世銀新調達政策と質高インフラコンサルタントの役割

世銀新調達政策と質高インフラ
コンサルタントの役割
（2016年6月06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
内容
1.
2.
3.
4.
世銀新調達政策と質高インフラとコンサルタント
世銀の概要説明
世銀新調達政策の主な特徴
ＶｆＭの評価（Evaluation of VfM）
-----------------------------参考資料---------------------------Consulting Services Manual 2006
＆
コンサルタント選定について
2
3
4
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.“
5
開発プロジェクト
コンサルタントの役割は非常に重要
• Services of intellectual and advisory nature
• Comparatively low cost
• High impact on project
• Sound judgment requirements
• Human relations with close borrowers’ involvement
• Ethical issues
6
コンサルタントは各ステップで重要な役割
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
7
Consulting Services
新、旧ガイドライン不変
3.22 The Bank requires that consultants provide
professional, objective, and impartial advice and at
all times hold the Borrower’s interests paramount,
without any consideration for future work, and that
in providing advice they avoid conflicts with other
assignments and their own corporate interests.
8
２．世銀の概要説明
9
世界銀行の概要
• 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
• 設立： 1945年１２月。ニューハンプシャー州 Bretton Woodsで
設立合意（1944年７月）。
10
1945
11
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。
12
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
13
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、世界銀行グループ一丸となって取り組むための新戦略を発表
借入国の目標達成に世界銀行グループとして助言：ソリューション・バンク
2014年7月、大幅な組織改革を実行：グローバル・プラクティス
様々な開発パートナーと、プロジェクトの初期段階から積極的に協力
14
14
The World Bank Group
GOVERNMENTS
IBRD
IDA
Middle Income
Countries
Low Income
Countries
PRIVATE SECTOR
IFC
MIGA
Foreign and Local Investors
ICSID
Tribunal
15
Governments
MIDDLE INCOME
LOW INCOME
Borrows $
by selling bonds
Donors, IBRD, IFC
and Repayments
IBRD
IDA
Cost of borrowing
+ Bank spread
up to 30 years,
5 year grace
0%
up to 38 years,
6 year grace
16
Regions
Middle East and North Africa
14%
Europe and Central Asia
6%
27%
14%
Sub-Saharan Africa
Latin America and the Caribbean
23%
South Asia
16%
Ea
stAsi
aa
ndth
ePa
ci
f
i
c
17
Solutions Bank
CROSS CUTTING SOLUTIONS
18
Top areas of spend in FY15 (Infrastructure 70%)
(Investment lending US$20-30 bil./year)
Transport & ICT 33%
Energy & Extractives 19%
Water 19%
Water 19%
2.75
1.92
0.00
1.90
0.00
Transport & ICT
Water
2.94
Energy & Extractives
1.01
6.73
0.98
0.85
Health, Nutrition & Population
0.03
33.49
0.17
Social, Urban, Rural and Resilience Global Practice
Governance
Agriculture
9.41
Environment & Natural Resources
Education
Social Protection & Labor
Trade & Competitiveness
Finance & Markets
Poverty and Equity
18.76
19.07
Macro Economics & Fiscal Management
Other
Not assigned
19
Source AO: BI – Information as of November 10, 2015
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
2002
2003
2004
2005
Germany
2006
Japan
2007
2008
2009
United Kingdom
2010
2011
2012
2013
2014
2015
United States
(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.
20
３．世銀新調達政策の主な特徴
21
世銀新調達政策
（２０１６年７月１日より実施）
Vision
• Procurement in Bank operations supports clients to achieve
value for money with integrity in delivering sustainable
development.
Definition
• Value for Money is the effective, efficient and economic use
of resources.
• Optimum combination, as appropriate, of life cycle costs,
quality and fit for purpose of the goods, works, general
services and consulting services to meet the user’s
requirements.
22
Core Principles
(1) economy,
(2) efficiency, and
(3) Transparency
(1) value for money,
(2) economy,
(3) integrity,
(4) fit-for-purpose,
(5) efficiency,
(6) transparency, and
(7) fairness
価格で負ける
ケースが
多かった
LCC、PPP,
Competitive
Dialogue,
Integrity
で勝負
24
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.
25
契約関係
26
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……
27
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.
28
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…
29
Life Cycle Cost
初期調達コストがＶｆＭを達成するとは限らない
• Life cycle costing includes the cost of an asset throughout its
useful life such as initial purchase price, installation,
operation and maintenance costs over the life of the asset,
and residual value at the end of its useful life. It is calculated
on a net present cost basis and it is only used for
comparison of bids.
30
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.
31
Competitive Dialogue Method（2）
normally include the following phases:
Phase 1 – Pre-qualification
Phase 2 – Competitive Dialogue
Step 1: issuance of competitive dialogue request for proposals document
in accordance with the Bank’s Standard Request for Proposals Document
to the prequalified firms/joint-ventures;
Step 2: Borrower holds separate meetings with each of the prequalified
firms/joint-ventures in order to discuss all aspects of their proposal;
Step 3: submission of interim deliverables/solutions (if defined in the
request for proposals document) by the prequalified firms/joint-ventures for
Borrowers review and feedback in order to enable them to submit an
acceptable final proposal; and
Step 4: formal closure of the dialogue phase when the solution to the
Borrowers requirement is identified.
32
Competitive Dialogue Method（３）
Phase 3: Final Proposal Submission
issuance of the invitation to submit final proposals in accordance with the
Bank’s Standard Request for Proposals Document;
clarifications, if needed within the scope specified in the request for
proposals document; and
selection of most advantageous proposal for contract awardocument.
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
33
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
34
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.
• 契約実行中にコントラクターはＶＥを提案可能
• 契約額の減額のＸ％はコントラクターに。
35
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.
36
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
37
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
38
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.
39
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
40
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.
41
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.
42
ＣｏｎｓｕｌｔａｎｔＳｅｒｖｉｃｅｓ（Ｑ／Ｃ％）
43
４．Evaluation of VｆM
44
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.
45
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
46
Ａｐｐｅｎｄｉｘ１
（参考文献）
Consulting Services Manual 2006
＆
コンサルタント選定について
47
Consulting services in Bank projects
• Meet high standards of quality
• Be impartial (that is, delivered by a consultant
acting independently from any affiliation,
economic or otherwise, that may lead to conflicts
of interest)
• Be proposed, awarded, administered, and executed
according to the highest ethical standards
48
Principles of Selection Procedures
• Fairness and Clarity
• Allow sufficient time for preparation of proposals
• Avoid unduly long proposal validity period
• Provide clarifications to all short listed firms. Hold preproposal conference, if necessary
• Transparency
• Develop clear evaluation criteria, disclose and apply
without discrimination
• Confidentiality
• No information to consultants during evaluation process
49
Selection Methods
• Meet guiding principles of consultants selection
• High quality services; economy and efficiency, equal opportunity
to qualified consultants; development of national consultants in
developing countries; transparency
• Preferred Method
• Quality and Cost Based Selection (QCBS)
• Other Methods
• Specific to nature and quality of services
• Availability of budget
• Cost of services
• Adopt only that method which is specified in the Legal
Agreement and Procurement Plan approved by the Bank
50
General Selection Features
Association between Consultants
Consultants may associate with each other either as joint
venture or as sub-consultant to other, however:
• No mandatory association between consultants but
Borrower may encourage association with qualified
national consultants
• Associated consultants to conclude a joint venture
agreement designating a lead consultant for the selection
and contract process or a sub-consultancy agreement
• Associated consultants in a joint venture must be jointly
and severally liable for the entire assignment
51
General Selection Features
Conflict of Interest
•
Objective
•
•
•
Provision of professional, objective and impartial
advice and services
No considerations for future work
Separation of providing advice and services with other
assignments and corporate interest
52
General Selection Features
Conflict of Interest
• Categories of Conflict of Interest
1.Activities by consultants and their affiliates that are by nature in
conflict:
Downstream procurement of goods and works related to
consultants work
Consultants providing services for preparation or
implementation of a project, and any of their affiliates,
disqualified from subsequently providing goods or works
related to the assignment
Downstream provision of consulting services related to
procurement of goods and services by an affiliate of
consultants
Suppliers of goods and contractors for civil works and any of
their affiliates excluded from providing consulting services for
the same project (except for turn-key projects)
53
General Selection Features
Conflict of Interest
2. Conflict among consulting assignment
Downstream conflicting activities closely related to the
consultants work
Conflicting downstream assignments in which the consultants
attain undue advantage
3. Consultants working simultaneously for two or more
clients whose interests are in conflict
4. Relationship with borrowers’ staff
5. Consultants (including their personnel and subconsultants) having business or family relationship with
staff of borrower involved in the activities for selection
of consultants
54
Lump Sum Contracts
• Applicability
• Required output and duration of consultants can be defined
precisely
• Consultants can make assessment of scope of work and duration
of services
• Payment linked to deliverables/milestones
• Requires little technical supervision (suitable for small and weak
managerial structures)
• Assignments
•
•
•
•
•
Planning and feasibility studies
Environmental studies
Detailed design of infrastructures
Preparation of databases
Survey studies
55
Lump Sum Contracts (Cont’d)
• Considerations
•
•
•
•
Remuneration is fixed
No physical or price contingencies
Payments made at delivery of outputs
Consultants bear cost risks while Borrower bears quality
risks
• Borrower needs quality enforcement standards
56
Time Based Contracts
• Applicability
• Required scope and duration difficult to be specified
• Payments based on remunerations and reimbursables
• Requires system to monitor and control assignment, both quality
and cost
• Assignments
• TOR can not be established with sufficient precision, such as
management of complex institutions or innovative studies
• Duration and quantity of services beyond the control of
consultants, such as supervision of implementation assignments
• Output difficult to assess, such as advisory services, technical
assistance, institutional development, assignments in emergency
situations
• Transfer of knowledge and training
57
Time Based Contracts (Cont’d)
• Considerations
• Need to be closely monitored and administered by
Borrower
• Ceiling on payments to consultants required; need to
include contingencies for unforeseen services
• Price adjustment provision required, where appropriate
(normally for contracts for more than 18 months) or
where foreign/local inflation exceeds a certain rate per
year (5 percent)
• Requires considerable contract management capacity on
part of Borrower
58
https://openknowledge.worldbank.org/bitstream/handle/1
0986/7047/364610Consulti101OFFICIAL0USE0ONLY1.pdf?se
quence=1&isAllowed=y
59
60
Types of Consulting Services
61
62

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