Socialist Republic of Viet Nam: Greater Mekong Subregion Corridor Towns Development Project

Transcription

1 Project Administration Manual Project Number: Loan and/or Grant Number(s): {LXXXX; GXXXX} November 2012 Socialist Republic of Viet Nam: Greater Mekong Subregion Corridor Towns Development Project i

2 Contents ABBREVIATIONS I. PROJECT DESCRIPTION 1 II. IMPLEMENTATION PLANS 4 A. Project Readiness Activities 4 B. Project Readiness Filters 4 C. Overall Project Implementation Plan 6 III. PROJECT MANAGEMENT ARRANGEMENTS 8 A. Project Implementation Organizations Roles and Responsibilities 8 B. Key Persons Involved in Implementation 9 C. Project Organization Structure 12 D. Project Management Support 13 E. Preparation of Dong Ha Master Plan 20 IV. COSTS AND FINANCING 22 A. Detailed Cost Estimates by Expenditure Category ($ million) 24 B. Allocation and Withdrawal of Loan and Grant Proceeds 25 C. Detailed Cost Estimates by Financier ($ million) 27 D. Detailed Cost Estimates by Outputs/Components ($ million) 28 E. Detailed Cost Estimates by Year ($ million) 29 F. Contract and Disbursement S-curve 30 G. Fund Flow Diagram 31 V. FINANCIAL MANAGEMENT 32 A. Financial Management Assessment 32 B. Disbursements 34 C. Accounting 36 D. Auditing 36 VI. PROCUREMENT AND CONSULTING SERVICES 38 A. Advance Contracting 38 B. Procurement of Goods, Works and Consulting Services 38 C. Procurement Plan 39 D. National Competitive Bidding 50 E. Outline Term of Reference for Consultants 55 VII. SAFEGUARDS 57 A. Environment 57 B. Land Acquisition and Involuntary Resettlement 58 C. Indigenous Peoples 58 VIII. GENDER AND SOCIAL DIMENSIONS 60 IX. PERFORMANCE MONITORING, EVALUATION, REPORTING AND COMMUNICATION 62 A. Project Design and Monitoring Framework 62 B. Monitoring 65 C. Evaluation 66 D. Reporting 66 V ii

3 E. Stakeholder Communication Strategy 67 X. ANTICORRUPTION POLICY 78 XI. ACCOUNTABILITY MECHANISM 78 XII. RECORD OF PAM CHANGES 78 A. Introduction 79 B. Objectives and Scope of the Services 79 C. Consultant s Inputs, Scope of Services and Qualifications 80 List of Appendixes 1. Outline Terms of Reference for Consultants 79 iii

4 Project Administration Manual Purpose and Process 1. The project administration manual (PAM) describes the essential administrative and management requirements to implement the project on time, within budget, and in accordance with Government and Asian Development Bank (ADB) policies and procedures. The PAM should include references to all available templates and instructions either through linkages to relevant URLs or directly incorporated in the PAM. 2. The Provincial People s Committee (PPC) of Quang Tri Province and the PPC of Tay Ninh Province in Viet Nam are wholly responsible for the implementation of ADB financed projects, as agreed jointly between the borrower and ADB, and in accordance with Government and ADB s policies and procedures. ADB staff is responsible to support implementation including compliance by PPCs of their obligations and responsibilities for project implementation in accordance with ADB s policies and procedures. A. At Loan Negotiations, the borrower and ADB shall agree to the PAM and ensure consistency with the Legal agreements. Such agreement shall be reflected in the minutes of the Loan Negotiations. In the event of any discrepancy or contradiction between the PAM and the Legal Agreements, the provisions of the Legal Agreements shall prevail. 3. After ADB Board approval of the project's report and recommendations of the President (RRP) changes in implementation arrangements are subject to agreement and approval pursuant to relevant Government and ADB administrative procedures (including the Project Administration Instructions) and upon such approval they will be subsequently incorporated in the PAM. iv

5 Abbreviations ADB = Asian Development Bank ADF = Asian Development Fund AFS = audited financial statements CQS = consultant qualification selection DMF = design and monitoring framework EARF = environmental assessment and review framework EIA = environmental impact assessment EMP = environmental management plan B. ESMS = environmental and social management system GACAP = governance and anticorruption action plan GDP = gross domestic product ICB = international competitive bidding IEE = initial environmental examination IPP = indigenous people plan IPPF = indigenous people planning framework LAR = land acquisition and resettlement LIBOR = London interbank offered rate NCB = national competitive bidding NGOs = nongovernment organizations PAI = project administration instructions PAM = project administration manual PIU = project implementation unit QBS = quality-based selection QCBS = quality- and cost-based selection RRP = report and recommendation of the President to the Board SBD = standard bidding documents SGIA = second generation imprest accounts SOE = statement of expenditure SPS = Safeguard Policy Statement SPRSS = summary poverty reduction and social strategy TOR = terms of reference v

6 II. PROJECT DESCRIPTION 1. The improved transport connectivity among the Greater Mekong Subregion (GMS) countries intensified urban linkages and established a solid foundation for more efficient movement of people, goods, and services. It significantly led to increased trade and commerce in the border districts and corridor towns. The towns and cities along the East West Economic Corridor (EWEC) and the Southern Economic Corridor (SEC), which link Viet Nam with Cambodia and Lao People s Democratic Republic (Lao PDR), are well positioned to serve as dynamic centers of investment and economic growth. Given the tremendous economic opportunities, the corridor towns are now faced with the challenge of meeting the demands for urban infrastructures and essential support services amidst the rapid growth of the urban population and expansion of urban areas. With the proper enabling environment for strategic local economic development, provision of adequate infrastructures, and institutional capacity to manage future development, the corridor towns are expected to attract public sector investments in urban environment infrastructure and encourage private sector interest in urban economic infrastructures. 2. Project Areas. Three corridor towns were selected as project areas: Dong Ha and Lao Bao in Quang Tri Province and Moc Bai in Tay Ninh Province. 3. Dong Ha is located on Viet Nam's east coast, north of the historic city of Hue and the port city of Da Nang. This corridor town is the provincial center of political, cultural, and economic activities in Quang Tri Province. It is located on the intersection of National Road 1A and Road 9 which provide the transport connectivity and easy access to Lao PDR and Thailand through the Lao Bao-Dansavanh Border. The strategic location of Dong Ha made it the leading regional trade and investment center along the EWEC. 4. Lao Bao is a border town along the EWEC, which is an important trade and traffic link between Viet Nam, Lao PDR, and Thailand. The town is developing rapidly as an industrial township for export processing of consumer articles. Within the town center is the Lao Bao Border Gate Special Economic and Trade Zone, which is stimulating economic activities and providing gainful employment among local population. 5. Moc Bai is a newly emerging destination for large manufacturers as well as small and medium enterprises outside Ho Chi Minh City. The national and provincial government designated the town, which is located at the border of Viet Nam and Cambodia along the SEC, as an economic trade zone of Tay Ninh Province. The establishment of the SEC has attracted manufacturing and industry locators, providing economic opportunities to local residents and migrant workers. 6. Special Features. The project has three special features: (i) support for regional development in the GMS (and ASEAN) through the creation of growth engines in corridor towns across the GMS countries; (ii) recycling of solid waste through the innovative materials recovery facilities (MRFs) for waste segregation, with cofinancing from the Urban Environmental Infrastructure Fund (UEIF) of the Urban Financing Partnership Facility (UFPF); and (iii) support for increased decentralization by strengthening provincial and district authorities. 1 1 Additionally, private sector investments in dry ports and logistics facilities is stimulated by the project in Moc Bai and Dong Ha. TA 7644-REG has supported preparation of prefeasibility studies for these private investments. 1

7 7. Impact and Outcome. The expected impact of the project is for Dong Ha City, Lao Bao, and Moc Bai to become dynamic economic growth centers in the EWEC and SEC. The expected outcome is adequate urban infrastructure services in Dong Ha City, Lao Bao and Moc Bai that will operate efficiently. 8. Outputs. The key Project outputs: (i) endorsement of strategic local economic development plans (SLEDPs), (ii) priority urban infrastructure investments, and (iii) capacity development, including a master plan for Dong Ha City. The priority subprojects in the three corridor towns are outlined in Table 1. Table 1: Subprojects of Priority Infrastructure Investments Subproject and Location 1. Dong Ha Urban Roads 2. Dong Ha River Embankment 3. Dong Ha River Port Rehabilitation 4. Dong Ha Materials Recovery Facility 5. Lao Bao Urban Roads 6. Lao Bao Solid Waste Management Subproject Component The improvement and widening of 22 kilometers (kms) of urban roads. The construction of drainage structures, sidewalks, median road, installation of lighting facilities and planting of trees The construction of around 6 kms slope protection structures along the Dong Ha river embankment. The construction of walkways and lighting system including the enhancement measures of the urban landscape. The rehabilitation of existing wharf facility and provision of logistics equipment The construction of interior roads, field office, installation of power, water supply utilities and sewerage system. The installation of a materials recovery facility next to the existing sanitary landfill. The establishment of composting operations The improvement and widening of around 22 kms urban roads. The construction of roadside drainage structures and sidewalks. The establishment of a sanitary landfill in a 20 hectare area. Description The subproject will provide ease of access and mobility of residents to social and economic services. It will enhance the competitiveness of Dong Ha City for private sector investments and contribute to its development vision as a dynamic center for increased trade and commerce in the East West Corridors. The subproject will protect the river embankment from perennial erosion and mitigate flooding of adjacent areas. Walkways and available commercial spaces along the embankment will provide economic opportunities for the private sector and will enhance aesthetic features for tourism promotion. The improved port facilities and utilities will boost trading and commercial activities and attract private sector investments. It will contribute to the collection of revenues from increased volume of goods and products coming from adjacent provinces and neighboring countries. It will support the operation and management (O&M) of the port facilities. The estimated volume of goods to be serviced by the port may reach 100, ,000 tons per year. This subproject will promote sound environmental practices in the recycling and segregation of solid waste. It will support composting of solid waste in to reusable materials. The subproject will provide ease of access and mobility of local residents to social and economic services. It will open up new residential areas and business center. It will attract private sector investments in the Special Economic and Trade Zone and will stimulate economic activities with the expected increase in the trade and investment. The subproject will improve solid waste collection, transport and disposal system in the town center. It will mitigate adverse effects of inadequate solid 2

8 Subproject and Location 7. Moc Bai Water Supply 8. Moc Bai Urban Roads 9. Moc Bai Wastewater Treatment 10. Moc Bai: Materials Recovery Facility Subproject Component The construction of access road and related facilities for the sanitary landfill. The expansion of water pipelines; the establishment water supply plant with capacity up to 7,000 cubic meters per day. The installation of water connections for household and commercial users. The improvement and widening of around 13 kms urban road within the town center. The construction of drainage structures, median road, walkways, installation of lighting facilities, and planting of trees. The establishment of waste water treatment plant with capacity up to 9,000 cubic meters per day. The installation of wastewater drainage networks, booster pump station and sewage transmission pipelines The installation of a materials recovery facility at the existing dumpsite. Description Waste management resulting in unsanitary environment. It will contribute to making Lao Bao a competitive town for private sector investments. The subproject will improve and expand the water supply system to service additional households and commercial users. It will contribute to improved urban environmental conditions and mitigate health risks due to inadequate water supply. It will attract encourage more private sector investments in the Tay Ninh Economic Zone. The subproject will provide ease of access and mobility of local residents to social and economic services and will contribute in stimulating increased economic activities in the town center. It will open up new areas for residential and commercial establishments. It will transform Moc Bai into competitive town for increased trade and investment along the Southern Economic Corridor. The subproject will improve the collection, disposal and treatment of wastewater to mitigate adverse effects of contamination of the local environment. It will bring about social benefits to local residents who would stand to benefit from efficient collection and disposal of wastewater. It will also provide social and economic benefits to commercial establishments and industry locators. This subproject will promote sound environmental practices in the recycling and segregation of solid waste. It will support composting of solid waste into reusable materials. After the completion of the Materials Recovery Facilities (MRF) and the purchase of the necessary equipment, the Provincial People s Committee (PPC) of Tay Ninh will assign the operation and maintenance (O&M) of the MRF to Green Environment Company (GEC). GEC shall operate the facility in accordance with the O&M manual prepared during the detailed engineering design stage and the environmental plan prepared during the feasibility study. Details of the arrangement between PPC of Tay Ninh and the Urban Environment Company (URENCO) will be worked out prior to the turnover of the facility. 3

9 III. IMPLEMENTATION PLANS Indicative Activities Establish project implementation arrangements (PMU/PIUs) Provide budget allocation for government counterpart Request advance contracting for project startup activities for: a. Recruitment of project management support consultants; b. capacity development and training consultants ADB Board approval Loan signing A. Project Readiness Activities M J J A S O N D J F M A M J PPC Quang Tri, PPC Tay Ninh PPC Quang Tri, PPC Tay Ninh PPC Quang Tri, PPC Tay Ninh Responsible PPC Quang Tri, ADB ADB MoF, PPC, ADB Loan effectiveness ADB, PPC ADB = Asian Development Bank, PMU = Project Management Unit, PSU = Project Support Unit, PPC= Provincial People s Committee, MoF = Ministry of Finance. B. Project Readiness Filters Processing Stage ADB Filters GOV Filters Project Identification Included in the Country Partnership Strategy approved by President/Vice President [completed] Included in the MPI s ODA Requesting List [completed] Project Concept Project Preparation and Design By Fact-finding Before Loan Negotiations Reconnaissance mission and signed MOU between mission and EA [completed] Concept Note cleared by Vice President [completed] Consultants with required expertise available to assist EA [completed] Assessment of technical and financial capacity undertaken [completed] Safeguard compliance and fiduciary measures undertaken [completed] Steps for advance actions undertaken [ongoing] Consultant s Draft Final Report completed [Completed] Draft Project PAM completed, including RP, EMP, IEE, and other action plans as required [completed] Draft RRP completed [completed] Draft Subproject Feasibility Studies [completed] TOR for implementing/project management consultants completed [completed] RP, EMP, IEE, approved by relevant GOV authorities [Completed] Content of PAM and RRP endorsed Signed MOU between reconnaissance mission and EA [completed] Counterpart staff and contributions approved by EA and available [completed] Job description of staff and organizational structure approved by EA [completed] Feasibility Studies and Safeguards Documents to be approved by Executing Agency 4

10 Processing Stage ADB Filters GOV Filters during SRM/MRM [Completed] (Line Ministry/PPC) [completed] Land acquisition and resettlement issues identified [completed] Project Detailed Outline approved by Prime Minister [completed] Loan negotiations Content of PAM and RRP discussed and agreed upon by ADB and GOV [Completed] First year counterpart funds confirmed by GOV [Completed] For some projects bid docs can be prepared in advance upon approval by ADB First year counterpart funds confirmed by GOV PMU officially established [Completed] After Loan Negotiations By Loan Signing Loan Effectiveness Invitation for EOIs cleared by ADB/COSO Minutes of negotiations between ADB and GOV signed Evaluation of consultants finalized Upon receiving notice from SBV, ADB declares loan effectiveness Consultant recruitment completed up to contract negotiations and draft negotiated contract submitted to ADB for approval EA may invite EOIs, followed by shortlisting of consultants to be submitted for ADB/COSO approval Minutes of negotiations between ADB and GOV signed Evaluation of consultants finalized Based on legal opinion issued by MOJ, SBV notifies ADB Project is ready for full implementation upon declaration of loan effectiveness ADB = Asian Development Bank, EA = executing agency, EMP = environment management plan, EOI = expression of interest, GOV = Government of Viet Nam, MOJ = Ministry of Justice, PAM = project administration manual, RP = resettlement plan, SBV = State Bank of Viet Nam, TOR = terms of reference. 5

11 C. Overall Project Implementation Plan Loan signing Loan effectivity A. Lao Bao Urban Road Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works Solid Waste Management Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works Procurement of equipment B. Dong Ha River Embankment Protection Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works River Port Rehabilitation Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works Urban Road Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works Materials Recovery Facility Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works C. Moc Bai Water Supply Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works Procurement of equipment Waste Water Treatment Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works Procurement of equipment Urban Road Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works Materials Recovery Facility Detailed engineering design Land acquisition and resettlement Prequalification and bidding Construction of civil works

12 D. Project Management Support Prequalification, selection & awarding of consultants Mobilization Implementation support E. Capacity Development and Training Technical Assistance to Urban Development Planning - Dong Ha Prequalification, selection & awarding of consultants Mobilization Implementation of technical assistance and training Training F. Preparation of Dong Ha City Master Plan Prequalification, selection & awarding of consultants Mobilization Preparation of Master Plan G. Financial Audit Prequalification, selection & awarding of consultants Mobilization Annual audit H. Independent Monitoring Prequalification, selection & awarding of consultants Mobilization Annual monitoring I. PMU Support 7

13 IV. PROJECT MANAGEMENT ARRANGEMENTS A. Project Implementation Organizations Roles and Responsibilities Project Organization Provincial People s Committee of Quang Tri Province Provincial People s Committee of Tay Ninh Province Quang Tri Provincial Department of Planning and Investment Tay Ninh Province Economic Zone Authority Roles and Responsibilities Executing Agencies (EAs) The Provincial People s Committee of Quang Tri Province will be the lead EA Assume overall responsibility for Project implementation and establishment of Project Management Unit (PMUs). Approve medium term and annual rolling plans for Project implementation Ensure compliance with Loan and Grant Covenants and provision of Government counterpart fund allocation Approve procurement plans. Approve proposed actions in the event of adverse financial audits or monitoring and evaluation reports Select Consultant for Project Management Support and Capacity Development Quang Tri Provincial Department of Planning and Investment Establish and manage the Project s imprest accounts Submit contract awards and disbursement projections including withdrawal applications to ADB Submit audited project accounts and audited financial statements to ADB Approve bidding documents, bid evaluation and contract awards Submit regular quarterly and annual project progress reports to ADB Submit updated resettlement plans for ADB concurrence prior to implementation Ensure compliance with ADB s social and environmental policies and guidelines during project implementation Project Management Units (PMUs) Coordinate and monitor Project activities of the Sub-Project Implementing Agencies Support Project Implementation Unit (PIU) in carrying out the approved annual rolling plans Prepare bidding documents and bid evaluation reports Prepare procurement plans The PMU will handle procurement and contract management, while the PIUs help with supervision of civil works Coordinate in providing capacity development program for PIUs Obtain necessary approvals from Departments and Tay Ninh Economic Zone Authority prior to awarding of civil works contracts Support PIUs in the implementation of environmental management plans (EMPs) Coordinate regular reporting of Sub-Project Implementing Agencies to EA on EMP implementation Coordinate the implement the Project s Consultation and Participation Plan, Social Development Plan and Gender Action Plan Undertake regular quality control inspection of Project facilities Manage the handover of Project facilities to agencies responsible for operation and maintenance Undertake monitoring activities in compliance with DMF and other project related documents such as EMP, RP and GAP. 8

14 Project Organization In Dong Ha: Dong Ha City People s Committee In Lao Bao: Huong Hoa District People s Committee Tay Ninh Economic Zone Authority Asian Development Bank Roles and Responsibilities Project Implementation Units (PIU) (will be established if and when required) Cooperate with PMU to undertake day to day management of Project activities Cooperate with PMU to supervise civil works contractors. Ensure that EMPs are incorporated in detailed designs and included in civil works contracts Ensure implementation of EMP, submit regular monitoring reports to EA and PMU Coordinate the updating of the Resettlement Plans and monitor implementation of resettlement activities by the respective corridor towns and submit monitoring reports to EA and PMU Undertake monitoring with disaggregation of data by sex and income group as required by the Projects design and monitoring framework. Project Financier Conduct semi-annual reviews to assess: (i) overall project implementation; (ii) land acquisition and resettlement; (iii) environmental management; (iv) project expenditures, disbursement and counterpart funding; (v) procurement and contract awards; (vi) compliance with loan covenants; and (vii) probability of attaining Project outputs and outcome Review and approve procurement and disbursement documents Regularly update project performance review reports Conduct mid-term review to: (i) assess need to restructure or reformulate the project, (ii) update the Project s design and monitoring framework, and (iii) examine if extension of loan closing date is necessary Conduct Project completion mission. B. Key Persons Involved in Implementation Executing Agency PPC of Quang Tri Province PPC of Tay Ninh Province Officer's Name : Mr. Mai Thuc Position : Vice Chairman of People s Committee of Quang Tri province Office Address : 45 Hung Vuong - Dong Ha - Quang Tri address : maithuc@quangtri.gov.vn Telephone No. Fax No. : Officer's Name : Mr. Nguyen Thao Position : Vice Chairman of People s Committee of Tay Ninh province Office Address : 36 Tran Hung Dao Street, Ward 2, Tay Ninh Town, Tay Ninh Province address : nguyenthao@tayninh.gov.vn Telephone No. : Project Management Unit Provincial Department of Planning and Investment Officer's Name Position Office Address : Mr. Tran Duc Tam : Director of Provincial Department of Planning and Investment : 45 Hung Vuong - Dong Ha - Quang Tri 9

15 address : ductamhl@gmail.com Telephone No. : Officer's Name : Mr. Phan Minh Thanh Position : Deputy Chief of Tay Ninh Economic Zone Authority Office Address : Lac Long Quan Street, Ward 4, Tay Ninh Town Tay Ninh Province address : pmthanh2007@yahoo.com.vn Telephone No. : , Project Implementation Unit (PIU) Officer's Name : Mr. Duong Thanh Van Position : Head of Investment Management Division of Tay Ninh Economic Zone Authority Office Address : Lac Long Quan Street, Ward 4, Tay Ninh Town Tay Ninh Province address : v_duongthanh@yahoo.com Telephone No. : , Officer's Name : Mr. Nguyen Xuan Anh Position : Chairman of People s Committee of Dong Ha City Office Address : 01 Huyen Tran Cong Chua Dong Ha City address : nguyenxuananh@quangtri.gov.vn Telephone No. : Officer's Name : Mr. Nguyen Ngoc Sac Position : Chairman of People s Committee of Huong Hoa district Office Address : 148 Le Duan - Khe Sanh - Huong Hoa - Quang Tri Telephone No. : Officer's Name : Mr. Vo Minh Tam Position : Chairman of Ben Cau District People s Committee Office Address : Quarter 1, Ben Cau Town, BC District Tay Ninh Province Telephone No. : address : ubnd_bencau@tayninh.org.vn Officer's Name : Mr. Phan Minh Thanh Position : Deputy Chief of Tay Ninh Economic Zone Authority Office Address : Lac Long Quan Street, Ward 4, Tay Ninh Town Tay Ninh Province address : pmthanh2007@yahoo.com.vn Telephone No. : , Asian Development Bank Officer's Name : Ms. Amy S.P. Leung Position : Director, Urban Development and Water Division, Southeast Asia Department 10

16 Office Address : 6 ADB Avenue, Mandaluyong City 1550 Metro Manila, Philippines address : aleung@adb.org Telephone No. : /5613 Officer's Name : Mr. Florian Steinberg Position : Senior Urban Development Specialist Urban Development and Water Division, Southeast Asia Department Office Address : 6 ADB Avenue, Mandaluyong City 1550 Metro Manila, Philippines address : fsteinberg@adb.org Telephone No. : Officer's Name : Mr. Vo Truc Dien Position : Senior Project Officer, Viet Nam Resident Mission Office Address : 23 Phan Chu Trinh, Hoan Kiem, Ha Noi, Viet Nam address : vtdien@adb.org Telephone No. : Officer's Name : Ms. Abigail D. Garrovillas Position : Associate Project Officer Urban Development and Water Division, Southeast Asia Department Office Address : 6 ADB Avenue, Mandaluyong City 1550 Metro Manila, Philippines address : agarrovillas@adb.org Telephone No. :

17 C. Project Organization Structure Asian Development Bank (ADB) Government of Viet Nam Executing Agency Quang Tri Provincial People s Committee (Lead) Executing Agency Tay Ninh Provincial People s Committee Project Steering Committee (PSC) Project Management Unit (PMU) Project Management Unit (PMU) Project Management Support Consultant Project Implementation Unit (PIU) Dong Ha City People s Committee (to be established when required) Project Implementation Unit (PIU) Huong Hoa District People s Committee (to be established when required) Project Implementation Unit (PIU) Tay Ninh Economic Zone Authority (to be established when required) Contractors, Suppliers, Service Providers and Beneficiaries 12

18 D. Project Management Support 9. The Project will provide management support and assistance to the EAs in Quang Tri Province and in Tay Ninh Province through the respective Project Management Units (PMUs). This is intended to ensure that project implementation will fully comply with the national government regulations and with ADB s policies and operational requirements in terms of financial management, fund disbursement, procurement procedures, social and environment safeguards, and operation and maintenance (O&M). 10. A team of international and national consultants will be recruited by the EA to provide management support during Project implementation. The consultants will be engaged on an intermittent input basis during the 6-year Project period. The recruitment of the consultants will be undertaken in accordance with ADB s Guidelines on the Use of Consultants (2010, as amended from time to time). 11. Capacity development and training consultants will be contracted to provide to support the EAs in Quang Tri Province and in Tay Ninh Province. The recruitment of the consultants will be undertaken in accordance with ADB s Guidelines on the Use of Consultants (2010, as amended from time to time). The recruitment of these consultants will be coordinated by the Lead EA, Quang Tri Province. 12. The outline Terms of Reference for the project management support consultants, capacity development and training consultants, financial auditor and independent monitoring organization including the scope of services and qualification requirements of each of the consultant are presented in Appendix The EAs for this project are the Provincial People s Committees (PPCs) of Quang Tri Province and Tay Ninh Province. Quang Tri Province will act as lead EA. Department of Planning and Investment (DPI) for Quang Tri and Tay Ninh province Economic Zone Authority are the implementing agencies (IAs). A project steering committee (PSC) will be created to provide overall policy guidance and oversee implementation following the objectives and scope of the project. The PSC will be chaired by the chairman or in his absence, the vice-chairman of the PPC Quang Tri Province. The vice chairman of PPC Tay Ninh Province will also serve as vice chairman of PSC. The provincial director of DPI Quang Tri Province will serve as the standing vice chairman. The PMU will be established in Quang Tri Province and Tay Ninh Province and will be managed by the Quang Tri DPI and Tay Ninh Economic Zone Authority. Project implementation units (PIUs) will be established if and when required) within the Dong Ha People s Committee and in the Huong Hoa People s Committee; the PIU for Moc Bai will be established in the Tay Ninh Border Trade Economic Zone Authority. 14. An independent financial auditor and an independent monitoring organization will be engaged by the Lead EA. 1. Capacity Needs Assessment 15. The PMU through the assistance of the capacity development and training consultants will undertake a capacity needs assessment of designated Project staff (EAs, PMUs and PIUs). The assessment will focus on the specific technical and administrative requirements for managing and implementing urban infrastructure such as water supply system, wastewater treatment plants (WWTPs), solid waste management and sanitary landfill, river embankment protection, and urban roads. Capacity assessment will also be conducted on financial 13

19 management and fund disbursement, procurement management, social and environmental safeguards, and monitoring and evaluation. 16. Based on the results of the assessment, the capacity development and training consultants will work closely with the PMU in updating the capacity development plan and in preparing the activity designs for the conduct of workshop events and seminars, required training program and capacity building interventions. The updated capacity development plan will be presented to the EA for approval and endorsement. 17. The PMUs will establish networks with training institutions and human resource development learning centers for the conduct of capacity building events. Participants from the other concerned ministries and institutions and from the private sector will be invited to attend the seminars and workshop events organized under the Project. 2. Developing Capacities for Project Management 18. Among the important lessons from ADB's experience in the urban development sector include the need to strengthen institutional capacities and skills in project implementation and management as part of project start up activities. The initial assessment of the capacities of EAs in terms of project management and implementation indicated the need for capacity development and training support related to work and financial planning, administrative management procedures, coordination and networking approaches, public awareness methods and the website development and management. The content and description of the capacity building and training programs include the following: Content and Description Work and Financial Planning. This is a series of workshops and follow-through onthe-job sessions designed to develop the capacities in preparing annual work and financial plans, taking into consideration the design and monitoring framework. Administrative Management Procedures. This is a series of training programs designed to develop and improve competencies in administrative management procedures for the Project in line with the guidelines of the ADB. Public Awareness and IEC Approaches. This involves a series of Project orientation and briefing events with Project stakeholders on expected outcome and impact and participation during Project implementation. Coordination and Networking approaches. This training will build on the existing coordination arrangements established between the PPCs and the participating provincial departments and district authorities to enhance coordination Participants from EAs, PMUs, PIUs EAs, PIUs PMUs, Community Organizations, Government Agencies, NGOs, Private Sector EAs, PMUs, PIUs Government Agencies, NGOs, Private Sector Number of Indicative Participants Cost 24 $5,000 (2 workshops at $2,500/event) 12 $4,000 (2 sessions at $2,000 per session) 120 $6,000 (2 events at $3,000/event) 15 $4,000 (2 sessions at $2,000 per session), 14

20 Content and Description during Project implementation. Participants from Number of Participants Indicative Cost Project Website Management. Training EAs, PMUs, 8 $5,000 in establishing and managing the Project PIUs (Establishment website is in adherence to the principles of of website, transparency and good governance to training of ensure public disclosure of Project Project staff) documents. EA = executing agency, IEC = information, education and communication, NGO = nongovernment organization, PMU = project management unit, PPC = people s provincial committee, PIU = project implementation unit. 3. Developing Capacities for Financial Management 19. Based on the initial assessment of the financial management capacities of the EAs and PMUs, the following capacity building and training programs were identified during project preparation: Content and Description ADB Financial Procedures and Practices. This involves conducting in-country seminar on ADB financial procedures and practices and follow through training sessions for Finance and Administrative staff. Imprest Account and Fund Disbursement. Selected finance and administrative staff of the EAs and PMUs will be given training on the use and importance of the imprest account and fund disbursement of an ADB-funded project. Internal Finance Controls. Training programs will be extended on developing and adopting internal finance control system for the Project. Financial Status and Audit Reporting. This involves training on the preparation of financial statements and progress reports for ADB-funded Projects. Financial Cost Recovery for Revenue Generating Subprojects. Project staff will be trained in cost recovery mechanism related to collection, recording and management of fees and charges and the use of revenues generated. Participants from EAs, PMUs, PIUs EAs, PIUs EAs, PIUs EAs, PIUs PMUs, PMUs, PMUs, EAs, PMUs, PIUs Provincial and District Authorities Number of Indicative Participants Cost 14 $2,500 8 $2,500 8 $2,500 8 $2, $6,000 (2 sessions at $3,000 per session) ADB = Asian Development Bank, EAs = executing agencies, PMUs = project management units, PIUs = project implementation units. 4. Improving Capacities for Procurement Management 20. Capacity building assistance on procurement management will be carried out to enable 15

21 the EAs, PMUs and PIUs to understand and internalize procedures based on the national and ADB procurement guidelines. The indicative list of training programs is as follows: Content and Description Participant Number of Indicative Cost Participants Procurement Guidelines and EAs, PMUs, PIUs 14 $2,500 Procedures. This involves an incountry Provincial and seminar on the national District Authorities and ADB procurement management, procedures and practices. Follow through training sessions will be conducted on the harmonization of the national procurement policies with the ADB guidelines. Application of Procurement EAs, PMUs, PIUs 8 $2,500 Methods and Procedures. This Provincial and will involve on-the-job training District Authorities sessions during the actual application of procurement methods and procedures such as ICB, NCB and other methods. Quality Control and inspection EAs, PMUs, PIUs 8 $2,500 system. This training will be Provincial and extended on contract District Authorities management, quality control and inspection system including direct application of quality control and field inspection procedures. Procurement Plan Preparation, EAs, PMUs, PIUs 8 $2,500 Reporting and Monitoring. This Provincial and involves hands-on sessions on District Authorities the preparation of selection criteria, draft bidding documents and evaluation procedures, conduct of detailed monitoring and evaluation surveys. ADB = Asian Development Bank, EAs = executing agencies, ICB = international competitive bidding, NCB = national competitive bidding, PMUs = project management units, PIUs = project implementation units. 5. Developing Capacities for Social and Environment Safeguards 21. The PMS Consultant will develop and manage capacity building support to the EAs, PMUs and PIUs on the assessment of initial potential social impacts on local communities within the corridor towns, adopting the consultative meetings, focus group discussion and key informant interviews with stakeholders. Capacity interventions will take into consideration the national policies and requirements of the ADB Safeguard Policy Statement (2009). 16

22 Content and Description Poverty and Social Impact Assessment. This involves training on the assessment of potential social impact of the urban infrastructure on affected households, review of the PSA reports and updating of the consultation and participation plan. Consultation and Participation Approaches. This involve training on conducting community consultative dialogues, focus group discussions and key informant interview as essential processes in developing strong sense of ownership by Project stakeholders. Data Generation and PPMS. Training will be conducted on the collection and analysis of secondary and primary data and information in relation of poverty and social assessment and project performance monitoring system. This will also involve gender-disaggregated monitoring and evaluation training. Stakeholder s Awareness Raising. This will involve a series of seminars, forums and consultative meetings on the impact of urban infrastructure investments in reducing poverty and in uplifting the socio-economic conditions of Participants from EAs, PMUs, PIUs Provincial and District Authorities EAs, PMUs, PIUs Provincial and District Authorities EAs, PMUs, PIUs Beneficiary communities Community Organizations, Government Agencies NGOs, Private Sector Number of Participants Indicative Cost 20 $5, $2, $10, $20,000 (2 events at $10,000/ event) Project beneficiaries. EAs = executing agencies, PPMS = project performance and monitoring system, PMU = project management unit, PIU = project implementation units. 22. Capacity building and training programs will be provided to Project staff on the implementation of environment safeguards as contained in the IEE reports and in the environment management plans. The appropriate methodology for undertaking public awareness raising programs on environment mitigating measures will be developed by the Environment Specialist in close coordination with the PMU and Project stakeholders. Content and Description Participant Number of Participants Updating Environment Management Plan. Training EAs, PMUs, 14 on updating the IEE and EMP will involve a series of workshops and seminars, consultative meetings and PIUs Provincial and FGDs as integral part of capacity building and District developing competence in safeguards measures. Authorities Public Awareness on Impacts and Mitigating Community 120 measures. This is a series of seminar and forums Organizations, intended to raise public awareness on the Government environmental safeguards, the impact of urban Agencies infrastructure on the local environment and mitigation NGOs, Private measures to address adverse environment effects. Sector 17

23 Content and Description Participant Number of Participants Integration of environment management elements. This is capacity building on the integration of environment into regular operation and maintenance procedures. On-the-job training will be given on the integration of environment consideration in the procurement process particularly in bid evaluation and contract of awards documents. Environment safeguards in urban infrastructure. This training involves understanding of key elements of the EMP and in ensuring the effective implementation of the EMP through workshops and seminars, and follow through training activities. EAs, PMUs, PIUs Provincial and District Authorities EAs, PMUs, 14 PIUs Provincial and District Authorities EAs = executing agencies, EMP = environment management plan, FGD = focus group discussion, IEE = initial environmental examination, NGO = non-government organization, PIU = project implementation unit, PMU = project management unit, PPMS = project performance and monitoring system. 23. The Social Safeguards Specialist will develop and manage the capacity building assistance and training programs on social safeguards based on the Gender Action Plan as these relate to the implementation of urban infrastructure. The capacity building and training support will involve the following: Content and Description Participant Number of Participants Indicative Cost Gender Sensitization Training. This series of training programs and seminars are intended for EAs, PMUs, PIUs 30 $20,000 Project management and staff to create Provincial awareness on gender consideration in Project and District management and implementation. Authorities Women Empowerment Training. This will involve complementary training in urban community development and in vocational skills training courses. This will be attended by women from the corridor towns who will be involved in local decision making, livelihood activities and gender equity awareness. Gender Awareness and IEC Training. This involves series of awareness and campaign training programs on sanitation, health and hygiene program at community levels and road safety at school levels. Gender Action Planning. This involves a series of workshops, seminars and focused group discussions on the review and updating of the GAP. Women from three corridor towns, Nam Women s Union, NGOs Viet Beneficiary communities, VWU, NGOs EAs, PMUs, PIUs Beneficiary communities, VWU, NGOs 1,500 (500/ town) 14 $20,000 $10, $5,000 EA = executing agency, IEC = information, education and communication, GAP = gender action plan, NGO = non-government organization, PMU = project management office, PSU = project support unit, VWU = Vietnam Women s Union. 18

24 6. Developing Capacities for Operation and Maintenance (O&M) 24. During Project implementation, the PMU in close partnership with PMS Consultant will coordinate with the Provincial and district authorities the requirements and procedures O&M arrangements. These arrangements will be based on the Subproject O&M Manual that will be prepared by the PMS Consultants. A series of workshop seminars and on-the-job training sessions on O&M will be conducted for the technical and administrative personnel of the PMUs and PIUs and provincial and district authorities. Specialized O&M training programs will be developed by PMS consultant for district authorities who will be tasked to operate and maintain the urban infrastructure investments. The indicative list of capacity building and training on O&M will include the following: Content and Description Participant Number of Indicative Cost Participants O&M Planning. This training EAs, PMUs, PIUs 30 $5,000 involves a series of workshops and Provincial and FGDs between Project staff and district authorities representatives from district authorities on the operation and maintenance of urban infrastructure. Managed system for revenue EAs, PMUs, PIUs 14 $3,000 collection. This will involve training Provincial and on the development of a managed district authorities system for the collection of revenues from solid waste management, wastewater treatment, water supply and port rehabilitation through workshops and FGDs. O&M Services Tariff and Price EAs, PMUs, PIUs 14 $3,000 Value. This will involve training on Provincial and updating the calculation of the costs district authorities for wastewater collection and treatment, solid waste collection and disposal and use of commercial spaces along river embankment, including setting up the services tariff and the price value of management and operation contracts. Establishment and operation of PMUs, PIUs 14 $2,500 Asset Document Unit. Capacity Provincial and building assistance will be provided district authorities to the district authorities on establishment and operation of Asset Documentation Unit including installation of GIS hardware, software and equipment, training and support to GIS staff. EA = executing agency, FGD = focus group discussion, GIS = geographic information system, O&M = operation and maintenance, PIU = project implementation unit, PMU = project management unit. 19

25 25. Logistics for Capacity Development. The PMS Consultant will assist the PMU in developing the list of necessary training equipment and facilities and vehicle to facilitate implementation of the capacity development plan. The list will be submitted to the EA for approval prior to procurement procedures. 26. Implementation Arrangements. The capacity development plan will be implemented by the lead Executing Agency. PPC of Quang Tri Province through the PMU. The conduct of the capacity development and training programs will be managed by the PMU with the assistance of consultants engaged for capacity development and training and for project management support. The PMU will coordinate with training venues and Human Resource Development (HRD) learning centers on the conduct of seminar and workshop events and training programs. 27. The PMU and Project consultants will coordinate with the participating Ministries on developing the sustainability measures for capacity development and training programs. Specialized Resource Persons will be engaged on specific topics that are not within the field of expertise of Project Consultant. 28. Investment Cost. The estimated cost for undertaking capacity development and training programs amount to $0.80 million. This will cover the cost of consultants to be engaged for capacity development amounting to $0.42 million, expenses for workshop events and seminars of $0.18 million and operating cost worth $0.20 million. E. Preparation of Dong Ha Master Plan 29. Dong Ha is an emerging dynamic trade and investment center owing to its strategic location along the EWEC. The improved road network and transport connectivity has stimulated the economic activities in Dong Ha but it has also generated an increase in urban population and an expansion of urban areas. Several development activities are being implemented and the development efforts of Dong Ha are being constrained by absence of a coherent development master plan. The current 5-year Socio-economic Development Plan contains the sector plans that are not linked to the physical land use plan and the strategic investment plans for urban sector development. Provincial and District authorities see the need for planned development that takes into account projected growth in population, resource endowment, the land use plan and the impact of climate change in future development investments. 30. Given its new elevated status, Dong Ha City People s Committee has requested the endorsement of the PPC of Quang Tri to request the ADB to provide assistance in the preparation of a City Development Master Plan. The master plan will look into the planned development of Dong Ha City over the next 25 years and will be based on the physical land use plan, consultative meetings with stakeholders, strategic local economic development and investment plans for urban sector development. 31. A team of international and national consultants will be engaged by the EA to undertake the task of preparing the Dong Ha City Master Plan. The recruitment of Consultant will be in accordance with ADB s Guidelines on the Use of Consultants (2010, as amended from time to time). 32. The investment cost for the preparation of the Dong Ha City Master Plan amounts to 20