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SUMMARI SED PROCUREMENT

PROCEDURES FOR
WORLD BANK FUNDED ETRP
AND
ASI AN DEVELOPMENT BANK
FUNDED TEAP
CONTENTS
SI.
No.
Particulars Page No.
1 Detailed Guidelines on Procurement and Subproject
Preparation & Approval Under ADB assisted TEAP
1 - 36
Annexure - A1
Flow Chart of Procurement process for purchase of
Works / Goods Contract under World Bank funded ETRP
37
Annexure - A2
Summarised Procurement Procedure as per World Bank
guidelines
39- 42
Annexure - B1
Flow Chart of Procurement process for Works / Goods
for ADB funded TEAP
43
Annexure - B2
Summarised Procurement process of Civil Works and
Goods / Materials under ADB funded TEAP
45- 48
Annexure - C
Methods of Selection of Consultants / Firms under World
Bank funded ETRP and ADB funded TEAP
49- 62
Annexure -D 63
Letter from Asian Development Bank dated 22.12.2005
GUDELINES ON PROCUREMENT AND SUBPROJ ECT PREPARATION & APPROVAL
UNDER ADB ASSISTED TEAP
CONTENTS
I. SELECTION/ENGAGEMENT OF CONSULTANTS
A. Consulting firms
B. Individual consultants
II. PROCUREMENT OF CIVIL WORKS AND GOODS
A. Procurement of Civil Works
B. Procurement of Goods
C. Other Salient Features of Procurement
III. STEPS INVOLVED IN SELECTION AND APPROVAL OF SUBPROJ ECTS
IV. INVOLUNTARY RESETTLEMENT AND ENVIRONMENTAL ASSESSMENT AND
FOLLOW UP ACTIONS
V. NOTE ON PROCUREMENT THROUGH COMMUNITY PARTICIPATION
VI. APPLICATION FORMAT FOR SUBPROJ ECTS UNDER LIVELIHOOD
COMPONENT OF ADB ASSISTED-TEAP
Appendix I - Involuntary Resettlement Screening Checklist
Appendix II - Rapid Environmental Assessment Checklist
GUDELINES ON PROCUREMENT AND SUBPROJ ECT PREPARATION AND APPROVAL
UNDERTEAP
I. SELECTION/ENGAGEMENT OF CONSULTANTS
A. Consulting Firms
1. Direct Selection
Direct selection means that the borrower invites only one firm to submit a technical proposal and
does not use a competitive procedure for selecting a consulting firm. Under the streamlined
procedure for Tsunami emergency assistance ADB approves direct selection in special cases
with adequate justification, for example, because a firm was previously involved in a project with
urgency for mobilization as the paramount consideration. The concerned EA needs to obtain
prior approval from the ADB for use of direct selection method. (Approval limits: Resident
Mission upto $250,000 and from $250,000 to $1,000,000 to COCS director).
2. Biodata Technical Proposal
Applying ADB's Quality and Cost Based Selection method the firms can be invited to submit
Biodata Technical Proposal for all contracts under $1,000,000. The following are the details of
this method:
Salient Features:
1. Loan projects using BTPs are listed in ADBBO on ADB's web site for at least 7 days before
the planned date of short listing.
2. Firms are allowed 14 days to prepare BTPs.
3. BTPs are short proposals and consist of a graphical work plan, a personnel schedule, and
the biodata of each proposed consultant. The biodata of each proposed consultant is limited
to 5 single-sided pages. The evaluation weights are fixed and cannot be adjusted by the
borrower:
personnel schedule and work plan 100 points
personnel 900 points
Total 1,000 points
Steps Involved in the Selection Process
1. The borrower provides information to the Project divisions to list all loan/grant projects
requiring consulting services in ADB Business Opportunities (ADBBO) on ADB's web site
before short listing. A minimum of 7 days listing is required for BTP.
2. The EA will prepare a long list, which normally includes 15-20 technically qualified firms
with experience in similar projects.
3. Thereafter the EA will prepare a shortlist of five to seven firms.
4. The EA next finalizes the detailed TOR and recruitment schedule, and prepares the
request for proposal (RFP) documents, a draft contract, a format for evaluating the
consultant's performance and narrative evaluation criteria. The RFP states the borrower's
budget for the consulting services and that the costs of the financial proposals, after the
borrower evaluates them, are expected not to exceed this budget. The EA then makes its
first submission to ADB.
technical and financial proposals. The EA and the firm may make minor changes in the
quantities of the cost items in the financial proposal, but may not change the firm's
proposed rates for remuneration and expenses. When asked by the EA, the ADB may
provide a staff member to assist with the contract negotiations, if one is available.
16. If the EA and the firm cannot reach agreement, the EA may terminate the negotiations with
ADB's prior agreement and start negotiations with the next-ranked firm in turn until an
agreement is reached.
17. After reaching an agreement with the selected firm, the EA makes its fourth submission to
ADB. The borrower submits the draft negotiated contract and the minutes of the contract
negotiations. The concerned division reviews and approves the documents. ADB makes
sure that the negotiated terms and conditions are satisfactory advises the borrower of its
decision.
18. After receiving ADB's approval, the EA signs the contract, obtains the consultant's
signature, and submits a copy to ADB for its records. After receiving the signed contract,
ADB checks that it is substantially the same as the draft-negotiated contract approved
earlier.
19. The EA returns the unopened financial proposals of the firms whose technical proposals
scored less than 750 points.
B. Individual Consultants
EA can apply direct selection for any level of engagement if the contract value is less than, or
equal to, $50,000 and assignment period is for up to 6 months. If the contract value is in
excess of $50,000 and/or assignment period is for over 6 months, then prior resident mission
approval is required if direct selection is proposed. Any individual consultant selection for
contracts in excess of $50,000 and/or for over 6 months will follow current applicable ADB
procedures (i.e. submission of three possible candidates). Any extensions of contract or
variations that are valued at over 15% of contract value (or relate to change in remuneration
rate of an individual consultant of over 10%) require prior resident mission approval.
5. Upon concurrence by the ADB the EA sends the RFPs to the consultants on the shortlist.
The RFPs ask the consultants to submit technical and financial proposals at the same time
in separate sealed envelopes. The Consultants are given 14 days time to submit the
proposals. Any proposals received after the stated deadline are rejected.
6. The EA evaluates the proposals in two stages: first, the quality of the technical proposals,
and second, the cost of the financial proposals. The EA securely stores the unopened
financial proposals and opens the technical proposals. The EA then evaluates the
technical proposals using the evaluation criteria approved in the first submission.
7. The EA then makes its second submission to ADB. The EA submits the documents
included in its first submission plus a technical evaluation report that includes:
a summary evaluation sheet, highlighting any proposal that scored less than the
minimum of 750 points out of 1,000;
a personnel evaluation sheet for each proposal;
comments on the strengths and weaknesses of each proposal; and
minutes of the evaluation meeting(s).
8. ADB then reviews and approves the technical evaluation report and the concerned division
will then advise the EA of its decision.
9. The EA then informs the firms whose technical proposals scored 750 points or more of the
time and place where the EA will publicly open their financial proposals. The EA also
advises ADB when and where the opening will take place.
10. At the public opening, the EA records the names of those attending and reads aloud the
technical scores of the firms whose proposals scored at least 750 points. The EA then
opens those firms' financial proposals and reads aloud the total price shown in each
proposal. All the other information in the financial proposals is kept confidential. The EA
prepares minutes of the proceedings.
11. The EA next evaluates the financial proposals. The EA
checks that the commercial terms in the proposals comply with the requirements in the
RFP
corrects any mathematical errors
makes sure that the costs of all the items in each firms' technical proposals are
included in their financial proposals
makes sure that the proposals include the costs of any provisions the firms stated and
of the contingency amount specified in the RFP
makes sure the proposals exclude any identified local income tax on the international
experts, and
converts any amounts in other currencies to US dollars using the source for the
exchange rates that was stated in the RFP.
12. The EA then calculates the score of each financial proposal by dividing the price of the
lowest priced proposal by the price of the proposal being considered and multiplying the
result by 1,000. The EA then calculates the total score for each firm by adding 80% of the
technical score to 20% of the financial score ranks the firms based on their total scores
and prepares a financial evaluation report.
13. The EA then makes its third submission to ADB. The EA submits the documents
included in its first two submissions plus the minutes of the public opening, the financial
evaluation report, the ranking, and the minutes of the financial evaluation meeting(s).
14. The ADB then reviews and approves the documents and advises its decision to the EA.
15. The EA then negotiates a contract with the first-ranked firm. The negotiations include the
firm's methodology, work plan, and personnel schedule; the EA's counterpart facilities; and
the quantities of cost items in the firm's financial proposal. Any changes made in the TOR
requirements are minor because no substantial change may be made in the firm's
II. PROCUREMENT OF CIVIL WORKS AND GOODS
A. Procurement of Civil Works
1. For contracts up to $100,000, direct contracting/limited tendering procedures will be
followed with reduced bidding/evaluation periods of two days.
2. Local competitive bidding procedures for contracts up to $10 million with open tendering
within the country. The bidding period will be 15-21 days and evaluation, 15-30 days.
3. For contracts above $10 million, international competitive bidding (ICB) procedures will
be followed with reduced bidding/evaluation periods of 30 days.
1. Direct Contracting
The works can be awarded directly to the contractors whose track record with the EA is
satisfactory subject to the condition that prices proposed to be paid are reasonable and that
competitive process in unlikely to result in any major savings.
2. Local Competitive Bidding (Single-Envelope-Two-stage)
This is the most preferred mode of procurement under.
Salient Features
1. Contractors from all member countries are entitled to bid for contracts under LCB. ADB
requires the borrowing countries to permit such participation, but foreign bidders must
adhere to local procedures acceptable to ADB, including using the local language and
paying in local currency, if required by the bidding documents. Under LCB, the delivered
cost of materials including import duties and other taxes may be used when comparing bids.
ADB's domestic preference policy does not apply to LCB.
2. Borrowers are to be encouraged to use ADB-approved standard bidding documents for
LCB. This will help ensure high quality and consistency in the documents and will hasten
ADB's review. The documents must reflect local procurement requirements and be
acceptable to ADB by not contravening the basic principles underlying the Guidelines for
Procurement
Steps Involved in Local Competitive Bidding
1. The EA prepare list of works to be procured and draft bidding documents. ADB requires
prior review of all bidding documents and award recommendations for the works
estimated to cost more than $1 million. The bid documents are prepared single stage for
two-envelope system.
2. Upon concurrence by the ADB of the bidding document, the EA advertises in the local
English newspapers and issues bidding documents. For works estimated to cost more
than $1 million General Procurement Notice is also published in the ADBBO
simultaneously.
3. EA conducts public opening of bids and evaluates the proposals in two stages: first, the
quality of the technical proposals, and second, the cost of the financial proposals. The
EA securely stores the unopened financial proposals and opens only the technical
proposals. EA prepares the record of bid opening and evaluates the technical proposals
using the evaluation criteria as indicated in the bidding documents.
4. ADB then reviews and approves the technical evaluation report and the concerned
division will then advise the EA of its decision.
5. EA then notifies the qualified bidder the date, time and venue of public opening of price
bids and conducts another public bid opening and prepares the record of bid opening.
6. EA then evaluates bids, prepares bid evaluation report and submits to the ADB after
clearance from its committees to the ADB for approval along with the submission made
earlier.
7. ADB then reviews and approves the financial evaluation report and the concerned
division will then advise the EA of its decision.
8. EA then enters into agreement with the successful bidder after completing the formalities
as described in the bidding documents and sends a copy of the contract agreement to
ADB.
3. International Competitive Biding
Since it is expected that this mode of procurement is unlikely to be used, the detailed steps are
not being provided here. However in case required ADB's Procurement Guidelines will be
followed.
B. Procurement of Goods
1. Direct purchase procedures for contracts up to $100,000 to be awarded within 2- 4
days.
2. International shopping procedures will be followed for contracts up to $1 million.
3. Above $1 million, ICB procedures will be followed.
1. Direct Purchase
Direct purchase is allowed by ADB in any of the following circumstances and for contracts up to
$100,000 to be awarded within 2- 4 days:
when buying small or off-the-shelf items valued at less than $100,000;
when standardization is important, and equipment and spare parts needed to expand or
repair existing equipment must be procured from the original supplier or from a supplier
of identical goods;
when the equipment or goods is proprietary and obtainable only from one supplier; and
when critical items are to be procured from specialist suppliers;
2. International Shopping (Follow ADB's Standard Bidding Document)
International shopping (IS) will be followed for contracts up to $1 million.
Steps Involved in International Shopping:
1. The EA prepares list of goods to be procured and prepares draft-bidding documents
and submits to ADB for review.
2. ADB reviews and concurs with the draft bidding documents and informs the EA.
3. EA then advertises notice inviting bids in local English newspapers and then makes the
bidding documents available and alsc informs ADB of the advertisement.
4. EA also issues written invitations to at least three bidders from more than one member
countries.
5. EA then conducts a public opening of bids, prepares minutes of bid opening and carries
out the evaluation of bids in the same manner as that for ICB and submits to ADB for
review the bidding documents including the details of details of bid opening procedures,
minutes of bid opening, the bid evaluation report, the results of the evaluation; and a
certificate of eligibility of the contract where required by ADB.
6. ADB then reviews and concurs with the evaluation report and informs its decision to the
EA.
7. EA then notifies the successful bidder and enters into the agreement with him after
completing the requirements as described in the bidding documents and submits to
ADB the signed contract.
3. International Competitive Bidding
Since it is expected that this mode of procurement is unlikely to be used, the detailed steps are
not being provided here. However in case required ADB's Procurement Guidelines will be
followed.
C. Other Salient Features of Procurement
Post qualification with single or two-envelope (preferable) procedures and usage of the
existing contractor registration system is acceptable.
ADB will conduct prior review of bidding documents and award recommendations for all
packages estimated to cost $1,000,000 and above.
For contracts estimated to cost less than $1,000,000, ADB will review and approve the
first two contracts for each IA.
Once ADB is satisfied with the EA's procurement procedures, post-facto approval
procedures will be followed.
However, at a later stage, if ADB determines that its guidelines were not followed, ADB
may not approve the award or terms of the contract and the Government cannot use
loan or grant proceeds to finance the contract.
If the loan or grant proceeds are already used to finance such contracts at the time of
such determination, the Government will refund to ADB any such expenditure incurred.
Rebidding and extension of bid validity will be subject to ADB prior approval.
Community participation in procurement of small works of a simple nature is
encouraged.
1
(For Details see attached Note on Community Participation - preferred
for items under livelihood support/restoration such as community ponds, small fish
processing/landing centre - to be implemented through NGO's/CBO's/SHG/Community
Management Committee /cooperatives).
1
To encourage community participation and use of indigenous materials, methods to incorporate community
participation in procurement may be used for rural and municipal infrastructure. Small works contract with an
estimated cost of $20,000 or less in each case may be awarded to community organizations in accordance with
practices and procedures acceptable to ADB.
III. STEPS INVOLVED IN SELECTION AND APPROVAL OF SUBPROJ ECTS
1. Implementing Agency prepares a Project Concept Report in the following format:
Loan No. 2166-IND: Tsunami Emergency Assistance Project (TEAP)
OR (CHOOSE ONE)
Grant No. 0005: Tsunami Emergency Assistance Project (TEAP)
(SUBPROJ ECT TITLE HERE)
SUBPROJ ECT CONCEPT NOTE
A. SUBPROJ ECT PURPOSE
B. SUBPROJ ECT QUALIFICATION WITH RESPECT TO TEAP ELIGIBILITY CRITERIA
C. SUBPROJ ECT COMPONENTS AND COST ESTIMATES
D. SUBPROJ ECT FINANCING
E. TECHNICAL FEASIBILTY
Summary on Cost Effectiveness
Design Standards
Necessary approvals,
F. LAND ACQUISITION AND RESETTLEMENT IMPACTS (Appendix 1: Involuntary
Resettlement Checklist)
IR impacts
Indigenous Peoples Impacts, where necessary
G. ENVIRONMENTAL SCREENING AND ASSESSMENT (Appendix 2: REA Checklist)
2. PMU reviews the Project Concept Report and upon finding that the project complies with the
ADB's eligibility requirements forwards the Project Concept Report to ADB (First
Submission) for review.
3. ADB reviews the Project Concept Report and advises the PMU on:
a. Requirements of preparation of Resettlement Plan, carrying out the IEE/EIA if the
proposed subproject satisfies the eligibility requirements
b. How to modify the subproject proposal so as to make it eligible for approval
c. Replacement of subproject if it can not be approved.
4. The PMU will communicate to the IA the requirements based on the review by ADB
5. IA to revise/modify or prepare alternate proposal or go ahead with the preparation of
Feasibility Report, Preliminary/Detailed Design, Resettlement Plan and IEE/EIA as the case
may be.
6. In case of revision/modification or replacement of the subproject proposal IA to go to step 2
or else disclose the Resettlement Plan and IEE/EIA.
7. IA to submit the Preliminary/Detailed Design Report along with Resettlement Plan (if
required) and IEE/EIA (if required) to PMU.
8. PMU to review the Preliminary/detailed Design Report and if it finds that the Subproject is
technically, environmentally and socially viable and prepare a Summary Appraisal Report in
the following format:
Loan No. 2166-IND: Tsunami Emergency Assistance Project (TEAP)
OR (CHOOSE ONE)
Grant No. 0005: Tsunami Emergency Assistance Project (TEAP)
(SUBPROJ ECT TITLE HERE)
SUMMARY APPRAISAL REPORT (SAR)
A. Purpose
B. Eligibility
C. Scope and Components
D. Cost Estimate and Financing
E. Technical Feasibility (Appendix 1: Feasibility Report)
F. Implementation
1. Implementation Schedule
2. Design and Construction Supervision Mechanism
3. Consulting Services
4. Operations and Maintenance
5. Monitoring and Quality Control
G. Procurement Methodology
H. Land Acquisition and Involuntary Resettlement Impacts (Appendix: Full /Short
Resettlement Plan, if necessary)
I. Environment Impact and Mitigation Measures (Appendix: IEE/EIA, if necessary)
J . Benefits
K. Stakeholder Consultations and Beneficiary Participation
9. PMU to forward the Summary Appraisal Report to ADB (Second Submission) for review
and approval.
10. ADB to review and:
a. approve the subproject, or
b. advise the PMU on remedial actions to make the project fully compliant (go to step
5), or
c. reject the subproject (go to step 1).
IV. INVOLUNTARY RESETTLEMENT AND ENVIRONMENTAL ASSESSMENT AND
FOLLOW UP ACTIONS
All subprojects shall have to go through an involuntary resettlement and environmental
compliance assessment. As a first step for all subproject an involuntary resettlement and rapid
environmental assessment checklist will have to be filled up, which will help in categorization of
the subproject and decide the future course of action.
Involuntary resettlement:
Involuntary Resettlement category 'A' - Substantial Impact, more than 50 families are
affected - Prepare a Full Resettlement Plan that will be approved by the ADB in
accordance with the set procedures.
Involuntary Resettlement category 'B' - Small Impact, less than 50 families are affected
- Prepare a Short Resettlement Plan that will be approved by the ADB in accordance
with the set procedures.
Involuntary Resettlement category 'C' - No Impact or resettlement, - Proceed with
project formulation and implementation.
Environmental Impact
Environmental category 'A' - Substantial Adverse Impact, - Carry out full scale EIA and
upon approval and disclosure proceed with the work after including the EMP as part of
the works.
Environmental category 'B' - Some Adverse Impact, - Carry out IEE and upon approval
and disclosure proceed with the work after including the EMP as part of the works
Environmental category 'C' - No Adverse Impact - Proceed with project formulation and
implementation.
Screening Formats are attached as Appendix I (Involuntary Resettlement Screening Checklist)
and II (Rapid Environmental Assessment Checklist).
V. NOTE ON PROCUREMENT THROUGH COMMUNITY PARTICIPATION
A. Background
Experience has shown that active and dedicated participation of the key stakeholders in the
design and implementation of projects, especially those at the grass-roots level, contribute
significantly to the sustainability of developmental activities, through increased ownership and
more effective use of grass roots level inputs. The Framework for Mainstreaming Participatory
Development Process lists additional benefits such as (i) more appropriate intervention, (ii)
better implementation and sustainability, (iii) better utilization and increased ownership, (iv)
greater efficiency and better planning, (v) greater transparency and accountability, and more
importantly (vi) increased equity and empowerment through greater involvement of the poor,
women, and other disadvantaged groups. However, participation also involves risks, such as (i)
being time and resource intensive; (ii) logistically difficult; (iii) conflicts among stakeholders; (iv)
consultative groups not duly represented; (v) higher expectations; (vi) domination by powerful
and more educated elite; and (vii) lack of adequate capacity.
B. Eligibility Criteria
Selection of a community-based subproject will depend on the objectives of the Project.
Alternately, the needs of the community will guide the design of the Project. Project documents
should clearly identify the sectors and type of subprojects that will be supported, in consultation
with the target communities. Some indicative important criteria for subproject selection are
shown below. Mission leaders may modify, add, or delete some of those listed as appropriate
The proposed subproject should have been identified for implementation through
community participation.
The estimated cost of the subproject should be less than $20,000.
The proposed subproject should benefit the target beneficiaries.
The proposed subproject should address the needs of the community in terms of priority.
Due consideration should be given to locating, designing, implementing, and operating
the subproject in order to minimize any adverse impacts on the environment and
indigenous people. Suitable mitigation measures should be incorporated in the Project
decision that could be undertaken within the capacity of the community.
Normally, no resettlement should be necessary. However, if absolutely necessary,
suitable safeguards in accordance with ADB's Policy on Involuntary Resettlement should
be adequately addressed.
The community should demonstrate adequate capacity to execute or supervise the
project. If not, acceptable arrangements should exist to appoint a capable qualified
service provider.
Construction methods should be labor intensive.
The community should indicate its willingness to participate with counterpart funds or in
kind, such as labor and should confirm such to ensure suitability of the facilities by
organizing recurrent operation and maintenance (O&M) works, if required.
Projects requiring continuous recurring costs to operate, such as vehicles and
generators, are not eligible unless cost recovery mechanisms are built in.
The scope of work should be simple so that implementation by the community is the
most practical solution.
'I
The community, NGO or service provider should not have been declared ineligible by
the government due to unsatisfactory performance or otherwise in earlier executed
projects.
The community, or its nominated representative, should be authorized legally to sign a
contract for procurement purposes and should follow approved procurement procedures.
A realistic implementation plan should be prepared and approved by all concerned
parties.
C. Project Selection Procedures
A selection committee comprising representatives of the PIU and EA, district authorities, NGOs,
local government, and representatives of the community shall assess the feasibility, viability and
applicability of the project. The community should be represented by an elected group of
persons, which can be called the Managing Committee (MC). The MC should comprise a wide
spectrum of the community including adequate representation from women and the
disadvantaged. All subprojects shall be subject to endorsement by the PIU or EA, as applicable.
Care should be taken to ensure that MC elections are fair and transparent and all sections of
society are allowed to express their views in the decision making process. Subproject selection
criteria should be fully transparent and fair. Assessment guidelines should be finalized in
advance and should also be based on a thorough evaluation of the project proposals or through
data collection based on responses to standard questionnaires or wide consultation, or both.
Acceptable scientific assessment methods may be adopted. However, selection processes may
vary depending on the project but the basic tenets to be taken into consideration are
transparency, fairness, capacity- evaluation, project viability, gender and sustainability. A
flexible approach is recommended. Once a subproject is approved, the PIU or EA and MC will
enter into an implementation agreement.
D. Project Management
Though decentralization is welcome, the PIU or EA, or both, will have to assume certain
responsibilities of overseeing the projects implemented through community participation, such
as the following:
oversee the award of contract and signing of the contract agreement, if necessary, in
certain situations, also countersigning the contracts,
allocate funds for each subproject,
monitor progress and quality of works regularly,
release funds to MCs or to contractors as per schedule or stage-wise completion,
certify subproject completion,
provide regular progress reports on subproject implementation status and fund utilization
to the government and ADB,
prepare statements of expenditures, maintain proper accounts, and conduct selective
audits, and
provide advice to MCs, communities, NGOs, contractors, and other groups concerned
regarding ADB's policies and guidelines, especially on procurement, indigenous people,
involuntary resettlement, and gender.
E. Procurement
Normally local procurement procedures and guidelines should be followed. The MCs will
normally be responsible for procurement. To the extent possible, the MC should purchase the
construction materials such as cement, steel, stone aggregate, and sand in bulk through direct
purchase procedures by inviting at least three quotations, preferably from local suppliers. Bulk
procurement action should be judiciously exercised to avoid pilferage. Labor component of the
subprojects can be extended by the members of the community, provided adequate expertise
exists, who should be reimbursed adequately for the services rendered. It should be ensured
that children are not employed for the subprojects. In case the MC cannot identify adequate
skilled labor within the community, the work can be let out by inviting quotations from three local
contractors, or as suitably decided by the processing missions, taking into consideration local
situations wherever practicable. The contract should be in the local language and simple,
adequately addressing the main issues such as scope of work, date of start, completion period,
payment terms, progress and quality review, defect-liability period, responsibilities of the MC
and contractor, including review, inspection, payment procedures and contract termination.
F. Project Implementation
The MC shall be responsible for the implementation of the subproject including supervision of
contractors' performances, wherever applicable. Wherever required, the community shall
nominate either among its own members or a local specialist as project-in-charge who will
oversee the day-to-day supervision of the project. The MC will submit monthly progress status
to the PIU and EA and release payments to the contractor as per contract provisions. It is
possible that some subprojects may be located in remote areas, which do not have adequate
banking facilities. In such situations, the PIUs will handle the project finances and pay the
contractors directly. The MC should also apprise the community on the status of project
implementation either by way of general meetings, posting on notice boards or both. On
completion of the project, the MC or if otherwise agreed, a more representative group from the
stakeholders, shall prepare a comprehensive completion report and detailed accounts, which
will be submitted to the PIU for review and approval. Some communities may lack the adequate
capacity to design and implement such Drojects but are adequately knowledgeable about local
needs and concerns. In such cases, the PIU and EAs may invite local NGOs with established
records of implementing community-development projects to implement project activities in the
villages.
G. Project Completion
On completion of the contract, the MC should advise the PIU and EA who will, if required,
depute
a representative for inspection, to be conducted jointly with members of the MC and the service
provider. If the inspection team concludes that a project has been implemented satisfactorily, a
completion certificate will be issued by the MC; countersigned by the contractor, PIU and EA
representative and the service provider. In case of defects, the contractor shall be provided in
writing the list of defects that have to be made good. A time limit for correction of the defects
should also be indicated. On final acceptance, final payments and retention money should be
released with the approval of the PIU or EA to the contractor.
H. Audit
The PIU's and EA's internal audit organizations or an externally appointed auditor will conduct
selective audits of the subprojects under the loan which has community participation. This audit
report should form a part of the overall audit of the Project and should be submitted to ADB in
accordance with loan covenants.
VI. APPLICATION FORMAT FOR SUBPROJ ECTS UNDER LIVELIHOOD COMPONENT
OF ADB ASSISTED-TEAP
PROJ ECT TITLE:
PROJ ECT OBJ ECTIVE:
PROJ ECT AREA
District:
Taluk
Village/Cluster/Habitation
TARGETED BENEFICIARIES:
Beneficiary Families:
Is the project targeting the poorest and most vulnerable communities
BPL/EWS/poor
Tribal population
POVERTY STATUS: poverty levels
EXPECTED OUTPUTS AND MONITORABLE INDICATORS
PROPOSED APPROACH: targeting the poor and very poor among the affected families
(including families which are indirectly affected).
KEY PROJ ECT ACTIVITIES AND PARTNERS
IMPLEMENTATION ARRANGEMENTS
Staffing, including women staff, quality assurance, audit, monitoring and evaluation
IMPLEMENTATION SCHEDULES/WORK PLAN (quarterly physical and financial targets)
PROCUREMENT PLAN
COST ESTIMATES (Annexure I)
Component wise Cost of the Project; project partners and contribution
Unit cost of each component
ENVIRONMENTAL AND SOCIAL IMPACT
RISKS AND MITIGATION OF RISKS (e.g. risk - attainment of quality; mitigation - quality audit)
Annexure -1
Cost estimates table
Total
ADB-
TEAP GoTN
SHG/CBO/
NGO Community
Civil Works
Building
Land -Nil-
Equipment, Machinery,
Materials & Other Capital
Machinery
Material
Supplies & Consumables
Training Workshop &
Seminars
Public Campaign
Training
Exposure
Consulting Services
Professional Fees
Project Management
Staffs
Travel
Office Equipment
Operations & Management
Other Project Inputs
Revolving Credit
Technical Inputs
Contingencies
TOTAL
GoTN - Govenment of Tamil Nadu
Please indicate estimated contributions of the NGOs/beneficiary
community
NGO and community contributions can include monetization of physical labor/contributions. This includes
cash contributions, bank loans, monetization of available assets with the beneficiaries, their time, NGO's
labor, etc.
Government contribution may be drawn from their various schemes/packages/GOs.
Appendix -1
Screening Questions for Resettlement Categorization
Probable Involuntary Resettlement Effects* Yes No Not
Known
Possible Remarks
Will the project include any physical construction work?
Does the project include upgrading or rehabilitation of
existing physical facilities?
Are any project effects likely lead to loss of housing,
other assets, resource use or incomes/livelihoods?
Is land acquisition likely to be necessary?
Is the site for land acquisition known?
Is the ownership status and current usage of the land
known?
Will easements be utilized within an existing Right of
Way?
Are there any non-titled people who live or earn their
livelihood at the site or within the Right of Way?
Will there be loss of housing?
Will there be loss of agricultural plots?
Will there be losses of crops, trees, and fixed assets?
Will there be loss of businesses or enterprises?
Will there be loss of incomes and livelihoods?
Will people lose accesc to facilities, services, or natural
resources?
Will any social or economic activities be affected by land
use-related changes?
If involuntary resettlement impacts are expected:
Are local laws and regulations compatible with
ADB's Involuntary Resettlement policy?
Will coordination between government agencies be
required to deal with land acquisition?
Are there sufficient skilled staff in the Executing
Agency for resettlement planning and
implementation?
Are training and capacity-building interventions
required prior to resettlement planning and
implementation?
Whenever possible, consider also any future subprojects or investments.
Information on Affected Persons:
Any estimate of the likely number of households that will be affected by the Project?
[ ] No [ ] Yes If yes, approximately how many?
Are any of them poor, female-heads of households, or vulnerable to poverty risks?
[ ] No [ ] Yes If yes, please briefly describe their situation
Are any APs from indigenous or ethnic minority groups? If yes, please explain?
Additional Information Requirements for Private Sector projects:
[ ] Resettlement and land acquisition completed [ ] PSOD is lending to a Financial Intermediariy
[ ] Resettlement to be completed [ ] The project is an Equity Investment
[ ] Project entails risk by association (e g associated [ ] The project is a Partial Credit /Political Risk Guarantee
facilities are part of the project but net funded f j Others, please describe
%
by the proponent)
11
E. Involuntary Resettlement Category [ ] New [ ] Recategorization
After reviewing the answers above, the Project Team Leader and Social Development/
Resettlement Specialist agree subject to confirmation, that the project:
1. Project Categorization and Resettlement Planning Requirements
[ ] Category A, Significant IR impact, a full Resettlement Plan is required.
[ ] Category B, Nonsignificant IR impact, a short Resettlement Plan is required.
[ j Category C, No IR impact, no resettlement report is required.
[ ] Additional information is needed for categorization and is to be gathered by the
Project Team Leader. In the interim, the project is classified as:
[ ] Category A/B
[ ] Category B/C
[ ] Social Development/ Resettlement Specialist to participate in Fact Finding
[ ] Consultant support is required to prepare Resettlement Plan/Resettlement
Framework (RP/RF), therefore the TOR for a Social Development/
Resettlement Specialist should be included in TA Report
2. Additional Requirements for Sector, Sector Development Program/Project Loans,
Emergency Loans and Hybrid Loans
[ ] Resettlement Framework
f ] Core Subproject Resettlement Plans
Note:
A draft RP/RF disclosed to APs and endorsed by the Executing Agency is required before
Management Review Meeting (MRM).
A summary RP/RF should be included as a core appendix in the draft RRP for MRM.
A satisfactory RF/RP is required before Appraisal.
Name:
Resettlement/Social Dev'tSpecialist
Date.
/
Appendix- 1
Rapi d Env i r o nme nt a l As s e s s me nt ( REA) Checkl i s t
SCREENI NG QUESTI ONS ' : Yes No REMARKS .
A. P roject Siting
Is the Projcct area adjacent to or within any of the following
environmentally sensitive areas?
Cultural heritage site

Protected Area

Wetland

Mangrove

Estuarine

Buffer zone of protected area

Special area for protecting biodiversity

B. P otential E nvi ronmental I mpacts
Will the Project cause...
overexploitation offi sh stocks and long-term degradation
of resource base?

FISHERIES
Fisheries, page 2
SCREENI NG QUESTI ONS Yes No REMARKS
capture of non-target species and habitat damage
through use of destructive fishing methods and gears?

accidental damage to coral reefs by divers and fishing
vessel anchors?

pollution from oil and fuel spills and bilge flushing?

ecological protection resulting from clearing for
conversion of coastal wetlands to fishponds?
social problems arising from conflicts with other site
uses?
downstream water pollution from discharge of pond
effluents with drain w^ter?

reduction of water supplies for competing uses (e.g.,
irrigation or domestic ?

restriction of water circulation, obstruction to navigation
by fish pens/cages, and reduction of stream capacity
fromsiltation?

dislocation or involuntary resettlement of people

social problems due to land tenure and use conflicts?

soil erosion and siltation during construction?



noise and dust from construction?

social problems especially when workers from other
areas are hired?

reduction of water available to downstream users during
peak seasons?

pollution of nearby aquatic environments by pond
drainage water and inadequate farm management?

depletion of local fish populations by stocking of wild .
fry/fingerlings in ponds?

spread of diseases and parasites from exotic cultured
species or escape of pond fish to the wild?

increased public health risks due to the increased
inciriftnr.fi nr introduction nf waterborne or water-related
diseases?

Rapi d Envi ronmental Assessment (REA) Checkl i st
URBAN DEVELOPMENT
Instructions:
This checklist is to be prepared to support the environmental classification of a project. It is to be
attached to the environmental categorization form that is to be prepared and submitted to the Chief
Compliance Officer of the Regional and Sustainable Development Department.
Q This checklist is to be completed with the assistance of an Environment Specialist in a Regional
Department.
This checklist focuses on environmental issues and concerns. To ensure that social dimensions are
adequately considered, refer also to ADB checklists and handbooks on (i) involuntary resettlement,
(ii) indigenous peoples planning, (iii) poverty reduction, (iv) participation, and (v) gender and
development.
Q Answer the questions assuming the "without mitigation" case. The purpose is to identify potential
impacts. Use the "remarks" section to discuss any anticipated mitigation measures.
Country/ Proj ect Ti tl e:
Sector Di vi si on:
SCREENI NG QUESTI ONS Yes No REMARKS
A. Project Siting
Is the Project area adjacent to or within any of the following
environmentally sensitive areas?
Cultural heritage site

Protected Area

Wetland

Mangrove

Estuarine

Buffer zone of protected area

Special area for protecting biodiversity

B. P otenti al E nvi r onmental I mpacts
Will the P roject cause. . .
increase in soil erosion and siltation?

increase in peak and flood flows?


2J
Forestry, page 2
SCREENI NG QUESTI ONS Yes No REMARKS
loss of downstream beneficial uses (water supply or
fisheries)?
impairment of ecological and recreational opportunities?

impairment of beneficial uses of traditional forests'

any loss of precious ecology?

possible conflicts with established management policies?

dislocation or involuntary resettlement of people?

loss of downstream ecological and economic functions
due to any construction of social infrastructure (e.g.,
road, training or information center, office or housing)?

displacement of people or reduce their access to forest
resources?
uncontrolled in-migration with opening of roads to forest
area and overloading of social infrastructure?

unnecessary loss of ecological value and decreased
biodiversity by replacement of natural forest with
plantation with limited number of species?

technology or land use modification that may changc
present social an/I economic activities?

ecological problems due to land clearance prior to
reforestation (e.g., soil erosion, disruption of hydrological
cycle, loss of nutrients, decline in soil fertility)?

other ecological problems (e.g., pollution of water bodies
from fertilizers, pesticides, and herbicides used in the
plantation)?

social problems and conflicts related to land tenure and
resource use rights?

Rapi d Envi ronmental Assessment (REA) Checkl i st
POWER
TRANSMI SSI ON
Instructions:
This checklist is to be prepared to support the environmental classification of a project. It is to be
attached to the environmental categorization form that is to be prepared and submitted to the Chief
Compliance Officer of the Regional and Sustainable Development Department.
This checklist is to be completed with the assistance of an Environment Specialist in a Regional
Department.
This checklist focuses on environmental issues and concerns. To ensure that social dimensions are
adequately considered, refer also to ADB checklists and handbooks on (i) involuntary resettlement,
(ii) indigenous peoples planning, (iii) poverty reduction, (iv) participation, and (v) gender and
development.
a Answer the questions assuming the "without mitigation" case. The purpose is to identify potential
impacts. Use the "remarks" section to discuss any anticipated mitigation measures.
Country/ Proj ect Ti tl e:
Scctor Di vi si on:
SCREENI NG QUESTI ONS Yes No REMARKS
A. P roject Siting
Is the Project area adjacent to or within any of the following
environmentally sensitive areas?
Cultural heritage site

Protected Area

Wetland

Mangrove

Estuarine

Buffer zone of protected area

Special area for protecting biodiversity

B. P otential E nvi ronmental I mpacts
Will the Project cause...
encroachment on historical/cultural areas, disfiguration of
landscape and increased waste generation?

encroachment on precious ecosystem (e.g. sensitive or
protected areas)?
23
Power Transmission, page 2
SCREENI NG QUESTI ONS
Yes No REMARKS
alteration of surface water hydrology of waterways
crossed by roads and resulting in increased sediment in
streams affected by increased soil erosion at the
construction site?

damage to sensitive coastal/marine habitats by
construction of submarine cables?

deterioration of surface water quality due to silt runoff,
sanitary wastes from worker-based camps and chemicals
used in construction?

increased local air pollution due to rock crushing, cutting
and filling?
chemical pollution resulting from chemical clearing of
vegetation for construction site?

noise and vibration due to blasting and other civil works?

dislocation or involuntary resettlement of people

social conflicts relating to inconveniences in living
conditions where construction interferes with pre-existing
roads?

* hazardous driving conditions where construction
interferes with pre-existing roads?

poor sanitation and solid waste disposal in construction
camps and worV. sites, and possible transmission ot
communicable diseases from workers to local
populations?

creation of temporary breeding habitats for mosquito
vectors of disease?

dislocation and compulsory resettlement of people living
in right-of-way of the power transmission lines?
environmental disturbances associated with the
maintenance of lines (e.g. routine control of vegetative
height under the lines)?
facilitation of access to protected areas in case cuuiduis
traverse protected areas?

accident risks associated with maintenance of lines and
related facilities?

health hazards due to electromagnetic fields, land
subsidence, lowered groundwater table, and
salinization?

disturbances (e.g. noise and chemical pollutants) if
herbicides are used to control vegetative height?

28
Rapi d Envi ronmental Assessment (REA) Checkl i st
SCREENI NG QUESTI ONS Yes No REMARKS
A. P roject Siting
Is the project area...
Densely populated?
n

Heavy with development activities?
u LI
Adjacent to or within any environmentally sensitive
areas?
Cultural heritage site

Protected Area

Wetland

Mangrove


D
Estuarine



Buffer zone of protected area

Special area for protecting biodiversity

Bay

B. P otential E nvi ronmental I mpacts
Will the Project cause...
URBAN DEVELOPMENT
Urban Development, page 2
SCREENI NG QUESTI ONS Yes No REMARKS
impacts on the sustainability of associated sanitation and
solid waste disposal systems and their interactions with
other urban services.

deterioration of surrounding environmental conditions
due to rapid urban population growth, commercial and
industrial activity, and increased waste generation to the
point that both manmade and natural systems are
overloaded and the capacities to manage these systems
are overwhelmed?

degradation of land and ecosystems (e.g. loss of
wetlands and wild lands, coastal zones, watersheds and
forests)?

dislocation or involuntary resettlement of people

degradation of cultural property, and loss of cultural
heritage and tourism revenues?

occupation of low-lying lands, floodplains and steep
hillsides by squatters and low-income groups, and their
exposure to increased health hazards and risks due to
pollutive industries?

water resource problems (e.g. depletion/degradation of
available water supply, deterioration for surface and
ground water q uality , and pollution of receiving waters?

air pollution due to urban emissions?

social conflicts between construction workers from other
areas and local workers?

road blocking and temporary flooding due to land
excavation during rainy season?
noise and dust from construction activities?



traffic disturbances due to construction material transport
and wastes?
temporary silt runoff due to construction?

I warrl s to public health due to ambient, household and
occupational pollution, thermal inversion, and smog
formation?
u
water depletion and/or degradation?

overpaying of ground wator, leading to land subsidence,
lowered ground water table, and salinization?
LJ
contamination of surface and ground waters due to
improper waste disposal?

pollution of receiving waters resulting in amenity losses,
fisheries and marine resource depletion, and health
problems?

Rapi d Envi ronmental Assessment (REA) Checkl i st
WATER SUPPLY
Instructions:
This checklist is to be prepared to support the environmental classification of a project. It is to be
attached to the environmental categorization form that is to be prepared and submitted to the Chief
Compliance Officer of the Regional and Sustainable Development Department.
This checklist is to be completed with the assistance of an Environment Specialist in a Regional
Department.
This checklist focuses on environmental issues and concerns. To ensure that social dimensions are
adequately considered, refer also to ADB checklists and handbooks on (i) involuntary resettlement,
(ii) indigenous peoples planning, (iii) poverty reduction, (iv) participation, and (v) gender and
development.
Answer the questions assuming the "without mitigation" case. The purpose is to identify potential
impacts. Use the "remarks" section to discuss any anticipated mitigation measures.
Country/ Proj ect Ti tl e:
Sector Di vi si on:
SCREENI NG QUESTI ONS Yes No REMARKS
A. P roject Siting
Is the project area... D
Densely populated?

Heavy with development activities?

Adjacent to or within any environmentally sensitive areas?
Cultural heritage site

Protected Area

Wetland

Mangrove

Estuarine

Buffer zone of protected area

Special area for protecting biodiversity

Bay

B. Potential Environmental I mpacts
Will the Project cause...
pollution of raw water supply from upstream wastewater discharge from
communities, industries, agriculture, and soil erosion runoff?

impairment of historical/cultural monuments/areas and loss/damage to these sites?

Water Supply, page 2
" SCREENI NG QUESTI ONS
hazard of land subsidence caused by excessive giound water pumping?
Yes

No

REMARKS
social conflicts arising from displacement of communities ?

conflicts in abstraction of raw water for water supply with other beneficial water uses
for surface and ground waters?

unsatisfactory raw wa er supply (e.g. excessive pathogens or mineral constituents)?

delivery of unsafe water to distribution system?

inadequate protection of intake works or wells, leading to pollution of water supply?
n n
over pumping of ground water, leading to sallnization and ground subsidence?

excessive algal growth in storage reservoir?

increase in production of sewage beyond capabilities of community facilities?
u
inadequate disposal of sludge fromwater treatment plants?

inadequate buffer zone around pumping and treatment plants to alleviate noise and
other possible nuisances and protect facilities?

impairments associated with transmission lines and access roads?

health hazards arising from inadequate design of facilities for receiving, storing, and
handling c-f chlorine and other hazardous chemicals.

health and safety hazards to workers from the management of chlorine used for
disinfection and other contaminants?

dislocation or involuntary resettlement of people

* social conflicts between construction workers from other areas and community
workers?
noise and dust from construction activities?

increased road traffic due to interference of construction activities?

continuing soil erosion/silt runoff from construction operations?

delivery of unsafe water due to poor O&M treatment processes (especially mud
accumulations in filters) and inadequate chlorlnation due to lack of adequate
monitoring of chlorine residuals in distribution systems?

delivery of water to distribution system, which is corrosive due to Inadequate
attention to feeding of corrective chemicals?
accidental leakage of chlorine gas?

excessive abstraction of waler affecting downstream water users?
n n
competing uses of water?

increased sewage flow due to increased water supply

increased volume of sullage (wastewater from cooking and washing) and sludge
fromwastewater treatment plant

Rapi d Envi ronmental Assessment (REA) Checkl i st URBAN DEVELOPMENT SOLID WASTE
MANAGEMENT
Instructions:
This checklist is to be prepared to support the environmental classification of a project. It is to be
attached to the environmental categorization form that is to be prepared and submitted to the Chief
Compliance Officer of the Regional and Sustainable Development Department.
This checklist is to be completed with the assistance of an Environment Specialist in a Regional
Department.
This checklist focuses on environmental issues and concerns. To ensure that social dimensions are
adequately considered, refer also to ADB checklists and handbooks on (i) involuntary resettlement,
(ii) indigenous peoples planning, (iii) poverty reduction, (iv) participation, and (v) gender and
development.
Answer the questions assuming the "without mitigation" case. The purpose is to identify potential
impacts. Use the "remarks" section to discuss any anticipated mitigation measures.
Country/ I ' roj cct Ti tl e:
Sector Di vi si on:
SCREENI NG QUESTI ONS Yes | No REMARKS
A. Project Siting
Is the project area...
Densely populated?


Heavy with development activities?

Adjacent to or within any environmentally sensitive areas?
Cultural heritage site

Protected Area

Wetland

Mangrove

Estuarine

Buffer zone of protected area

Special area for protecting biodiversity

Bay
u
B. Potential Bi vl ronmcntal Impacts
Will the Project cause...
Sol i d Waste Management, page 2
SCREENI NG QUESTI ONS Yes No REMARKS
impacts associated with transport of washes to the c.sposal site or
treatment facility

impairment of historical/cultural monuments/areas and loss/damage
to these sites?
degradation of aesthetic and property value loss?

nuisance lo neighboring areas due to foul odor and influx of insects,
rodents, etc.?
dislocation or involuntary resettlement of people

public health hazards from odor, smoke from fire, and diseases
.transrritted
h
y flies, Insects, birds and rats''
deterioration of water quality as a result of contamination of receiving
waters by leacheate from land disposal system?

contamination of ground and/or surface water by leach ate from land
disposal system?

land use conflicts?

pollution of surface and ground water fromleach ate coming form
sanitary landfill sites or methane gas produced from decomposition
of solid wastes in the absence of air, which could enter the aquifer or
escape through soil fissures at places far from the landfill site?
inadequate buffer zone around landfill site to alleviate nuisances?

social conflicts between construction workers from other areas and
community workers?

road blocking and/or increased traffic during construction of facilities?
n
noise and dusl from construction activities?

temporary silt runoff due to construction?

hazards to public health due to inadequate management of landfill
site caused by inadequate Institutional and financial capabilities for
the management of llie landfill opeiation?
emission of potentially toxic volatile organics from land disposal site?
n n
surface and ground water pollution from leach ate and methane gas
migration?

loss of deep-rooted vegetation (e.g. tress) fromlandfill gas?

explosion of toxic response from accumulated landfill gas in
buildings?
contamination of air quality from Incineration?

public health hazards from odor, smoke from fire, and diseases
transmitted by flies, rodents, insects and birds, etc.?

health and safety hazards to workers from toxic gases and
hazardous materials in the site?
Rapi d Envi ronmental Assessment (l i EA) Checkl i st
SCREENI NG QUESTI ONS Yes No REMARKS
A. P roject Siting
Is the projcct area...
Densely populated?

. _
Heavy with development activities?

Adjacent to or within any environmentally sensitive
areas?

Cultural heritage site



Protected Area

Wetland

Mangrove



Esluarine



Buffer zone of protected area

Special area for protecting biodiversity

Bay

SEWAGE TREATMENT
Sewage Treatment, page 2
SCREENI NG QUESTI ONS Yes No REMARKS
B. Potential Envi ronmental I mpacts
Will the Project cause...
> impairment of historical/cultural monuments/areas and
loss/damage to these sites?

interference with other utilities and blocking of access to
buildings; nuisance to neighboring areas due to noise,
smell, and influx of insects, rodents, etc.?

dislocation or involuntary resettlement of people

impairment of downstream water quality due to
inadequate sewage treatment or release of untreated
sewage?

overflows and flooding of neighboring properties with raw
sewage?
environmental pollution due to inadequate sludge
disposal or industrial waste discharges illegally disposed
in sewers?

noise and vibration due to blasting and other civil works?

discharge of hazardous materials into sewers, resulting
in damage to sewer system and danger to workers?

inadequate buffer zone around pumping and treatment
plants to alleviate noise and other possible nuisances,
and protect facilities?

social conflicts between construction workers from other
areas and community workers?

road blocking and temporary flooding due to land
excavation during the rainy season?

noise and dust from construction a ctivities?

traffic disturbances due to construction material transport
and wastes?

temporary silt runoff due to construction?

hazards to public health due to overflow flooding, and
groundwater pollution due to failure of sewerage system?

deterioration of water quality due to inadequate sludge
disposal or direct discharge of untreated sewage water?
contamination of surface and ground waters due to
sludge disposal on land?

health and safety hazards to workers from toxic gases
and hazardous materials which maybe contained in
sewage flow and exposure to pathogens in sewage and
sludge?

Rapi d Envi ronmental Assessment (REA) Checkl i st URBAN DEVELOPMENT
PORTS AND
HARBORS
Instructions:
This checklist is to be prepared to support the environmental classification of a project. It is to be
attached to the environmental categorization form that is to be prepared and submitted to the Chief
Compliance Officer of the Regional and Sustainable Development Department.
This checklist is to be completed with the assistance of an Environment Specialist in a Regional
Department.
This checklist focuses on environmental issues and concerns. To ensure that social dimensions are
adequately considered, refer also to ADB checklists and handbooks on (i) involuntary resettlement,
(ii) indigenous peoples planning, (iii) poverty reduction, (iv) participation, and (v) gender and
development.
Answer tho questions assuming the "without mitigation" case. The purpose is to identify potential
impacts. Use the "remarks" section to discuss any anticipated mitigation measures.
Country/ Proj ect Ti tl e:
Sector Di vi si on:
SCREENI NG QUESTI ONS Yes No REMARKS t. .
A. Project Siting
Is the Project area adjacent to or within any of the following
environmentally sensitive areas?
i
Cultural heritage site

Protected Area

Wetland

Mangrove

Estuarine

Buffer zone of protected area

Special area for protecting biodiversity

A. Potential E nvi ronmental i mpacts
Will the Project cause...
encroachment on precious ecology resulting in loss or
damage to fisheries and fragile coastal habitats such as
coral reefs, mangroves, and seagrass beds?

Ports & Harbors, page 2
SCREENI NG QUESTI ONS Yes No REMARKS
short-term increase in turbidity and sunlight penetration
as well as changes in sediment pattern and flows at
dredging site?

removal and disturbance of aquatic flora and fauna at
dredging site?

deterioration of water quality due to silt runoff and
sanitary wastes from worker-based camps and chemicals
used in construction?

alteration of bottom surface and modifications to
bathymet-y, causing changes in tidal bore, river
circulation, species diversity, and salinity?

changes in sediment pattern and littoral drift that may
cause beach erosion of neighboring areas?

modification of terrestrial habitat by upland disposal of
dredged material or covering of potential archaeological
sites with dredge spoil?

short-term air quality degradation due to dredging-related
operations?

noise and vibration due to blasting and other civil works?

dislocation or involuntary resettlement of people?

other social concerns relating to inconveniences in living
conditions in the project areas?
social conflicts if construction depletes local fishery
resources on which communities depend for
subsistence?

poor sanitation and suiid waste disposal in construction
camps and work sites, and possible transmission of
communicable diseases from workers to local
populations?

social concerns relating to local inconveniences
associated with port operation (e.g. increased volume of
port traffic, greater risk of accidents, communicable'
disease transmission)?

deterioration of water quality due to ship (e.g. ballast
water, oil waste, lubricant and fuel spills, sewage) and
waterfront industry discharges?

increased noise and air pollution resulting from airborne
emissions (e g. gas, smoke, fumes) from maneuvering
and berthing ships and the waterfront industry?

Rapi d Envi ronmental Assessment (REA) Checkl i st URBAN DEVELOPMENT ROADS AND
HIGHWAYS
Instructions:
This checklist is to be prepared to support the environmental classification of a project. It is to be
attached to the environmental categorization form that is to be prepared and submitted to the Chief
Compliance Officer of the Regional and Sustainable Development Department.
This checklist is to be completed with the assistance of an Environment Specialist in a Regional
Department.
Q This checklist focuses on environmental issues and concerns. To ensure that social dimensions are
adequately considered, refer also to ADB checklists and handbooks on (i) involuntary resettlement,
(ii) indigenous peoples planning, (iii) poverty reduction, (iv) participation, and (v) gender and
development.
Answer the questions assuming the "without mitigation" case. The purpose is to identify potential
impacts. Use the "remarks" section to discuss any anticipated mitigation measures.
Country/ Proj ect Ti tl e:
Sector Di vi si on:
SCREENI NG QUESTI ONS Yes No REMARKS
A. Project Siting
Is the Project area adjacent to or within any of the following
environmentally sensitive areas?
Cultural heritage site

Protected Area

> Wetland

Mangrove

Estuarine

Buffer zone of protected area

Special area for protecting biodiversity

B. Potential E nvi ronmental I mpacts
Will the Project cause...
encroachment on historical/cultural areas; disfiguration of
landscape by road embankments, cuts, fills, and
quarries?

Roads & Highways, page 2
SCREENI NG QUESTI ONS Yes | No REMARKS
encroachment on precious ecology (e.g. sensitive or
protected areas)?

alteration of surface water hydrology of waterways
crossed by roads, resulting in increased sediment in
streams affected by increased soil erosion at
construction site?

deterioration of surface water quality due to silt runoff
and sanitary wastes from worker-based camps and
chemicals used in construction?

increased local air pollution due to rock crushing, cutting
and filling works, and chemicals from asphalt
processing?

noise and vibration due to blasting and other civil works?
dislocation or involuntary resettlement of people

other social concerns relating to inconveniences in living
conditions in the project areas that may trigger cases of
upper respiratory problems and stress?

hazardous driving conditions where construction
interferes with pre-existing roads?

poor sanitation and solid waste disposal in construction
camps and work sites, and possible transmission o1
communicable diseases from workers to local
populations?

creation of temporary breeding habitats for mosquito
vectors of disease?
dislocation and compulsory resettlement of people living
in right-of-way?
accident risks associated with increased vehicular traffic,
leading to accidental spills of toxic materials and loss of
life?

increased noise and air pollution resulting from traffic
volume?

increased risk of water pollution from oil, grease and fuel
spills, and other materials from vehicles using the road?

Annexure - A 1
Procurement process for Purchase of Works/Goods Contract under WB ETRP
(Note: 1USS =Rs 45.50)
Do Direct Contract (DC)
1. Prior approval o( the World Bank Is required
2. Only when required equipment/material is proprietory
and available only fromone source.
or
In exceptional cases such as in response to natural
disaster.
3. When procured by Direct contracting i.e. no competitive
bid / quotation is required. The work for Procurement of
goods/matenal can be placed directly.
Do National Shoppi.ig (NS)
1. Ooutation called for by letter, fax, e-mail from more
than 3 firms that are reputable.
2 Description of Goods. Works & Services should be
specified.
3. Delivery time and place should be specified for delivery
of goods or completion of works.
4. No bid or performance security required.
5. Quotation opening
6 Evaluation of Quotation.
7. Award of Contract / Purchase order based on lowest
Quoted price.
8. Order of acceptance / signing of agreement.
Do National Competitive Bidding (NCB)
1. Bid invitation open to all bidders
2. Bid document to include invitation to bid, instruction to
bidders, formof bid, basis of bid evaluation, formof
contract, conditions of contract, specification and
drawings, list of goods/bill of quantities, delivery time or
schedule of completion, price schedule, bid security form,
performance security form, advance payment security
form, in case of goods, specify inspection and test required
3. Bid opening
4. Evaluation
5. Award of Contract / Supply order.
6. Order of acceptance / signing of agreement.
Note: Cases where prior review of Procurement decisions by the World Bank is
mandatory for each PIU - VERY IMPORTANT
Goods Contract 1) First two contracts for goods procured on the basis of National Competitive Bidding.
2) First two contracts for goods procured on the basis of National Shopping
3) P rocured on the basis of Direct Contracting
Works Contract 1) First two contracts for works and services (other than consultancy services)
2) Each contract for works and services estimated to cost Rs 3.41 crores or more
.37
Annexure - A2
World Bank *
The Procurement Procedure as per the World Bank guidelines are
furnished below.
Procurement of Civil Works
General World Bank Procedures:
1. All contracts for civil works may be procured under contracts
awarded on the basis of National Competitive Bidding (NCB).
2. Advertising may be limited to the national press or official gazette or
a free and open access web site.
3. Bidding document should be in English language.
4. Currency should be in Indian Rupees.
5. The bidding documents shall provide clear instructions on how bids
should be submitted, how prices should be offered and the place
and time for submission of bids.
6. Adequate response time ( see detailed bidding procedure for exact
number of days) for preparing time and submission of bids shall be
provided.
7. The Procuring agency shall provide for adequate competition in
order to ensure reasonable prices and methods used in the
evaluation of bids.
8. The award of contracts shall be objective and made known to all
bidders in the bidding documents.
9. The procedure shall all also include public opening of bids,
publication of results of evaluation and the award of contract.
* This is only for quick reference and the "guidelines and procedures" agreed as
per legal document sent already shall be strictly adhered to.
1. Shopping:
Goods, works and services (other than the Consultants' Services)
estimated to cost less than $30,000 equivalent i.e. Rs 13.65 lakhs per
contract may be procured under contracts awarded on the basis of shopping.
Shopping is a procurement method based on comparing prices
quotations obtained from several suppliers (in the case of goods) or from
several contractors (in the case of civil works) with a minimum of three. It is
an appropriate method for procuring readily available off - the - shelf goods
or standard specification commodities of small value, or simple civil works of
small value. Request for quotations shall indicate the description and
quantity of the goods or specification of works as well as desired delivery (or
completion) time and place. Quotations may be submitted by letter,
facsimile or by electronic mail. The evaluation of quotations shall follow the
same principles as of open bidding. The terms of the accepted offer shall be
incorporated in a purchase order or brief contract.
2. Direct Contracting :
Goods and works which World Bank agrees meet the requirements
for Direct Contracting may be procured, in addition with the prior approval of
the WB, goods of very small values estimated to cost less than $ 2,000
equivalent i.e. Rs. 91,000/- for each contract may be procured by Direct
Contracting.
Direct Contracting is contracting without competition (single source)
and may be an appropriate method under the following circumstances:-
1. An existing contract for goods or works, awarded in accordance
with procedures acceptable to the Bank may be extended for
additional goods or works of a similar nature. The Bank shall be
satisfied in such cases that no advantage could be obtained by
further competition and that the prices on the extended contract
are reasonable. Provisions for such an extension, if considered
likely in advance, shall be included in the original contract.
2. Standardization of equipment or spare parts, to be compatible
with existing equipment, may justify additional purchases from
the original Supplier. For such purchases to be justified, the
original equipment shall be suitable, the number of new items
shall generally be less than the existing number, the price shall
be reasonable, and the advantages of another make or source
of equipment shall have been considered and rejected on
grounds acceptable to the Bank.
3. The required equipment is proprietary and obtainable only from
one source.
4. The Contractor responsible for a process design requires the
purchase of critical items from a particular Supplier as a
condition of a performance guarantee.
5. In exceptional cases, such as in response to natural disasters.
Afer the signature of contract, the Borrower shall publish in UNDB
online the name of the contractor, price, duration, and summary scope of
the contract. This publication may be done quarterly and in the format of a
summarized table covering the previous period.
3. National Competitive Bidding:
For procurement of goods for a value above Rs.13.5 lakhs upto Rs. 91
lakhs and for works contracts above Rs. 13.5 lakhs, NCB procedure shall be
adopted.
Procurement Schedule:
The size and scope of the individual packages will depend on
the magnitude, nature and location of project in the case of civil
works and quantity/number and nature in case of goods, keeping in
view that works and goods are to be procured economically and
efficiently consistent with quality.
Bidding Documents:
Bidding documents should be prepared on the basis of the
Standard Bidding Documents cleared with the Bank for the Project.
Deviations should not be made without the prior clearance with the
Bank.
Bidding document should include Invitation to Bid; Instructions
to the Bidders; Form of bid; Basis of bid evaluation and contract
award; Form of Contract; Conditions of Contract, both General and
Special; Specifications and Drawings; List of Goods or Bill of
Quantities; Delivery time or Schedule of Completion; Price Schedule;
Bid Security Form; Contract Form; Performance Security Form and
Advance Payment Security Form etc. Bidding documents should
specify the relevant factors in addition to price to be considered in
the bid evaluation and the manner in which they will be applied for
the purpose of determining the lowest evaluated bid.
Eligibilities and qualification requirements:
Appropriate qualification criteria and establishing compliance
thereto for the purpose of award decision shall be carefully and
clearly spelt out in the Bid document.
Bid documents for Goods:
Bidding documents in the case of goods should specify what
inspection and tests the purchaser requires, where and who will
conduct the tests. The purchaser shall notify the suppliers in writing,
the identity of inspection agency retained along with the supply
order.
Annexure-B1
Procurement process for Works/Goods for Asian Development Bank funded
TEAP
Note: ~ ~
1
Before commencement of Tendering, all subprojects will need a formal approval from ADB. For this purpose the Project
I mplementing Agency will submit a concept report in the standard format to P MU enclosing the duly completed Involuntary
Resettlement (IR) and Rapid Environmental Assessment (REA) check lists.
2 The subproject for approval can be prepared combining the works so as to minimize the number of Concept Reports,
e g All road works in a district can be one subproject for approval however they can result in various contracts
Civil Works
contract above
Rs.45.50 l akhs
but bel ow
Rs.4550 l akhs
Goods I
E qui pmentl
above Rs.45.5
l akhs but bel ow
Rs.455 l akhs
Do Local Competi ti ve Bi ddi ng (LCB).
1. The bid document is prepared for 'single stage for two-envelope' system
and is in two parts Technical and Financial Bid.
2. Get concurrence of the ADB on the bidding document.
3. Advertise in one National English newspaper (all editions) and issue
bidding documents to bidders
4 For those works alone which are estimated to cost more than Rs 455
lakhs the Specific P rocurement Notice is also to be published in the ADB-
Business Opportunities simultaneously i.e Notice Inviting Tender needs to
be forwarded to ADB
5. Conduct public opening of Technical Bid and keep the Financial Bids
Sealed and evaluate the proposals in two stages
6. Prepare the record of bid opening and evaluate Technical Bid.
7. ADB then reviews and approves the technical evaluation report.
8. Notify the qualified bidders: the date, time and venue of public opening of
price bids and intimate ADB as well, and conduct public bid opening and
prepares the record of bid opening.
9. Evaluate bids, prepare bid evaluation report and submit to the ADB for
concurrence.
10 ADB then reviews and approves the financial evaluation report and will
advise the Project I mplementing Department of its decision.
11. Project I mplementing Department then issues the Letter of Acceptance
(LoA) and then enters into agreement with the successful bidder after
completing the formalities as described in the bidding documents and issues
the Notice to Proceed (NTP )
12. Send a copy of the signed contract along with LOA and NTP to ADB and
request ior issues of P CSS Number.
Goods/ Equipment
above Rs.455 lakhs
or works contract
above Rs.4550 lakhs
Do I nternati onal s hoppi ng (IS)
1. Invitation to bid should be issued to not less than three bidders and they
should be from more than one eligible source country
2. Advertise in one National English language newspaper (all editions).
3. The bids or quotations to be opened publicly and compared and
evaluated.
4 ADB to be informed after award of Contract and furnish three copies of:
(i) a summary and evaluation of the bids or quotations; (ii) a brief
justification for making the award (together with the consultants'
recommendations, where applicable); (iii) the contract as executed; and (iv)
an appropriate certificate of the eligibility of the contract where required by
the Bank.
Do International Competitive bidding (most likely not required for our
' purposes).
(Note. 1US$ = Rs 45.50)
Do Direct Contracti ng (DC).
1) The Goods/Works can be procured following the Government of Tamil
Nadu procedure for this value as per Transparency in Tenders Act. This
implies open tender for procurement over Rs 5 lakhs with 15 days minimum
tender notice period EMD/SD and bid documents can be as per the Act
2)The ADB requires that while following the GOTN procedure, the estimated
value of works should not be disclosed to the bidders.
3) The ADB wants that contracts whose estimated value is upto Rs.40 lakhs
alone should opt for this procedure so that the final contracted value does
not exceed Rs 45.5 lakhs.
43
Annexure - B2
Asian Development Bank
Procurement of Civil Works and Goods/Materials
1. For procurement of civil works or goods/material up to $100,000 i.e. Rs
45.5 lakhs Direct Contracting/Limited Tendering procedure can be
followed.
2. Local competitive bidding procedures for civil works contracts up to
$10 million i.e. Rs 4550 lakhs with open tendering within the country.
The bidding period will be 15-21 days and evaluation, 15-30 days.
3. For civil works contracts above $10 million, i.e. Rs 4550 lakhs
international competitive bidding (ICB) procedures can be followed with
a bidding/evaluation period of 30 days.
4. International Shopping for Goods/Materials procurement for value
more than Rs. 45.5 lakh and upto Rs. 455 lakh.
5. International Competitive Bidding for Goods/Materials procurement for
value more than Rs. 455 lakh.
1. Direct Contracting for Civil Works and Goods/Materials
Salient Features
Works to be tendered following the Government of Tamil Nadu
(GoTN) procedure in accordance with the Transparency in Tender
Act.
Use of GoTN procedure means that open tendering for works
above Rs. 5 lakhs.
Minimum Tender Notice Period of 15 days and EMD/SD in
accordance with the Act.
The ADB however requires that the estimated value of works
should not be disclosed in the Tender Notice or otherwise to the
Tenderers.
In order that the contracts value does not exceed Rs. 45.5 lakhs,
ADB advises that for works estimated to cost more than Rs. 40
lakh, this procedure may not be used.
Upon award of work and signing of the contracts the signed
contracts papers along with attachments such as work order etc
should be forwarded to ADB for issue of PCSS No. the number
against which the claims will be reimbursed.
In case of variation of cost or time, as soon as the variation order
is issued, notice, information on variation giving details of Contract
and the variation along with the variation order duly accepted by
the Contractor should be sent to ADB for information and updation
of records.
Local Competitive Bidding (Single - Envelope - Two - stage) for
Civil Works
This is the most preferred mode of procurement under the project.
1
Salient Features
Contractors from all ADB member countries are entitled to bid for
contracts under LCB, but foreign bidders must adhere to local
procedures, including using the local language and paying in local
currency (Indian Rupees).
ADB requires prior review of all bidding documents and award
recommendations for the works estimated to cost more than $1
million i.e. Rs. 455 lakhs.
The bid documents are prepared for single stage for two-envelope
system as per the Standard Bidding Document of ADB.
Upon concurrence by the ADB of the bidding document, the
implementing department will advertise in the one National English
newspapers (all editions) and issues bidding documents. For
works estimated to cost more than $1 million, Specific
Procurement Notice is also published in the ADB Business
Opportunities simultaneously. The implementing department will
need to forward copy of Notice Inviting Tender to ADB.
Upon receipt of Bids, the implementing department will conduct a
Public Opening of bids (Technical Bid only) and will evaluate the
Technical Bid. The bid evaluation report will be submitted to ADB
for concurrence.
After the ADB's concurrence of the Technical Bids, the
implementing department will inform all the qualified bidders of the
date, time and venue of the Financial Bid opening and will also
intimate the same to ADB.
Implementing department will then evaluate financial bids,
prepares bid evaluation report and submit to the ADB along with
the submission made earlier.
After concurrence from the ADB, the implementing department will
enter into agreement with the successful bidder after completing
the formalities as described in the bidding documents and send
the signed contracts along with attachments such as Notice to
Proceed, Letter of Acceptance etc. to ADB for issue of PCSS No.
The number against which the claims will be reimbursed.
In case of variation of cost or time, as soon as the variation order
is issued, notice, information on variation giving details of Contract
and the variation along with the variation order duly accepted by
the Contractor should be sent to ADB for information and updation
of records.
International Competitive Biding for Civil Works
For civil works contracts above Rs. 4555 lakhs.
It is expected that this mode of procurement will not be followed so
no procedures are being provided.
International shopping (IS) for Goods/Materials
Salient Features
IJ To be followed for contracts above Rs. 45.5 lakhs and upto Rs 455
lakhs.
Invitation to bid should be issued to not less than three bidders
and they should be from more than one eligible source country
Advertise in one National English language newspaper (all
editions).
The bids or quotations to be opened publicly and compared and
evaluated.
ADB to be informed after award of Contract and furnish three
copies of: (i) a summary and evaluation of the bids or quotations;
(ii) a brief justification for making the award (together with the
consultants' recommendations, where applicable); (iii) the contract
as executed; and (iv) an appropriate certificate of the eligibility of
the contract where required by the Bank.
International Competitive Bidding (ICB) for Goods/Materials
For contracts above Rs. 455 lakhs.
It is expected that this mode of procurement will not be followed so
no procedures are being provided.
Annexure - C
Methods of Selection of Consultants/Firms *
The selection methods for hiring consultants and consultancy firms are
described in this note. They are QCBS, QBS, LCS, FBS and SSS. For WB one of
these has to be used for both selection of individual consultants and firms. But for
ADB, individual consultants should be hired only based on QCBS. For firms the
procedure is described below.
1. WORLD BANK
Under World Bank funds the selection of consulting firms or individual
consultants are done depending on the need of assignment in various methods
but selection process described (as in the box) be generally adopted with
modifications as shown in flow chart to each and every method.
Prior review of the bank is necessary in finalizing the consultant in all the
methods adopted.
2. ASIAN DEVELOPMENT BANK
1. The Consultant firms shall be selected only by the QCBS method.
2. However, the individual consultants should be selected by following by
the procedure below:
a) List of candidates with their qualifications and draft contract shall be
furnished to Asian Development Bank approval before the selection
of consultants.
b) After the contract is signed, Asian Development Bank shall be
furnished with evaluation of the candidates and brief justification for
selection, together with three copies of signed contract.
c) If any changes are made in the contract after execution, the
proposed changes shall be submitted to ADB for prior approval/
variations.
* This is only for quick references and the guidelines and procedures agreed as
per legal document sent already shall be strictly adhered to.
8 Steps (1-8) involved in selection of Consultant/Firm
Award of Contract
Brief Description of Selection methods available and when to use them
QCBS: This method of selection of consultant firms are based on quality
of the Proposal and the cost of the services.
QBS:
1. a) QBS is appropriate method for complex or lightly specialized
assignments for which it is difficult to define precise TOR and the
required input of the consultant,
b) Assignments that have a high impact on down stream and in which
the objective is to have the best experts.
C) Assignments that can be carried out in different ways that are not
comparable.
2. RFP may request both technical and financial proposal at the same
time but in separate envelopes (Two envelope system)
> FBS: This is appropriate method only when assignment is simple and
can be precisely defined and when the Budget is fixed.
RFP shall indicate available Budget.
> LCS: This is appropriate for selecting consultants for assignments of a
standard or routine nature.
CQS: This method is used for small assignment cashing less than
$200,000 i.e 90 lakhs for which need for preparing and evaluating
competitive proposals are not justified.
> SSS: This is appropriate when
a) For tasks that represent a natural continuation of previous works.
b) In emergency cases in response to disaster etc.,
c) For a very small work of less than $100,000 i.e Rs 45 lakhs.
d) When only one firm is qualified.
/
QUAL I TY AND COST BASED SEL ECTI ON (QCBS)
I OK ,*<()S I
I MI MA 11
ADVI .K I I SI Nl !
I OK LOI
SHORT LI STI NG
OF CONSUL TANTS
REQUEST OF TECHNI CAL
AND FI NANCI AL
PROPOSAL S
QUAL I TY BASKI ) SK L ECTI ON (Ol i S)
QBS is applicable in the fol l owi ng ci rcumstances:
1) Compl ex or highly specialized assi gnments.
2) Assi gnments that have a high downstream impact.
3) Assi gnments that can be carried out in substantially di fferent ways.
f TOR AND COS'I
I I S ! I MA 11 .
ADVERTI SI NG
I 'OR I -01
SHORTL I STI NG
OF CONSUL TANTS
PROPOSAL
Y ES
AWARD OF CONTRAC
FIXED BUDGET SELECTI ON (FBS)
I 'BS is appl i cabl e when the assi gnment is simple, precisely dellncd and
when budget is fixed.
f TOR AND COST
ESTI MATE
<
ADVERTI SI NG
FOR EOI
NO
REJ ECTI ON OF PROPOSAL S
SHORT LI STI NG
OF CONSUL TANTS
r
REQUEST OF TECHNI CAL
AND FI NANCI AL
PROPOSAL S SEPARATEL Y
i r
RECI EPT OF PROPOSAL S
Y ES
NO
Y ES
L EAST COST SEL ECTI ON (L CS)
LCS is appl i cabl e when the assi gnments of a standard or routine nature.
TOR AND COST
ESTI MATE
1 r
ADVERTI SI NG
FOR EOI
SHORT LI STI NG
OF CONSUL TANTS
REQUEST OF TECHNI CAL
AND FI NANCI AL
PROPOSAL S SEPARATEL Y
r
RECI EPT OF PROPOSAL S
Y ES
EVALUATI ON OF
FI NANCI AL
PROPOSAL BASED
ON L OWEST
BUDGET
Y ES
r~Av AWARD OF CONTRACT
D
SELECTI ON BASED ON CONSULTANTS QUALI FI CATI ON (COS)
CQS is appl i cabl e for small assi gnments which need for prepari ng and
eval uati ng competi ti ve Drooosals is not justified
TOR AND COST \
ESTI MATE 1
ADVERTI SI NG
FOR EOI
SHORT LI STI NG
OF CONSUL TANTS
Y ES
I
NO
I
T
SI NGL E SOURCE SEL ECTI ON (SSS)
SSS is appl i cabl e for the fol l owi ng ci rcumstances:
1) Natural conti nuati on of previ ous work.
2) In case of emergency.
3) Smal l assi gnments.
4) When one firm is qual i fi ed or experi ence of excepti onal worth.
I OK AND COS I
ESTI MATE
T
AWARD OF CONTRACT
DESCRIPTION OF COMMONLY USED TERMS IN PROCUREMENT OF
CONSULTANTS/ FIRMS
1. TOR to be prepared by the specialist in the area
of assignment.
2. The scope of service described shall be
compatible with the available Budget.
3. TOR shall define the objectives, goals, scope and
deliverables of the assignment clearly.
4. Back ground information to be given to consultant
for submission of RFP.
5. It should contain the services to be provided and
surveys to be carried out if any by the consultant
and expected out puts/ deliverables.
6. Responsibilities of the Consultant and the
Employer should be defined clearly.
This is prepared to comeup with a financial figure
for the estimated cost of consultant.
1. Cost Estimate is to be based on the
assessment of the resources needed to carry
out the assignment, i.e Staff, time, Transport,
logistical support etc.,
2. Costs shall include a) remuneration b)
reimbursable
3. Staff time cost shall be worked on a realistic
expenses basis.
1. Banks General procurement notice to be sent
to Bank. Banks will arrange for publication.
2. It shall include a list of expected consulting
assignments in the office.
3. The request of Expression of Interest shall be
advertised in the national newspaper or in the
national gazette.
4. The contracts more than US$ 200,000 (Rs.
90.00 lakhs) advertised in UNDB online.
5. The requested information shall be minimum
required to make judgment on the firms
suitability.
6. Not less than 14 days from the date of UNDB
on line shall be given for response.
1. The first consideration shall be given to those
firms expressing interest that possess
relevant qualifications.
2. Short list shall contain six firms with a wide
geographic spread.
3. No more than two firms from one country.
4. At least one firm from a developing country
provided qualified firms are identified.
5. In special circumstances short list of smaller
number of firms may be permitted i.e when a
few qualified firm have expressed interest.
6. Short list should contain consultants of the
same category, similar capacity and previous
objectives.
7. Once the Bank issue No objection No other
firm tn he added
Request for Technical and Financial proposal
includes
1. Letter of Invitation
2. Information to Consultant(Specific to
assignment lot covered in TOR)
3. TOR
4. Proposed contract.
This should be done in standard RFP issued
by Bank
RFP shall be distributed by the use of an
electronic system (only for QCBS)
Then electronic system shall be secured to
avoid modification (only for QCBS)
Enough time shall be given for the consultants
to prepare and submit their proposals.
5' /
1. Evaluation shall first be done for Technical
proposal with a committee of at least three
specialists in the sector based on
2. a. Consultant's relevant experience
b. The quality and methodology proposal
c. The qualifications of key staff
d. Transfer of Knowledge
e. Extent of participation by nationals
among key staff in the performance of
the assignment.
3. The proposed weightage for each item shall
be disclosed in the RFP itself.
* Evaluation of only key personnel is
recommended.
* The individuals shall be rated based as
a) Qualification and training, length of
expenditure position held, time with
the consulting firm etc.
b) Adequacy of the assignment,
education, training, Experience.
c) Experience in the region
* Evaluation shall also be based on
requirements specified in the TOR
* Finally, the technical evaluation report
to be send to Bank for prior review and
no objection.
Evaluation of
FINANCIAL
PROPOSAL
v The consultant shall be informed of the marks
obtained by them in technical evaluation as
against the minimum marks prescribed in the
TOR
Non qualifying consultants and
* Non responsive bid's financial proposal will
be returned unopened
> The date and time for financial Bid opening
shall be intimated to qualifying consultants
The opening date and time shall be fixed
giving sufficient time
The financial proposal shall put on due date
The name of the consultant, Technical points
and proposal price shall be read out while
opening.
The same shall be recorded and a copy of the
record shall be sent to bank and to all
consultants.
The Financial Bid then be revived.
In evaluation "cost" shall exclude local
identifiable indirect taxes.
In QCBS the total scores shall be obtained by
weighting the quality and cost scores. The
weight for the cost shall normally be 20 points
out of total score of 100.
The lowest cost proposal shall be given 100
mark and other bids shall be given marks that
are inversely proportional to their prices
The highest scoring firm will be invited for
negotiations.
*Non Responsive bids : The bids that do not meet the requirements of TOR and
1. Negotiation shall be the discussions of TOR,
the methodology, staffing and if any special
conditions of contract.
2. Discussions shall not alter original TOR or
terms of the contract quality of final product its
cost.
3. Selected firm should not be allowed to
substitute key staff, unless both parties agree.
4. Financial Negotiation shall include clarification
on tax liabilities.
5. The award of contract shall be published in
UNDB online
a) Names of consultant
b) Technical points.
c) Evaluated prices of each consultant
d) The name of the winning consultant and
price, duration, scope of contract.
e) The same to be send to all consultants.
Han <2 xurc - u
Asian Development Bank
South Asia Dppartmant
It.dia Reckient Wiacion
4 San Martin Marg, Char.akvapun
New Delhi 110021, India
TcJ {91 11)24107200
Fax(91 11)26870955
Page 1 of 2
Mr.C.V. Sankar, Joint
Commissioner Relief and
Rehabilitation, Tamil Nadu'
Mr. John Mathai, Projad
Director for TEAP/Addltlonal
Chief Secretary, DMD
Mr, Padrna Kumar, Project
Mg'mt Specialist & Secretary.
Kerala
Date: 22 December 2005
Fax: cm/ -
OHli-
Approved by: Tadashi Kondo
Country Director, INRM
Tadas
Country OH
Subject: Loan 21$8-IND! Tiunaml Emergency Assistance Project (TEAP)- Approval of
simplified procedures for recruitment of consultants with contract value under
$100,000 and procurement of small materials/equipment and civil works
contracts, with value under $100,000, equivalent
Gentlemen,
Further to vari ous requests from the T&mll Nadu Implementing agendas, formally
conveyed by DEA (the Borrower) or 22 December 2005, we are pleased to advise that we wil
favorably consider direct selection of consultants, where justified because of special conditions
or urgencies, for contracts under $100,000, equivalent. Similarly we will favorably consider direct
or limited procurement of materiajs/equipment and civil works packages, where justified, and
val ued under $100,000, equivalent
While this flexibility Is provided in recognition of the numerous small consultancies and
contracts that will be required for the diverse rural and village level utilities, the option of using
this flexibiity remains with the State Executing Agendes. In all cases the State's normal
procedures for such small contracts must apply, as a minimum. For sucn small contracts, the
following rules will apply; at least 3 contractors from the State registry will be asked to bid,'the
engineer's estimate will not be provided to bidders (no percentage bids) and the bid opening will
be pubBc.
We continue to encourage you to "club" works into larger subprojects and contracts, to
reduce the number of subprojed appraisal reports, concept notes, related environmental and
resettlement check lists arxJ related administration.
Thank you and kind regards,
63
14. Besides acknowledging receipt of
communications, the Bank shall not enter into
discussion or correspondence with any
consultant during the selection and review
process, until award of the contract is notified.
Debriefing
15. If after contract award, a consultant
wishes to ascertain the grounds on which its
proposal was not selected, it should address its
request to the Borrower as indicated in
paragraph 2.29. If the consultant is not satisfied
with the explanation given and wishes to seek a
meeting with the Bank, it may address the
Regional Procurement Adviser for the
borrowing country, who will arrange a meeting
at the appropriate level and with the relevant
staff. In this discussion, only the consultant's
proposal can be discussed and not the
proposals of competitors.
58