IMAS 07 20 Ed1 Am3
IMAS 07 20 Ed1 Am3
IMAS 07 20 Ed1 Am3
20
First Edition
(Amendment 3, June 2013)
IMAS 07.20
First Edition
01 August 2005
Amendment 3, June 2013
Director,
United Nations Mine Action Service (UNMAS)
380 Madison Avenue, M11023
New York, NY 10017
USA
Email: [email protected]
Telephone: (1 212) 963 1875
Fax: (1 212) 963 2498
Website: www.mineactionstandards.org
IMAS 07.20
First Edition
(Amendment 3, June 2013)
Warning
This document is current with effect from the date shown on the cover page. As the
International Mine Action Standards (IMAS) are subject to regular review and revision,
users should consult the IMAS project website in order to verify its status at
(http://www.mineactionstandards.org/, or through the UNMAS website at
http://www.mineaction.org).
Copyright notice
This UN document is an International Mine Action Standard (IMAS) and is copyright
protected by the UN. Neither this document, nor any extract from it, may be reproduced,
stored or transmitted in any form, or by any means, for any other purpose without prior
written permission from UNMAS, acting on behalf of the UN.
Director
United Nations Mine Action Service (UNMAS)
380 Madison Avenue, M11023
New York, NY 10017
USA
Email: [email protected]
Telephone: (1 212) 963 1875
Fax: (1 212) 963 2498
ii
IMAS 07.20
First Edition
(Amendment 3, June 2013)
Contents
Contents ........................................................................................................................................ iii
Foreword ........................................................................................................................................ v
Introduction .................................................................................................................................... vi
Guide for the development and management of mine action contracts........................................ 1
1. Scope .................................................................................................................................. 1
2. References .......................................................................................................................... 1
3. Terms, definitions and abbreviations .................................................................................. 1
4. Mine action contracts .......................................................................................................... 2
4.1. Principles of mine action contracts ................................................................................ 3
4.2. Types of contracts .......................................................................................................... 3
4.2.1. Fixed price contracts ................................................................................................. 3
4.2.2. Cost-plus contracts ................................................................................................... 4
4.3. Selection of most appropriate type of contract .............................................................. 5
5. Structure of mine action contracts ...................................................................................... 5
5.1. Legal component of the contract.................................................................................... 5
5.2. Technical component of the contract ............................................................................. 6
5.3. Price component of the contract .................................................................................... 7
6. Compliance with IMAS and/or National Mine Action Standards ......................................... 7
6.1. Safety and Occupational Health (S&OH) ....................................................................... 8
6.2. Quality Management (QM)............................................................................................. 8
6.2.1. Accreditation of the contractor .................................................................................. 8
6.2.2. Internal QM systems ................................................................................................. 9
6.2.3. External Quality Assurance (QA) and Quality Control (QC) ..................................... 9
6.3. Specialist capabilities ..................................................................................................... 9
6.3.1. Use of Mine Detection Dogs (MDD) ......................................................................... 9
6.3.2. Mechanical demining ................................................................................................ 9
7. Selection of a mine action contractor ................................................................................ 10
7.1. Characteristics and capabilities of suitable contractors ............................................... 10
7.2. The cost of selecting a contractor ................................................................................ 11
8. The tender process ........................................................................................................... 12
8.1. Type of tender .............................................................................................................. 12
8.2. Prequalification of suitable contractors ........................................................................ 13
8.3. The Request for Tender (RFT) or Request for Proposal (RFP) .................................. 14
8.4. Clarifications during the tender period ......................................................................... 15
8.5. Submission of the tender ............................................................................................. 15
8.6. Evaluation of the tenders ............................................................................................. 15
8.7. Notification of the results of the tender ........................................................................ 16
8.8. Award of contract and negotiation with the successful contractor ............................... 16
9. Contract management....................................................................................................... 16
9.1. Responsibility for contract management...................................................................... 16
9.2. Managing contract cost ................................................................................................ 17
9.3. Managing contract time................................................................................................ 17
9.4. Effective control of contracts ........................................................................................ 18
9.5. Effective reporting ........................................................................................................ 18
9.6. Effective review ............................................................................................................ 18
9.7. Post-Contract Reviews (PCRs).................................................................................... 19
iii
IMAS 07.20
First Edition
(Amendment 3, June 2013)
iv
IMAS 07.20
First Edition
(Amendment 3, June 2013)
Foreword
International standards for humanitarian demining programmes were first proposed by working
groups at an international technical conference in Denmark, in July 1996. Criteria were
prescribed for all aspects of demining, standards were recommended and a new universal
definition of ‘clearance’ was agreed. In late 1996, the principles proposed in Denmark were
developed by a UN-led working group and the International Standards for Humanitarian Mine
Clearance Operations were developed. A first edition was issued by the UN Mine Action Service
(UNMAS) in March 1997.
The scope of these original standards has since been expanded to include the other
components of mine action and to reflect changes to operational procedures, practices and
norms. The standards were re-developed and renamed as International Mine Action Standards
(IMAS) with the first edition produced in October 2001.
The United Nations has a general responsibility for enabling and encouraging the effective
management of mine action programmes, including the development and maintenance of
standards. UNMAS, therefore, is the office within the United Nations responsible for the
development and maintenance of IMAS. IMAS are produced with the assistance of the Geneva
International Centre for Humanitarian Demining.
The work of preparing, reviewing and revising IMAS is conducted by technical committees, with
the support of international, governmental and non-governmental organisations. The latest
version of each standard, together with information on the work of the technical committees, can
be found at http://www.mineactionstandards.org/. Individual IMAS are reviewed at least every
three years to reflect developing mine action norms and practices and to incorporate changes to
international regulations and requirements.
v
IMAS 07.20
First Edition
(Amendment 3, June 2013)
Introduction
This International Mine Action Standard (IMAS) provides guidance on the development and
management of mine action contracts, including commercial and NGO, to conduct specific mine
action activities. This standard considers mine action contracting in general terms. It does not
propose a specific contract structure as the most suitable structure will be dependent on the
nature of the parties to the contract and the situation and environment in which the contracted
1
activity will be conducted. Additionally, many potential principals such as the World Bank , the
2 3
European Commission , the United Nations and major commercial organisations have their
own well-tried procedures for developing and managing mine action contracts. This standard is
not intended to replace these procedures. Rather, it is intended to highlight the key issues of the
process as guidance to those that don’t have such procedures and as an aide-memoire for those
that do. This standard does not provide specific guidance on grants or grant agreements.
The aim of this standard is to provide guidelines for the preparation of contracts for mine action
and the subsequent management of the contracted activity. Even when work is carried out
under an arrangement such as a letter of agreement rather than a formal contract, the basic
principles and considerations should be contained in that arrangement. The aim is to promote a
common and consistent approach to framing and managing contracts. This should then ensure
the inclusion of those conditions that are necessary for the generation and demonstration of high
quality management practices and operational capabilities. Such conditions will be regardless of
the size or experience of the organisations carrying out the work.
For the purposes of this standard, the term ‘principal’ has been used rather than ‘donor’, ‘client’
or similar. This has been done in recognition of the fact that the organisation seeking to
establish the mine action contract is paying a mine action organisation to achieve a particular
outcome. This holds true whether the contracting organisation is a direct beneficiary of the mine
action such as an infrastructure contractor or an indirect beneficiary such as a donor seeking an
outcome for a local community. Equally, the guidance offered in this standard applies to
commercial companies, NGOs and any other type of organisation that may be contracted to
conduct mine action activities. From a contractual point of view, no distinctions are made
between the types of contractor active in mine action. The principles of good contracting remain
relevant whether the contractor is an NGO or a commercial enterprise. However, the principal
may choose to apply the principles of contractor selection differently if there is insufficient time
for the full contracting process, such as might be the case in an emergency situation. The actual
contract should still incorporate the various issues and items identified in this standard.
vi
IMAS 07.20
First Edition
(Amendment 3, June 2013)
This standard establishes principles and provides guidance on the process of contracting, and
on the drafting of effective contracts. It examines general concepts behind the process of mine
action contracting, and identifies key issues that should be included in mine action contracts.
Although this standard focuses on demining, good and practicable contracts are required for
other components of mine action including national technical assessment missions, impact
surveys, Mine Risk Education (MRE) projects and stockpile destruction.
2. References
A list of normative references is given in Annex A. Normative references are important
documents to which reference is made in this standard and which form part of the provisions of
this standard.
A complete glossary of all the terms, definitions and abbreviations used in the IMAS series of
standards is given in IMAS 04.10. The key terms used in this Standard are also defined below.
A ‘contract’ is a formal legally binding agreement with specific terms between two or more
entities in which there is a promise to do something in return for a valuable benefit known as a
consideration.
A ‘fixed price’ contract is one in which a contractor is paid a fixed price to undertake a specific
scope of work or to provide a specific number of assets (demining teams, Mine Detection Dog
(MDD) teams or mechanical equipment) over an agreed time-frame. The fixed price covers the
whole of the works, supplies and services to be provided by the contractor.
A ‘cost-plus’ contract is one in which a contractor is reimbursed all costs incurred in undertaking
a specific scope of work and is paid an additional lump sum or fixed percentage of the
reimbursable costs.
The term ‘unit rate’ means the rates agreed and accepted for specific priced activity items and
quantities stated in the contract. Unit rates are often used in cost-plus contracts.
An ‘agreement’, as used in a legal sense, is an alternative term for a contract and includes all
the crucial elements of a contract.
A ‘letter of agreement’ is a simpler form of contract that states the essentials of the agreement
without including all the detail. It may be used as a precursor to a formal contract or, in some
cases, may be used in place of a more formal contract. Regardless of its use, it should:
a) identify both parties and the role of each within the agreement;
c) state payment terms, time expectations and other key elements of the agreement.
1
IMAS 07.20
First Edition
(Amendment 3, June 2013)
To ‘tender’ means to present to another entity an unconditional offer to enter into a contract. A
tender will normally have a specified period of validity and it may be accepted at any time during
this period.
The term ‘proposal’ means an offer for consideration or acceptance by another entity. If
accepted, a proposal is accepted in the very terms offered. It is a general rule that a proposal
may be withdrawn at any time prior to acceptance provided that notice of withdrawal is given to
the entity to whom the proposal is made.
The ‘tender process’ is the process of calling for and evaluating tenders to select a preferred
contractor.
The ‘principal’ refers to the entity that contracts another entity to undertake the required mine
action. The principal may be a donor, a National Mine Action Authority (NMAA), an organisation
acting on behalf of the NMAA, a commercial organisation or any entity that desires mine action
to be conducted and engages a mine action organisation to do so. The principal may be the
direct beneficiary of the mine action such as an infrastructure contractor or it may be an indirect
beneficiary such as a donor seeking an outcome for a local community. Strictly speaking, an
organisation does not become a principal until it enters into a contract however, for ease; this
term has been used throughout this Standard irrespective of the stage of the contract and
contract lifecycle.
The term ‘National Mine Action Authority (NMAA) refers to the government entity, often an inter-
ministerial committee, in a mine-affected country charged with the responsibility for the
regulation, management and coordination of mine action.
Note: In the absence of a NMAA, it may be necessary and appropriate for the UN, or some other
recognised international body, to assume some or all of the responsibilities, and fulfil some or
all the functions, of a MAC or, less frequently, an NMAA..
‘Risk’ is defined as… “the combination of the probability of occurrence of harm and the severity
of that harm.”
A mine action contract is a formal agreement between two or more parties that allows a mine
action activity to be implemented and conducted. The use of contracts serves three purposes.
Firstly, it binds the parties involved in the activity and gives a degree of assurance that the
activity will be carried out and that the commitments and undertakings made by the parties will
be honoured. Secondly, it clearly defines the work to be undertaken, the outcomes to be
achieved and the roles, responsibilities and interaction of the respective parties. Thirdly, it
serves to assign responsibilities to the respective parties.
There are six crucial elements to the formation of a contract. The absence of any of these
elements renders the contract invalid. The elements are:
2
IMAS 07.20
First Edition
(Amendment 3, June 2013)
a) an offer;
c) a promise to perform;
d) a valuable consideration;
There are seven principles underpinning the development of effective, efficient and appropriate
mine action contracts. These are:
a) the contract must recognise the environment and conditions in which the activity is to
be undertaken;
c) it must be realistic in its performance requirements and other obligations and must
specify them as completely as possible;
e) it should assign specific risk to that party most able and best-motivated to control it;
f) the wording of the contract should be clear, concise and unambiguous; and
There are a variety of contract types but the two primary contracts used in mine action are:
a) fixed price contracts – either for a specific scope of work to be achieved within an
agreed time-frame or for a specific number of assets to be provided over an agreed
time-frame; and
b) cost-plus contracts.
In a fixed price contract, the principal pays a fixed price to the contractor regardless of what the
contract actually costs the contractor to perform. The contractor carries all the risk of loss
associated with higher than expected costs but benefits if costs turn out to be less than
expected.
Fixed price contracts provide an incentive for the contractor to tightly manage and reduce activity
costs through increased efficiency or using the most cost-effective approaches. They also make
it easy for the principal to compare tenders assuming that all other things, including the expertise
of the tendering organisations, are equal and that the principal has been able to completely
specify the activity requirements and conditions.
3
IMAS 07.20
First Edition
(Amendment 3, June 2013)
a) the principal will usually have to pay a premium to the contractor if they are to bear
the cost-uncertainty as part of the contract price;
b) they can lead to constant haggling between the principal and the contractor as they
argue over any changes, who caused them and whether they were included in the
original specification;
c) if the quality of the work conducted by the contractor is not completely specified or
verifiable, the principal runs the risk that the contractor may seek to minimise costs
by cutting back on the quality of its output;
d) the principal may pay for work that is not carried out because more refined
information gained as the activity progresses proves it to be unnecessary; and
e) if the agreed fixed price is too low, the principal assumes the additional risk that the
contractor may be unable to fulfil contractual conditions or will use every means to
4
generate claims. The principal should consider asking the contractor to take out a
performance bond to offset the additional risk.
With a cost-plus contract, the principal reimburses the contractor for all costs and pays a
percentage of these costs as a fixed fee. The cost of overcoming any errors, omissions and
other charges is borne by the principal.
The use of cost-plus contracts has several advantages for the principal:
c) the possibility that a potential loss for the contractor will result in degraded quality or
other adverse consequences is avoided.
Cost-plus contracts may also have some serious disadvantages for the principal:
a) the total cost of the contract is uncertain and there is little incentive for the contractor
to control costs;
b) the contractor is responsible for controlling costs yet the higher the costs the higher
the contractor’s profit;
c) the contractor may be tempted to incur costs that bring benefit to other contracts they
are undertaking, such as by expanding the purchase of equipment and over-manning
to avoid training costs for other contracts or manpower layoff costs; and
d) the contracts may be more expensive for the principal because of additional contract
administration requirements.
4. S. Chapman and S. Ward, Project Risk Management – Processes, Techniques and Insights,
Chichester, 1997, p.271.
4
IMAS 07.20
First Edition
(Amendment 3, June 2013)
An additional difficulty lies in the principal and contractor agreeing and documenting exactly what
are allowable costs for a given contract. It is important that all contract related costs are
correctly identified and included. If costs such as overhead costs and managerial time are not
specifically included and reimbursed, they must be paid out of the fixed fee and the contractor
will be motivated to minimise these costs – possibly to the extent that they jeopardise the
5
success of the contract.
There is no definite rule as to the best type of contract to be used for a given mine action activity.
It will depend on the environment in which the activity will be conducted, any past relationship
between the principal and the potential contractor, the technical knowledge of the principal, the
intimate oversight the principal is able to give, and the degree to which both the principal and the
contractor are ‘risk adverse’.
For a specific activity, the most appropriate type of contract may be fixed price, cost-plus or a
combination of both. A combination contract may have a fixed price for those components of the
activity in which the requirements and operating conditions can be completely and thoroughly
specified and a cost-plus system for those components that cannot.
A mine action contract is a formal agreement between two or more parties that allows a mine
action activity to be implemented and conducted. The foundation for any mine action contract is
the plan and systems developed by the principal to implement the specific activity. It must detail
the objectives and outcomes to be achieved and the control and management systems the
principal intends to put in place as well as the legal and financial requirements of the principal
that are acceptable to the contractor.
A mine action contract can be considered to consist of three distinct but inter-related
components. These are the legal component which describes the relationship between the
parties and general requirements and obligations, the technical component which describes the
outcomes to be achieved and the manner in which the work is to be conducted and the price
component which describes the price to be paid by the principal and the payment structure and
methodology to be adopted.
The specific content of the legal component of the contract will be driven by the standard
practices and other requirements of the principal. However, as a minimum, it should contain
detail on:
e) the legal jurisdiction under which the contract is to be formed and any rules for
interpreting the agreement;
5. S. Chapman and S. Ward, Project Risk Management – Processes, Techniques and Insights,
Chichester, 1997, p.270.
5
IMAS 07.20
First Edition
(Amendment 3, June 2013)
i) any required releases and indemnities to be provided by the contractor and the
principal;
k) current and residual liabilities for both the principal and the contractor;
n) the format and requirements or milestones for the payment of contract fees;
p) the system and processes to be used for variations to the services to be provided
during the life of the contract should the need arise;
The technical component of the contract is the statement of work. The content of the statement
of work will vary depending on the nature of the contracted activity and the environment in which
the activity will be conducted but, as a minimum, it should contain detail of:
c) the role of other parties involved in the contract such as independent Quality
Assurance (QA) agencies and the principal’s representatives;
(1) the intentions of the principal and the outline structure of the contracted
activity;
6
IMAS 07.20
First Edition
(Amendment 3, June 2013)
(4) specific milestones within the life of the contract and the timeframe in which
they are to be achieved;
(7) the requirements for the production and maintenance of a contract works
programme;
(13) requirements for compliance with IMAS and/or IATG. See clause 6 below; and
(14) the development of a code of conduct which regulates the interaction with local
communities, illegal activities (sexual exploitation and abuse, sexual
harassment, prostitution, posting pornographic materials, buying copied DVDs,
among other issues), use of child labour, ethical and fair companies etc.
The structure of the price component of the contract will depend on whether the contract is to be
a fixed price, cost-plus or a combination contract. Regardless, it should include detail of:
a) the total contract price or the unit rates, including the units of measurement for each
rate;
b) the frequency and methods of payment, including advanced payments and recovery
mechanisms if relevant;
c) the milestones or actions that will act as triggers for payment; and
d) the requirement for performance bonds or similar control measures and details of
how these may be applied, including penalty clauses if relevant.
It is essential that the principal incorporates any requirements for the contractor to comply with
IMAS, IATG and/or national mine action standards of the country involved, in the contract.
7
IMAS 07.20
First Edition
(Amendment 3, June 2013)
These standards are too voluminous to attach to the contract, so they should be incorporated by
reference, and the website or location where they can be found, indicated. It is also strongly
recommended that those IMAS most relevant to the contract be specifically referred to in the
statement of work.
Even if the contracting authority has opted for a single preferred contractor under an
arrangement such as a letter of agreement, it is recommended that relevant IMAS or national
standards are applied within the terms of the agreement.
Because of the detailed nature of the requirements of these aspects of S&OH, it should be
sufficient to cite the compliance with these IMAS as required actions under the contract.
S&OH should be covered in the monitoring and evaluation carried out by the contracting
authority or their agents. The IMAS shown above, and/or national mine action standards should
be used as the benchmark to be achieved on safety-related issues. IMAS 07.40 Monitoring of
demining organisations and IMAS 07.42 Monitoring of stockpile destruction programmes cover
the monitoring of mine action activities.
All mine action activities should be carried out to the highest possible standards and this aspect
is particularly emphasised in the IMAS as part of QM. The achievement of quality in mine action
relies on a number of factors, including the following:
Although this clause refers mainly to procedures that should be adopted under contract, the
same QA/QC requirements apply to any mine action organisation, whether engaged on contract
or under an arrangement such as a letter of agreement.
8
IMAS 07.20
First Edition
(Amendment 3, June 2013)
For most mine action programmes, the NMAA will be the body providing accreditation.
International organisations such as the United Nations or regional bodies may also introduce
accreditation schemes in certain circumstances. Details of accreditation are contained in IMAS
07.30 Accreditation of demining organisations and operations. This IMAS should be referred to
in any contract or letter of agreement.
The principal should require, in all mine action contracts, that the contractor is accredited by the
mine action authority in country by a certain date in order to ensure that the contractor has
complied with all in-country requirements and that operations can start in a timely fashion.
Every mine action organisation shall establish internal QM systems, under which all aspects of
the mine action activities being carried out are checked by internal staff. This is especially
necessary if the contractor has adopted a mine action ‘system’ involving different component
parts, such as mechanical vegetation clearance to facilitate manual clearance, followed by the
use of MDD for internal QC. Each component of the ‘system’ will need QA assessment, to
ensure that it produces the best quality and reliability possible. Questions concerning the QM
system should be asked during the pre-selection process, and the requirement to set up such
systems should be incorporated in the contract or letter of agreement, and monitored during any
evaluation undertaken by the principal. Therefore mine action organisations should maintain
and make available documentation, reports, records and other data concerning their QM system
to the monitoring body.
External QA and QC are the processes under which it is confirmed that the contracted activity is
being conducted in accordance with the contract and has produced the desired results. In the
case of clearance, the national authority accepts the land as cleared by the contractor or mine
action organisation. The inspection of cleared land aims to provide confidence that the
clearance requirements have been met, and as such forms an essential part of the overall
clearance process.
When MDD are to be used as one of the assets under a contract, the specific IMAS covering the
use of dogs should be included in the contract:
When mechanical equipment or systems are to be used under a demining contract, IMAS 09.50
Mechanical demining, covering the use of mechanical equipment or systems should be included
in the contract.
9
IMAS 07.20
First Edition
(Amendment 3, June 2013)
A principal intending to establish a mine action contract may choose to select the mine action
contractor through a process of competitive tendering or by directly approaching an individual
contractor. The process of directly approaching an individual organisation is known as ‘sole-
sourcing’. In the case of a donor, they may also be approached by a contractor submitting an
unsolicited proposal. Regardless, the sole aim of selecting a mine action contractor is to engage
one that will deliver the best ‘value-for-money’ for the principal.
The decision as to whether the principal should go to competitive tender or sole-source will
depend on the organisation’s procedural and contracting requirements and its past experience
and relationship with mine action organisations. It will also depend on:
d) specific capabilities that may be necessary to counter the mine and Explosive
Remnants of War (ERW) (including unexploded sub-munitions) problem in the
contracted activity area within the timeframe and funding available for the contract;
and
e) the number of available contractors that possess and can deploy the specific
capability to the contracted activity area.
When identifying the contractors available to undertake the contracted activity, the principal
should assess the suitability of organisations against the following characteristics and
capabilities:
c) their experience with other mine action activities in the region or location of the
intended activity area;
10
IMAS 07.20
First Edition
(Amendment 3, June 2013)
m) their compliance with the requirements of relevant national government policies; and
n) their management policies and regard to social responsibilities such as their S&OH
and personnel development policies.
The accident record of any mine action organisation considered for work under contract or other
agreement should also be examined. Accidents are difficult to prevent in mine action, and a
record of a number of accidents resulting from many mine action programmes should be viewed
with caution. Indeed, an honest record of accidents may be more reassuring than an apparent
accident free record. It could indicate little experience in hazardous areas or a reluctance to
report accidents. Contracting authorities may wish to see the reports from any formal
investigations resulting from mine action incidents. When doing so evaluators should also
consider the hazardous conditions that a demining organisation has been working under. (For
example those working in an area with few mines would be in a completely different hazardous
scenario to those working in areas with bounding fragmentation mines protected by minimum
metal mines). Generally, the record of an accident describes the circumstances under which it
occurred and injuries that resulted. These records can be far more informative than the simple
fact of an accident having taken place.
The assessment of the suitability of the one or more contractors may be done as a separate
‘pre-qualification’ requirement prior to the issue of the tender documentation or it may be
conducted as part of the evaluation of the received tenders or proposals.
The principal must be aware that whatever method of selecting a contractor is decided on, it will
impose a cost on both the principal and the contractor and must be allowed for in the contracted
activity budget estimate.
a) reconnaissance, if appropriate;
b) the time and effort spent in developing a plan to meet the contract requirements;
c) the time and effort spent in the preparation of tender or proposal documents; and
11
IMAS 07.20
First Edition
(Amendment 3, June 2013)
The principal may also need to engage an external adviser if its own staff do not have the
technical expertise necessary to manage the selection process for the mine action contractor.
As a general rule, sole-sourcing imposes less of a cost on the principal in that, while they must
still rigorously evaluate the sole-source tender or proposal, it takes less time than that necessary
to evaluate of a number of competing tenders. Additionally, there is generally less expenditure
of time and effort in identifying a sole-source provider than there is in identifying a number of
suitable contractors and in dealing with those contractors that are unsuccessful in their tender.
There is however, the possible disadvantage in sole sourcing that expectations and
responsibilities will not be as clearly specified, whereas competitive selection usually results in
much clearer agreement on the statement of work, responsibilities and expectations. The
principal must decide whether the savings to be made by sole-sourcing outweigh the potential
savings and benefits to be had from competition between the contractors.
Tenders are either invited from competitors or from a sole source. Some principals insist on the
issue of international competitive tenders. Some principals and mine action authorities have a
preference for particular contractors and may prefer to offer sole source tenders.
c) what type of tender will be used (fixed cost, cost-plus or a combination of the two);
f) requirements for:
g) the issue of a Request for Tender (RFT) or Request for Proposal (RFP) by the
principal;
12
IMAS 07.20
First Edition
(Amendment 3, June 2013)
i) the principal’s evaluation of the tenders or proposals received and the selection of
the preferred contractor;
Pre-qualification may be carried out to ensure that potential contractors are reviewed; and the
ones to be finally included on the tender list are those considered most suitable for the particular
scope of work.
Pre-qualification procedures are broadly similar in many major organisations, and suitable
6
documentation is available . The process should start with the compilation of a ‘long list’ of
potential companies to be invited to pre-qualify including those who applied via local, national or
international advertising.
Pre-qualification questionnaires should be sent to the companies or NGOs identified on the ‘long
list’. The purpose of the questionnaire is to obtain answers and information in a standard format
to enable an evaluation to take place. The criteria for the pre-qualification evaluation must be
determined prior to the return of the pre-qualification questionnaires.
a) the overall experience of the bidding contractors, especially their management staff,
and the size of their recent contracts in time and monetary terms;
h) any suggestions for teaming or establishing joint ventures with local NGOs or
contractors;
i) any proposals for sub-contracting, including the identity and qualifications of major
sub-contractors;
k) outline plans for the mine action, including methodologies, safety and QM;
l) generic SOPs and their compliance with IMAS and/or national standards;
m) their financial stability, including last three years audited financial accounts; and
6. For an example, see World Bank document ‘Procurement of Works’ dated April 1993.
13
IMAS 07.20
First Edition
(Amendment 3, June 2013)
In some countries, all mine action organisations will be required to be accredited before starting
work. It is the NMAA that has the responsibility for carrying out the accreditation process, but all
candidate contractors must prepare themselves for the accreditation process.
8.3. The Request for Tender (RFT) or Request for Proposal (RFP)
The RFT or RFP is the process by which the principal seeks tenders or proposals from
contractors. The RFT or RFP may be issued by a general advertisement in a suitable mine
action publication or website or it may be issued by letter to a shortlist of known organisations.
e) the type of contract that will be established and, where possible, an example of the
contract;
l) whether opportunity exists for the contractors to submit a tender/proposal that offers
alternate methodologies or scope of work;
m) procedure on how to request clarifications from the principal on the RFT or RFP;
14
IMAS 07.20
First Edition
(Amendment 3, June 2013)
(4) formal requirements such as the number of copies of the tender/proposal and
the manner of their submission;
(5) the requirements, such as date, time and place, for the lodgement of the
tender/proposal; and
Depending on the situation, the principal may invite mine action organisations to express their
interest in tendering before sending them the formal RFT or RFP.
Once the RFT or RFP has been issued, any questions or clarifications by contractors should be
addressed in writing to the designated official of the principal indicated in the RFT or RFP
documents. The principal should ensure that none of its personnel, contract staff or mine action
authority staff respond to questions from contractors and that all queries are referred to the
designated official. All responses to queries should be in writing and addressed to all
contractors that have been invited to submit a tender/proposal.
When submitting a tender, the mine action organisation should ensure it conforms to all the
requirements of the RFT and clearly addresses the requirements of the intended contracted
activity. They should also ensure that the tender is clear, concise and easily understood and
avoid verbosity or the inclusion of superfluous information.
Once the principal has received the tenders or proposals, it must rigorously evaluate them to
identify the one offering the best value-for-money. It must be stressed that this is not necessarily
the tender with the lowest price. The evaluation should be undertaken by an evaluation
committee comprised of competent personnel who understand the nature of the activity to be
contracted and the specific capacities being requested in the RFT.
The tenders should be evaluated objectively using a scoring system that systematically checks
the responses to the questions and requirements of the RFT. The scoring system should be
transparent and should conform to that described in the RFT. It should also provide an inherent
‘weighting’ for those elements of the tender the principal considers to be the most important. It
should be possible to carry out some equalisation or normalisation of technically acceptable
tenders, even in cases where additional services or solutions are offered.
15
IMAS 07.20
First Edition
(Amendment 3, June 2013)
To ensure that tenders are assessed against value-for-money rather than lowest price, the
evaluation should be carried in two phases. The first phase should evaluate the tenderer’s
overall experience, competency and reputation, it’s technical approach to the statement of work
issued in the tender and the quality of the personnel being proposed under the tender. Only
those tenders that meet or exceed a minimum technical score should be assessed against price.
A separate assessment system should be used to evaluate the price proposals. The price
component should generally be weighted less than the technical component in order to ensure
that the principal is getting value-for-money.
The evaluation should be formalised into a tender evaluation report. This contributes to
openness, transparency and objectivity and will assist the principal in any subsequent discussion
with unsuccessful competitors.
If the principal has gone to a sole-source or has received an unsolicited proposal, it should still
go through an evaluation process to ensure that the tender or proposal meets its needs and
objectives and offers value-for-money.
Once the evaluation of the tenders has been completed and accepted, the results should be
notified in writing to all competitors as soon as possible. This is not only common courtesy but it
also allows unsuccessful competitors to refocus their attentions on other contracts.
If requested, and based on the rules of the contracting organisation, the principal should be
prepared to offer a debriefing to an unsuccessful bidder. Such a debriefing should provide
reasons for their non-selection in relation to the evaluation criteria and should provide advice on
areas in which their tender could be improved. The debriefing must focus only on the tender of
the unsuccessful bidder and must not disclose confidential information of another bidder.
The result of the tendering process is the identification of the preferred contractor. It may be
necessary to negotiate and resolve any contentious issues raised in the tender before it is
possible to award the contract. In some organizations, a contracts committee may be required
to review the tendering process prior to an official award being made. Once the principal has
awarded the contract, a final contract will be negotiated and finalized.
9. Contract management
9.1. Responsibility for contract management
The responsibility for contract management of mine action activities rests equally, although to
different degrees, with both the principal and the contractor. The principal is responsible at a
strategic level to ensure that the contractor delivers the desired outcomes in the manner
required. The contractor is responsible to manage the contracted activity at the operational level
to ensure the necessary outcomes are achieved.
It is the responsibility of those managing the contract on behalf of the principal to do the
following:
a) read and understand the entire contract, especially with regard to the obligations of
both the contractor and the principal under the contract. Carry out the contract
obligations related to the principal both at headquarters and in the field;
b) ensure that adequate work is done, unnecessary work is not done and the contract’s
purpose is achieved;
c) discuss any deviations from the statement of work with the contractor in country, and
if not resolved, then inform the principal;
16
IMAS 07.20
First Edition
(Amendment 3, June 2013)
e) carefully review the contractor’s monthly progress reports and final technical report
and ensure that these reports contain all of the information required in the statement
of work. Notify the contractor if additional information is required in any of the
reports;
f) confirm that milestones have been achieved in accordance with the contract; and
g) ensure that the IMAS or the national mine action standards are being followed and
report any breaches to the principal.
The management of cost in mine action contracts has always been important but is becoming
increasingly so as pressure on available mine action funds increases. It is essential that the
principal has an intimate understanding of the likely cost of a contract before it is initiated, refines
this cost before the contract is implemented and monitors and controls cost as the contract is
executed. Similarly, the contractor must have an intimate understanding of the likely cost before
it tenders for or proposes a contract if the tender or proposal is to be realistic. The contractor
must also closely monitor and manage costs during the contracted activity to protect both itself
and the principal. Principals and contractors should remain vigilant for any currency fluctuations
that may impact on their budgets.
The cost of the contract should be controlled by comparing the amount of work performed to
date to the actual expenditure to date. Principals and contractors should be aware of avoiding
the dual errors of:
a) using the predicted rate of expenditure with time as the baseline and comparing
actual rate of expenditure with this baseline. This fails to measure the work that has
been achieved for the expenditure to date;
b) recording the work done against expenditure to date only as invoices are paid.
Although this measure provides a reasonable comparison, it may be too late to
overcome problems. It is far more efficient to make the comparison when a cost is
actually committed. Suitable times for committing costs are;
(1) when the order is placed for significant components such as large material
items, major equipment or fixed-price sub-contracts; and
(2) when the work is done for components such as labour and bulk materials.
From the perspective of the principal, the primary purpose of managing contract time is to
ensure that the benefits resulting from the contract outcomes are achieved within a timeframe
that justifies the expenditure on the contract. It is also undertaken so the principal can predict
the necessary levels of funds at certain times to meet payment schedules and so it can co-
ordinate the contract with other supporting or complementary activities.
From the perspective of the contractor, contract time should be managed to ensure it meets the
principal’s timeframe requirements and is able to co-ordinate the efficient and effective
deployment of labour, equipment and other resources.
a) determine target dates and milestones for key components and tasks of the contract;
17
IMAS 07.20
First Edition
(Amendment 3, June 2013)
b) clearly articulate these target milestones using a GANNT Chart, Cascade Bar Chart
or similar tool;
d) measure the variance between the target milestones and the actual progress; and
It should be borne in mind that, in most cases, lateness does not cause the contract to fail
completely, however it may significantly reduce the benefits resulting from the contract.
As the contracted activity progresses, control must be exercised to ensure that the desired
objectives and outcomes are delivered to the quality required and within the cost and timeframe
it was thought necessary to make their delivery worthwhile. An effective system of control allows
progress to be regularly checked and action to be taken to overcome any deviations from the
plan.
c) compare results achieved to the plan and forecast future results; and
d) plan and take effective action to recover the original plan or to minimise any
variance.
To be effective, the contract reporting system should meet the following criteria:
a) reports should be made against the contract performance plan and its milestones;
c) the reports and the reporting system should be as simple as possible and take as
little time as possible to complete; and
Reports should be reviewed and analysed by the principal or the principal’s agent to ensure that
problems and other key information that is provided is noted and acted upon. As such, all
reports must be reviewed against the contract performance plan with variances and other key
information analysed and solutions developed and acted upon.
The principal should also give consideration to conducting a series of periodic visits to the
contracted activity area to monitor and review progress and performance. If such visits are
undertaken, they should be conducted by personnel with the technical expertise to accurately
assess technical and general progress and performance. Additionally, the first visit should be
undertaken sufficiently early in the contract to allow any problems to be remedied before the
success of the contract is jeopardised.
18
IMAS 07.20
First Edition
(Amendment 3, June 2013)
PCRs are a valuable tool in the development and improvement of an organisation’s ability to
plan, manage and carry out mine action contracts. The aims of a PCR are to compare the
outcomes achieved and the manner in which they were achieved with the original contract plan,
to identify the strengths and weaknesses of the contract and to identify and communicate the
lessons to be learned.
a) clearly and accurately identify the actual results and outcomes of the contract and
compare these to the original plan;
c) compare the final costs and benefits resulting from the contract for feeding back into
the organisation’s processes for estimating and selecting future contract; and
d) review the successes and failures of the contract and the lessons to be learned for
feeding back into the organisation’s process for managing future contract.
It is essential that the PCR is distributed to and acted upon by all relevant people within the
principal’s and contractor’s organisations and to key people among other stakeholders in the
contract. This process may benefit from a meeting of all relevant personnel to discuss the
findings of the PCR and to develop a plan to implement its recommendations.
10. Responsibilities
10.1. United Nations
The United Nations has a general responsibility for ensuring the establishment of a regime
conducive to the effective management of mine action programmes by continuously refining
IMAS to reflect developing mine action norms and practices. This may involve the incorporation
of changes to international regulations and requirements such as those produced by the
International Organisation for Standardisation (ISO) and the International Labour Organisation
(ILO). UNMAS is the office within the United Nations Secretariat responsible to the international
community for the development and maintenance of IMAS, including this standard.
The United Nations applies IMAS to its mine action programmes, activities and contracts unless
the local situation precludes their effective use. In such circumstances, when one or more IMAS
is not appropriate, the UN provides alternative specifications, requirements and guidance.
19
IMAS 07.20
First Edition
(Amendment 3, June 2013)
The NMAA, or the organisation acting on its behalf, is responsible for ensuring the national and
local conditions that enable the effective management of mine action. The NMAA is ultimately
responsible for all phases of mine action related contracted activities within its national
boundaries, including defining the clearance requirement, the accreditation of demining
organisations, the monitoring of demining organisations during clearance, and post-clearance
inspections prior to accepting full responsibility for the cleared land. This also applies to MRE
and in some cases victim assistance contracted activities.
The NMAA is responsible for establishing and maintaining national regulations and procedures
for the management of mine action operations. These procedures should be consistent with
IMAS, other relevant national and international standards, regulations and requirements.
In certain situations and at certain times it may be necessary and appropriate for the UN, or
some other recognised international body, to assume some or all of the responsibilities, and fulfil
some or all of the functions, of a NMAA.
10.3. Donors
Donor agencies are part of the management process, and as such have a responsibility to
ensure that the contracts they are funding are managed effectively, and in accordance with
international standards. This involves strict attention to the writing of contract documents, and
ensuring that demining organisations chosen to carry out such contracts meet the accreditation
criteria. Donors can take an active role, where applicable, in ensuring the sequential
continuation of contracts to minimise the ‘cost’ of demobilising and remobilising demining
organisations. Donors, or their agents, are also partly responsible for ensuring that the
standards and guidelines for QM are applied. This responsibility and accountability is even
greater when the NMAA is in the process of formation, and has not had the opportunity to gain
experience.
10.4. Contractors
Where the NMAA is in the process of formation, the mine action organisation is also responsible
for assisting the formation process, by giving advice and assistance including the framing of
national standards.
The Host Government, through the NMAA, ultimately accepts residual liability for the cleared
land once the full process of clearance has been undertaken. It is necessary for this acceptance
to be agreed by the Host Government as a pre-condition for the commencement of mine action.
It should also ensure that the NMAA has, or has contracted, the staff and skills needed to
undertake the external QA/QC.
It is also the responsibility of the Host Government to ensure that conditions are established that
are conducive to the conduct of successful mine action in the country. Conditions could include
advantageous labour laws, tariffs and duties, accreditation fees, social security including sound
maternity and paternity leave policies and heath benefit costs, all of which may have the
potential to divert donor funding from operational mine action processes. The Host Government
should also ensure the maintenance of a secure workplace for mine action, and freedom from
interruption by military or other agencies. It is recommended that agreements are reached on
these conditions between the donor, the Host Government and the contractor, and that any
changes required by the Host Government which impact on the planned costs to the contractor
are discussed and agreed by the donor.
20
IMAS 07.20
First Edition
(Amendment 3, June 2013)
Annex A
(Normative)
References
The following normative documents contain provisions, which, through reference in this text, are
relevant to this standard. For dated references, subsequent amendments to, or revisions of, any
of these publications do not apply. However, parties to agreements based on this part of the
standard are encouraged to investigate the possibility of applying the most recent editions of the
normative documents indicated below. For undated references, the latest edition of the
normative document referred to applies. Members of ISO and IEC maintain registers of
currently valid ISO or EN:
The latest version/edition of these references should be used. GICHD hold copies of all
references used in this standard. A register of the latest version/edition of the IMAS standards,
guides and references is maintained by GICHD, and can be read on the IMAS website
(http://www.mineactionstandards.org/). NMAA, employers and other interested bodies and
organisations should obtain copies before commencing mine action programmes.
21
IMAS 07.20
First Edition
(Amendment 3, June 2013)
Annex B
(Informative)
The process of contracting for mine action
Identification of the
need for mine action
Competitive no
tendering?
yes
Evaluate
Tender
Award
Contract
Manage Contract
and Contracted Activity
Conduct
Post-Contract Review
22
IMAS 07.20
First Edition
(Amendment 3, June 2013)
Amendment record
Management of IMAS amendments
The IMAS series of standards are subject to formal review on a three-yearly basis, however
this does not preclude amendments being made within these three-year periods for reasons of
operational safety and efficiency or for editorial purposes.
As amendments are made to this IMAS they will be given a number, and the date and general
details of the amendment shown in the table below. The amendment will also be shown on
the cover page of the IMAS by the inclusion under the edition date of the phrase ‘incorporating
amendment number(s) 1 etc.’
As the formal reviews of each IMAS are completed new editions may be issued. Amendments
up to the date of the new edition will be incorporated into the new edition and the amendment
record table cleared. Recording of amendments will then start again until a further review is
carried out.
The most recently amended IMAS will be the versions that are posted on the IMAS website
at www.mineactionstandards.org.
23