Practice Note Using Rated Criteria to Select Civil Works Contractors in the Transport Sector Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector ii © 2024 World Bank International Bank for Reconstruction and Development/The World Bank 1818 H Street NW, Washington DC 20433 Internet: http://www.worldbank.org/transport Standard Disclaimer This work is a product of the staff of The International Bank of Reconstruction and Development/ World Bank. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of Executive Directors of the World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. 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Cover image: Adobe Stock Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector iii Table of Contents Establishment of rated criteria for new international procurements������������������������������������������������ 1 Types of evaluation criteria������������������������������������������������������������������������������������������������������������������������� 1 Prequalification, initial selection, and qualification criteria�����������������������������������������������������������������4 Technical versus financial cost weighting������������������������������������������������������������������������������������������������4 Rated criteria���������������������������������������������������������������������������������������������������������������������������������������������������4 List of Figures Figure 1. Delivering procurement objectives through the procurement process�������������������������3 List of Tables Table 1. Types of criteria used to select a contractor����������������������������������������������������������������������2 Table 2. Sample menu of criteria and sub-criteria, including sample scoring and weights, for selection of contractors in the transport sector��������������������������������������������������������� 7 Table A.1 Road safety criteria for prequalification/initial selection����������������������������������������������19 Table A.2 Road safety rated Criteria for request for bids with prequalification����������������������� 20 Table A.3 Criteria for request for bids without prequalification����������������������������������������������������� 21 Annex Annex managing traffic safety risks during construction through the selection of contractors�������������������������������������������������������������������������������������������������������18 Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 1 Establishment of rated criteria for new international procurements In March 2023, the World Bank announced the use of rated criteria as the default approach for new international procurement advertised on or after September 1, 2023, using Bank Standard Procurement Documents (SPDs).1 Rated Criteria are used to evaluate nonprice attributes of Bids/Proposals, including quality, risks/mitigations, opportunities, sustainability, and other technical aspects. The use of rated criteria in public procurement is not a new concept. Such criteria have been widely used in many countries for more than 30 years. Using rated criteria with financial costs provides a true value assessment that focuses on quality, risk, sustainability, and other key criteria. The Bank’s guidance, tools, and resources to implement this initiative2 were incorporated in the fifth edition of procurement regulations,3 and the SPDs were updated accordingly.4 It is mandatory to use rated criteria, but the objectives, scope, and selection of rated criteria are expected to vary based of the project context. The number of rated criteria depend on the complexities, risks, and value of the contracts, and the knowledge and experience of borrowers and the Bank in addressing challenges in procurement and contract management. “Evaluating Bids and Proposals Including Use of Rated Criteria for Procurement of Goods, Works, and Non-Consulting Services,” explains how to apply rated criteria to evaluate non-price factors such as technical, quality, sustainability, environmental, social, and innovative aspects of bids when making an award decision.5 This note provides guidance on applying rated criteria and sub-criteria in evaluating bids related to transport sector works (including new construction, rehabilitation, reconstruction, and improvement of roads, mass transit systems, railways, ports, and airports). It primarily deals with civil works contracts. Rated criteria, however, are also used to assess international procurement of goods and non-consulting services. Types of evaluation criteria Different types of evaluation criteria are used to assess applications, bids, and proposals. These evaluation criteria are part of the overall evaluation approach. The evaluation approach and setting of different evaluation criteria should be informed by the analyses and conclusions outlined in the borrower’s Project Procurement Strategy for Development (PPSD). Bidders must first meet predefined minimum qualification criteria, such as historical contract nonperformance and average annual construction turnover, which are evaluated on a pass-fail basis (Steps 1–3) (table 1). The bid/proposal is disqualified and rejected if any qualifying requirements are not met. Qualified bids are then evaluated (Step 4). It is important not to duplicate criteria across Steps 2, 3, and 4. Criteria applied in Step 4 must be specifically related to the contract context and relate to documents prepared by each bidder for the proposal. 1 Use of rated criteria is not required for procurement of pharmaceuticals, vaccines, off-the-shelf goods and educational materials, commodities, or other items approved by the Bank’s Chief Procurement Officer (CPO) on a fit-for-purpose basis. 2 Rated Criteria 3 Procurement Regulations for IPF Borrowers (September 2023) 4 Standard Procurement Documents 5 Evaluation Guidance Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 2 Table 1. Types of criteria used to select a contractor Type Criteria Test When Step 1 Process criteria Meets requirements A preliminary check is Substantially without material undertaken when bids/ responsive deviation, reservation, proposals are opened to or omission establish their compliance with required procedures and processes prescribed in the procurement document Step 2 Qualification criteria Pass/fail Must meet the mandatory Qualification or minimum qualification standard set Step 3 Minimum technical/ Pass/fail Must meet the specified Minimum performance minimum technical/ requirements requirements performance requirements and standards Step 4 Rated criteria Weighted and scored Criteria that assess and Qualitative compare qualitatively the technical aspects of bids/ proposals, such as technical, quality, risk, and innovation. Source: World Bank. Step 1: Substantially responsive means that a bid or proposal meets the requirements and criteria set out in the Request for Bids (RfBs) or Request for Proposals (RfPs) document. It satisfies the essential conditions outlined in the procurement document. This is to ensure that the selected bidder or proposer can deliver the required goods, works, or services as specified. Step 2: Qualification criteria are applied to ensure that a contract is awarded to a bidder that has relevant experience and the professional, financial, and technical capacity to perform the work. Bidders’ experience and performance, as well as their organization and preparedness, can help assess their ability to provide quality work and engage in best management practices. If bidders/ proposers have not been through prequalification or initial selection, the borrower shall specify appropriate qualification requirements in RfBs or RfPs. Step 3: Minimum requirements are established to ensure that the bidder meets the project’s technical specifications without proposing alternative designs, systems, or materials. Performance requirements are established to assess whether the bidder is capable of achieving the project’s specified functions and performance levels, potentially by employing elements, systems, and materials that offer equivalent or superior functionality and performance compared with those outlined in the technical specifications. Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 3 Step 4: Qualitative criteria are weighted and scored criteria (rated criteria) that assess and compare qualitative value of the technical aspects of bids/proposals, such as technical elements, quality, risk, and innovation. This evaluation is applied to all bidders that meet the qualification criteria and minimum technical and other requirements. Only proposals submitted by qualified bidders are subjected to rated criteria. Figure 1 illustrates the logic for developing the assessment strategy and evaluation criteria while considering the objectives, risks, and mitigations connected to the procurement process as well as market dynamics (all analyzed in the PPSD). Figure 1. Delivering procurement objectives through the procurement process Procur m nt Obj ctiv s Informs St t m nt of R quir m nts K P rform nc Indic tors Driv s Tr nsl t s procur m nt obj ctiv s Us d to t st if th r quir m nts to contr ctu l r quir m nts r b in d liv r d Driv s Ev lu tion Appro ch Outlin s th ov r ll m thodolo th int nd to ppl to v lu t Bids/Propos ls C libr t ppro ch to Driv s r fl ct m rk t c p cit Qu lific tions Crit ri R t d Crit ri Crit ri us d to t st Crit ri us d to cc ss th c p bilit of th non-pric f ctors nd t st Bidd r/Propos r th Bid’s/Propos l’s bilit . . p ss/f il crit ri to d liv r th r quir m nts Fin l Aw rd R comm nd tion Hi h st scorin Bid/Propos l b s d on hi h st combin d scor : W i ht d t chnic l scor + W i ht d fin nci l cost scor Contr ct Aw rd Incorpor t s KPIs Contr ct M n m nt Driv s KPIs h lp t st th t contr ct r quir m nts r d liv r d Source: World Bank. Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 4 Prequalification, initial selection, and qualification criteria Prequalification is normally used with an RfB. Qualification criteria and requirements are assessed on a pass/fail basis. Applicants that substantially meet the qualification criteria and requirements are invited to submit a bid/proposal. Initial selection is normally used for an RfP and all competitive dialog processes. Criteria used for include general management capabilities, contract/project management capabilities, and borrower’ requirements. Initial selection is done through a two-stage process: • Stage 1: Assess all applicants against minimum (pass/fail) qualification requirements. • Stage 2: Assess applicants that substantially meet the qualification requirements against the rated criteria in the initial selection document and ranked on merit. The list of initially selected applicants is established in accordance with the number (range) specified in the initial selection document. If bidders have not been through prequalification/initial selection, the borrower specifies appropriate qualification requirements in the RfB or RfP. Technical versus financial cost weighting The weighting of technical aspects versus financial cost is determined for each procurement, based on specific risks, opportunities, issues, and quality factors. The weights must be defined and analyzed in the PPSD. Factors that increase the weighting given to technical factors include the complexity of the project and its supply chain; risk; opportunity for procurement to contribute to broader social, economic, and environmental objectives; and the potential for innovation. In high-risk, high-value, strategically critical procurement, technical and financial costs are weighted equally, where failure could have severe and/or ongoing consequences to the project and/or borrower. Rated criteria Rated criteria are used to evaluate the quality, sustainability, and innovativeness of the bids/ proposals. They have been used extensively for many years to select consultants. The design of rated criteria must address the specific risks, opportunities, and objectives in each procurement. Rated criteria normally assess the methodology prepared by bidders in response to an RfB/RfP. It is also possible to include additional items related to the general construction practice and management capability of the bidder, at both the corporate and site operation level. Understanding the complexity of the technical specifications and/or employer’s requirements, the possible technological solutions, and the best procurement procedures in the sector, is essential to developing a rated criteria–based system to evaluate bids. Limit the number of criteria used for rating to only what is necessary. Select and formulate the criteria in a clear and unbiased manner. If needed, use additional sub-criteria to assess technical aspects such as quality and sustainability. Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 5 The objective of rated criteria is to assess factors beyond the minimum technical requirements. In certain circumstances, borrowers may set a minimum quality threshold to make sure that only bids/proposals that show that they can provide the required standard of quality are considered. For example, the borrower may specify that the minimum overall technical score is 70 percent, with no less than 65 percent for any criterion, and no less than 50 percent for any of the sub-criteria. The minimum quality threshold may apply to the total combined score of all rated criteria, the combined score of selected rated criteria/sub-criteria, and/or the score for an individual rated criterion/sub-criterion. Establishing a scoring scale enhances clarity and objectivity in evaluations. It helps minimize the use of excessive discretion and facilitates the assessment of submissions as excellent, acceptable, or unacceptable. Establish rated criteria to assess competencies for six categories: Contract management: Assess the bidder’s overall management capability, contract 1.  management skills, specific human capacity, and capacity in managing risks related to the contract. Method statement: Assess the quality of the bidder’s understanding and approach to implement 2.  the contract and associated works (for example, building a particular static system for a bridge, using a particular soil stabilization technique, or curing concrete in a hot climate). Work plan and mobilization: Assess the overall planning and scheduling of works procured, 3.  including staff and equipment mobilization, considering the specificities of the site; the construction period; the supply of materials, staff, and equipment; and other factors. Quality, safety, and environmental management: Determine the bidder’s degree of readiness 4.  to manage various issues efficiently, effectively, and safely during contract implementation. In addition, evaluate the ability to assess risks involved in managing these issues, including preparing specific preliminary management plans, use of quality assurance and quality control methodology, and other factors. Social aspects: Determine the bidder’s degree of readiness to manage various social issues 5.  efficiently, effectively, and safely during the contract implementation. While doing so, assess the risks involved in managing these issues, including preparation of specific preliminary management plans; labor influx and labor standards; diversity, equality, and inclusion; gender-based violence, including sexual exploitation and abuse and sexual harassment; and other factors. Sustainable procurement: Assess the extent to which the bidder’s proposed method positively 6.  or negatively affects the environment, society, and the economy while also meeting the technical specifications and employer requirements. It evaluates the additional benefits provided by the bidder’s approach to carrying out the work. Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 6 Table 2 presents a menu of rated criteria to be used in transport projects, it describes the purpose of each criterion and how to evaluate and assign a score to. 1. Tailor this long list for each project as not all criteria may apply to a particular contract. The proposed matrix does not preclude the addition of other appropriate criteria to fit the purpose. 2. Treat the table’s sample scoring and weighting as indicative and design it to fit the purpose. 3. Prioritize and weight rated criteria based on their relative importance to the project implementing entity in meeting their requirements. Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 7 Table 2. Sample menu of criteria and sub-criteria, including sample scoring and weights, for selection of contractors in the transport sector Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Contract management Contract Assess overall Does the bidder have appropriate 30 management management capability management capability in terms organization of bidder and its of corporate systems for contract organization to manage management; financial management; the contract risk management; quality assurance; Environmental, Social, Health and Safety (ESHS); technical support to site operations; and other measures? Does senior management play a clear role in managing, supporting, and following contract implementation? Is the preliminary contract management and organizational plan appropriate for the site conditions? Did the bidder identify any problems or specific issues along the site that may affect its organization? Is the cost management procedure thorough and credible? Are clear reporting and recording systems in place? Key staff Assess capacity of the Are appropriate staff resources 45 bidder’s human resources committed to support implementation (project manager and of the contract? key staff) What is the level of expertise and experience of the staff resources committed to contract implementation? Risk Assess the bidder’s How is risk identified? 25 management capacity to identify and What types of risks have been manage contract-related identified? risks How is the bidder proposing to establish risk registry What kind of mitigation measures have been proposed? Subtotal 100 0.2 20 Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 8 Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Method statement Overall Assess the bidder’s How well does the bidder understand the 50 approach approach to implement works requirements? to works the works Does the bid identify key requirements? Is the approach thorough and realistic? Specific works Assess the bidder’s Does the bidder demonstrate a good 50 components understanding of understanding of work components? requirements for specific To what extent is the method components and how it statement consistent with the intends to implement technical specifications or employer’s them (major or critical requirements? components to be identified) Is the method statement sufficiently specific and detailed? Are any innovation procedures proposed? Are any risks identified and risk mitigation measures proposed to manage specific components? Subtotal 100 0.2 20 Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 9 Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Work plan and mobilization Overall work Assess the overall Is the preliminary plan appropriate to 50 plan and planning and scheduling manage the works? scheduling of works Are there any critical issues in of works planning activities? Did the bidder identify critical path for works implementation and where certain specific requirements may affect that path? Did the bidder propose ways to mitigate risks to the critical path? Are there key performance targets? Is the division of works into subcontracts clearly indicated? Is the justification provided for the proposed subcontracting of works? What are the screening and selection procedures for selecting subcontractors? How does the bidder intend to manage the relationship between the main contractor and subcontractors as well as between subcontractors? How is supply management integrated into the planning of works? What is the clarity and quality of relevant interfaces between the bidder and its suppliers and subcontractors in the supply chain? Are all temporary facilities (site offices, laboratory, workers accommodation, engineer’s facilities and accommodation) available before commencement of the main works? Is a specific project management software proposed for planning and scheduling the works and resources? Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 10 Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Key staff Assess the Does the staff mobilization plan follow 25 mobilization appropriateness of the the works plan and the scheduling mobilization plan for key of works? staff Are there any gaps in mobilization? Equipment Assess the What strategy is foreseen for key plants 25 mobilization appropriateness of the and equipment? mobilization plan for Does the mobilization plan follow the plants and equipment works plan and scheduling of works? Are there any gaps in mobilization? Is any specialized equipment foreseen for the works implementation? If so, how it will be supplied? Subtotal 100 0.25 25 Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 11 Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Quality, safety, and environmental management Quality Assess specific elements Does the preliminary quality 25 assurance and of the bid that define the assurance and quality control plan quality control way the bidder intends cover all necessary elements and procedures to manage various issues works’ components? efficiently, effectively, Are quality management systems and safely during the explained? contract implementation; evaluate the potential Are the roles and responsibilities risks in managing these clearly defined and understandable for issues; and assess how all involved? the bidder will recognize Is the bidder capable of securing all and address conditions facilities and equipment to support and behaviors that could the plan? have an impact, along with their proposed mitigation measures. Environmental Is the preliminary environmental and 25 management social management plan appropriate for the type and scope of works? Are roles and responsibilities clearly defined and understandable for all involved? What is bidder’s plan for monitoring activities, and does it comply with requirements? What actions are proposed in case of emergencies and/or accidents? Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 12 Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Road safety How does the preliminary road safety 25 management management plan treat traffic along the plan (general construction site with regard to speed traffic and control, access, detours, intersection construction traffic, and safety buffers for workers? related How are transport operations during transport) construction (covering mainly the vehicles and drivers of the contractor, subcontractors, and suppliers) treated in the preliminary road safety management plan? Are roles and responsibilities clearly defined and understandable for all involved? What is the proposed action in case of traffic-related incidents? What actions are planned after a traffic-related incident (such as cause analysis, cooperation with traffic police and other relevant authorities, identification of mitigation measures)? Community How does the preliminary community 25 and and occupational health and safety plan occupational identify and manage specific health and health and safety risks? safety Are roles and responsibilities clearly management defined and understandable for all involved? Does the plan acknowledge occupational health and safety risks that might differ by gender, age, disability, and other socioeconomic and demographic features of the workforce? Does the plan include a specific site induction for labor and visitors? Is there recurrent training in health and safety issues? If so, how often will it be provided during the construction period? What actions will be taken in case of a health and safety incident? Subtotal 100 0.15 15 Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 13 Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Social aspects Labor Assess specific elements Are roles and responsibilities clearly 50 management of the bid that define defined and understandable for the way the bidder all involved? intends to manage social Does the bidder have a strategy aspects (including equal for tracking people at the site, by opportunity and safe maintaining a site registration form and environment) efficiently, overseeing its management? effectively, and safely during the contract How does the plan identify and manage implementation, and specific labor risks? evaluate the potential How does the plan identify and address risks in managing these labor standard issues? issues and the method What is the site induction strategy for identifying conditions for labor? and behavior with potential impact, and How does the plan manage labor influx? mitigation measures What is the proposed action in case of an incident between workers and the community? Does the bidder adequately and clearly describe and provide evidence of how it requires subcontractors and suppliers to meet relevant requirements? Code of Does the bidder provide a code of conduct 25 conduct that is fit for the purpose of the contract and its location? How does the bidder propose to verify that requirements are met during contract implementation? Diversity, How do the bidder’s policies cover all 25 equality, relevant aspects of diversity, equality, inclusion, inclusion, sexual abuse, and harassment? abuse, Do these policies extend to supply harassment chain partners? Does the grievance mechanism cover all aspects of the employment relationship? Does it ensure that adequate confidentiality measures are in place for reporting cases of a sensitive nature, such as sexual harassment? Do bidder’s policies, codes, and plans identify and address potential adverse social impacts, such as gender-based violence? Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 14 Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Subtotal 100 0.1 10 Sustainable procurement Circular Assess implementation Does the bidder plan to reuse or 15 resources of circular economy recycle temporary facilities at the principles in the construction site? execution of works Does the bidder identify recycled construction materials it intends to use? Does the bidder provide an adequate description of the verification system that will be in place? Does the bid include estimates of the quantities or percentages of materials for reuse, recycling, and other forms of recovery? Energy Assess the method Will the bidder use renewable sources of 15 efficiency of energy supply and energy at the construction site? and carbon consumption and any Does the bidder provide a credible reduction initiatives to reduce proposal for reducing carbon emissions initiative carbon emissions during works, including monitoring and evaluation of such proposals? Does the bid include energy efficiency and carbon reduction targets? Waste Assess the bidder’s How does the bidder propose to manage 25 management capacity and method to construction, municipal, and hazardous manage waste waste through its preliminary waste management plan? Are roles and responsibilities clearly defined and understandable for all involved? Does the plan contain an adequate system for monitoring and accounting for waste and tracking the destination of consignments of waste? Does the plan include systems for the separate collection of materials on-site for reuse, recycling, and other forms of recovery? Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 15 Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Local Assess how bidder’s Does the bidder plan to subcontract any 15 economic organization and method of the works or logistic activities locally? impact of works implementation What is the level of subcontracting? might affect the local economy Does the plan include a commitment reserving a certain portion of contracted labor for local staff? Does the plan include a strategy for unskilled people who will receive skills training? Does the plan include a strategy for employing local women? Is there a plan for hiring local skilled and unskilled labor? Where are the sources of construction materials located? What kind of supplies will be procured locally? Value Assess how the bidder’s Does the bidder provide details of value 15 engineering plans with respect to engineering throughout the project? design and materials add Does the bidder propose changes for value to the project and shortening the project timeline? enhance usability and quality Does the bidder propose any changes to the site designs to enhance safety? Does the bidder propose any changes to the project design to enhance reliability? Will the bidder use innovative processes to contribute to quality, reliability, safety, and durability of the works? Do these changes add value and improve the final product? Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 16 Sample (indicative) Criteria/ Purpose What to look for sub-criteria re ore d co Sc ghte ht xS eig ei Ma W W Gender Assess bidder’s Do the proposed high-skilled technical 15 equalitya capacity to promote positions include both women and men, women’s employment local and international? in low, mid-, and high- Does the Gender Action Plan (GAP) seek skilled (technical) to increase the representation of women positions and include during the works? women-owned and women-led businesses Does the plan list concrete actions, from as contractors and women’s recruitment to retention, for subcontractors building a more inclusive workplace that supports greater gender equality? Does the GAP demonstrate bidder’s knowledge of the gender-based employment gaps in the sector in the country and a good understanding of both the barriers to and opportunities for recruiting local women in its workforce? Does the GAP include concrete quantifiable targets to employ local women in mid- and high-skilled roles that are traditionally dominated by men (such as engineering)? Does the GAP explain how the bidder aims to provide a safe and respectable workplace, considering issues such as safe commuting, safe and hygienic toilets, and changing spaces in the workplace? Does the bidder set aside contracts or subcontracts for women-led companies and women-owned companies in the GAP? Does the GAP explain how the bidder will reach out and engage women-led and women-owned companies in its supply base? Does the GAP demonstrate bidder’s understanding of the challenges of attracting companies owned or led by women in the country where the project takes place? Subtotal 100 0.1 10 Total 1 100 Note: a Gender equality measures under the sustainable procurement pillar aim to advance women’s participation in the labor market. Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 17 Annex managing traffic safety risks during construction through the selection of contractors Several methods/approaches are used to assess road safety management of companies: • ISO 39001 is the international standard dealing with road traffic safety management systems published by the International Standardization Organization (ISO). Like all ISO standards, it is based on the plan-do-check-act principle. The standard provides a tool to help organizations reduce, and ultimately eliminate, the incidence and risk of death and serious injury from road traffic crashes. The standard focuses on the organization’s management and the setting of road safety targets for reaching a vision/goal of zero crashes. Standardization is a voluntary approach, which organizations adopt to distinguish themselves in the market. An organization can self-declare that it has met the standard. Organizations must pay to adopt the standard, however, which many contractors are unwilling to do. • The International Automobile Federation (FIA) Safety Index simplifies and operationalizes ISO 39001. Organizations can use the index to distinguish themselves from competitors and improve their performance. • The World Bank has developed a questionnaire to assess a contractor’s road safety management capability and capacity. The instrument, which includes more than 100 questions is used during contract implementation. The proposed road safety rated-criteria system for procurement of works was developed by examining the standardized approach defined within the ISO 39001, the most effective elements of the FIA Safety Index assessment, and the assessment/audit of contractor’s performance in active works contracts. It also incorporated the experience of the Global Road Safety Facility. Design of rated criteria must address the specific risks opportunities and objectives in each procurement. Rated criteria are normally applied to the methodology prepared by bidders. Items related to the bidder’s general road safety practice and culture should not be included as qualification rather than rated criteria. Road safety is covered under steps 2 and 4 of table 1. Step 2 (qualification criteria) examines the bidder’s general management skills and expertise with issues linked to road traffic safety. Step 4 (quality, safety, and environmental management criteria) is used to determine the bidder’s degree of readiness to safely manage both general traffic/transport and traffic related to construction throughout the contract’s implementation and assess the risks involved in managing road safety conditions. Tables A.1 and A.2 describe the purpose and use of the criteria proposed for inclusion in the evaluation of applications, bids, or proposals to assess the applicant’s capability and capacity in ensuring road traffic safety during the implementation of works. Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 18 Table A.1 Road safety criteria for prequalification/initial selection Purpose What to look for Verify bidder’s leadership • Does senior management play a clear role in managing and following and commitment to road safety across the company’s supply chain? road safety, including • Does the bidder assess its operational risks for every project management capacity it operates and capture those risks in the structured risk and previous experience assessment register? in road safety–related issues • Does the bidder record and analyze road traffic–related incidents involving its employees, subcontractors, and third parties? • What was the bidder’s road safety performance in previous contracts? Indicators include using safe vehicles; ensuring drivers’ fitness to drive; providing training; and number of traffic-related incidents, including outcomes involving employees, subcontractors and third parties. Verify overall capacity • Is the bidder ISO39001 certified? of applicant for road • Does the bidder adopt internal road safety policy and/or plans and safety management procedures beyond national regulations and ensure that they are during the contract applied to their subcontractors? implementation related to the contract scope and • Does the bidder have policies stating that speed limits must be associated risks followed and have the assurance processes (such as in-vehicle monitoring systems) to ensure that those limits are respected? • Does the bidder have a fatigue-preventing policy and actively manage fatigue through journey management, work, and rest hours of employees/drivers? • Does the bidder have a zero-tolerance policy on alcohol and drugs and ensure that employees/drivers are not allowed in vehicles, even as passengers, if they have used alcohol or drugs? • Does the bidder ensure that employees in transport use adequate protective equipment? • Does the bidder have a driver recruitment policy that includes regular checks of employees/drivers’ fitness to work? • Does leadership ensure that employees/drivers are always aware of applicant’s road safety standards and polices, and that drivers are trained on safe driving, defensive driving, professional competences, and other areas based on the company’s standard requirements and risk assessment? • Does the company’s leadership provide and ensure that all vehicles meet the highest safety standards (such as NCAP Rating for light vehicles or the highest active and passive safety standards for heavy trucks and buses)? Source: World Bank. Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 19 Table A.2 Road safety rated Criteria for request for bids with prequalification Quality, safety, and environmental management Sub-Criteria Purpose What to look for? • Capacity of road • Assess bidder’s • Are staff committed to supporting safety specialist road safety implementation of the contract? management • What is the level of road safety expertise and capacity experience of staff committed for contract implementation? • Availability • Assess elements of • Does the RSMP define safe speeds for the and quality the bid (such as the operation of project-related vehicles? of applicant’s RSMP, the method • Are roles and responsibilities in the RSMP Road Safety statement, and clearly defined and understandable for Management the preliminary all involved? Plan (RSMP)ª risk assessment register) that • How does the RSMP treat traffic along the • Method for construction site regarding speed control, identifying define how the bidder intends accesses, detours, intersection traffic? conditions and behavior that to manage • Is there enough safety buffer to protect could affect road safety workers at the site in the event of a safety and during contract traffic crash? measures to implementation • To what extent are the proposed safety mitigate them measures restrictive or stringent? • What action is proposed in the event of a traffic crash? • How does the bidder plan to respond to a traffic crash with regard to aspects such as cause analysis, cooperation with traffic police, identification of mitigation measures? • How does the RSMP deal with the management of transport operations related to construction works and supplies? • Does the plan cover all transport operations for all parties involved in construction (contractor, subcontractors, suppliers)? Note: a The RSMP) includes two subplans: a Traffic Management Plan (TMP) at work zones and a Transport Safety Plan (TSP) for transport operations during construction (mainly covering contractor’s, subcontractors’, and suppliers’ vehicles and drivers). Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 20 Table A.3 Criteria for request for bids without prequalification Category/criteria Purpose What to look for Qualification (pass/fail) • Successful • Verify bidder’s • Does senior management play a clear role in management leadership and managing and following road safety throughout of operations commitment the company’s supply chain? and execution of to road safety, • Does bidder assess its operational risks for every contracts involving including general project it operates and capture those risks in a road safety–related management structured risk assessment register? issues capacity and experience in road • Does bidder record and analyze road traffic– safety–related related incidents involving its employees, issues subcontractors, and third parties? • What was the bidder’s road safety performance in previous contracts (use of safe vehicles, drivers’ fitness to drive and trainings; number of traffic-related incidents, including outcomes involving employees, subcontractors and third parties)? • Verify the overall • Is the bidder ISO39001 certified? capacity of bidder • Does the bidder adopt internal road safety policy for road safety and/or plan and procedures beyond national management regulations and ensure that they are applied, during contract including to subcontractors? implementation related to the • Does the bidder have policies stating that safe contract scope and speeds must be followed and have a process associated risks to ensure that safe speed defined in the Road Safety Management Plan (RSMP) is followed (for example, an in-vehicle monitoring system)? • Does the bidder have a fatigue-preventing policy and actively manage fatigue through journey management and rest hours of employees/drivers? • Does the bidder have zero tolerance for alcohol and drug use on the job and ensure that employees/drivers are not involved in operations if under the influence of alcohol or drugs, including as passengers? • Does the bidder ensure that employees in transport use adequate protective equipment? • Does the bidder have a driver recruitment policy, including regular checks of employees’/drivers’ fitness to work? Practice Note: Using Rated Criteria to Select Civil Works Contractors in the Transport Sector 21 Category/criteria Purpose What to look for • Does leadership ensure that employees/drivers are always aware of the company’s road safety standards and polices? • Does the bidder ensure that drivers are trained on safe driving, defensive driving, professional competences, and specific trainings based on the company’s standard requirements and risk assessment? • Does leadership provide and ensure that employees/drivers always drive and/or are transported with vehicles that meet the highest safety standards (for example, NCAP5* for light vehicles or the highest active and passive safety for heavy trucks and buses)? Quality, safety, and environmental management (rated criteria) • Capacity of road • Assess bidder’s • Are staff committed to supporting safety specialist road safety implementation of the contract? management • What is the level of road safety expertise and capacity experience of the staff resources committed for contract implementation? • Availability • Assess the • Does the RSMP define safe speeds for the and quality of elements of operation of project-related vehicles? a Road Safety the bid (RSMP, • Are the roles and responsibilities in the RSMP Management Plan method statement, clearly defined and understandable by all involved? (RSMP) preliminary risk assessment • How does the RSMP treat traffic along the • Method to identify construction site regarding speed control, conditions and register) that define the way the accesses, detours, intersection traffic? behavior with potential impact bidder intends to • Is there enough safety to protect workers at on safety, and manage road safety sites in the event of a traffic crash? mitigation during contract • To what extent are the proposed safety measures implementations measures restrictive or stringent? • What action is proposed in the event of a traffic crash? • What response is planned in the event of a traffic-related incident with regard to cause analysis, cooperation with traffic police, identification of mitigation measures? • How does the RSMP deal with the management of transport operations related to construction works and supplies? • Does the plan cover all transport operations for all parties involved in construction (contractor, subcontractors, suppliers)?