Project Administration Instructions

Transcription

1 Project Administration Instructions PAI No Revised December 2014 Page 1 of 10 SPECIFIC REQUIREMENTS FOR RECRUITING CONSULTANTS BY THE EXECUTING AGENCY 1. This project administration instruction (PAI) explains the specific procedures for recruiting consulting services that executing agencies (EAs) administer under loan projects, grant financed projects, or delegated technical assistance (TA) of the Asian Development Bank (ADB). With respect to delegated TA projects that take the form of an enhanced partnership covered by a Memorandum of Understanding (MOU) between ADB and the recipient government, the recruitment process still follows the procedures outlined in this PAI, except when ADB signs the contract. Read this PAI with PAI 2.01 on general policies, PAI 2.02 on preparatory work, and PAI 2.03 on general procedures. A. Responsibilities of the EA, ADB s Project Unit, and Loan Consulting Services Unit 2. PAI 2.01 defines the general responsibilities of the EA and ADB in recruiting consulting services that the EA administers. Specific responsibilities for the EA, ADB staff, and project units follow: 3. The EA prepares the (i) procurement plan for the entire project under PAI 3.01 (paras 8-11) and 1.05 (para 5); (ii) consultant recruitment plan for each recruitment under PAI 2.03; (iii) related draft terms of reference (TOR); and (iv) cost estimate. PAI 2.03 details these. undertakes recruitment actions including shortlisting, preparing and issuing requests for proposal (RFP) when applicable; evaluating the proposals when proposals are required; and negotiating and signing the contract with the selected consultants. PAI 2.03 details these actions. Under certain circumstances, when justified, the EA may request ADB to adopt the responsibilities for some recruitment actions, as in paras 12, 14 of PAI 2.01 and para 1 of this PAI. supervises and manages the implementation of the consultant contract under PAI ADB s project unit assists the EA in preparing the procurement plan, the consultant recruitment plan, draft TOR, and cost estimate. It then incorporates these in the project administration manual (Section VI. C) for loan and grant projects, or Concept/TA Paper for delegated TAs. reviews the shortlist, draft RFP (when applicable), proposal evaluation report (when applicable), the EA s recommendation for contract award, and draft negotiated contract. It seeks endorsement from the Operations Services and Financial Management Department (OSFMD), when required, and notifies the EA of ADB s decisions or comments on these submissions, as in this PAI. assists the EA in managing the implementation of the consultant contract, and with OSFMD reviews and endorses the EA s submissions on issues related to contract implementation (such as contract variations). 5. The Loan Consulting Services Unit (LCU) serves as OSFMD s focal point for handling and communicating with project units and EAs on matters related to consulting services that EAs administer. LCU s functional coverage includes consulting services for loan projects and for those financed by grants and delegated TAs for which the EA recruits the consultants. The LCU advises on and supports project units in reviewing EA submissions for the consulting services that EAs administer.

2 Revised December 2014 Page 2 of 10 comments on EA submissions that project units endorsed for OSFMD staff approval. If the approval is not granted or is granted with conditions, LCU advises specific actions for that project unit or EA. communicates with the EA directly on actions the EA needs to take for recruiting consulting services it administers. LCU consults the project unit and updates it with any communication about such justified or emergency cases. assists OSFMD staff in charge of capacity building to develop training materials (including case studies) on consultant recruitment for project units and EAs. B. Advance Contracting 6. To shorten the time for consultant recruitment, the EA may use advance contracting as part of the normal procedure if (i) ADB management approves the further processing of the project; (ii) TOR and budget for the assignment are sufficiently clear to permit consultants to submit informed expressions of interest (EOIs) and, if shortlisted, technical and financial proposals; and (iii) OSFMD has endorsed the project procurement plan for recruiting the consultants. This means that the EA may draft the RFP, shortlist consultants and evaluate them, if the recruitment advertisement has been posted and EOIs received. However, the EA may not sign a contract with a firm before the financing agreement has taken effect, unless ADB management has also approved retroactive financing. The project unit should advise the EA that advance contracting is part of the normal procedure, and that ADB s support for advance contracting or retroactive financing does not commit ADB to approve the loan/grant project or to finance the recruitment costs. 7. When financing agreement effectivity is imminent, the EA starts contract negotiations with the selected consultant once ADB s Board of Directors approves the project. If retroactive financing has not been approved for the project, the contract should not be signed until the financing agreement becomes effective. C. Advertising (Consulting Services Recruitment Notice) 8. PAI 2.03 outlines the general requirements for posting a consulting services recruitment notice (CSRN). The EA posts the CSRN in the Business Opportunities section of ADB s website before shortlisting. For this purpose, the EA sends an to csrn@adb.org, with a copy to the concerned project unit staff, stating all projects under its administration. Once OSFMD receives this, it pre-registers the EA so that an account may be created for the EA for the CSRN posting. The EA s user ID and password will be ed to the EA. The minimum posting time for each CSRN is 30 days. The EA may also advertise the requirement in other appropriate media, including a local newspaper or international trade publication. ADB then provides the EA with a standard template for the CSRN that it could follow for the advertisement. D. Consultant s Expression of Interest 9. To ensure that expressions of interest (EOIs) contain sufficient information to allow EAs to decide on the shortlisting. EAs request EOIs using the standard EOI form. The Business Opportunities website has a link to a standard EOI form for loans/grants that firms can download, complete, and send to the EA. The CSRN template also provides for the EA address (preferably including an address), where consultants can write to obtain a standard EOI form. The standard EOI form may be submitted as hard or electronic copy. By requiring submission of a standard EOI form, the EA can evaluate all consultants for shortlisting using uniform documents containing the same type of information. National regulations and the EA may require additional information from national firms such as company registration and tax reference numbers to be submitted at the EOI stage. This information can be included as an appendix to the standard EOI form.

3 Revised December 2014 Page 3 of PAI 2.03 (paras 4-8, 10, 16-17) explains how consultants should prepare EOIs and how they should be evaluated during shortlisting. E. Recruiting Consulting Firms 11. The EA follows the general procedures in PAI 2.03 and the following specific requirements to submit the documents for each major step of the recruitment process for ADB s review and approval. a) Preparing Shortlist, RFP and Consultant Recruitment Activities Monitoring Sheet Submission The EA establishes a consultant selection committee (CSC) under PAI 2.01 (para 25) that initiates recruitment as follows: Generate a long list primarily based on the EOIs received, and prepare the shortlisting criteria. Prepare a short list following the shortlisting criteria and eligibility requirement in PAI Prepare the narrative technical proposal evaluation criteria or EOI evaluation criteria, if the recruitment is based on Consultants Qualifications Selection (CQS). Prepare an RFP, which would include the datasheet, summary evaluation sheet form, and personnel evaluation sheet form. Provide the data required for the Consultant Recruitment Activities Monitoring (CRAM) sheet. 13. The EA then s the following documents, usually referred to as Submission 1, to ADB (through the project unit) for approval: (i) budget; (ii) long list; (iii) proposed shortlist; (iv) narrative technical proposal evaluation criteria; (v) draft RFP with the data sheet, summary evaluation sheet form, personnel evaluation sheet form, and TOR; (vi) draft contract; and (vii) draft CRAM sheet. The EA uses ADB s standard submission form (Submission 1) available on ADB s website or provided by the project unit. The EA submits the standard submission form in MS Word version. This also includes a checklist of documents that the EA completes. This submission applies to all selection methods for recruiting firms; provided that, for CQS, the EOI evaluation criteria will be submitted instead of the narrative technical proposal evaluation criteria; and for single-source selection (SSS), the justification and approval for the use of SSS should be submitted (see PAI 2.02, paras 35-38), excluding proposed shortlist and draft CRAM sheet (as these are not applicable). b) ADB's Review of the EA s Submission Subject to Section F of this PAI, upon receipt of the EA s Submission 1, the project unit immediately forwards an electronic copy of the submission to the LCU, with a copy to the OSFMD director. The project unit ensures that the EA completed all documents required in the submission form. If the EA has not forwarded them all, the project unit immediately asks the EA to submit these to ADB. Once completed, OSFMD reviews the submission and provides comments in the comment fields of ADB s standard submission form. OSFMD may directly input corrections in the EA s submitted documents, provided it explains them in the comment fields. 15. The project unit conducts its own parallel review of the submission and submits its comments to the LCU for consolidation. For complex issues, OSFMD or the project unit may request a CSC to review the documents and resolve any pending issues. Once all comments have been consolidated, the authorized OSFMD staff signs the submission and forwards it to the project unit who will fax or them to the EA.

4 Revised December 2014 Page 4 of The EA is requested to submit another set of Submission 1 if there are concerns with its original submission. Each version of every submission has to be dated. OSFMD states in the standard submission form if it has approved a particular submission from the EA. 17. The LCU monitors each step in the CRAM sheet and coordinates with the project unit to ensure that the review of the EA s submission is accomplished within the allotted period. c) Sending RFP to Consulting Firms 18. After ADB approves the EA s submission, the EA then sends official copies of the RFP to the shortlisted consultants with a copy to the project unit. The shortlisted consultants acknowledge receiving the RFP and any notice from the EA (i.e., extension of proposal deadline submission). The shortlisted consultants also advise the EA if they intend to submit proposals. Shortlisted consultants submit any queries to the EA in writing. The EA sends any answers, information, or amendments to all shortlisted consultants, copied to the project unit, without disclosing the source of the query. Any proposed amendment needs ADB s prior approval, issued by the project unit after consultation with OSFMD. 19. To give shortlisted firms reasonable time to address amendments to the RFP in their proposals, the EA may extend the deadline for submitting proposals, subject to ADB's prior approval. d) Evaluating Technical Proposals and Preparing Evaluation Report Submission The EA forms a CSC to evaluate technical proposals received following the procedures in PAI The CSC prepares minutes of its evaluation meeting and a report of its evaluation, describing the strengths and weaknesses of each proposal. 21. Unless the EA s procurement plan provides otherwise, the EA s the evaluation report containing the following technical evaluation documents to ADB (through the project unit) for approval: (i) completed summary evaluation sheet, highlighting any proposal that scored less than 750 points out of 1,000; (ii) completed personnel evaluation sheet for each proposal; (iii) narrative comments on the strengths and weaknesses of each proposal; (iv) minutes of the EA's CSC evaluation meeting(s); and (v) updated CRAM sheet. The EA uses ADB s standard submission form (Submission 2) available on ADB s website or from the ADB project unit. The EA submits ADB s standard submission form in MS Word format. This submission applies to all selection methods for recruiting firms; provided that, for CQS and SSS, the technical evaluation documents are submitted together with the financial evaluation documents. e) ADB's Review of the EA s Submission Subject to Section F of this PAI, the procedures and requirements in paras of this PAI apply to reviewing Submission 2. However, for CQS and SSS, the review of the EA s technical evaluation documents occurs with the review of the EA s financial evaluation documents. For complex issues, OSFMD or the project unit may request a CSC to review the documents and resolve any pending issues. f) Opening and Evaluating the Financial Proposal(s), and Recommending Contract Award Submission Cost-based selections (quality and cost-based selection [QCBS], fixed-budget selection [FBS], and least-cost selection [LCS]) require public opening of the financial proposals. These are opened and evaluated as in PAI QBS method requires separate submission of the first ranked firm s financial proposal, which is submitted and opened as in PAI CQS method requires the financial proposal be submitted with the technical proposal, but is only reviewed in preparation for contract negotiations. Such proposal is opened and reviewed as in PAI SSS method adopts the same procedure as CQS for submitting, opening, and reviewing the financial proposal.

5 Revised December 2014 Page 5 of Unless the EA s procurement plan provides otherwise, the EA s the following financial evaluation documents to ADB (through the project unit) for approval: (i) completed financial evaluation and overall ranking forms; (ii) narrative comments on the financial evaluation, noting any corrections to the financial proposal(s); and (iii) updated CRAM sheet. The EA uses ADB s standard submission form (Submission 3) available on ADB s website or from the ADB project unit. The EA submits ADB s standard submission form in MS Word format. This submission requirement applies to all selection methods for recruiting firms, except QBS; provided that, for CQS and SSS, the technical evaluation documents are submitted with the financial evaluation documents. g) ADB's Review of the EA s Submission Subject to Section F of this PAI, the procedure and requirements in paras of this PAI apply to reviewing Submission 3. However, for CQS and SSS, the EA s technical evaluation documents are reviewed with the EA s financial evaluation documents. For complex issues, OSFMD or the project unit may request a CSC to review the documents and resolve any pending issues. h) Preparing for Contract Negotiation 26. Before contract negotiation, the EA checks the eligibility and performance records of each member of the team proposed by the selected firm. The EA obtains from ADB a copy of ADB s sanction and suspension list due to integrity violations or poor performance, as well as the terrorism list recognized by ADB. 27. The EA invites the first-ranked consultant to negotiate a contract with the EA, as in PAI The selected consultant confirms the availability of its proposed personnel, provides clarifications and corrections to its proposal, and replaces personnel when appropriate, as in PAI i) Submitting the Negotiated, Unsigned Contract Submission The EA negotiates a contract with the first-ranked consultant as in PAI When the negotiation is face-to-face, the EA prepares minutes of the important points of agreement. 30. If the EA and the consultant cannot agree, the EA may terminate the current negotiations with ADB s prior approval, and start negotiations with the next-ranked consultant, and so on until an agreement is reached. The project unit requests OSFMD's endorsement each time the EA requests to terminate contract negotiations and to start negotiations with the next-ranked firm. 31. Unless the EA s procurement plan provides otherwise, the EA s the draft negotiated contract and the minutes of the contract negotiations to ADB (through the project unit) for approval. The EA uses ADB s standard submission form (Submission 4) available on ADB s website or from the project unit. The EA submits ADB s standard submission form in MS Word format. This submission requirement applies to all selection methods for recruiting firms. j) ADB's Review of the EA s Submission The project unit immediately reviews the EA s submission to ascertain that the negotiated terms and conditions are satisfactory; request comments from OSFMD, the Controller s Department (CTL), and the Office of the General Counsel (OGC) after identifying the specific issue/s of concern; and

6 Revised December 2014 Page 6 of 10 require the EA to incorporate the revisions, changes, or amendments that the project unit considers necessary. 33. Once the documents are considered in order, the project unit formally advises the EA of ADB s approval. k) Finalizing the Contract 34. After receiving ADB s approval of the draft negotiated contract, the EA signs the contract, obtains the consultant s signature, and submits a copy of the signed contract to ADB (through the project unit). The EA also submits the following information to ADB for posting on its website: names of the shortlisted consultants who submitted proposals; scores of their technical proposals; prices in their financial proposals (for QCBS and LCS); overall ranking (for QCBS); name of the consultant selected; and cost, duration, and summary scope of the contract. 35. After receiving the signed contract, the project unit verifies that it is substantially the same as the draft negotiated contract it approved earlier. The project unit sends copies of the signed contract to OSFMD, CTL, and OGC. 36. After completing the selection, the EA debriefs the shortlisted consultants, when so requested by the consultant concerned, regarding how their ranking was determined. l) Issuing Notice to Proceed 37. The EA then makes the contract effective by sending the consultant a written notice to proceed, copied to ADB (through the project unit). F. Approving Authorities for EA Submissions 38. Notwithstanding Section A and subsections (b), (e), and (g), of Section E, all project units shall review and approve Submission 1, Submission 2 and Submission 3 for all contracts valued at $5 million and below, provided the reviewing staff are duly accredited under PASS or have successfully completed the relevant OSFMD-LCU training module for loan consulting submissions review. This ceiling applies to any resident mission (RM) with a resident OSFMD procurement specialist or a national procurement officer. The project unit director approves the unit s reviews of Submission 1, Submission 2 and Submission 3. RMs with no resident OSFMD procurement specialist or national procurement officer shall review and approve Submissions 1 and 2 for all contracts valued at $600,000 and below, while OSFMD shall review and approve Submission Approval of all submissions above the ceilings as in para 38 of this PAI remain OSFMD s responsibility. OSFMD directors or their authorized representatives approve such submissions. 40. OSFMD regularly assesses project unit and RM capacity and performance to update the review thresholds and ascertain the readiness of project units to fully review and approve Submissions 1, 2, and 3 under specific circumstances. OSFMD periodically reviews thresholds for each project unit or RM and compares assessed project unit or RM capacity. G. Recruiting Individual Consultants

7 Revised December 2014 Page 7 of 10 a) Selecting and Approving the Shortlist 41. Before an individual consulting assignment is scheduled to start, the EA prepares a short list of at least three qualified candidates. At the EA s request, the project unit may provide the names and qualifications of suitable candidates from the CMS. The EA may also advertise for suitable candidates, in addition to the CSRN posting requirement in PAI The EA ranks the candidates and submit their names and qualifications, with the draft contract, to ADB (through the project unit) for approval. The project unit reviews the EA s submission documents; consults with OSFMD, if necessary, after identifying concerns; requests comments from CTL, OGC, and/or other department or office after identifying concerns; approves the EA s submission or identifies needed revisions, changes, or amendments that the project unit considers necessary; prepares a note to file summarizing the issues raised and the decisions taken; and advises the EA of ADB s decision. b) Negotiating the Contract 43. After ADB approves the ranked short list and the draft contract, the EA negotiates with the firstranked candidate. If the negotiations fail, the EA obtains ADB s approval to terminate the current negotiations and start negotiations with the next-ranked candidate, and so on until agreement is reached. The EA then sends a copy of the draft negotiated contract to ADB (through the project unit) for approval. c) Reviewing the EA s Draft Negotiated Contract 44. The project unit immediately reviews the EA s submission. The project unit ascertains that the negotiated terms and conditions are satisfactory; requests comments from OSFMD, CTL, and OGC after identifying concerns; and requires the EA to incorporate any revisions that the project unit considers necessary. 45. Once the documents are considered to be in order, the project unit formally advises the EA of ADB s approval.

8 Revised December 2014 Page 8 of 10 d) Finalizing the Contract 46. After receiving the signed contract, the project unit checks that it is substantially the same as the draft negotiated contract it approved earlier. The project unit sends copies of the signed contract to OSFMD, CTL, and OGC. H. Requesting ADB Assistance in Selecting the Consultant 47. When the borrower/recipient requests ADB in writing to take responsibility for selecting a consultant, the project unit consults OSFMD and submits the request to the project unit s head of department for approval. The borrower/recipient should adequately justify such a request and explain its necessity. ADB s proposed participation in the recruitment should be set out in the procurement plan and the RRP. If the request is made after the loan/grant is approved, it will be regarded as a change in implementation arrangements and will be dealt with as in PAI If approved, OSFMD informs ADB s Board of Directors of the change in implementation arrangements in the quarterly portfolio update. In all such cases, ADB generally takes responsibility only for selecting the consultant, and the EA retains the responsibility for negotiating and signing the contract with the consultant, issuing the notice to proceed, and supervising the consultant s services. I. Monitoring the Consultant Recruitment Process 48. The EA, the project unit, and OSFMD use CRAM for EA administered consulting services to monitor the activities in consultant recruitment and to avoid delays. A preliminary CRAM schedule for the recruitment based on the anticipated consultant mobilization timetable is included as an annex to the procurement plan. 49. The CRAM schedule identifies the main activities in the recruitment process, the responsible unit, the time normally required for each activity, and the target dates for completing each activity. The EA, project unit, and OSFMD staff complete each activity and monitor the recruitment process. They use CRAM to identify delays and to act promptly to get the recruitment process back on schedule. 50. The LCU monitors all CRAM schedules, checks the status of progress regularly, and ensures that the project unit and OSFMD update the CRAM promptly for the activities within their responsibilities. The LCU also monitors each step in the CRAM schedule and coordinates with the project unit to ensure that OSFMD, the project unit or the EA accomplish each activity within the allotted period. For this, the project unit appoints a staff as CRAM coordinator, who coordinates all CRAM related data inputs and updates with the LCU and EA. 51. When a planned activity is not completed on schedule, the LCU reminds the responsible project unit staff. The staff must explain the delay in the CRAM schedule. 52. The LCU sends a monthly report on each project unit s CRAM status to the project unit director. The project unit directors monitor recruitment activities for all the loans/grants under their supervision, and act to overcome delays in recruitment. a) Creating a CRAM Schedule 53. During the loan/grant fact-finding mission, the project unit officer explains to the EA how to use the CRAM system to monitor the recruitment process. The officer gives the EA a sample CRAM schedule and discusses the consultant recruitment schedule, based on the time standards set for each activity shown in the CRAM system. The officer asks the EA to assign a staff who will be responsible for maintaining the CRAM schedule and monitoring recruitment.

9 Revised December 2014 Page 9 of When the EA schedules and advises ADB of the date for the CSRN posting, the project unit creates a CRAM schedule for the assignment by entering the following information in the system: loan/grant number and name; contract budget; selection method; type of technical proposal; EA s name and contact person; project division; project unit officer; EA and ADB staff responsible for maintaining the CRAM and monitoring recruitment; responsible OSFMD officer; and shortlisting date. 55. When the project unit enters the CSRN posting date into the CRAM schedule, the system automatically generates a recruitment schedule, including the planned dates for each activity and the cumulative number of days from shortlisting. The number of calendar days required for each activity is based on norms for each selection method and type of technical proposal. b) Accessing the CRAM system 56. Staff may access the CRAM system in the Consulting Services Reference database in Lotus Notes: Open Lotus Notes and click file > Database > Open. Select LNADBG1/ADB from the list of servers. Select Consulting Serv. Reference from the list of databases. Select 5. Loan/Grants Monitoring. c) Monitoring the Recruitment Activities and Updating the CRAM Schedule 57. The project unit sends a copy of the preliminary CRAM schedule for the assignment to the EA. The EA s CSC shortlisting meeting then discusses and confirms the CRAM schedule. If the EA is required to submit its CSC meeting documents to ADB for approval, the EA includes this in the CRAM. 58. If ADB approves the EA s submissions (depending on the selection method), the project unit sends the EA an updated CRAM schedule. 59. The EA staff monitors the recruitment and reports to the ADB project unit officer the date when each activity is completed and the reason for any delays. The ADB project unit staff enters the completion dates in column 6 of the CRAM schedule. Planned dates cannot be changed. 60. Columns 8 and 9 of the CRAM schedule show the difference in days between the planned and actual dates for completing each activity, and the difference between the planned and actual days from shortlisting. When an activity is completed later than the planned date, the ADB project unit staff explains in column 11 of the CRAM the delay and the EA and ADB action needed to get recruitment back on schedule. The upper right corner of the CRAM schedule shows the date it was last updated. 61. The CRAM schedule shows different recruitment activities for each selection method and type of technical proposal. d) Maintaining CRAM Records

10 Revised December 2014 Page 10 of When the recruitment process is completed, the project unit makes a hard copy of the CRAM and retains it in the project file. 63. OSFMD keeps completed CRAM records in the CRAM database and evaluates them annually. If required, OSFMD proposes recommendations for streamlining the recruitment process. 64. OSFMD monitors the application of CRAM and maintains the CRAM system. Staff should report any problems with the system to OSFMD. 65. List of Appendices: Appendix 1 is a Checklist of Actions for the Fact-Finding Missions to Help EAs Recruit Consultants. Appendix 2 is a Flowchart of Activities for Recruiting Consulting Firms under EA Administered Consulting Services (QCBS, QBS, FBS and LCS). Appendix 3 is a Flowchart of Activities for Recruiting Consulting Firms under EA Administered Consulting Services (CQS). Appendix 4 is a Flowchart of Activities for Recruiting Consulting Firms under EA Administered Consulting Services (SSS). Appendix 5 is a Flowchart of Activities for Recruiting Individual Consultants under EA Administered Consulting Services Appendix 6 is a Flowchart of the CRAM process for EA Administered Consulting Services. Appendix 7 contains the various forms for the CRAM schedule, depending on the selection method. Appendix 8 contains ADB s standard submission forms for Submission 1, Submission 2 and Submission 3, depending on the selection method.

11 Appendix 1 Checklist of Actions for the Fact-Finding Missions to Help EAs Recruit Consultants 1. Explain ADB s procedures for recruiting consultants to the EA. 2. Give the EA the following standard documents: CRAM schedule; names of consultants from the CMS (if the borrower asks); sample RFP, including the covering letter, background information, and TOR; sample forms for evaluating consultants' technical and financial proposals, including the narrative evaluation criteria for technical proposals; sample contracts for firms and individuals; performance evaluation forms for consulting firms and individual consultants; and Guidelines on the Use of Consultants by Asian Development Bank and Its Borrowers. The harmonized RFP for recruiting consulting firms for loan/grant projects is available on the ADB website. 3. Agree with the EA on the scope of the services required; the number of contracts; whether consulting firms, individual consultants, or both will be engaged under each contract; and the allocation of person-months to international and national consultants. Then agree on the procedures the EA will use to recruit the consultants, including the selection method and the type of technical proposal. 4. Help the EA to prepare the CRAM, TOR, and RFP. 5. Discuss any anticipated problems and what additional help the EA will need from ADB to engage the consultants. 6. If possible and if not already done, obtain the documents required in the EA s first submission to ADB for approval. These include the proposed recruitment schedule; shortlisting criteria; shortlist; RFP, together with the detailed TOR and background information; evaluation criteria for the technical proposals; contract; and format for evaluating the consultant s performance.

12 Appendix 2a, Page 1

13 Appendix 2a, Page 2

14 Appendix 2b, Page 1

15 Appendix 2b, Page 2

16 Appendix 2c, Page 1

17 Appendix 3a, Page 1

18 Appendix 3a, Page 2

19 Appendix 3b, Page 1

20 Appendix 3b, Page 2

21 Appendix 3c, Page 1

22 Appendix 3c, Page 2

23 Appendix 4a, Page 1

24 Appendix 4a, Page 2

25 Appendix 4b, Page 1

26 Appendix 4b, Page 2

27 Appendix 4c, Page 1

28 Appendix 4c, Page 2

29 Appendix 5, Page 1

30 Appendix 5, Page 2

31 Appendix 6

32 Appendix 7a

33 Appendix 7b

34 Appendix 7c

35 Appendix 7d

36 Appendix 7e

37 Appendix 7f

38 Issued in January 2011 Appendix 7g

39 Appendix 7h

40 Appendix 7i

41 Appendix 7j

42 Appendix 7k

43 Appendix 7l

44 Issued in December 201 Appendix 7m

45 Appendix 7n

46 Issued in January 2011 Appendix 7o

47 For reference purposes only and should not be used in preparing submission documents. Please download the latest version of the forms from ADB website at the following link: PAI No Appendix 8a, Page 1 Executing Agency Consulting Recruitment Submission 1: Shortlisting of Consulting Firms and Request for Proposals (QCBS/QBS/FBS/LCS) Part A [To be completed by the Executing Agency] Loan/Grant (Country) (No.): Title Package/Component: This is the: [indicate whether 1 st, 2 nd, 3 rd, etc.] request for review Name of Executing Agency (EA): Report Submitted by: Name: Signature: Designation: Date Submitted: Date of EA Consultant Selection Committee-Shortlisting (CSC-SL) Meeting: Checklist of Attached Documents (For 1 st Review): In case of succeeding reviews, please attach only the information or documents requested in the latest review. Attachment 1: Latest Uploaded Procurement Plan Yes No [Procurement plan must be within a year and for each loan, not MFF. Attach approval memo for individual changes in the procurement plan] Attachment 2: Budget for consulting services including details of Yes No provisional sums and contingency Attachment 3: Longlist of Consulting Firms Yes No Attachment 4: Narrative Evaluation Criteria (NEC) Yes No [EA to prepare the NEC. Provide weights for each criterion in the summary evaluation sheet and detailed information on how to apply these weights and, if necessary, to distribute them to sub-criteria in NEC.] Attachment 5: Draft Request for Proposals (RFP) with Terms of Yes No Reference (TOR), Data Sheet, Summary and Personnel Evaluation Sheets 1 and Draft Contract Attachment 6: Copy of Previous Communications with OSFMD Procurement Yes No Specialist related to items covered by this Submission Document (if any) Attachment 7: Minutes of EA CSC-SL Meeting Yes No Attachment 8: Updated Consultant Recruitment Activities Monitoring (CRAM) Yes No Sheet [Project Unit to update CRAM sheet in Consulting Services Reference (Lotus Notes) before submitting this Submission 1 review to LCU. Indicate in the CRAM the reasons for any delay, and remedial action taken.] 1 The appropriate templates can be downloaded from the ADB website in the following link: Include the Attachment: Grounds for Disqualification of an Expert.

48 Appendix 8a, Page 2 Names of EA CSC Members*: [List the names of members according to ministry/department/agency and designation in a table format. Please provide additional rows in the table below, if required.] Name Ministry/Department/Agency Designation * Is there any consultant in the EA s CSC Meeting? Yes No If Yes, please state whether potential or actual conflict of interest exists EOIs via CMS-CSRN (30 days) Yes No Date of Posting: Deadline of EOI Submission: [For reduced period of advertisement (less than 30 days) or waiver of advertisement, please attach the formal approval] 2. Number of EOIs Received: 3. Advance Action? Yes No 4. Retroactive Financing? Yes No (If yes, please attach the document approving retroactive financing) 5. Loan Approval Date: 6. Loan Effective Date: 7. Loan Closing Date: 8. Estimated Contract Duration (in months): 9. Budget for this consulting services: US$ Estimated Maximum 10. Shortlisting: 2 International Shortlist National Shortlist * * (Please attach document approving the national shortlisting) 11. Method of Selection: FBS LCS QBS QCBS 12. (For QCBS) Quality Cost Ratio: 80:20 70:30 90:10 Document/s to support quality-cost ratio of 70:30 or 90:10: 1 2 The EA should confirm that the consultant in the EA s CSC Meeting does not have any ongoing business associations (whether direct or indirect) with any of the firms in the shortlist. The same requirements for ordinary selection still apply to national shortlisting except geographic spread as waived in the Guidelines on the Use of Consultants by ADB and Its Borrowers, para. 2.9.

49 Appendix 8a, Page Shortlisting criteria*: [Apply the following criteria for the shortlisting of consulting firms for loan/grant projects]: (i) Eligibility (ii) Management competence (iii) Technical competence (iv) Geographic spread (for international assignments) * Additional criteria should have ADB s prior approval. a) b) c) 14. Proposed Shortlist: Firm Name (Full Name not Acronym)/ Country of Incorporation 1 Nature of Association (Indicate if the firm is Lead, JV Partner, or Subconsultant) Nature of Organization [Indicate if Private Consulting Firm, State- Owned (SOE) or NGO] Firm 1 Lead Private / SOE / NGO Firm 2 JV Partner / Sub-consultant Private / SOE / NGO Firm 3 JV Partner / Sub-consultant Private / SOE / NGO Firm 1 Lead Private / SOE / NGO Firm 2 JV Partner / Sub-consultant Private / SOE / NGO Firm 3 JV Partner / Sub-consultant Private / SOE / NGO Firm 1 Lead Private / SOE / NGO Firm 2 JV Partner / Sub-consultant Private / SOE / NGO Firm 3 JV Partner / Sub-consultant Private / SOE / NGO Firm 1 Lead Private / SOE / NGO Firm 2 JV Partner / Sub-consultant Private / SOE / NGO Firm 3 JV Partner / Sub-consultant Private / SOE / NGO Firm 1 Lead Private / SOE / NGO Firm 2 JV Partner / Sub-consultant Private / SOE / NGO Firm 3 JV Partner / Sub-consultant Private / SOE / NGO Firm 1 Lead Private / SOE / NGO Firm 2 JV Partner / Sub-consultant Private / SOE / NGO Firm 3 JV Partner / Sub-consultant Private / SOE / NGO a) Six (6) firms with wide geographic spread (no more than 2 firms from Yes No any 1 member country, and at least 1 firm from developing member country). If No, justification/s for proposed shortlist: b) Checking of Conflict of Interest [in accordance with the Guidelines on the Use of Consultants by ADB and Its Borrower (CG)]: i) Conflict between consulting activities [CG 1.11(a)] Yes No ii) Conflict among consulting assignments [CG 1.11(b)] Yes No 1 Corporations or companies must be incorporated in an ADB Member Country. Partnerships or non-corporations must be duly registered or legally established in an ADB Member Country. These include universities, institutions, public sector organizations, and NGOs.

50 Appendix 8a, Page 4 iii) Relationship with borrower s staff [CG 1.11(c)] Yes No If Yes, state relationship & whether potential or actual conflict of interest exists. c) Did any of the shortlisted firms participate in upstream assignment such Yes No as PPTA or other assignment regardless of financing source from which the firm may derive an unfair competitive advantage to this assignment? [RFP Section 2 (ITC), para. 4, Data Sheet 4.1, and CG 1.12] If yes, state the name of the firm and complete RFP Data Sheet Proposed Modifications on Contract Forms: [Revision/s for additional provision/s or deletion of certain provision/s in the General Conditions of the Contract (GCC) is not permissible. Instead, the Project Unit should advise the EA to incorporate revision/s through the Special Conditions of Contract (SCC) and changes should be reviewed by the Office of the General Counsel (OGC) prior to Submission 1.] State proposed revision/s and attach OGC s review in this Submission 1 document. 16. Type of Contract to be used: Time-Based Lump-Sum

51 Appendix 8a, Page 5 Part B [ADB Comments on EA s Submission] 1. Comments on Part A: a) b) c) 2. Shortlisting Criteria: a) b) c) 3. Shortlist: a) b) c) 4. Narrative Evaluation Criteria (NEC): a) b) c) 5. Request for Proposals (RFP): a) Section 1: Letter of Invitation (LOI): i) ii) iii) iv) b) Section 2: Data Sheet: i) ii) iii) iv) c) Summary and Personnel Evaluation Sheets (SES and PES): i) ii) iii) iv)

52 Appendix 8a, Page 6 d) Section 7: Terms of Reference (TOR): i) ii) iii) iv) e) Special Conditions of Contract (SCC): i) ii) iii) iv) 6. Other Issues: a) b) c) 7. Advance Reminders for Submission 2 Review: Please refer to the Guide in Reviewing Submission 2 for detailed instructions. a) In reference to SRFP Section 1, LOI, para. 7(a), the Project Unit should request the EA to secure a confirmation of withdrawal in writing from a shortlisted firm if the EA did not receive its proposal on the submission. b) Copy of confirmation of withdrawal from the Consultant should be attached in Submission 2. Unless the status of shortlisted Consultants which were not evaluated is clarified with evidence, ADB will not be able to process Submission 2. c) EA should confirm approval if there is a change (dropping/removal or addition) in the original association with reference to Section 1, LOI, paras. 4 and 7(b). d) EA must ensure that the firm that submits the proposal is the same legal entity that submitted the EOI. If the proposal received has a different legal entity from the shortlisted one, the proposal should be rejected. This also applies when a parent company, a group of firm, a subsidiary, or a local affiliate of the shortlisted firm submits the proposal. e) The EA should ensure that evaluation is conducted taking into account the issues on disqualification (see Grounds for Disqualification of an Expert attachment to SES/PES). f) If there is an expert proposed by multiple firms for the same position, the EA should evaluate the expert in accordance with the CV. This may result in uniform rating for the said expert if the same CV is used or otherwise different ratings if the CVs submitted by the firms for the expert were different. g) If there is more than 1 expert proposed by the firm for 1 position, the lowest rating among the experts evaluated should be applied and reflected in the PES/SES.

53 Appendix 8a, Page 7 8. Anticorruption Sanction/Terrorism Lists and Performance Evaluation Report (PER) Checking: a) Any of the shortlisted firms (including their Joint Venture Yes No Partner/s or Sub-consultant/s) in ADB Anticorruption Sanction Lists and Terrorism Lists? If Yes, state the name of the consulting firm/s: b) PER of the firms in the shortlist (including their Joint Venture Yes No Partner/s or Sub-consultant/s) checked? (Attached as Appendix 1) [Note: Results of PER Checking (Appendix 1) should be retained with the Project Unit] c) External ADB auditor included in the shortlist? Yes No If Yes, please obtain clearance from OAI before proceeding. 9. Checking of Conflict of Interest [in accordance with the Guidelines on the Use of Consultants by ADB and Its Borrowers (CG)]: a) Conflict between consulting activities [CG 1.11(a)] Yes No b) Conflict among consulting assignments [CG 1.11(b)] Yes No c) Conflict with concerned OSFMD/Project Unit Specialists [CG 1.11(c)] Yes No If Yes, state relationship & whether potential or actual conflict of interest exists: Reminders for the Project Unit 1. Subject to Section F of PAI 2.05, upon receipt of the EA s Submission 1, the Project Unit ensures that the EA submitted complete documents required (Checklist of Attached Documents) in the submission form before immediately forwarding an electronic copy of the submission to OSFMD- LCU (see PAI 2.05, paragraph 14). 2. The Project Unit should assist the EA to obtain and use the latest version of the Standard RFP without modification or omission of the standard provisions. 3. The Project Unit should ensure that the submission is consistent with the latest/updated procurement plan. 4. The Project Unit will send an updated CRAM sheet to the EA for its monitoring of the recruitment activities. 5. The Project Unit will send to OSFMD a request for posting the shortlist in the ADB website with the following information: the names of the shortlisted firms; the name of the EA and its contact details listed in LFIS/GFIS ALS704 under the EA Loan Address section; and the RFP date. 6. The Project Unit will convey the above decisions and recommendations to the EA.

54 Appendix 8a, Page 8 Prepared by: Signature above Printed Name OSFMD (If applicable) Date Signature above Printed Name Project Unit Note: When OSFMD review is required, the Project Unit Officer signs the review document after the OSFMD Officer signs it. Approved: Yes No Date Approved by: Signature above Printed Name Director, Project Unit / Country Director, Resident Mission (Please sign as applicable) Date Disclaimer: The review and approval of this submission document is conducted independently and must not serve as a precedent for future reviews. Distribution: Country Director / Director (Project Unit) / (Project Unit Specialist) OSFMD-LCU

55 For reference purposes only and should not be used in preparing submission documents. Please download the latest version of the forms from ADB website at the following link: PAI No Appendix 8b, Page 1 Executing Agency Consulting Recruitment Submission 1: Evaluation of Expressions of Interest and Request for Proposals (CQS) Part A [To be completed by the Executing Agency] Loan/Grant (Country) (No.): Title Package/Component: This is the: [indicate whether 1 st, 2 nd, 3 rd etc.] request for review Name of Executing Agency (EA): Report Submitted by: Name: Signature: Designation: Date Submitted: Date of EA Consultant Selection Committee- Expressions of Interest (CSC-EOI) Evaluation Meeting: Checklist of Attached Documents (For 1 st Review): In case of succeeding reviews, please attach only the information or documents requested in the latest review. Attachment 1: Latest Uploaded Procurement Plan Yes No [Procurement plan must be within a year and for each loan, not MFF. Attach approval memo for individual changes in the procurement plan] Attachment 2: Budget for consulting services including details of Yes No provisional sums and contingency Attachment 3: Longlist of Consulting Firms Yes No Attachment 4: Expressions of Interest (EOI) 1 and Evaluation Criteria 2 [EA to prepare the EOI evaluation criteria. EA to provide weights for each criterion in the evaluation sheet for EOI and detailed information on how to apply these weights and, if necessary, to distribute them to sub-criteria.] Yes No Attachment 5: Duly Filled EOI Evaluation Sheet 3 for all EOIs Submitted Yes No Attachment 6: Narrative Evaluation Criteria (NEC) Yes No [EA to prepare the NEC for Biodata Technical Proposal (BTP). Provide weights for each criterion in the summary evaluation sheet and detailed information on how to apply these weights and, if necessary, to distribute them to sub-criteria in NEC.] Attachment 7: Draft Request for Proposals (RFP) with Terms of Reference Yes No (TOR), Data Sheet, Summary and Personnel Evaluation Sheets for BTP 4 and Draft Contract Attachment 8: Copy of approval for CQS selection method if not stated Yes No in the RRP/Procurement Plan Attachment 9: Copy of Previous Communications with OSFMD Procurement Yes No Specialist related to items covered by this Submission Document (if any) Attachment 10: Minutes of the EA CSC-EOI Evaluation Meeting Yes No EOI standard template can be downloaded from the ADB website in the following link: This may be modified to match requirements. Management competence criterion includes nomination and very brief background & experience of firm s director responsible for this assignment, and, if applicable, the rationale for proposed Joint Venture Partnership/Sub-consulting. Evaluation sheet for EOIs in MSExcel format can be obtained from ADB Project Unit upon request. The template for BTP can be downloaded from the ADB website in the following link: Include the Attachment: Grounds for Disqualification of an Expert.

56 Appendix 8b, Page 2 Names of EA CSC Members*: [List the names of members according to ministry/department/agency and designation in a table format. Please provide additional rows in the table below, if required.] Name Ministry/Department/Agency Designation * Is there any consultant in the EA s CSC Meeting? Yes No If Yes, please state whether potential or actual conflict of interest exists EOIs via CMS-CSRN (30 days) Yes No Date of Posting: Deadline of EOI Submission: [For reduced period of advertisement (less than 30 days) or waiver of advertisement, please attach the formal approval] 2. Number of EOIs Received: 3. Advance Action? Yes No 4. Retroactive Financing? Yes No (If yes, please attach the document approving retroactive financing) 5. Loan Approval Date: 6. Loan Effective Date: 7. Loan Closing Date: 8. Estimated Contract Duration (in months): 9. Budget for this consulting services (not exceeding US$200,000): US$ Justification in special case where budget exceeds US$200,000: 1 The EA should confirm that the consultant in the EA s CSC Meeting does not have any ongoing business associations (whether direct or indirect) with any of the firms in the shortlist.

57 Appendix 8b, Page Result of EOI Evaluation: [Note: EA to list the names of 3 consulting firms with highest ranked EOIs including the country and scores in the table below.] Nature of Association Firm Name (Full Name not Acronym)/ Country of Incorporation 1 Score (Indicate if the firm is Lead, JV Partner, or Subconsultant) Nature of Organization [Indicate if Private Consulting Firm, State- Owned (SOE) or NGO] Firm 1 Lead Private / SOE / NGO Firm 2 JV Partner / Sub-consultant Private / SOE / NGO Firm 3 JV Partner / Sub-consultant Private / SOE / NGO Firm 1 Lead Private / SOE / NGO Firm 2 JV Partner / Sub-consultant Private / SOE / NGO Firm 3 JV Partner / Sub-consultant Private / SOE / NGO Firm 1 Lead Private / SOE / NGO Firm 2 JV Partner / Sub-consultant Private / SOE / NGO Firm 3 JV Partner / Sub-consultant Private / SOE / NGO a) Checking of Conflict of Interest [in accordance with the Guidelines on the Use of Consultants by ADB and Its Borrower (CG)]: i) Conflict between consulting activities [CG 1.11(a)] Yes No ii) Conflict among consulting assignments [CG 1.11(b)] Yes No iii) Relationship with borrower s staff [CG 1.11(c)] Yes No If Yes, state relationship & whether potential or actual conflict of interest exists. b) Did any of the shortlisted firms participate in upstream assignment such Yes No as PPTA or other assignment regardless of financing source from which the firm may derive an unfair competitive advantage to this assignment? [RFP Section 2 (ITC), para. 4, Data Sheet 4.1, and CG 1.12] If yes, state the name of the firm and complete RFP Data Sheet Name of the Consulting Firm/Country with the Highest EOI Score: 12. Proposed Modifications on Contract Forms: [Revision/s for additional provision/s or deletion of certain provision/s in the General Conditions of the Contract (GCC) is not permissible. Instead, the Project Unit should advise the EA to incorporate revision/s through the Special Conditions of Contract (SCC) and changes should be reviewed by the Office of the General Counsel (OGC) prior to Submission 1.] State proposed revision/s and attach OGC s review in this Submission 1 document. 13. Type of Contract to be used: Time-Based Lump-Sum 1 Corporations or companies must be incorporated in an ADB Member Country. Partnerships or non-corporations must be duly registered or legally established in an ADB Member Country. These include universities, institutions, public sector organizations, and NGOs.