Grant Assistance Socialist Republic of Viet Nam: Demand-Driven Skills Training for Poverty Reduction in the Cuu Long (Mekong) River Delta

Transcription

1 Grant Implementation Manual JFPR 9123 September 2009 Grant Assistance Socialist Republic of Viet Nam: Demand-Driven Skills Training for Poverty Reduction in the Cuu Long (Mekong) River Delta (Financed by the Japan Fund for Poverty Reduction)

2 TABLE OF CONTENTS Page MAP LIST OF ADDRESSES AND PERSONNEL CONCERNED CURRENCY EQUIVALENTS ABBREVIATIONS GRANT PROCESSING HISTORY i ii iv iv v I. GRANT DESCRIPTION 1 A. Grant Area and Location 1 B. Grant Objectives 1 C. Grant Components 1 II. COST ESTIMATES, FINANCING PLAN & ALLOCATION OF LOAN 5 PROCEEDS A. Cost Estimates 5 B. Financing Plan 6 C. Allocation of Grant Proceeds 6 III. IMPLEMENTATION ARRANGEMENTS 6 A. The Executing Agency and Implementing Agency 6 B. Grant Organization and Management 7 C. Coordination 7 IV. IMPLEMENTATION SCHEDULE 7 V. PROCUREMENT 8 VI. CONSULTING SERVICES 8 VII. DISBURSEMENT PROCEDURES 8 VIII. REPORTING REQUIREMENTS 9 A. Reports 9 B. Audited Grant Accounts 10 C. Benefit Monitoring Evaluation 10 IX. GRANT MONITORING AND EVALUATION 11 A. Contract Awards/Commitments and Disbursement Projections 11 B. Grant Reviews 11 C. Mid-term Review 11 D. Implementation Completion Memorandum (ICM) 11 X. COVENANTS 11 XI. ANTICORRUPTION POLICY 12

3 APPENDIXES 1. Summary of Project Costs Detailed Cost Estimates Fund Flow Arrangement Implementation Schedule Procurement Plan Procurement Method for Shopping and Direct Contracting Terms of Reference for Consulting Services Disbursement Procedures Instruction for Preparing Withdrawal Application for Imprest Account Reporting Requirement Audit Requirement and Guidelines Performance Evaluation Monitoring System Guidelines Implementation Completion Memorandum Grant Letter of Agreement List of ADB Reference Materials 52

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5 ii LIST OF ADDRESSES AND PERSONNEL CONCERNED A. ADB Staff Social Sectors Division (SESS) : Ms. Shireen Lateef Southeast Asia Department (SERD) Director Fax: (632) ; (632) : Mr. Yasushi Hirosato Senior Education Specialist Tel. (632) yhirosato@adb.org : Ms. Angela Francesca O. Bernaldo Assistant Project Analyst Tel. (632) afbernaldo@adb.org : Ms. Ralie Dusseldorf F.Ison Administrative Assistant Tel. (632) rison@adb.org Loan Administration Division (CTLA-5) : Mr. Yasumitsu Hirao Controller's Department Financial Control Specialist Tel. (632) yhirao@adb.org : Ms. Monina T. De Guzman Senior Control Officer Tel. No. (632) mtdeguzman@adb.org Address : Asian Development Bank P.O. Box Manila, Philippines 6 ADB Avenue Mandaluyong City 0401 Metro Manila, Philippines Website : B. EXECUTING AGENCY & IMPLEMENTING AGENCY Executing Agency : Ministry of Labor, Invalids, and Social Affairs (MOLISA) Address: 12 Ngo Quyen, Hanoi, SRV Tel: ; ; Fax: ; ;

6 Implementing Agency : General Department of Vocational Training (GDVT) 37B Nguyen Binh Khiem Street Hanoi, Viet Nam Tel Fax: iii

7 iv CURRENCY EQUIVALENTS (as of 15 September 2009) Currency Unit - dong (D) D1.00 = $ $1.00 = D17, ABBREVIATIONS ADB Asian Development Bank CETC community enterprise training committee DOLISA department of labor, invalids, and social affairs GDVT General Department of Vocational Training JFPR Japan Fund for Poverty Reduction LPIU local project implementation unit MOLISA Ministry of Labor, Invalids, and Social Affairs NPIU national project implementing unit NTPPR National Targeted Program on Poverty Reduction PIU project implementation unit PSC project steering committee VTE vocational and technical education VTEP Vocational and Technical Education Project NOTES (i) (ii) The fiscal year of the Government of Viet Nam ends on 31 December. In this report, $ refers to US dollars.

8 v GRANT PROCESSING HISTORY 1. SRC : 22 February Submission of Application : 3 March Approval of Government of Japan : 20 May Approval of ADB : 18 July Signing of Letter of Agreement : 21 October Closing Date of Grant : 30 October 2011 This Manual was prepared by Yasushi Hirosato (Team Leader) and Angela Francesca O. Bernaldo (Assistant Project Analyst). Southeast Asia Department

9 A. Grant Area and Location I. GRANT DESCRIPTION 1. The Project will be implemented in Tra Vinh and Soc Trang provinces in Cuu Long (Mekong) River Delta, focusing on the poorest districts. B. Grant Objectives 2. The goal of the Project is to improve the living standard of the poor and ethnic minorities by equipping them with relevant skills for employment and self-employment. The Project aims to pilot an innovative approach to poverty reduction through demand-driven skills training, so that methodologies and implementation arrangements tested under the Project will be incorporated and replicated in the Government s National Targeted Program on Poverty Reduction, and a follow-up program. 3. The specific objectives of the Project are to (i) build capability for vocational training providers to effectively mobilize resources; and manage skills training, career guidance, placement services, business start-up assistance, and follow-up consultations; (ii) provide the beneficiaries selected from the poor with a comprehensive package of skills training for employment; and (iii) provide project management and coordination support. 4. Expected Key Performance Indicators The performance and outputs of the Project will be monitored and evaluated with the following indicators: (i) (ii) (iii) (iv) (v) 4,000 poor individuals from the target districts, of whom at least 2,000 are ethnic minority females (50%), will be provided with skills training. 70% 90% of the pre-employment trainees (at least 35% 45% female) will find jobs. 5% 10% of the trainees (at least 2.5% 5% female) will have access to preferential credit schemes for starting up small businesses. Two community enterprise training committees in two target provinces will be established and involved in the Project. 100 core trainers (including at least 50 female trainers) and 150 personnel of the Department of Labor, Invalids, and Social Affairs (DOLISA), training providers, and other stakeholders (including at least 75 females) from Soc Trang and Tra Vinh will participate in training courses for capability building. C. Grant Components 5. The description of the components, monitorable deliverable/outcomes, and implementation table are as follows: Component A Component Name Cost ($) Capacity Building for Vocational Teachers, Managerial Staff, and Other Stakeholders $228,500 (including contingencies)

10 2 Component Description The component will strengthen capacity of various institutions and personnel involved in the Project through hands-on and customized training to effectively organize, mobilize stakeholders and resources, and manage demand-driven skills training; and provide career guidance and placement services. It will establish community enterprise and training committees (CETCs) to provide information and advice to the Project using a participatory and multisector approach. The key elements of this component will include (i) building capacity in managing, and business planning of selected training providers; and (ii) placement services and business start-up for qualified trainees and graduates. Key activities for capacity building will include (i) training needs survey and a rapid local economic appraisal of target districts to determine occupational and local market needs as a basis for skills training; (ii) training of core trainers, to be identified from public and private training providers, on teaching methods for developing instructional skills in multicultural and multilingual contexts and teaching adult learners; (iii) organization, management, and delivery of demanddriven skills training courses for school and center directors, business representatives, and community leaders; (iv) skills development for preparation of business plans and start-up for schools and training centers for poor and ethnic groups; (v) provision of skills on how to mobilize assistance from communities, governments, business, and other sources for qualified trainees who wish to set up small businesses; and (vi) establishment of a CETC in each of two provinces, comprising groups of stakeholders from schools and training providers; business associations and employers; and community and special groups such as religious groups, associations of fisherfolk, craftspeople, and shop owners. Key activities of job placement services and business start-up for qualified trainees will include (i) development of competencies of core trainers, vocational guidance counselors, and other training providers, so that they can provide career guidance and placement assistance to trainees on finding jobs and setting up small businesses; and (ii) provision of opportunities and preference for women teachers to serve as role models for poor women and ethic women beneficiaries.

11 3 Monitorable Deliverables/Outputs (all data will be disaggregated by gender and ethnic group) Implementation of Major Activities: Number of months for grant activities The various training components will be distinctly identified and delivered in a closely integrated manner, which will be in the sequence of: (i) year 1: (a) institutional planning; (b) training planning, including training needs survey, rapid local economic appraisal, and training design; (c) selection of trainees and trainers; and (d) instructor training, and management training; and (ii) years 2 and 3: (a) training delivery; (b) posttraining activities, including career guidance and job placement; and (c) monitoring and evaluation. (i) Training needs survey and rapid local economic appraisal methodology developed and conducted (ii) Two CETCs established comprising stakeholders from schools and training providers, business and employers, community, and special groups (iii) 100 core trainers (including at least 50 female trainers) developed to design and deliver demand-driven skills training courses (iv) 150 personnel of the department of labor, invalids, and social affairs, training providers, and other community stakeholders (including at least 75 females) participated in training courses for capacity building on career guidance, business development, and placement assistance 36 months Component B Component Name Cost ($) Component Description Provision of Skills Training Relevant to the Poor and the Local Labor Market $883,700 (including contingencies) Component B will focus on providing the selected poor individuals with comprehensive packages for employment, which cover primary and intermediate skills training, career guidance and identification of placement opportunities, support for business start-up, and follow-up consultations. Skills training will be organized into short-term courses (including basic hands-on skills training) that involves skills required on the job and the necessary knowledge to perform the job function properly in terms of time, safety, and working with others, leading to employment or self-employment. The trainees will be from poor families and will not be required to pay for training or other related expenses. Other stakeholders, particularly communities and business establishments, will be encouraged to contribute their share in the Project in kind (i.e., services, and time involvement in project activities). The Project will be implemented in Tran Vinh and Soc Trang provinces in the Cuu Long River Delta, focusing on the poorest

12 4 Monitorable Deliverables/Outputs (all data will be disaggregated by gender and ethnic group) districts: including Tra Cu and Cau Ke in Tran Vinh, and My Xuyen and Vinh Chau in Soc Trang. 1 The selection criteria of trainees qualified for skills training will be inclusive since the Project aims to reduce poverty through a pilot model of demand-driven skills training, and will be formulated and adopted by the CETCs. Trainees must be (i) poor individuals (a maximum of two individuals per household) as defined by the MOLISA poverty index), or (ii) out-of-school youths and unemployed or underemployed adults belonging to the economically active age group; no minimum education is required. Priority for selection will be given to women, ethnic minorities, poor disabled people, and poor youth under special circumstances (out-of-school and unemployed). As a mechanism to ascertain transparency, representatives of ethnic minorities will be members of the CETCs, and will take part in the decision-making process to formulate and adopt the selection criteria. The Project will have linkages with VTEP s extensive outputs and experiences, which include skills standards in 48 occupations and corresponding training programs, availability of trainers with updated skills and knowledge, and public private linkage models introduced by school industry advisory committees set up in 15 VTEP key schools; of which two are located near the target provinces of Tra Vinh (Vinh Long Technical Teacher Training College) and Soc Trang (Can Tho Vocational College). The key activities of this component comprise (i) provision of skills training programs, where (a) some courses will be referenced from programs developed for occupations under the VTEP and other projects of GDVT and MOLISA, (b) training content will be modified for the local context, and (c) training modules for small business start-up will be developed; (ii) provision of career guidance for trainees and placement assistance to graduates; and (iii) provision of training venues and equipment, teaching tools, and training supplies for selected occupations including for mobile training courses. (i) 4,000 poor individuals from the target districts, of whom at least 50% are ethnic minority females, will be provided with skills training (3,600 trainees for primary skills training and 400 trainees for intermediate skills training). (ii) 70% 90% of the preemployment trainees (including at least 35% 45% females) will find jobs. 1 The selection of two provinces is based on the poverty rate and areas with large ethnic minorities as indicated in the MOLISA poverty index. The selection of the districts will be made by the departments of labor, invalids, and social affairs, following selection criteria to be developed by the national project implementation unit and endorsed by ADB that will include (i) index of poverty (of the poorest), (ii) number of ethnic minorities in the district, (iii) access to training providers, and (iv) availability of employment and/or business opportunities.

13 5 Implementation of Major Activities: Number of months for grant activities (iii) 5% 10% trainees (at least 2.5% 5.0% female) will be provided with government preferential credit for starting up small-scale local business. (iv) Training contents will be modified to the local context. (v) Training modules for small business start-up will be developed. (vi) Training facilities and equipment (including vehicles for mobile training), tools, and supplies will be procured and delivered. 36 months Component C Component Name Project Management and Coordination Cost ($) $187,800 (including contingencies) Component Description Component C will provide organizational and technical support to effectively manage and coordinate the Project. The ODA Vocational Projects Management Unit (VPMU) will act as national project implementing unit (NPIU). Two provincial local project implementing units (LPIUs) will be established in the departments of labor, invalids, and social affairs. The Project will have regular monitoring and evaluation of the implementation process and project outputs, and annual auditing of project activities for the duration of the project life. Monitorable Deliverables/Outputs (i) Guidelines and manual for effective organization and management of demand-driven skills training for poverty reduction developed, and 64 master copies printed for nationwide replication (ii) Quarterly progress reports and review mission reports (iii) Semiannual and annual progress report; (iv) Consultant reports (v) Impact assessment survey report (vi) Implementation completion report (vii) Three external audit reports Implementation of Major 36 months Activities: Number of months for grant activities II. COST ESTIMATES, FINANCING PLAN & ALLOCATION OF LOAN PROCEEDS 6. The financing plan and categories, amounts, and percentage of expenditure are shown in the table below:

14 6 Table 1: Financing Plan Funding Source Amount ($) JFPR 1,300,000 Government 300,000 (in-kind contributions and preferential credit schemes from the Vietnam Bank for Social Policies) Other Sources (Communities) 50,000 (in-kind contributions for assistance/facilitation in job placement and credit schemes) Total 1,650,000 Table 2: Grant Categories of Expenditure, Amounts, and Percentage of Expenditures Category Amount of Grant Allocated Percentage of Expenditures ($) 1. Civil Works Equipment and Supplies 281, Training, Workshops, Seminars, 629, and Public Campaigns 4. Consulting Services 216, Grant Management 102, Other Inputs Contingencies 70, Total 1,300, Incremental Cost 65, Please refer to Appendix 1 for the summary of project costs, Appendix 2 for detailed cost estimates, and Appendix 3 for outline of fund flow arrangements. III. IMPLEMENTATION ARRANGEMENTS A. The Executing Agency and Implementing Agency 8. The Ministry of Labor, Invalids, and Social Affairs (MOLISA) is the Executing Agency, and the General Department of Vocational Training (GDVT) will serve as the Implementing Agency. The ODA Vocational Projects Management Unit (VPMU) will be the national project implementation unit (NPIU). It will directly manage project activities. The DOLISAs of two target provinces will have local project implementing units (LPIUs) that will be responsible for procurement of equipment, conduct of training courses, career guidance, setting up businesses, and other project activities in the provinces. 9. The LPIU will be supported by at least two fulltime staff in each province; and two staff in each district, including administrative and finance personnel who will be part of the counterpart share of the local government. CETCs, composed of groups from stakeholders, will be established in the two target provinces of Soc Trang and Tran Vinh to facilitate local ownership, provide labor market information, and advise the Project on ensuring the match between skills training and market demands.

15 7 10. The Project will undertake design and implementation of project components in coordination with and with the full participation of all relevant agencies and community stakeholders. The international and national consultants for project management will facilitate the development of detailed implementation plans and timetables. Capacity building for community leaders is needed to facilitate participation and engagement of local communities in decisions for project activities and thereby project ownership. B. Grant Organization and Management 11. The Project is designed and will be implemented through a participatory process by and among all the stakeholders, including MOLISA and GDVT, NPIU, provincial and district people s committees, DOLISAs, LPIUs, Bureau of Internal Affairs, local enterprises, Social Protection Agency, key schools of the VTEP, training providers, other relevant special provincial and district groups; and the poor and ethnic minorities in the communities. 12. MOLISA and GDVT will participate in the Project by undertaking national administrative and supervisory tasks, communication and financial transactions with ADB for the Project, annual auditing, benefit monitoring and evaluation, and formal reporting. The Project will establish LPIUs in the DOLISAs for provincial and district project implementation. It will mobilize and manage participation of local communities and business firms, and key VTEP schools in the nearby provinces. The CETCs will provide relevant labor market information and advice for matching training with employment. CETC membership will comprise groups of stakeholders from schools and training providers, business associations and employers, community and special groups, and representatives of the target and primary beneficiaries. In the communities, the poor and ethnic minorities will be involved in the training needs survey and rapid local economic appraisal processes as key informants; their representatives will be CETC members who will take part in the decision-making process for demand-based skills training. During project inception and implementation, seminars/workshops will be conducted with active participation of community and representatives of target and primary beneficiaries. They will be consulted in the preparation process of the guidelines for effective organization and implementation of demand-driven skills training for poverty reduction. C. Coordination 13. Prior coordination was conducted with MOLISA and GDVT leadership, the VTEP PIU, and VTEP project consultants for project design to avoid duplication, and ensure the Project complements the VTEP s benefits. ADB fielded its Appraisal Mission from 14 to 25 January 2008 to confirm early understanding of the project design. The Mission conducted a consultative workshop with about 70 stakeholders and beneficiaries in the Tra Vinh and Soc Trang provinces; and received feedback from stakeholders on the Project s objectives, targets, proposed activities, timetables, and community responsibilities. MOLISA s Social Protection Bureau and other departments responsible for the NTPPR were involved in the project design to ensure project benefits derived are institutionalized in the NTPPR. The Mission consulted with the Viet Nam Resident Mission; the outcome was incorporated into the project design in terms of the methodology for demand-driven skills training. IV. IMPLEMENTATION SCHEDULE 14. The project is expected to be implemented over 3 years commencing with the signing of the Letter of Agreement on 21 October 2008 to 20 October The implementation schedule

16 8 in Appendix 4 indicates the anticipated completion of project activities envisaged within the project period. V. PROCUREMENT 15. All procurement under the JFPR grant will be conducted in accordance with ADB s Procurement Guidelines (2007, as amended from time to time). Goods (vehicles, training equipment and supplies) and services estimated at $100,000 or less will be procured using shopping procedures. Minor items costing less than $ 10,000 equivalent may be procured by direct contracting. None of the procurement packages will exceed the threshold of $100,000, and none of the training program (to be organized per training batch) will exceed $10,000. Upon completion of the Project, goods procured will be turned over to the DOLISAs in Tra Vinh and Soc Trang provinces and training providers under the Project though the NPIU and LPIUs according to a standard guideline. Appendix 5 presents the Procurement Plan and Appendix 6 outlines the procurement method for Shopping and Direct Contracting. VI. CONSULTING SERVICES 16. The Project will provide 44 person-months of consulting services (two international consultants for 6 person-months and five national consultants for 38 person-months. International consultants will be recruited for project management and coordination (4 person-months) and marketing (2 person-months). National consultants will be recruited for consulting services on training including teaching methodology and curriculum development (10 person-months); career guidance and job placement (8 person-months); management, monitoring, and evaluation (10 person-months); local economic development and business planning (6 person-months); and preparation and monitoring of the implementation of a gender action plan (4 person-months). All seven consultants will be recruited on an individual basis. ADB, in consultation with MOLISA, will recruit the international consultants in accordance with ADB s The Guidelines on the Use of Consultants by Asian Development Bank and Its Borrowers (2007, as amended from time to time). The NPIU will recruit the national consultants in consultation with the LPIUs and in accordance with ADB s The Guidelines on the Use of Consultants by Asian Development Bank and Its Borrowers (2007, as amended from time to time). The national consultants will be recruited based on no-objection from ADB. 17. Consulting service requirements and outline terms of reference for the consultants are in Appendix 7. VII. DISBURSEMENT PROCEDURES 18. The Asian Development Bank (ADB) will channel the JFPR funds directly to a JFPR imprest account, which will be opened and maintained by the NPIU. The account will be at a bank endorsed by the Executing Agency and acceptable to ADB. It will be used to cover day-to-day local expenditures of the JFPR Project. The NPIU will keep the Executing Agency, Ministry of Finance, and State Bank of Viet Nam informed of all transactions, and receive copies of all financial statements and audit reports. Subaccounts will be opened and maintained by LPIUs of the DOLISAs in Tra Vinh and Soc Trang provinces at their provincial state treasury accounts, initially based on the first 6-month activity plan and related budget, and later based on the approved annual work plan and budget. The direct payment procedure or imprest fund procedure may be used to procure equipment and consulting services.

17 9 19. The NPIU will open an imprest account in the commercial bank appointed as serving bank to receive funds from the JFPR. The NPIU will transfer funds from the imprest account to subaccounts opened and maintained at DOLISA accounts in the state treasury of the two provinces. The direct payment procedure or commitment procedure may be used for the procurement of equipment and consulting services. All payments will be in accordance with the current regulations of the Ministry of Finance and ADB s Loan Disbursement Handbook (2007, as amended from time to time). Local state treasury units will supervise the expenditures in their respective areas. Any interest earned should be returned to the JFPR account maintained at ADB upon completion of the JFPR Project and before closing the JFPR account. 20. ADB will channel funds to the imprest account equivalent to 10% of the JFPR amount or 6 months estimated expenditures to be funded from the imprest account, whichever is lower, as an advance for day-to-day project implementation during the inception period. It will replenish the imprest account funds every 3 6 months, based on the replenishment requests from the NPIU in accordance with ADB s statement of expenditures (SOE) procedure. To ensure speedy project implementation, the SOE procedure will apply for all payments and transactions under $10,000. For payments in excess of $10,000 equivalent, supporting documents should be submitted, i.e., contract or purchase order, invoice, bill, or proof of payment. The imprest account will be established, managed, replenished, and liquidated in accordance with ADB s Loan Disbursement Handbook (2007, as amended from time to time). Detailed implementation arrangements, such as the flow, replenishment, and administrative procedures will be detailed in the GIM, and be established between ADB and the Government through the JFPR Letter of Agreement. The audit report should provide an opinion on the imprest account and SOE operations. 21. Disbursement procedures including establishing and operating the imprest account, and financial reporting are in Appendix 8. Instructions for preparing withdrawal applications are in Appendix 9. Sample withdrawal application for replenishment can be found in ADB s Loan Disbursement Handbook (January 2007, revised from time to time). VIII. REPORTING REQUIREMENTS 22. Reports. The Project will require submission of the following reports: consultant reports, progress reports (quarterly progress reports, semiannual progress reports), annual progress reports, implementation completion report, external monitoring and evaluation reports, and audit reports. 23. The reports will further describe and evaluate the various activities conducted during the period, financial and physical accomplishments, as well as Project impacts and recommended solutions to address key problems in implementation. Reporting requirements and suggested quarterly progress report format are in Appendix Audited Grant Accounts. GDVT will maintain separate accounts for all project components financed by the JFPR and the Government, and have them audited by an independent auditor that has adequate knowledge and experience in international accounting process and is acceptable to ADB. GDVT will submit the audited project account and the auditor s report to ADB within 6 months after the end of each fiscal year. ADB will finance, through the JFPR project, annual audits by an independent audit company acceptable to ADB. Audit reports will include an opinion on the use of the imprest fund, subaccounts, and statement

18 10 of expenditure procedure. Audit procedures, guidelines for the preparation of the audit report and guidelines for preparing the auditor s opinion are provided in Appendix Benefit and Monitoring Evaluation. GDVT will prepare a monitoring and evaluation framework and produce quarterly monitoring reviews based on the following key performance indicators: Key Performance Indicator Reporting Mechanism Plan and Timetable for M&E 4,000 poor individuals from the target districts, of whom at least 2,000 are ethnic minority females (50%), will be provided with skills training (3,600 trainees for primary skills training and 400 trainees for intermediate skills training). 70% 90% of the preemployment trainees (including at least 35% 45% females) will find jobs. - GDVT statistics - On-site survey reports during regular and midterm review missions - Impact assessment survey report - Annual reports on employment of DOLISA - GDVT statistics - Impact assessment survey report (Years 2 and 3) - Semiannual and annual progress reports - ADB mission reports - Implementation completion report (Years 2 and 3) - Semiannual and annual progress reports - Implementation completion report 5% 10% of trainees (including at least 2.5% 5.0% females) will be provided with government preferential credit for starting up small-scale local business. Two CETCs will be established comprising stakeholders from schools and training providers, business/employers, and community and special groups. 100 core trainers (including at least 50 female trainers) and 150 DOLISA personnel, training providers, and other stakeholders (including at least 75 females) from Soc Trang and Tra Vinh will participate in training courses for capability building. - Annual reports on employment by DOLISA - GDVT statistics - Impact assessment survey report - On-site survey reports during regular and midterm review missions - Training needs survey report - Rapid local economic appraisal report (Years 2 and 3) - Semiannual and annual progress reports - Implementation completion report (Years 1, 2, and 3) - Semiannual and annual progress reports - ADB mission reports (Years 1 and 2) - Semiannual and annual progress reports - Implementation completion report Please see Appendix 12 for Performance Monitoring System Guidelines.

19 11 IX. GRANT MONITORING AND EVALUATION A. Contract Awards/Commitments and Disbursement Projections 26. Projected commitments and disbursements are shown below: Quarterly Contract Awards Projections Including Contingency (in $000) Fiscal Year Q1 Q2 Q3 Q4 Annual Totals Total ,300 Quarterly Disbursement Projections Including Contingency (in $000) Fiscal Year Q1 Q2 Q3 Q4 Annual Totals , Total ,300 B. Grant Reviews 27. ADB and MOLISA will jointly undertake reviews of the Project at least twice a year. The reviews will assess progress, identify issues and constraints, and determine necessary remedial actions and adjustment. C. Mid-term Review 28. A midterm review will be conducted at the end of the second year of implementation. The midterm review will examine the scope, design, and implementation; identify any adjustments required; assess progress of project implementation against performance indicators; and recommend changes in the design or implementation arrangements, if warranted. D. Implementation Completion Memorandum (ICM) 29. The NPIU will provide an implementation completion memorandum to ADB within 3 months of physical completion of the JFPR Project. All reports will comprise an assessment of the project impact, and outputs, project performance monitoring and evaluation, as well as suggestions for improving project implementation. The format and instructions in preparing the ICM are in Appendix 13. IX. COVENANTS 30. The Government shall carry out the JFPR Project in accordance with the arrangements described in the Letter of Agreement as shown in Appendix 14.

20 12 XI. ADB ANTICORRUPTION POLICY 31. The Government has been advised of ADB s anticorruption policy, particularly the provisions in the recently revised Guidelines for Procurement under Asian Development Loans and Guidelines on the Use of Consultants by Asian Development Bank and Its Borrowers, requiring governments as well as bidders, suppliers, contractors, and/or consultants to observe the highest standards of ethics during procurement and execution of the contracts financed under the Project. 32. The ADB Office of the General Auditor is the point of contact to report allegations of fraud and corruption among ADB-financed projects or its staff. Within that office, the Anticorruption Unit is responsible for dealing with all matters related to allegations of fraud and corruption. Please refer to the ADB s Anticorruption Policy Handbook. Anyone coming across evidence of corruption associated with the Project may contact the Anticorruption Unit by telephone, facsimile, by mail, or by as follows: Integrity Division (OAGI) Office of the Auditor General Asian Development Bank 6 ADB Avenue, Mandaluyong City 0401 Metro Manila, Philippines Postal Address: P. O. Box Manila, Philippines Telephone No.: (63-2) Facsimile No. : (63-2) anticorruption@adb.org or integrity@adb.org 33. The GIM shall be read in conjunction with the JFPR Paper, Letter of Agreement, and relevant ADB documents listed in Appendix 15.

21 SUMMARY COST TABLE Appendix 5 13 Inputs / Expenditure category Grant Components A: Capacity Building for Vocational Teachers, Managerial Staff, and Other Stakeholders B: Provision of Skills Training Relevant to the Poor and the Local Labor Market C: Project Management and Coordination Total (Input) Percent 1. Civil Works Equipment and Supplies 0 281, , Training, Workshops, Seminars, and Public Campaigns 72, ,000 5, , Consulting Services 112, , , Grant Management 24,000 20,000 58, , Other Inputs Contingencies (0 10% of total estimated grant fund): 20,000 30,000 20,000 70, Subtotal JFPR grant financed 228, , ,800 1,300, Government Contribution 0 200, , ,000 Other Donor(s) Contributions Community's Contributions (mostly in kind) Total Estimated Costs 228,500 1,083, ,800 1,650,000 Incremental Costs Source: Asian Development Bank estimates. 65,000 65,000 Appendix 1 13

22 DETAILED COST ESTIMATES ($) Costs Code Supplies and Services Rendered Unit Quantity Cost Total Units Per Unit ($) Component A: Capacity Building for Vocational Teachers, Managerial Staff, and Other Stakeholders Amount JFPR Method of Procurement Contributions Government Other Donors Communities Subtotal 208, , Appendix Training, Workshops, and Seminars 62,500 62, Career Guidance and Job Placement Per Trainee ,500 12,500 Seminar/Workshops on Rapid Local Economic Appraisal and Business Planning, Per Trainee ,000 25,000 TNA Capacity Building for Vocational Training Teachers Per Trainee ,000 25, Training Needs and Rapid Local Economic Appraisal 10,000 10, Training Needs Survey Survey Lot 5,000 5,000 5, Rapid Local Economic Appraisal Survey Lot 5,000 5,000 5, Consulting Services 112, , International Consultant on Silk Weaving and Marketing Person month 2 18,000 36,000 36,000 Individual National Consultants for Capacity Building Person month 38 2,000 76,000 76,000 Individual National Consultant on Training (Teching Methodology/Curriculum) Person month 10 2,000 20,000 20,000 Individual National consultant on Career Guidance Placement Services Person month 8 2,000 16,000 16,000 Individual National Consultant on Management, Planning, M&E and Project Implementation Person month 10 2,000 20,000 20,000 Individual National Consultant on Local Economic Development, Business Planning/Start-Up Person month 6 2,000 12,000 12,000 Individual National Consultant on Gender Action Plan Person month 4 2,000 8,000 8,000 Individual 1.4 Management and Coordination of this Component 24,000 24, Travel and Per Diem of Training Staff Lot Lot 10,000 10, Operational Costs (LPIUs, Districts, and Community EnterpriseTraining Committee) Lot Lot 14,000 14,000 Component B: Provision of Skills Training Relevant for the Poor and the Local Labor Market Subtotal 1,053, , , Equipment and Supplies 281, , Training Equipment Lot Lot/Course 221, ,700 Shopping Primary Level Skills Training Equipment Lot Lot/Course 80,716 80, Intermediate Level Skills Training Equipment Lot Lot/Course 50,428 50, Training Equipment for Handicrafts/Industrial Sewing Lot Lot/Course 50,556 50, Training Equipment for Aquatic Product Processing Lot Lot/Course 40,000 40, Mobile Van for Mobile Training Units a Each 4 units 15,000 60,000 60,000 Shopping (pick-up, 2.7cc with 4-wheel drive for mobile van - 4 units 1 per disrtict) 2.2 Training, Workshops, and Seminars 552, , Intermediate Level Skills/Vocational Training Per Trainee , , Primary Level of Skills Training Per Trainee 3, , , Management and Coordination of this Component 20,000 20, Travel and Per Diem of Training Staff Lot Lot 10,000 10,000 10, Operational Costs (LPIUs and Districts) Lot Lot 10,000 10,000 10, Other Project Inputs 200, , Assistance/Soft Loans and Preferential Credits for Post Training Activities Lot Lot Lot 200, ,

23 Appendix 5 15 Contributions Costs Code Supplies and Services Rendered Unit Quantity Cost Total Units Per Unit ($) JFPR Government Other Donors Communities Amount Method of Procurement Component C: Project Management and Coordination Subtotal 317, , , Training, Workshops, and Seminars 5,000 5, Training Supplies Lot Lot 5,000 5, Consulting Services 104, , International Consultant on Project Management and Coordination Person month 4 18,000 72,000 72,000 Individual Interpreter Person month ,000 2,000 Individual External Audit Year 3 10,000 30,000 30, Management and Coordination of this Component 203,800 53, , Counterpart Staff in Two Provinces Lot Lot 25,600 25,600 25, Counterpart Staff in Four Districts Lot Lot 19,200 19,200 19, Office Support Staff (finance, administrative) Lot Lot 28,800 28,800 28, Cost of Use/Maintenance of Training Venues Lot Lot 16,800 16,800 16, Local Travel Lot Lot 10,000 10,000 10, Vehicle Operation/Maintenanace (including drivers) Lot Lot 38,400 38,400 38, Operational Costs (NPIU) Lot Lot 65,000 65,000 15,000 50, Benefit Monitoring and Evaluation 5,000 5, Impact Assessment Survey Survey 1 5,000 5,000 5,000 Components A to C = Subtotal Subtotal 1,580,000 1,230, , Contingency (maximum 10% of total JFPR contribution) 70,000 70,000 TOTAL Grant Costs Total 1,650,000 1,300, , Incremental Cost Details 65,000 65, Review, Editing, and Publication/Printing of "Guideline and Manual for Organization Lot Lot 30,000 30,000 30,000 and Implementation of Demand Driven Skills Training for Poverty Reduction" Cost inception, Midterm and Final Reviews, and Grant Completion Mission Lot Lot 35,000 35,000 35,000 TOTAL Incremental Costs 65,000 65, LPIU = local project implementation unit, M & E = monitoring and evaluation, NPIU = national project implementation unit, TNA = training needs assessment. A Cost of pick-up utility vehicles for mobile training vans had been included to reach out to the poor and ethnic minorities in their areas of residence. Cost of vehicle rental for the duration of the project life would be higher than cost of vehicles Source: Asian development Bank estimates. Appendix 2 15

24 16 Appendix 3 FUND FLOW ARRANGEMENT 1. The fund flow arrangement for the Japan Fund for Poverty Reduction (JFPR) Project is shown in Figure A_. The Asian Development Bank (ADB) will channel the JFPR funds directly to a JFPR imprest account, which will be opened and maintained by the national project implementation unit (NPIU), the project implementation unit of the Vocational and Technical Education Project. The account will be at a bank endorsed by the Executing Agency and acceptable to ADB. It will be used to cover day-to-day local expenditures of the JFPR Project. The NPIU will keep the Executing Agency, Ministry of Finance, and State Bank of Viet Nam informed of all transactions, and receive copies of all financial statements and audit reports. Subaccounts will be opened and maintained by local project implementation units (LPIUs) of the departments of labor, invalids, and social affairs in Tra Vinh and Soc Trang provinces at their provincial state treasury accounts, initially based on the first 6-month activity plan and related budget, and later based on the approved annual work plan and budget. The direct payment procedure or commitment procedure may be used to procure equipment and consulting services. Figure A1: Fund Flow Arrangements for the JFPR Project Asian Development Bank Grant Imprest Account held at National Project Implementation Unit $1,300,000 Consulting Services $216,000 Other Activities $75,000 Sub Account held at DOLISA Account in the State Treasury $939,000 Contingencies $70,000 Component A Capacity Building $208,500 Component B Delivery of Skills Training $853,700 Component C Project Management $167,800 Source: ADB

25 Appendix ADB will channel funds to the imprest account equivalent to 10% of the JFPR amount or 6 months estimated expenditures to be funded from the imprest account, whichever is lower, as an advance for day-to-day project implementation during the inception period. It will replenish the imprest account funds every 3 6 months, based on the replenishment requests from the NPIU in accordance with ADB s statement of expenditures (SOE) procedure. To ensure speedy project implementation, the SOE procedure will apply for all payments and transactions under $10,000. For payments in excess of $10,000 equivalent, supporting documents should be submitted, i.e., contract or purchase order, invoice, bill, or proof of payment. The imprest account will be established, managed, replenished, and liquidated in accordance with ADB s Loan Disbursement Handbook (2007, as amended from time to time). Detailed implementation arrangements, such as the flow, replenishment, and administrative procedures will be detailed in the project grant implementation manual, and be established between ADB and the Government through the JFPR Letter of Agreement. The audit report should provide an opinion on the imprest account and SOE operations.

26 Components Component A Year Capacity building for vocational teachers, managerial staff and others Stakeholders 1. Establishment of 2 Community Enterprise Training Committees (CECTs) 2. Consultting services 2.1. Selection of consultants 2.2. Consultting services 3. Development of training needs survey and rapid local economic appraisal 3.1 Selection of trainees 3.2 Delivery of training workshops 3.3 Training needs survey and development of rapid local economic appraisal 4. Training of core teachers on teaching methods for developing instructional skills 4.1 Selection of trainees 4.2 Delivery of training 5. Staff training on developing business plans and business start-up, etc. 5.1 Selection of trainees 5.2 Delivery of training 6. Staff training on career guidance andjob placement 6.1 Selection of trainees IMPLEMENTATION SCHEDULE Month Appendix Delivery of training Component B Provision of skills training relevant for the poor and the local labor market 1. Procurement of training equipment 2. Provision of skills training and training courses on career guidance for trainees 2.1 Selection of trainees 2.2 Selection of trainers 2.3 Development of training programs (including development of a business start-up module) 2.4 Delivery of training 3. Preferential credit for graduates Component C Project management and coordination 1. Independent auditor 1.1 Selection of auditor 1.2 Provision of annual auditing services 2. Development and circulation of Guidelines and Manual "Effective Organization and Management of Demand-Driven Skills Training for Poverty Reduction" 4. Project impacts assessment 5. Preparation of quarterly project progressreports 6. Preparation of project completion report

27 Appendix 5 19 PROCUREMENT PLAN No. Proposed Contracts No. of Packages/ Contracts Procurement Method Estimated Cost ($) Expected date of Advertisement A Consulting Services B 1 International Consultants 01 package/02 contracts Recruitment of Individual QII/2009 consultants 2 National Consultants 01package/05 contracts Recruitment of Individual QII/2009 consultants Sub-Total A Equipment and Supplies 1 Mobile Van for mobile training Units QIV/ Tra Vinh 01 package Shopping Soc Trang 01 package Shopping Training Equipment QII/2010 Primary Level Skills Training Equipment 01 package Shopping Intermediate Level Skills Training Equipment 01 package Shopping Training Equipment for Handicrafts/Industrial 01 package Shopping Sweing Training Equipment for Aquatic Product 01 package Shopping Processing Sub-total B C Independent auditor 01 package QCBS QIV/2009 Sub-Total C TOTAL

28 20 Appendix 6 PROCUREMENT METHOD FOR SHOPPING AND DIRECT CONTRACTING 1. Goods and Works to be financed by ADB will be procured in accordance with the Procurement Guidelines dated February 2007, as amended from time. Shopping 2. Shopping will be used for the procurement of Goods (vehicles, training equipment and supplies) and services estimated at $100,000 or less. Procurement procedures through Shopping are as follows: (i) Review the list of Goods to bid based on the indicative procurement plan. (ii) Issue requests for quotations to several suppliers. Request for quotations shall indicate the description and quantity of the goods and specification, as well as desired delivery (or completion), time and place. Quotations may be submitted by letter, facsimile, or by electronic means. (i) Evaluation of quotations (at least 3) shall follow the same principles as of open bidding. (ii) Submit copies of the quotations and proposal for contract award and signed brief contract agreement to the Bank for post-review. Direct Contracting 3. Minor items costing less than $ 10,000 equivalent may be procured by direct contracting.

29 Appendix 7 21 OUTLINE TERMS OF REFERENCE FOR CONSULTING SERVICES 1. A total of 44 person months of consulting services (4 person months of 2 international consultants, and 38 person months of 5 national consultants) will be provided to assist the executing agency and implementing agency in the fields of project planning and implementation: (i) one international consultant on management and coordination, making implementation plans for 4 personmonths; (ii) one international consultant on Khmer silk weaving and marketing for 2 person-months; (iii) one national consultant on training (teaching methodology and curriculum) for 10 person-months; (iv) one national consultant on career guidance and job placement services, for 8 person-months; (v) one national consultant on management, plan-making, monitoring, evaluation and project implementation for 10 person-months; (vi) one national consultant on local economic development and business planning/start up for 6 person months; and (vii) one national consultant on preparation and monitoring of the implementation of a gender action plan for 4 person-months. 2. International consultants will provide professional services in (a) the management and, making implementation plan and project timetables/schedule of project activities for the project in collaboration with national consultants and the staff of the national project implementation unit (NPIU), and (b) Khmer silk weaving design, training and marketing. National consultants will advise the international consultants and local project implementation units (LPIUs) on their respective specialization and on the local situation and adjust any programs to local conditions. They will be directly involved in the capacity building activities as indicated above and also assist in translation to ensure the technical accuracy of all documentations. Consultants will perform the following specific tasks assigned to them. I. INTERNATIONAL CONSULTANTS A. Project Management and Coordination Specialist (4 person-months) 3. The project requires the services of the international specialist to undertake the following activities: (i) (ii) (iii) (iv) (v) (vi) develop a comprehensive implementation plan for the three year JFPR Project on Demand-driven Skills Training for Poverty Reduction; provide support in the planning and scheduling of project activities, facilitate inter-agency coordination in close coordination with NPIU/LPIUs and national consultants; plan for capacity building of trainers, Department of Labor, Invalids, and Social Affairs (DOLISA) staff and other involved stakeholders in coordination with NPIU and national consultants; identify information needs and reporting requirements of the project and design link to support the integration with the management information system of the General Department of Vocational Training (GDVT)/Ministry of Labor, Invalids, and Social Affairs (MOLISA); design criteria for monitoring and evaluation of Project (and highlight benefit activities describing the methodology to be developed, guidelines to be provided, and principal findings and conclusions at each stage of project) implementation over the project duration; work closely with NPIU/LPIUs and national consultants for the integration of pre-training, training and post training activities to ensure effective project implementation;

30 22 Appendix 7 (vii) (viii) (ix) (x) (xi) develop plan on the development of the Guidelines on Organization and Implementation of Demand-driven Skills Training for Poverty Reduction in coordination with NPIU/LPIUs, and national consultants; conduct seminars/workshops to orient and make sure that project start-up takes off as planned; provide support to the NPIU in meeting ADB requirements such as quarterly reports, semi-annual reviews, annual reports, and a project completion report; address the continued need for strategic advice on issues relating to the development and delivery of JFPR pilot project; and undertake other activities as required in the effective implementation of this consultancy by NPIU. B. Khmer Silk Weaving and Marketing Specialist (2 person-months) 4. The consultant, who has experience and expertise in Khmer silk weaving including its production, design, training, and marketing, will undertake: (i) (ii) (iii) (iv) (v) identify Khmer silk weavers in target districts in Tra Vinh and Soc Trang provinces, and assess the conditions of materials and equipment, the level of their techniques, and quality of their products; assess Khmer silk weaving as a potential area of self-employment; identify necessary training needs of silk weavers; provide advices and hands-on support to improve the silk production process including its design/dyeing and product types; and provide advices on business start-up including access to credit schemes and weaving cooperatives, and marketing the silk products in nearby provinces and abroad. II. NATIONAL CONSULTANTS C. Training (Teaching Methodology/Curriculum) Specialist (10 person-months) 5. The consultant will strengthen capacity of trainers and others involved in the project to effectively organize and deliver demand driven skills training, careers guidance and job placement services to the poor and ethnic minorities. The major tasks will include: (i) (ii) (iii) (iv) (v) (vi) plan in close coordination with NPIU/LPIUs and national consultants capacity development for skills trainers/vocational teachers involved in the project; familiarize skills trainers and vocational teachers and training managers with the different modes of training delivery (at schools, within industries, both school-based skills training and apprenticeship, and mobile training) with different training programs through collaborative training at schools, industries and business; develop competencies of skills trainers/vocational teachers involved in the project on new training modalities fitted to the characteristics of the target trainees (i.e., adult learning, local dialect, culture and practices, etc.); develop competencies of skills trainers/vocational teachers in adapting existing curriculum, training facilities and materials for demand-driven skills training for poverty reduction; or developing new ones when necessary; develop competencies of skills trainers/vocational teachers in identifying and selecting appropriate training aids and support training materials to effectively deliver skills training; develop competencies of skills trainers/vocational teachers in identifying and developing prospective business opportunities in coordination with national consultants;

31 Appendix 7 23 (vii) develop criteria for monitoring and evaluation for capacity building of skills trainers/vocational teachers in close coordination with the international and national consultants; (viii) document the new teaching methodology piloted on skills trainers/ vocational teachers training into a manual/guideline for replication in other project; and (ix) undertake other activities assigned to the consultant as required for effective implementation of the consultancy. D. Career Guidance and Job Placement Specialist (8 person-months) 6. The consultant will develop capacity of vocational guidance counselors of training providers, DOLISA staff and other stakeholders, so that they will be able to provide and conduct vocational and careers guidance on matching relevant courses at pre-enrolment and post training periods. The major tasks will include: (i) (ii) (iii) (iv) (v) plan in close coordination with NPIU/LPIUs and international/national consultants capacity development for vocational guidance counselors of training providers, DOLISA staff and other stakeholders involved in the project; develop competencies of skills trainers/vocational teachers, vocational guidance counselors of training providers, DOLISA staff and other stakeholders (from business and community) to provide vocational and careers guidance and counseling and placement assistance to trainees on finding jobs and setting up small businesses; develop evaluation and monitoring criteria for capacity building of career guidance, job placement and start up of small business in close coordination with international/national consultants; document the new scheme piloted on career guidance, placement and start-up for small business into a manual/guideline for replication in other project; and Undertake other activities assigned to the consultant as required for effective implementation of the consultancy. E. Management, Planning, Monitoring and Evaluation Specialist (10 person- months) 7. The consultant will provide services in planning activities, monitoring and support the effective implementation of the pilot project and facilitate interagency coordination and support policy analysis and development based on the results of the pilot schemes introduced in the project. Close coordination with the international and other national consultants, and NPIU/LPIUs is required. The major tasks include: (i) (ii) (iii) (iv) (v) (vi) assist NPIU and international consultant in developing comprehensive implementation plan for the three year JFPR Project; provide support in the planning and scheduling of project activities, facilitate inter-agency coordination in close coordination with NPIU/LPIUs and international and national consultants; assist develop project evaluation and monitoring criteria in coordination with the international consultant and NPIU; assist in developing a plan for information needs and reporting requirements of the project and design link to support the integration with the management information system of GDVT/MOLISA; develop plan to ensure effective coordination and integration of national consultants inputs and incorporate them in the project documentation and guidelines; assist conduct seminars/workshops to orient and make sure that project start-up takes off as planned;

32 24 Appendix 7 (vii) (viii) undertake other activities assigned to the consultant as required for effective implementation of the consultancy; and assist LPIUs in writing project activity and progress reports (quarterly, semi-annually and annually), and assist LPIUs in the writing of the Project Completion Report. F. Local Economic Development, Business Planning/Start-Up Specialist (6 person-months) 8. The consultant will develop capacity of the local communities set up infrastructure for dialogue and consensus building that will ensure institutionalized link between training and employment. The consultant is also responsible for developing capacity for planning and starting up small business as required by the market. The major tasks include: (i) (ii) (iii) (iv) (v) plan capacity development for communities, schools and other stakeholders on community development as they apply to poverty reduction through demand-driven skills training and small business development in coordination with NPIU/LPIUs and international and national consultants; prepare the design of a rapid local economic appraisal of target provinces/districts, guide the implementation of the rapid local economic appraisal, and discuss the results with local government authorities, and Community Enterprise Training Committees (CETCs); ensure achievement of training outputs by participants at the target communities, including (a) rapid local economic appraisal tool for easy and quick market survey as basis for training design in coordination with national consultants; (b) documentation on the establishment and implementation of CETCs into a manual/guideline for replication in other programs, and (c) development of a guide for start up of small businesses and of identification of local markets and mobilization of capital resources (preferential credit for graduates); assist in the mobilization and effective placement of senior volunteers as business advisors in support of start-up of small businesses; and undertake other activities assigned to the consultant as required for effective implementation of the consultancy. G. Gender and Development (GAD) Specialist (4 person-months) 9. The consultant, who must have in-depth understanding of gender issues and of the socioeconomic status of ethnic minority groups in Viet Nam, will prepare and monitor the implementation of a gender action plan for the Project. The major tasks include: (i) (ii) (iii) (iv) prepare profiles of the project beneficiaries in the project sites in terms of household sizes, demographic trends, income sources and levels, occupations, and socioeconomic conditions; identify female ethnic minority groups to be project beneficiaries; assist a local economic development, business planning/start-up specialist in undertaking the rapid local economic appraisal in terms of assessing a prospective social impact on female ethnic minority groups in accordance with Guidelines for Incorporation of Social Dimensions in Bank Operations; and develop and monitor the implementation of the gender action plan for the Project including the number of female ethnic minority groups as project beneficiaries and assessment of their socioeconomic status, based on ADB s Policy on Gender and Development and Policy on Indigenous Peoples.

33 Appendix 7 25

34 26 Appendix 8 DISBURSEMENT PROCEDURES 1. Establishment of Imprest Account. The EA shall, for the purpose of this project, open and maintain an Imprest Account at a designated commercial bank for the deposit of JFPR funds and for making payments for Project expenditures, following detailed arrangements and actions agreed upon by the Government and ADB in accordance with ADB s Loan Disbursement Handbook (January 2007 revised edition). 2. Payments out of the Imprest Account shall be made exclusively for eligible expenditures in respect of the reasonable cost of goods and services required for the project. These payments will be financed from the proceeds of the JFPR Grant. The Imprest Account shall be denominated in US dollars. 3. Delegation of Authority for Withdrawal Applications. The Government delegates full authority to the EA to sign all applications for withdrawal of the JFPR Funds and to receive payment for all JFPR Funds. Such funds shall be deposited directly into the Imprest Account established by the EA. 4. When NPIU desires to withdraw any amount of the JFPR Funds, NPIU shall deliver to the EA an application in the prescribed form with sufficient supporting documents, as ADB shall reasonably request. The EA will then forward such application for withdrawal to ADB for processing. Disbursed JFPR Funds shall be paid directly to the NPIU Imprest Account. 5. NPIU shall not be required to further seek clearance from the Government or EA for disbursement from the Imprest Account to JFPR Project beneficiaries once the application for withdrawal has been submitted to ADB by the EA. However, each payment out of the Imprest Account shall be duly authorized by the joint signatures of any two members whose names and authenticated specimen signatures have been provided to the ADB. 6. Initial Advance and Ceiling. Before applying for the initial deposit into the Imprest Account, the EA should submit, for ADB approval, the work plan and financial budget plan for the first six months of project implementation. When applying for the Initial Deposit, the EA needs to prepare a withdrawal application form. Upon evidence satisfactory to ADB that the Imprest Account has been duly opened, JFPR Funds will be deposited to the Imprest Account in the amount of six months estimated expenditures, which will be regarded as a ceiling for replenishment purposes. Any upward change in the approved ceiling will be subject to approval by ADB s Assistant Controller, CTLA and the sector division director concerned. 7. Replenishment and Liquidation. To avoid disruption in the project's implementation schedule, application for replenishment of the Imprest Account is to be lodged before the account balance reaches no less than one month equivalent of project expenditures (no more than two months equivalent). When applying for replenishment, the EA needs to submit a withdrawal application with statements of expenditure attached together with supporting documents deemed necessary and other evidence as ADB shall reasonably request, and showing that each payment was made for eligible expenditures. Any individual payment to be reimbursed or liquidated/replenished under the SOE procedure shall not exceed the equivalent of $10,000. For payments in excess of $10,000 equivalent, supporting documents should be submitted, i.e., contract or PO, invoice, bill, or proof of payment. 8. Accounts and Records. The EA shall ensure that all amounts received for or in connection with the Imprest Account and amounts withdrawn are recorded in a separate account in accordance with consistently maintained sound accounting principles. Upon receipt of monthly bank statements, the EA should reconcile its records against the bank statements and follow-up on any un-reconciled entries. The EA shall retain until one year after Closing Date for withdrawals from the JFPR Account or such other date as ADB may agree, all accounts and records including orders, invoices, bills, receipts and other

35 Appendix 8 27 original documents evidencing the expenditures paid out of the Imprest Account, and shall enable ADB s representatives to examine such accounts and records during disbursements and review missions. 9. On a quarterly basis, the EA will prepare a Physical Progress Report and Project Expenditures from all the implementing agencies as well as the Quarterly Project Expenditures (SOE-3 form). ADB will reserve the right not to replenish the Imprest Account if ADB has not received the latest quarterly report of the project. The EA shall cause an adequate independent auditor or government auditor acceptable to ADB to periodically audit the Imprest Account above and furnish the audit report thereon to ADB not later than 6 months after the end of each fiscal year. 10. Ineligible or Unjustified Payment. Where any withdrawal or payment from the Imprest Account is determined by ADB (i) to have been utilized for any purposes not eligible, or (ii) not justified by the evidence furnished, the EA shall promptly upon notice from ADB and unless otherwise agreed by ADB, prior to any further replenishments, deposit into the Imprest Account an amount equal to the amount of such payment to the portion thereof not so eligible or justified, in the same currency as that in which the amount was withdrawn from the JFPR Account. Alternatively, ADB may offset the unjustified payment against new withdrawal application for reimbursement. 11. Treatment of Interest Earned on Imprest Account. Any interest earned on the Japan Fund for Poverty Reduction imprest account can be used for the project subject to ADB s approval, within the approved total amount of JFPR. Upon completion of the JFPR project and before closing of the JFPR account, any unutilized interest should be returned to the JFPR account maintained at ADB. If the remittance fee and other bank charges are higher than the amount of interest earned, there will be no need to return such interest to the JFPR account maintained at ADB. 12. Closing of the Imprest Account. Upon determination that the project components to be financed with payments from the Imprest Account are near completion, ADB may reduce the amount of any replenishment as ADB may deem appropriate with a view towards gradually closing the Imprest Account. 13. In the event that (a) ADB determines that the amount outstanding in the Imprest Account will not be required to cover eligible expenditures, or (b) any amount remains outstanding in the Imprest Account after the Closing Date specified in the JFPR Agreement, the EA shall, promptly upon notice from ADB, and unless otherwise agreed by ADB, refund to ADB such amount then outstanding in the Imprest Account. 14. ADB may at any stage by notice to the EA suspend further replenishments to the Imprest Account if the EA has failed to comply with any of the provisions of this Appendix.

36 28 Appendix 9 INSTRUCTIONS FOR PREPARING WITHDRAWAL APPLICATION FOR IMPREST FUND A. General Instructions 1. Submit signed withdrawal application (W/A) to the Bank/Resident Mission in duplicate. Number W/As consecutively, not exceeding 5 characters followed by the last two digits of the year (e.g to indicate the first W/A). When application is completed, verify completeness of supporting documentation and accuracy of details before passing to the authorized representative(s) for signature. Mistakes and omissions result in delayed payment. A separate W/A is required for each different currency. B. Withdrawal References 2. On the upper right hand side, enter date as signed by the authorized representative(s) and fill out JFPR Grant Number, application number (example Withdrawal Application No ) and type of disbursement (initial advance, increase in ceiling or replenishment). C. Supporting Documents 3. Supporting documents such as billing or original invoices, receipts or other supporting documents acceptable to ADB should be attached to every application to substantiate the expenditures for which the advance under the Imprest Fund was used. D. Estimate of Expenditures Sheet (SOE) 4. Estimated expenditures should normally be based on the financial budget approved by ADB. As provided in paragraph 13(d) of the Letter of Agreement, Any individual payment to be reimbursed or liquidated under the SOE procedure shall not exceed $10,000. No supporting documents are required. However, a bank statement from the bank maintaining the Imprest Fund and the bank reconciliation statement(s) of the Imprest Fund Account must be attached. E. Payment Instructions 5. The full name and address of the payee s bank (including the designated bank, if any), must be clearly indicated, along with the account number and SWIFT code, if the payee s bank is a member. The payee s full name and address must also be indicated. 6. Where payment is to be made to a bank not located in the country of currency to be paid, indicate its correspondent bank s full name and address, along with the account number and SWIFT code, if the payee s bank is a member. 7. For Special Payment Instructions, indicate any particulars special instructions, or references to facilitate payment or identification of payment. 8. Please indicate in the withdrawal application the name, address, bank account details of a correspondent bank if the Payee s Bank is not located in the country whose currency is claimed (enter the name and address of their bank s correspondent in the country whose currency is to be paid).

37 Appendix The Name of the Executing Agency, as it appears in the Letter of Agreement, is the Ministry of Labor, Invalids, and Social Affairs (MOLISA). 10. Only the authorized representative(s) signature will be honored. If the authorized representative(s) has been changed, the EA should convey the change to ADB prior to lodging the W/A.

38 30 Appendix 10 REPORTING REQUIREMENTS 1. Description of Contents. Quarterly Progress Reports on the implementation of the Project should be prepared and submitted to ADB for the periods ending March, June, September and December, not later than thirty working days after the end of each reporting period, in a format comprising the following parts: (i) (ii) (iii) (iv) (v) (vi) Summary, Technical/Project Components, Financial Reporting, Management and Operation, Other Miscellaneous Matters, and Conclusion. The following paragraphs illustrate and highlight the type of information that ADB would like to receive on a semi-annual basis on the implementation of the project and the operation of the project facilities. 2. Summary. This part should contain a summarized version of the Project implementation status as detailed in subsequent part for immediate and ready reference. It should analyze original and revised schedules and actual achievements, shortfalls in terms of physical and financial targets and accomplishments, both during the reporting period and up to the next reporting period (preferably in terms of broad components of identifiable physical elements). It would also contain conclusions about the viability of the original (as indicated in the JFPR Paper) cost estimate and expected date of completion of the Project. 3. Technical/Project Components. The purpose of this part is to provide information on significant physical activities which took place during the reporting period with an assessment of progress achieved and a projection of progress expected to be achieved in the next reporting period. This should contain information at least in the following aspects: (i) (ii) (iii) Physical works accomplished during the reporting period Comparison of the actual progress of activities as at the end of each reporting period with that of the original forecast Changes in the original/ revised plan and schedules or deviations therefrom (actual or expected), except that changes requiring ADB s approval should be reported to ADB immediately and subsequently mentioned in the semi-annual report (iv) Other changes, modifications, deviations or events which affected physical progress during the reporting period which are likely to affect project implementation in the next reporting period. 4. Progress on each Project components should cover: (i) measures taken or planned to correct factors responsible for delay during the reporting period or which are likely to affect physical progress in the future; (ii) any delay or expected in the delivery of services and activities; and (iii) any unusual occurrences affecting the progress of the Project components.

39 Appendix Financial reporting. The annual financing plan for the Project and achievements in financial terms during the reporting should be supported by appendix/table. The details should at least cover the following: Amount allocated from the JFPR Project $ Amount contributed by Government through the EA in the annual budget Amount contributed by Civil Society Amount contributed by the community Total amount of funds received Amount of funds utilized to date (provide supporting schedules covering each component/sub component of the project) Balance of funds as at (date) $ $ $ $ $ $ 6. A review of actual achievements during the reporting period and revisions of projected dates and amount in respect of contracts yet to be signed and activities yet to be done, with brief reasons for revisions should be made. 7. Management and Operation. This part meant to be descriptive and should highlight, among others: (i) actual or prospective changes in the organization of the EA and GIU, (ii) status of the project office, (iii) problems encountered, and (iv) measures taken and statement of the progress of such other activities, i.e. coordination with other implementing agencies. 8. Conclusion. The format of the Project and guidelines enunciated above are for guidance only and should be adjusted keeping view of the implementation status. The report will also summarize the main issues and findings.

40 32 Appendix 10 SUGGESTED OUTLINE FOR QUARTERLY PROGRESS REPORTS 1. Introduction 1.1 Summary 1.2 JFPR Data 1.3 Project scope 1.4 Project benefits 1.5 Estimated Project Cost (a) Project Cost (b) Expenditure Projections 2. Project Organization and Management Implementation Arrangements 2.2 Establishment of GIU, 2.3 Organization and staffing of GIU 3. Assessment of Implementation Progress 3.1 Assessment of progress made during the reporting period (by Project component) Component A: Capacity Building for Vocational Teachers, Managerial Staff, and Other Stakeholders (i) xxx (ii) xxx (iii) xxx Component B: Provision of Skills Training Relevant to the Poor and the Local Labor Market (i) xxx (ii) xxx (iii) xxx Component C: Project Management and Coordination (i) xxx (ii) xxx (iii) xxx 3.2 Problems encountered and remedial actions taken or proposed to be taken 3.3 Proposed program of activities during the next quarter 3.4 Implementation Schedule 3.5 Percentage of Implementation Progress (see Table A11.1 for computation) 4. Recruitment and Performance of Consultants 4.1 Summary on status of recruitment of consultants 4.2 Details of consultants input and general performance 5. Procurement of Furniture and Equipment. Update list of goods to bid (from procurement plan). 5.1 List of contract packages, indicating the following: (i) procurement procedures to be used 1 Section 1: Introduction and Section 2: Project Organization and Management should be reported for the first submission of Quarterly Progress Report and need not be included in the subsequent Report unless changes have occurred.

41 Appendix (ii) (iii) value of contracts (estimate) specifications 5.2 status of preparation of bid documents 5.3 schedule for advertising of bid invitations 5.4 bid evaluation 5.5 status of contract awards 6. Operation and Maintenance of Equipment 7. Training Programs Provide a brief summary on the status of identification of types of training to be undertaken, selection criteria for candidates, venue of training, cost of training, number of participants, and schedule of training. 7.1 Training courses undertaken during the quarter, training costs, etc. 7.2 Training courses scheduled to be undertaken next quarter, cost estimates, etc. 8. Administration and Finance 8.1 Budget allocations and counterpart funding arrangements (Provide a schedule of counterpart funds allocated and disbursed during the reporting period and projection for the next quarter). 8.2 Project disbursements 8.3 Financial position of the Project, such as savings, cost overruns/underruns 8.4 Status of Imprest Fund Account 9. Special Features. (If any) 10. Appendixes (Worksheets, Charts, Tables, or Schedules)

42 34 Appendix 10 Table A10.1 Percentage of Project Implementation Progress No. Description Weight (a) Progress (b) Weighted Progress (a)/(b) I Initial activities 10 Establishing GIU JFPR/Signing/Effectiveness Select and engagement of: - International consultant - Domestic consultants II III IV Component A: Capacity Building for Vocational Teachers, Managerial Staff, and Other Stakeholders Component B: Provision of Skills Training Relevant to the Poor and the Local Labor Market Component C: Project Management and Coordination Total weight and progress 100

43 Appendix AUDIT REQUIREMENTS AND GUIDELINES A. Audit Program 1. The audit process should closely examine the following aspects: (i) verification of any cash amount on hand (cash count included), (ii) review of the internal control system and records maintained to ascertain compliance with the agreed Imprest system and SOE procedures, (iii) review of records and controls over daily collections, (iv) review of records and management system covering donations in kind, (v) cash receipts and payments books, (vi) review of the records and management system covering the micro-credit lending activities, (vii) review on test basis the accuracy of the Bank reconciliation statements, (viii) review and provide comments on the progress financial reports, (ix) Review records of fixed assets (including work-in-progress) and on test basis verify their existence. 2. Cash Count. A review of the cash receipts and bank records together with a cash count shall be done to determine if various funds in the possession of the Fund Custodian are accounted for. Cash on hand shall be counted in the presence of the Fund Custodian on a per fund basis, noting the various denominations and accompanying receipts for expenses taken from the fund. Review the associated cash records to determine if the fund has been used according to the stated purposes. 3. A Cash Count Form shall be accompanied by the Auditor for signing by the Fund Custodian when the counted cash on hand has been returned intact. Entries shall be adjusted for any shortage of or excess cash. Any shortage in cash on hand shall be charged to the concerned staff. Excess cash shall be considered as other income requiring the issuance of an Official Receipt (OR). 4. Compliance with the Imprest System and SOE Procedures. Through walk-through-tests, check whether the Imprest System is being followed. The system requires all cash received to be receipted [using the project receipt book(s)], deposited intact or latest the following banking day. Should this practice prove to be impractical, determine whether cash collections are deposited within a reasonable period, which should not be later than three days. Ensure that all withdrawals (by cheque/cash) from the Imprest Account have been duly authorized by the authorized signatories and properly supported by documented proposals from the requesting agency/ia. Arrange for direct confirmation and/verification of bank records and balances. Ensure that the expenditures incurred and reimbursed under SOE procedure were eligible for JFPR financing and adequately supported by documentation in accordance with the ADB s requirements. 5. Daily Collection Report. Compare and verify the information in the Daily Collection Report with the entries of the Cash Receipts Book and confirm the validity of the entries from issued Official Receipts (OR). Carefully note cancelled ORs and ensure that original and duplicate copies are intact. Ensure that daily receipts have been deposited daily (or at the latest three working days from when they were dated) to the appropriate bank account and bank deposit slips retained in chronological order. Review the supporting documents accompanying all withdrawals from this account to ensure they have been used for the intended purpose(s). 6. Donations in Kind. Ensure that non-monetary contributions are properly accounted for in a register that will identify the name of donor, date and details. This may be further verified from Receiving Reports and Confirmation Receipts signed by donors. 7. Cash Receipts Book. Determine whether proper columns (credits) are maintained, Official Receipts are chronologically recorded, and accounted for. One may also be able to observe the record of

44 36 Appendix 11 deposits from this book to the bank account (check bank deposit receipts). Be sure to establish the proper cut-off points. 8. Bank Reconciliation Statements. Perform sample tests to check if bank statements are regularly prepared. Compare actual book balance with bank balance; ensure that cash collections are not exchanged for Third Party Checks; and ensure that collections are deposited to accounts maintained according to purpose, i.e., amount collected for payment of livelihood loans should be deposited in the livelihood fund savings account. B. Cash Disbursements 9. Petty Cash or Check Voucher. The following documents should be checked to determine whether cash disbursements have been according to Project policies and guidelines. Do sample tests to ensure the following criteria are met: (i) (ii) (iii) (iv) (v) (vi) Vouchers have been properly accomplished; vouchers are pre-numbered (form SOE-4) and used consecutively; documents have complete explanations and references concerning the transaction paid. These explanations should be readily understandable to any individual reading the document. All signatures required for the release of the amount are present; a No approval, no payment policy is applied. Payee/Creditor acknowledges payment made. In cases where payment is claimed by person/s other than named Payee/Creditor, proper authorization should be attached to the Voucher; payment should be supported by the proper receipts and other necessary documents that establish the legitimacy. Disbursements are according to the approved Proposal. All disbursements are within the approved budget. In cases where disbursements have exceeded approved budget expenditures, check whether proper approval was secured. Perform a test check on cancelled or used checks. Using the Check Vouchers, determine whether the person or the company named in the voucher did cash the check. Check and verify journal entries made on vouchers for inappropriate or improper charging accounts. Recommend adjusting the journal entries if necessary; recommend a thorough investigation on unauthorized disbursement and bring the matter to the attention of Project Management. 10. Cash Disbursement Book. Perform a test check to ensure that all Check Disbursement Vouchers are properly recorded and that columns in the Disbursement Book for debits and credits for the proper charging of accounts are adequate. Entries for all Check Vouchers and checks issued including the name of the Payee and a brief explanation of the payment must be accurate. The chronological recording of Check Vouchers, taking note of cancelled vouchers. All footings at month-end are entered in the General Ledger; individual accounts paid are entered in the Subsidiary Ledger. C. Other Financial Records 11. General and Subsidiary Ledgers. Cross-check entries to the general ledger from various books of original entry to ensure accuracy. Subsidiary Ledgers must be individually maintained for: (i) Major

45 Appendix accounts such as individual work-in-progress civil works, individual categories of fixed assets (including depreciation) such as equipment, machinery, individual consultancy costs, food, medical care, educational materials and supplies, transportation, and local counterpart contributions in cash or kind, social security, (SSS) loans, and Cash Advances. This will allow the monitoring of actual balances at any given time. For non-moving Receivable accounts, Project Management shall remind the concerned staff through writing and exert efforts to collect the amount. Management may also suggest a payment scheme if necessary. 12. Report of the External Auditor. The audit report must authenticate the reliability of the accounting records and systems on which the project's regular and annual financial reports are based, verify the actual physical progress of the project as reported from time to time and ensure that the funds provided through the JFPR project have been utilized in accordance with the project agreement. The auditors are also expected to provide an audit management report that will highlight: (i) issues identified during the current audit that each IA or the EA should address in order to improve the systems of accounting, recording, reporting and project implementation; (ii) use of imprest fund and SOE procedures; (iii) what courses of action have been implemented by Project Management to comply with previous recommendations of the External Auditor, (iv) note any improvement that resulted from the External Auditor s recommendations, and (v) study the External Auditor s report and discuss with Project Management existing areas of concern, e.g., uncollected accounts; long-standing, non-liquidated cash advances; or discrepancies in the External Audit Report. 13. Lapsing Schedule or Inventory List. Perform a sample test to determine whether property or equipment listed in the Lapsing Schedule is accounted for. Check if property and equipment can still be utilized and retire the asset from the record if it has fully depreciated. Fully depreciated assets that continue to be usable have to be reported in the Notes to the Financial Statement. 14. Unaudited Financial Statements. For Project Management decision-making purposes, annual Unaudited Financial Statements can be an effective tool as it provides management with a provisional report on the financial status of the Project. 15. Bank Passbooks. Compare withdrawals against savings and determine if deposits made to the account tally with deposit slips filed. Note Interest Income earned and check if it is reflected in the books. Determine who is responsible for keeping these documents and arrange for direct confirmation of bank balances.

46 38 Appendix 11 GUIDELINES FOR AUDITOR S OPINION A. IMPREST ACCOUNT 1. The auditor s statement regarding the imprest account should include the following information: (i) (ii) (iii) (iv) (v) That the auditor has examined the Statement of Imprest Account of ADB JFPR Grant No VIE: Demand-Driven Skills Training for Poverty Reduction in the Cuu Long (Mekong) River Delta; The period (to include dates) that the statement covers, pursuant to the JFPR Agreement signed between the Government and the Asian Development Bank on 21 October 2008; A statement which indicates that the auditor s examination was made in accordance with generally accepted auditing standards emphasizing the adequacy and completeness of the supporting documents of the Imprest Account and other auditing procedures as we considered necessary in the circumstances; The auditor s opinion, with regard to support the application for reimbursement/payment in accordance with the Bank s requirements as set out in the JFPR Agreement; Auditor s signature and date. B. STATEMENT OF EXPENDITURE 2. The statement of expenditure should include the following information: (i) (ii) (iii) (iv) That the auditor has examined the Statements of Expenditures submitted to the Bank during the period in support of applications for liquidation of the Imprest, pursuant to the above mentioned JFPR Agreement; That the auditor s examination was made in accordance with generally accepted auditing standards, and, accordingly included such tests of the accounting records, verification of assets and other such auditing procedures considered necessary; The auditor s opinion, that the Statement of Expenditures submitted, together with the internal control and procedures involved in their preparation, can/cannot be relied on to support the applications for liquidations in accordance with the requirements of the above mentioned Agreements; Auditor s signature and date.

47 Appendix PERFORMANCE MONITORING SYSTEM GUIDELINES 1. The Project performance management and evaluation system comprises Benefit Monitoring and Evaluation (BME) and Performance Monitoring and Evaluation (PME). 2. Benefit Monitoring and Evaluation. BME aims to ascertain the impact of the Project on the beneficiaries. It will be carried out at the Grant Implementation Unit (GIU) level. GIU will be responsible for the BME with assistance from all concerned IAs and will follow the ADB BME guidelines. 3. At the beginning of the Project, a baseline survey will be carried out to record benchmark information against which progress will be measured. The benchmark information will describe the average socioeconomic characteristics of target beneficiaries, and information about the existing sanitation situation and related infrastructures in the area. 4. The indicators sought and the information to be evaluated will include the progress in the Project implementation according to components and the work plan. Delivery constraints will be identified and solutions sought. The BME will include information from all project implementation units under the Project. 5. Performance Monitoring and Evaluation. PME is built upon current performance recording and evaluation systems within the delivery organization(s)/ias which record delivery of inputs and responses. PME will provide the basis for the more detailed information concerning delivery of inputs, mobilization of families and communities and their responses. 6. The information gathered through PME will be aggregated, analyzed and used for planning support service activities. Delivery activities will be recorded in terms of materials applications received, materials granted and responses, surveys returned, numbers of various activities (training and community education awareness campaigns) and other support activities carried out as well as other promotional activities such as advertisement, campaigns, mass meetings, etc. Capability will be developed to record and monitor trends using key indicators, e.g. infrastructure maintenance, solid waste management practice, and composting activities. The activities and respondents data from those assisted under the Project will be collected, recorded, evaluated and used under the BME. Any issues and concerns requiring changes in the Project design and implementation plans will be identified and resolved through PME.

48 40 Appendix 13 IMPLEMENTATION COMPLETION MEMORANDUM (ICM) I. BASIC INFORMATION 1. JFPR Number and Name of Grant: 2. Country (DMC): 3. Approved JFPR Grant Amount: $ 4. Grant Type: 5-A. Undisbursed Amount Project / Capacity Building $ 6. Contributions from other sources {convert in-kind contributions into US$} 5-B. Utilized Amount $ Source of Contribution: Committed Amount Actual Contributions: Remark - Notes: DMC Government $ $ Other Donors (please name) $ $ Private Sector $ $ Community/Beneficiaries $ $ 7-A. GOJ Approval Date: 7-B. ADB Approval Date: 7-C. Date the LOA was signed (Grant Effectiveness Date): 8-A. Original Grant Closing Date: 8-B. Actual Grant Closing Date: 8-C. Account Closing Date: 9. Name and Number of Counterpart ADB (Loan) Project: 10. The Grant Recipient(s): {Names, address, contact persons, , phone, fax numbers of the agency(ies) and/or institutions that signed the Letter of Agreement with ADB}

49 Appendix Executing and Implementing Agencies: {Names, Address, Contact Persons, , Phone, Fax} II. GRANT PERFORMANCE ASSESSMENT 12. Description (Background rationale): {Extract information on background and rationale from the approved JFPR Grant Proposal and summarize} 13. Grant Development Objective and Scope: {Briefly describe the Grant Development Objectives (purpose) and scope (outputs and activities). Assess the relevance of the Grant design (including appropriateness of objectives, components, implementation arrangements and schedule) and formulation (including extent of stakeholders participation and ownership)} 14. Key Performance Indicators {list each original indicator as mentioned in the approved JFPR Grant Proposal} i) Accomplishments Rating (HS,S,PS,U 2 ) Evaluation of each Indicator: {rate the accomplishments, describe any changes and evaluate each indicator for its relevance, achievements and sustainability} ii) iii) iv) 2 HS=Highly Satisfactory; S=Satisfactory; PS=Partly Satisfactory; U=Unsuccessful

50 42 Appendix 13 v) 15. Evaluation of Inputs (Adequacy of formulation, terms of references, inputs and performance of the Recipient(s), EA, IA(s), NGOs and ADB, performance of consultants, other inputs, review missions): {Evaluate, among others: (i) The economy of input provision (the relative cost of input provision); (ii) the productivity of the inputs (conversion into outputs); (iii) the quality of the inputs; (iv) reasons for deviating from planned inputs and activities; (v) client satisfaction with the inputs provided; (vi) the performance of ADB, the Recipient, the EA, IA(s) and NGOs as highly satisfactory (HS), satisfactory (S), partly satisfactory (PS), or Unsatisfactory (U); (vii) any other inputs.} 16. Evaluation of Outputs and Results (Reports generated, institution building, training, analysis of quality, comparison with terms of references, sustainability and exit strategy): {Evaluate performance issues, such as (i) efficiency in the production of outputs (cost and process); (ii) effectiveness or efficacy (compare actual to planned results); (iii) quality of outputs (refer to qualitative benchmarks where possible); (iv) recipient and client (beneficiaries) satisfaction with the outputs/ results; (v) timeliness of delivery of outputs; and (vi) effectiveness of the exit strategy and related transfer of activities for sustainability.} 17. Overall Assessment and Rating (HS,S,PS,U): {Provide an overall assessment including the issues of sustainability, and categorize the Grant activities as highly successful (HS), successful (S), partly successful (PS), or unsuccessful (U) following OED s guidelines.}

51 Appendix Major Lessons Learned: {Discuss the significant lessons learned that can help improve the formulation and implementation of similar JFPR grant investments and as an input for recommendations and for scaling-up the pilot interventions under this Grant, particularly in relation to the overall objective of poverty reduction.} 19. Recommendations and Follow-up Actions: {Include project-specific and general recommendations (scaling up) of any interventions, activities and action required, and make suggestions for changes to policies and strategies that can improve the effectiveness of the counterpart loan, future JFPR grants, and/or that can generally be applicable to ADB practices.} 20. Additional Remarks, Comments and Suggestions: {Present here any additional remarks, comments and suggestions that have not been dealt with or mentioned in earlier paragraphs, but which may contribute to this memorandum.} (a) III. PREPARATION AND APPROVAL Prepared by: 1. Representative from the Recipient: 2. Manager, JFPR-GIU 3 : 3. Project Officer, ADB: {the Project Officer consolidates the inputs from the Recipient and the PIU} Name of Person and designation / Name of Institution/Signature (b) Date 3 GIU=grant implementation unit (formerly called PIU=project implementation unit)

52 44 Appendix 13 Approved Name of Person and designation / Name of Institution / Signature 1. Director General, Department, ADB: 2. Division/Country Director, ADB: 3. Head of the Recipient: 4. Head of the Executing Agency: 5. Head of Implementing Agency:

53 Appendix JFPR IMPLEMENTATION COMPLETION MEMORANDUM (ICM) 4 BACKGROUND INFORMATION A. Objective and Scope 1. The main objective of a JFPR Implementation Completion Memorandum (ICM) is to learn from the experiences of the Recipients, executing agencies (EAs), implementing agencies (IAs) and ADB in implementing grants, and to use the lessons learned to improve the performance of ongoing and future ADB-financed projects in poverty reduction. The ICM will also be used as a measure of ADB s development effectiveness and as an input to country strategy formulation. An ICM evaluates the rationale for the JFPR; adequacy of preparation; appraisal and design; implementation arrangements; and performance of the recipient, EA, IAs and ADB, including how problems were handled, whether they were foreseen as potential risks, and the adequacy of the solutions adopted during implementation; provides a preliminary evaluation of achievements of the immediate objectives (purpose) and the impact and contribution to the overall objectives (goal); provides a preliminary evaluation of the sustainability of the grant interventions and benefits; and makes recommendations based on the evaluation and lessons learned for dissemination and scaling-up of the grant interventions for future ADB operations. B. Timing and Preparation of ICM 2. An ICM is prepared within six months after Grant Closing Date The Recipient (EA and/or IA) first prepares the ICM for self-evaluation and also helps with the preparation of ADB s section of the ICM. If the Recipient s contribution of the ICM is delayed and the grant implementation is considered complete, the division/country director concerned may, after consultation with the latest review mission and responsible project staff, decide to proceed with preparing ADB s part of the ICM in the absence of the recipient s section of the ICM. 4. When the grant implementation is approaching completion, an ADB review mission should agree with the Recipients on the outline and timing for the Recipient s section of the ICM. Assistance in preparing the Recipient s section of the ICM is usually a part of the terms of reference of the grant implementation unit (GIU). C. Length and Content of ICMs 5. Staff of the unit administering the grant (sector division, regional department or resident mission) must ensure that any problems or issues that arose during grant implementation are recorded in the ICM. Grant status reports and back-to-office reports (BTORs) prepared during preparation and implementation will provide the input for this. Such issues or problems should 4 5 Policy and procedures are based on the JFPR guidelines, topic 29, in combination with the principles of PAI Grant Completion Report for ADB Loans. Grant Closing Date is the date when all implementation, consolidation and other related physical activities end, as shown in the JFPR Grant Proposal and the Letter of Agreement, up to a maximum of four years after JFPR grant effectiveness, including extensions.

54 46 Appendix 13 not go unnoticed and thus lessons ignored. Therefore, all ICMs are to be detailed. Appendixes are limited to those that are essential for explaining the text. 6. An ICM is kept concise by concentrating on analyzing grant inputs and activities, implementation arrangements, costs, outputs, and impacts; focusing on the principal determinants of performance; using condensed analytical tables and supporting appendixes; using cross-referencing to source documents; and avoiding repetition. D. Intended Use of the Implementation Completion Memorandum (ICM) 7. ICMs are intended for use by and will be circulated to the The Government of Japan Directors General and Directors of relevant departments, Divisions and offices; Country director, RM concerned; and Recipients, concerned DMC agency, executing and implementing agencies.

55 Appendix 14 47

56 48 Appendix 14