, 2017]_
Role in Contract Contractor Subcontractor
[check the appropriate box]
Specific Experience
Applicant’s Legal Name: [insert full name] Page [insert page number] of [insert total number] pages
JVCA Party Legal Name: [insert full name]
Information
Contract Identification _[insert contract name and number, if applicable]_
Award date _[insert day, month, year, i.e., 15 June, 2015]_
Completion date _[insert day, month, year, i.e., 03 October, 2017]_
Role in Contract Contractor Subcontractor
[check the appropriate box]
Information
Description of the similarity in accordance
with Sub-Factor 4.3 (b), Section III:
__[insert information]__
1. [e.g., Amount]
The Contracting Agency shall include in this Section the list of eligible countries. Only natural
persons and legal entities or firms complying with the eligibility requirements specified in ITA
Clauses 4 and 5, are eligible to participate in Bank financed procurement.
The list of eligible countries depends on the type and source of Bank financing to be used.
(a) Ordinary Capital (OC) or Funds for Special Operations (FSO) – the list shall include all
eligible countries of the Bank;
(b) Multilateral Investment Fund (MIF) – the list shall include all borrowing eligible countries
of the Bank plus Canada, Italy, Japan, Netherlands, Portugal, Spain and the United States.
(c) Other funds under administration by the Bank – the list shall reflect the terms and
conditions of the agreement between the Bank and the donor of the funds. This may include
funds that only permit one eligible country.
The Contracting Agency shall ensure that the list of eligible countries corresponds to the terms and
conditions under which the financing is provided.
Eligible Countries
(All the members of the Bank)
- Netherlands Antilles (Aruba, Curaçao, Bonaire, St. Maarten, Saba and Eustatius) participate as
Departments of the Netherlands.
- Guadeloupe, French Guyana, Martinique and Reunion participate as Departments of France.
- Guam, Puerto Rico, and the U.S. Virgin Islands participate as jurisdictions of the United States.
Note: The Bank should be consulted regarding eligibility for procurement of the other successor
republics of the former Socialist Federal Republic of Yugoslavia.
Eligible Countries
(Under MIF Financing)
Guam, Puerto Rico, and the U.S. Virgin Islands participate as jurisdictions of the United States.
The Scope of Consulting Services should contain sufficient information as to enable a potential
Applicant to decide whether or not is interested in participating in that type of Consulting Services.
The Contracting Agency shall assign experienced staff to draft this information in a manner
permitting the widest possible competition while, at the same time, clearly specifying the required
standards.
The following notes provide guidance on what information should be provided, at this stage of the
procurement process and as part of the prequalification documents.
In preparing the tentative schedule of the Consulting Services, the Contracting Agency must take into
account the time involved in the process for the procurement of Consulting Services, the
implementation time of the Consulting Services and the delivery date of the project until final
acceptance.