Source document: https://docs-lawep.s3.us-east-2.amazonaws.com/1698833968434.pdf (Saint Vincent and the Grenadines)
Saint Vincent and the Grenadines Operations Manual Regional Disaster Vulnerability Reduction Regional Disaster Vulnerability Reduction Project Project November 2014 DRAFT OPERATIONAL MANUAL Central Planning Division Ministry of Finance and Economic Planning Central Planning Division Ministry of Finance and Economic Planning 1st Floor, Administrative Centre, Bay Street, Kingstown, St.Vincent Tel.
: (784) 457-1746 ● Fax: (784) 456-2430 ● E-mail: cenplan@vincysurf.com ABBREVIATIONS AND ACRONYMS AG APL BRAGSA CAPRA CCRIF CDB CPD CSTB DA ECD EA EIA EMF EMP EOI FMS GDP GFDRR GOSVG GPN IBRD ICB IDA IFR IPF MoARTFF MoE MoFEP MoHILPP MoTW NCB NEMO OECS PAD PPCR PS PSIPMU RDVRP RFP RFQ RPF SBD Accountant General Adaptable Program Loan Buildings, Roads and General Services Authority Central American Probable Risk Assessment Caribbean Catastrophe Risk Insurance Facility Caribbean Development Bank Central Planning Division Central Supplies Tenders Board Designated Account Eastern Caribbean Dollars Environmental Assessment Environmental Impact Assessment Environmental Management Framework Environmental Management Plan Expression of Interest Financial Management System Gross Domestic Product Global Fund for Disaster Risk Reduction Government of Saint Vincent and the Grenadines General Procurement Notice International Bank for Reconstruction and Development International Competitive Bidding International Development Association Interim Financial Report Investment Project Financing Ministry of Agriculture, Rural Transformation, Forestry, Fisheries and Industry Ministry of Education Ministry of Finance and Economic Planning Ministry of Housing, Informal Human Settlements, Lands and Surveys and Physical Planning Ministry of Transport, Works, Urban Development and Local Government National Competitive Bidding National Emergency Management Office Organization of Eastern Caribbean States Project Appraisal Document Pilot Programme for Climate Resilience Permanent Secretary Public Sector Investment Programme Management Unit Regional Disaster Vulnerability Reduction Project Request for Proposals Request for Quotations Resettlement Policy Framework Standard Bidding Documents SCF SDR SDS SOE SPN TOR UNDP Strategic Climate Fund Special Drawing Rights Social Development Specialist Statement of Expenditures Specific Procurement Notice Terms of Reference United Nations Development Program Table of Contents ABBREVIATIONS AND ACRONYMS
 ...................................................................................1 LIST OF TABLES, FIGURES AND ANNEXES..........................................................................1 SECTION 1 – INTRODUCTION ...........................................................................................2 Central Coordinating Entity.............................................................................................................. 3 Country Background ........................................................................................................................ 3 Project Background .......................................................................................................................... 3 SECTION 2 – PROJECT SUMMARY ....................................................................................6 Project Objective ............................................................................................................................. 6 Project Description .......................................................................................................................... 6 Project Components ........................................................................................................................ 6 Project Financing ............................................................................................................................. 8 SECTION 3 – IMPLEMENTATION ARRANGEMENTS ......................................................... 10 Implementation Responsibilities ................................................................................................... 10 Procurement and Contract Management ................................................................................ 10 Financial Management ............................................................................................................. 10 Monitoring and Evaluation
 ...................................................................................................... 11 Other Supporting Staff ............................................................................................................. 11 Participating Ministries ............................................................................................................ 11 Regional Disaster Vulnerability Reduction Project Steering Committee (RDVRPSC) ............... 12 SECTION 4 – PROCUREMENT AND CONTRACT MANAGEMENT........................................ 14 Procurement Responsibility ........................................................................................................... 14 Procurement Specialist Responsibilities ......................................................................................... 14 Procurement Activities .................................................................................................................. 15 Goods and Equipment ............................................................................................................. 15 Civil Works ............................................................................................................................... 15 Consulting Services .................................................................................................................. 15 Description of Procurement Methods ..................................................................................... 16 Goods and Works ..................................................................................................................... 17 A.
International Competitive Bidding (ICB) ............................................................................. 17 B.
National Competitive Bidding for Goods and Works .......................................................... 22 C. Shopping ............................................................................................................................. 23 D. Direct Contracting (DC) ........................................................................................................ 25 E. Quality and Cost Based Selection (QCBS) ............................................................................ 26 F. Selection Based on Consulting Qualification (CQS) ............................................................. 29 G. Least Cost Selection (LCS) ................................................................................................... 30 H. Individual Consultants ........................................................................................................ 32 I.
Single / Sole Source Selection .............................................................................................. 34 Standard World Bank Bidding Documents ..................................................................................... 35 Procurement Reports..................................................................................................................... 36 Procurement Filing ........................................................................................................................ 36 Procurement Audit ........................................................................................................................ 36 SECTION 5 - ACCOUNTING PROCEDURES AND FINANCIAL MANAGEMENT ...................... 38 Financial Management Responsibility ........................................................................................... 38 Financial Management Staff .......................................................................................................... 38 Design of the Financial Management System (FMS) ...................................................................... 38 Accounting System ................................................................................................................... 39 Internal Control ............................................................................................................................. 39 Flow of Funds ................................................................................................................................ 39 Disbursement Arrangements ......................................................................................................... 40 Disbursement Deadline Date ................................................................................................... 41 Authorised signatories ............................................................................................................. 41 Recording project expenditure
 ................................................................................................ 41 Bank Reconciliation Statements .............................................................................................. 42 Funds Receipts ......................................................................................................................... 42 Procedures for Payment to Vendors .............................................................................................. 42 World Bank Replenishment, Reimbursement and Direct Payments ....................................... 43 Replenishment ......................................................................................................................... 44 Direct Payment ........................................................................................................................ 45 Audit Arrangements ................................................................................................................. 45 Financial Reporting Requirements ........................................................................................... 45 Required Reports ..................................................................................................................... 46 SECTION 6 – SAFEGUARDS AND SUSTAINABILITY ........................................................... 49 Sustainability ................................................................................................................................. 49 Safeguards ..................................................................................................................................... 49 OP/BP 4.01 – Environmental Assessment ................................................................................ 49 OP/BP 4.12 – Involuntary Resettlement .................................................................................. 51 Monitoring and Evaluation of Environmental and Social Safeguards
 ............................................. 51 SECTION 7 – PROJECT MONITORING AND EVALUATION ................................................. 53 Monitoring .................................................................................................................................... 53 Monitoring system ................................................................................................................... 53 Monitoring Indicators .................................................................................................................... 53 Project Reports ........................................................................................................................ 54 Staff Evaluation ............................................................................................................................. 54 SECTION 8 – REPORTING ............................................................................................... 55 Project Progress Reports .......................................................................................................... 55 Mid-Term Report ..................................................................................................................... 55 Project Completion Report ...................................................................................................... 55 Interim Financial Report ................................................................................................................ 55 Financial Audit Report ................................................................................................................... 56 ANNEX 1 – TERMS OF REFERENCES – PROJECT MANAGEMENT SUPPORT ........................ 57 PROJECT COORDINATOR ................................................................................................................ 57 SENIOR ENGINEER
57 SENIOR ENGINEER ......................................................................................................................... 59 PROCUREMENT ASSISTANTS .......................................................................................................... 61 SENIOR QUANTITY SURVEYOR ....................................................................................................... 63 ANNEX 2 – RESPONSIBILITIES OF THE STEERING COMMITTEE ......................................... 64 Responsibilities of the Steering Committee Chair ................................................................... 64 Responsibilities of Steering Committee Members................................................................... 65 ANNEX 3 – TERMS OF REFERENCE : PROCUREMENT/CONTRACT MANAGEMENT SPECIALIST .................................................................................................................... 66 ANNEX 4 - PROCUREMENT PLAN ................................................................................................... 70 ANNEX 5 - FINANCIAL MANAGEMENT SPECIALIST ......................................................................... 71 ANNEX 6 - FLOW OF FINANCIAL PROCEDURES ............................................................................... 73 ANNEX 7 - INTERIM FINANCIAL REPORT ........................................................................................ 75 ANNEX 8 - ENVIRONMENTAL MANAGEMENT PLAN (EMP) ............................................................ 79 Implementation and Supervision ............................................................................................. 79 Standardized Generic Contract Clauses ................................................................................... 79 ANNEX 9 - TERMS OF REFERENCE - ENVIRONMENTAL IMPACT ASSESSMENT (EIA) ........................ 83 ANNEX 10 - RESULTS AND MONITORING FRAMEWORK ................................................................. 85 ANNEX 11 - Links to Bank Standard
 Bidding And Proposal Documents .......................................... 87 ANNEX 12 - Action Plan of Activities for St. Vincent and the Grenadines ...................................... 88 ACTION PLAN OF ACTIVITIES FOR SAINT VINCENT & THE GRENADINES ........................... 89 List of Tables, Figures and Annexes Table 1 – Project Financing by Component Table 2 – Categories of Eligible Expenditure Table 3 – Line Ministry Focal Points Table 4 – Standard Thresholds for Procurement Methods and Prior Review Table 5 – Expenditures by Component Figure 1 – PSIPMU Organizational Chart Figure 2 – Flow of Funds Chart Annex 1 – Responsibilities of the Project Steering Committee Annex 2 – Flow of Financial Procedures Annex 3 – Environmental Management Plan (EMP) Annex 4 – TOR for Environmental Impact Assessment (EIA) Annex 5 – TOR for Procurement/Contract Management Specialist Annex 6 – TOR for Financial and Accounting Specialist Annex 7 – Results and Monitoring Framework Annex 8 – Interim Financial Report Annex 9 – Action Plan of Activities & Supporting Appendices 1 SECTION 1 – INTRODUCTION The Government of St. Vincent and the Grenadines (GOSVG) has signed the following agreements with the International Development Association (IDA)1 to finance the Regional Disaster Vulnerability Reduction Project (RDVRP): 1.
Grant Agreement – SCF-PPCR Grant Number TF010206 2.

Loan Agreement – SCF-PPCR Loan Number TF0111322 3. Credit Agreement – 4986-VC 4. Credit Agreement – 545400-VC 5.

Grant Agreement – SCF-PPCR Number 167333 The project is estimated to cost US$61.5 million4million as follows: 1.

Grants (Pilot Programme for Climate Resilience): US$12 million 2.
Concessional loans (Strategic Climate Fund): US$3 million 3. International Development Association (World Bank) Credits: US$46.5 million The project is 100% Bank funded with no co-financing involved.

The Operations Manual has been prepared as a guide to the Government, including staff of the Central Planning Division (CPD) and Line Ministries, on the nature and scope of project implementation and the functions and responsibilities of these entities under the Agreements.
The objectives of the manual are to: a) enable stakeholders to understand the scope, content, organization, and activities of the Project; b) indicate the performance expected of the management, operating, and support staff; c) ensure that the requirements for transparency, equity, compliance and accountability are met; and d) guide the operations of the functions to be performed under the Project to ensure consistency, timeliness and accuracy.

1 In this Manual the ‘Bank’ is used to denote IDA.


2 On December 1, 2011, the Bank revised the trust number from TF010207 to TF011132 3 For the purposes of this Operations Manual these five agreements will be referred to collectively as “the Agreements” 4 The SVG RDVRP is an amalgamation of the Disaster Vulnerability Reduction Project and the Climate Investment Funds-financed Pilot Programme for Climate Resilience (PPCR).
The RDVRP, with a budget of US$20.9 million, was declared effective by the World Bank on September 9, 2011, and was being implemented over a five-year period ending on December 31, 2016.

In the wake of the December 24- 25, 2013 flood disaster, the government successfully negotiated additional financing in the amount of US$40.6 million for the project.
The project’s close date has been extended to December 31, 2018 2 Central Coordinating Entity The Central Planning Division (CPD) within the Ministry of Finance and Economic Planning (MoFEP) will be the Project’s main coordinating body.
The Agreements require that the CPD with functions, staff and responsibilities satisfactory to the Bank, be maintained throughout the life of the Project for the purposes of: (A) processing documentation required for disbursement of the funds; (B) procuring goods, works and services under the Project; and (C) preparing and maintaining records, accounts and financial statements referred to in the Agreements; (D) coordination and implementation of the Project; and (E) monitoring and evaluation of the Project.
This Operations Manual draws upon several documents: a) Grant Agreement Number TF010206– SCF-PPCR b) Loan Agreement Number TF010207– SCF-PPCR c) Notice of Revised Trust Fund Number d) Credit Agreement – 4986-VC e) Credit Agreement – 545400-VC f) Grant Agreement Number 16733– SCF-PPCR g) the Project Appraisal Documents (PADs) issued by the Bank (Report No.

61650 –LAC and No.
61650 –LAC and No.

770) h) Publications of the Bank on such matters as procurement of goods and services, disbursement and accounting requirements and implementation and completion reports Country Background St. Vincent and the Grenadines consists of 32 islands covering a total of 389 square km, with a total population of approximately 106,0005.

St Vincent, the northernmost island, is the country's commercial and political centre, accounting for 90 percent of both the land area and population.
According to the 2010 National Accounts, the Gross Domestic product of SVG was US$ 583 million.

SVG has a poverty headcount index of about 30.2 percent as of 2007/08 and an estimated unemployment rate of 21 percent.

St. Vincent and the Grenadines ranks 91st out of 182 countries on the 2007 United Nations Development Program (UNDP) Human Development Index.

SVG is exposed to a range of natural hazards.


Most common are hazards stemming from weather- related phenomena such as winds, rainfall, hurricane and drought.

The islands experience an annual hurricane season from June to November, followed by a dry season from December to May.

Project Background St. Vincent and the Grenadines (SVG) is among the most disaster-prone countries in the world.
Annual hurricanes exacerbated by the effects of climate change and combined with less frequent but devastating geological events, adversely affect the pace of growth and development.

In response, 5 2001 Population and Housing Census 3 disaster management has been accorded priority on the national agenda.
While local and sub-regional data are presently not available to fully evaluate the specific effects of climate change for SVG, global and regional data indicate that rising sea levels and changes in storm patterns are altering the country’s risk profile.

The effects of climate change are already evident in many parts of the country with storm activity continuing to denude exposed coastlines and negatively impact on development.
The situation is only expected to worsen given SVG’s high vulnerability to the effects of global warming and associated impacts.

Despite investments to enhance its response capacity and progress in understanding disaster vulnerabilities, SVG continues to face high levels of risk associated with natural hazards and a changing climate.

In particular, ageing public infrastructure in sectors such as health, education, water, and roads creates very high levels of vulnerability.
Recently, intensifying storms and rainfall concentration have exacerbated existing hazard patterns and have caused significant and consistent damage to infrastructure, including housing, road networks, schools, hospitals, and utilities (water, electricity & telephone).

The resulting impacts significantly affect human welfare, national economic activities, property, and natural resources.
To reduce the adverse effects of natural phenomena, there is a continued need to rebuild damaged infrastructure with more resilient structures while ensuring that new buildings are constructed to higher standards in line with the international building codes (IBC).
In addition, these actions will be supplemented with more comprehensive disaster risk reduction measures, such as preventative maintenance, appropriate zoning, hazard mapping, establishment and enforcement of construction codes, disaster information mechanisms, and flood and landslide mitigation.

Thus far, interventions range from contribution to financing of the Caribbean Catastrophe Risk Insurance Facility (CCRIF), to rebuilding damaged infrastructure resulting from high winds, storm surges and flooding.
In addition to these interventions, several national agencies have undertaken some risk reduction activities with the development of disaster preparedness and response investments.

Most of these activities have focused on the development of national disaster plans, the establishment of the National Emergency Management Organization (NEMO), and promoting public education and awareness.
Notwithstanding these efforts, the country continues to face high levels of risk and without more comprehensive interventions, there is likely to be a greater need to divert limited financial resources away from economic growth activities into repairs and reconstruction.

Thus, the next logical step is to reduce physical vulnerability and lower the country’s disaster risk profile.
With this in mind, and in keeping the with the World Bank/OECS Regional Partnership Strategy 2010- 2014, the RDVRP was developed and merged with the Pilot Programme for Climate Resilience (PPCR)6.

The objective of the combined PPCR grants, concessional financing and IDA credits is to measurably reduce vulnerability to natural hazards and climate change impacts in SVG and the Eastern Caribbean.
The Project aims to increase resilience to climate change by supporting capacity development and tools to assess and communicate disaster and climate risk to the public and to decision makers in different sectors, and to improve the integration of natural hazard and climate risk into physical planning processes.
In addition, the Project is designed to contribute to vulnerability and risk reduction through a combination of civil works, capacity building, and institutional development activities at the national and regional levels.
These activities are designed to reduce the response time in the wake of a disaster and 6 The PPCR is a Climate Investment Fund (CIF) financed programme which aims to provide incentives for scaled-up action and to support transformational change through the integration of climate risk and resilience into core development planning and the design of projects to build resilience to climate change.
4 to improve regional and national resilience to natural hazards and longer-term impacts resulting from climate change.

5 SECTION 2 – PROJECT SUMMARY Project Objective The project aims to measurably reduce Saint Vincent and the Grenadines’ vulnerability to natural hazards and the adverse impacts of climate change.
Project Description In order to achieve its objective, the project proposes four mutually reinforcing components, namely: (1) Prevention and Adaptation Investments; (2) Regional Platform for Hazard and Risk Evaluation, and Applications for Improved Decision Making; (3) Natural Disaster Response Investments; and (4) Project Management and Implementation Support.

Project Components 1.


Prevention and Adaptation Investments (US$30.86 Million) This component is designed to reduce physical vulnerability and limit the fiscal shock caused by adverse natural events through the piloting of adaptive measures to build resilience to current and future climatic changes.
It includes a broad set of civil works activities, such as drainage improvement, rehabilitation, reconstruction, and retrofitting of bridges and roads, retrofitting of critical public buildings (including schools and emergency shelters), investments in satellite emergency centers and adaptive watershed to reef system measures.
This component will also fund supporting studies required for the development of works and soft activity packages such as hydrologic/hydraulic investigations, geotechnical investigations, and associated pre-engineering and engineering activities required to support design standards and safeguard compliance.
During the execution of the identified activities, comprehensive measures would include the integration of building code requirements and land use planning according to coastal and river contours in the project development process.

It would also introduce hazard/risk analysis and climate change impact analysis to assist in the design and construction of resilient systems.

2.
2.

Regional Platforms for Hazard and Risk Evaluation and Applications for Improved Decision making (US$ 26.24 million): This component would finance activities which will enhance regional collaboration for capacity-building and knowledge-building around data management, risk analysis, climate change adaptation planning, 6 and a piloting approach to building more climate resilient environments within two of the seven priority areas7.
It would also finance a pilot for climate change adaptation for Union Island.

With this objective in mind and for the purpose of generating a change in the region to standards of public sector investments, the project will pilot watershed management (Arnos Vale Watershed) and coastal protection management (Georgetown).
In collaboration with other countries from the region and with the support of regional technical agencies, the Ministry of Transport and Works and the Physical Planning Unit would take the lead on organizing the Eastern Caribbean regional knowledge sharing and learning process to develop and apply climate change adaptation measures for watershed and coastal zone management and protection.
It is envisaged that the activities under this component will generate an understanding of how to incorporate fact-based knowledge regarding natural hazards and climate change and their risks to and impacts on the society, economy, and infrastructure into local development planning.

The component contains a series of capacity building interventions across a number of sectors and actors in collaboration with regional technical agencies and other countries in the region.
The lessons learned regarding watershed management, coastal protection, and climate change adaptation in reefs would be captured and subsequently published with the participation of a regional technical agency, effectively creating a blueprint for building climate resilience in the Eastern Caribbean.

3.
3.

Natural Disaster Response Investments (US$ 1.0 million8): This is a provisional component that would allow for rapid (re)allocation of the funds during an emergency, under streamlined procurement and disbursement procedures, in support of the GoSVG’s response and recovery efforts The activities financed by this component will be demand and event driven and will be detailed in the GoSVG’s Action Plan of Activities.
The submission of an acceptable Action Plan of Activities, along with an official declaration by the Government of Saint Vincent and the Grenadines that a “disaster for the State” has occurred9 are the two conditions that must be fulfilled in order to trigger this component.

The specific steps for triggering this component, along with the unique coordination and implementation arrangements for the Action Plan of Activities, are contained in Annex 12 of the Operation’s Manual.

4.
4.

Project Management and Implementation Support (US$ 2.4 million): Activities under this component relate to the institutional support and capacity development for project management and execution.
Activities would include training, staffing, and development activities associated with project execution such as consulting services and support for: a) Preparation of designs and tender documents for execution and supervision of works, purchase of goods, and contracting of training activities; 7 Priority areas requiring strengthening to reduce natural risk and vulnerability as identified by Eastern Caribbean countries include i) critical public infrastructure such as airports and hospitals; (ii) other public infrastructure such as transport and water grids; (iii) government buildings; (iv) watershed management; (v) urban flood mitigation; (vi) coastal protection; and (vii) landslide risk reduction.
8 The initial allocation for this component was fully utilized to address the impacts of the December 2013 flood disaster and was replenished under the additional financing.

9 In accordance with Section 32 of the National Emergency and Disaster Management Act of 2006.
7 b) Preparation of project reports; c) Processing of contracts including the evaluation of tenders, preparation of evaluation reports, selection of contractors, and negotiation and supervision of contracts; d) Liaising activities among the participating line ministries during project execution; e) Supervision of the quality of works; f) Specific training of staff in project management and execution; g) Capacity building for accreditation to the UNFCCC Climate Adaptation Fund; and h) Other activities, as required, to provide support to the CPD.
Project Financing The RDVRP was approved on June 23, 2011 and became effective in October 2011.

The SVG RDVRP was part of a horizontal Adaptable Program Loan (APL) implemented in parallel with Dominica, Grenada and Saint Lucia.
Projects in SVG and Grenada formed APL1 with total financing of US$47.1 million (Grenada: US$10 million in IDA credits, US$8 million in PPCR grants and US$6.2 million in PPCR concessional loans; SVG: US$10.92 million in IDA credits, US$7 million in PPCR grants and US$3 million in PPCR concessional loans).

Saint Lucia and Dominica would have comprised APL2 and APL3, respectively, with a total financing to be determined.
The term APL has however been retired and subsequent projects in the series fall under the new Investment Project Financing (IPF) guidelines.

Projects in SVG and Grenada form IPF1, while those in Saint Lucia and Dominica form IPF2 and IPF3 respectively.
Following the December 2013 flood disaster, an additional amount of US$40.6 million was negotiated for the SVG programme, bringing the total to US$61.5 million financed by grant funds from the PPCR, a loan from the Strategic Climate Fund (SCF) and SVG’s national and regional IDA allocations as follows: PPCR Grants: US$12 million Strategic Climate Fund (SCF) concessional loans: US$3 million IDA credits: US$46.52 million The amount of funds allocated to each project component and the categories of eligible expenditures can be found in Table 1 and Table 2 below: 8 Table 1 – Project Financing by Component Component/Category Component 1: Prevention and Adaptation Investments Component 2: Regional Platforms for Hazard and Risk Evaluation and Applications for Improved Decision Making Component 3: Natural Disaster Response Investments Component 4: Project Management and Implementation Support Total Initial Allocations (US$ millions) New Allocations (US$ millions) Total Percent of Financing 7.3 23.6 30.9 50.2 10.8 15.4 26.2 42.7 1.00 1.8 20.9 1.00 0.3 40.6 2 2.4 61.5 3.3 3.9 100% Table 2 – Categories of Eligible Expenditure Category Amount of the Funds Allocated (Expressed (UD$)) Type of Funds Percentage of Expenditures to be financed (incl.
taxes) Goods, works, non consulting services, consultants’ services, training and operating costs under components 1,2 and 4 of the project 12,000,000 3,000,000 45,520,000 Grant Loan Credit 19.8% 5.0% 75.2% Goods, works, non consulting services, consultants’ services for emergency reconstruction subprojects under component 3 of the project 1,000,000 Credit 100% 9 SECTION 3 – IMPLEMENTATION ARRANGEMENTS The Central Planning Division (CPD) will be responsible for managing the general implementation of the project including procurement, financial management and monitoring and evaluation activities.
During project implementation, the CPD will rely on the participating line ministries for technical support in the preparation of the bidding documents and for some aspects of implementation supervision.

These ministries include the Ministry of National Security etc., Ministry of Health, the Environment and Wellness, the Ministry of Housing, Informal Human Settlements, Lands and Surveys and Physical Planning (MoHILPP), and the Ministry of Transport and Works (MoTW).
More complex civil works will rely upon independently contracted engineering services, as necessary.

The CPD will also manage the environmental and social safeguard aspects of activities financed by the project.

The CPD has project management capacity and has managed safeguards of several World Bank projects investing in public infrastructure.

Implementation Responsibilities Procurement and Contract Management Procurement activities will be managed through the CPD.
All contracting activities including bidding, contractor/consultant selection, and execution supervision, will be managed through the CPD with the technical assistance of the participating line ministries.

As needed, line ministries will provide technical support particularly with respect to physical infrastructure sub-projects.
Line ministries will also provide technical documentation to support procurement activities and, given the emphasis on works represented under the project portfolio, additional civil engineering support will be provided to the CPD.

During the procurement process, the CPD will convene technical committees, led by the relevant line ministry’s focal point, as necessary for the design, evaluation and supervision of contracts to ensure the active participation of the beneficiary agency.
Financial Management All financial management activities will be managed by the CPD.

Using a sound financial management system, the CPD will provide accurate and timely reports to the Bank and GoSVG.

The Financial Management System (FMS) utilized will include records and accounts for the preparation of the financial statements in a format acceptable to the Bank and reflects the operations, sources of funds and expenditures related to the project.
10 Monitoring and Evaluation The CPD will be responsible for monitoring the progress on the project result indicators.

Using established institutional systems, coupled with project-specific mechanisms such as the establishment of a project steering committee, the CPD will track the progress of the project and provide reports to the GoSVG and the Bank on a regular basis as part of the agreed reporting requirements.
Other Supporting Staff In addition to the core implementation staff within the CPD, the project will be supported by a cadre of both technical and administrative consultants.

These include a Project Coordinator, Senior Engineer, Project Engineer, Senior Quantity Surveyor and Procurement Assistants (See Terms of References (TORs) in Annex 1).
Participating Ministries Participating ministries will provide technical staff to assist in contract supervision and other aspects of project implementation such as the development of TORs.

The participating line ministries include: Ministry of National Security etc., Ministry of Tourism, Ministry of Agriculture etc., Ministry of Housing Informal Human Settlement, Land and Surveys and Physical Planning, Ministry of Transport and Works, Ministry of Education and Ministry of National Mobilisation etc.
Representatives from each of the participating line ministries have been identified to serve as focal points to the project.

Table 3 below lists each focal point.

Table 3 – Line Ministry Focal Points Participating Agency Focal Person Ministry of Finance and Economic Planning Ministry of Housing, Informal Human Settlements, Lands and Surveys and Physical Planning Ministry of Transport and Works Ministry of National Security etc.
Ministry of National Mobilisation Ministry of Education Ministry of Health , Environment and Wellness Ministry of Agriculture, etc.
Ministry of Tourism Director of Planning /Senior Projects Officer Chief Technical Officer Chief Engineer Director of NEMO Director of Community Development Senior Project Officer Health Planner Director of Forestry Permanent Secretary 11 Regional Disaster Vulnerability Reduction Project Steering Committee (RDVRPSC) This committee is responsible for ensuring the smooth execution of project activities and the successful accomplishment of project objectives.
The Committee will meet monthly to review project implementation performance and be convened, when necessary, to attend to urgent matters, which may arise in the course of implementation of the Project.

Generally, the role of the RDVRP Steering Committee is to: • Assess project progress.

• Provide advice and guidance on issues facing the project.

• Assist with resolving strategic level issues and risks.

• Use influence and authority to assist the project in achieving its outcomes.
• To prioritize those activities included for financing under Component 3 (Disbursement Category 2) The responsibilities of the Steering Committee are outlined in Annex 2.

The RDVRPSC will consist of the following representatives: Organization Representative Central Planning Division Director of Planning (Chairperson) Senior Project Officer Engineer Project Officer I - Secretary Ministry of Transport, Works & Urban Development Permanent Secretary/Alternate: Chief Engineer Ministry of National Security etc.
Permanent Secretary/Alternate: Director of NEMO Ministry of Housing etc.

Ministry of Education Ministry of Health etc.

Ministry of Tourism Ministry of Agriculture etc.
Permanent Secretary/Alternate: Chief Technical Officer Permanent Secretary/Alternate: Project Manager Permanent Secretary/Alternate: Health Planner Permanent Secretary Permanent Secretary 12 Figure 1 – Public Sector Investment Programme Management Unit (PSIPMU) Organizational Chart Director of Planning Head of PSIPMU Monitoring and Evaluation Senior Projects Officer Project Officer II (x1) Project Officer (x1) Project Planning and Development Project Manager Economists (x3) Social Specialist (x1) Project Officer (x1) Implementation Accountant/Financial Analyst (x2) Financial Specialist/ Project Officer II (x1) Procurement/Contract Management Specialists (x2) Engineer/Procurement Officer (x1) 13 SECTION 4 – PROCUREMENT AND CONTRACT MANAGEMENT This section outlines specific methodologies that the CPD will apply to procure civil works, goods, consultancies and other services.
Procurement for the Project shall be carried out in accordance with the World Bank’s “Procurement of Goods, Works, and Non-Consulting Services under IBRD Loans and IDA Credits & Grants” dated January 2011; and “Guidelines: Selection and Employment of Consultants under IBRD Loans & IDA Credits & Grants by World Bank Borrowers”, dated January 2011 and the provisions stipulated in the Agreements.
In case of discrepancy between the operational manual and the Agreements, the stipulations in the Agreements will prevail.

Whenever the national laws contradict the Agreements and the Guidelines, the national laws shall prevail.

Procurement Responsibility The CPD located in the MFEP will be responsible for executing all procurement activities to be financed by the project, including bidding, contractor selection, contract management and project supervision.
During the procurement process, the CPD will convene technical committees as necessary for the design, evaluation, award, and supervision of contracts.

Technical inputs to bidding documents and assistance in project supervision will be provided from participating line ministry.

Responsibility for the management of change orders and contract modifications rests solely with the CPD.
Procurement will be managed in accordance with the procurement thresholds identified in the project legal agreements and in accordance with applicable Bank procurement requirements.

The CPD has several years of experience working with Bank procedures and has demonstrated its competence in working within Bank established policies and procedures.
However, as implementation proceeds, the CPD will evaluate its training needs and identify capacity-strengthening activities to be executed under Component 4 of the project.
Procurement Specialist Responsibilities The Procurement Specialist will supervise the entire cycle of procurement processes conducted within the project, directing and managing the processes including: a) Preparation and update of Procurement Plan b) Elaboration of the TORs c) Elaboration of technical specifications 14 d) Establishment of packages e) Preparation of bidding documents and RFPs f) Timely publication of General Procurement Notice (GPN), Specific Procurement Notice (SPN) and Expressions of Interest (EOI) g) Bid opening and evaluation h) Selection and appointment of consultants i) Contract award and ratification j) Contract management k) Mobilization of contractors’ and consultants’ resources l) Distribution of goods m) Presentation of reports n) Quality control A detailed TOR for the Procurement Specialist is provided in Annex 3.
Procurement Activities Goods and Equipment Goods to be procured under the project estimated to cost a total of US$7.2 million would include equipment for institutional strengthening, emergency communication, gabion baskets, equipment for satellite warehouses, and equipment for emergency shelters.

Procurement will be carried out using the World Bank procurement procedures.

The CPD will verify and certify the purchase of all goods and equipment.
Civil Works Works to be procured under the project will consist of several civil works contracts totaling US$37.4 million.

These would include construction of river defense, rehabilitation of bridges, construction of satellite warehouses, and retrofitting of emergency shelters.

Procurement will be carried out using the Bank’s procurement procedures.
Certification of works will be carried out by the Chief Engineer, Ministry of Transport, and Works (or his authorized representative) or the works consultant assigned the responsibility for supervision where one is appointed.

The CPD will monitor and verify the completion of certified works.
Consulting Services Consulting services estimated at approximately US$14.8 million will include technical assistance (training) services for institutional strengthening and hazard risk analysis, design and supervision of civil works for rehabilitation of school infrastructure, shelters and community centres, coastal defense, river defense and road repair and slope stabilization, salaries for contracted PSIPMU staff, and technical and financial audits.
Selection methods for consultant contracts are laid out in the Agreements.

15 The work of consultants will be monitored and certified for payment at agreed intervals by CPD.

The Procurement Specialist will monitor and check for completion of certified assignments.
Description of Procurement Methods Procurement of contracts financed by the World Bank will be conducted through the procedures as specified in the World Bank’s “Guidelines: Procurement under IBRD Loans and IDA Credits” (2011) and is open to all eligible bidders as defined in the guidelines.

Consulting services will be selected in accordance with the World Bank’s “Guidelines: Selection and Employment of Consultants by World Bank Borrowers” (2011).
Specific procurement notices for contracts to be bid under the World Bank’s international competitive bidding (ICB) procedures and for contracts for consultancy services will be announced, as they become available, in the UNDB online , WB external website and in at least one newspaper of national circulation in the Borrower’s country, or in the official gazette, or on a widely used website or electronic portal with free national and international access.
For each contract to be financed by the Grant/Credit/Loan, the different procurement methods or consultant selection methods and prior review requirements are listed below in Table 4.

Table 4: Standard Thresholds for Procurement Methods and Prior Review Expenditur Procurement Method Contract Value e Category (Threshold) US$ Thousands 1.

Works 2.
Works 2.

Goods >1,500 150-1500 ICB NCB <150 Regardless of Value Shopping Direct Contracting >150 50-150 ICB NCB Contracts Subject to Prior Review All First Contract & all >750 First Contract All All First Contracts Two <50 Regardless of Value Shopping Direct Contracting First Contract All 3.
Consulting Services 3.1 Firms >100 <100 QCBS, QBS, FBS, LCS QCBS, QBS, FBS, LCS, All Contracts First Contract CQS Regardless of Value Regardless of Value Single Source Comparison of 3 CVs All TOR 3.2 Individuals Note: QCBS = Quality and Cost Based Selection; QBS = Quality Based Selection; FBS = Fixed Budget Selection; LCS = Least-Cost Selection; CQS = Selection Based on Consultant Qualifications.

16 Goods and Works A.


International Competitive Bidding (ICB) (a) Grouping of contracts To the extent practicable; contracts for goods shall be grouped in bid packages estimated to cost US$150,000 equivalent or more for Goods and US$ 1,500,000 equivalent or more for Works , and will be procured through International Competitive Bidding procedures.

(b) Special Provisions for ICB – Goods and Works 1.
The goods/works to be procured should be included in the procurement plan, if it is not; 2. no-objection should be sought from the World Bank prior to procurement.

ICB should be carried out when the estimated price of the goods is US$150,000 equivalent or more per contract or when the estimated price of works is US$1,500,000 equivalent or more per contract.

3.

The World Bank Standard Bidding Document should be used.

4.
4.

All ICB documents including bid evaluation report require prior review (NO OBJECTION) by the World Bank.

5.

Bidding documents should clearly state evaluation criteria and technical specifications.

6.

At least 45 days should be allowed from the date of advertising (for preparation of bids) to opening of bids.

7.

Bids should be presented in one sealed envelope to the Central Supplies Tenders Board (CSTB) or relevant Body set up for the purpose of this Project.

8.
8.

Opening of bids should be set at the same time and date as the time and date for receipt of the bids.

9.

Opening of bids should be in the presence of bidders or their representatives who choose to attend.

At the opening, a bid opening check list (see WB Standard Bid Evaluation Form) should be properly filled in and minutes shall be prepared.
Minutes shall include, as a minimum: the name of the Bidder (full name and country of origin) and whether there is a withdrawal, substitution, or modification; the Bid Price, per contract if applicable, including any discounts and alternative offers; and the presence or absence of a bid security, if one was required.

The Bidders’ representatives who are present shall be requested to sign the record.

1.

Bidders are not allowed to review other bidder’s offers.

2.
2.

Bids are not evaluated nor rejected at bid opening.

3.

Any bid received after the deadline for bids’ submission shall be declared late, rejected, and returned unopened to the Bidder.

4.

All bids received by the deadline date for bid submission, irrespective of the number of bids received by the deadline date, should be opened and not discussed.

5.

At the bid opening there should be no discussion on the merits of any bid for rejection of any bids.

17 6.
17 6.

Copy of the minutes of the bids opening should be sent promptly to the Bank.

A copy of the record shall be distributed to all Bidders who submitted bids in time.

7.

Evaluation of bids for goods/works should be made using the WB Standard Bid Evaluation Form.

8.

Contracts for goods and works are not negotiated.

9.

Publication of Award, UNDB online within two weeks from Bank’s no-objection.

(c) Procedural Steps for ICB – Goods and Works STEP ACTIVITY 1.

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Upon approval from authorized person(s), send request for procurement along with technical specifications to the Central Planning Division (CPD).
Verify request is in the procurement plan, if it is not; no- objection should be sought from the World Bank prior to procurement Prepare bidding documents Obtain No-objection from the World Bank Advertise in newspapers of wide coverage, the Official Gazette/Website and the United Nations Development Business (UNDB) online and WB external website through Client Connection and in at least one newspaper of national circulation in the Borrower’s country, or in the official gazette, or on a widely used website or electronic portal with free national and international access Issue bidding documents Inform Tenders Evaluation Committee and arrange for date and time for receipt of bids and time for bid opening Bids are submitted to Central Supplies Tenders Board Open bids on established date and time in bidding documents, in the presence of all bidders Members of CSTB and Officer from the CPD witness opening of bids CSTB hands over bids to CPD for evaluation Organize the evaluation committee10 Conduct bid evaluation: preliminary examination followed by detailed evaluation.
Prepare evaluation report (see evaluation procedures below) and recommendation of contract award Obtain No-objection from World Bank for award of contract to lowest responsive/evaluated bidder along with draft contract document AGENCY RESPONSIBLE IA CPD CPD & IA CPD CPD CPD CPD Suppliers/Contra ctors TB CPD/CSTB CPD/CSTB CPD CPD & Evaluation Committee CPD & Evaluation Committee CPD 10 Tenders Evaluation Committee with the relevant expertise for a particular Project/area is usually set up to review bids 18 16.
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Notify bidder of the award and request performance security (if required) by a stipulated date and other guarantees.
Arrange for signing of Contract Document Notify the other bidders of the results of the bidding and Return bid security to unsuccessful bidders Publication of Award, in UNDB online within two weeks from Bank’s no-objection Send signed contract documents to the World Bank (including completed Form 384) Ensure timely clearance of goods from airport/seaports Certify receipt of goods/accept works Administer and supervise contract Submit certified invoices and Requisition Orders for payment to the CPD Upon confirmation of funds, prepare Payment Voucher and request approval from authorized person (s) Goods to be recorded in the Fixed Asset Register (Goods are to be labeled before handing over where received at CPD or otherwise make arrangements for labeling.
A record of the hand-over should be prepared and signed by IA Process payment CPD CPD CPD CPD CPD CPD Authorized Person(s) from IA and CPD CPD & IA Authorized Person(s) from IA CPD CPD CPD (d) Bid Evaluation and Evaluation Report - ICB Bid Evaluation Committee In order to examine and evaluate bids a bid evaluation committee comprising persons with the required expertise/technical capacity will be appointed by the CPD with advice from the IA as needed.
The CPD will ensure confirmation of nominees and their willingness to participate.

The CPD and bid evaluation committee are responsible for the evaluation and comparison of the bids received and for the preparation of the bid evaluation report, which will be submitted to the Bank by the CPD after the process is complete.

The following sections describe in detail the steps that are followed by the Committee carrying out the evaluation.
Preliminary Examination (In accordance with the Instructions to Bidders of any specific bidding documents) At the bid opening, bids received after the deadline for submission of bids are to be noted as such, rejected and subsequently returned unopened to the respective bidder(s).

This is mandatory for all late bids.

Other decisions about whether a bid is compliant with bid document requirements should not be made during the bid opening.
The Bid Opening Checklist and Bid Opening Record shall be filled out and submitted to the WB.

19 After the bid opening has been completed, as its first step in the evaluation, the evaluation committee shall conduct a preliminary examination of the bids by thoroughly examining all bids received before the deadline for submission in accordance with Annex V the Bank’s standard evaluation form.
The preliminary examination of bids determines whether the bids meet the general procedural requirements of the bidding documents.

In particular, the Committee should examine bids for compliance with the requirements in Annex V of the Bank’s standard evaluation form, using the bidding documents as the reference point.

The following factors should also be taken into consideration: 1.

The bid should be signed properly by an authorized party, including a Power of Attorney if stipulated; 2.
Bid securities should be in acceptable format, for suitable amount and duration; 3.

Bid packages should contain all required documents including supporting evidence of bidder eligibility and qualifications; 4.

Changes should be initialed; 5.

The mathematical calculations should be properly computed, if not, corrections should be made; and bids should be complete and quote prices for all items in the lot or package if so stipulated in the bidding document.

6.
6.

A link to the Standard Bid Evaluation form on the Bank’s website is in Annex 7.

The purpose of this examination is to eliminate any bids from further and more complicated consideration if they do not meet the minimum standards of acceptability as set out in the bidding documents and are therefore not substantially responsive.

However, the Borrower should exercise reasonable judgment in applying these tests and should avoid rejecting bids on trivial procedural grounds.
Detailed Evaluation (In accordance with the Instruction to Bidders of any specific bidding documents) The preliminary examination stage of bid evaluation described above is aimed at making sure that the bids received are substantially responsive.

A substantially responsive bid is one that conforms to all the terms, conditions and specifications in the bidding documents without material deviations, reservation or omission.
After the preliminary bid evaluation stage, the bids are taken through a detailed evaluation in order to select the bidder whose bid not only complies with the technical requirements in bidding documents, but also offers the Employer the lowest price for the goods, works and/or services to be procured.
During the bid evaluation period Bank policy requires the Employer to strictly adhere to the following principles: Ensure that the bid evaluation process is strictly confidential; Reject any attempts or pressure to distort the outcome of the evaluation; Reject any proposed action likely to lead to fraud and corruption; Comply with the Bank’s prior review requirements; and Strictly apply only the evaluation and qualification criteria specified in the bidding documents.
20 Evaluation of Bids for Works Contracts (In accordance with the Instruction to Bidders of the issued bidding documents) Evaluation of bids for works contracts is similar to the evaluation of bids for goods.

It is essential that well defined evaluation criteria are set out in the bidding document and that the evaluation is carried out in a transparent manner.

The evaluation of works contracts involves price and non-price factors, depending on the form of works contract being procured.
According to the procurement guidelines and SBD, all substantially responsive bids are to be subjected to detailed evaluation and only the lowest one is subject to post-qualification.
As in the case of evaluation of bids for procurement of goods, evaluation of works contracts begins with a determination of the following basic requirements: Was the bid received by the due date required in the bidding documents; Does it comply with all the specific mandatory requirements of the bidding documents?

Is the bid accompanied by the bid security; Is it submitted in the required form, amount, etc.
where necessary; and The bid evaluation committee proceeds to evaluate the prices offered for the contract.

Depending on the kind of works contract being procured, the lowest evaluated and qualified bidder is determined and awarded the contract.

It should also be noted that in the publication of the contract award the evaluated price of each bidder should be indicated.
(e) The Standard Bid Evaluation Report After the completion of the evaluation process the evaluation committee presents to the CPD a bid evaluation report setting out the process by which the bid evaluation committee evaluated the bids received in response to the procurement process.

A standard bid evaluation report format prepared by the Bank is available for use by Borrowers and its use is mandatory for ICB.
This report covers among other things: Key dates and steps in the bidding process; Bid prices, corrections, discounts and currency conversions; Additions, adjustments and price deviations; Technical evaluations if any; and statement on technical responsiveness; Post qualification results (including what is required in the issued BD, what the bidder’s qualifications and experience, key staff and equipment etc.
are, and clear statement on if the bidder meets or not the requirements of the BD); Names of bidders rejected and reasons for rejection of bids; and Proposed contract award.

(f) Awarding and Signing of the Contract Once the bids have been evaluated, a determination made as to the lowest evaluated qualified bidder, and a decision has been made about the award, the next steps are to: 21 1.

Obtain the CSTB’s approval to award the contract; 2.
Request and obtain the World Bank’s “no objection” to award the contract; 3.

Send notification of the award, a contract form, and a performance security form (indicating the amount of security) to the successful Bidder in a manner and within the time specified in the bidding documents; 4.
Request the successful Bidder in a manner and within the time specified in the bidding documents; to return the signed contract together with the required performance security within the time specified in the bidding documents; If the successful bidder fails to return the signed contract or provide the required performance security, the Employer, after Bank’s no-objection shall: 5.

Require forfeiture of the bidder’s bid security; 6.
Proceed with awarding the contract to the next lowest evaluated bidder in the ranking, provided that the bidder has passed the post-qualification requirements; 7.

Notify the bidder of the award of contract (prior to expiration of bid validity period) and issue the letter of acceptance together with the draft contract requesting submission of the performance security and signed contract within the stipulated time.

8.
8.

Notify unsuccessful bidders and return their bids securities as soon as possible after receiving the signed contract and the performance security.

9.

Publish contract award in UNDB online, within two weeks of contract signature; B.

National Competitive Bidding for Goods and Works (a) Special Provisions 1.

The goods/works to be procured should have been included in the procurement plan.

If it is not, a no-objection shall be sought from the World Bank prior to the procurement.

2.
2.

NCB may be carried out when the estimated price of goods is <US$150,000 equivalent per contract and when the estimated price of works is < US$1,500,000 equivalent per contract.

3.

The standard bidding documents of the World Bank may be used or a national document acceptable to the Bank (link in Annex 7).

4.
4.

NCB shall be carried out without the Bank’s prior review (No objection to bidding documents, advertising, bid evaluation) with the exception of those contracts indentified in the prior review thresholds (Table 4).

5.

Evaluation criteria and technical specifications shall be clearly stated in the bid documents.

6.

At least 30 days shall be allowed for preparation of bids; i.e.

from the date of advertising to the date of opening of bids.

7.

Bids should be presented in one envelope.

8.


The bid opening shall be scheduled for the same date and time as the bid submission deadline unless a prior no-objection is given by the World Bank, in which case all bidders shall be informed of the date and time of the bid opening.

9.

Bids shall be opened in the presence of bidders or their representatives who choose to attend the bid opening.
22 (b) Procedural Steps for NCB - Goods and Works STEP 1-4 5 6-14 15 16-27 ACTIVITY Same as ICB Advertise in local newspapers Same as for ICB Obtain Bank’s no-objection to award of contract to lowest responsive bidder and to draft contract agreement (the first two contracts for goods; the first contract and all contracts >US$750,000 works Same as for ICB AGENCY RESPONSIBLE CPD CPD (c) Bid Evaluation and Bid Evaluation Report - Same as for International Competitive Bidding.
(d) Award and Signing of the contract - Same as for International Competitive Bidding.

C. Shopping (a) Special Provisions 1.

The goods/works to be procured should have been included in the procurement plan.

If it is not a no objection shall be granted by the WB prior to procurement.

2.

Shopping should be carried out when the: Goods are estimated to cost less than US$50,000 equivalent or less per contract.

 Works are estimated to cost less than US$150,000 equivalent per contract.

3.
3.

Goods may be procured by receiving written quotations from a minimum of three local and or foreign, eligible and qualified suppliers that are not in a position of conflict of interest.

Telephone or verbal quotations are not acceptable.

4.

Small works may be procured under lump sum/unit price based, fixed price contracts awarded on the basis of quotations obtained from at least three (3) qualified domestic contractors in response to a written invitation.
The invitation shall include detailed description of the works (schedule of activity/bill of quantity), including basic specifications and the required completion date, a basic form of agreement acceptable to the Bank and relevant drawings where applicable.

(b) Procedures for Shopping – Goods and Works STEP ACTIVITY 1.

2.
2.

Upon approval from authorized person (s), send request for procurement along with technical specifications/description of the works/drawings to the CPD Verify request is in the procurement plan, if it is not a no- AGENCY RESPONSIBLE IA CPD 23 objection shall be granted by the World Bank prior to procurement Prepare Invitations to Quote and obtain the Bank’s no-objection for the first contract (see Table 4) Request written quotations from local and foreign suppliers or contractors.
There is no formal opening of quotations.

Evaluate quotations and prepare an evaluation report.

Submit evaluation report to WB for clearance if contract is subject to prior review - first contract or if fewer than 3 quotations were received.

Secure the approval of the CSTB to award any contract exceeding EC$20,000.

Prepare letter of award and contract agreement incorporating the terms of the accepted offer Certify receipt of goods/ completion of works.
IAs are required to endorse (sign and stamp) all delivery notes Submit payment request (certified invoice) Upon confirmation of funds, prepare Payment Voucher and request approval from authorized person(s) Process payment 3.

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CPD & IA CPD CPD & IA CPD CPD CPD CPD & IA IA CPD CPD The following shall apply: • Technical specifications (TS) should be broad enough to allow competition and not tailored to particular suppliers, manufactures, etc.
; • • • Brand names shall not be used; rather parameters should be specified in the following manner: from.....-to......; or min......; max........

etc.

; TS shall allow for equivalent standards The list of eligible and qualified suppliers should be broad enough to generate good competition but to yield at least three quotations.

Such a list may be prepared based on past experience, consultation with chambers of commerce, the internet, direct market research, etc.
The eligibility and the capacity of the suppliers to successfully complete the contracts should be verified in the process of the preparation of the list of suppliers, i.e.

before the ITQ is issued Ineligible and unqualified suppliers shall not be invited to quote.

• ITQs shall be prepared using the following templates: ShoppingGoods-ITQ-templ-2011.doc 2011-June-30-Revised-ITQ-Goods.doc The templates shall be adjusted accordingly and the first contract shall be subject to the Bank’s prior review.
24 (c) Bid Evaluation and Evaluation Report Bid Evaluation Committee Quotations shall be evaluated by the procurement officer with guidance from the IA as required.

The evaluation report shall be endorsed by the Project Coordinator or staff of the CPD acting on the PC’s behalf.
Evaluation of Quotations The evaluation will be based on the criteria set out in the request for quotations including price, ability to meet the required delivery requirements, availability, cost of maintenance services and spare parts over a reasonable period of use (same as ICB) (d) Award and Signing of the Contract Approval shall be granted by the CSTB to award contracts exceeding EC$20,000.
D. Direct Contracting (DC) This method does not provide the benefits of competition and the transparency, so it is used in exceptional cases where it can be properly justified and approved.

Steps in DC (goods) Responsibility 1.

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Prepare specification (TS) and estimated cost of the goods to be procured Submit justification for direct contracting including the TS and cost estimates of the required goods and information about the supplier [full name, country, address, eligibility, potential conflict of interest (if any)] and ) , etc.

to the CPD; Submit the estimated cost and the justification (why this is the only supplier who could supply the required goods, etc.)
for direct contracting in the spirit of the Procurement Guidelines to the WB for “No Objection”; If WB accepts justification and issues its “No Objection”, proceed with the purchase by preparing draft contract (taking into account the format agreed with the Bank) including terms and conditions of supply and technical specifications; Send contract conditions to the supplier for negotiations if required.
Ensure that the prices being charged are at least the same as the supplier charges to its other customers; Send draft Contract to the WB for “No Objection”; After “No Objection” received, sign the contract; Publish award of contract IA IA CPD CPD CPD CPD Borrower’s Authorized Representative/CPD CPD 25 Steps in DC (goods) 9.

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Submit copy of the final Contract to the WB; and Receive and inspect goods and endorse the invoice and/or delivery note Make payment(s) on the basis of endorsed (signed and stamped) invoices and/or delivery notes.

Responsibility CPD IA Authorized representative.

CPD CPD Selection of Consultants The methods for selection of consultants are shown below.
E. Quality and Cost Based Selection (QCBS) (a) Special Provisions The consulting services to be procured shall be included in the procurement plan before starting the selection.

If it is not in the procurement plan a no-objection shall be granted by the World Bank, prior to procurement.

 QCBS may be carried out for all contracts for firms, except for small and simple contracts, estimated to cost less than US $100,000 equivalent per contract.
The terms of reference (TORs) and request for expressions of interest (REOI) are prepared and submitted to the Bank for review and no-objection.

Once the no-objection is granted, the REOI is published in the UNDB online, WB external website, government website, at least one local newspaper of wide circulation, technical or financial magazine of national circulation in the Borrower’s country, and any widely used electronic portal with free national and international access.
Expressions of interest shall be evaluated on the following criteria: Experience in similar conditions, Availability of appropriate skills among staff, etc.).
Country of registration; Details on company organization and staffing including availability of appropriate skills Type of association – whether joint venture or if sub-consultants will be employed; among key staff and other resources; Information on similar projects completed within the time stipulated in the REOI (description, cost, duration, and extent of consultant’s input).
The EOI evaluation report, proposed short list and request for proposals (RFP) shall be submitted to the Bank for review and no-objection.

 Request for Proposals (RFP) shall be prepared using the Bank standard RFP document.

 The RFP shall state clearly the evaluating criteria and their respective weights as well as the minimum technical score.
26 A detailed list of the information that should be included in the “information to consultants” is given in Appendix II to the Consultant Guidelines.

 Technical and Financial proposals shall be submitted simultaneously in separate sealed envelopes.

 Opening of technical proposals should be scheduled for the same date and time as the deadline for receipt of proposals.
When submission of both technical and financial proposals is required, proposals shall be opened by a representative of the CSTB and the CPD.

Where proposals were submitted in separate envelopes, technical proposals are opened first and the financial proposals are retained by the CSTB after verification that they are properly sealed and labeled.

Technical proposals shall be signed and dated by the CSTB and CPD representatives.
Minutes of the opening of the technical proposals shall be sent to the WB and consultants who submitted proposals promptly after the opening.

The technical proposals are retained by CPD for evaluation.

Late proposals shall be returned unopened to the respective consultant(s).

The technical evaluation report shall be submitted to the Bank for review and no objection.

Financial proposals remain sealed and are retained by the CSTB until the Bank’s no-objection to open them has been received.
The CPD shall inform those consultants who have met the minimum technical score of the date and time set for opening of the financial envelope and of the firms’ score.

Unsuccessful firms shall also be notified and informed that the envelopes containing their financial proposals shall be returned unopened after the selection process has been completed.
The financial envelopes of those consultants who submitted responsive technical proposals and met the minimum qualifying score are opened in the presence of the consultants or their representative who choose to attend.

The minutes of opening of the financial proposals are signed by all firms attending the meeting, and a copy of the minutes is submitted to the Bank and the firms.
The representatives of the CSTB and CPD shall sign and date the financial proposals which are then retained by the CPD for evaluation.

The evaluation is then completed and recommendation for contract award is made based on the combined technical and financial score.

The combined Technical and Financial Evaluation report is submitted to the CSTB for approval of award of contract.
Once the CSTB’s approval is granted, the combined technical and financial evaluation report along with the proposed contract award shall be sent to the Bank for information.

The consultant is invited to negotiate the contract.

Negotiations shall include discussions of the terms of reference, methodology, staffing, borrower’s inputs and special conditions of contract.

The proposed remuneration rates for staff months and for reimbursable expenses are NOT permitted to be negotiated.
The draft negotiated initialed contract is sent to the WB for NO OBJECTION.

Copy of the signed contract and the completed Form 384 should be sent to the WB.

27 (b) Procedures for QCBS Step 1.

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Activity Responsible Agency including draft Prepare Terms of Reference (TOR) Obtain Bank’s no-objection to TOR and REOI Advertise REOI on government website, in local and/or regional newspapers of wide coverage, UN Development Business online (UNDB online), WB external web site (use Client Connection - Create Bid) Obtain expressions of interest.
Evaluate EOIs and prepare shortlist Prepare Request for Proposal (RFP), contract Obtain Bank’s NO OBJECTION to RFP and short-list Issue RFP to all shortlisted firms Inform CSTB of date for receipt of proposals Appoint the evaluation committee Open technical proposals Evaluate technical proposals and prepare technical evaluation report (TER).
Obtain Bank’s NO OBJECTION to technical evaluation report Notify the Consultants regarding their overall technical scores as well as scores obtained for each criterion and sub-criterion.

Consultants whose proposals did not meet the minimum qualifying technical score or were considered nonresponsive to the RFP and TOR should be informed that their financial proposals will be returned unopened after the signature of the contract.
The successful consultants should be notified about the place, date and time for opening of financial proposals.
Notify CSTB of date for opening of financial proposals (in the case of QCBS) Open financial envelopes of qualified firms (QCBS) Submit Minutes of FP Opening to WB and to Consultants Evaluate financial proposal and combine scores of technical and financial proposals (QCBS) Submit combined evaluation report to CSTB and obtain CSTB’s approval to recommendation of ward Submit combined evaluation report and proposed contract award to the WB for information Negotiate with consultant recommended for contract award Obtain Bank’s N.O.
to the draft initialed negotiated contract Publish the award of contracting UNDB online and promptly notify all consultants who have submitted IA CPD CPD CPD IA & CPD IA & CPD CPD CPD CPD CPD CSTB Evaluation Committee CPD CPD CPD CSTB Evaluation Committee CPD CPD CPD & IA CPD CPD 28 proposals.
Arrange for signing of contract agreement Notify CSTB to send the unopened Financial Proposals to the unqualified firms who have not passed the minimum technical score) Send copy of signed contract to the Bank (including completed Form 384 Monitor/evaluate progress / Receive deliverables Report on performance Submit certified invoices and deliverables (as appropriate) Upon confirmation of funds, prepare Payment Voucher and request approval from authorized person(s) Process payment 23.

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CPD & IA CPD CPD IA & CPD IA IA CPD CPD F. Selection Based on Consulting Qualification (CQS) (a) Special Provisions 1.

The consulting services to be procured should have been included in the procurement plan.

If it is not, a no objection should be granted by the Bank prior to procurement.

2.

CQS may be used for small and simple contracts estimated to cost less than US$100,000 equivalent per contract.

3.
3.

Consultants can submit EOIs and qualification information on their experience and competence relevant to the assignment in response to an REOI published in local newspapers and on the government website.

Depending on the assignment the REOI may also be published in the UNDB online.

4.

The selected firm will be requested to submit a combined technical and financial proposal.

5.

Negotiations will be carried out if the combined technical and financial proposal proves acceptable.
(b) Procedures for CQS Step Activity 1.

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6.
Prepare Terms of Reference (TOR) Obtain Bank’s no-objection to TOR and REOI Advertise on government website, in local newspapers and other newspapers of wide coverage (if necessary) Obtain Expressions of Interest and information on the consultants experience and competence relevant to the assignment Appoint evaluation committee Evaluate the EOI’s and prepare a list of all eligible, fully qualified and not in a position of conflict of interest who have expressed interest and assess and compare the , qualifications and experience and select the best qualified Responsible Agency IA CPD CPD CPD IA & CPD IA & CPD 29 consulting firm.
Prepare evaluation report and send it for WB clearance if the contract is subject to prior review After WB clearance, prepare the Letter of Invitation including the TOR and ask the selected consultant to submit invitation a combined technical-financial proposal.
The should be prepared taking into account Appendix 1 of the SRFP and the consultant should be requested to present a detailed breakdown of cost per activity/ deliverable and present a statement that the rate used are compatible with the latest firm’s payroll statements.
Request firm to submit combined technical and financial proposal to the CPD Evaluate combined technical financial proposal and the statements Negotiate the contract with selected consultant Secure CSTB approval to contract award Obtain Bank’s N.O.
to draft, negotiated initialed contract Arrange for signing of contract agreement Publish award on UNDB Online or in the same national newspaper of wide circulation and/or in the official gazette, provided that it is of wide circulation, or on a widely used website or electronic portal with free national and international access where the REI was published and dg market (can be done quarterly and in the form of a summarized table) Monitor/evaluate progress Report on performance Submit certified invoices and deliverables (as applicable) to the CPD Upon confirmation of funds, prepare Payment Voucher and request approval from authorized person(s) Process payment IA & CPD CPD Evaluation Committee IA & CPD CPD CPD CPD & IA IA & CPD IA IA CPD CPD 7.
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G. Least Cost Selection (LCS) (a) Special Provisions This method is only appropriate when hiring consultants for a standard or routine nature assignment such as audits, engineering designs of non-complex works.

For such assignments there should be well established practices and standards.

The process that is submission of proposals and evaluation is similar to QCBS EXCEPT a minimum qualifying mark for quality (Technical Evaluation) is established.
The contract is awarded to the firm with the LOWEST price that secured the minimum qualifying score.

30 Step 1.

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21.

22.
Activity Responsible Agency in in at including draft Prepare Terms of Reference (TOR) Obtain Bank’s no-objection to TOR and REI Advertise local newspapers (Gazette) and other newspapers of wide coverage and regional newspapers UN Development Business online (UNDB online) and in the WB external web site (use Client Connection - Create Bid) Advertise in the national gazette, provided that it is of wide circulation, or least one newspaper, or technical or financial magazine, of national circulation in the Borrower’s country, or in a widely used electronic portal with free national and international access Obtain expressions of interest.
Prepare shortlist Prepare Request for Proposal (RFP), contract Obtain Bank’s NO OBJECTION to RFP including short-list Issue RFP to all shortlisted firms Inform CSTB of the date for receipt of proposals Appoint the evaluation committee and obtain TB approval Opening of technical proposals Evaluate technical proposals and prepare technical evaluation report (TER).

Obtain Bank’s no objection to technical evaluation report.
Notify the Consultants regarding their overall technical scores as well as scores obtained for each criterion and sub-criterion.

Consultants whose proposals did not meet the minimum qualifying technical score or were considered nonresponsive to the RFP and TOR should be informed that their financial proposals will be returned unopened after the signature of the contract.

The successful consultants should be notified about the place, date and time for opening of financial proposals.
Notify CSTB of date for opening of financial proposals (in the case of QCBS) Open financial envelopes of qualified firms (QCBS) Submit Minutes of FP Opening to WB and to Consultants Evaluate financial proposal and select the proposal with the lowest price Obtain CSTB’s approval of final evaluation report Submit the financial evaluation report and proposed contract award to the WB for information Negotiate with consultant recommended for contract award Obtain Bank’s N.O.
to the draft initialed negotiated contract Publish the award of contracting UNDB online and IA CPD CPD CPD IA & CPD IA & CPD CPD CPD CPD CPD CSTB Evaluation Committee CPD CPD CPD CSTB Evaluation Committee CPD CPD CPD & IA CPD CPD 31 promptly notify all consultants who have submitted proposals.
Arrange for signing of contract agreement Notify CSTB to send the unopened Financial Proposals to the unqualified firms who have not passed the minimum technical score) Send copy of signed contract to the Bank (including completed Form 384 Monitor/evaluate progress Report on performance Submit certified payment to the CPD Upon confirmation of funds, prepare Payment Voucher and request approval from authorized person(s) invoices and Requisition Order for Process payment 23.

24.

25.

26.

27.

28.

29.

30.


CPD & IA CPD CPD IA & CPD IA IA CPD CPD H. Individual Consultants a) Special provisions The selection of IC should have been included in the annual procurement plan, if it is not; no objection should be sought from the Bank prior to procurement.

b) Procedures for Selection of Individual Consultants (steps) 1.

Prepare terms of reference and agree on evaluation criteria.

Main sections of the TORs shall include: a.

Background information on the project b.


Objective(s) of the assignment c. Scope of Work d. Expected Outcomes e. Duration and Estimated Time Input f. Qualification requirements g. Reporting Requirements * do not include financial information (estimates rates, prices, payments etc.)

2.

Secure the Bank’s no-objection to the TOR's 3.

Solicit expressions of interest.


Depending on the nature of the assignment, an REOI may be advertised (locally, regionally or internationally) or CVs may be solicited via other means.

The selection shall be based on the comparison of at least 3 CVs and candidates should have expressed their interest in writing.

IC-REI-templ.doc 32 4.

Establish a small evaluation committee comprising at least three to five members (all members should sign a declaration of impartiality using the Bank’s template.
Decl-COI.doc 5.

Prepare a list of a minimum of three candidates, based on their relevant experience in the field of assignment (i.e.

the list should not include candidates who don't have experience/qualifications in the relevant field of assignment, or who may not fulfill any minimum experience/qualifications, etc, if so required in the request for expression of interests).
In case of advertising, all candidates who have expressed interests and meet all required qualifications and experience should be considered for further detailed evaluation.

The candidates should be eligible and there should not be any conflict of interest (Consultants Guidelines Para 1.9 and 1.11); 6.

Evaluate the received CV's based on criteria set up beforehand; 7.

Prepare the evaluation report using the form: The evaluation report should include the following information: (i) Advertising (When?
Where?

How long time has been given for expression of interest?
; (ii) Number of candidates who submitted CV's by the deadline date; (iii) The minimum required qualifications and experience (as indicated in the TOR's) and the criteria used in the evaluation; (iv) Whether the candidates meet all minimum required qualifications and experience and clarifications on any deviations; (v) Any conflict of interest (COI) and if the candidates’ eligible (see the Consultants’ Guidelines Para 1.9. and Para 1.11); (vi) Brief justification on the scores given by the evaluation committee for each of the candidates indicating their strengths and weaknesses.
A copy of the individual score sheets signed by the evaluation committee, should be attached.

It should be noted that only the top-ranked candidate could be invited for interview, in order to validate his/her qualifications as described in the CV and against the requirements of the TOR.

(vi) Brief justification/reasons for selection of the proposed candidate (Why s/he is the best qualified?
); (vii) Scores should correctly reflect the qualification of the candidates and the better candidates should be given higher scores: it is not likely two or more consultants would have the same qualification and experience so should not receive identical average scores 33 Price is not a factor for selection of IC and no rates and prices offered by the consultants should be considered in the selection; (vii) TOR’s; advertisement; and, CV’s, should be attached to the evaluation report; 8.
If subject to Bank’s prior review, the evaluation report shall be submitted to the Bank; 9.

After Bank’s approval, negotiate contract.

To facilitate the negotiations the selected consultant may be asked to submit combined technical-financial proposal.

Forms of Contract: Cons-smallass-LumpSum-2010.docx Cons-smallass-TimeBased- 2010.docx 10.

If subject to Bank’s prior review, submit the draft negotiated contract for Bank's clearance; 11.

Sign the contract; 12.

Publish the contract award information; 13.


Supervise Consultant’s performance; 14.

Ensure that payments are made against agreed deliverables/outputs.

I.

Single / Sole Source Selection (a) Special Provisions The single sole source selection for an assignment should have been included in the procurement plan; if it is not, a no objection from the Bank is required.
This method does not provide the benefits of competition and transparency, so it is used in exceptional cases properly justified and approved.
The following table delineates steps necessary for completion of SSS and responsibility for their completion: Steps in SSS Responsibility Prepare the TOR and cost estimate (compatible with the market prices and available budget) and a justification for the single source selection of the particular consultant indicating the consultant’s full name, country of origin, whether eligibility and conflict of interest requirements are satisfied and why this is the only consultant who could execute the assignment IA Send the TOR’s, cost estimate and justification on the SSS and obtain the WB “No Objection” on the SSS.
CPD 1.

2.

34 Steps in SSS Responsibility Prepare the Letter of Invitation including the TOR and ask the selected consultant to submit a combined technical-financial proposal.

The invitation should be prepared taking into account Appendix 1 of the SRFP and the consultant should be requested to present a detailed breakdown of cost per activity/ deliverable and present a statement that the rate used are compatible with the latest firm’s payroll statements.
Appoint committee for evaluation of the received combined proposals and statements Review the combined technical-financial proposal.

Invite the selected consultant to negotiations.

Incorporate results of the negotiations in a draft Contract.

Obtain the CSTB’s approval to award the contract Obtain the WB “No Objection” on Contract to be signed.

3.

4.

5.

6.

7.

8.

9.

10.

Sign the Contract with the consultant.
Publish award on UNDB Online or in the same national newspaper of wide circulation and/or in the official gazette, provided that it is of wide circulation, or on a widely used website or electronic portal with free national and international access where the REI was published and dg market (can be done quarterly and in the form of a summarized table) Send copy of signed contract to the Bank (including completed Form 384 Receive the invoice for advance payment (if so specified in the Contract) and the bank guarantee by the contracted consultant, and pay the amount promptly to enable the work to begin.
Monitor/evaluate progress and report on performance Receive and approve deliverables as basis for payments 11.

12.

13.

14.

15.

Standard World Bank Bidding Documents CPD CPD CPD CPD CPD CPD CPD Borrower’s Authorized Representative CPD CPD IA & CPD IA & CPD World Bank standard bidding documents, SRFP and other agreed template documents shall be used.

Standard World Bank documents for ICB procedures can be retrieved from the World Bank’s web site: www.worldbank.org.
(See Annex 11) 35 Procurement Reports Procurement reports are submitted within the project progress reports every six months.

In addition, updates on procurement actions are reported upon in monthly project management meetings.

Procurement Filing Complete procurement files shall be maintained by the CPD.

The files shall provide separate information and documentation for each bid package, and each procurement activity shall be filed separately, in individual folders.
The following documents, as may be applicable, shall be maintained in the procurement files: 1.

Procurement notices (including General Procurement Notice) 2.

Requests for expressions of Interest 3.

Request for proposals (in case of consultant services), or bidding document (in the case of goods and works), or Invitations to Quote.

4. Letters requesting and responding to clarifications, between bidders and CPD, amendments.

5.
5.

Evaluation reports, including technical evaluations, individual evaluators’ sheets and signed declarations of confidentialities and CoI.

6.

CVs (in case of individual consultants).

7.

Copies of bids (including bid securities) proposals/quotations received.

8.

Correspondence to and from the World Bank.

9.

Contract documents and related amendments including copies of the performance securities.

10.
10.

Correspondence between CPD and contractors, suppliers or consultants, generated during contract execution, acceptance protocols, etc.

Records are stored in fire-proof cabinets, access to which is limited to the CPD Coordinator, Procurement Officer, and the Financial Management Specialist, Accountants, the external auditors and the World Bank.

Procurement Audit Independent Procurement Reviews (IPR) shall be conducted upon request by the World Bank.
World Bank staff will conduct ex-post reviews of Procurement activities once a year 36 37 SECTION 5 - ACCOUNTING PROCEDURES AND FINANCIAL MANAGEMENT This section details the accounting and financial management policies and procedures to be used in the implementation of the Project.

It incorporates all the covenants of the Agreements as well as those of the Government of St. Vincent and the Grenadines as specified in the Financial Regulations.
Financial Management Responsibility The Central Planning Division (CPD) will be responsible for coordinating the implementation and financial management of the project.

The Bank requires the establishment of a sound financial management system that will facilitate the production of accurate and timely reports to the Bank and GoSVG.
The financial management System (FMS) must include records and accounts for the preparation of the financial statements in a format acceptable to the Bank and reflects the operations, sources of funds and expenditures related to the project.

Financial Management Staff The CPD has three project accountants, one of whom is conversant with the World Bank’s project financial management requirements.
The specific skill sets/capacity required for using the World Bank’s procedures will be upgraded /strengthened through additional training provided by the World Bank, as required.

A detailed TOR for the Financial Management Specialist is provided in Annex 5.
The following are the details of the financial management arrangements: Design of the Financial Management System (FMS) The financial management system is designed to accomplish the following objectives: • outline and specify the accounting procedures to be used for the project, reflecting accountability and transparency; • ensure that the established procedures are adhered to in the disbursement of project funds; • ensure that all transactions are properly classified and accounted for; • ensure that reports required by the Bank and the GoSVG are prepared on a timely basis, in an efficient and effective manner; • define the procedures for creating, maintaining and safeguarding records and ensure that records are preserved and classified for easy access; • allow for the efficient audit of the project financial statements; 38 • ensure that all assets and liabilities are properly accounted for, with a detailed inventory of goods/equipment; and, • ensure that there are internal controls in place to foster the safeguarding of all assets.
Accounting System The accounting system used for this project is the Peachtree 2007 software.

The system should be set up to ensure that accounting information can be captured and reported via expenditure components, disbursement categories and activities as outlined in the legal agreements and procurement plan.
This system is designed to cover •••• •••• •••• internal control; flow of funds to support project activities; financial reporting arrangements including linkages to key performance indicators; and auditing arrangements.

Internal Control The internal accounting controls are designed to prevent or detect errors or irregularities, which would have an impact on the financial statements.
The accounting system to be used is Peachtree Complete Accounting complemented by various excel spreadsheets for cash books and various ledgers.

Flow of Funds The project will operate two bank accounts, which were opened at the Bank of St. Vincent and the Grenadines.
These are: •••• Regional Disaster Vulnerability Reduction Project US$ Designated Account (DA)– Account Number 9016 •••• Regional Disaster Vulnerability Reduction Project EC$ Project Account – Account number 135155 The US$ DA is a pooled US Dollar denominated bank account used to channel funds from the Bank to the Project.

This account will be operated in accordance with the procedures and guidelines set forth in the Bank’s Disbursement Handbook.

The initial deposit into the DA will be US$500,000.
Funds from the US Dollar DA will be periodically transferred to a Local Currency Account from which payments in local currency can be made.

Transfers from the US dollar denominated account to the EC dollar denominated account will be done via a letter of authorization to the Bank of St. Vincent and the Grenadines.

39 Withdrawals from the World Bank of amounts to be deposited into the DA shall be made by Application for Withdrawal supported by a Statement of Expenditure (SOE) and relevant supports.
Payments to be processed by Direct Payment by the Bank must be done in accordance with the World Bank’s Disbursement Handbook11.

Upon approval of each application, the amount requested will be deposited into the DA in order to finance eligible expenditures (representing approximately six months of expenditures) following the date of the report provided.

The CPD will control the DA and will be responsible for the requests for replenishment.
The Withdrawal Application Form must indicate the amount of funds required and the currency, usually US dollars, in which the funds are required.

The use of the IFR simplifies and accelerates the replenishment process since the review of documents for small payments would be eliminated.
The chart below illustrates the flow of funds within the Project: Summary Sheets/ SOEs/Applicat ions for CENTRAL PLANNING DIVISION Figure 2 – Flow of Funds Chart WORLD BANK Direct Payment US DOLLAR DESIGNATED ACCOUNT EC$ PROJECT ACCOUNT VENDORS Disbursement Arrangements Disbursements for the project will be made based on “Report-Based Disbursement” procedures - using Interim Financial Reports (IFR) - submitted to the Bank on a quarterly basis, within 45 days after the end of reporting period.
11 The Disbursement Handbook is accessible at http://go.worldbank.org/BSSV51JM00.

40 All letters of authorisation, cheques and payment vouchers should only be signed with appropriate supporting documentation (certified supplier invoices, purchase orders and requisition orders).

Payment Vouchers should be stamped, indicating the date paid and cheque number, then attached to the relevant supporting documentation.
In addition, after payment, all invoices must be stamped to ensure that payments are not duplicated.

All original records of receipts and payments, including; invoices, cheques, debit advices, credit advices, and bank reconciliation statements are maintained and filed by the Accounts section.

Authorization letters and purchase orders must be properly filed.
Disbursement Deadline Date The Disbursement Deadline Date is four months after the Closing Date specified in the Financing Agreement, the SCF-PPCR Loan Agreement and the SCR-PPCR Grant Agreement.

Any changes to this date will be notified by the World Bank.

Authorised signatories Persons authorized to sign the Application for Withdrawal to obtain replenishment from the World Bank are: 1.

Laura Anthony-Browne, Director of Planning 2.

Decima Corea, Deputy Director of Planning 3.


Edmond Jackson, Budget Director 4.

Godfred Pompey, Permanent Secretary Only one signatory is required for each application.

Recording project expenditure The proceeds from the World Bank expenditures as per the Legal Agreements must be journalized weekly in accordance with accounting unit’s detailed procedures once payment has been initiated.
The Accounting procedures should state in detail the process from the initiation of the Pro Forma until the expenditure is entered and approved in the system.

The Project’s Financial Management Specialist12 should ensure that all expenditures recorded in the accounting system are captured in the Government’s system at the Accountant General.

Component/Category (US$ millions) 12 The Financial Management Specialist for this project is the Project Officer II in the Implementation Unit of PSIPMU.
41 Component 1: Prevention and Adaptation Investments Component 2: Regional Platforms for Hazard and Risk Evaluation and Applications for Improved Decision Making Component 3: Natural Disaster Response Investments Component 4: Project Management and Implementation Support 30.9 26.2 2 2.4 Table 5 – Expen diture s by Comp onent Bank Reconciliation Statements Monthly bank reconciliations must be prepared on all bank accounts and signed by the Director of Planning or Deputy Director of Planning.
For the DA, the Financial Management Specialist will reconcile disbursements received with the World Bank’s disbursement system on a monthly basis.

A bank reconciliation for all bank accounts and a USD designated account reconciliation (per the Bank’s format) must also be submitted to the World Bank, together with a copy of the bank statement, when submitting a withdrawal application for replenishment of the Special Account.
Funds Receipts On receipt of funds from the World Bank into the DA, the commercial bank sends a credit advice to the CPD and also to the Accountant General’s Department.

The Financial Management Specialist will record the amount received in the project’s accounting system.

Procedures for Payment to Vendors The Bank requires proceeds of the credit to be used economically, efficiently and only for the purposes for which the financing is provided as described in the credit agreements.
The Procurement Specialist is responsible for vetting the Purchase Order and sends this on to the Financial Management Specialist who commits the funds.

42 For the payment of eligible expenditures the following steps will be performed: 1.

Once the bill is received, it is date stamped.

2.

The Financial Specialist ascertains that the expenditure was properly verified by the Deputy Director of Planning or Procurement Specialist.

a.

Ensures the expenditure disbursement category.


is allocated to the appropriate component and b.

The Financial Specialist then processes the payment.

3.

The Financial Specialist prepares the letter of payment, attaches supporting documents, including purchase order, copy of contract, vendor invoice and goods received note.

4.
4.

The letter of payment is passed to any two of the following signatories for signature: Laura Anthony-Browne, Director of Planning • • Decima Corea, Deputy Director of Planning • Ingrid Fitzpatrick, Accountant General • Godfred Pompey, Permanent Secretary The letter should give clear instructions to the Bank as to payee’s name, the account/s to be debited and the amount to be debited.
Bank payments can be made by way of telegraphic transfers, bank draft or direct transfer.13 1 When a payment is made by way of telegraphic transfer, details such as the ones below should be clearly stated: •••• Payee’s name •••• Payee’s address •••• Payee’s bank name •••• Payee’s bank account number •••• ABA/Routing Number.

2 The letter to be sent to the Bank, together with the attached invoice, should be sent for the first signature.

The letter is then sent for the second signature.


World Bank Replenishment, Reimbursement and Direct Payments Replenishment, Reimbursement and Direct Payments are methods that would be used to request funds from the World Bank.

The withdrawal applications supported by the Statements of Expenditure (SOEs) or summary sheets where applicable will be used to replenish the DA.
13 Telegraphic transfer can be used for making overseas payments; Bank draft is used for both local and overseas payments; and Direct transfer is used when making local payments.

43 Before withdrawals from the World Bank can begin, the following must occur: 1.

The credit must be declared effective by the World Bank, following compliance with all conditions specified in the credit agreement and the General Conditions.
2.

The World Bank must receive evidence of authority to sign withdrawal applications (the GoSVG designates which officials may sign withdrawal applications and provides copies of their authenticated specimen signatures).

This letter is signed by the Minister of Finance on his letterhead.

3.
3.

Disbursement conditions, including: (i) establishment of causal relationship between the relevant emergency and the need to trigger Component 3, and (ii) preparation and submission to the WB of an acceptable proposed Action Plan of Activities.

Replenishment Application for Withdrawal for replenishment of the DA should be done on a timely basis to ensure the availability of funds to meet expenses.
The first application is to request the initial advance (US$ 1,000, 000) representing the authorized allocation or a part thereof as specified in the credit agreement.

It must include a completed application for withdrawal, but requires no supporting documentation.
However, prior to requesting the initial advance, the CPD must have done the following: (1) opened the Special Account in USD in a commercial bank acceptable to the World Bank, and (2) obtained a comfort letter from the depository bank and submitted the letter to the World Bank.

to (replenishment requests) are made All subsequent withdrawal applications request replenishments into the DA for payments already made (all replenishment applications to the USD DA must be in USD).
The application, together with SOE’s and/or Summary Sheets and Summary of Categories, must be prepared and signed by at least one authorized signatory and sent to the World Bank, together with a bank reconciliation statement.

The disbursement letter will indicate the types of expenditure for which no supporting documentation other than the SOE is required and the contract value below, which SOEs are to be used (expenditures not subject to prior review).
For other expenditures (above the prior review threshold), the Summary Sheets must be accompanied by full supporting documentation.

SOE forms and summary sheets must set out the appropriate details for each expenditure.

The application package should also include the bank statement for the DA and Reconciliation Statement.

The borrower keeps the supporting documentation in a central location for examination by independent auditors and Bank staff during supervision missions.
If the Bank requires supporting documentation (as in the case of payments against contracts above the SOE limit, generally the same as contracts requiring prior review), copies of procurement documentation should have been forwarded to the Task Manger at the Bank for approval prior to contract award and payment.
For expenses above the SOE limit, after the “no-objection” has been obtained from the Task Manger at the Bank, the relevant procurement documentation should be forwarded to the Disbursement Department of the Bank prior to requesting reimbursement on the SOE.

One copy of each of the following supporting documents is normally given to the Bank: 44 1.

Supplier’s or consultant’s invoice or a summary statement of work performed signed by the supervising engineer or other authorized official.

2.
2.

Evidence of shipment (for equipment and materials purchased); this can be one of the following: copy of the bill of lading or forwarder’s certificate.

3.

Evidence of payment; this can be one of the following: receipted invoice, formal receipt or commercial bank’s report of payment.

Direct Payment Payment can be made directly by the World Bank to a third party for goods, works and services.

An Application for Withdrawal is prepared.


The borrower must provide supporting documentation and give clear instructions to the Bank as to: 1.

Payee’s name and address 2.

Payee’s bank name and address 3.

Payee’s bank account number and Swift Code 4.

Sort Code 5.
Sort Code 5.

Country where payee is located Audit Arrangements The Project’s financial statements shall be audited in accordance with provisions of Section 4.09 (b) of the General Conditions by independent auditors and following a TOR that is acceptable to the Bank.

The audit report will include supporting schedules providing sufficient information on the project (i.e.

Sources and Uses of Funds, Statement of Expenditures (SOE), and the Designated Account Reconciliation).
The amounts in these financial statements would be required to be reconciled with the amounts in IDA’s disbursement records and should be expressed in USD.

The audit report shall cover the period of one fiscal year and shall be transmitted to the World Bank no later than six months after the end of the fiscal year.
Detailed supporting documentation, including certification for expenditures, will be kept by the CPD for at least one fiscal year after the Bank has received the audit report for the year in which the last withdrawal from the Credit account was made and submitted to the Bank.

For all contracts requiring the Bank's prior review, full documentation will accompany “no-objection” requests.
Detailed documentation will be retained by the CPD for inspection during supervision missions and for audit by external auditors acceptable to the Bank.

Financial Reporting Requirements 45 The CPD is currently using a computerized accounting system, which would be adequate for preparing timely financial reports for the project.

The system is designed in such a way to ensure that the procedures conform to the following official Bank documents: 1.

The Disbursement Handbook 2.

The Financing Agreement 3.


The Procurement Guidelines and Handbooks for Consultants Services Goods (prepared by the World Bank) 4.

Audit Agreement Standards (manual listing the requirements of the auditors) The CPD will ensure that information is timely and reliable.

Annual financial statements detailing the projects’ performance for each financial year will be prepared.

To monitor project implementation, interim statements and management reports will be prepared quarterly and yearly.
Financial Reports are to be provided to the following organisations: • World Bank (quarterly basis and annual) – via client connection and emailing a soft copy to the TTL and copying the Financial Management unit • Ministry of Finance and Economic Planning (quarterly) – 1 copy Required Reports Several financial reports are required to be sent by the CPD to the Bank at various time intervals.

These reports include the IFR, the audit report and bank reconciliation statements.
The procedural flow for developing each financial report can be found in Annex 6 of this Manual.

(i) Interim Financial Report (IFR) The IFR covers a three-month period and is submitted no later than 45 days after the end of the quarter.

The modified cash accounting model is being used for this project.

The financial management specialist is responsible for compiling the financial section of the report, while the procurement specialist is responsible for the procurement plan.
The IFR will form the basis for the bank’s disbursement of project financing provided it is: i) prepared within the framework of an acceptable financial management system; ii) submitted in the standard format; and, iii) fulfils all other requirements.

The standard reporting format is provided in Annex 7.
The IFR will be submitted in two parts, viz: Part 1 – The Financial Report 1-A Project Sources and Uses of Funds 1-B Uses of Funds by disbursement Category 46 1-C Uses of Funds by Project Activity 1-D Project Cash Withdrawals (Disbursements) 1-E Designated Account Reconciliation Statement 1-F Project Forecast 1-G Bank Reconciliation Statements for all accounts 1-H Bank Statements for all accounts Part 2 – Procurement Plan 2-A List of contracts requiring prior approval 2-B Contracts subject to post review Copies of the IFR must be submitted to the following persons/organisations: 1.
The World Bank - supported with a signed withdrawal Application Form 2.

Director General, Ministry of Finance and Economic Planning 3.

File copy within the CPD (ii) Audit Reports The Bank requires the GoSVG to submit annual audited financial statements, no later than six (6) months after the end of the fiscal year ending on December 31.
The Audit Report includes: a) Certified copies of the Financial Statements b) An opinion on the Financial Statements, Designated Accounts and internal controls as outlined in the Terms of Reference issued to the Auditors c) A management letter describing the internal control system weaknesses and management’s response The project financial statements for the audit covers all project funds, and should include summary statements of Special Account transactions as well as IFRs submitted during the year.
(iii) Bank Reconciliation Statements Monthly bank reconciliation statements of the two bank accounts must be prepared; one for the US Dollar Designated Account, and one for the EC dollar Project Account.

Reconciliation Statements must be maintained for both bank accounts that serve to assist in monitoring disbursements against amounts allocated/budgeted.

The Cash book, along with payment vouchers, credit advances and receipts will serve as control and will be able to identify cash movements.
Reconciliation statements must be printed monthly and filed.

Two copies of the Bank Reconciliation Statements are required: 47 • Ministry of Finance and Economic Planning • one copy for file for CPD (iv) Recording of Fixed Assets A fixed asset register will be maintained by the Financial Management Specialist to record details of items procured, and the locations of these assets, when goods are received.
Yearly inventory lists will be prepared by the receivers of fixed assets in accordance with GOSVG requirements.

A copy of the Monthly Reconciliation report, the Peachtree report, and the Monthly Expenditures Report shall be submitted by the financial management specialist to the Ministry of Finance and Economic Planning for their records.
48 SECTION 6 – SAFEGUARDS AND SUSTAINABILITY Sustainability The GoSVG recognizes that the sustainability of infrastructure investments, and of its physical development planning in general, is conditioned on improving the understanding of adaptation options to strengthen their resiliency to disaster and climate risks.
The disaster vulnerability reduction works and capacity-building initiatives at technical and policy levels implemented under the project will require the ownership of the participating national authorities and the participation and support of local communities as well as the continued support of regional technical agencies.

Safeguards Supervision for safeguards compliance will be managed through the CPD under Bank supervision.
In addition to Bank requirements, the CPD will be responsible for ensuring the proper application of any national social and environmental requirements.

Civil works contracted by the CPD are supervised by the MoTW under the direction of MoTW’s Chief Engineer.

Guidelines on social and environmental management and compliance for each safeguard triggered under the project can be found below.
OP/BP 4.01 – Environmental Assessment In accordance with Bank environmental safeguards requirements, this programme has been classified as Category B.

Works proposed under the programme are largely rehabilitation and retrofitting of selected infrastructure and public buildings, and impacts are generally associated with the actual construction phase of the works activities.
Limited new constructions could be included in individual sub-projects such as water supply improvements, as well as some road stabilization works, coastal defense works, and flood mitigation works such as river defenses and bridges.

The Government prepared an Environmental Assessment (EA) examining project activities and providing an environmental framework to guide project execution.
These would include two groups of projects: those which involve more complex environmental conditions and/or potentially significant environmental effects (if unmitigated) and which will therefore require a separate stand-alone Environmental Impact Assessment (EIA) specific to that particular subproject; and, those comprising uncomplicated rehabilitation works where the impacts are limited to the construction phase and are minimal (e.g.
repair and retrofitting) and which can be addressed through standardized or generic mitigation measures.

49 For uncomplicated activities, draft construction contract clauses are included in Annex 8.

These clauses may be modified as needed and included in the works contracts as an Annex constituting the Environmental Management Plan (EMP).
For more complex sub-projects requiring EIAs, the assessments will be completed prior to initiation of the works in order to evaluate potential impacts and establish the corresponding environmental requirements for the design and construction phase of the activity.

Draft TORs for an EIA are included in Annex 9.

All such sub-projects in the procurement plans would be subject to prior review.
Subsequently, an Environmental Management Framework (EMF)14 was prepared to update and expand the EA by providing screening methods and procedures for the application of Bank safeguards, including guidance on the scope of studies necessary to complete for each subproject, criteria for triggering additional studies in the case of complex or significant activities, and a generic Environmental Management Plan (EMP) for use in simple situations where activities need no additional assessment.
It is likely that the majority of works will be relatively minor in nature and involve simple civil works where the environmental impacts are limited to the construction phase, requiring only the application of a standardized generic EMP.

However, any exceptions will be identified during screening in the EMF, and subject to additional assessment work.
The potential impact to natural habitats (OP/BP 4.04) and the potential impact to physical cultural resources (OP/BP 4.11) are used to determine if a subproject or activity is environmentally complex or may have potentially significant impacts if unmitigated.

.
.

The criteria to determine if OP/BP 4.04 has been triggered is whether or not a specific activity or subproject would potentially affect land or water areas where the biological communities are formed largely by native plant and animal species where human activity has not essentially or heavily modified the area's primary ecological functions.
The criteria to determine if OP/BP 4.11 has been triggered is whether or not a specific subproject or activity would potentially affect objects, sites, structures, natural features or landscapes that have archeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance.
In cases where it is suspected that a specific subproject or activity could meet these criteria and trigger the safeguard policy, due to the presence of sensitive or complex environmental or socio-cultural conditions, the screening procedure would result in a positive determination and such subproject would require a separate EIA.
Based on a preliminary screening and review of the subprojects in the EA and during safeguards supervision missions, most will require only the inclusion of the standardized and generic mitigation measures in the EMP (Annex 8).
Subprojects identified which will potentially require separate stand- alone EIAs include, Dark View/Troumaca/Petit Bordel slope stabilization, Paget Farm Road and Georgetown Coastal Defense; in addition, the Sandy Bay Coastal Defense and the Fenton Road / Green Hill project may also require additional stand-alone EIA studies because of sensitive or complex environmental or socio-cultural conditions.
Throughout implementation the specific conditions of individual subprojects should be evaluated as they are defined in greater detail through this screening process to determine if they require stand-alone EIA studies to better understand complex environmental conditions, and to design and select the most appropriate environmental mitigation measures and customized EMPs to include in contracts for specific civil works.
14 http://www.gov.vc/images/stories/pdf_documents/final_emf_apr_01_2014_redisclosure3_final2.pdf 50 OP/BP 4.12 – Involuntary Resettlement A Social Assessment, Resettlement Policy Framework (RPF), and attendant Grievance Redress Mechanisms have been completed and published on the official government website, www.gov.vc .

Social safeguards issues will be addressed in accordance with the RPF.
A part time social safeguards specialist will also be hired during project implementation to ensure that the project is implemented in accordance with the RPF.

Under Bank Social Safeguard requirements, it was determined that several activities could involve land acquisition or resettlement, and the Involuntary Resettlement Safeguard (OP/BP 4.12) has been triggered.
OP/BP 4.12 requires “screening” of all projects proposed for Bank financing to help ensure that they take social concerns into account with respect to adverse impacts on project affected people (PAP’s) and to appropriately plan for and respond to these impacts, and thus improve decision making about resettlement, options, alternatives, participation of PAP’s and compensation.

The policy includes activities to address and mitigate these risks.
To this end, a Social Assessment was undertaken during project preparation to determine the impact of project activities on local communities, including vulnerable groups, land use, crops, buildings and other property.

The Social Assessment is publicly available on the Government of SVG website.
Furthermore, during project preparation, a Resettlement Policy Framework (RPF) was completed to clarify resettlement principles, organizational arrangements, and design criteria to be applied to subprojects to be prepared during project implementation.

The RPF is publicly available on the World Bank website15 as well as the Government of SVG website.

Subsequently, the Social Assessment, RPF were updated in 2014 and Grievance Redress Mechanisms were developed.
These new documents have been published on the World Bank and Government of SVG16 websites.

Monitoring and Evaluation of Environmental and Social Safeguards Supervision for environmental and social compliance will be managed through the CPD with support from the Bank.

In addition to Bank requirements, the CPD will be responsible for ensuring the proper application of any national social and environmental requirements.
The CPD will continue to staff a social specialist as well as an environmental specialist or engineer to assist with project supervision especially as involves inspection of works in the field.

The CPD may use the same engineer who already has experience supervising similar projects for the Hurricane Tomas Emergency Loan, which will further enhance the supervisory capacity of the CPD.

The implementation of environmental management procedures shall rest with the MoTW and shall be supervised by the CPD.
The executing agency shall be responsible for direct supervision and implementation of works.

Environmental management plans (EMPs) shall be included in bidding and 15http://www- wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2011/05/04/000333037_20110504012850/Rendered/PDF/RP11410v 10P11787101public10BOX358346B.pdf 16 http://www.gov.vc/indsex.php?option=com_content&view=article&id=325&Itemid=219 51 contracting documents and shall be presented for approval of the CPD.
These plans shall be reviewed, along with other contract documentation, by the CPD for presentation to the Bank.

The executing agency shall designate a field representative who shall conduct periodic inspections to assure environmental compliance.

These reports shall be forwarded to the CPD for inclusion in the contract performance documentation.

52 SECTION 7 – PROJECT MONITORING AND EVALUATION Monitoring Monitoring of project progress will be managed by the CPD.
The CPD will utilize already existing mechanisms to perform the monitoring functions.

The World Bank team will assist the CPD in tracking performance indicators during missions.

Monitoring system The CPD is responsible for monitoring of and reporting on performance indicators.

Progress on the indicators will be reported to the Bank semi-annually in the context of Bank supervision missions.
Monitoring of the project will be carried out on a continuous basis, from the commencement to the in communicating the progress of the is essential completion of the implementation and the adherence to the contract and requirements of the GoSVG and the Bank.

implementation.

This The CPD will rely on information from the line ministries’ focal points to inform sectoral results from project activities.
Information provided will include; physical quantities, expenditure and pertinent issues in the monthly report and meetings as arranged with the CPD.

Periodic site visits will be performed by the CPD or any official authorized by the GoSVG or the World Bank.

The project monitoring and evaluation system will have three levels: (1) at the CPD level, (2) at the line ministries level and (3) at the field level.
This monitoring and evaluation will be supplemented with consultant’s inputs and World Bank missions.

The regular reporting of these agencies and updating of implementation progress data drawn from the updates by the stakeholders in the project at difference levels/activities will assist the CPD in providing timely interventions.

It will also help remove impediments in project implementation and build the capacity of stakeholders involved and benefiting from the project.
The results and monitoring framework is provided in Annex 10 Monitoring Indicators Baseline studies have been carried out at the beginning of the project to facilitate the evaluation of the effectiveness of the project during implementation according to the established qualitative and quantitative result level indicators of the project.

Additional studies will be carried out and compared with the established baseline at the completion of the project (4 months before the closing of the project).
The Results and Monitoring Framework can be found in Annex 10.

53 Project Reports The GoSVG, as part of its monitoring and evaluation function is required to produce and furnish to the Bank a number of reports on the implementation of the project and the progress achieved at various interval in the life of the project.
These include: Project Progress Report These reports are to be completed in accordance with the provision of Section 4.08 of the General Conditions and on the basis the indicators agreed to with the Bank.

Each report will cover a period of six calendar months and shall be submitted to the Bank not later than forty five (45) days after the end of the reporting period.

Mid-Term Review This report is to be completed on or about twenty four (24) calendar months after project effective date.
The report, apart from providing information on the achievements of the project, must also provide recommendations to ensure the efficient implementation of the project thereafter.

Once submitted, the report must be discussed with the Bank one month after its submission to the Bank.

Project Completion Report In keeping with Section 4.08 (c) of the General Conditions, a report on the execution of the project shall be submitted to the Bank not later than six months after the project closing date.
The project can provide support for the strengthening of monitoring and evaluation systems under Component 3.

Staff Evaluation The Head of the PSIPMU will oversee the day to day operations of the project and will be responsible for all aspects of project implementation, including managing the work of all staff.

The Head of the PSIPMU will reports to the Director of Planning.

54 SECTION 8 – REPORTING This section provides a summary of the reports and reporting mechanisms discussed throughout the manual.
Descriptions of the reports are provided below: Project Progress Reports These reports shall be submitted to the World Bank in accordance with section 5.08 of the General Conditions.

The schedule for their submission is provided in Section 7 above.

Mid-Term Report On or about twenty four (24) months after project effective date, the GoSVG is required to submit to the Bank, a mid-term report documenting the progress achieved in the project during the period preceding this report.
The report should take account the monitoring and evaluation activities performed during project implementation and should also recommend measures to ensure the efficient implementation of the project and the achievement of the project objectives for the remaining project implementation period.

Once submitted, and pursuant to the legal agreement, the GoSVG is required to review the mid-term report with the Bank, one month after its submission.
Project Completion Report The final report on the execution of the project is to be submitted to the Bank not later than six months after the closing date of the project.
Interim Financial Report The Interim Financial Report summarizes the sources of project financing, with uses of funds summarized under the disbursement categories in the Grant/Credit/Loan Agreements, project expenditure by components and sub-components consistent with those in the Project Appraisal Document (PAD), project cash withdrawals, special account statement and project cash forecast.

A detailed explanation of the IFR can be found in Section 5 of this Manual.
The financial reports are to be provided to the following organizations: 1 World Bank 2 The Government of Saint Vincent and the Grenadines 55 Financial Audit Report Financial Audits will be carried out by a qualified independent firm, and a report furnished to the Bank no later than six months after the end of each financial year.

The audit will verify the financial statements and reports for the period.
56 ANNEX 1 – TERMS OF REFERENCES – PROJECT MANAGEMENT SUPPORT PROJECT COORDINATOR Summary The position of Project Coordinator is a contracted full-time staff position.

Work will be performed on site at the office of the PSIPMU located in Saint Vincent.

The Project Coordinator shall be responsible for the day to day management, coordination and implementation of the RDVRP.

The Project Coordinator will coordinate RDVRP project activities with other operations under the responsibility of the PSIPMU.
The Project Coordinator will liaise closely with relevant line ministries within the GoSVG, and with the World Bank project team.

The Project Coordinator will organize and plan project implementation activities and will manage project staff efforts in project development and planning, preparation, and execution.

The Project Coordinator shall also be responsible for ensuring project activities are conducted in accordance with GoSVG and World Bank requirements.
The Project Coordinator shall direct and organize project implementation activities and will manage project staff efforts with respect to contracting, financial management and reporting, contract supervision and other relevant aspects of RDVRP operations.
The Project Coordinator shall be responsible for ensuring that GoSVG line agencies are appropriately involved with project activities, particularly with respect to the Ministry of Transport and Works (MoTW), which will be the technical lead agency for construction works activities.
Duties and responsibilities The Project Coordinator will be supported by RDVRP project staff in matrix with PSIPMU staff and administrative personnel, and will be required to coordinate and monitor all aspects of the implementation of the RDVRP.

Specifically, the Project Coordinator will be required to: 1.

Plan and manage RDVRP operations and develop strategic plans for project implementation.

2.

Organize and manage RDVRP office operations, staff efforts and workload allocation 3.
Advise and regularly report to the Director of Planning on RDVRP project implementation activities, program plans and recommend project implementation strategies.

4.

Supervise and manage activities within the RDVRP project team in coordination with the PSIPMU and ensure timely reporting and preparation of project documentation as needed particularly with respect to Bank project reporting requirements and requests for World Bank No Objection.

5.
5.

Manage and direct RDVRP project team efforts with respect to procurement, execution and supervision of all project activities.

6.

Manage and direct RDVRP project team activities and coordinate line ministry support required for efforts in the procurement of works including related studies, design, planning and construction implementation of all construction contracts; 57 7.

Engage and coordinate appropriate line ministry and stakeholder support as needed to advance project objectives.

8.
8.

Liaise and coordinate with the World Bank project team on all technical and administrative aspects of the Projects and participate in World Bank missions; 9.

Prepare monitoring reports particularly quarterly monitoring reports for submission to the World Bank.

10.

Manage the supervision of the technical consultants, including review of the progress reports and work products prepared by the Engineering Consultants.

11.
11.

Perform other related duties as assigned by the Director of Planning Qualifications Prospective candidates should have a minimum of the following qualifications: - Minimum of a Bachelors Degree or equivalent in business or engineering management or related discipline and a minimum of 10 years overall professional experience including at least 5 years experience in managing programs with Multilateral Development Banks (MDB’s) and Inter-American international donors such as e.g.
The World Bank, Development Bank, European Union etc.

Demonstrated experience with management of multidisciplinary programs particularly with a strong engineering component.

Strong interpersonal and organizational skills - - Demonstrated experience in projects focused in the Eastern Caribbean 58 SENIOR ENGINEER Summary The position of Engineer is a contracted fulltime position.

(S)He will work in the office of the MoTW.


The Engineer will support the technical functions of the Chief Engineer in managing the RDVRP-HTERP infrastructure portfolio and act as the link between the PSIPMU and the MoTW.

He will assist in developing the proposed RDVRP additional finance - including appraising new sub- projects.

He shall be responsible for the implementation of ongoing World Bank funded projects and support the World Bank on behalf of the MoTW in the development of new projects.
The Engineer will coordinate with the procurement officers within the PSIPMU and will liaise closely with the World Bank project team and the MoTW under the direct supervision of the Chief Engineer.

The Engineer shall also be responsible for ensuring project activities are conducted in accordance with the Government of Saint Vincent and the Grenadines and World Bank requirements.
The Engineer shall be responsible for ensuring that other appropriate line agencies are involved in the implementation of on-going World Bank Projects and liaise with them in the development of new projects.
Duties and responsibilities In carrying out the scope of responsibilities mentioned above, the Engineer will be required to: i) ii) iii) Review and approve design, bill of quantities, technical specifications’ and cost estimates before it is provided to the PSIPMU for the development of the bidding documents for the projects outlined in the current Procurement Plan; Interact with the PSIPMU in review of the final bidding documents before it is sent to the World Bank for no-objection; Provide support to the PSIPMU in responding to the World Bank technical comments and bidder’s/consultants technical clarifications on the bidding documents /Request for Proposals; iv) Review the draft contracts and provide input to the PSIPMU; v) Conduct meetings with the contractors and provide periodic construction site visits to report to the PSIPMU, in terms of progress status, problems and remedial actions; vi) Provide support to the PSIPMU in resolving any technical issues resulting from the construction activities.
Review contract variation change orders if required by the PSIPMU; vii) Provide input to the World Bank in preparation of Project Appraisal Documents or any other input required by the World Bank in the development of the new projects; and viii) respond to others requests regarding the implementation of the portfolio of projects within the MoTW, as required.

Reporting The Engineer will report in matrix to the Chief Engineer of MoTW and the Director of Central Planning within the MoFEP.
Qualifications and Experience Prospective candidates should have a minimum of the following qualifications: 59 1.

A Masters Degree with 5 years experience or a Bachelors Degree with 10 years experience in a Civil Engineering discipline, Project Management, Construction Management or a related subject, together with a minimum of 10 years’ experience in the management and implementation of civil engineering projects.

2.

Experience with the management of donor/public sector projects.
60 PROCUREMENT ASSISTANTS Summary The position of Procurement Assistant is a contracted fulltime position.

(S)He will work in the PSIPMU office and support the functions of the procurement staff.
Duties and responsibilities • Assist with consolidating requests and technical specifications for procurement of goods, works, technical and consulting services; • Assist with preparing procurement documents (e.g., invitations to bid, standard bidding documents, specifications, bid clarifications and eventual amendments, bid evaluation reports, etc.)
and arranging advertising for the procurement of goods, works, technical and project; consulting required services, the for • Assist with organizing and managing bidder conferences, conducting the bid opening process and preparing the minutes of bid openings, in due time for bid evaluations; • Support the evaluation committees, ensure proper documentation of committees’ deliberations and findings, and assist with preparing evaluation reports; • Assist with preparing proposed notifications for contract awards, drafting of contracts, forwarding of copies of signed contracts to the World Bank (Bank); monitoring of proper and timely delivery and organizing of the distribution of all procured items complying with the contracts and within the envisioned procurement plan; • Assist with tracking progress of procurement activities against the plans set forth in the Project Implementation Plan; highlighting variations in progress, recording reasons and maintaining procurement tracking system; • Assist with preparing periodic procurement progress reports and updating list of completed, on-going, planned contracts and contracts subject to the Bank’s post review; • Work with office and computer equipment in preparing and copying bidding documents, evaluation reports, contract documents, acceptance certificates and procurement reports.
• Respond to other procurement requests regarding the implementation of the portfolio of projects within the PSIPMU, as required.

Qualifications and Experience • A Bachelors degree in management, law, civil engineering, or related discipline.

61 • Experience with donor programs and knowledge of procurement regulations used by multilateral or bilateral donors (for e.g.

The World Bank, Caribbean Development Bank, European Union, etc.)

would be considered an advantage.


62 SENIOR QUANTITY SURVEYOR Summary The position of QS is a contracted fulltime position.

(S)He will work in the office of the MoTW.

The QS will support the technical functions of the Chief Engineer in managing the RDVRP infrastructure portfolio.

He will assist in the implementation of ongoing World Bank funded projects.
The QS will coordinate with the procurement officers within the PSIPMU and will liaise closely with the World Bank project team and the MoTW under the direct supervision of the Chief Engineer.

The QS shall also be responsible for ensuring project activities are conducted in accordance with the Government of SVG and World Bank requirements.
Duties and responsibilities The QS will be mainly responsible for providing support to the Chief Engineer in all technical matters relating to planning, design, and implementation of the civil work activities under the infrastructural aspects of the projects.

Specifically, the duties of the QS will be to: 1.


Provide support for reviewing the Ministry’s unit cost data bank and making recommendations in updating of the data bank with an objective of comparing the unit prices of new bids received prior to recommending for contract award.

2.

Prepare bills of quantities for works contracts.

3.

Carry out engineering surveys of new project sites and prepare engineering estimates.
4. Review bills of quantities for all civil works contracts in the process of preparing bid evaluation reports, making justification for the lowest evaluated bidder taking into account the market unit rates.

5.

Prepare budget proposals for maintenance, rehabilitation and construction of new works.

6.
6.

Provide support in the management of construction contracts by: - Attending site meetings - Reviewing sub-contractor quotations and approving sub-contract orders - Preparing cash flow forecasts - Preparing interim and final account valuations - Updating cost estimates.

7.

Respond to other requests regarding the implementation of the portfolio of projects within the MoTW, as required.
Qualifications and Experience • Minimum of a Bachelors degree in Civil Engineering and or Quantity Surveying • Minimum of 7 years experience including at least 5 years experience in professional practice • Membership in the Royal Institute of Chartered Surveyors at least at the Associate level would be an advantage.
63 ANNEX 2 – RESPONSIBILITIES OF THE STEERING COMMITTEE The role of the Project Steering Committee is to: • Assess project progress • Provide advice and guidance on issues facing the project • Assist with resolving strategic level issues and risks • Use influence and authority to assist the project in achieving its outcomes Responsibilities of the Steering Committee Chair The Steering Committee Chair is the Director of Planning.
Should the Chair be unable to attend a meeting, the Deputy Director of Planning will serve as Committee Chair.

The responsibilities of the Steering Committee Chair are as follows: • Sets the agenda for each meeting.

• Ensures that agenda and supporting materials are delivered to members in advance of meetings.

• Makes the purpose of each meeting clear to members and explains the agenda at the beginning of each meeting.

• Clarifies and summarizes what is happening throughout each meeting.
• Keeps the meeting moving by putting time limits on each agenda item and keeping all meetings to two hours or less.

• Encourages broad participation from members in discussion by calling on different people.

• Ends each meeting with a summary of decisions and assignments.

• Follows up with consistently absent members to determine if they wish to discontinue membership.

• Finds replacements for members who discontinue participation.
64 Responsibilities of Steering Committee Members Individual Steering Committee members have the following responsibilities: • Understands the goals, objectives, and desired outcomes of the project.

• Understands and represents the interests of project stakeholders.

• Takes a genuine interest in the project’s outcomes and overall success.

• Acts on opportunities to communicate positively about the project.
• Ensures that the project is making prudent decisions – especially in procurement and in responding to issues, risks and proposed project changes.

• Checks that the project is aligned with the strategy as well as policies and directions across government as a whole.

65 ANNEX 3 – TERMS OF REFERENCE : PROCUREMENT/CONTRACT MANAGEMENT SPECIALIST Summary The Procurement/Contract Management Specialist will perform in a dynamic and proactive manner the following tasks.
The specialist will perform similar activities under other WB’s financed projects.

Qualifications/ Experience • Engineering or Project Management degree with a minimum of 10 years experience in managing projects and handling procurement at international level.

• Experience with donor programs and knowledge of procurement regulations and bidding documents used by multilateral and/or bilateral donors.
• Experience in contract management, supervision of goods and works and handling claims • Experience in training in Bank’s procurement procedures, and practical experience in application of WB’s rules, use of bidding documents and consultant’s selection procedures and documents.

• Experience in working with Government is desirable.

• Demonstrated ability to work in teams within a collaborative mode.

• Fluency in English and good communication skills.
Duties and Responsibilities • Assist with project implementation generally and report on all matters relating to procurement of goods, works and services (including civil works and related consulting services, furniture, equipment, materials and supplies, fellowships and training, and specific services provided by individuals) under the project and provide systematic, timely information for use by the Government and the funding agencies on the procurement of all civil works, goods and services for the RDVRP • Prepare and update the project procurement plan and corresponding budget for tracking purposes, identifying if the bids are for international or local tender, the timing of each procurement.
• Provide support in preparation and review of Bidding Documents, Request for Proposals (RFP), and Expressions of Interest including standardized Forms to be used for NCB, International and Local Shopping, Direct Contracting, Consultants Selection etc.

66 • Ensure timely publication of the annual General Procurement Notices (GPN), Specific Procurement Notices (SPN), and requests for Expression of Interests (EOI) when required.
• Maintain a Register of qualified suppliers and consultants and ensure periodic update of the Register.

• • Interact with the Government’s and technical officers, for coordination of the preparation of Terms of Reference for Consultants and Specifications/Drawings/ Bills of Quantities for goods and works.
Initiate and coordinate the procurement process for any procurement method, and provide support in the selection of the short lists consultants and pre-qualification of suppliers or contractors where necessary.

• Coordinate the response to the inquiries from tenderers or consultants.
• In cases of procurement actions requiring the Bank’s “no objection”, coordinate the dispatch of procurement documents to the Bank, monitor the Bank’s response time on issuing “no objections” at different levels of the procurement process and follow-up accordingly.

• Conduct any pre-tender meetings or site visits.


• Assist in the coordination of the Evaluation Committee meetings, including any bid opening session, and assume the role of the Committee’s secretary if required in recording the minutes of the meetings.

• Prepare the minutes of the Evaluation Committee meetings, and assist the Central Supplies Tenders Board for bidding and evaluation purposes as required.

• Assist in the preparation of any tenders evaluation report and proposals evaluation report.
• Provide support in preparation of the final contracts, and ensure timely distribution of all relevant procurement and contract documents to all stakeholders (Government, Accounts Department, Technical Officers, Consultants, Suppliers, and the Bank).

• Monitor timely receipt of the Goods, provisional acceptance of works and consultant’s monthly status reports.
67 • Monitor the issuance of final acceptance certificates by the Project in respect to delivery of goods, handing over of works, completion of services.

• Monitor the receipt of the Suppliers and Consultants invoices and ensure the request does not exceed the contract allowance.

• Where required payments exceed the contract amount, verify the validity of the invoice, and prepare a request for “no objection” from the Bank for extension of supplies or services.
• Assist in dealing with any claims during implementation or any dispute or arbitration arising from performance of the contractors/ suppliers/ consultants.

• Maintain the performance-monitoring database for all suppliers and consultants.

• Maintain and update the Project’s procurement filing system, and ensure timely input of all relevant documents in their respective files.

• Provide intensive procurement training program for national staff that might be appointed for implementation of the Project.
• Establish and maintain an inventory of final destinations of all goods/equipment procured under inventories of all goods/equipment supplied to individual schools; Manage the distribution of furniture, equipment, materials and supplies procured under the project to the end-users.
including specifically the projects, • Keep records for performance of goods and services, and brand names procured from various manufacturers for evaluation with regard to performance requirements of the Ministry of Education in order to construct and maintain a performance portfolio of experiences for the Ministry.

• Carry out actions necessary to acquire and maintain insurance policies consistent with IDA guidelines, and to require and maintain equipment service agreements.
Specific Responsibilities In assisting in the above areas, the Procurement/Contract Management Specialist will: • Establish and maintain records of, and monitor schedules and compliance with, procurement procedures pertinent to International Competitive Bidding, Limited International Bidding and local Competitive Bidding under the RDVRP for all goods, works and services including training and expert services.
68 • Establish and maintain records of all schedules and bidding documents on procurement under the RDVRP, for processing and for the file records of the CPD.

• Prepare and submit to the Director of Planning, bidding documents for procurement of goods or works under RDVRP, and prepare for forwarding to the Bank, as appropriate, the necessary documentation for their review.

• Keep abreast of all procurement procedures as are outlined by the IDA procedures under the Agreements.
• Work closely with the Financial Management Specialist of the CPD in preparing budgetary estimates and in ensuring timely, complete documentation of actual expenditures incurred in relation to procurement of civil works (including professional fees), goods and services.
• Prepare procurement related section for inclusion in the quarterly progress reports, and other reports/information as may be requested by the Director of Planning and in any forms [reports/diagrams] that might be required by the Project’s needs.
69 ANNEX 4 - PROCUREMENT PLAN 70 ANNEX 5 - FINANCIAL MANAGEMENT SPECIALIST The Financial Management Specialist will assist the CPD in all financial management, disbursement, accounting and audit related matters, and provide financial supervisory services for the various project components.
He/she will assist with the preparation every quarter of the Project’s Financial Monitoring Report, taking into consideration the FMR procedures of the World Bank, which is expected to include: (i) Financial Statements; (ii) Programme Progress in coordination with the Procurement Specialist; and (iii) Procurement Management (including Goods, Works and Services).
Qualifications and Experience: • A first degree in Accounting • 10 years experience • Qualifications in Project Accounting • Familiarity with fiduciary and disbursement procedures of the World Bank desirable Duties and Responsibilities The Financial Management Specialist will be responsible for: • Ensuring that all accounting records and bank accounts are up-to-date using computerized accounting system.

• Preparing monthly Bank Reconciliation for all Bank Accounts (Special Account, Project Account, etc.)
on a timely basis.

• Submitting monthly Bank Reconciliation for Project Account to the Accountant General for the maintenance of the Government's accounting records and General Ledger.

• Establishing and maintaining suitable systems of internal control (including procurement - goods, works and services, fixed assets, civil works, inventories management and distribution).

• Developing a Financial Procedures Manual within an agreed time frame (and thereafter updating the Manual on a regular basis).
• Preparing the project’s Budgets/Cash Flow Projections.

• Monitoring Programme compliance with the Government’s accounting reporting requirements.

• Preparing Quarterly and Annual Program Financial Statements, as well as reporting on material variances; recommending remedial action, as appropriate, within an agreed time frame.

71 • Ensuring compliance with operating procedures of donors (e.g.
Procurement, Disbursements, Special Accounts, Special Commitments, etc); also, meeting with all stakeholders on relevant financial matters and ensuring that the accounting reporting system is responsive to their expectations.

• Assessing reports received from internal/external auditors and following up any audit queries/management letters.
• Monitoring, in conjunction with the Procurement/Contract Management Specialist, the management aspects of all project activities, as well as evaluating any difficulties being experienced (e.g.

comparing actual results with agreed performance indicators, physical existence, etc.).

• Reviewing information technology issues, including the computerization of accounting records.
72 ANNEX 6 - FLOW OF FINANCIAL PROCEDURES Report 1) Monthly Bank Reconciliation 2) Peachtree Report 3) Quarterly IFR Report 4) Year to date financial statements and yearly audit Procedural Steps Day of Month Assisted by Approved by The CPD collects Bank Statements The Project Accountant inputs data Input data into Peachtree accounting a) b) c) software d) Process (excel spreadsheet) for confirmation e) Obtain approval of the Director of Planning a) b) c) Enter data into programme Produce Peachtree statements Cross-reference Peachtree with Monthly Bank Reconciliation Statements d) Use excel to produce spreadsheet reports a) Monthly Bank Reconciliation b) Progress Report (from the Procurement Specialist, including procurement plan) Peachtree Report c) a) Monthly Bank Reconciliation b) Peachtree Report Financial Specialist Deputy Director of Planning Deputy Director of Planning Financial Specialist Procurement Specialist Director of Planning Bank Statement received Monday of the second week of the following month.
Reconciliation completed and signed on the following Monday 2nd week of month 2nd week of month 2nd week of month 2nd week of month 3rd Monday after previous quarter 15th of second month of new year 5) Fixed Asset Register & Acceptance of Accounts a) Letter issued by CPD to party requiring and acceptance letter Party receiving the fixed 73 Report Procedural Steps Day of Month Assisted by Approved by b) Letter reviewed from party accompanied by details and description of assets received (i) Dependent upon parties response, CPD Officer may have to visit party to inspect/collect information on assets required for register c) Information reviewed and register can then be completed asset After receipt of a fixed asset Party receiving the fixed asset CPD Assistant Secretary 6) Prepare Payment Voucher a) Invoice reviewed by the CPD must be Procurement Specialist approved by the Procurement Specialist for payment (e.g., in order to ensure it is correct) Supporting document is then b) organized (i) No-Objection (ii) Contract (copy) c) Approval issued by the Director MoFEP d) Voucher Prepared e) Approved by the CPD f) Approved by the AG department g) Sent to the World Bank Prepared ad hoc as payments come to the CPD Director of Planning – Central Planning Division, MoFEP CPD Coordinator Accountant General Director of Planning Accountant General 7) Daily posting and filing Processed vouchers and documents and file in appropriate file Carried out daily when vouchers are paid 74 ANNEX 7 - INTERIM FINANCIAL REPORT Government of SVG Project #.................................
Regional Disaster Vulnerability Reduction Project (RDVRP) Interim Un-audited Financial Monitoring Report Expenditure Summary For the Semester ending _______________________________ (US$'000's) IDA Credit SCF-PPCR Loan PPCR Grant TOTAL Remarks 1.

Prevention and Adaptation Investments 2.

Regional Platforms for Hazard and Risk Evaluation and Applications for Improved Decision Making 3.

Natural Disaster Response Investments 4.

Project Management and Implementation Support 5.


Front End Fee Total - - - - - - 75 Government of SVG Project #.................................

Regional Disaster Vulnerability Reduction Project (RDVRP) Interim Un-audited Financial Monitoring Report Sources and Uses of Funds For the Semester ending on ……………… (Amounts in US'000) RECEIPTS: IDA Credit SCF-PPCR Loan PPCR Grant Total Receipts (By Project Component) Less: Payments 1.

Prevention and Adaptation Investments 2.


Regional Platforms for Hazard and Risk Evaluation and Applications for Improved Decision Making 3.

Natural Disaster Response Investments 4.

Project Management and Implementation Support 5.


Front End Fee Total Expenditures NET RECEIPTS Foreign Exchange Difference Opening Balances IDA Credit SCF-PPCR Loan PPCR Grant Total Opening Balances Closing Balances IDA Credit SCF-PPCR Loan PPCR Grant Total Closing Balances* Difference due to Exchange Rate Fluctuations Notes: Exchange rates used Budgeted SEMESTER Actual CUMULATIVE Variance Budgeted Actual Variance - 76 Government of SVG Project #.................................
Regional Disaster Vulnerability Reduction Project (RDVRP) Interim Un-audited Financial Monitoring Report Cash Forecast Statement For the Semester ending on…………………….. Disbursement Category IDA Credit SCF-PPCR Loan PPCR Grant Total Remarks 1 Prevention and Adaptation Investments Regional Platforms for Hazard and Risk Evaluation and Applications for Improved Decision Making 2 3 Natural Disaster Response Investments 4 Project Management and Implementation Support 5 Front End Fee TOTAL AMOUNT Exchange Rate US$1 =EC$2.6882 77 Government of SVG Regional Disaster Vulnerability Reduction Project (RDVRP) Interim Un-audited Financial Monitoring Report COMMITTED Contract Number Contract Description Contract Estimate Status 78 ANNEX 8 - ENVIRONMENTAL MANAGEMENT PLAN (EMP) In accordance with Bank environmental safeguards requirements, this program has been classified as Category B in accordance with OP/BP 4.01 on Environmental Assessments.
Works proposed under the program are largely rehabilitation and retrofitting of selected infrastructure and public buildings, and impacts are generally associated with the actual construction phase of the works activities.

Limited new constructions could be included in individual sub-projects such as water supply improvements or satellite warehouses.

In addition, there will be some road stabilization works, coastal defense works, and flood mitigation works such as river defenses and bridges.
Implementation and Supervision Supervision for environmental compliance will be managed through the CPD under Bank Supervision.

In addition to Bank requirements, the CPD will also be responsible for ensuring the proper application of any national environmental requirements.

The implementation of environmental management procedures shall rest with the MoTW and shall be supervised by the CPD.
The executing agency shall provide the contracting officer who will be responsible for direct supervision and implementation of works.

Environmental management plans shall be included in bidding and contracting documents and shall be presented for approval to the contracting officer.

These plans shall be reviewed, along with other contract documentation, by the CPD for presentation to the Bank.
The executing agency through the contracting officer shall designate a field representative who shall conduct periodic inspections to assure environmental compliance.

These reports shall be forwarded to the CPD for inclusion in the contract performance documentation.
Standardized Generic Contract Clauses To facilitate environmental management, the following standardized generic clauses have been developed for inclusion in construction contracts for minor works with limited potential environmental effects, such as rehabilitation or reconstruction works.

These clauses may be modified to comply with the laws of Saint Vincent and the Grenadines and shall remain in force throughout the contract period.
It is recommended that these clauses be included in an Environmental Appendix to construction contracts.

In most cases, it is the responsibility of the contractor to present environmental plans to the construction project manager prior to commencement of the works.

Plans developed need only be as detailed as the works require.

Plans and contract clauses may be modified or added as needed to fit particular conditions of specific subproject activities.
involve environmentally complex conditions or potentially significant impacts (if unmitigated), a separate stand-alone EIA would be prepared and the mitigation measures and contract clauses would be taken from the EIA done specifically for that subproject, and the standardized generic contract clauses below would not be used.)
(In the case where a specific subproject would 79 Site Security The contractor shall be responsible for maintaining security over the construction site including the protection of stored materials and equipment.

In the event of severe weather, the contractor shall secure the construction site and associated equipment in such a manner as to protect the site and adjacent areas from consequential damages.
This includes the management of onsite wastes, construction and sanitary, additional strengthening of erosion control and soil stabilization systems and other conditions resulting from contractor activities that may increase the potential for damages.
Discovery of antiquities If, during the execution of the activities contained in this contract, any material is discovered onsite which may be considered of historical or cultural interest, such as evidence of prior settlements, native or historical activities, evidence of any existence on a site which may be of cultural significance, all work shall stop and the supervising contracting officer shall be notified immediately.
The area in which the material was discovered shall be marked and the evidence preserved for examination.

Work may resume, without penalty of prejudice to the contractor, upon permission from the contracting officer with any restrictions offered to protect the site.
Asbestos While asbestos materials have not been in structures targeted for repair or reconstruction under this project, asbestos management procedures, defined in this section, shall be implemented should they be discovered during the construction process.
identified If in the event a construction project requires the stabilization or removal of asbestos construction materials, the contractor shall contact the Public Health Department of the Ministry of Health and the Environment and with the assistance of the Solid Waste Management Unit of the Central Water and Sewerage Authority, develop an asbestos management plan.
Site management shall consist of stabilizing friable asbestos and the provision of worker protection to prevent contamination with asbestos fibers.

Respiratory protection together with measures to prevent the contamination of clothing and inadvertent transport of asbestos fiber off-site shall be provided to exposed workers.
The asbestos management plan shall include as a minimum: • Description of the issue and extent of contamination • Site safety measures • Stabilization techniques to be employed • Storage and transport plan • Approved disposal procedure • Worker awareness and training 80 Worker Sanitation Sanitation facilities shall be provided to site workers.

All sanitary wastes generated as a result of project activities shall be managed in a manner approved by the contracting officer.
The contractor shall provide the contracting officer with a site sanitation plan for approval and implementation prior to the commencement of site activities.

Noise Control The contractor shall control noise emissions generated as a result of contracting activities to the extent possible.

In the case of site locations where noise disturbance will be a concern, the contractor shall ensure that the equipment is in good working order with manufacturer supplied Where noise noise suppression (mufflers etc.)
systems functioning and management is a concern, the contractor shall make reasonable efforts to schedule activities during normal working hours (between 8 am and 5 pm).

Where noise is likely to pose a risk to the surrounding community, the contractor shall inform the CPD and shall develop a public notification and noise management plan for approval by the CPD.

in good repair.
in good repair.

Use and management of hazardous materials, fuels, solvents and petroleum products Any use hazardous materials excluding pesticides, oils, fuels and petroleum products shall conform to the proper use recommendations of the product.

Waste hazardous materials and their containers shall be disposed of in a manner approved by the contracting officer.
A site management plan will be developed by the contractor if the operation involves the use of these materials to include estimated quantities to be consumed in the process, storage plans, spill control plans, and waste disposal practices to be followed.

This plan is subject to the approval of the contracting officer.

The minor use of pesticides such as for treatment of building foundations shall be done through registered and/or licensed pest control specialists.
Use of preservatives and paint substances All paints and preservatives shall be used only with the approval of the contracting officer.

Information shall be provided to the CPD that describes the essential components of the materials to be used so that an informed determination can be made as to the potential for environmental effects and suitability can be made.
Storage, use, and disposal of excess paints and preservatives shall be managed in conformance with the manufacturer’s recommendations and as approved by the CPD.

The contractor shall provide the contracting officer with a list of materials and estimated quantities to be used, storage, spill control and waste disposal plans to be observed during the execution of the contract.

This plan is subject to the approval of the contracting officer.
Site stabilization and erosion control Contractor shall implement measures at the site of operations to manage soil erosion through minimization of excavated area, preservation of existing ground cover to the extent possible, provision of approved ground cover.

Where excavations are made, contractor shall implement appropriate stabilizing techniques to prevent cave-in or landslide.

Erosion control measures shall be approved by the contracting officer.
81 An erosion management plan will be required where the potential exists for significant sediment quantities to accumulate in wetlands, lakes, rivers and near-shore marine systems.

This plan shall include a description of the potential threat, mitigation measures to be applied, and consideration for the effects of severe weather and an emergency response plan.
Management of standing water Under no circumstances shall the contractor permit the collection of standing water as a consequence of contractor activities without the approval of the contracting officer and consultation with the Ministry of Health’s environmental health unit.

Management of trash and debris The contractor shall provide the contracting officer with a trash and debris management plan that conforms to the solid waste management policies and regulations of Saint Vincent and the Grenadines.
Under no circumstances shall the contractor allow construction wastes to accumulate so as to cause a nuisance or health risk due to the propagation of pests and disease vectors.

The site waste management plan shall include a description of how wastes will be stored, collected and disposed of in accordance with current law.

Additionally the contractor shall provide for the regular removal and disposal of all site wastes and provide the contracting officer with a schedule for such removal.
Rehabilitation of Government Buildings The project includes rehabilitative works to health centres, schools and police stations.

In some cases, construction may occur while the facility is in use.

If this is the case, the contractor shall seek to minimize as much as possible, the inconveniences, working with facility managers to control the storage and flow of materials.
In addition, the implementing agency, contractor and facility managers may agree on measures to ensure that disruption is minimal; such as e.g.

a shift system and alternate work hours.
82 ANNEX 9 - TERMS OF REFERENCE - ENVIRONMENTAL IMPACT ASSESSMENT (EIA) Saint Vincent and the Grenadines - Regional Disaster Vulnerability Reduction Project Introduction {General Description of the Activity and need for EIA} According to the Bank’s Environmental Assessment Policy [OP4.01] the project is classified as Category B meaning that environmental impacts for the type of work anticipated under the project are expected to be moderate in nature and can be managed through the application of appropriate engineering and management measures.
{The purpose of this consultancy is to …..} Background Information {Describe setting and relevant attributes of the project and environs} Objectives {Describe specific objectives of the EIA} The EIA will be conducted in compliance with World Bank requirements as presented in OP 4.01, Environmental Assessment and shall include considerations as presented in Bank Safeguards OP/BP 4.04, Natural Habitats and OP/BP 4.11, Physical Cultural Resources.
Scope {Describe Scope of EIA and limiting factors} Specific EA Requirements {Detail specific activities to be accomplished and known issues to be examined in addition to those to be discovered during the assessment} {EA Outline} At a minimum, the EIA will include the following: Executive Summary of not more than 2 pages Description of the Project Legal framework including environmental, land use, water management and other related laws and regulations Description of the Existing Environment Biological Physical 83 Socioeconomic Analysis of project Impacts Biological Physical Socioeconomic Mitigation Analysis Mitigation plan Record of consultations Technical Annexes List of Preparers Environmental Management Plan {Add additional reporting as needed} Qualifications of Consultant The consultant shall have a minimum of a bachelors degree in natural sciences or related discipline and a minimum of 5 years experience in the development of Environmental assessments and analysis.
Consultant shall have demonstrated experience in the analysis of impacts related to civil works.
Schedule {Provide period of execution and deliverable schedule} 84 ANNEX 10 - RESULTS AND MONITORING FRAMEWORK p PDO Level Results Indicators Baseline Activities Baseline Value 2011 2012 2013 Target Actual Target Actual Target Actual 2014 Target 2015 Target 2016 Target 2017 Target 2018 Target End of Project (2018) Target Actual 1 2 Reduced risk of SVG’s population to failure of public buildings due to natural hazards or climate change impacts 320 people 'at risk in unsafe public 'buildings Retrofitting of emergency shelters: Kingstown Government & Dorsetshire Hill Primary 320 320 320 320 320 320 320 320 320 Number of Government officials able to produce location specific exposure maps (CI) 2 technical officials with specific training on GIS analysis tools GIS Application Training & Procurement of Equipment 2 6 0 6 0 8 23 8 8 0 8 0 8 0 8 0 8 - 23 Intermediate Result Indicators No.
Component 1- Prevention & Adaptation Investments Baseline Activities Baseline value 2011 2012 2013 Target Actual Target Actual Target Actual 2014 Target 2015 Target 2016 Target 2017 Target 2018 Target End of Project (2018) Target Actual Reduced risk of SVG’s population to SVG’s population to flooding in areas with flood mitigation works financed by the Project 425 'households with an average of 3 people per household (1,275 persons) River Defense and Drainage Improvement Works at Arnos Vale/Warrawarrow River, Carriere and Buccament.
425 425 425 425 425 525 425 425 425 425 0 0 0 Number of gabion baskets used in construction of flood mitigation works 0 gabions used at start of project Stock Pile of gabion baskets (16,000) 0 0 0 0 0 0 0 40 4280 8320 8360 8400 8400 Reduced risk of SVG’s population to failure of roads and bridges due to natural hazards or climate change impacts Daily users currently at risk 10,500: Fenton 500; South River Bridge - 10,000; Spring 9800; Carriere, Maroon Hill & Ginger Village 10,200, Coulls Hill 1,656 Rehabilitation / Construction of (i) South River Bridge; (ii) Green Hill Bridge; (iii) Dauphine Bridge; and (iv) Fenton River Fords Designs & Preengineering/geotechnical studies completed for roads and bridges rehabilitated under the Project 0 Designs and Preengineering/geotechnical studies completed Hydrology & Hydraulics Modeling, Geotechnical Site Investigations and designs for (i) South River Bridge; (ii) Green Hill Bridge; (iii) Dauphine Bridge; (iv) Fenton River Fords; (v) Dark View; (vi) Troumaca Increased capacity of communities to respond to disaster events 0 fully operational satellite warehouses located within vulnerable communities Construction of satellite warehouses in Magum, Georgetown, Marriaqua, Belmont (Leeward), Bequia and Union Island.
- - - - - Intermediate Result Indicators No.

Component 2 - Regional Platforms for Hazard & Risk Evl.
& Apps for Improved Decision Making Baseline Activities Baseline Value 2011 2012 2013 Target Actual Target Actual Target Actual 2014 Target 2015 Target 2016 Target 2017 Target 2018 Target End of Project (2018) Target Actual 1 2 3 4 Percentage of public buildings georeferenced in a national exposure database 0 Percent of public buildings in a national exposure database Establishment of Hazard & Risk Modelling Database Public building geospatial information collected 0 Public building with geospatial information collected Establishment of Hazard & Risk Modelling Database Number of Government officials who complete training to produce location specific exposure maps 2 technical officials with specific training producing location specific exposure maps GIS Application Training Number of location specific maps produced by Government officials trained under the project.
0 exposure maps completed by staff trained under the project GIS Application Training ANNEX 11 - Links to Bank Standard Bidding And Proposal Documents SBD for Goods: http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/PROCUREMENT/0,,contentMDK:21351162 ~isCURL:Y~menuPK:84284~pagePK:84269~piPK:60001558~theSitePK:84266,00.html Bid Evaluation Form (Goods and Works): http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/PROCUREMENT/0,,contentMDK:20062543 ~isCURL:Y~menuPK:84284~pagePK:84269~piPK:60001558~theSitePK:84266,00.html Standard Request for Proposals (Consulting Firms): http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/PROCUREMENT/0,,contentMDK:20199092 ~isCURL:Y~menuPK:84284~pagePK:84269~piPK:60001558~theSitePK:84266,00.html Consultant – Sample Evaluation Report: http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/PROCUREMENT/0,,contentMDK:20199092 ~isCURL:Y~menuPK:84284~pagePK:84269~piPK:60001558~theSitePK:84266,00.html ANNEX 12 - Action Plan of Activities for St. Vincent and the Grenadines 88 Action Plan of Activities For Saint Vincent & the Grenadines OECS Regional Disaster Vulnerability Reduction Project (P117871) Component 3: Natural Disaster Response Investments Submitted: June, 2013 Prepared by: Central Planning Division Ministry of Financing and Economic Planning 89 Table of Contents A - Executive Summary........................................................................................................ 67 B - Background…………………………………………………………………………………………………………………… 67 C - Mechanism for Triggering Component 3: Natural Disaster Response Investments………… 68 D - Coordination & Implementation Arrangements………..………………………………………………….. 69 E - Procurement …………………………………………………………………………………………………………….70 F - Disbursement & Financial Management ……………………………………………………………………….75 G - Safeguard Compliance ………………………………………………………………………………………………..75 H - Monitoring &
H - Monitoring & Evaluation……………………………………………………………………………………………….76 Appendix I: Action Plan of Activities - Preparation Schedule & Responsibilities………………….77 Appendix II: Sample Critical Import Procurement Matrix….………………………………………………….78 Appendix III: Sample Emergency Subproject & Related Services…………………………………………..80 Appendix IV: Draft Supporting Procurement Documents…………………………………………………….81 Appendix V: Proof of Declaration of National Emergency……………………………………................82 Appendix VI: Request for EoI from Consultants and Work Contractors………………………………..83 90 A - Executive Summary 1.
This document was prepared pursuant to the Financing Agreements for the OECS Regional Disaster Vulnerability Reduction Project (RDVRP – P117871).

The Financing Agreements stipulate the preparation and submission of an acceptable Action Plan of Activities for Component 3: Natural Disaster Response Investments (hereafter referred to as “Component 3”) as one of two conditions of effectiveness for said Component.

2.
2.

This document serves as the Government of Saint Vincent & the Grenadines (GoSVG) Action Plan of Activities and details the following: (i) the proposed emergency activities to be financed by the proceeds allocated to the RDVRP’s Component 3 (Disbursement Category 2); and (ii) the coordination and implementation arrangements related to the programing and execution of said activities.

3.
3.

Upon approval by the World Bank, the Action Plan of Activities will be annexed to the RDVRP Operations Manual and will be used by the staff of the Ministry of Finance and Economic Planning’s Central Planning Division (CPD) and other persons involved in the execution of the RDVRP to guide their actions, as they relate to: a.

Triggering of Component 3; b.


Coordination and implementation of the Action Plan of Activities; c. Procurement of the services, goods and works associated with said Plan; d. Financial management and disbursement of the funds allocated to the Disbursement Category 2; e. Compliance with the RDVRP’s safeguard policies; f. Monitoring and evaluation of the Action Plan of Activities.

4.
4.

The specific activities to be financed by the proceeds allocated to Component 3 are event and demand driven and the contents of this Action Plan of Activities represent the framework by which Component 3 will be triggered and by which the eligible activities will be coordinated and implemented in accordance with World Bank and National policies and procedures.

B- Background 5.

The GoSVG received financing from the World Bank and its hosted Trust Funds17 for the purposes of participating in the RDVRP.
The development objective of the RDVRP is to measurably reduce Saint Vincent & the Grenadines’ vulnerability to natural hazards and the adverse impacts of climate change.

The Project’s development objective will be achieved through, interalia, investments in activities that will improve its resilience to recurring natural hazards and the longer-term impacts associated with climate change.

6.
6.

The GoSVG’s financing envelope for the RDVRP is $US 20.92 million, of which approximately $US 1 million (650,000 Special Drawing Rights) is allocated to Component 3.
Consistent with the RDVRP’s development objective, Component 3 will finance post-disaster critical imports and emergency 17 Trust Funds include the (i) Climate Investment Funds’ Pilot Program for Climate Resilience; and (ii) the Global Facility for Disaster Reduction and Recovery 91 recovery and reconstruction works and associated supporting consulting services identified in the Action Plan of Activities in support the GoSVG’s rapid emergency response efforts.

7.
7.

If the GoSVG determines that the cost of the post-disaster critical imports and emergency recovery and reconstruction works exceeds the initial financial resources allocated to Component 3, the GoSVG reserves the right to submit a request to re-allocate finances within the RDVRP vis-à-vis the re-categorization of uncommitted from Disbursement Category 1 to Disbursement Category 2.
This request will be included in the Action Plan of Activities Cover Letter sent to the World Bank and will be supported by an Appendix to the Action Plan of Activities detailing the proposed re-categorization of financial resources.

financial resources C - Mechanism for Triggering Component 3: Natural Disaster Response Investments 8.

Per the RDVRP Financing Agreements, two conditions of effectiveness must be met in order to access the financing allocated to Component 3 (Disbursement Category 2).
The two conditions of effectiveness are as follows: a.

Establish a causal relationship between the relevant emergency and the need to trigger Component 3 and withdraw the financing allocated to Disbursement Category 2; and b.

Prepare and furnish to the World Bank an acceptable proposed Action Plan of Activities for financing utilizing the proceeds allocated to Disbursement Category 2.

9.
9.

In accordance with the National Disaster Response Plan of the GoSVG, the National Emergency Management Organization (NEMO) – as mandated by the National Emergency and Disaster Management Act, 2006 - will lead the preliminary Damage and Needs Assessment.

This initial assessment will produce a report that provides information related to the nature and scope of damages sustained by the public and private sector.
Based on the information contained within the report, the Prime Minister – as Chair of the National Emergency Council – may declare that a “disaster for the state” has occurred.

This shall be done via a Disaster Notification Service or a formal announcement via National broadcast.

Proof of this declaration will be provided in the form of a copy of the Disaster Declaration Document.

This document will be included in Appendix VII of the Action Plan of Activities.

10.
10.

The initial damage assessment report will be supplemented with sectoral reports produced by the key agencies of the GoSVG Damage and Needs Assessment Committee.

Based on the identified scope of needs, the GoSVG will activate the National Disaster Plan, which requires the specific identification and prioritization of critical recovery and reconstruction activities, including critical imports.
Those activities selected for financing by Component 3 will be communicated to the World Bank in the Action Plan of Activities.

The scheduling of the procedural steps by which the Action Plan of Activities will be prepared is found in Appendix I.

11.

The fulfillment of the conditions of effectiveness and the request to trigger Component 3 and access the financing allocated to Disbursement Category 2 will be communicated to the World Bank’s Caribbean Country Director by the Minister of Finance by letter.
This letter will contain the following information: 92 a.

Nature of emergency, its impacts and confirmation of causal relationship (as supported by the Declaration of the National Emergency found in Appendix VII of the Action Plan of Activities) between the event and the need to access the financing allocated to Disbursement Category 2; b.

Nature of emergency activities (brief description); and c. Action Plan of Activities & Supporting Appendices.

D - Coordination & Implementation Arrangements 12.


The CPD within the Ministry of Finance and Economic Planning is the lead agency within the GoSVG responsible for coordinating the RDVRP, including the preparation and implementation of the Action Plan of Activities.
Specific responsibilities of the CPD, include – inter alia – (i) processing documentation required for disbursement of the Category 2 funds; (ii) procuring goods, works and services identified in the Action Plan of Activities; and (iii) preparing and maintaining records, accounts and financial statements referred to in the RDVRP’s Financing Agreements; (iv) coordination and implementation of the Action Plan of Activities; and (v) monitoring and evaluation of the Action Plan of Activities.

13.
13.

In addition to the CPD, a Project Steering Committee supports the RDVRP.

The Steering Committee will meet quarterly to review project implementation performance and be convened, when necessary, to attend to urgent matters which may arise in the course of implementation of the RDVRP.

Generally, the role of the RDVRP Steering Committee is to: a. Assess project progress; b.
Provide advice and guidance on issues facing the project; c. Assist with resolving strategic level issues and risks; d. Use influence and authority to assist the project in achieving its outcomes; e. Support the CPD with the prioritization of the activities to be financed in the Action Plan of Activities.

14.

The specific responsibilities of the Steering Committee are outlined in Annex 2 of the SoSVG’s RDVRP’s Operation Manual.

15.
15.

Line Ministries will provide the requisite technical assistance to the CPD as related to the finalization of procurement bidding documents and the technical supervision of the emergency recovery and reconstruction works.

The GoSVG will bolster – as needed - its supervision capacity through the engagement of technical consultants to support the preparation of bidding documents and site supervision of works.

The technical consultants will work closely with the Line Ministries but report to the CPD.
E – Activities to be financed 16.

The specific types of goods, services and works that are eligible for procurement are detailed in the Financing Agreement and are as follows: 93 a.

Critical Imports: Eligible expenditures on critical imports required by the public/private sectors (imported or locally manufactured) under Component 3 are: i.

Construction materials, equipment and industrial machinery ii.

Water, air, land transport equipment, including spare parts iii.
Agricultural equipment and inputs, including seeds and fertilizer (excluding pesticide) iv.

School and medical supplies and equipment v. Petroleum and other fuel products vi.

Food and water containers vii.

Any other item agreed to between the World Bank and the Recipient (as documented in an Aide-Memoire or other appropriate Project document) b.
Emergency Subprojects: According to Schedule 2 of the Financing Agreement, an investment activity shall qualify as an Emergency Recovery and Reconstruction Subproject only if it aims to: i.

Repair or reconstruct streets, roads, bridges, transportation and other infrastructure damaged by the event in question; ii.

Re-establish telecommunications infrastructure damaged by the event; iii.
Reestablish urban and rural solid waste, water supply and sanitation (including urban drainage) damaged by the event; iv.

Repair, re-equip, construct or reconstruct homes, schools, clinics, hospitals or works of cultural significance or other communal structures damaged by the event v. Remove and dispose of debris resulting from the emergency event vi.

Restore productive assets belonging to uninsured low-income producers damaged by the event in question; vii.
Replace vegetation destroyed by the event of the Emergency in question; viii.

Repair or mitigate damage caused by the event of the Emergency to a national natural protected area or buffer zone thereof.

17.

There also exists an Emergency Recovery and Reconstruction Subprojects Negative List which lists in detail activities not eligible for funding.

This list can be found in Schedule 4 of the Financing Agreement.

E - Procurement 18.
E - Procurement 18.

The CPD is responsible for ensuring that the procurement policies and procedures governing the RDVRP are fully and successfully applied to the contracting of goods, works and services related to the Action Plan of Activities.

These policies and procedures are detailed in Section 4 of the GoSVG RDVRP’s Operation Manual.
In addition to ensuring that the procurement policies and procedures are respected, the CPD is also responsible for ensuring that none of the proposed activities to be financed under the Action Plan of Activities are on the negative list of activities ineligible for financing, as identified in the RDVRP Financing Agreement.

19.
19.

Using the proceeds allocated to Disbursement Category 2, the Action Plan of Activities will finance a combination of critical imports and emergency civil works and associated services.

Per the World Bank’s review of procurement methods and prior review thresholds for OECS countries the following standard thresholds for procurement methods and the respective prior reviews will govern the 94 procurement activities associated with the Action Plan of Activities.
However, upon triggering the component, there is the possibility that higher procurement thresholds could be applied.

Contract Value (Threshold) Procurement Method Contracts Subject to Expenditure Category 1.

Works 2.

Goods US$ Thousands >1,500 150-1500 <150 Regardless of Value >150 50-150 <50 Regardless of Value 3.
Consulting Services 3.1 Firms >100 <100 ICB NCB Shopping Direct Contracting ICB NCB Shopping Direct Contracting Prior Review All First Contract & all >750 First Contract All All First Two Contracts First Contract All QCBS, QBS, FBS, LCS QCBS, QBS, FBS, LCS, All Contracts First Contract CQS 3.2 Individuals Regardless of Value Regardless of Value Single Source Comparison of 3 CVs All TOR 20.
In order to expedite the procurement of critical imports, the services related to the preparation and management of civil works contracts, and of contractors responsible for the execution of the emergency sub-projects, the CPD will pre-qualify –on an annual basis- vendors and contractors and the short-lists of consultants to provide the services related to the preparation of the final bidding documents and the supervision of the emergency sub-projects.
The notices of Request for Expression of Interest (consultants & contractors) and the short-listing of consultants are included in Appendix VI.

21.

The pre-qualification of vendors and contractors and the short-listing of consultants will take place before the beginning of the annual hurricane season and will be redone annually.

22.

The information contained within the notices will be informed by the contents of the draft Action Plan of Activities Procurement Plan.
The draft Action Plan of Activities Procurement Plan is presented in Appendices II and III 18 and is organized as follows: a.

Critical Imports i.

Tentative list of goods, materials, and equipment as well as their expected unit costs, anticipated quantity and generic technical specifications; ii.

List of identified suppliers/vendors that have sufficient capacity to supply the identified critical imports19; and iii.
Description of procurement methods and supporting procurement documents that the PCU will use.

18 The final Action Plan of Activities procurement plan will only be finalized following the occurrence of an event due to the demand and event driven nature of Component 3.

19 Will be completed once the pre-qualification process is finished.

95 b.

Emergency Sub-Projects i.

Identified potential eligible sub-projects ii.


Description of procurement methods, qualifications requirements and a list(s) of firms (national & regional) that have demonstrable track record (technical, financial & operational) implementing similar activities iii.

Draft TOR / Bidding documents that will be used to contract: (i) technical services to support the scoping /design & supervision of the subprojects; and (ii) firms to execute the civil works.

23.
23.

The CPD has prepared draft bidding documents and contracts for anticipated reconstruction works for river defense and road & building rehabilitation.

A list of these documents is found in Appendix IV.

24.
24.

While the CPD has endeavored to prepare draft terms of reference, bidding documents and contracts, the event and demand driven nature of the activities to be included under the Action Plan of Activities necessitates that those documents listed in Appendix IV are draft in nature and will be updated to reflect the specific needs identified by the GoSVG’s Damage and Needs Assessment Committee.

Selection of Consultants and Procurement of Civil Works and Goods A.

Consultants 25.

Single-source Selection.


Single-source selection of consulting firms and individuals (paragraphs 3.9 (b) and 5.6, respectively, of the Consultant Guidelines) may be used only if it presents a clear advantage over competition for the required consulting services.

Firms that are already working in the country and that have a proven track record in similar assignments may be the most suitable option for the start-up activities.
Consultants selected on a single-source basis may be given the right to participate in future assignments under the same project provided that there is no conflict of interest with the tasks performed under the initial contract.

However, for future or downstream assignments, any available information must be shared with all participating firms to ensure a level playing field.

26.

Selection of Consulting Firms through Consultants’ Qualification Selection (CQS).
CQS is often the appropriate method for small assignments and the selection is carried out in accordance with paragraph 3.7 of the Consultant Guidelines.

In exceptional cases, when CQS needs to be followed for contracts estimated to cost more than $300,000, the RPM reviews and clears each case.

27.

Consultant Shortlists.


On an exceptional basis the RPM may clear shortlists of consultants where fewer than six firms have expressed an interest to submit requests for proposals and where a wide geographic spread of shortlisted consultants cannot be achieved.

28.

If advertising at an international or national level would impede a rapid selection, advertising for expressions of interest may be forgone or limited to the local/provincial level for assignments with estimated cost of less than $200,000.
The selected firm is then requested to submit simplified technical and financial proposals.

For assignments that are estimated to cost less than $100,000, advertisement is not mandatory as long as a shortlist of at least three qualified firms is established.

96 29.

Other Streamlined Approaches.


Using a “pool of experts” or a list of “preselected” consulting firms may also be considered as an appropriate method for supporting counterpart agencies at various steps of project execution, including the procurement process and the preparation of TOR, shortlists, RFPs, and bidding documents.

Remuneration and fees may be resolved at the time of preselection and prescribed in a framework agreement; this is similar in concept to an Indefinite Delivery Contract.

B.
B.

Civil Works and Goods 30.

Direct Contracting: Direct contracting for the procurement of civil works and goods (paragraph 3.6 (a) and (e) of the Procurement Guidelines) may be used to extend an existing contract or award new contracts in response to disasters.

For such contracting to be justified, the Bank should be satisfied that the price is reasonable and that no advantage could be obtained by further competition.
The direct contracting may be from the private sector, UN agencies/programs (for goods), or contractors or NGOs that are already mobilized and working in the emergency areas.

31.

Shopping: Shopping in accordance with paragraph 3.5 of the Procurement Guidelines may be an appropriate method for procuring readily available off-the-shelf goods of values less than $500,000, or simple civil works of values less than $1,000,00020.
In exceptional cases, when shopping needs to be followed for contracts estimated to cost more than these values, the RPM reviews and clears each case.

The Procurement Plan should determine the cost estimate of each contract, and the aggregate total amount.

The borrower should solicit at least three price quotations.

32.
32.

NCB vs ICB Procedures: Simplified NCB procedures and documentation can be used where ICB procedures are considered to be inappropriate or too complex due to implementation capacity issues, and where there is clearly no international market appetite to participate in bidding.

33.
33.

Simplification of Pre and Post Qualification criteria: The pre and post qualification criteria requirements of the Bank’s SBDs for both large works and small works can be amended in order to optimize the participation of available local or regional contractors.

In particular, adapting the qualification requirements to match the qualifications of available and competent local and regional contractors.

34.
34.

Prequalified Suppliers and Contractors: Using lists of prequalified suppliers and contractors to whom periodic invitations are issued may also help accelerate the procurement process.

Such an approach would be consistent with paragraphs.
2.9 and 2.10 of the Procurement Guidelines; but instead of being used for large and complex works or goods, it could be used for a large number of similar simple contracts of any size, as well as for procurement of commodities, per paragraph 2.68 of the Procurement Guidelines.

Prequalification documents may use a simplified format that is acceptable to the Bank.

Suppliers and contractors would be asked to provide quotations for simple unit prices, as for commodities.
Contracts should be awarded on a competitive basis, and may be for a duration of up to two years, with a price escalation clause and the possibility of extension upon mutual agreement between the client and the supplier.

C. Use of Positive Lists 35.


An emergency program may include a quick-disbursing component designed to finance a positive list of imported goods already imported or to be imported or locally produced goods that are required 20http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/PROCUREMENT/0,,contentMDK:20105663~menuPK:93977~pagePK:84269~piP K:60001558~theSitePK:84266,00.html 97 implementation and evaluating outcomes upon completion.

for the borrower’s emergency recovery program.


The Bank and the borrower should reach agreement on the conditions for the release of the financial tranches and the required documentation and certifications, such as customs and tax certificates or invoices.
The project document should clearly state a set of quantitative or qualitative indicators for monitoring progress Furthermore, national during emergency procedures, if they exist, or established commercial practices of the private sector could be followed to procure a positive list, provided they are found acceptable to the Bank.

The acceptable procedures and addressing any associated risks and mitigation measures should be agreed.
In such cases, it is recommendable carrying out a technical and financial audit of the component procured under this arrangement.

These audits should at minimum cover the following: a) the consulting approach b) the appropriateness of prices relative to market prices, c) the adherence to acceptable and agreed commercial practices or emergency procedures, and d) the appropriate use of funds for intended eligible purposes.

D. Commodities 36.
D. Commodities 36.

Procurement of commodities, such as grain, fertilizer, and fuel, must be in accordance with paragraph 2.68 of the Procurement Guidelines.

If customs duties for emergency commodities are abnormally high, the borrower may be asked to waive or to reduce customs duties to bring them to a reasonable level (10-12 percent).

Priority commodities must be determined in response to the basic needs resulting from the emergency situation, in particular the needs of the poorest people.
E. Force Account 37.
In emergencies, FCS or small state situations, when construction firms are unlikely to bid at reasonable prices because of the location of and risks associated with the project or a certain government agency has a sole right in certain type of work (e.g., railway track work, high tension transmission cables), Force Account for repair/reconstruction using the borrower’s own personnel and equipment or a government-owned construction unit may be the only practical method (see paragraph 3.9 of the Procurement Guidelines).
This would require good managerial capacity and technical and financial controls to report to the Bank on expenditures.

38.

Accelerated Bid Times.

Under ICB and NCB, accelerated bid times might be envisaged, but bidding periods shorter than 21 days for ICB and 10 days for NCB should be cleared with the RPM, taking into consideration the capacity of firms (local and international) to prepare responsive bids in a short period.

39.

Waiving Bid and Performance Security Requirements.


For small contracts for goods or works, the preparation of bids by small and medium-size suppliers or contractors can be accelerated by taking the option, set out in paragraph 2.14 of the Procurement Guidelines, of not requiring a bid security.

Similarly, in the case of small contracts for works or supply of goods, the borrower may decide not to require a performance security in accordance with paragraph 2.40 of the Procurement Guidelines.
However, in works contracts, retention money may be retained during the liability period; and for goods contracts, manufacture warranties will be requested.

98 40.

Advance Payment.


Where it is not easy for contractors and suppliers to obtain lines of credit from banks, the borrower may consider increasing the amount of advance payment under works and supply contracts to up to 40 percent of the contract value, provided that the contractor/supplier provides a bank guarantee for the same amount and the World Bank clears this increased value of advance payment.

F - Disbursement & Financial Management 41.


The CPD is responsible for ensuring that the financial management and disbursement policies and procedures governing the RDVRP are fully and successfully applied to the management of the financial resources mobilized through Disbursement Category 2 in support of the identified RAP activities.

These policies and procedures are detailed in Section 5 of the GoSVG’s RDVRP’s Operation Manual.

42.
42.

Per the RDVRP FA, Disbursement Category 2 has been allocated 650,000 SDR (approx.

$US 1 million) and can finance goods, works, non-consulting services and consultant services for emergency recovery and reconstruction activities.

No withdrawal from Disbursement Category 2 will be made before the fulfillment of the two conditions of effectiveness.

43.
43.

The post disaster finalized Action Plan of Activities submitted for approval will be accompanied by a completed Withdrawal Application requesting the World Bank to advance the resources allocated to Disbursement Category 2 to the RDVRP’s designated account to finance eligible expenditures as they are incurred and for which supporting documents will be provided at a later date.
The CPD will ensure that all amounts from Disbursement Category 2 advanced to the Designated Account are accounted for and their use reported prior to the RDVRP’s Disbursement Deadline Date.

The CPD will use the financial management reporting processes and procedures as identified in the RDVRP’s Operations’ Manual.

44.
44.

Upon approval of the Action Plan of Activities, the CPD, in consultation with the World Bank, will explore the need to amend the contract with the audit firm responsible for auditing the RDVRP’s financial statements.

G - Safeguard Compliance 45.

In accordance with the World Bank safeguards requirements, this RVRP is classified as Category B per OP/BP 4.01 on Environmental Assessments.
Since the emergency sub-projects financed under Component 3 are likely to be related to emergency provision of critical goods, it is expected that those subprojects will fall into Category C and therefore would require no environmental screening or assessment work.
However, some Component 3 activities could include demolition, removal, repair or reconstruction of damaged public infrastructure, clearing of debris, or other activities which could have potential negative impacts if not mitigated, and would therefore fall into Category B.
It is even possible that there may be exceptional cases where a proposed sub-project would involve work in highly ecologically sensitive areas, potentially affect physical cultural resources, or require acquisition of substantial areas of land either temporarily or permanently for reconstruction work or relocation of a vulnerable population.
In order to ensure that Component 3 emergency 99 subproject activities conform to the requirements of the World Bank Safeguard Policies (as outlined in the Financing Agreement, Operations Manual, Environmental Assessment, and Resettlement Policy Framework), the activities identified in the Action Plan of Activities for financing under Component 3 will be subject to a review by safeguards specialists to determine if they are eligible under the safeguard policies and compliance procedures used by the CPD for all activities financed under the RDVRP.
The screening and environmental management procedures described in the Operations Manual will then be utilized.

This will allow for the exclusion of certain activities if the environmental or social impacts are too great, and to include appropriate mitigation measures for other proposed activities.

Having the existing safeguards screening process in place will also allow a certain degree of familiarity and efficiency in processing potential sub-projects or activities.

H - Monitoring & Evaluation 46.


The GoSVG recognizes the particular importance of monitoring and evaluation for Component 3 given that it represents a novel approach to disaster recovery and reconstruction financing and will require particularly strong oversight in order to demonstrate the flexibility of the a contingent financing approach compared to those traditionally available to World Bank clients, such as project restructuring and/or additional finance.

47.
47.

Given the large number of post-disaster activities that could be initiated shortly after the approval of the Action Plan of Activities – in addition to those already under implementation –the CPD will hire additional technical consultants to support supervision and procedural compliance efforts, particularly as they pertain to social and environmental safeguards.

These consultants will be required to submit monthly reports that detail implementation progress and policy & procedural compliance.
These reports will be used by the CPD to inform their RDVRP Activity Reports, as required by the FA.

48.

Given that the Action Plan of Activities will be event and demand driven, the RDVRP’s current Results Management Framework (RMF) will include a supplemental section detailing the expected intermediate outcome and impact indicators related to the Action Plan of Activities.

49.
49.

Additional details related to the monitoring and evaluation of the Action Plan of Activities is found in Sections 7 and 8 of the GoSVG RDVRP’s Operations Manual.

100 Appendix I: Action Plan of Activities - Preparation Schedule & Responsibilities Activity Responsibility Timeline Authority 1.

Preliminary Damage Assessment 2.

Declaration of Disaster for the State 3.

Implementation of National Disaster Plan NEMO21 HPM22 NEMO 4.

Advise International Agencies and Embassies of Declaration MoFA/CPD 5.
Interim Damage Assessment 6.

Detailed Damage Assessment 7.

Action Plan of Activities: RDVRP Component 3 NEMO NEMO a.

Provide proof of declaration of nat’l disaster to WB b. Finalize and submit Action Provide of Activities to World Bank including details of damage assessment c. WB No-objection to Action Plan 0+12hrs NDRP 2005 0+24hrs NEDMA 2006 Sec.

32 0+24hrs 0+72hrs 0+72hrs 0+1wk 0+1wk HPM/ AG23/CPD24 NEMO/CPD 8.

Procurement of Critical Imports, Consultant RDVRP 0+3wk CPD Services and Civil Works 9.
Financial & Material Audit Accountant General 0+RA+6mths 21 NEMO – National Emergency Management Office 22 HPM – Honorable Prime Minister 23 AG – Attorney General 24 CPD – Central Planning Division, Ministry of Finance & Economic Planning Appendix II: Sample Critical Imports and Possible Suppliers Step 1 A.

Item Info No.

1 Product / Material Definition (incl.

brief description of intended use Fuel Step 2 B.


Specifications Describe Performance Characteristics Step 3 C. # of Units & Estimated Cost Units Req.

Unit Cost25 Step 4 D: Proposed Procurement Methodology Total Methodolog y Justification E: Possible Vendors No.
Names of Vendors History of Product Delivery26 Step 5 F: Vendor Information Gasoline N/A Diesel N/A 11.52 2 11.04 7 Shopping There are only two vendors in SVG Shopping Ibid 2 Lumber27 I.e 3/8’’ plywood N/A 80 Shopping Prequalified (TBD) 3 Roof Sheeting and Screws Galvanized 2.5’’ screws N/A N/A Shopping Galvanized U- Panel N/A N/A Shopping Prequalified (TBD) Prequalified (TBD) Corrugated uncoated roof sheeting (0.45mm) N/A N/A Shopping Prequalified (TBD) 4 First Aid Medical Kit28 N/A 180 Shopping Prequalified A A B C A B C A B C A B C A B C A B C SOL Texaco SOL Texaco Corea’s Hardware General Hardware E D Laynes ECML Corea’s Hardware E D Laynes ECML Corea’s Hardware E D Laynes ECML Corea’s Hardware E D Laynes Carimedi Y Y Y Y TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD 25 In EC$ - to be updated annually 26 To be established following analysis of documents submitted by vendors per the pre-qualification requirement 27 The list of lumber required may be extensive varying by type of wood, dimensions, treated/untreated, so only plywood is listed & priced.
Step 6 G: Misc.

Vendor Information Previous Contract Awarded Competitively?

References (min 5 over last 3 yrs.)
Y Y Y Y TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD N N N N TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD Volume & Unit Rate 11.522/ Gal 11.522 / Gal N/A N/A 89.62 / Sheet 78.22 / Sheet 86.25 / Sheet Various Various Various Various Various Various Various Various Various 190/kit Turnaround Time to Process & Deliver Immediate Immediate Immediate Immediate TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD Supplies (TBD) B C x Shepherd ’s Trading Scientific Supplies TBD TBD TBD TBD TBD TBD TBD TBD No price for kit, only separat e items 28 Medical Kit must include the following items: Bandaids, face masks, hydrogen peroxide, iodine, rubbing alcohol, scissors, gloves, cotton balls, ice pack, large bandages, gauze, ointment for burns, spray for muscle sprains etc.. 103 Appendix III: Sample Emergency Subproject & Related Services Step 1 A: Work Package No.
1 Brief Description of Needs Services Required (Technical & Civil) i) 2 ii) iii) iv) i) ii) iii) iv) Step 2 B: Specifications Draft TOR / Pre- Qualification Docs Step 3 C: Estimate Cost Value of Contract Step 4 D: Proposed Procurement Methodology Methodology Justification Step 5 E: Possible Consultants / Firms No.
Names of Consultants / Firms F: Vendor Information Qualifications (Technical, Operational &Financial)* A B C A B C A B C A B C A B C A B C A B C A B C * Per those listed in TOR & Pre-bidding Qualification Docs Appendix IV: Draft Supporting Procurement Documents DRAFT BIDDING DOCUMENTS FOR RECONSTRUCTIVE/REHABILITATIVE WORKS 1.

The draft typical bidding documents include bills of quantities (BoQs) for a number of components as shown below.
The BoQs will be refined once the nature and extent of the works are more known.

Depending on the estimated cost of the damages different formats may be used as allowed.

Shopping or national competitive bidding (NCB) may be used depending on the estimated cost of the works.
The draft bidding documents for NCB are contained in a separate volume as follows: 3A – Bidding document for typical building works which comprises: a. Demolition (roof, door, block walls, windows); b. c. New construction: reinforced concrete/block structure Installation of new windows and doors; 3B – Bidding document for civil works that comprises: a.
Class R road and pavings (sub-base, base and surfacing of road and paved areas; curbs, channels and edgings; traffic signs and markings) b. Drainage (box drains, cross culverts, outfall drain) c. Rubble stone retaining wall with reinforced concrete foundation d. Blockwall retaining wall with reinforced concrete foundation e. Gabion retaining wall f. River defense work using gabion baskets and mattresses DRAFT CONTRACTS FOR CONSULTANTS 2.
The draft typical consultant contracts include the terms of references for a number of consultants and are contained in a separate volume as follows: 4A – Civil Engineering Contract – Lump sum 4B – Quantity Surveyor Contract – Lump sum 4C – Structural Engineer Contract – Lump Sum 4D – Structural Engineer Contract- Time-based 4E – Design and Supervision TORs 105 Appendix V: Proof of Declaration of National Emergency Appendix VI: Request for EoI from Consultants and Work Contractors Regional Disaster Vulnerability Reduction Project The Government of Saint Vincent and the Grenadines, with the support of the International Bank for Reconstruction and Development (The World Bank), is currently implementing the Regional Disaster Vulnerability Reduction Project.
A component of this project is a Contingent National Disaster Response Mechanism, which would enable the Government of Saint Vincent and the Grenadines to finance emergency rehabilitation and reconstruction activities following a disaster event that warrants a national declaration of disaster.

Emergency activities would be in the form of construction works and respective consultancy services.
Works may include, but are not limited to: a) (re)construction of retaining walls in reinforced concrete or block work, b) (re)construction of cross-culverts, c) reinstatement/(re)construction of roads, streets and bridges, d) public building repairs, e) clearing of landslides, f) cleaning of rivers, g) re-establishment of telecommunication infrastructure, h) construction or reconstruction of homes, schools, clinics, hospitals or work of cultural significance or other communal structures damaged by the disaster event.
Consultancy services may include detailed designs and works supervision.

The Central Planning Division (CPD) within the Ministry of Finance and Economic Planning (MoFEP), on behalf of the Government of Saint Vincent and the Grenadines, now invites: 1.

Eligible consulting firms (“Consultants”) to express their interests in providing the above referenced consultancy services (in the case they are needed).
Interested Consultants should indicate the services in which they are interested in and should provide information demonstrating that they have the required qualifications and experience (description of similar assignments, contracts and contracts amounts, experience in similar conditions, availably of appropriate skills among staff, etc.).
The attention of interested Consultants is drawn to paragraph 1.9 of the World Bank’s Guidelines: Selection and Employment of Consultants under IBRD Loans & IDA Credits & Grants by World Bank Borrowers, dated January 2011; 2.

Eligible construction firms (“Contractors”) to express their interest in providing the above referenced construction works (in the case they are needed).
Interested Contractors should indicated the works in which they are interested in and provide information demonstrating that they have the required qualifications and experience (description of similar works, contracts and contracts amounts, experience in similar conditions, availably of appropriate equipment and engineering and technical staff, etc.).
The attention of interested Contractors is drawn to paragraphs 1.8, 1.9 and 1.10 of the World Bank’s Procurement of Goods, Works, and Non-Consulting Services under IBRD Loans and IDA Credits & Grants dated January 2011.

Lists of interested Consultants and Contractors will be prepared annually.

The eligible and qualified Consultants and Contractors included in lists may be invited to quote and provide the necessary services and works at any time during the current year of their listing.
The selections of the necessary consultants and contractors will follow the selection and procurement methods and procedures set out in the above mentioned Consultants’ and Procurement Guidelines.

107 This notice may also be viewed on www.gov.vc under the Web Classified – Request for Expressions of Interest link.

Interested consultants and contractors may obtain further information at the address below during office hours (i.e.

8:00am to 4:00pm EST).


Expressions of interest must be delivered to the address below no later than 4:00pm EST, June XX, 20XX.

The Director of Planning Central Planning Division Ministry of Finance & Economic Planning 1st Floor, Administrative Building Bay Street, Kingstown St. Vincent and the Grenadines Tel: 784-457-2182; 784-457-1746 E-mail: cenplan@svgcpd.com / rmacleish@svgcpd.com / jquow@svgcpd.com 108