4th quarterly progress report no. 5 01 october 31 … progress... · • weekly or fortnightly...
TRANSCRIPT
QUARTERLY PROGRESS REPORT
GRANT 0447-PNG: BUILDING RESILIENCE TO CLIMATE CHANGE IN PAPUA NEW GUINEA
01 OCTOBER – 31 DECEMBER 2017
December 2017
4TH QUARTERLY PROGRESS REPORT NO. 5
CONTENTS
A. Introduction
B. Basic Data
C. Utilization of Funds
D. Project Purpose
E. Implementation Progress
Summary
Output 1: CCVAP/AP & SGF – (CCDA, PMU)
Output 2 – Fisheries/Food Secuirty (CFDA/NARI)
Output 3 –Enabling Frameworks for Climate Proofing Infrastructure
(PNGPCL)
Output 4 – Project Management and Facilitation (PMU)
F. Compliance with Covenants
H. Safeguard
I. Gender and social Dimensions
J. Major Project Issues and Problems, and Action Taken
K. Work Plan (next Quarter)
Attachments
Appendix 1: BRCC - Overall Progress
Appendix 2: BRCC - Budget Status
Appendix 3: Status of Procurement/Consulting Packages as per PP
Appendix 4: Grant Covenants Compliance
Appendix 5: Safeguards & Social Dimensions Monitoring
Appendix 6: DMF Update
A. Introduction
1. The Government of Papua New Guinea has obtained a Grant of $24.25 million
from the Asian Development Bank to implement the proposed “Building Resilience to
Climate Change” (BRCC - the project). The main objective of this project is to help
implement PNG’s Strategic Program for Climate Resilience (SPCR)1 aimed at achieving
transformational change in addressing the current and future threats from climate change
and related hazards. This will be achieved by mainstreaming climate resilience into
development planning and addressing country priorities that focus on vulnerable
communities of Bougainville, East New Britain, Manus, Milne Bay and Morobe provinces
comprising 21 priority vulnerable islands/atolls identified through a participatory process
across four sectors including (i) infrastructure, (ii) natural resources, (iii) health, and (iv)
agriculture, against potential impacts from climate change and variability.
2. The project impact is increased resilience to the impacts of climate change and
climate variability. The outcome is improved capacities of vulnerable islands/atoll
communities, government agencies, and civil society to plan and respond to the impacts
of climate change. The direct beneficiaries include approximately 13,000 inhabitants of
the 21 vulnerable islands. The nationwide benefits include increased capacity to manage
climate change risks through establishment of early warning systems, access to finance
by communities, and development of national databases and knowledge management
systems.
B. Basic Data
1. Project: Grant No 0447- PNG: Building Resilience to Climate Change Project
2. Recipient: Government of Papua New Guinea
3. Executing Agency: Climate Change and Development Authority (CCDA)
4. Implementing Agencies: National Agricultural Institute (NARI), Coastal Fisheries
Development Agency (CFDA), PNG Ports Corporation Ltd. (PNGPCL)
5. Implementation Partners: Department of Health (DOH), National Disaster Center (NDC)
6. Financing Plan
Source Amount ($ million)
Share of Total (%)
Asian Development Bank (Strategic Climate Fund)
24.25 88.9
Beneficiaries 1.0 3.6
Government 2.04 7.5
Total 27.29 100.0
7. Financing plan: ADB ($24.25 m); Government ($2.04 m- counterpart, including taxes &
duties); Beneficiaries ($1.00 m – in-kind) - this can be deleted now as we have the table
above following the RRP format. A footnote can be reflected for Government contribution.
8. Project Approval: 21 Oct. 2015; Signing: 15 January 2016, and Effective: 01 March 2016
9. Original ADB loan closing date: 30 April 2022
10. Elapsed grant period based on original and revised grant closing dates (N/A yet) –
calculation should be based on original closing date. For now, with cutoff date of Dec
2016, elapsed time is 18%
Approval Cutoff Date Closing 21-Oct-
15 31-Dec-16 30-Apr-22 days 437 2383.00 month 14.566667 79.433333
18% as of cut-off/closing
11. Date of last ADB review mission: December 8-15, 2017 (Review Mission)
12. Status of project financing including availability of counterpart funds
No Government Counterpart Funding to date. There other support in cash and kinds which are
reflected on the government counterpart funds against planned amount.
C. Utilization of Funds
1. Cumulative contract awards financed by the ADB grant and government counterpart
Funds (commitment of funds to date), and comparison with time-bound projections (targets).
• Cumulative Contract Awards: USD 1,448,951, against planned amount of USD 5
million;
• Government Counterpart funds: $0.00 m against planned amount of$0.00 m
2. Cumulative disbursements from the ADB Grants, and government contribution
(expenditure to date), and comparison with time-bound projections (targets).
• Cumulative Grant Disbursements: USD 940,503, against planned amount of
$5.4024 million;
• Cumulative Government Contributions: USD 50,327, against planned amount of
$0.6501 million.
3. Re-estimated cost / Reallocation Cost Overrun
(N/A yet).
D. Project Purpose
1. Project Scope:
(i) Output 1: climate change and vulnerability assessments carried
out and adaptation plans developed for target communities,
(ii) Output 2: sustainable fishery eco-systems and food security
investments piloted in nine vulnerable island and atoll communities,
and
(iii) Output 3: enabling framework for climate resilient infrastructure
established and communications network extended.
(iv) Output 4: Project Management & Coordination
• Review on PAM is Feb 2017
4. An assessment on the immediate development objectives (project purpose), met in part
or in full, and whether remedial measures are required based on the current project scope and
implementation arrangements
• KK training session started in September and completed in November (PMU and 5
Provincial Administration. Training Report is available.
• Almost all planned activities were completed in quarter 4.
• The MOUs for NARI and CFDA is completed, only needed a minor amendment to Article
4, paragraph 23.
• Completed all 4h National Steering Committee meeting.
• Revise of the Output 1 activity in AROB is completed, Teon as a receiving site is now
amend to Tinputz as receiving site. Official documentation was received from AROB
government.
• Milne Bay Provincial Administration will formally write to the Project regarding the islands
they want to keep.
• Completed the revised Contract Awards and Disbursement Projection 2018-2022.
• PAM is review for update by March, 2018.
Progress update as planned in the implementation arrangement for quarter 4 in Output 1: includes
the following;
• CSIRO cannot provide the metadata for the climate projection in the 21 Islands and Atolls.
• All other plan activities in terms of output one won’t be happening until the PISC comes
on board.
• The data structure for the household survey done, awaiting the PISC to provide the final
review on what they what to do.
5. An assessment of changes to the key assumptions and risks that affect attainment of the
development objectives. – maybe we can also add in any possible changes that we need to be
aware of?
• The procurement of right personnel is the major risk in terms of supporting the project.
• The engaging of Facilitating NGO is now finalized, CCDA wants to go by the PAM.
• Weekly or fortnightly review of the Financial Management System of the project to support
the project cashflow is the major risk which need close monitoring in the first quarter on
going forward.
• Timely Submission of the withdrawal application is the major risk in terms of support the
PMU and project expense.
• The Consultants firms that will be engaged will provide a slow start to the implementation
and would affect the momentum of the project implementation.
• The government counterpart funding indicated for 2018 might be slow in the disbursement
to the CCDA.
• Government Cashflow problem is pinnacle in 2018 and 2019, that would slow the
government counterpart funding for 2018.
• The procurement process to recruit the PISC, PEFC and NGO and Fund Administrator
will take time, the current progress is very slow and might affect the contract award.
• Withdrawal application is another major challenge with the project Financial Management
System.
• The BRCC project award and disbursement Projection is still below required projection.
6. Other project developments, including monitoring and reporting on environmental and
social requirements that might adversely affect the project's viability or accomplishment of
immediate objectives.
• No other project developments in for the last quarter
E. Implementation Progress
1. Assessment of project implementation arrangements such as establishment, staffing, and
funding of the PMU.
• TOR review is done by the Project Coordinator, one by one meeting will be done
early quarter one of 2018.
• Completed the Contract award and disbursement projection in December 2017.
• Detail budget for project activities will be undertaken by the finance in December
2017
• Recruitment of new Financial Management Specialist (national), advertisement
will be out in the first quarter 2018
• Advertisement for recruiting 5 provincial project assistants will be out in the first
quarter 2018.
• The staff contribution from CCDA is as follows as per agreed in 4th quarter 2017 to
support the project in 2018;
Name Position Percentage of Time spent on Project
Jacob Ekinye Project Director 40%
Joy Samo Planning Officer 100%
Emmajil Rowena Bogari Ahai
Manager Projects 50%
Albert Milala Project Officer 50%
Ordy Wefin Project Officer 50%
Ayesha Boeha Project Officer 50%
The propose CCDA seconded staff has increased to support the consultant firms
(PISC, PEFC, NGO).
2. Other aspects of the EA’s internal operations that may impact on the implementation
arrangements or project progress.
• The EA main issue is adequate funding to support project implementation in the
4th quarter.
3. Progress or achievements in implementation since the last progress report
• Completed the PAC scheduled meetings in 5 provinces for quarter 4 2018
• Scheduled provincial training and PMU capability Building Training completed.
• National Steering Committee meeting completed for the 4th quarter
• Completed the Mid Term Evaluation Review in the 4th quarter 2017.
• Completed the contract Award and Disbursement projection for the 2018 – 2022.
• Completed CDFA MOU Amendment with the Issue of Notice to Procced with
K100,000 budgeted activity in 2018.
• CSIRO cannot in the position to provide the metadata for the climate projection
for the 21 islands and atolls.
• There will be a propose Implementation arrangement to implement the
Communication Infrastructure development to support the Early Warning System.
• Recruitment of 5 provincial Assistant will be advertise in 2018, commence once
the PICS comes on board.
• Facilitating NGO engaged as per PM, CCDA strongly supported the arrangement
within the PAM
• CCDA strongly agreed to implement the SGF as in the PAM, the Fund
Administrator will be recruited in 2018.
4. Assessment of the progress of each project component
(i) Climate change and vulnerability assessments carried out and
adaptation plans developed for target communities.
• Confirm the 21 Islands and atolls – AROB is only confirming the receiving
site, from Teon to Tinputz.
• Milne Bay Provincial Administration will confirm their decision through a
formal correspondence.
(ii) Sustainable fishery eco-systems and food security investments piloted in
nine vulnerable island and atoll communities.
• CFDA has amended the MOU, awaiting notice to proceed from the CCDA
(iii) Enabling framework for climate resilient infrastructure established and
communications network extended.
• There will be a change of implementation arrangement, involving NDC and NMSA.
Awaiting formal meetings and correspondence.
5. Assessment of progress in implementing the overall project to date in comparison with the
original implementation schedule—quantifiable and monitorable target, (include simple charts
such as bar or milestone to illustrate progress, a chart showing actual versus planned
expenditure, S-curve graph showing the relationship between physical and financial performance,
and actual progress in comparison with the original schedules and budgets, the reference
framework or guidelines in calculating the project progress including examples are shown in
Appendix 2);
• The original implementation plan remains unchanged
• DMF is still valid as original.
6. An assessment of the validity of key assumptions and risks in achieving the quantifiable
implementation targets.
• Major risk is the slowness in recruitment process of engaging the PISC, PEFC and
NGO and the Fund Administrator
F. Compliance with Covenants
1. The Recipients s and EA’s compliance with financial grant covenants including the EA’s
financial management, and the provision of audited project accounts or audited agency financial
statements; and the borrower’s and EA’s compliance with project-specific grant covenants
associated with implementation, environment, and social dimensions.
• The official correspondence from Milne Bay Administration to change the pilot islands will
affect the grant Agreement. A amendment will be done in the first quarter 2018
• Otherwise no major compliance issue.
Refer to Appendix 5. Grant Covenant Compliance
G. Safeguards
At each quarter update the environment and resettlement status. The social development
specialists of Implementing Agencies (IAs) and PMU need regularly conducted extensive public
consultation meetings with AHs/beneficiaries about projects’ backgrounds, entitlement of AHs
regarding the Project development. The primary stakeholder’s meetings and discussions to be
conducted at the provincial levels to solicit the ideas regarding the Project development and
related issues.
• Awaiting PISC, nothing was done in 4th Quarter.
H. Gender and Social Dimensions
The project need to regularly monitor and provide updates on the Gender Action Plan
implementation and gender mainstreaming action plan by both IAs and PMU social development
specialists.
• Awaiting PISC, nothing was done in 4th quarter.
Refer to Appendix 5 (delete the table, same is the last quarter)
I. Major Project Issues and Problems
1. Summarize the major problems and issues affecting or likely to affect implementation progress,
compliance with covenants, and achievement of immediate development objectives. Recommend
actions to overcome these problems and issues (e.g., changes in scope, changes in
implementation arrangements, and reallocation of loan proceeds).
• Implementation arrangement for output 3, early warning system, communication
infrastructure network. NMSA is the recommended agency to implement the output
3, supported by NDC.
• Confirmation of 21 islands and atolls in Milne Bay Province, especially the pilot site
as per grant agreement. This will be confirmed by the Provincial Administration
letter to confirm the site, this will be either increase the scope or reduce the scope.
J. First Quarter 2018 Work Program
The Project will need to focus on meeting these Activities in one quarter of 2018:
Activity Start End Outcome Staff Responsible
Comments
Procurement Work Plan
PISC May 2017
Feb 2018 Submission 1- 4 PS Submission 1- 4 complete
Feb 2018 Mar 2018 Notice to Proceed PS
Signing of contract and Notice to Proceed
PEFC Jun 2017 Mar 2018 Submission 1- 4 PS Submission 1-4 complete
Mar 2018 Mar 2018 Approval submission 4
PS follow up with ADB
Approval of submission 4
NGO Jan 2018 Jan 2018 Approval for Submission 0
PS follow up with ADB
Posting of REOI
Jan 2018 Jan 2018 Approval for submission 1
PS follow up with ADB
Approval of submission 1
Jan 2018 Jan 2018 Review for Submission 1
PS – follow up with ADB
Activity Start End Outcome Staff Responsible
Comments
Mar 2018 Mar 2018 Evaluation report Prepare for evaluation
Mar 2018 Mar 2018 Submission 2 PS Approval for Submission 2
FMS Advertisement & Provincial Project Assistant
Feb 2018 Feb 2018 Advertisement out PS Advertising the positions
Recruitment Mar 2018 Mar 2018 Signing of contract PS Wait for the Notice to Proceed
Planning and Implementation Work Plan
Jan 2018 Feb 2018 Retreat PIM/SGDS Prepared for Retreat and participate
Jan 2018 Jan 2018
Review of MBPA MOU and Meeting to confirm the islands
PIM/SGDS
Revised the MOU and confirm the islands in Milne Bay for output 2
Feb 2018 Feb 2018 Issue Notice to procced to CFDA
PSs Coordinate with finance team (FMO)
Jan 2018 Feb 2018 Revise PAM PIM/SGDS/PC
Confirm the islands (pilot site) MBPA AROB, receiving site
Feb 2018 Mar 2018 Review Grant Agreement and make amendment
PIM/SGDS/PC
Feb 2018 Mar 2018 Communication Infrastructure documentation
PIM/PC Change of Implementation Arrangement
Jan 2018 Feb 2018
Community Development – Mobilization Approach
PIM/SGDS Community Development strategy
Financial Management System
Jan 2018 Feb 2018
Budget review on the 2018 -2022 Contract Award and Disbursement Projection
FMSs, FMO
Jan 2018 Jan 2018 Bank Reconciliation and Statement
FMS, FMO
Jan 2018 Feb 2018 GoPNG Trust Account setup
FMO/FMS
Finalize matching of GL and program code on MYOB
FMSs
Jan 2018 Feb 2018 Financial Report for 2017
FMSs/FMO
Jan 2018 Jan 2018 Finalized SOP FMS
Activity Start End Outcome Staff Responsible
Comments
Jan 2018 Jan 2018 2018 Annual and Cash Budget Preparation
Jan Mar CCDA Accounts FMS ongoing
APPENDICES
Project Map (by Provinces with enlarged project islands)
Yet to complete the project site maps by projects
Appendix 1: BRCC - Overall Weighed Progress Table
Activity Date Progress Status Comments
PMU Start up 1-15 Sep 2017 100% Established
Office Space and
Renovation
100% Complete with workstations
Office equipment 13-17 Mar 2017 80% Facsimile/Copier/printer/Scan and sorter. All in one need instalment.
PMU Personnel 15th Dec 2017 100% Sent the updated version
MOUs with IAs and
Implementing
Partners
16th Dec 2017 100% All MOUs, only minor
amendments to make in first
quarter 2018
NSC Meetings Dec 8, 2017 100% 4th Quarter, will incorporate
comments to make it more
effective and efficient
PAC Meeting Oct – Dec 2017 90% Completed AROB for 4th
Quarter, other 4 has not
quorum during the training.
PISC 21 Dec 2017 60% Notify all firms –
Technical proposal.
Preparation for
Opening of Financial
proposal
PEFC 28th Nov 2017 40% Review and
incorporation of
submission 1
NGO 18th Dec 2917 10% Posting of REOI
Review original
Procurement plan
Dec 8-15, 2017 100% Review original
procurement plan to
accommodate the
delays in the activities
Review of original
Implementation Plan
Oct 2017 0% Had Planning
Session, however did
not revise any activity.
Awaiting review in
consultation with
PISC in beginning of
2nd quarter 2018
ADB Mission 8-15th Dec 100% Completed the 2018 –
2022 Contract Awards
and Disbursement
Projection
Appendix 2: BRCC - Budget Status (Govt)
No Government Funding yet – Will provide the 2nd quarter if there is funding for activity in 2nd Quarter.
Appendix 3: Status of Procurement/Consulting Packages
Procurement Plan up to 1st Quarter of 2018
Key Actions Responsibility Target Dates
1. Revise contract awards and
disbursement projections
CCDA and ADB December 2017
2. Recruit remaining PISC Consultants
(i) Technical proposal review (ii) Financial proposal review (iii) Negotiations (iv) Contract Signing (v) Commence Services
(i) Selection Panel (ii) Selection Panel (iii) CCDA (iv) CCDA (v) CCDA
(i) 1-21 Dec 2017 (ii) 8-23 Jan 2018 (iii) 7-8 Feb 2018 (iv) 21-27 Feb 2018 (v) March 2018
3. Recruit PNG Ports Enabling Framework
Consultants (PEFC)
(i) Technical proposal review (ii) Financial proposal review (iii) Negotiations (iv) Contract Signing
(i) Selection Panel (ii) Selection Panel (iii) CCDA (iv) CCDA
(i) 19 Jan-2 Feb 2018 (ii) 16 Feb-2 Mar 2018 (iii) 15-16 Mar 2018 (iv) 29 Mar -31 March
5. Revise grant agreement (revision of pilot sites)
CCDA, Treasury, ADB March 2018
Appendix 4: Grant Covenants Compliance
No. Covenants Reference Due Date Compliance
Status
As of 31st
December
2017,
1. In the carrying out of the Project and operation of the Project facilities, the Recipient shall perform, or cause to be performed, all obligations set forth in Schedule 4 to this Grant Agreement.
Section
4.01
Article IV,
GA
During
implementation
Being
complied
2. ADB shall disclose the annual audited financial statements for the Project and the opinion of the auditors on the financial statements within
30 days of the date of their receipt by posting them on ADB’s website.
Section
4.02.
Article IV,
GA
30 June 2017
30 July 2017
Being
Complied
Being
Complied
3. The Recipient shall enable ADB's representatives to inspect the Project, the Goods and Works, and any relevant records and documents.
Section
4.03 GA,
Section
2.10, PA
During
implementation
Being
complied
4. The Recipient shall take all actions which shall be
necessary on its part to enable CCDA to perform its
obligations under the Project Agreement, and shall not
take or permit any action which would interfere with the
performance of such obligations.
Section
4.04.
During
implementation
Being
complied
5. The Recipient shall exercise its rights under the Subsidiary Grant Agreement in such a manner as to protect the interests of the Recipient and ADB and to accomplish the purposes of the Grant.
Section
4.05. (a)
During
implementation
Being
complied
6. No rights or obligations under the Subsidiary Grant Agreement shall be assigned, amended, or waived without the prior concurrence of ADB.
Section
4.05. (b)
During
implementation
Being
complied
7. The Recipient acknowledges and agrees that this Grant Agreement is entered into by ADB, not in its individual capacity, but as a grant administrator for the SCF. Accordingly, the Recipient agrees that (i) it may only withdraw Grant proceeds to the extent that ADB has received proceeds for the Grant from the SCF, and (ii) that ADB does not assume any obligations or responsibilities of the SCF in respect of the Project or the
Section
4.06.
During
implementation
Being
complied
Grant other than those set out in this Grant Agreement.
8. Implementation Arrangements
1. The Recipient shall ensure or cause CCDA to ensure that the Project is implemented in accordance with the detailed arrangements set forth in the PAM. Any subsequent change to the PAM shall become effective only after approval of such change by the Recipient and ADB. In the event of any discrepancy between the PAM and this Grant Agreement, the provisions of this Grant Agreement shall prevail.
Schedule 4 During
implementation
Being
complied
9. Counterpart Support
2. The Recipient shall provide counterpart funds for
Project implementation on a timely basis, and make
budgetary allocation for the purpose, as necessary
Schedule 4 During
Implementation
To be
Complied
10. Environment
3. The Recipient shall ensure or cause CCDA to ensure that the preparation, design, construction, implementation, operation and decommissioning of the Project, each Subproject and all Project facilities comply with (a) all applicable laws and regulations of the Recipient relating to environment, health, and safety; (b) the Environmental Safeguards; (c) the EARF; and (d) all measures and requirements set forth in the respective IEE and EMP, and any corrective or preventative actions set forth in a Safeguards Monitoring Report.
Schedule 4 During
implementation
To be
complied
11. Land Acquisition and Resettlement
4. The Recipient shall ensure or cause CCDA to ensure
that the Project does not have any involuntary
resettlement impacts within the meaning of Safeguard
Policy Statement. If due to unforeseen circumstances,
the Project has involuntary resettlement impacts, the
Recipient shall take all steps required to ensure that the
Project complies with the applicable laws and regulations
of the Recipient and with the Safeguard Policy
Schedule 4 During
implementation
To be
complied
Statement.
12. Land Acquisition and Resettlement
5. The Recipient shall ensure or cause CCDA to ensure that any voluntary land acquisition and resettlement under the Project and each Subproject is carried out in accordance with Voluntary Land Use/Negotiated Settlement Framework and that no physical or economic displacement takes place in connection with the Project or any Subprojects until compensation and other entitlements, if any, have been provided to affected people in accordance with the Voluntary Land Use/Negotiated Settlement Framework.
Schedule 4 During
implementation
To be
complied
13. Indigenous Peoples
6. The Recipient shall ensure or cause CCDA to ensure that the Project does not impact indigenous peoples within the meaning of the Safeguard Policy Statement. If due to unforeseen circumstances, the Project impacts indigenous peoples, the Recipient shall take all steps necessary or desirable to ensure that the Project complies with all applicable laws and regulations of the Recipient and with the Safeguard Policy Statement.
Schedule 4 During
implementation
To be
complied
14. Labor Standards, Health and Safety
7. The Recipient shall ensure or cause CCDA to ensure that the core labor standards and the Recipient’s applicable laws and regulations are complied with during
Project implementation. The Recipient shall include specific provisions in the bidding documents and contracts financed by ADB under the Project requiring that the contractors, among other things: (a) comply with the Recipient’s applicable labor law and regulations and incorporate applicable workplace occupational safety norms; (b) do not use child labor; (c) do not discriminate workers in respect of employment and occupation; (d) do not use forced labor; (e) allow freedom of association and effectively recognize the right to collective bargaining; and (f) disseminate, or engage appropriate service providers to disseminate, information on the risks
Schedule 4 During
implementation
To be
complied
of sexually transmitted diseases, including HIV/AIDS, to the employees of contractors engaged under the Project and to members of the local communities surrounding the Project area, particularly women.
15. Labor Standards, Health and Safety
8. The Recipient shall strictly monitor compliance with the requirements set forth in paragraph 8 above and provide ADB with regular reports.
Schedule 4 During
implementation
To be
complied
16. Gender and Development
9. The Recipient shall ensure or cause CCDA to ensure that (a) the GAP is implemented in accordance with its terms; (b) the bidding documents and contracts include relevant provisions for contractors to comply with the measures set forth in the GAP; (c) adequate resources are allocated for implementation of the GAP; and (d) progress on implementation of the GAP, including progress toward achieving key gender outcome and output targets, are regularly monitored and reported to ADB.
Schedule 4 During
implementation
To be
complied
17. Safeguards – Related Provisions in Bidding Documents
and Works Contracts
10. The Recipient shall ensure or cause CCDA to ensure that all bidding documents and contracts for Works contain provisions that require contractors to:
(a) comply with the measures and requirements relevant to the contractor set forth in the IEE and the EMP (to the extent they concern impacts on affected people during construction), and any corrective or preventative actions set out in a Safeguards Monitoring Report;
(b) make available a budget for all such environmental and social measures; and
(c) provide the Recipient with a written notice of any unanticipated environmental, resettlement or indigenous peoples risks or impacts that arise during construction, implementation or operation of the
Schedule 4 During
implementation
To be
complied
Project that were not considered in the IEE.
18. Safeguards Monitoring and Reporting
11.The Recipient shall do the following or shall cause
CCDA to do the following:
(a) submit semi-annual Safeguards Monitoring Reports to ADB and disclose relevant information from such reports to affected persons promptly upon submission;
(b) if any unanticipated environmental and/or social risks and impacts arise during construction, implementation or operation of the Project that were not considered in the IEE or the EMP, promptly inform ADB of the occurrence of such risks or impacts, with detailed description of the event and proposed corrective action plan; and
(c) report any actual or potential breach of compliance with the measures and requirements set forth in the EMP promptly after becoming aware of the breach.
Schedule 4 During
implementation
To be
complied
19. Prohibited List of Investments
12. The Recipient shall ensure or cause CCDA to ensure that no proceeds of the Grant are used to finance any activity included in the list of prohibited investment activities provided in Appendix 5 of the SPS.
Schedule 4 During
implementation
Being
complied
20. Governance and Anticorruption
13. The Recipient shall, and shall ensure that CCDA (a) complies with ADB’s Anticorruption Policy (1998, as amended to date) and acknowledge that ADB reserves the right to investigate directly, or through its agents, any alleged corrupt, fraudulent, collusive or coercive practice relating to the Project; and (b) cooperates with any such investigation and extend all necessary assistance for satisfactory completion of such investigation.
Schedule 4 During
implementation
Being
complied
14. The Recipient shall or cause CCDA to ensure that the anticorruption provisions acceptable to ADB are included in all bidding documents and contracts, including provisions specifying the right of ADB to audit and examine the records and accounts of the executing and implementing agencies and all contractors, suppliers, consultants, and other service providers as they relate to the Project.
15. The Recipient shall ensure that CCDA complies with applicable laws and regulations of the Recipient on combating money laundering and financing of terrorism; and
(b) Grant proceeds are not used, directly or indirectly, in money laundering or financing of terrorism, including payment to persons and entities that are subject to financial sanctions of United Nations Security Council resolutions on combating the financing of terrorism.
21. (a) In the carrying out of the Project, CCDA shall employ competent and qualified consultants and contractors, acceptable to ADB, to an extent and upon terms and conditions satisfactory to ADB.
(b) Except as ADB may otherwise agree, CCDA shall procure all items of
Expenditures to be financed out of the proceeds of the Grant in accordance with the provisions of Schedule 3 to the Grant Agreement. ADB may refuse to finance a contract where any such item has not been procured under procedures substantially in accordance with those agreed between the Recipient and ADB or where the terms and conditions of the contract are not satisfactory to ADB.
Project
Agreement
Section
2.03.
During
implementation
Being
complied
22. CCDA shall carry out the Project in accordance with
plans, design standards, specifications, work schedules
and construction methods acceptable to ADB. CCDA
shall furnish, or cause to be furnished, to ADB, promptly
after their preparation, such plans, design standards,
specifications and work schedules, and any material
modifications subsequently made therein, in such detail
as ADB shall reasonably request.
Section
2.04.
During
implementation
Being
complied
23. (a) CCDA shall take out and maintain with responsible insurers, or make other arrangements satisfactory to ADB for, insurance against such risks and in such amounts as shall be consistent with sound practice.
(b) Without limiting the generality of the foregoing, CCDA undertakes to
insure, or cause to be insured, the Goods to be imported for the Project against hazards incident to the acquisition, transportation and delivery thereof to the place of use or installation, and for such insurance any indemnity shall be payable in a currency freely usable to replace or repair such Goods.
Section
2.05.
During
implementation
Being
Complied
24. CCDA shall maintain, or cause to be maintained,
records and accounts adequate to identify the items of
expenditure financed out of the proceeds of the Grant,
to disclose the use thereof in the Project, to record the
progress of the Project (including the cost thereof) and
to reflect, in accordance with consistently maintained
sound accounting principles, its operations and financial
condition
Section
2.06.
During
implementation
Being
complied
25. (a) ADB and CCDA shall cooperate fully to ensure that the purposes of the Grant will be accomplished.
(b) CCDA shall promptly inform ADB of any condition which interferes
with, or threatens to interfere with, the progress of the Project, the performance of its obligations under this Project Agreement or the Subsidiary Grant Agreement, or the accomplishment of the purposes of the Grant.
(c) ADB and CCDA shall from time to time, at the request of either party,
Exchange views through their representatives with regard to any matters relating to the Project, CCDA and the Grant.
Section
2.07.
During
implementation
Being
complied
26. (a) CCDA shall furnish to ADB all such reports and information as ADB shall reasonably request concerning (i) the Grant and the expenditure of the proceeds thereof; (ii) the items of expenditure financed out of such proceeds; (iii) the Project; (iv) the administration, operations and financial condition of CCDA; and (v) any other matters relating to the purposes of the Grant.
Section
2.08.
During
implementation
Being
Complied
27. (b) Without limiting the generality of the foregoing, CCDA shall furnish to
ADB periodic reports on the execution of the Project and on the operation and management of the Project facilities. Such reports shall be submitted in such form and in such detail and within such a period as ADB shall reasonably request, and shall indicate, among other things, progress made and problems encountered during the period under review, steps taken or proposed to be taken to remedy these problems, and proposed program of activities and expected progress during the following period.
Section
2.08.
During
implementation
Being
Complied
28. (c) Promptly after physical completion of the Project, but in any event not
later than 3 months thereafter or such later date as ADB may agree for this purpose, CCDA shall prepare and furnish to ADB a report, in such form and in such detail as ADB shall reasonably request, on the execution and initial operation of the Project, including its cost, the performance by CCDA of its obligations under this Project Agreement and the accomplishment of the purposes of the Grant.
Section
2.08.
Physical
completion
Not yet due
29. (a) CCDA shall (i) maintain separate accounts and
records for the Project; (ii) prepare annual financial
statements for the Project in accordance with accounting
principles acceptable to ADB; (iii) have such financial
statements for the Project audited annually by
independent auditors whose qualifications, experience
and terms of reference are acceptable to ADB, in
accordance with international standards for auditing or
the national equivalent acceptable to ADB; (iv) as part of
each such audit, have the auditors prepare a report
(which includes the auditors’ opinion on the financial
statements, use of the Grant proceeds and compliance
with the financial covenants of the Grant Agreement as
well as on the use of the procedures for imprest funds)
Section
2.09.
During
implementation
Being
complied
and a management letter (which sets out the deficiencies
in the internal control of the Project that were identified in
the course of the audit, if any); and (v) furnish to ADB, no
later than 6 months after the close of the fiscal year to
which they relate, copies of such audited financial
statements, audit report and management letter, all in the
English language, and such other information
concerning these documents and the audit thereof as
ADB shall from time to time reasonably request.
30. (b) ADB shall disclose the annual audited financial statements for the
Project and the opinion of the auditors on the financial statements within 30 days of the date of their receipt by posting them on ADB’s website.
Section
2.09.
During
implementation
Being
complied
31. (c) In addition to annual audited financial statements referred to in
subsection (a) hereinabove, CCDA shall (i) provide its
annual financial statements prepared in accordance with
national accrual-based financing reporting standards
acceptable to ADB; (ii) have its financial statements
audited annually by independent auditors whose
qualifications, experience and terms of reference are
acceptable to ADB, in accordance with international
standards for auditing or the national equivalent
acceptable to ADB; and (iii) furnish to ADB, no later than
1 month after approval by the relevant authority, copies
of such audited financial statements in the English
language and such other information concerning these
documents and the audit thereof as ADB shall from time
to time reasonably request.
Section
2.09.
During
implementation
To Be
complied
32. (d) CCDA shall enable ADB, upon ADB's request, to discuss the financial statements for the Project and CCDA and its financial affairs where they relate to the Project with the auditors appointed by CCDA pursuant to subsections (a)(iii) and (c) hereinabove, and shall authorize and require any representative of such auditors to participate in any such discussions requested by ADB. This is provided that such discussions shall be conducted only in the presence of an authorized officer of CCDA, unless CCDA shall otherwise agree.
Section
2.09.
During
implementation
To be
complied
33. (a) CCDA shall, promptly as required, take all action within its powers to maintain its statutory existence, to carry on its operations, and to acquire, maintain and renew all rights, properties, powers, privileges and franchises which are necessary in the carrying out of the Project or in the conduct of its operations.
(b)CCDA shall at all times conduct its operations in accordance with sound applicable technical, financial, business, development and operational practices, and under the supervision of competent and experienced management and personnel.
(c) CCDA shall at all times operate and maintain its plants, equipment and
other property, and from time to time, promptly as needed, make all necessary repairs and renewals thereof, all in accordance with sound applicable technical, financial, business, development, operational and maintenance practices.
Section
2.11
During
implementation
Being
complied
34. Except as ADB may otherwise agree, CCDA shall not sell, lease or otherwise dispose of any of its assets which shall be required for the efficient carrying on of its operations or the disposal of which may prejudice its ability to perform satisfactorily any of its obligations under this Project Agreement.
Section
2.12.
During
implementation
Being
complied
35. Except as ADB may otherwise agree, CCDA shall apply the proceeds of the Grant to the financing of expenditures on the Project in accordance with the provisions of the Grant Agreement and this Project Agreement, and shall ensure that all items of expenditures financed out of such proceeds are used exclusively in the carrying out of the Project.
Section
2.13.
During
implementation
Being
complied
36. Except as ADB may otherwise agree, CCDA shall duly perform all its obligations under the Subsidiary Grant Agreement, and shall not take, or concur in, any action which would have the effect of assigning, amending, abrogating or waiving any rights or obligations of the parties under the Subsidiary Grant Agreement.
Section
2.14.
During
implementation
Being
complied
37. CCDA shall promptly notify ADB of any proposal to amend, suspend or repeal any provision of its constitutional documents, which, if implemented, could adversely affect the carrying out of the Project or the operation of the Project facilities. CCDA shall afford ADB
Section
2.15.
During
implementation
Being
complied
an adequate opportunity to comment on such proposal prior to taking any affirmative action thereon.
Appendix 5: Safeguards & Social Dimensions Monitoring Action Plan Checklist
(a) There is no update on the GAP check list
(b) GAP Progress Matrix remains the same since the last quarter
(c ) The community Development audit check will be looked into in the 1st quarter of 2018
Appendix 6: DMF Update
The DMF remains the same as the original in the last quarter. No Update