summarised procurement procedures for world bank …

SUMMARISED PROCUREMENT

PROCEDURES FOR

WORLD BANK FUNDED ETRP

AND

ASIAN 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

3 9 - 4 2

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

4 5 - 4 8

Annexure - C

Methods of Selection of Consultants / Firms under World Bank funded ETRP and ADB funded TEAP

4 9 - 6 2

Annexure -D 63

Letter from Asian Development Bank dated 22.12.2005

GUDELINES ON PROCUREMENT AND SUBPROJECT 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 SUBPROJECTS

IV. INVOLUNTARY RESETTLEMENT AND ENVIRONMENTAL ASSESSMENT AND FOLLOW UP ACTIONS

V. NOTE ON PROCUREMENT THROUGH COMMUNITY PARTICIPATION

VI. APPLICATION FORMAT FOR SUBPROJECTS UNDER LIVELIHOOD COMPONENT OF ADB ASSISTED-TEAP

Appendix I - Involuntary Resettlement Screening Checklist Appendix II - Rapid Environmental Assessment Checklist

GUDELINES ON PROCUREMENT AND SUBPROJECT 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 SUBPROJECTS

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)

(SUBPROJECT TITLE HERE)

SUBPROJECT CONCEPT NOTE

A. SUBPROJECT PURPOSE

B. SUBPROJECT QUALIFICATION WITH RESPECT TO TEAP ELIGIBILITY CRITERIA

C. SUBPROJECT COMPONENTS AND COST ESTIMATES

D. SUBPROJECT 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)

(SUBPROJECT 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 Acquisit ion 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 SUBPROJECTS UNDER LIVELIHOOD COMPONENT OF ADB ASSISTED-TEAP

PROJECT TITLE: PROJECT OBJECTIVE: PROJECT 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 PROJECT 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 Resett lement 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

Rapid E n v i r o n m e n t a l A s s e s s m e n t ( R E A ) Checkl i s t

SCREENING QUESTIONS ' : Yes No REMARKS . A. Pro ject S i t ing

Is the Projcct area adjacent to or within any of the fol lowing environmental ly sensit ive areas?

• Cultural heritage site • • • Protected Area • • • Wet land • • • Mangrove • • • Estuarine • • • Buffer zone of protected area • • • Special area for protect ing biodiversity • • B. Potent ia l E n v i r o n m e n t a l Impac t s

Will the Project cause. . . • overexploitation o f f i s h stocks and long-term degradat ion

of resource base? • •

FISHERIES

Fisheries, page 2

SCREENING QUESTIONS Yes No REMARKS • capture of non-target species and habitat damage

through use of destruct ive fishing methods and gears? • • • accidental damage to coral reefs by divers and fishing

vessel anchors? • • • pollution from oil and fuel spills and bilge f lushing? • • • ecological protection resulting from clearing for

conversion of coastal wetlands to f ishponds? • • • social problems arising from confl icts with other site

uses? • • • downstream water pollution from discharge of pond

effluents with drain w^ter? • • • reduction of water supplies for compet ing uses (e.g.,

irrigation or domestic ? • • • restriction of water circulation, obstruct ion to navigation

by fish pens/cages, and reduction of stream capacity f romsi l tat ion?

• •

• dislocation or involuntary resett lement of people • • • social problems due to land tenure and use confl icts? • • •

• soil erosion and siltation during construct ion? • • • noise and dust from construct ion? • • • social problems especially when workers from other areas are hired? • • • reduction of water available to downst ream users during

peak seasons? • • • pollution of nearby aquatic env i ronments by pond

drainage water and inadequate farm management? • • • depletion of local fish populat ions by stocking of wild .

fry/fingerlings in ponds? • • • spread of diseases and parasites from exotic cultured

species or escape of pond fish to the wi ld? • • • increased public health risks due to the increased

inciriftnr.fi nr introduction nf waterborne or water-related diseases?

• •

Rap id E n v i r o n m e n t a l A s s e s s m e n t ( R E A ) Check l i s t 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.

C o u n t r y / P r o j e c t T i t l e :

S e c t o r D i v i s i o n :

SCREENING QUESTIONS Yes No REMARKS A. Pro ject S i t ing

Is the Project area adjacent to or within any of the fol lowing environmental ly sensit ive areas?

• Cultural heritage site • • • Protected Area • • • Wet land • • • Mangrove • • • Estuarine • • • Buffer zone of protected area • • • Special area for protect ing biodiversi ty • • B. P o t e n t i a l E n v i r o n m e n t a l I m p a c t s

Wi l l the Pro jec t c a u s e . . .

• increase in soil erosion and si l tat ion? • • • increase in peak and f lood f lows? • •

«

2J

Forestry, page 2

SCREENING QUESTIONS Yes No REMARKS • loss of downstream beneficial uses (water supply or

fisheries)? • • • impairment of ecological and recreational opportunit ies? • • • impairment of beneficial uses of traditional fo res ts ' • • • any loss of precious ecology? • • • possible conflicts with establ ished management policies? • • • dislocation or involuntary resett lement of people? • • • loss of downstream ecological and economic functions

due to any construct ion 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 l imited number of species? • •

• technology or land use modif icat ion that may changc present social an/I economic activit ies? • •

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

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

• social problems and confl icts related to land tenure and resource use rights? • •

R a p i d E n v i r o n m e n t a l A s s e s s m e n t ( R E A ) Check l i s t POWER

TRANSMISSION

Instructions:


• This checklist is to be completed with the assistance of an Environment Specialist in a Regional Department.


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.


S c c t o r D i v i s i o n :


Is the Project area adjacent to or within any of the following environmental ly sensit ive areas?

• Cultural heritage site • • • Protected Area • • • Wet land • • • Mangrove • • • Estuarine • • • Buffer zone of protected area • • • Special area for protect ing biodiversity • • B. Potent ia l E n v i r o n m e n t a l I m p a c t s

Will the Project cause. . .

• encroachment on historical/cultural areas, disfiguration of landscape and increased waste generat ion? • •

• encroachment on precious ecosystem (e.g. sensitive or protected areas)? • •

23

Power Transmission, page 2

SCREENING QUESTIONS •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 submar ine 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 result ing from chemical clearing of vegetation for construct ion site? • •

• noise and vibration due to blasting and other civil works? • • • dislocation or involuntary resett lement of people • • • social conflicts relating to inconveniences in living

conditions where construct ion interferes with pre-existing roads? • •

* hazardous driving condit ions where construction interferes with pre-exist ing roads? • •

• poor sanitation and solid waste disposal in construction camps and worV. sites, and possible t ransmission ot communicable d iseases from workers to local populat ions?

• • • creation of temporary breeding habitats for mosquito

vectors of disease? • • • dislocation and compulsory resett lement of people living

in right-of-way of the power t ransmission 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 e lectromagnet ic f ields, land subsidence, lowered groundwater table, and salinization? • •

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

28

Rapid E n v i r o n m e n t a l Assessment (REA) Checklis t


Is the project area.. .

• Densely populated? n • • Heavy with deve lopment activi t ies? u LI • Adjacent to or within any environmental ly sensit ive

areas?

• Cul tural her i tage site • • • Protected Area • • • Wet land • • • Mangrove • • D • Estuar ine

• • • • Buffer zone of protected area • • • Special area for protect ing biodiversity • • • Bay • •

B. Po ten t ia l E n v i r o n m e n t a l Impac t s

Wil l the Project cause. . .

URBAN DEVELOPMENT

Urban Development, page 2

SCREENING QUESTIONS Yes No REMARKS impacts on the sustainabil i ty 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, commercia l and industrial activity, and increased waste generat ion to the point that both manmade and natural systems are overloaded and the capacit ies 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 resett lement of people • • degradation of cultural property, and loss of cultural heritage and tourism revenues? • • occupation of low-lying lands, f loodplains 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. deplet ion/degradat ion of available water supply, deteriorat ion for surface and ground water q uality , and pollution of receiving waters?

• • air pollution due to urban emiss ions? • • social conflicts between construction workers from other areas and local workers? • • road blocking and temporary f looding due to land excavation during rainy season?

noise and dust from construct ion activi t ies?

• •

• •

traffic disturbances due to construct ion material transport and wastes? • • temporary silt runoff due to construct ion? • • I w a r r l s to public health due to ambient, household and occupational pollution, thermal inversion, and smog formation? • u water depletion and/or degradat ion? • • overpaying of ground wator, leading to land subsidence, lowered ground water table, and sal inizat ion? LJ • contamination of surface and ground waters due to improper waste disposal? • • pollution of receiving waters resulting in amenity losses, fisheries and marine resource deplet ion, and health problems? • •

R a p i d E n v i r o n m e n t a l A s s e s s m e n t ( R E A ) Checkl i s t WATER SUPPLY

Instructions:




• 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.


S e c t o r D iv i s i on :


Is the project area.. . D • • Densely populated? • • • Heavy with deve lopment act iv i t ies? • • • Adjacent to or within any envi ronmental ly sensit ive areas?

• Cultural her i tage site • • • Protected Area • • • Wet land • • • Mangrove • • • Estuarine • • • Buffer zone of protected area • • • Special area for protect ing biodiversity • • • Bay • •

B. Potential Env i ronmenta l Impacts

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

• " • SCREENING QUESTIONS • 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 from water 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

from wastewater treatment plant • •

R a p i d E n v i r o n m e n t a l A s s e s s m e n t ( R E A ) C h e c k l i s t URBAN DEVELOPMENT SOLID WASTE MANAGEMENT

Instructions:





C o u n t r y / I ' r o j c c t T i t l e :


SCREENING QUESTIONS Yes | No REMARKS A. Project Si t ing

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. Potent ia l B i v l r onmcn ta l Impacts

Will the Project cause...

Sol id W a s t e M a n a g e m e n t , page 2

SCREENING QUESTIONS 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 from leach 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) from landfill 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? • •

Rapid E n v i r o n m e n t a l Asse s smen t ( l iEA) Checklis t

SCREENING QUESTIONS Yes No REMARKS A. Pro ject S i t i ng

Is the projcct area. . .

• Densely populated? • • .— — _

• Heavy with deve lopment activi t ies? • • • Adjacent to or wi th in any environmental ly sensitive

areas? • • •

• Cul tural her i tage site • • • Protected Area • • • Wet land • • • Mangrove • • • • Esluar ine

• • • • Buffer zone of protected area • • • Specia l area for protect ing biodiversity • • • Bay • •

SEWAGE TREATMENT

Sewage Treatment, page 2

SCREENING QUESTIONS Yes No REMARKS B. Potent ia l E n v i r o n m e n t a l Impac ts

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 resett lement 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 facil i t ies?

• •

• social conflicts between construction workers from other areas and communi ty workers? • •

• road blocking and temporary f looding due to land excavation during the rainy season? • •

• noise and dust from construct ion a ctivit ies? • • • traffic disturbances due to construct ion material transport

and wastes? • • • temporary silt runoff due to construct ion? • • • hazards to public health due to overf low flooding, and

groundwater pollution due to failure of sewerage system? • • • deterioration of water quality due to inadequate sludge

disposal or direct d ischarge 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?

• •

Rap id E n v i r o n m e n t a l A s s e s s m e n t ( R E A ) Check l i s t URBAN DEVELOPMENT PORTS AND HARBORS

Instructions:




• 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.



SCREENING QUESTIONS Yes No REMARKS t. . A. Pro ject S i t ing

Is the Project area ad jacent to or within any of the fol lowing environmental ly sensi t ive a reas? i

• Cultural heritage site • •

• Protected Area • • • Wetland • • • Mangrove • • • Estuarine • • • Buffer zone of protected area • • • Special area for protect ing biodiversity • • A. Potent ia l E n v i r o n m e n t a l i m p a c t s

Will the Project cause. . .

• encroachment on prec ious ecology resulting in loss or damage to f isheries and f ragi le coastal habitats such as coral reefs, mangroves , and seagrass beds? • •

Por t s & Harbo r s , page 2

SCREENING QUESTIONS Yes No REMARKS • short-term increase in turbidity and sunlight penetration

as well as changes in sed iment 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 modif icat ions to bathymet-y, causing changes in t idal 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 cover ing of potential archaeological sites with dredge spoi l? • •

• short-term air quality degradat ion due to dredging-related operat ions? • •

• noise and vibration due to blast ing and other civil works? • • • dislocation or involuntary resett lement of people? • • • other social concerns relating to inconveniences in living

conditions in the project areas? • • • social conflicts if construct ion depletes local fishery

resources on which communi t ies depend for subsistence?

• • • poor sanitation and suiid was te disposal in construct ion

camps and work sites, and possible transmission of communicable diseases from workers to local populations?

• •

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

• •

• deterioration of water qual i ty due to ship (e.g. ballast water, oil waste, lubricant and fuel spills, sewage) and waterfront industry d ischarges?

• • • increased noise and air pol lut ion resulting from airborne

emissions (e g. gas, smoke, fumes) from maneuvering and berthing ships and the waterfront industry?

• •

R a p i d E n v i r o n m e n t a l A s s e s s m e n t ( R E A ) Check l i s t URBAN DEVELOPMENT ROADS AND HIGHWAYS

Instructions:



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.



S e c t o r D iv i s i on :


Is the Project area adjacent to or within any of the fol lowing environmental ly sensit ive areas? • Cultural heritage site • • • Protected Area • • > Wetland • • • Mangrove • • • Estuarine • • • Buffer zone of protected area • • • Special area for protect ing biodiversi ty • • B. Potent ia l E n v i r o n m e n t a l I m p a c t s

Wil l the Project cause. . .

• encroachment on histor ical/cultural areas; disfiguration of landscape by road embankments , cuts, fills, and quarr ies?

• •

Roads & Highways, page 2

SCREENING QUESTIONS 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 construct ion?

• • • increased local air pollution due to rock crushing, cutting

and filling works, and chemicals f rom asphalt processing?

• • • noise and vibration due to blasting and other civil works?

• dislocation or involuntary resett lement 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 condit ions where construction

interferes with pre-exist ing roads? • • • poor sanitation and solid waste d isposal in construction

camps and work sites, and possible t ransmission o1 communicable diseases from workers to local populations?

• •

• creation of temporary breeding habitats for mosquito vectors of disease? • •

• dislocation and compulsory resett lement 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 pol lut ion 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 from one 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, form of bid, basis of bid evaluation, form of 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

G o o d s C o n t r a c t 1) First two contracts for goods procured on the basis of Nat ional Compet i t i ve Bidding. 2) First two contracts for goods procured on the basis of Nat ional Shopp ing 3) Procured on the basis of Direct Contract ing

W o r k s C o n t r a c t 1) First two contracts for works and serv ices (other than consul tancy serv ices) 2) Each cont ract for works and services es t imated 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 Wor ld 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 Contract ing :

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.

A f e r 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 Competi t ive 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.

Eligibil it ies and qualif ication 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 c o m m e n c e m e n t of Tender ing, all subprojects will need a formal approval f rom ADB. For this purpose the Project Implement ing Agency will submit a concept report in the standard format to PMU enclos ing the duly completed Involuntary Reset t lement (IR) and Rapid Envi ronmenta l Assessment (REA) check lists. 2 The subproject for approva l can be prepared combin ing the works so as to minimize the number of Concept Reports, e g All road works in a distr ict can be one subproject for approval however they can result in var ious contracts

C iv i l W o r k s c o n t r a c t a b o v e Rs.45.50 l a k h s

bu t b e l o w Rs .4550 l a k h s

G o o d s I E q u i p m e n t l

a b o v e Rs.45.5 l a k h s bu t b e l o w

Rs .455 l a k h s

Do L o c a l C o m p e t i t i v e B i d d i n g (LCB) . 1. The bid document is prepared for 'single stage for two-envelope' system and is in two parts Technica l and Financial Bid. 2. Get concurrence of the A D B on the bidding document . 3. Advert ise in one Nat ional Engl ish newspaper (all edit ions) and issue bidding documents to bidders 4 For those works alone which are es t imated to cost more than Rs 455 lakhs the Specif ic Procurement Notice is also to be publ ished in the ADB-Business Opportuni t ies s imul taneously i.e Not ice Invit ing Tender needs to be forwarded to A D B 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 evaluat ion report. 8. Notify the quali f ied bidders: the date, t ime and venue of public opening of price bids and int imate A D B as well, and conduct public bid opening and prepares the record of bid opening. 9. Evaluate bids, prepare bid evaluat ion report and submit to the ADB for concurrence. 10 ADB then reviews and approves the f inancial evaluat ion report and will advise the Project Implement ing Depar tment of its decision. 11. Project Implement ing Depar tment then issues the Letter of Acceptance (LoA) and then enters into agreement with the successfu l bidder after complet ing the formali t ies as descr ibed in the bidding documents and issues the Notice to Proceed (NTP) 12. Send a copy of the s igned contract a long with LOA and NTP to ADB and request ior issues of PCSS Number.

Goods/ Equ ipment above Rs.455 lakhs or works cont rac t

above Rs.4550 lakhs

Do I n t e rna t i ona l s h o p p i n g (IS) 1. Invitation to bid should be issued to not less than three bidders and they should be f rom more than one eligible source country 2. Adver t ise in one Nat ional English language newspaper (all editions). 3. The bids or quotat ions to be opened publicly and compared and evaluated. 4 A D B to be in formed after award of Contract and furnish three copies of: (i) a summary and evaluat ion of the bids or quotat ions; (ii) a brief just i f icat ion for mak ing the award (together wi th the consultants ' recommendat ions, where appl icable); (iii) the contract as executed; and (iv) an appropr iate cert i f icate of the eligibility of the contract where required by the Bank.

Do Internat ional Compet i t ive bidding (most likely not required for our ' purposes).

(Note. 1US$ = Rs 45.50)

Do D i rec t C o n t r a c t i n g (DC). 1) The Goods /Works can be procured fol lowing 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 per iod E M D / S D and bid documents can be as per the Act 2)The A D B requires that whi le fol lowing the G O T N procedure, the est imated value of works should not be disclosed to the bidders. 3) The A D B wants that contracts whose est imated 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 Contract ing 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 Competi t ive 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 Compet i t ive 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.

Internat ional shopp ing (IS) for Goods/Mater ials

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.

Internat ional Compet i t ive B idd ing (ICB) for Goods/Mater ia ls

• 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 f i rms shall be selected only by the QCBS method.

2. However, the indiv idual consul tants 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 Descript ion 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.

/

Q U A L I T Y AND C O S T BASED S E L E C T I O N (QCBS)

I OK ,*< ()S I I M I M A 11

ADVI .K I ISINl! I OK LOI

SHORT LISTING OF CONSULTANTS

REQUEST OF TECHNICAL AND FINANCIAL PROPOSALS

Q U A L I T Y BASKI) S K L E C T I O N (OliS)

QBS is applicable in the following circumstances: 1) Complex or highly specialized assignments. 2) Assignments that have a high downstream impact. 3) Assignments that can be carried out in substantially different ways.

f TOR AND COS'I I I S ! IMA 11 .

ADVERTISING I'OR I-01

S H O R T L I S T I N G OF C O N S U L T A N T S

PROPOSAL

YES

A W A R D OF CONTRAC

FIXED BUDGET SELECTION (FBS)

I'BS is applicable when the assignment is simple, precisely dellncd and when budget is fixed.

f TOR AND COST ESTIMATE

< ADVERTISING FOR EOI

NO

REJECTION OF PROPOSALS

SHORT LISTING OF CONSULTANTS

r

REQUEST OF TECHNICAL AND FINANCIAL PROPOSALS SEPARATELY

i r RECIEPT OF PROPOSALS

YES

N O

YES

L E A S T C O S T S E L E C T I O N (LCS)

LCS is applicable when the assignments of a standard or routine nature.

TOR AND COST ESTIMATE

1 r

ADVERTISING FOR EOI

SHORT LISTING OF C O N S U L T A N T S

REQUEST OF TECHNICAL AND FINANCIAL PROPOSALS SEPARATELY

r

RECIEPT OF PROPOSALS

YES

EVALUATION OF FINANCIAL PROPOSAL BASED ON LOWEST B U D G E T

YES

r~Av A W A R D OF CONTRACT D

SELECTION BASED ON CONSULTANTS QUALIFICATION (COS)

CQS is applicable for small assignments which need for preparing and evaluating competitive Drooosals is not justified

TOR AND C O S T \ ESTIMATE 1

ADVERTISING FOR EOI

SHORT LISTING OF C O N S U L T A N T S

• YES

I

N O

I

T

S I N G L E S O U R C E S E L E C T I O N (SSS)

SSS is applicable for the following circumstances: 1) Natural continuation of previous work. 2) In case of emergency. 3) Small assignments . 4) When one firm is qualified or experience of exceptional worth.

I OK AND C O S I ESTIMATE

T

A W A R D 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: c m / -

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 various 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 valued 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