世銀プロジェクト入門ワークショップ （2016年7月29日） 世界銀行東京事務所 ビジネス インフォメーション アドバイザー 池上隆夫 （[email protected]) 上級広報担当官 大森功一 ([email protected]) 世界銀行ビジネスガイド http://go.worldbank.org/S7LECAT9X0 目次 1. 2. 3. 4. 5. 6. 世銀の概要説明 世銀プロジェクト情報の探し方 世銀での日本企業の受注実績 世銀新調達政策の主な特徴 ＶｆＭのEvaluation Integrity 03 11 23 27 52 61 2 １．世銀の概要説明 3 世界銀行の設立 • 設立： 1945年１２月。 ニューハンプシャー州 Bretton Woodsで IBRD とIMF設立合意（1944年７月） • 国連専門機関の1つ • 本部：ワシントンDC。100か国以上に現地事務所 4 世界銀行グループ IDA IFC 国際復興開発銀行 国際開発協会 国際金融公社 多数国間 投資保証機関 1945年設立 1960年設立 1956年設立 1988年設立 最貧国に融資、 贈与、保証 民間セクターへ投融資 民間投資への リスク保証 民間企業による新興 国向け投融資を通じ た開発インパクトの 達成 民間企業による新興 国向け投融資を通じ た開発インパクトの 達成 加盟国の民間企業 加盟国へのクロスボー ダー投融資を行う 民間企業 株式投資 長期融資 助言サービス 政治リスクの保証 中低所得国に 貸出、保証 目的 制度、法制、および 規制の改革推進 制度、法制、および 規制の改革推進 顧客 一人当たりの収入が $1,025 から$6,055の 加盟国 一人当たりの収入が $1,025以下の加盟国 融資 技術協力 政策助言 金利免除融資 技術協力 政策助言 商品 サービス MIGA IBRD 信用補完 共通のミッション：“貧困撲滅と繁栄の共有” 5 世界銀行と日本 日本は、1952年に世界銀行に加盟し た。 2012年に、加盟60周年を迎えた。 2013年6月末現在で日本は第二位の 出資国。（授権資本の約9% ） 大戦後の復興期において、日本はイ ンフラ再構築のためのローンを世銀か ら借り入れた。 (1953–1966年の間に31プロジェクト、総 額8億6千万ドル相当) 1990年に日本は世銀からの借入を 完済。 6 日本におけるプロジェクト一覧 調印日 対象事業 調印日 対象事業 10/15/1953 関西電力多奈川火力二基 9/10/1958 日本鋼管（２次）水江工場60トン転炉 10/15/1953 九州電力刈田火力一基 2/17/1959 電源開発御母衣水力発電 10/15/1953 中部電力四日市火力一基 11/12/1959 富士製鉄広畑工場1,500トン高炉一基転炉分塊 10/25/1955 八幡製鉄厚板圧延設備 11/12/1959 八幡製鉄（2次）戸畑工場1,500トン高炉二基 2/21/1956 日本鋼管継ぎ目なし中継管製造整備 3/17/1960 日本道路公団尼崎―栗東間高速道路 トヨタ自動車挙母工場 12/20/1960 川崎製鉄（３次）千葉工場厚板工場新設 トラック・バス用工作機械 石川島重工東京工場 船舶用タービン製造設備 12/20/1960 住友金属（２次和歌山工場コンバインドミル 三菱造船長崎造船所 ディーゼルエンジン製造設備 3/16/1961 九州電力（２次）新小倉火力 5/2/1961 日本国有鉄道東海道新幹線 11/29/1961 日本道路公団（２次）一宮―栗東、 12/19/1956 川崎製鉄千葉工場 ホット及びコールドストリップミル 12/19/1956 農地開発機械公団上北根川地区開墾事業、 篠津泥炭地区開墾事業、乳牛輸入分など 尼崎―西宮間高速道路 8/9/1957 愛知用水公団愛知用水事業分 9/27/1963 日本道路公団（３次）東京―静岡間高速道路 1/29/1958 川崎製鉄（２次）千葉工場1,000トン高炉及びコークス炉 4/22/1964 日本道路公団（４次）豊川―小牧間高速道路 6/13/1958 関西電力（２次）黒部第四水力発電 12/23/1964 首都高速道路公団羽田―横浜間高速道路 6/27/1958 北陸電力有峰水力発電 1/13/1965 電源開発（株）九頭竜川水至長野及び湯上発電所建設 7/11/1958 住友金属和歌山工場1,000トン高炉、製鋼分塊設備 5/26/1965 日本道路公団（５次）静岡―豊川間高速道路 8/18/1958 神戸製鋼灘浜工場800トン高炉、脇浜工場製鋼 9/10/1965 阪神高速道路公団神戸市高速道路１号 9/10/1958 中部電力（２次）畑薙第一、第二水力発電 7/29/1966 日本道路公団（６次）東京―静岡間高速道路 7 世界銀行グループの新戦略 2030年までに 極度の貧困を撲滅 ｘ $1.90/day 以下で暮らす人の 割合を３％までに低減する 繁栄の共有の促進 Ｘ 各国の下から40％の人々の 収入増大 ２０１３年10月、世界銀行グループとしての新戦略を発表 顧客の目標達成にWBG一体となってアドバイス： Solution Bank パートナーとプロジェクトの初期段階から積極的に協力 8 9 10 ２. 世銀プロジェクト情報の探し方 11 Investment Project Cycle Country Partnership Framework Project Identification Evaluation Project Supervision Project Preparation Implementation Project Appraisal Loan Approval & Signing Joint activity Loan Negotiations World Bank activity Borrower activity 1 2 重要書類 国別支援戦略（ＣＡＳ）or（ＣＰＳ） 探し方～ウズベキスタンを例に まず、世界銀行本部トップページ http://www.worldbank.org へ！ 次に、 Countries を クリック 13 重要書類 国別支援戦略（ＣＡＳ）or（ＣＰＳ） 探し方～ウズベキスタンを例に Countries リストから、地域、国を選ぶ！ ウズベキスタンを Ｕから選ぶ！ または、 スクロールダウンして ウズベキスタンを選ぶ！ 14 重要書類 国別支援戦略（ＣＡＳ）or（ＣＰＳ） 探し方～ウズベキスタンを例に ウズベキスタンのページへ のリンクはこちら！ 国別パートナーシップ 戦略（ＣＰＳ）は ここ！ カントリー・スナップショット （後述）はここ！ 15 プロジェクト情報源 プロジェクト情報文書（PID）はプロジェクトの主な目標、コンポーネ ント、資金調達、リスクを説明。プロジェクト審査文書（PAD）は、世 銀プロジェクトを最も包括的に説明した文書。 世銀のプロジェクト・データベースで検索可能。 クリックで プロジェクト・データデースへ！ プロジェクト名、国・地域、 セクターなどで検索できます 今回の事例を Uzbekistan Sewerage で検索します 16 事例 Uzbekistan Bukhara and Samarkand Sewerage Projectのページへ リンクはここ 今回ご紹介するＰＩＤ、ＰＡＤ、 融資合意書、調達計画などの 各文書はここから このプロジェクトでの調達に関する 最新情報はこちら 重要です！ プロジェクトの担当者 「タスク・チーム・リーダー」（世銀職員）の名前 17 将来の国別のプロジェクトの探し方 世銀の借入国のウェッブサイト 18 19 20 Component 2 – Priority Flood Risk Reduction Interventions (Estimated Cost: US$ 406 million) 25. Priority Flood Risk Reduction Investments in Tham Luong – Ben Cat – Rach Nuoc Len sub-catchment. This component would support the City in implementing significant structural measures proposed in the JICA Plan (Plan 752). The scope of this work including: 2.1. Construction of 2 tidal sluice gates at the end Vam Thuat and Rach Nuoc Len canal to control tidal inflows. 2.2. Improvements to the Tham Luong – Ben Cat – Rach Nuoc Len Canal through dredging and constructing embankments to improve its ability to discharge flood waters at the safety level of 100-year return period. At the sub-catchment level, the proposed project will examine options for storm water retention, infiltration, green areas, and pervious concrete. 2.3. Construction of a primary and secondary combined storm water drainage and waste water sewage system in Go Vap District at the safety levels of 20-year and 10-year return period, respectively. 2.4. Improvement of secondary canals that are connected with primary Tham Luong – Ben Cat –Rach Nuoc Len Canal at the safety level of 10-year return period to improve the urban flood management and to reduce the pollution of the Canal and Sai Gon River with sewage water. 2.5. Provision of consultant services, as well as project monitoring and evaluation (M&E) functions including independent monitoring of RAP and EMP implementation, also to help the City to prepare and carry out the implementation of land acquisition and environmental impact mitigation plan. 21 サーチ機能での探し方 (例PPP) 22 3.世銀での日本企業の受注成績 23 Millions 世銀での日本の受注額は低い PRIOR REVIEW CONTRACTS UNDER IDA/IBRD-FINANCED PROJECTS FY2000-2015 (as of 7/6/2015) $800 $700 $600 $500 $400 $300 $200 $100 $0 2000 2001 Germany 2002 Japan 2003 2004 2005 United Kingdom 2006 2007 United States 2008 2009 2010 2011 2012 2013 2014 2015 PRIOR REVIEW CONTRACTS UNDER IDA/IBRD-FINANCED PROJECTS (1) The nationality of awarded firms is based on place of registration, which may or may not be the same as the country of origin. (2) Contracts may include prior reviewed awards under the following agreement types: IDA, IBRD, Carbon Offset, Debt Reduction Facility, Global Environment Projects, GEF Medium Sized Programs, Guarantees, Institutional Development Fund, Montreal Protocol, JSA/PRSP and JSA/I-PRSP, Recipient-Executed Activities, Rainforest, Special Financing, IFADFunded projects, and UNDP-funded projects. 24 Awarded Amount 日本企業の傾向 Total Contract Amount (MIL. USD) Millions $10mil. 以下の契約が大部分だが高額の契約も増える傾向 $100 $90 $80 $70 $60 $50 $40 $30 $20 $10 $0 1998 2000 2002 2004 2006 2008 2010 2012 2014 2016 25 世銀契約のLarge Contract Top 10 （FY08-15) Fiscal year Country 2011 South Africa Energy & mining P08. MEDUPI POWER STATION Greece 2011 Serbia China 2011 Turkey China 2010 Yemen, Republic Brazil 2008 Brazil Spain 2008 Brazil Spain 2013 Poland Russian 8 Federat 2008 Russian Federat Construction of Tunnels Progon and Przojna Padina on Dimitro Supply and Installation of Surface and SubEnergy & mining surface Facilitie Water/sanit/fld Al-Qaidah City: Treatment System prot MODERNIZATION OF SIGNALING AND Transportation TELECOMMUNICATION SUPPLY OF 40 TRAINS WITH 8 CARS EACH Transportation FOR CPTM Water/sanit/fld Consturction of Raciborz Dry Polder. prot Public admin, RECONSTRUCTION & RESTORATION - EAST Law WING GENERAL STAFF BUILD China 2014 Pakistan Energy & mining Turkey 2012 Egypt, Arab Rep Supp Ctry South 1 Africa 2 3 4 5 6 7 9 10 Major Sector Contract Transportation Civil Work Modification of Tunnels 3 and 4 Intakes, Design, Renovation And Development Of Terminal Transportation Building No. 2 (TB2) Amount （US$) 932,662,486 643,101,365 604,554,632 530,245,803 439,571,959 358,101,389 288,562,906 261,576,495 259,484,347 237,090,362 26 ４．世銀新調達政策の主な特徴 27 28 世銀新調達政策 （２０１６年７月１日より実施） 29 New Standard Bidding Documents (1) http://wbnpf.procurementinet.org/spds 30 New Standard Bidding Documents (2) http://wbnpf.procurementinet.org/spds 31 Fit for Purpose Procurement - Project Procurement Strategy for Development (PPSD) • Development objectives • Task team • Borrower team • Project Concept Note • Detailed description of preferred option • Implementation risk assessment • Procurement route to market • Contract management provisions • Strategy options • Evaluation against organizational requirements • Comparative risk assessment & SWOT • Preferred option 32 • Current approach - strengths and weaknesses • Operating context i.e. Fragile Conflict States • Market analysis - Capability, capacity & practice (resilience) - Competitive tension - Suppliers / Contractors - Supply chain - Market management 基本的な役割は変わらない A. ROLES AND RESPONSIBILITIES A.1 BORROWER 3.3 The Borrower is responsible for carrying out procurement activities financed by the Bank in accordance with these Procurement Regulations. A.2 BANK 3.5 The Bank is required by its Articles of Agreement to “…make arrangements to ensure that the proceeds of any loan are used only for the purposes for which the loan was granted, with due attention to considerations of economy and efficiency…”. In accordance with this requirement, the Bank has adopted these Procurement Regulations. 33 契約関係 34 CORE PROCUREMENT PRINCIPLES (1) a) Value for Money The principle of value for money means the effective, efficient, and economic use of resources, which requires the evaluation of relevant costs and benefits, along with an assessment of risks, and non-price attributes and/or life cycle costs, as appropriate. Price alone may not necessarily represent value for money. b) Economy The principle of economy takes into consideration factors such as sustainability, quality, and non-price attributes and/or life cycle costs as appropriate, that support value for money…… 35 CORE PROCUREMENT PRINCIPLES (2) c) Integrity ….The Bank requires that all parties involved in the Procurement Process, …………., observe the highest standard of ethics …., and refrain from Fraud and Corruption,….. d) Fit-for-Purpose …..the procurement arrangements in determining the most appropriate approach to meet the development objectives and project outcomes,….. e) Efficiency The principle of efficiency requires that Procurement Processes are proportional to the value and risks of the underlying project activities. Procurement arrangements are generally time-sensitive and strive to avoid delays. 36 CORE PROCUREMENT PRINCIPLES (3) f) Transparency …Transparency requires: (i) that relevant procurement information be made publicly available to all interested parties, consistently and in a timely manner, through readily accessible and widely available sources at reasonable or no cost; (ii) appropriate reporting of procurement activity; and (iii) the use of confidentiality provisions in contracts only where justified. g) Fairness The principle of fairness refers to: (i) equal opportunity and treatment for bidders and consultants; (ii) equitable distribution of rights and obligations between Borrowers and suppliers, bidders, consultants and contractors; and (iii) credible mechanisms for addressing procurement related complaints and providing recourse… 37 How is VfM is achieved? • ensuring integrity throughout the Procurement Process; • a clear statement of needs and procurement objectives in the Project Procurement Strategy for Development (PPSD); • a procurement approach that is proportional to the risk, value, context, nature, and complexity of the procurement; • appropriate specification of the requirements; • selection of appropriate contractual arrangements; • suitable evaluation criteria; • selection of the firm that best meets the needs and objectives of the procurement; and • development of effective contract management 38 Competitive Dialogue Method（1） REQUIREMENTS • ……… allows the Borrower to enter into dialogue with pre-qualified firms/joint-ventures, …… before inviting the firms to submit their full and final proposals. … • The Competitive Dialogue selection arrangement shall only be used for complex or innovative procurement where the Borrower: a) is not objectively able to define the technical specifications and scope to satisfy its requirements; (and/or) b) is not objectively able to specify the legal and/or financial arrangements of the procurement; and c) has identified a third party probity assurance provider acceptable to the Bank. 39 Competitive Dialogue Method（2） normally include the following phases: Phase 1 – Pre-qualification Phase 2 – Competitive Dialogue issuance of the Bank’s Standard Request for Proposals Document to the prequalified firms/joint-ventures; Borrower holds separate meetings with each of the prequalified submission of interim deliverables/solutions Phase 3: Final Proposal Submission The Borrower shall not disclose to the other firms/joint-ventures solutions proposed or any commercially confidential information communicated by a firm/joint-venture in the dialogue without that firm’s/joint-ventures prior consent 40 Competitive Dialogue Method（3） (1) Initial Selection Document Plant Design, Supply and Installation (For use with a Request for Proposals process) (2) Initial Selection Document Information Systems Design, Supply and Installation (For use with a Request for Proposals process) 41 ABNORMALLY LOW BIDS (FOR GOODS, WORKS, AND NON-CONSULTING SERVICES) • After the evaluation of the information …………. (for contracts subject to prior review, with Bank’s no objection), the Borrower may: a) accept the bid/proposal; b) if appropriate, require that the amount of the performance security be increased at the expense of the bidder to a level sufficient to protect the Borrower against financial loss in the event of default of the successful bidder under the contract; or c) reject the bid/proposal. • • Will cause bidders to price diligently Mitigates against the risk of poor performance 42 Value Engineering (VE) Para. 5.10 • Value Engineering is a systematic and organized approach to provide the necessary functions in a project at the optimal cost. Value engineering promotes the substitution of materials and methods, or reduction of time, or less expensive alternatives, all without sacrificing needed functionality, longevity or reliability. Para. 13.2: Value Engineering (SBD: Request for Bids Works ) • (c) if this change results in a reduction in the contract value of this part, the Engineer shall proceed in accordance with SubClause 3.5 [Determinations] to agree or determine a fee, which shall be included in the Contract Price. This fee shall be half (50%) of the difference between the following amounts….. 43 SECOND HAND GOODS Para. 5.11 a) Any risk mitigation measures that may be necessary shall be reflected in the PPSD and/or the Procurement Plan. b) Procurement for second-hand goods shall be separate from the procurement of new goods; c) The technical requirements/specifications shall describe the minimum characteristics of the second hand goods, including the age and condition; and d) The warranty provisions shall be specified. 44 Enhanced Complaints Handling Bank will be more involved in complaints handling through: Centrally monitoring procurement related complaints Borrowers required to copy all complaints to the Bank and to resolve them appropriately and in a timely manner More streamlined complaints submission by bidders/consultants through provision of : A standstill period to submit their complaint before signing the contract; A standstill period following the notification of the results of technical evaluation for consultants to complain before opening of the financial proposals Debriefings by borrowers within standstill period 45 Standstill Period (SP) Period within which to complain (and still be able to influence the award decision) SP commences on the day following the transmission of the Notice of Intention to Award to all Bidders (i.e. 1 minute past midnight) Transmit Notices of Intention to Award NUMBER OF BUSINESS DAYS SP expires at midnight on the last day Standstill Period (minimum 10 Business Days) 1 2 3 4 5 6 7 8 9 Award the contract (sometime after this day) 10 11 12 13 14 15 • Encourage bidders to submit complaints in a timely manner • Expect to contribute transparency 46 Consultant Shortlisting Ｉｓｓｕｅｓ • Resulted in few proposals because of the use of a summary of terms of reference with the requests for expression of interest. Ｃｈａｎｇｅ • Require full and complete terms of reference to be issued with the request for expression of interest. 47 Number of Firms: Short List Ｉｓｓｕｅ • Mandatory requirement that shortlists be comprised six legal entities. Ｃｈａｎｇｅ • The shortlist shall include a sufficient number, not less than five (5) and not more than eight (8) eligible firms, with the possibility to accept less than (5) under-stated exceptional circumstances 48 Shortlists Restrictions（１） Ｉｓｓｕｅｓ • Shortlist should comprise no more than two firms from the same country and at least one from a developing country. Ｃｈａｎｇｅ • Shortlists to comprise legal entities that have relevant qualifications. 49 Shortlists Restrictions （２） Ｉｓｓｕｅ • Shortlist may comprise only national consultants below a certain threshold. Ｃｈａｎｇｅ • The threshold approach has been replaced with a context driven approach that takes account of the local market conditions and the operating context to deliver a fit-forpurpose approach. 50 Ｃｏｎｓｕｌｔａｎｔ Ｓｅｒｖｉｃｅｓ （Ｑ／Ｃ％） 51 5．Evaluation of VｆM 52 Evaluation Criteria for VfM (1) a) Cost: (i) adjusted bid price or (ii) adjusted bid price plus the running/recurrent cost over the useful life time of the asset on net present cost basis (“life-cyclecosts”). b) Quality: should meet the stated requirements in the bidding/request for proposals document; c) Risk: …able to adjust to unforeseen changes in design, capacity, technical, business or economic circumstances; d) Sustainable Procurement: criteria that takes into account stated economic, social, and environmental; e) Innovation: to give bidders the opportunity to include solutions that exceed the requirements in the bidding/request for proposals document that will benefit the Borrower in attaining VfM. 53 Life Cycle Cost (SDB:RFP Plant 2 stage) 3. Evaluation of Financial Part (ITP 51.1(i) ) (b) Life Cycle Costs Life cycle costing should be used when the costs of operation and/or maintenance over the specified life of the Facilities are estimated to be considerable in comparison with the initial cost and may vary among different proposals. It shall be evaluated on a net present value basis. When using life cycle costing, the Employer shall specify the following information: 54 Life Cycle Cost (SDB:RFP Plant 2 stage) The operating and maintenance costs factors for calculation of the life cycle cost are: (i) number of years for life cycle: ____[Insert number of years] (ii) operating costs [to be determined from information provide by the Proposer] (iii) maintenance costs, including the cost of spare parts for the initial period of operation [to be determined from information provide by the Proposer] and (iv) Interest rate: ________[insert interest rate in percent] to be used to discount to present value all annual future costs calculated under (ii) and (iii) above for the period specified in (i). 55 Evaluation Criteria (2) 3.6 Rated Type Criteria, non-price attributes assessed with merit points, shall be used only when benefits may not be quantifiable other than using merit...… 3.8 Rated criteria may include, but are not limited to the following features: a) quality of methodology and work plan b) performance, capacity, or functionality features. c) sustainable procurement コンサルタント以外の調達でもJudgement の導入 56 Request for Proposals Plant Design, Supply and Installation (Two-Stage RFP, after First Stage RFP) • Second Stage Financial and Technical Proposals (p.56) B where C = C low = Proposals T = Thigh = scored best X = Clow T 1 X X C Thigh Evaluated Proposal Cost the lowest of all Evaluated Proposal Cost among responsive the total Technical Score awarded to the Proposal the Technical Score achieved by the Proposal that was among all responsive Proposals weight for Cost 57 58 59 世銀新調達政策 “value for money”は 質高インフラに有効 ＶｆＭ：ｆor international competitive bids there will be options to look at non-price factors, like quality, as well as the ability for negotiation between executing agencies and bidders on cost, quality and other factors—the concept of “value for money” decision-making. 60 6. 倫理 （Integrity） • よくある質問 – プロファイはどのようにやるのか？ – スペックインはどうやるのか？ • The Bank requires that all parties involved in the Procurement Process, …………., observe the highest standard of ethics …., and refrain from Fraud and Corruption,….. 61 Fraud and Corruption (不正と腐敗） ガイドラインでは (i) Corrupt Practice: ｢腐敗行為」とは、別の当事者の行動に不当に影響を与 える目的で、直接あるいは間接に有価物を提供、贈与、受領、あるいは要求 する行為を指す。 (ii) Fraudulent Practice: ｢不正行為」とは、金銭上の利益を得るため、あるい は責務を逃れるために、故意にあるいは認識しながら当事者を誤り導く、あ るいは誤り導こうとする、不実表示を含めた行動または怠慢を意味する。 (iii) Collusive Practice: 「共謀行為」とは、2人以上の当事者による、別の当 事者の行動に不当に影響を及ぼすなど、不適切な目標を達成するための申 し合わせを意味する。 62 Fraud and Corruption (不正と腐敗） ガイドラインでは (iv) Coercive practice: 「強制行為」とは、当事者の行動に不当に影響を及ぼ す目的で、直接あるいは間接に、当事者やその財産を損傷するもしくは危害 を加える、あるいは損傷するもしくは危害を加えると威嚇することを意味する。 (v) Obstructive practice: 「妨害行為」は、腐敗、不正、強制、あるいは共謀行 為の容疑に対する世銀の調査に重大な妨害を行う目的で、調査の証拠物 件を故意に破壊、改ざん、変更、隠蔽する、または調査人に対し虚偽の証言 をすること、ならびに／または調査に関する事柄についての知識を開示する のを、あるいは調査を遂行するのを妨げる目的で、当事者を威嚇、攻撃、脅 迫することを指す。 63 Cross Debarment: Raising the cost of corruption 64 #endpoverty 65
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