Kyrgyz Republic: Issyk-Kul Sustainable Development Project

Microsoft Word - KGZ ISDP final PAM Jan10 - Cover Rev0.docProject Administration Manual Project Number: 41548 Loan and Grant Number: (L2556 and G0163) January 2010
Kyrgyz Republic: Issyk-Kul Sustainable Development Project
CONTENTS
I. .........Project Definition 1 A. Impact and Outcome 1 B. Outputs 1
II. ........Implementation Plans 2 A. Project Readiness Activities 2 B. Overall Project Implementation Plan 3
III. .......Project Management Arrangements 4 A. Project Stakeholders – Roles and Responsibilities 4 B. Key Persons Involved in Implementation 5 C. Project Organization Structure 6
IV. .......Costs and Financing 7 A. Cost Estimates by Expenditure Category 7 B. Expenditure Accounts by Financier 7 C. Allocation and Withdrawal of Loan and Grant Proceeds 7 D. Expenditure Accounts by Outputs/Components 7 E. Expenditure Accounts by Year 7 F. Contract and Disbursement S-curve 7
V. ........Financing Management 9 A. Financial Management Assessment 9 B. Disbursement Arrangements 9 C. Fund Flow 10 D. Accounting 11 E. Auditing 11
VI. .......Procurement and Consulting Services 12 A. Procurement of Goods, Works and Consulting Services 12 B. Process Thresholds and Review Requirement 12 C. Procurement Plan 13 D. Consultant's Terms of Reference 14
VII. ......Safeguards 15 A. Environment 15 B. Land Acquisition and Resettlement (LAR) 15 C. Indigenous People 15 D. Other Safeguards 15
VIII. .....Performance Monitoring, Evaluation, Reporting and Communication 16 A. Project Design and Monitoring Framework 16 B. Monitoring 16 C. Evaluation 17 D. Reporting 17 E. Stakeholder Communication Strategy 18
IX. .......Anticorruption, Transparency and Accountability 19 A. Anticorruption 19 B. Transparency and Good Governance 19 C. Accountability 19
APPENDIXES
1 – Project implementation monitoring and project implementation progress 2010 2 – Contract awards and disbursement plan – Project and 2010 3 – Contract awards and disbursement graph – Project, Loan and Grant 4 – Disbursement MIS (for Loan and/or Grant) 5 – Procurement plan – 2010 6 – Quarterly progress report format 7 – Covenant compliance
TABLES Table IV-1: Allocation and Withdrawal of Loan Proceeds.............................................................7 Table IV-2: Allocation and Withdrawal of Grant Proceeds............................................................7 Table IV-3: Detailed Cost Estimates and Financing Plan .............................................................8 Table VI-1: Project Procurement Thresholds..............................................................................12 Table VI-2: Procurement Review Requirement ..........................................................................12 Table VI-3: Civil Works ...............................................................................................................13 Table VI-4: Goods.......................................................................................................................13 Table VI-5: Consultants ..............................................................................................................14
RECORD OF PAM CHANGES Revision 0 29 January 2010
Project Administration Manual Purpose and Process 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. The Ministry of Finance, Government of Kyrgyz Republic and Issyk-Kul Oblast Administration 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 Ministry of Finance, Government of Kyrgyz Republic and Issyk-Kul Oblast Administration of their obligations and responsibilities for project implementation in accordance with ADB’s policies and procedures. In the event of any discrepancy or contradiction between the PAM and the Financing Agreement, the provisions of the Financing Agreement shall prevail. 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.
ABBREVIATIONS
ADB – Asian Development Bank AFS – audited financial statements BRD – Biosphere Reserve Directorate BTP – biodata technical proposal EA – executing agency EIA – environmental impact assessment EMP – environmental management plan FA – Financing Agreement FTP – full technical proposal GAP – gender action plan GIS – geographic information system IARS – imprest account reconciliation statement ICB – international competitive bidding IDEP – Interregional Department for Environmental Protection LAR – land acquisition and resettlement MIS – management information system MOF – Ministry of Finance NCB – national competitive bidding NGOs – nongovernment organizations PAF – project assistance facility PAI – project administration instructions PAM – project administration manual PIO – project implementation office PMO – project management office PPMS – project performance monitoring system QCBS – quality- and cost based selection RFP – request for proposal RRP – report and recommendation of the President to the Board SBD – standard bidding documents SOE – statement of expenditure SPS – Safeguard Policy Statement STP – simplified technical proposal SWM – solid waste management WA – withdrawal application WSS – water supply and sanitation
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1. Impact
− Improved health of resident population in the Issyk–Kul Oblast and environmental preservation of Issyk–Kul
2. Outcome
− Improved urban basic services (sewerage and sanitation, solid waste management, and water supply) in the three project cities
B. Outputs
• Implemented investment plan for rehabilitation and extension of sewerage system • Implemented investment plan for solid waste collection and transport vehicles and
sanitary landfills • Implemented investment plan for district metering in pilot zone, construction of
presedimentation tank in Karakol water treatment plant, and replaced transmission main in Balykchy
• Implemented investment plan for community infrastructure services
2. Part B: Enterprise Resource Management
• Improved management information system (MIS), accounting, financial management systems, procedures, and practices for city, vodokanal enterprises, and tazalyk enterprises
• Satellite image-based geographical information system (GIS) established, and infrastructure location and condition mapped
• Twinning program completed and vodokanal enterprises staff capacity on service delivery developed
• Performance-based service contracts awarded
• Improved awareness on Project benefits, hygiene and sanitation practices
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Loan and Grant Negotiations 04 September 2009
Board Circulation 09 September 2009
Board Consideration and Approval 30 September 2009
Loan and Grant Agreement Signing 5 November 2009
Loan and Grant Effectiveness 29 January 2010
3
1 Refer Appendix 1 for project implementation monitoring and project implementation progress 2010.
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A. Project Stakeholders – Roles and Responsibilities
Project Stakeholder Management Roles and Responsibilities Steering Committee − oversee progress on the Action Plan under the President's Decree related to the Issyk-Kul
Development Concept − responsible for guiding development in the Issyk-Kul oblast − meet at least once every 3 months until Project completion
Executing Agency − responsible for Project oversight and administration − hold monthly meetings with the PMO − submit progress reports to the SC for decision making − ensure project component technical and ecological expertise is sought before bidding − obtain ADB approvals for Project component finance − ensure compliance with Project covenants − coordinate with ADB on matters related to disbursements − submit Project documents, including audit reports, to ADB on time − monitor Project's Enterprise Resource Management component − monitor and review bid process and coordinate with ADB on all approvals − convene regular meetings in consultation with the Chairperson
Project Management Office
− responsible for project implementation and management − will be the SC's secretariat − oversee Project accounting and auditing − secure technical and ecological expertise for all civil works prior to bidding − carry out PPMS surveys − ensure city administrations comply with Project covenant − invite bids/evaluate/prepare bid evaluation reports for the EA and for ADB's approval − award contracts − prepare quarterly progress reports
Project Implementation Office
− manage detailed surveys, investigations and engineering designs for all subcomponents − update the environmental impact assessment (EIA) and environmental management and
monitoring plan (EMMP) − administer construction or rehabilitation contracts (with support from vodokanal
enterprises and tazalyk enterprises at the city-level) − ensure quality control − evaluate work done by contractors and certify payments − conduct public awareness campaigns and participation programs − Under the ERM component, the PIO will:
o oversee development of city maps based on satellite imagery o oversee mapping of urban infrastructure assets on city maps o roll out the MIS and accounting software in the 3 cities o finalize draft contracts for performance-based service contracts.
Oblast and City Administration
− ensure quality control − ensure urban services management and improved financial management practices by
cities, vodokanal enterprise and tazalyk enterprises
State Environmental Protection and Forestry Agency
− provide state ecological expertise for project components and update the environmental impact assessment and environmental management and monitoring plans
− improve environmental management in the Biosphere Reserve
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B. Key Persons Involved in Implementation
Staff and Designation Organization Division/Department Telephone No. Fax No. E-mail Dy Minister to be finalized Ministry of Finance +996 312 661645 Ministry of Finance Kubanychbek Beisheev Project Director
Issyk-Kul Sustainable Development Project
Aibek Bukuev Project Manager
Issyk-Kul Sustainable Development Project
Mr. Matthew Westfall Director
ADB Urban Services Division (CWUS), Central and West Asia Department (CWRD)
+63-2-632-6864 +63-2-636-2484 [email protected]
ADB CWUS +63-2-632-5488 +63-2-636-2484 [email protected]
Mr. Marko Davila Urban Development Specialist
Ms. Carina T. Soliman Assistant Project Analyst
Mr. Hsianmin Chen Counsel
+63-2-632 6874 [email protected]
ADB Loan Administration Division, Disbursement Section 2 (CTLA-2)
+63-2-632-5253 [email protected]
+63-2-632-6580 [email protected]
ADB Integrity Division +63-2-632-5004 +63-2-636-2154 [email protected] [email protected]
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Issyk-Kul Oblast Administration
Balykchy City
Info., Education & Communication
Project Manager • International WSS, Env. &
SWM Specialists (3) • Domestic Social/Gender Dev.
Specialist (1) • Accountant • Office Manager, IT & Other
Support
Support
Balykchy City
Info., Education & Communication
Project Manager • International WSS, Env. &
Support
Support
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Refer Table IV-3
Refer Table IV-3
Table IV-1: Allocation and Withdrawal of Loan Proceeds
Category ADB Financing Number Item Amount Allocated
in SDR Percentage and basis for withdrawal
from the Loan Account 1 Civil Works 8,508,000 76 percent of total expenditure 2 Project Assistance Facility 754,000 16 percent of total expenditure 3 Financing Charge 640,000 100 percent of amount due 4 Unallocated 664,000 -
Total 10,566,000
Table IV-2: Allocation and Withdrawal of Grant Proceeds Category ADB Financing
Number Item Amount Allocated in $
Percentage and basis for withdrawal from Grant Account
1 Civil Works 4,228,500 76 percent of total expenditure 2 Equipment and Materials 2,022,392 76 percent of total expenditure 3 Enterprise Resource Management 1,339,287 76 percent of total expenditure 4 Project Assistance Facility 5,457,686 75 percent of total expenditure 5 Unallocated 452,135 -
Total 13,500,000
Deleted
E. Expenditure Accounts by Year
Refer Appendix 2 for contract awards and disbursement plan – Project and 2010.
F. Contract and Disbursement S-curve
Refer Appendix 3 for contract awards and disbursement graph – Project, Loan and Grant.
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Table IV-3: Detailed Cost Estimates and Financing Plan
Base Cost Price Contingency Landed Cost Category & Component ($) ($) ($) Cost ($) Taxes ($) Total ($) % Loan ($) % Grant ($) % Total ($)
A. Civil Works 1. Sewerage System 10,781,344 1,921,274 12,702,618 1,921,274 1,155,144 3,076,418 24 9,626,200 76 - - 9,626,200 2. Sanitary Landfill 3,365,040 599,662 3,964,702 599,662 360,540 960,202 24 - - 3,004,500 76 3,004,500 3. Water Supply System 4,098,640 730,392 4,829,032 730,392 439,140 1,169,532 24 3,659,500 76 - - 3,659,500 4. Community WSS Facilities 1,370,880 244,296 1,615,176 244,296 146,880 391,176 24 - - 1,224,000 76 1,224,000
Subtotal (A) 19,615,904 3,495,624 23,111,528 3,495,624 2,101,704 5,597,328 24 13,285,700 57 4,228,500 18 17,514,200
B. Equipment & Material 1. SWM Vehicles 918,400 163,662 1,082,062 163,662 98,400 262,062 24 - - 820,000 76 820,000 2. SWM Tools & Receptacles 161,000 28,691 189,691 28,691 17,250 45,941 24 - - 143,750 76 143,750 3. SWM Equipment 184,800 32,932 217,732 32,932 19,800 52,732 24 - - 165,000 76 165,000 4. Vodokanal Vehicle & Equipment 649,600 115,761 765,361 115,761 69,600 185,361 24 - - 580,000 76 580,000 5. BRD & IDEP Equipment 235,000 41,878 276,878 41,878 25,179 67,057 24 - - 209,821 76 209,821 6. PMO Vehicles 116,279 20,721 137,000 20,721 12,458 33,179 24 - - 103,821 76 103,821
Subtotal (B) 2,265,079 403,645 2,668,724 403,645 242,687 646,332 24 - - 2,022,392 76 2,022,392
C. Enterprise Resource Management 1. MIS & Accounting 500,000 89,102 589,102 89,102 53,571 142,673 24 - - 446,429 76 446,429 2. Twinning Program 500,000 89,102 589,102 89,102 53,571 142,673 24 - - 446,429 76 446,429 3. GIS and Asset Inventory 500,000 89,102 589,102 89,102 53,571 142,673 24 - - 446,429 76 446,429
Subtotal (C) 1,500,000 267,306 1,767,306 267,306 160,713 428,019 24 - - 1,339,287 76 1,339,287
D. Project Assistance Facility Subtotal (D) 6,195,206 1,104,008 7,299,214 - 663,773 663,773 9 1,177,755 16 5,457,686 75 6,635,441
E. Contingencies 1. Physical Contingencies - - 1,653,228 164,548 - 164,548 10 1,036,545 63 452,135 27 1,488,680
Subtotal (E) - - 1,653,228 164,548 - 164,548 10 1,036,545 63 452,135 27 1,488,680
F Financing Charges A Interest During Construction - 1,000,000 - - - - 1,000,000 100 - - 1,000,000
Subtotal (F) - - 1,000,000 - - - - 1,000,000 100 - - 1,000,000
Total 29,576,189 5,270,583 37,500,000 4,331,123 3,168,877 7,500,000 20 16,500,000 44 13,500,000 36 30,000,000
ADB FinancingGoKR Financing
B. Disbursement Arrangements
• The loan and grant proceeds for financing Goods, Works, and consulting services shall be disbursed in accordance with ADB’s Loan Disbursement Handbook (2007, as amended to date)2
• Pursuant to ADB's Safeguard Policy Statement (2009) (SPS),3 ADB funds may not be applied to the activities described on the ADB Prohibited Investment Activities List set forth at Appendix 5 of the SPS
• For every liquidation and replenishment request of the imprest account, PMO will furnish ADB:
i. statement of account (Bank Statement) where the imprest account is maintained, ii. Imprest Account Reconciliation Statement (IARS)4 reconciling the above
mentioned bank statement against the EA’s records • Following financing and disbursement arrangements5 will apply for this project:
i. Direct payment by ADB ii. Reimbursement iii. Imprest fund procedures iv. Liquidation and replenishment v. Statement of expenditures (SOEs)
• The minimum value per withdrawal application is US$100,000, unless otherwise approved by ADB
• Consolidate claims to meet this limit for reimbursement and imprest account claims • Withdrawal applications and supporting documents will demonstrate, among other things
that the goods, and/or services were produced in or from ADB members, and are eligible for ADB financing
• Withdrawal applications and other loan disbursement information are available at ADB Controller’s Department’s website, http://lfis.adb.org
1. Imprest Account
• Separate imprest accounts for loan and grant • non-interest-bearing current account with a commercial bank acceptable to ADB • maximum amount in account not to exceed 10% of loan (or grant) or the estimated
expenditure for next 6 months (through loan or grant), whichever is lower • imprest accounts will be established, managed, and liquidated in accordance with ADB’s
Loan Disbursement Handbook and detailed arrangements agreed to by the Government and ADB6
2 Available at: http://www.adb.org/Documents/Handbooks/Loan_Disbursement/loan-disbursement-final.pdf 3 Available at: http://www.adb.org/Documents/Policies/Safeguards/Safeguard-Policy-Statement-June2009.pdf 4 Follow the format provided in Appendix 30 of the Loan Disbursement Handbook. 5 Available at: http://www.adb.org/documents/handbooks/loan_disbursement/chap-06.pdf 6 Bank charges will be financed from the loan and grant amount.
2. First Withdrawal Application (WA)
• MOF should submit to ADB sufficient evidence of the authority of the (two) persons who will sign the withdrawal applications on behalf of the Government/Beneficiary, together with the authenticated specimen signatures of each authorized person
• Accomplish the first WA form • Attach Estimate of Expenditures Sheet/s7 for the next 6 months
3. Statement of Expenditure (SOE)
• ADB’s SOE procedure may be used to reimburse eligible expenditure and to liquidate advances made into the imprest accounts
• Any individual payments to be liquidated or reimbursed shall not exceed the equivalent of $100,000
C. Fund Flow
1. ADB Fund Flow
• The initial advance equivalent of 10% of the Loan and/or Grant amount or six months estimated expenditure, whichever is lower, is transferred from the Loan and/or Grant Account to the Project imprest accounts based on the WA for Initial Advance
• PMO expends funds from the Imprest Account and submits a WA8 to ADB containing SOEs, invoices (if applicable), and other relevant substantiation for replenishing the Imprest Account; the submission will also include a Disbursement MIS (for Loan and/or Grant) based on the format detailed in Appendix 4
• The SOE is based on payments made to contractors, consultants and suppliers • The WA is signed by authorized signatories of the EA • ADB replenishes the Imprest Account based on accountable expenditure in the WA
2. Government Financing
• PMO informs MOF about requisite co-financing • MOF transfers the co-financing amount to the Project imprest accounts • PMO pays to contractors, consultants and suppliers based on invoices and accountable
expenditure
7 Follow the format provided in Appendix 29 of the Loan Disbursement Handbook. 8 Format for withdrawal application is available in Loan Disbursement Handbook, Appendix 7.
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D. Accounting
• PMO will maintain separate records and accounts by funding source (loan and grant) • Project accounts will follow international accounting principles and practices or those
prescribed by the Government's accounting laws and regulations
E. Auditing
• A detailed consolidated annual project accounts will be: – audited by duly qualified and independent auditors9 in accordance with
International Standards on Auditing and/or in accordance with the Government's audit regulations
– submitted to ADB in English language within 6 months of the close of each fiscal year (31 December)
• Annual audit report will include a separate audit opinion on the use of imprest accounts and statement-of-expenditure procedure
• ADB’s policy on delayed submission, and the requirements for satisfactory and acceptable quality of the audited accounts shall apply
9 Terms of reference available at http://www.adb.org/Documents/Handbooks/Borrowers_Fin_Gov_Mgt_Investment/default.asp#contents
applications (WAs) - submits WAs to PMO
Contractors Consultants Suppliers
PCSS number is assigned for each contract
- authorized signatories endorse/sign WAs
- attaches disbursement MIS for Loan and/or Grant along with WA
ADB - verifies invoices - processes payments - releases payments to
PMO via imprest account replenishment or directly to contractors, suppliers, or consultants
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A. Procurement of Goods, Works and Consulting Services
• All procurement of goods and works will be undertaken in accordance with ADB’s Procurement Guidelines10
• Before the start of any procurement ADB and the Government will review the public procurement laws of the central and state governments to ensure consistency with ADB’s Procurement Guidelines
• All consultants {and nongovernment organizations (NGOs) if appropriate} will be recruited according to ADB’s Guidelines on the Use of Consultants.11
The terms of reference for all consulting services are detailed in Section D below
B. Process Thresholds and Review Requirement
1. Project Procurement Thresholds
Table VI-1: Project Procurement Thresholds Method Threshold ICB for Works More than $1,000,000 ICB for Goods More than $500,000 NCB for Works Beneath that stated for ICB, Works NCB for Goods Beneath that stated for ICB, Goods Shopping for Works Below $100,000 Shopping for Goods Below $100,000
2. ADB Prior or Post Review
Table VI-2: Procurement Review Requirement Procurement Method Prior or Post Comments ICB Works Prior ADB SBD ICB Goods Prior ADB SBD NCB Works Prior and Post ADB SBD (prior followed by post) NCB Goods Prior and Post ADB SBD (prior followed by post) Shopping for Works Post ADB SBD Shopping for Goods Post ADB SBD Recruitment Method Quality- and Cost-Based Selection Prior RFP Quality-Based Selection Prior RFP Other Selection Methods: Consultants Qualifications, Least-Cost Selection, Fixed Budget, and Single Source
Prior RFP
Individual Consultants Prior RFP ADB = Asian Development Bank, ICB = international competitive bidding, NCB = national competitive bidding, RFP = request for proposals, SBD = standard bidding documents.
10 Available at: http://www.adb.org/Documents/Guidelines/Procurement/Guidelines-Procurement.pdf 11 Checklists for actions required to contract consultants by method available in e-Handbook on Project
Implementation at: http://www.adb.org/documents/handbooks/project-implementation/
Description Estimated Value
Procurement or Recruitment
Comments
prequalification)
$2.14 million 1 ICB (includes
prequalification)
Water supply improvement
prequalification)
– Transmission main in Balykchy, presedimentation tank in Karakol, and boreholes in Balykchy and Cholpon–Ata
Construction of sanitary landfills
prequalification)
$1.62 million 3 NCB (no prequalification)
– All three cities
Table VI-4: Goods
Comments
$1.98 million 1 One ICB and two NCB
(no prequalification)
– Vehicles for vodokanal enterprises, tazalyk enterprises, and PMO (ICB case to case and NCB for contracts less than ICB threshold)
Procurement of environmental monitoring equipment
$0.27 million 1 NCB (no prequalification)
– One package for BRD and IDEP equipment
Procurement of waste collection tools and receptacles, wind row compost equipment, and recycling balers
$0.41 million 4 NCB and shopping (no prequalification)
– Four packages, separate for each category
12 Refer Appendix 5 for procurement plan – 2010.
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Comments
Information, education, and communications consultants or NGO
$0.79 million 1 QCBS 80:20
STP National consultants 200 person-months
Management information systems and accounting
STP or BTP National consultants 120 person-months
Geographical information system and asset inventory
STP or BTP National consultants 150 person-months
Individual consultants
acceptable to ADB
Biodata and curriculum vitae
For PMO and PIO, three international specialists and three national specialists
D. Consultant's Terms of Reference
Outline terms of reference for consulting services are detailed below: − Design and supervision consultants (RRP Supplementary Appendix C) − Information, education, and communication consultants (RRP Supplementary
Appendix D) − Management information system consultants (RRP Supplementary Appendix E) − Geographical information system consultants (RRP Supplementary Appendix F)
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• Classified as environmental category A under ADB's Safeguard Policy Statement,200913 • The environmental impact assessment (EIA) is detailed in RRP Supplementary
Appendix J and will be updated every 6 months • The summary EIA was posted on ADB website on 1 June 2009 • Environmental Management and Monitoring Plan will be updated during detailed
engineering design and incorporated in bidding documents and civil works contracts • The State ecological expertise will be secured prior to bidding of civil works
B. Land Acquisition and Resettlement (LAR)
• Classified as involuntary resettlement category C – no impact under ADB’s Safeguard Policy Statement, 200914
• LAR Due Diligence Report is detailed in RRP Supplementary Appendix K
C. Indigenous People
• The Project is not expected to affect indigenous people as defined under the ADB's Safeguard Policy Statement, 200915
D. Other Safeguards
• A summary poverty reduction and social strategy is in RRP Appendix 10 • A Gender Action Plan (GAP) is in RRP Appendix 11
13 Updated from ADB's Environment Policy, 2002. 14 Updated from ADB's Policy on Involuntary Resettlement,1995. 15 Updated from ADB's Policy on Indigenous Peoples,1998.
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A. Project Design and Monitoring Framework
Refer to RRP Appendix 1
B. Monitoring
2. Compliance monitoring
3. Safeguard monitoring
Involuntary resettlement: Due diligence report prepared, and scavengers at sanitary landfill will be provided employment in waste segregation activities. Resettlement category C, i.e., no impact Indigenous peoples: All ethnic groups in the project area will benefit. All groups will participate equally in the Project
4. Poverty and Social Action Plans17
Labor: Civil works contracts will stipulate priorities to (i) employ local people, (ii) ensure equal opportunities for women and men for work, (iii) pay wages promptly, and (iv) not employ child or forced labor Affordability: A consumption-based tariff is operational. Tariffs will be revised based on affordability (at less than 5% of household income) Other Risks and/or vulnerabilities: The Project will complement ongoing awareness programs through an information, education, and communication campaign covering HIV/AIDS and sexually transmitted infections for construction workers
16 ADB's project performance reporting system is available at:
http://www.adb.org/Documents/Slideshows/PPMS/default.asp?p=evaltool 17 Staff Guide to Consultation and Participation: http://www.adb.org/participation/toolkit-staff-guide.asp and CSO
Sourcebook: A Staff Guide to Cooperation with Civil Society Organizations: http://www.adb.org/Documents/Books/CSO-Staff-Guide/default.asp
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5. Gender Action Plan
A. Infrastructure Improvement Component • Number of women having access to proper water supply and safe sanitation • Number of girls at reproductive age having access to safe sanitation • Number of water meters in poor households • Number of toilets in schools and hospitals installed (upon request where
lacking) • Total number of potential labor days lost by poor households due to
waterborne illnesses reduced from 75 to 25
B. Enterprise Resource Management Component • Number of women staff involved in twinning program and capacity
development measures
C. Cross-Cutting across Components • Number of students trained on hygiene and reproductive health (mixed
groups) • Number of awareness sessions conducted for construction workers on
HIV/AIDS and sexually transmitted infection awareness and prevention • Number of gender awareness and development trainings at all project levels • Number of gender awareness and development trainings for community
facilitators and health advocates • Number of field visits conducted by project gender specialists to review
progress in gender mainstreaming and to supervise community facilitators
C. Evaluation
• Within 6 months of physical completion of the Project EA will submit a project completion report18 to ADB
D. Reporting
PMO will provide ADB with (i) quarterly progress reports in a format consistent with ADB's project performance
reporting system (ii) consolidated annual reports including
• progress achieved by output as measured through the indicator's performance targets
• key implementation issues and solutions • updated procurement plan and • updated implementation plan for next 12 months
(iii) a project completion report within 6 months of physical completion of the Project
18 Project completion report format available at: http://www.adb.org/Consulting/consultants-toolkits/PCR-Public-Sector-Landscape.rar
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• To ensure projects continue to be both viable and sustainable, project accounts and the executing agency's annual financial statement (AFS), together with the associated auditor's report, should be adequately reviewed
E. Stakeholder Communication Strategy
A. Anticorruption
• Comply with ADB’s Anticorruption Policy, 200719 • ADB reserves the right to investigate, directly or through its agents, any violations of
the Anticorruption Policy relating to the Project. All contracts financed by ADB shall include provisions specifying the right of ADB to audit and examine the records and accounts of the executing agency and all Project contractors, suppliers, consultants and other service providers. Individuals/entities on ADB’s anticorruption debarment list are ineligible to participate in ADB-financed activity and may not be awarded any contracts under the Project20
• To support these efforts, relevant provisions are included in the Loan and Grant Financing Agreement and the bidding documents for the Project
B. Transparency and Good Governance
• The Government will disclose to the public, and update annually – the current status of the Project – how the proceeds of the loan and grant are used
• For each contract financed under the Project, the EA will disclose on its website information on, among others, the: – list of participating bidders – name of the winning bidder – basic details on bidding procedures and procurement methods adopted – amount of contract awarded – list of goods/services, including consulting services procured – intended and actual utilization of the loan and grant proceeds
C. Accountability
• People who are, or may in the future be, adversely affected by the project may address complaints to ADB, or request the review of ADB's compliance under the Accountability Mechanism21
19 Available at: http://www.adb.org/Documents/Policies/Anticorruption-Integrity/Policies-Strategies.pdf 20 ADB's Integrity Office web site is available at: http://www.adb.org/integrity/unit.asp 21 For further information see: http://compliance.adb.org/
APPENDIX 1: PROJECT IMPLEMENTATION MONITORING
Activity Prg. Wt. Total Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
Project Preparation 10
2 Select Project consultants - 5 0%
A Infrastructure Improvement 40
1 Sewerage and Sanitation
Restore trenches and asphalt roads 3 0%
2 Solid Waste Management
Construct sanitary landfills 5 0%
3 Water Supply Infrastructure
Replace transmission main in Balykchy 3 0%
Construct pre-sedimentation tank at Karakol 3 0%
Construct boreholes in Balykchy and Cholpon-Ata 3 0%
4 Procure Vodokanal vehicle & equipment 3 0%
5 Procure BRD & IDEP Equipment 3 0%
6 Community Upgrading
Expand access to water and sanitation 3 0%
B Enterprise Resource Management 30
1 Management Information System and Accounting
Establish accounting procedures and develop MIS 3 0%
Create consumer database 3 0%
Roll-out MIS and revenue enhancement plan 3 0%
2 GIS and Asset Inventory
Procure Satellite images 2 0%
Develop geographical information systems 2 0%
Conduct Asset Mapping and Condition Assessment 2 0%
3 Capacity Development
Roll-out twinning program 5 0%
4 Performance Based Service (PBS) Contracts
Finalize contract documents for water, sewerage and SWM 3 0%
Enter into PBS contracts 3 0%
C Project Assistance Facility 20
1 Prepare detailed engineering design 8 0%
2 Conduct information, education and communication campaign 4 0%
3 Secure technical and environmental expertise 2 0%
4 Construction supervision and quality control 3 0%
5 Project management and administration 3 0%
100 5%
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APPENDIX 1: PROJECT IMPLEMENTATION PROGRESS - 2010
Description of Works % Com H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H2
Select Project consultants
Procure Vodokanal vehicle & equipment
Procure BRD & IDEP Equipment
Undertake community development activities
Create consumer database
Procure Satellite images
Project management and administration
Plan Actual
Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec
2
APPENDIX 2: CONTRACT AWARDS AND DISBURSEMENT PLAN - PROJECT
Value ADB Fin. $ mn $ mn 2010 2011 2012 2013 2014 Total 2010 2011 2012 2013 2014 Total
Loan 2556 1 Civil Works
Water Supply District Metering ICB 1 2.14 76% 1.63 - 1.63 - - - 1.63 - 0.49 0.98 0.16 - 1.63 Water Supply Improvement ICB 1 2.69 76% 2.04 - 2.04 - - - 2.04 - 0.61 1.23 0.20 - 2.04 Rehabilitation of Sewerage Systems ICB 2 12.70 76% 9.63 - 9.63 - - - 9.63 - 2.89 5.78 0.96 - 9.63
17.53 13.30 - 13.30 - - - 13.30 - 3.99 7.98 1.33 - 13.30
2 Project Assistance Facility Project Management Office V 2.61 45% 1.17 0.23 0.23 0.23 0.23 0.23 1.17 0.23 0.23 0.23 0.23 0.23 1.17
2.61 1.17 0.23 0.23 0.23 0.23 0.23 1.17 0.23 0.23 0.23 0.23 0.23 1.17
3 Financing Charge Financing Charges V 1.00 100% 1.00 - - - - - - - - - - - -
4 Unallocated Unallocated V 1.65 63% 1.04 - 0.35 0.35 0.35 - 1.04 - 0.26 0.35 0.35 0.09 1.04
TOTAL - LOAN 22.79 16.51 0.23 13.88 0.58 0.58 0.23 15.51 0.23 4.48 8.56 1.91 0.32 15.51
Grant 0163 1 Civil Works
Sanitary Landfills ICB/NCB 3 3.96 76% 3.01 - 3.01 - - - 3.01 - 1.81 1.20 - - 3.01 Community WSS Facilities NCB V 1.62 76% 1.23 - 0.31 0.31 0.31 0.31 1.23 - 0.31 0.31 0.31 0.31 1.23
5.58 4.24 - 3.32 0.31 0.31 0.31 4.24 - 2.11 1.51 0.31 0.31 4.24
2 Equipment & Material Vehicles & Equipment a/ ICB/NCB 3 1.98 76% 1.50 0.45 1.05 - - - 1.50 0.45 1.05 - - - 1.50 Environmental Monitoring Equipment NCB 1 0.27 76% 0.21 0.06 0.14 - - - 0.21 0.06 0.14 - - - 0.21 SWM Equipment NCB/S 4 0.41 76% 0.31 0.09 0.22 - - - 0.31 0.09 0.22 - - - 0.31
2.66 2.02 0.61 1.42 - - - 2.02 0.61 1.42 - - - 2.02
3 Enterprise Resource Management Management Info. Systems NCB 1 0.59 76% 0.45 0.45 - - - - 0.45 0.09 0.09 0.09 0.09 0.09 0.45 Twinning - 1 0.59 76% 0.45 - - 0.45 - - 0.45 - - 0.15 0.15 0.15 0.45 GIS and Asset Inventory NCB 1 0.59 76% 0.45 0.45 - - - - 0.45 0.09 0.09 0.09 0.09 0.09 0.45
1.77 1.34 0.90 - 0.45 - - 1.34 0.18 0.18 0.33 0.33 0.33 1.34
4 Project Assistance Facility Design & Supervision Consultants NCB 1 3.89 91% 3.54 1.77 1.77 - - - 3.54 0.35 0.80 0.80 0.80 0.80 3.54 IEC Consultants NCB 1 0.79 91% 0.72 - 0.72 - - - 0.72 - 0.18 0.18 0.18 0.18 0.72 Project Management Office - V 2.61 46% 1.20 0.24 0.24 0.24 0.24 0.24 1.20 0.24 0.24 0.24 0.24 0.24 1.20
7.29 5.46 2.01 2.73 0.24 0.24 0.24 5.46 0.59 1.22 1.22 1.22 1.22 5.46
5 Unallocated Unallocated V 1.65 27% 0.45 - 0.15 0.15 0.15 - 0.45 - 0.11 0.15 0.15 0.04 0.45
TOTAL - GRANT 18.95 13.51 3.51 7.61 1.14 0.70 0.55 13.51 1.38 5.04 3.20 2.00 1.89 13.51
TOTAL - PROJECT 37.48 30.02 3.75 21.49 1.73 1.28 0.78 29.02 1.61 9.52 11.76 3.91 2.21 29.02
CONTRACT AWARDS DISBURSEMENTCat. Subprojects Mode ADB Financing
Package s
APPENDIX 2: CONTRACT AWARDS AND DISBURSEMENT PLAN - 2010
Value ADB Fin. % % $ mn $ mn Q1 Q2 Q3 Q4 Total of ADB Q1 Q2 Q3 Q4 Total of CA
Loan 2556 1 Civil Works
Water Supply District Metering ICB 1 2.14 76% 1.63 - - - - - - - - - - - #DIV/0! Water Supply Improvement ICB 1 2.69 76% 2.04 - - - - - - - - - - - #DIV/0! Rehabilitation of Sewerage Systems ICB 2 12.70 76% 9.63 - - - - - - - - - - - #DIV/0!
17.53 13.30 - - - - - - - - - - - #DIV/0!
2 Project Assistance Facility Project Management Office V 2.61 45% 1.17 0.06 0.06 0.06 0.06 0.23 20.00 0.06 0.06 0.06 0.06 0.23 100.00
2.61 1.17 0.06 0.06 0.06 0.06 0.23 20.00 0.06 0.06 0.06 0.06 0.23 100.00
3 Financing Charge Financing Charges V 1.00 100% 1.00 - - - - - - - - - - - #DIV/0!
4 Unallocated Unallocated V 1.65 63% 1.04 - - - - - - - - - - - #DIV/0!
TOTAL - LOAN 22.79 16.51 0.06 0.06 0.06 0.06 0.23 1.42 0.06 0.06 0.06 0.06 0.23 100.00
Grant 0163 1 Civil Works
Sanitary Landfills ICB/NCB 3 3.96 76% 3.01 - - - - - - - - - - - #DIV/0! Community WSS Facilities NCB V 1.62 76% 1.23 - - - - - - - - - - - #DIV/0!
5.58 4.24 - - - - - - - - - - - #DIV/0!
2 Equipment & Material Vehicles & Equipment a/ ICB/NCB 3 1.98 76% 1.50 - - - 0.45 0.45 30.00 - - - 0.45 0.45 100.00 Environmental Monitoring Equipment NCB 1 0.27 76% 0.21 - - - 0.06 0.06 30.00 - - - 0.06 0.06 100.00 SWM Equipment NCB/S 4 0.41 76% 0.31 - - - 0.09 0.09 30.00 - - - 0.09 0.09 100.00
2.66 2.02 - - - 0.61 0.61 30.00 - - - 0.61 0.61 100.00
3 Enterprise Resource Management Management Info. Systems NCB 1 0.59 76% 0.45 - - - 0.45 0.45 100.00 - - - 0.09 0.09 20.00 Twinning - 1 0.59 76% 0.45 - - - - - - - - - - - #DIV/0! GIS and Asset Inventory NCB 1 0.59 76% 0.45 - - - 0.45 0.45 100.00 - - - 0.09 0.09 20.00
1.77 1.34 - - - 0.90 0.90 66.67 - - - 0.18 0.18 20.00
4 Project Assistance Facility Design & Supervision Consultants NCB 1 3.89 91% 3.54 - - - 1.77 1.77 50.00 - - - 0.35 0.35 20.00 IEC Consultants NCB 1 0.79 91% 0.72 - - - - - - - - - - - #DIV/0! Project Management Office - V 2.61 46% 1.20 0.06 0.06 0.06 0.06 0.24 20.00 0.06 0.06 0.06 0.06 0.24 100.00
7.29 5.46 0.06 0.06 0.06 1.83 2.01 36.82 0.06 0.06 0.06 0.41 0.59 29.56
5 Unallocated Unallocated V 1.65 27% 0.45 - - - - - - - - - - - #DIV/0!
TOTAL - GRANT 18.95 13.51 0.06 0.06 0.06 3.33 3.51 25.99 0.06 0.06 0.06 1.20 1.38 39.29
TOTAL - PROJECT 37.48 30.02 0.12 0.12 0.12 3.39 3.75 12.48 0.12 0.12 0.12 1.26 1.61 43.09
CONTRACT AWARDS - FY10 DISBURSEMENT - FY10Cat. Subprojects Mode ADB Financing
Package s
-
-
-
Jun-10 Dec-10 Jun-11 Dec-11 Jun-12 Dec-12 Jun-13 Dec-13 Jun-14 Dec-14
Year
$ M
-
Year
$ M
-
-
-
Year
$ M
-
Year
$ M
-
-
-
Year
$ M
-
Year
$ M
Cat. & Contract
PCSS No. & WA
10-Jul-08 0019 9,000 -$ 9,000$ 9,000$ 91,000$ - -$ -$ 9,000$ 91,000$
-$ 9,000$
- -$ -$ 9,000$ 91,000$
10-Jul-08 0019 9,000 -$ 9,000$ 9,000$ 91,000$ - -$ -$ 9,000$ 91,000$
-$ 9,000$
- -$ -$ 9,000$ 91,000$
3 Financing Charges
4 Unallocated
Cat. & Contract
PCSS No. & WA
10-Jul-08 0019 9,000 -$ 9,000$ 9,000$ 91,000$ - -$ -$ 9,000$ 91,000$
-$ 9,000$
- -$ -$ 9,000$ 91,000$
2 Equipment & Materials NCB 100,000$
10-Jul-08 0019 9,000 -$ 9,000$ 9,000$ 91,000$ - -$ -$ 9,000$ 91,000$
-$ 9,000$
- -$ -$ 9,000$ 91,000$
3 Enterprise Resource Management
4 Project Assistance Facility
5 Unallocated
Activity
Plan Actual Plan Actual Plan Actual Plan Actual Plan Actual Plan Actual 1 Advertise EoI 05-Feb-10 05-Feb-10 05-Feb-10 05-Feb-10 05-Feb-10 05-Feb-10 2 Shortlist submitted to ADB 19-Mar-10 19-Mar-10 19-Mar-10 19-Mar-10 19-Feb-10 19-Mar-10
3 ADB approval of Shortlist 24-Mar-10 24-Mar-10 24-Mar-10 24-Mar-10 24-Feb-10 24-Mar-10
4 RFP submitted to CWUS 25-Feb-10 25-Feb-10 25-Feb-10 25-Feb-10
5 RFP submitted to COSO 26-Mar-10 26-Mar-10 26-Mar-10 26-Mar-10
6 COSO approval of RFP 05-Mar-10 05-Mar-10 05-Mar-10 05-Mar-10
7 RFP issued to consultants 25-Mar-10 25-Mar-10 25-Mar-10 25-Mar-10
8 Technical & financial proposals submitted 11-May-10 29-Apr-10 29-Apr-10 29-Apr-10 9 Evaluated proposal submitted to CWUS 17-May-10 14-May-10 14-May-10 14-May-10
10 Evaluated proposal submitted to COSO 20-May-10 18-May-10 18-May-10 18-May-10 11 COSO approval of technical evaluation 25-May-10 24-May-10 24-May-10 24-May-10 12 Opening of financial proposals 27-May-10 26-May-10 26-May-10 26-May-10 13 Evaluated proposals submitted to CWUS 04-Jun-10 31-May-10 1-Jun-10 2-Jun-10 14 Evaluated proposals submitted to COSO 07-Jun-10 2-Jun-10 3-Jun-10 4-Jun-10 15 COSO approval of highest evaluated proposal 11-Jun-10 8-Jun-10 9-Jun-10 10-Jun-10 16 Contract negotiations with first ranked firm 15-Jun-10 10-Jun-10 11-Jun-10 14-Jun-10 2-Mar-10 10-Mar-10 17 Draft contract submitted to CWUS 17-Jun-10 14-Jun-10 15-Jun-10 16-Jun-10 6-Mar-10 14-Mar-10 18 Contract signed with winning firm 22-Jun-10 17-Jun-10 18-Jun-10 21-Jun-10 9-Mar-10 19-Mar-10
B. Timeline for Procurement of Works and Goods
Activity
Plan Actual Plan Actual Plan Actual Plan Actual Plan Actual Plan Actual 1 Draft document submitted to ADB 1-Jul-10 12-Feb-10 12-Feb-10 12-Feb-10 14-Mar-10 14-Mar-10 2 ADB approval of document 15-Jul-10 15-Feb-10 15-Feb-10 15-Feb-10 24-Mar-10 24-Mar-10 3 RFQ issued to bidders 19-Jul-10 16-Feb-10 16-Feb-10 16-Feb-10 4 SOQs submitted by bidders 18-Aug-10 6 Evaluated PQs submitted to ADB 25-Aug-10 8 ADB approval of prequalified contractors 8-Sep-10 9 Prequalification letter issued to contractors 10-Sep-10
10 ICB issued to prequalified contractor 28-Mar-10 28-Mar-10 11 Bids submitted 2-Mar-10 2-Mar-10 2-Mar-10 28-Apr-10 28-Apr-10 12 Bid evaluation report (BER) submitted to ADB 5-Mar-10 5-Mar-10 5-Mar-10 5-May-10 5-May-10 13 ADB approval of BER 9-Mar-10 9-Mar-10 9-Mar-10 15-May-10 15-May-10 14 Contract negotiations 22-May-10 22-May-10 15 Draft contract submitted to ADB 24-May-10 24-May-10 16 Contract signed with winning firm 12-Mar-10 12-Mar-10 12-Mar-10 26-May-10 26-May-10
RFP = Request for Proposals; RFQ = Request for Qualifications; SOQ = Statement of Qualification;
Prequalification Document (ICB)
SWM tools, receptacles and equipment, and
BRD/IDEP equipment (NCB)
(Shopping)
SWM Vehicles, Vodokanal vehicles and
equipment (ICB)
Design & Supervision
APPENDIX 6: QUARTERLY PROGRESS REPORT FORMAT
All information to be provided for quarterly preceding issuance of report and completed by a recapitulation showing status from project inception.
Section A: Implementation Progress 1 General data on progress in implementation 2 Problems encountered and resolved 3 Other issues pending 4 Other information or data relevant for project 5 Safeguard compliance on projects 6 Updated implementation progress (attach excel spreadsheet on implementation plan)
Section B: Procurement Information 1 Detailed report on procurement activities
a) Status of bidding documents b) Status of bids in progress c) Contracts awarded d) Contracts closed e) Contracts with issues
2 Procurement plan for next quarter (or updated procurement plan spreadsheet)
Section C: Financial Information 1 Disbursement status 2 Special account status 3 Loan and Grant commitments 4 Contract payments 5 Status of audits 6 Other financial management issues
Section D: Other Information 1 Major/minor change in scope
a) Cost escalations b) Revision in cost category c) Change in implementation procedures
2 Major activities planned for next quarter
1
Documentation Primary Agency
Secondary Agency
A Project Implementation 1 Executing Agency • hold monthly meetings with the PMO • submit progress and other reports to the SC • Technical expertise and State Ecological Expertise obtained prior to
awarding relevant contract
• ensure relevant Project covenants are complied with; and • closely coordinate with ADB on all other matters related to the Project
implementation
2 Steering Committee • established within one (1) month from the Effective Date • a representative from the Prime Minister's Office is designated as the
chairperson
• shall also have representatives from relevant Ministries and other state entities as necessary
• meets at least once every three (3) months; • decides on matters related to the Project throughout the Project
implementation period;
• oversees progress on relevant action plans of sustainable development of the ecological and economic system of Issyk-Kul
• primarily responsible for guiding the development in the Issyk-Kul oblast
• uses the outcome of the Project to formulate relevant policies on WSS, and institutional effectiveness for urban sector development.
3 Project Management Office (PMO) • also acts as SC secretariat Staffing: • Project Director
• Office Manager/Translator • Procurement Specialist • Financial Manager
• Project Performance Monitoring Specialist (National consultant)
PMO Responsibilities: • oversees day-to-day Project implementation at the central level • oversees Project accounting and auditing • obtains all technical expertise and SEE required by the law for any
works prior to awarding relevant contract
• conducts PPMS surveys;
Secondary Agency
• monitors Project covenants compliance by the Project cities • carries out all Project related procurement work with the assistance
of relevant consultants engaged under the Project; and
• compiles and submits Project related reports. 4 Project Implementation Office (PIO) Staffing: • Project Manager, who will report directly to the PMO Project Director
and the Governor of the Issyk-Kul oblast,
• Accountant • Office Manager/translator • Information Technology Specialist International consultants: • WSS Specialist • Environmental Management Specialist • SWM Specialist National consultant • Social Development and Gender Specialist
PIO Responsibilities: • manages detailed surveys, investigations and engineering designs for
all Parts of the Project;
• provides updates on the EIA and the EMMP; • administers Project related contracts with support from vodokanal
enterprises and tazalyk enterprises at the Project City level
• ensures quality control of Project implementation • evaluates relevant Works by contractors and • certifies Project related payments • conducts public awareness campaigns and participation programs. • oversees development of relevant maps for the Project Cities based
on satellite imagery;
• supervises mapping of urban infrastructure assets of the Project Cities on related city maps;
• rolls out management information system and accounting software in the Project Cities; and
• finalizes draft contracts for performance-based services required under the Project.
5 Environmental Management and Monitoring Plan • The Beneficiary ensures that the EMMP is duly implemented by
IDEP and BRD,
• IDEP is made directly responsible for mitigating and monitoring relevant environmental impacts during Project design, construction and operations;
Appendix 7
• BRD complements IDEP's aforesaid activities through a parallel monitoring function
• ensures that all Project activities comply with the environmental laws and regulations of the Beneficiary within relevant biosphere reserve
• both IDEP and BRD are adequately staffed and equipped to perform the functions as required above.
6 Project Performance Monitoring System Within six (6) months from the Effective Date, the Beneficiary shall cause
PMO to:
• establish a PPMS acceptable to ADB • conduct initial baseline physical and socioeconomic surveys • submit to ABD for approval a detailed implementation plan for
benchmarking Project information and monitoring related performance.
7 Project Review • a monthly Project review is carried out by MOF based on monthly
performance reports prepared and submitted by the PMO for each Project City
• copies of such monthly performance reports are sent to Issyk-Kul oblast administration office, SC, and ADB
• a quarterly Project review is carried out by SC, during which relevant monthly reports submitted by the PMO
• major policy issues, and actions required or taken by relevant authorities are examined and discussed
• results are circulated to MOF, SAEPF, the Issyk-Kul oblast administration office, and Project Cities.
• semi-annual Project review shall be carried out by ADB • a comprehensive midterm review shall be carried out jointly by the
Beneficiary and ADB twenty-four (24) months after the Effective Date
8 Auditing and Reporting • maintain separate accounts for the Project, including separate
accounts for the Loan and the Grant;
• have such accounts and related financial statements audited annually, in accordance with appropriate auditing standards
• independent auditors qualifications, experience and terms of reference are acceptable to ADB
• furnish to ADB, as soon as available but not later than six (6) months after the end of each related fiscal year, certified copies of
− audited accounts − financial statements
Secondary Agency
− report of the auditors (including the auditors' opinion on the use of the Loan proceeds and the Grant proceeds and compliance with the Financing Agreement including use of imprest accounts and SOE procedures) and
• all reports in English language • furnish ADB other information on such accounts, and financial
statements and the audit, as ADB shall from time to time reasonably request.
• upon ADB's request, discuss the Beneficiary's financial statements for the Project and its financial affairs related to the Project from time to time with the auditors appointed by the Beneficiary pursuant to Section 4.02(a)
• authorize and require any representative of such auditors to participate in any such discussions requested by ADB, provided that any such discussion shall be conducted only in the presence of an authorized officer of the Beneficiary unless the Beneficiary shall otherwise agree.
• enable ADB's representatives to inspect the Project, the Goods financed out of the proceeds of the Loan and/or the Grant, and any relevant records and documents.
• ensure all entities involved in Project implementation maintain separate records and accounts for the utilization of the respective proceeds of the Loan and the Grant.
• MOF to prepare, and submit to ADB - (a) within twenty (20) days after each quarter, a quarterly report, and - (b) within thirty (30) days after each year, an annual report, each on
the implementation status and progress of the Project.
B Financial Matters 9 Fund Flow and Counterpart Funding • ensure smooth Project fund flow in accordance with the mechanism
agreed with ADB.
• ensure that all funds and other resources required for implementing the Project are provided on a timely basis in accordance with the financing plan agreed for the Project.
10 Financial Improvement Action Plans • by January 2011, each of the Project Cities prepares a financial
improvement action plan to revise the water, sewerage and solid waste management fees in order to meet at least the operations and maintenance cost for relevant services provided
• each of the aforesaid action plans is properly implemented. 11 Availability of Viability Gap Funding • available to each of vodokanal enterprises and tazalyk enterprises in
Appendix 7
Secondary Agency
the Project Cities to bridge the revenue shortfall in their respective operations;
• relevant vodokanal enterprises or tazalyk enterprises concerned, shall have met the relevant performance standards set out in its annual operating plan approved by the council of the Project City in question.
• progressively implement tariff increases with the goal of achieving full cost recovery, subject to the affordability of consumers in the territory of the Beneficiary.
C Other Implementation Covenants 12 Compliance with ADB's Anticorruption Policy • comply with, ADB's Anticorruption Policy (1998, as amended to
date) and ADB's policy relating to Enhancing the Asian Development Bank's Role in Combating Money Laundering and the Financing of Terrorism (2003).1
13 Anticorruption policy compliance in contracts • acknowledges ADB's right to investigate, directly or through its
agents, any alleged corrupt, fraudulent, collusive or coercive practices relating to the Project
• agrees cooperate fully with any such investigation and to extend all necessary assistance
• agrees to refrain from engaging in money laundering activities or financing of terrorism
• allows ADB to investigate any violation or potential violation of the aforesaid undertakings concerning combating money laundering and financing of terrorism
• ensure that all contracts financed by ADB in connection with the Project include provisions specifying the right of ADB to audit and examine the records and accounts of all contractors, suppliers, consultants and other service providers as they relate to the Project.
14 Transparency and Good Governance • MOF to disclose on its website, and update annually, information on
the status of the Project and how the proceeds of the Loan and the Grant are used respectively.
• For each contract financed under the Project, the Beneficiary shall also cause MOF to disclose on its website information concerning, among others:
- list of participating bidders - name of winning bidder - basic details on bidding procedures and procurement methods
1 Updated per ADB's Safeguard Policy Statement, 2009.
Appendix 7
Secondary Agency
adopted - amount of contract awarded - list of Goods/services, including consulting services, procured - intended and actual utilization of the proceeds of the Loan and/or the
Grant, as the case may be, under each contract
15 Environment • compliance with ADB's Environment Policy (2002)2 • relevant environmental mitigation measures specified in the EMMP
are incorporated into relevant bidding documents (BDs) and Works contracts
• prior to issuing the BDs for any Works, the EMMP has been approved by ADB
• all technical expertise as well as SEE required by the law for such Works have been obtained
• all mitigation measures and monitoring requirements in EMMP are fully carried out throughout the Project implementation
• environmental performance of the Project is rigorously monitored • a report describing the progress of EMMP implementation including
related issues and recommendations is submitted to ADB on a semi- annual basis.
16 Land Acquisition and Resettlement (LAR) Related activities are not envisioned by the Beneficiary under the
Project. If needed,
• promptly inform ADB of such a need • prepare relevant safeguard documents in accordance with all
applicable laws and regulations of the Beneficiary, and ADB's Policy on Involuntary Resettlement (1995)3 for approval of ADB
• cause and ensure that all relevant Works commence, and contractors are mobilized only after that the related LAR plan as approved by ADB has been disclosed to the affected people and properly carried out
• all land and rights-of-way required for carrying out the relevant Project activities are made available by the Beneficiary in a timely manner
• activities of all relevant contractors are in compliance with the LAR plan approved by ADB.
• If there is any discrepancy between the Beneficiary's relevant laws and regulations, and the requirements of ADB's Policy on
2 Updated per ADB's Safeguard Policy Statement, 2009. 3 Updated per ADB's Safeguard Policy Statement, 2009.
Appendix 7
Involuntary Resettlement (1995),4 ADB's policy shall apply. 16 Implement LAR recommendation • ensure that all recommendations in the LAR due diligence report
prepared for the Project are fully implemented and the relevant results are reported to ADB
17 Indigenous People • are not envisioned to be negatively affected under the Project • If a negative impact occurs during the implementation of the Project,
the Beneficiary shall cause MOF to ensure that the Project is carried out in accordance with the requirements of ADB's Policy on Indigenous Peoples (1998)5
18 Labor • each of the Works contractors complies with all applicable labor,
health, and safety laws and regulations of the Beneficiary
• contains provisions prohibiting use of child labor • wages of male and female workers of equal value • healthy, safe and secure working conditions to contractors and
consultants
• mandatory provision of adequate medical, life and disability insurance for employees
• requirement to carry out periodic HIVIAIDs awareness and prevention programs for labor
• disseminates information concerning the risks of sexually transmitted diseases and HIV/AIDs as part of health and safety measures for employees.
• all contractors and their employees observe local protocols concerning acceptable behavior toward the local population
4 Updated per ADB's Safeguard Policy Statement, 2009. 5 Updated per ADB's Safeguard Policy Statement, 2009.
CONTENTS
IX. Anticorruption, Transparency and Accountability
APPENDIXES
APPENDIX 2: CONTRACT AWARDS AND DISBURSEMENT PLAN - PROJECT
APPENDIX 3: CONTRACTS AWARD AND DISBURSEMENT GRAPH
APPENDIX 4: DISBURSEMENT MIS
APPENDIX 6: QUARTERLY PROGRESS REPORT FORMAT
APPENDIX 7: COVENANT COMPLIANCE