the voice of canada's international development …...guidelines on the use of consultants by...

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General Reminders

Encourage your associate/joint venture partners to register in CMS if they have not done so already.

Registration

If you decide to submit a proposal, confirm by answering “Yes” in the Response to Invitation section under the RFP tab. RFP forms

and templates will only become available after you respond “Yes”.

Consider selecting an RFP representative to be in charge of the Requests for Proposals and the only one who can edit proposal details.

Specify the RFP representative in the Response to Invitation section of the Requests for Proposals tab.

Responding to Invitation and Accessing RFP Templates

Contact the ADB officer identified on the RFP Data Sheet through CMS messaging for clarification on RFP documents. The Technical

support group will not be able to respond to clarification requests about RFP text.

Reviewing RFP, Requesting Clarifications

Note the change of QBS procedure. The firm is now required to submit the Technical and Financial Proposal at the same time. Financial

proposals of all firms will remain encrypted. Only the first ranked technical firm will be required to submit substantiation documents to supplement Financial Proposals.

Preparing Proposals

Do not wait until the last day to submit your proposal. CMS is not a simple “drop-box” which can be used at the last minute as significant

validations for technical, financial proposals and tender data sheets are built within the system. As such, you will need to complete the electronic forms and templates. We estimate that submitting a proposal will take at least three hours, provided all information is correct, available and passes the system validations.

If the system specifies an , you will be precluded from submitting the proposal.

You will be able to proceed with the submission of the tender by either explaining the inconsistency or entering required information if the

system specifies a .

Do not forget to click on the Submit button after the proposal has been Verified and Finalized.

Submitting Proposals

If you have concerns regarding CMS forms, connectivity, error and warning messages, please address them to [email protected]. In-

clude screenshots to show your problem. Your enquiries will be attended to within normal ADB working hours: Monday-Friday, 08:00 AM - 05:00 PM, Manila Time (GMT + 8). ADB cannot guarantee technical support on the submission deadline date.

Addressing Technical Concerns

[email protected]

v04

Section 1 – Letter of Invitation 1-1

TA-RFP-Section 1-30Sep10

Asian Development Bank

SECTION 1. LETTER OF INVITATION

29 May 2013

TA-7978 PRC: Technical and Vocational Education and Training Demonstration Project - Part B - Policy Development (45511-001)

1. The Asian Development Bank (ADB) will finance consulting services for the above projectunder a Technical Assistance (TA) grant to the Government of the China, People'sRepublic of.

2. ADB now seeks proposals for the consulting services (Services) as described in theTerms of Reference. ADB will select the firm using Quality and Cost-Based Selection andSimplified Technical Proposal (STP) following this Request for Proposal (RFP) and theGuidelines on the Use of Consultants by Asian Development Bank and Its Borrowers. ThisRFP has been sent to the following shortlisted Consultants:

• ABU Consult - Training and Advisory Services Worldwide GmbH• Cambridge Education Ltd (Subsidiary Of Mottmacdonald Limited)• Integrated Development Enterprise Associates• South Asia Management And Engineering Services (Sames) Pvt. Ltd• Training And Technology Transfer Ltd

3. The RFP includes the following documents:

Section 1 : Letter of InvitationSection 2 : DefinitionsSection 3 : Instructions to Consultants (ITC)Section 4 : Data SheetSection 5 : Evaluation CriteriaSection 6 : Standard Forms for Proposal SubmissionSection 7 : Terms of Reference (TOR)Section 8 : Standard Form of ContractSection 9 : List of ADB Member Countries (Available on

http://www.adb.org/About/membership.asp)

4. For more information please refer to the project paper. Please note the budgeted amounts

http://www.adb.org/documents/guidelines/consulting/default.asp

http://www.adb.org/About/membership.asp

Section 1 – Letter of Invitation 1-2


in the Data Sheet of this RFP supersede the cost estimates in the project paper.

5. You may not assign this invitation to any other firm.

6. Through ADB's Consultant Management System (CMS), please inform ADB within 5working days of receiving this letter of invitation:

(a) if you will be submitting a proposal; and(b) if so, if you will be submitting a proposal alone, as a joint venture, or as a lead firm in

an association;(c) if a joint venture, whether you will submit as the lead partner.

Sincerely,

Asako MaruyamaEducation SpecialistUrban and Social Sectors Division, EARD

http://cms.adb.org

Section 2 – Definitions 2-1


SECTION 2. DEFINITIONS

For the purpose of this Request for Proposal (RFP),

"ADB" means Asian Development Bank.

"Anticorruption Policy" is ADB's policy requiring ADB staff and all parties carrying outADB-financed activities, to adhere to the highest financial and ethical standards. For details,please refer to http://www.adb.org/Integrity/.

"Association" is a partnership based on a written agreement among public or private entitiesfor providing the services. A lead firm will represent the association to sign a contract withADB, if selected.

"Client" means the Government of the recipient country of the ADB-financed TA or grant, orADB for an assignment which is financed by ADB's regional technical assistance (RETA) orinternal administrative budget.

"Client's country" means the country of the TA or grant recipient in the Data Sheet.

"Close relative" means spouse, son, daughter, mother, father, brother, sister, niece,nephew, grandmother, grandfather, granddaughter, grandson, aunt, uncle, cousin,stepmother, stepfather, stepsister, stepbrother, mother-in-law, father-in-law, sister-in-law,brother-in-law, daughter-in-law, or son-in-law.

"CMS" means the Consultant Management System, which is an online consultant recruitmentand management system ADB implemented.

"Coercive practices" means impairing or harming, or threatening to impair or harm, directlyor indirectly, any party or the property of the party to influence improperly the actions of aparty.

"Collusive practices" means an arrangement between two or more parties designed toachieve an improper purpose, including influencing improperly the actions of another party.

"Consultancy inputs" means the time in which the consultant's services are to be performedduring the contract. One person-month is equivalent to 30 calendar days (for field work) or 22working days (for home office). For periods of less than 1 person-month of field work, thecalculation basis is 1 calendar day which is equivalent to 1/30 of a month. For less than 1person-month of home office work, the calculation basis is 176 working hours which isequivalent to 1 person-month, or 8 hours, which is equivalent to 1/22 of a person-month, or asthe contract provides.

"Consultant" means a private or public entity, or a joint venture invited to submit a proposalfor the services and, if selected, provides the services to ADB.

"Contract" means the contract signed by the ADB and the consultant and the Appendixes.

http://www.adb.org/Integrity/



"Corrupt practice" means the offering, giving, receiving, or soliciting, directly or indirectly,anything of value to influence improperly the actions of another party.

"Counterpart facilities" means the facilities specified in the Data Sheet the EA provides forthe consultant generally free of cost, and may include office accommodation, transportation,equipment, and other services.

"CQS" means Consultant's Qualification Selection.

"Data sheet" means the RFP section that contains specific data and information on theselection process and services.

"Day" means calendar day, except where otherwise stated.

"DMC" means ADB Developing Member Country.

"Executing agency" or "EA" is the agency or authority (usually a government entity) of theclient's country administering the TA. The EA may also be ADB for a Regional TA.

"Experts" is defined also as "personnel".

"FBS" means Fixed Budget Selection.

"Field work" means the consultant's work at an assignment location other than the city orprovince where the consultant holds permanent residence or office.

"Fraudulent practice" means any act or omission, including a misrepresentation, thatknowingly or recklessly misleads, or attempts to mislead, a party to obtain a financial or otherbenefit or to avoid an obligation.

"Full-time employee" is an individual now employed under a contract or agreement ofemployment with the consultant or the sub-consultant; has been employed by the consultantor the sub-consultant for the last 12 consecutive months preceding the proposal submissiondate; is entitled to receive regular remuneration and benefits (e.g. social security, pension, ormedical contributions) from the consultant or the sub-consultant; and is engaged to work forthe consultant or the sub-consultant for the number of hours per day and days per yearconsidered the norm for full-time employees in the country of employment or in the country inwhich the person is assigned.

"Grant funds" means funds provided by a financier on a grant basis, i.e., that do not have tobe paid back by the receiver.

"Guidelines" means the Guidelines on The Use of Consultants by Asian Development Bank and Its Borrowers. For details, please refer to http://www.adb.org/Documents/Guidelines/Consulting/.

"Home office work" means the consultant's work at the city or province where the consultantholds permanent residence or office.

http://www.adb.org/Documents/Guidelines/Consulting/



"Implementing agency" or "IA" is the agency authorized to implement the project.

"International personnel/consultant expert" is defined in "Personnel".

"Joint venture" means a consultant comprising two or more partners, each of which is jointlyand severally liable to ADB, if selected, for all the consultant's contract obligations.

"LCS" means Least Cost Selection.

"Lead firm" means a private or public entity that plays the lead role in an association or jointventure.

"Lead partner" is the partner designated in the power of attorney to represent the jointventure or an association. Lead partner is the lead firm in a joint venture.

"National personnel/consultant/expert" is defined in "Personnel".

"Partner" means any entity that makes up the joint venture and partners mean all suchentities.

"Personnel" means qualified individuals the consultant assigns to perform all or part of theservices. "International personnel" means such qualified individuals who are citizens of anADB member country; "National personnel" means such qualified individuals who are citizensof the client's country. In this RFP, "personnel" may be used interchangeably with "experts".

"Project paper" means TA paper or TA concept paper if this RFP is for a TA project; or anydocument describing the project if this RFP is not for a TA project.

"Proposal" means a technical proposal or a financial proposal, or both.

"QBS" means Quality-Based Selection.

"QCBS" means Quality- and Cost-Based Selection.

"RFP" means this Request for Proposal.

"Services" means the work to be performed under the Terms of Reference and the contract.

"Shortlisted consultant" means the lead firm of an association or the lead partner of a jointventure.

"SSS" means Single Source Selection.

"Staff consultant" means an individual expert or consulting entity hired by ADB tocomplement or supplement its own staff for missions, or as a resource within ADB toundertake work under the direction and supervision of regular staff.

"Sub-consultant" means any person or entity with whom the consultant associates for



executing any part of the services and for whom the consultant is fully responsible.

"Technical assistance" or "TA" means the assistance ADB provides to help DMCs identify,design, implement, and operate development projects, and to strengthen their ability toformulate strategies, policies, and programs.

"Terms of Reference" or "TOR" means Section 7 of the RFP, which explains the objectives,scope of work, activities, respective responsibilities of ADB and the consultant, and expectedcontract results and deliverables.

Section 3 – Instructions to Consultants 3-1


SECTION 3. INSTRUCTIONS TO CONSULTANTS

1. Selection method - ADB selects consultant from those listed in the Letter of Invitation,in accordance with the method of selection specified in the Data Sheet.

2. Basis for contract - The consultants are invited to submit proposals for the services.The proposal serves as a basis for contract negotiations.

3. Site visit - Consultants should familiarize themselves with local conditions for theservices and consider them in preparing proposals. To obtain first-hand information,consultants may visit the Executing Agency (EA) before submitting a proposal.Consultants contact the EA's representative named in the Data Sheet to arrange for theirvisit. Consultants advise the EA well before the visit to allow the EA time to arrange for it.

4. Reservation clause - Consultants bear all costs in preparing and submitting theirproposals and contract negotiation, if selected. ADB is not bound to accept anyproposal, and reserves the right to postpone or annul the selection process at any timebefore contract award, without incurring any liability to the consultants.

5. EA support - Where specified in the Data Sheet and at no cost to the consultant, the EAprovides the counterpart facilities for contract implementation specified in the DataSheet. The EA assists the consultant in obtaining licenses and permits to carry out theservices, and offers project data and reports.

6. Conflict of interest – ADB considers a conflict of interest to be a situation in which aparty has interests that could improperly influence that party's performance of officialduties or responsibilities, contractual obligations, or compliance with applicable laws andregulations and that such conflict of interest may contribute to or constitute a prohibitedpractice under ADB's Anticorruption Policy. In pursuance of the anticorruption policy'srequirement that borrowers (including beneficiaries of ADB-financed activity) as well asconsultants under ADB-financed contracts or administered contracts observe the higheststandard of ethics, ADB will take appropriate actions to manage such conflicts of interestor may reject a proposal for award if it determines that a conflict of interest has flawedthe integrity of any consultant selection process.

7. Conflicting activities - Without limitation on the generality of the foregoing, consultants(including sub-consultants) are not recruited under the following circumstances:

(a) Conflict between consulting activities and procurement of goods, works or services:Consultants or sub-consultants ADB engaged to provide goods, works, or servicesfor a project are disqualified from providing consulting services related to suchproject. Conversely, consulting firms or sub-consultants hired to provide consultingservices for preparing or implementing a project are disqualified from subsequentlyproviding goods, works, or services resulting from or directly related to the firm's orindividual consultant's services for such preparation or implementation.

(b) Conflict among consulting assignments: Consulting firms or sub-consultants arenot hired for any assignment that may conflict with another assignment of the firm




or sub-consultant. As an example, consulting firms or sub-consultants hired toprepare engineering design for an infrastructure project are not engaged to preparean independent environmental assessment for the same project, and consultingfirms or individual consultants assisting a client in privatizing public assets neitherpurchase, nor advise purchasers of, such assets. Similarly, consultants hired toprepare terms of reference (TOR) for an assignment are not hired for the servicesin question.

(c) Relationship with ADB or client's staff: Consultants or sub-consultants with abusiness or family relationship with an ADB or client's staff member or with an ADBor client's staff member who is directly or indirectly involved in any part of (i)preparing the TOR of the contract, (ii) recruiting for such contract, or (iii)supervising such contract are not awarded a contract, unless the conflict stemmingfrom this relationship has been resolved acceptably to ADB throughout therecruitment and contract execution.

8. Fair competition - Fairness and transparency in the recruitment process require thatconsultants or sub-consultants competing for a specific assignment do not derive acompetitive advantage from having provided consulting services related to theassignment in question. To that end, ADB shall make available to all the shortlistedconsultants together with the RFP, all information that would have otherwise given aconsultant or sub-consultant a competitive advantage.

9. Disclosure of conflict of interest - Consultants must disclose any situation of actual orpotential conflict of interest. Failure to disclose such situations may lead to disqualifyingthe consultant or terminating its contract.

10. Current and former employees of the client - No agency or current employees of theclient and the EA work as consultants under their own ministries, departments oragencies for the services. To determine whether a conflict of interest exists, ADB'swritten approval must be sought before former government employees of the client andthe EA are recruited. When consultants nominate any government employees aspersonnel in their technical proposal, such personnel must have written approval fromtheir employer, confirming that they will be on leave without pay from their officialposition and available to work full-time on the assignment for the period required and forany reasonable extension. The consultant invited to contract negotiations provides ADBwith the evidence of such approval before the negotiations.

11. Anticorruption - ADB's Anticorruption Policy requires that ADB staff and allbeneficiaries of ADB-financed or administered activities (including the EA and the IA), aswell as consultants under ADB-financed or administered contracts, observe the highestethics during selection and in contract execution. ADB

(a) will reject a proposal for award if it determines that the consultant recommendedfor award has directly, or through an agent, engaged in corrupt, fraudulent,collusive, or coercive practices in competing for the contract in question;

(b) will cancel the portion of the financing allocated to the contract if it determines thatrepresentatives of the client or of a beneficiary of ADB financing engaged in




corrupt, fraudulent, collusive, or coercive practices during consultant selection orcontract execution, without the client or beneficiary having taken timely andappropriate action satisfactory to ADB to remedy the situation;

(c) will sanction a party or its successor, including declaring ineligible, eitherindefinitely or for a stated period, such party or successor from participating inADB-financed or administered activities if it ever determines that the consultanthas, directly or through an agent, engaged in corrupt, fraudulent, collusive orcoercive practices in competing for, or in executing, an ADB-financed oradministered contract; and

(d) may require that, in consultant selection documentation and in ADB-financedcontracts, a provision be included requiring consultants to permit ADB or itsrepresentative to inspect their accounts and records and other documents relatingto consultant selection and contract performance and to have them audited byauditors ADB appoints.

12. Eligibility - A consulting firm, participating in the bidding for services, whether as a leadfirm, partner or sub-consultant, must be a legal entity of an ADB-member country. Anindividual nominated as a member of the consultant team for this assignment must be acitizen of an ADB-member country. Consultants and their sub-consultants must not beon any ADB sanction or suspension list due to integrity violations or poor performance,or on any recognized terrorism list.

13. Fees unrelated to services - Consultants must present information on fees, gratuities,rebates, gifts, commissions, or other payments, paid or to be paid to agents andrepresentatives relating to their respective proposal and during the execution of theservices, as requested in the proposal submission letter.

14. One proposal - Shortlisted consultants only submit one proposal. However, this doesnot limit including sub-consultants in more than one proposal subject to the conditions inpara 22(b).

15. Validity - The Data Sheet indicates how long consultants' proposals must remain validafter the submission date. During this period, consultants maintain the availability ofexperts nominated in the proposal. ADB will try to complete negotiations within thisperiod. ADB may request consultants to extend proposal validity periods. Consultantsmay refuse to extend the validity.

16. Registration in CMS - Lead firms, and partners of a joint venture, must register in theCMS before the deadline for submitting proposals. An individual nominated as a memberof the consultant team must register in the CMS before contract negotiation.

17. Clarification of RFP - Consultants may request clarification of any contents of the RFPno later than the number of days before the deadline for the submission of Proposals asindicated in the Data Sheet. Any request for clarification must be sent through CMS.ADB will respond through CMS. All the consultants in the CMS may access theresponse (including an explanation of the query but not the inquiry source). Should ADBdecide to amend the RFP as a result of a clarification, it does so following the procedure



under paragraph 18.

18. Amendment of RFP - At any time before the deadline for submitting proposals, ADBmay amend the RFP with an addendum in CMS. After consultants are notified by email,they can access the addendum in CMS, and it will be binding on them. Consultantsacknowledge receiving amendments through CMS. To give consultants reasonable timeto incorporate amendments in their proposals, ADB may, if the amendment issubstantial, extend the deadline for submitting proposals. ADB can extend proposaldeadlines at its discretion.

19. Clarification of proposals - From ADB's receipt of the proposals to award of contract,ADB normally does not request the consultant to clarify any matter about its proposal.

20. Language - The proposal and all related correspondence between the consultants andADB, are in English.

21. Compliance with RFP - In preparing their proposals, consultants are to examine indetail the RFP documents. Consultants whose proposals do not meet RFP requirementsmay fail the minimum qualifying score of 750.

22. Association or joint venture - While preparing the technical proposal, consultantsshould attend to the following:

(a) For a proposal, a shortlisted consultant may boost its expertise for the assignmentby

(i) associating with non-shortlisted firms, with the consultant as the lead firm andsolely liable under the contract; or

(ii) forming a joint venture with non-shortlisted firms, with the consultant and thepartners of the joint venture jointly and severally liable under the contract.

If the consultant constitutes a joint venture, the consultant submits (i) a copy of thejoint venture agreement with its technical proposal and (ii) a power of attorney(executed by all partners) that authorizes the designated lead partner of the jointventure to act for the joint venture and to legally bind such joint venture in anycontractual or similar documentation. Any joint venture agreement and joint venturepower of attorney is attached to the consultant's technical proposal.

(b) No shortlisted consultant (including any joint venture partner) can associate withanother shortlisted consultant unless otherwise indicated in the Data Sheet. Everyfull-time employee of a shortlisted consultant is ineligible to participate as anassociate or sub-consultant of another consultant shortlisted for the assignment.

(c) A shortlisted consultant, for a joint venture or an association (i.e., lead firm andsub-consultants), may broaden its expertise and experience by adding additionalpartners or associates/sub-consultants, subject to the restrictions in (ii) above, in itsproposal.



(d) The joint venture agreement identifies the lead partner. All partners in a jointventure sign the proposal unless the lead partner is nominated to do so in thepower of attorney.

(e) None of the firms or experts proposed in an association or joint venture should bethe subject of an ADB sanction.

(f) Alternative experts may not be proposed, and only one curriculum vitae (CV) maybe submitted for each position.

23. Proof of legal status - Before contract negotiations, the selected consultant mustupdate or confirm in the CMS its legal status as necessary. Proof of legal status mayinclude certificate of incorporation (or registration, for a partnership or joint venture) orany document required by the commercial laws of the ADB member country establishingthe consultant's status to transact business as a legal entity.

24. Former ADB staff - Consultants may include former ADB staff in their team of experts ifthe staff:

(a) has since retired/resigned for at least 12 months;

(b) has not been directly involved in matters related to the TA;

(c) has performed satisfactorily during previous service with ADB; and

(d) has no close relatives as current ADB staff.

Former executive directors and alternate executive directors on the Board andvice-presidents may not work as consultants less than 3 years after their effectivetermination dates (except when waived by Management).

25. Spouses of current ADB staff - Consultants may include current ADB staff spouses intheir team of experts if

(a) the proposed consultancy position is not in the same office as their spouse;

(b) the proposed consultancy position could not be perceived to involve an actual orpotential conflict of interest by the ADB staff or spouses;

(c) the spouses are not spouses of the President, Vice President, ManagingDirector-General, Head or Deputy Head of an office or department, and the DeanADB Institute (ADBI) except with special approval from the ADB President.

Close relatives of consultants currently engaged by ADB may not work as consultants ifthere is real or potential conflict of interest.

26. Clearance - Engaging former ADB staff and spouses of current ADB staff requires



ADB's clearance before contract negotiations.

27. Disqualification - A nominated expert receives a zero rating if the expert

(a) is not a citizen of an ADB member country (determined from the expert's passportor other equivalent legal documents for national professionals in certain countrieswith no passports); or

(b) is proposed for national positions but is not a citizen of that country; or

(c) failed to state citizenship in his/her CV; or

(d) his/her CV is not certified and signed with the requirement specified in TECH-5 ofSection 6;

(e) is a current employees of the EA or IA; or

(f) has failed to disclose any situation of actual or potential conflict as in paragraph 9;or

(g) is a close relative (other than spouse) of current ADB staff.

28. Technical proposal - The Consultants are required to submit a Technical Proposal ofthe type indicated in the Data Sheet. The technical proposal provides the information inthe technical forms in CMS. Proposers should note that certain technical forms havepage limits. Exceeding the number of pages results in 5 points deduction from theconsultant's total score for every page over the maximum page limit. A page isconsidered to be one printed side of A4 or letter-size paper.

29. No price in technical proposal - The technical proposal does not include any financialinformation. A technical proposal containing financial details under any selectionmethod, except CQS and SSS, will be declared non-responsive.

30. Financial proposals - The consultants prepare the financial proposal using the financialforms in CMS. All activities and items described in the technical proposal must be priced.For non-remuneration (e.g. out-of-pocket) related omissions, any activities or itemsdescribed in the Technical Proposal but not priced, are assumed to be in the prices ofother activities or items in the financial proposal. [For remuneration related costs, theminimum number of person months specified in the Data Sheet for international andnational experts must be given in the personnel schedule (TECH-4 in Section 6) of thetechnical proposal]. Firms may be required to submit information on the breakdown ofremuneration rates of each team member before contract negotiations.

31. Maximum budget - Financial proposals with a total price, inclusive of provisional sumsand contingency when applicable, exceeding the maximum budget indicated in the DataSheet will not be accepted by CMS. The maximum budget is in US Dollars.

32. Currencies - Consultants may express their service prices in any fully convertiblecurrency of an ADB member country, singly or in combination provided that the financial

http://www.adb.org/About/membership.asp



proposal includes no more than four (4) currencies inclusive of the US Dollar.

33. Exchange rates - ADB will provide consultants through CMS the exchange rates forcomputing the US dollar equivalent for preparing and evaluating financial proposals. Theexchange rates will be online 10 days before the deadline for submitting proposalsthrough CMS and will be automatically inserted into the financial proposal whenapplicable.

34. Submission of proposals - The consultant's authorized representative signs theproposal submission letter and submits the proposal through CMS. The authorization isa written power of attorney accompanying the proposal or any other form demonstratingthat the representative is authorized to sign the proposal on behalf of the consultant.Proposals are sent online through CMS after the exchange rates become available onCMS (see Paragraph 33 of this Section). CMS will not accept any proposal after thesubmission deadline indicated in the Data Sheet, or any extension to this date. Technicaland financial proposals submitted online will be encrypted until the designated openingdates.

35. Copy of proposal to the EA - If the Data Sheet indicates an EA other than ADB, thenADB will submit an electronic copy of the technical proposal to the EA (without any priceinformation on the proposal) for information as soon as the proposals are received andopened in CMS.

36. Opening of technical proposals - ADB opens the technical proposals through CMSafter the deadline for submitting proposals. The financial proposal remains encryptedand securely stored in CMS.

37. No influence on evaluation - From the deadline for submitting proposals to contractaward, the consultants do not contact ADB on any matter related to the proposal. Anyeffort by consultants to influence ADB in evaluating and recommending contract awardresults in proposal rejection.

38. Evaluation of technical proposals - The evaluation committee evaluates the technicalproposals' responsiveness to the TOR, applying the evaluation criteria, as in thesummary evaluation criteria. Each responsive proposal receives a technical score. Aproposal is rejected at this stage if it does not respond to important aspects of the RFPor if it fails to achieve the minimum technical score of 750.

39. Notification of technical evaluation results - After the technical evaluation, ADBnotifies by CMS e-mail consultants whose proposals did not meet the minimumqualifying mark or were considered non-responsive to the RFP. It indicates that theirfinancial proposals will remain encrypted until the completion of selection and will bedeleted thereafter. ADB simultaneously notifies by CMS e-mail consultants that securedthe minimum qualifying mark. It indicates the date and time for the opening of thefinancial proposals online through CMS.

40. Opening of financial proposals - Financial Proposals are decrypted and opened byADB through CMS on the date and time in the notification of technical evaluation results.



The consultants' names, their technical scores, and total prices in the financial proposalsare published in CMS.

41. Evaluation of financial proposals - When ADB reviews the detailed content of afinancial proposal it seeks no clarification or additional information from any consultantwho submitted a financial proposal. Financial proposals are reviewed to ensurecompleteness (if consultants have priced all items of the corresponding technicalproposal as in the Data Sheet). The evaluated total price (ETP) for each financialproposal is determined. The ETP excludes non-competitive components (contingenciesand provisional sums). The ETP is converted to US dollars using the exchange ratedealt with in paragraph 33 of this Section.

(a) To allow comparison, each financial proposal is scrutinized to determine an ETPin US dollars. The lowest evaluated financial proposal will receive the maximumscore of 1,000 marks. The score for other proposals is inversely proportional totheir ETP and is computed as follows:

Where: Sf = 1,000 x Fm / F

Sf is the financial score of the Financial Proposal being evaluated,Fm is the ETP of the lowest priced Financial Proposal,F is the ETP of the Financial Proposal under consideration.

(b) Following evaluation of technical and financial proposals, the proposals areranked. This normally applies a weight as specified in the Data Sheetrespectively to the technical and financial score of each evaluated qualifyingtechnical and financial proposal for a combined total score for each consultant.After such final ranking, the first-ranked consultants will be invited for contractnegotiations.

42. Negotiations - Subject to any amendment, negotiations are held at the date andaddress in the Data Sheet or correspondence. The invited consultant, as a pre-requisitefor attending, confirms through CMS availability and CMS registration of all expertsnamed in its proposal. To reconfirm eligibility, the consulting firm, if selected, will berequired to submit to ADB copies of all its team members' passports or othergovernment-issued ID prior to contract negotiation. Failure to do so may result in ADBinitiating negotiations with the next-ranked consultant. Representatives conductingnegotiations for the consultant must have written authority to negotiate and conclude acontract.

43. Technical negotiations - Negotiations include a discussion of the technical proposal,the proposed technical approach and methodology, work plan and schedule,organization and personnel, and any consultant suggestions to improve the TOR. ADBand the consultant finalize the TOR, personnel schedule, work schedule, logistics, andreporting. These documents are then incorporated in the contract as "scope ofservices/TOR." Clearly defining the consultancy inputs and facilities required from theEA receives special attention to ensure satisfactory assignment implementation.

44. Financial negotiations - The financial negotiations generally fine-tune the duration of



the consultancy inputs. The quantities of out-of-pocket expenditure items may beincreased or decreased from the amounts shown or otherwise agreed in the financialproposal. The details of an expert's remuneration and specific unit rates for out-of-pocketexpenditures will not be negotiated.

45. Availability of personnel - Having selected the consultant by evaluating proposedpersonnel, ADB expects to negotiate a contract for the personnel named in the proposal.Before contract negotiations commence, ADB requires written assurances that thepersonnel will be actually available. ADB will not consider substitutions before or duringcontract negotiations unless both parties agree that undue delay in selection makessuch substitution unavoidable or for reasons such as death or medical incapacity. ADBmay also request the invited firm to replace any nominated team member who (i)receives a rating below 70% (average); (ii) is deemed unsuitable for a proposed position;or (iii) has received an "unsatisfactory" performance evaluation rating within the last 5years. If ADB requests replacement, such replacement shall have a unit rate notexceeding the remuneration the firm proposed for the original candidate in its financialproposal. Any proposed replacement must have equivalent or better qualifications andexperience than the original candidate. The consultant must submit the replacementwithin the time specified in the letter of invitation to negotiate. Failure to meet either ofthese requirements may result in disqualification.

46. Conclusion of the negotiations - Negotiations conclude with a review of the draftcontract. To complete negotiations, ADB and the consultant sign the agreed contract. Ifnegotiations fail, ADB invites the next-ranked consultant depending on the selectionmethod to negotiate a contract.

47. Award of contract - After completing negotiations, ADB awards the contract to theselected consultant and notifies the other consultants who were unsuccessful or whoseproposals were considered non-responsive. The consultant is expected to commenceservices on the date and at the location specified in the notice to proceed.

48. Debriefing - Consultants not awarded the contract may request an oral debriefing ontheir proposals from ADB after contract award.

49. Confidentiality - Information on the evaluation of proposals and recommendationsconcerning awards are not disclosed to the consultants who submitted the proposals orto other persons not officially concerned with the process.

50. CMS Security - CMS uses an advanced encryption solution with industry standardencryption algorithms and key management to encrypt sensitive proposal data.

51. Access to CMS - Each consultant uses a password to log into CMS (see detailedinstruction on the CMS log-in page). Using the user name and password of theconsultant's primary contact or appointed representative, the consultant has access tothe consultant's own registration profile and proposals, in addition to the data andinformation provided by ADB to all consultants. The consultant does not have access toany other consultant's registration profile and proposals. The consultant takesresponsibility to protect its password. ADB is not liable for any loss of data and



information or any cost or damage resulting from such loss due to an unsecuredpassword.

52. System downtime - Consultants should be aware that like any IT system, CMS maypossibly encounter technical difficulties and malfunctions in ADB's server supportingCMS. When these occur, ADB takes immediate measures to restore the system andreduce possible delays in the selection process. If the technical difficulty cannot beovercome quickly, ADB implements a manual system and informs the consultants withdetailed instructions in order to continue the selection process. Consultants are informedwith detailed instructions. ADB is not liable for any loss or damage claimed by any partydue to these technical difficulties.

Section 4 – Data Sheet 4-1


SECTION 4. DATA SHEET

Reference Clauses inSection 3

TA-7978 PRC: Technical and Vocational Education and Training Demonstration Project - Part B - Policy Development (45511-001)

1 Method of Selection QCBS3 Executing Agency Contact Person

and AddressLiu HongjieDeputy Director, Ministry of Education (Division of Teacher and Scientific Research Management, Department of Vocational Education and Adult EducationMinistry of Education37 Damucang Huton, Xidan, Beijing 100816,BeijingChina, People's Republic ofPhone: +8610 6609 7715, Fax: +8610 66097715Email: [email protected]

He ZhenVice-Director, Associate Professor, PhD, National Institute for Vocational Education, Beijing Normal UniversityMinistry of Education37 Damucang Huton, Xidan, Beijing 100816,BeijingChina, People's Republic ofPhone: +8610 58803871, Fax: +8613 910513619Email: [email protected]

5 The Executing Agency (Ministry ofEducation) will provide the following Counterpart Facilities

Counterpart Staff

Office Accommodation

Access to Data and Information

Details on counterpart staff and/or facilities:

Implementing Agency, National Institute for

Vocational Education, will provide

counterpart staff, office accommodation, and

access to data and information.

15 Validity of Proposal 22 September 2013 04:00 PM GMT +08:00 04:00pm GMT +08:00

17 Correspondence concerning the RFP is sent to

Asako Maruyama

17 Clarifications may be requested 17 June 2013

Section 4 – Data Sheet 4-2


not later than22 Short-listed Consultants may

associate with other short-listed Consultants

No

28 Type of Technical Proposal required

Simplified

Minimum person months that mustbe shown in Personnel Schedule

International Experts: 2 Person-Months National Experts: 17 Person-Months

30 Required expenditure items in the Financial Proposal

International Remuneration, Field Services

National Remuneration, Field Services

International Per Diem Allowance

National Per Diem Allowance

International Air Travel

National Air Travel

Miscellaneous Travel Expense

Land Transport and Vehicle Hire

Communications

Report Preparation, Production and

Transmission

31 Provisional Sums Seminars, Workshops, Training (4

workshops): USD 50,000

Studies, Surveys and Reports: USD 55,000

31 Contingency USD 12,10031 Maximum Budget for Consulting

Services Assignment (including the provisional sums and contingency shown above)

USD 320,000

34 Proposal Submission Deadline 24 June 2013 04:00 PM GMT +08:00 04:00pm GMT +08:00

40 Expected date of Opening of Financial Proposals

15 July 2013 04:00pm GMT +08:00

41(b) Quality-Cost Ratio 90:1042 Expected date to start Contract

Negotiations22 July 2013

47 Expected date to start Consulting Services Assignment

1 August 2013

Max.Weight Rating Score Rating Score Rating Score Rating Score Rating Score Rating Score

300 0 0 0 0 0 0a Quality of Approach and Work Plan 200 0 0 0 0 0 0b Personnel Schedule 50 0 0 0 0 0 0c Proposal Presentation 50 0 0 0 0 0 0

II. Personnel (Areas of Expertise) 700 0 0 0 0 0 0125 0 0 0 0 0 0

a TVET school-enterprise cooperation policy specialist 125 0 0 0 0 0 0 0 0 0 0 0 0575 0 0 0 0 0 0

a Team Leadership 50 0 0 0 0 0 0 0 0 0 0 0 0b TVET school-enterprise cooperation policy specialist/team leader 125 0 0 0 0 0 0 0 0 0 0 0 0c Education/TVET economist 120 0 0 0 0 0 0 0 0 0 0 0 0d Legal specialist 120 0 0 0 0 0 0 0 0 0 0 0 0e Work-related injury insurance specialist 100 0 0 0 0 0 0 0 0 0 0 0 0f Gender specialist 60 0 0 0 0 0 0 0 0 0 0 0 0

TOTAL 1000 0 0 0 0 0 0Rating: Excellent = 100% Very Good = 90 - 99% Above Average = 80 - 89% Average = 70 - 79% Below Average = 1 - 69% Non-complying = 0%Score: Maximum Weight x Rating / 100

TTT

I. Approach and Methodology

International Consultants

National Consultants

ASIAN DEVELOPMENT BANK CONFIDENTIALSUMMARY EVALUATION SHEET FOR SIMPLIFIED TECHNICAL PROPOSAL

QCBSTA-7978 PRC: Technical and Vocational Education and Training Demonstration Project - Part B - Policy Development (45511-001)

EVALUATION CRITERIA ABU Consul CE IDEA SAMES

Section 6 – Standard Forms for Proposal Submission 6-1


SECTION 6. STANDARD FORMS FOR PROPOSAL SUBMISSION

1. Contents of the proposal - The Consultant is required to complete the following forms inthe Proposal for submission through CMS.

(i) Proposal Submission Letter

(ii) Technical Proposal

TECH-1 Description of the Approach, Methodology and Work Plan for Performingthe Assignment

TECH-2 Team Composition, Task Assignments, and Summary of CV Information(CMS online form)

TECH-3 Work Schedule

TECH-4 Personnel Schedule (CMS online form)

TECH-5 Curriculum Vitae (CV) for Proposed International or National Experts

(iii) Financial Proposal

FIN-1A Remuneration (CMS online form)

FIN-1B Remuneration Breakdown (CMS online form)

FIN-2 Breakdown of Reimbursable Expenses (CMS online form)

FIN-3 Summary of Costs (CMS online form)

2. Instructions for preparing technical proposal forms

(i) Form TECH-1 Description of Approach, Methodology and Work Plan for Performingthe Assignment - A downloadable template is available from the Technical ProposalStandard Attachments section of CMS.

(ii) Form TECH-2 Team Composition, Task Assignments, and Summary of CVInformation - This form is directly entered into CMS.

See the corresponding Quick Reference Guide (QRG) on Submitting Proposals inthe CMS Dashboard.

(iii) Form TECH-3 Work Schedule - A downloadable template is available from theTechnical Proposal Standard Attachments section of CMS.

(iv) Form TECH-4 Personnel Schedule - This form is generated by CMS from yourinputs in TECH-2.



(v) Form TECH-5 Curriculum Vitae (CV) for Proposed International or National Experts- A downloadable template is available from the Technical Proposal StandardAttachments section of CMS.

3. Instructions for Preparing Financial Proposal Forms

(i) (a) Form FIN-1A Remuneration – FIN-1A identifies the monthly billing rates foreach international and national expert the consultant fields as part of its proposedteam of experts.

(b) Form FIN-1B Remuneration Breakdown – Firms are not required (althoughfirms are encouraged) to provide all breakdowns except for the Monthly Salary(column 1) for each team member. If the firm opts not to provide thebreakdowns for Social Charges (column 2) and Overhead (column 3), the firmmay enter an amount under Fee (column 5) and/or Others (column 7) to arriveat the billing rates for Home Office (column 6) and/or Field (column 8).

a. Basic monthly salary is the actual base salary the consultant, or itssub-consultant, regularly pays to its regular full-time employee based on theemployee's employment contract with the firm. This is before anysupplemental payments or deductions to or from the salary. During contractnegotiations, the consultant provides certified copies of salary slips orcontracts of employment to support salaries the consultant shows in thefinancial proposal.

b. Social charges represent costs to the consultant for employee benefitssuch as paid vacation, contributions to pension funds, insurance, and similarcosts directly attributable to the employee. These costs are distinguishedfrom the firm's generalized overhead costs.

c. Overhead cost represents the consultant's normal overhead expenditurefor its consulting at the home office. The consultant and its joint venturepartner or its sub-consultant each show one overall average percentagefigure to be applied for all of their own experts who are regular full-timeemployees. For independent individual experts contracted from outside theconsultant's own regular full time employees, show a suitably reducedoverhead as a percentage of their contracted cost.

d. The fee or profit the consultant earns is computed as a percentage of thesummation of the basic monthly salary, the social charges, and theoverhead cost. A 10-15% fee is usual, depending on the magnitude ofthese component costs.

e. Other allowances include other payments the consultant is obligated to addto the expert's home office basic monthly salary when the expert is workingoutside its home country. For such cases during contract negotiations theconsultant provides a copy of the expert's employment conditions showingthe consultant's obligation to pay. When ADB accepts this allowance, it is



computed at a percentage of the expert's basic salary and is not subject tosocial charges, overhead cost or fee additions. The maximum allowanceADB will accept is limited to 20% of the expert's basic salary.

f. The multiplier shows the ratio between the home office rate each monthand the basic monthly salary. The ratio normally ranges from 2.0 to 3.0 forregular full-time employees of the consultant or its joint venture partner orsub-consultant and from 1.1 to 1.3 for independent experts the consultantprovides. These multipliers are subject to negotiation but should not exceed3.0 for regular full-time employees and 1.3 for independent experts, exceptwhen the basic salary is particularly low.

g. Support documentation will be required for ADB's review duringcontract negotiations. This includes salary slips or employment contractsto support basic salaries the consultant shows in the financial proposal anda copy of the consultant's or sub-consultant's latest set of annual statementsof income and expenditure as certified by an independent auditor.


(ii) Form FIN-2 Breakdown of Reimbursable Expenses

(a) Form FIN-2 identifies all out-of-pocket expenditures the consultant considersnecessary for the assignment.

(b) All required out-of-pocket expenditure is an international or a local expenditure(all per diems for international experts are foreign expenditures).

a. Type - whether the expenditure is an international or local expenditure (allper diems of international experts are considered to be foreignexpenditures).

b. Unit - type of unit (monthly, daily lump sum, etc.)c. Currency - currency of expenditured. Per unit cost - unit rate for the iteme. Quantity - quantity of the item

(c) Per Diems

a. For international experts, the weighted average per diems (i.e., one perdiem rate for all locations) need to be computed (per diems are calculatedby 30 days a calendar month). The per diem comprises room costs andsubsistence allowance for meals and other similar expenses.

b. For national experts required to work away from the consultant's projectoffice, show the weighted average per diems (per diem rate for all locations)of the national experts calculated by 30 days a calendar month.



(d) International Travel

International travel costs show the return airfares for international experts totravel from their home office, or regular workplace, to the field. The number ofround trips, cost for each trip, and destinations are shown under "air travel". Aseparate item "miscellaneous travel expenses" is shown to cover a lump sumallowance for processing travel documents, inoculations, and transport to andfrom airports for round trips.

(e) Provisional Sums and Contingencies

The amounts indicated as "provisional sums" (workshops, seminars, etc.) arereimbursable with the contingency amount being the same as those specified inthe data sheet.

See the corresponding Quick Reference Guide (QRG) on Submitting Proposalsin the CMS Dashboard.

(iii) Form FIN-3 Summary of Costs




Proposal Submission Letter

[Location, Date]

To: [Name and address of ADB]

Dear Sir/Madam:

We, the undersigned, offer to provide the consulting services for [Insert title ofassignment] following your request for proposal of [Insert Date] and our proposal. We submitthrough CMS our proposal which includes a technical and a financial proposal.

We submit our proposal in association with/as a joint venture: [Insert a list with fullname and address of each Joint Venture Partner or sub-Consultant]. Attached are thefollowing documentation: [joint venture agreement and joint venture power of attorney forlead partner]. [Delete if no association or joint venture is proposed].

We declare that all the information and statements in this proposal are true andaccept that any misinterpretation may lead to our disqualification.

We further certify on behalf of the consultant that (i) the proposals have beenprepared and submitted under the terms and conditions in the ADB's Guidelines on the Useof Consultants by Asian Development Bank and Its Borrowers (the Guidelines), (ii) theconsultant has not acted corruptly, fraudulently, collusively or coercively and is not subject toany conflict of interest as defined in ADB's anticorruption policy as in Sections 1.10-1.11 and1.23-1.25 of the Guidelines; and (iii) the consultant agrees to allow ADB to audit all accounts,documents, and records relating to the proposals and, if the consultant is engaged, to theensuing contract.

We certify that ADB has not sanctioned the consultant, any sub-consultant, jointventure partner, or expert the consultant nominated in these proposals.

Our financial proposal is binding upon us subject to the modifications resulting fromcontract negotiations, up to expiration of the proposal's validity period (before the date in thedata sheet).

We confirm that we [have / have not] paid and will not pay fees, gratuities, rebates,gifts, commissions or other payments to any individual or entity relating to this proposal andcontract execution, if we are awarded the contract. [If you have, list the amount paid, thepurpose(s) of the payment(s) and the name(s) of the individual(s) or entity/ies who receivedthe payment(s)].

If negotiations are held during the validity of the proposal, we will negotiate with theproposed personnel. Our proposal is binding upon us and subject to the modificationsresulting from contract negotiations.

We undertake, if our proposal is accepted, to initiate the consulting services for theservices by the date indicated in the data sheet.



We will carry out such services by complying with the Guideline's terms andconditions.

We understand you are not bound to accept any proposal you receive.

Sincerely,

Authorized Signature [In full and initials]: ____________________________________Name and Title of Signatory: _____________________________________________Name of Firm: _________________________________________________________Address: _____________________________________________________________



Form TECH-1 Description of Approach, Methodology and Work Planfor Performing the Assignment

The Technical Proposal should include the following three chapters:

a) Technical Approach and Methodology. Explain your understanding of the objectives ofthe assignment, approach to services, methodology for carrying out the activities andobtaining the expected output, and the degree of detail of such output. Highlight theproblems being addressed and their importance, and explain your technical approachaddressing them. Also explain the methodologies you propose to adopt and highlight thecompatibility of those methodologies with the proposed approach.

b) Work Plan. Propose the main assignment activities, their content and duration, phasingand interrelations, milestones (including interim ADB approvals), and delivery dates for thereports. The proposed work plan should be consistent with the technical approach andmethodology, showing understanding of the TOR and ability to translate them into a feasibleworking plan. Include a list of the final documents, including reports, drawings, and tables tobe delivered as final output. The work plan should be consistent with the Work Schedule ofForm TECH-3.

c) Organization and Personnel. Propose your team's structure and composition. List themain disciplines of the assignment, the key expert responsible, and proposed technical andsupport personnel. Specify if you will be the lead firm in a joint venture or associate withsub-consultants. [For joint ventures, attach a copy of the joint venture agreement.]

Page limit: Maximum of 10 pages

Comments in italics guide the consultants in preparing their technical proposals. They should not appear on thetechnical proposals to be submitted.



Form TECH-3 Work Schedule

No Activity1Months2

1 2 3 4 5 6 7 8 9 10 11 12 n

12345

n

Page Limit: See Page Limit of TECH-1

1Indicate all main activities of the assignment, including delivery of reports (e.g.: inception, interim, and final reports), and other benchmarks such as ADBapprovals. For phased assignments indicate activities, delivery of reports, and benchmarks separately for each phase

2Duration of activities shall be indicated in the form of a bar chart.



Form TECH-5 Curriculum Vitae (CV) for Proposed International or National Experts

1. Proposed Position [only one candidate shall be nominated for each position]:______________________________________________________________________

2. Name of Firm [Insert name of firm proposing the expert]:____________________________________________________________________________________________________________________________________________

3. Name of Expert [Insert full name]: _______________________________________

4. Date of Birth ________________________ Citizenship ___________________

5. Complete personal contact details [Include complete address and telephone number/email address]: _______________________________________________________________________________________________________________________________

6. Education [Indicate college/university and other specialized education of expert, givingnames of institutions, degrees obtained, and dates of obtainment]:____________________________________________________________________________________________________________________________________________

7. Membership in Professional Associations ______________________________________________________________________________________________________

8. Other Training [Indicate significant training since degrees under 6 - Education wereobtained]: ___________________________________________________________________________________________________________________________________

9. Countries of Work Experience: [List countries where expert has worked in the last tenyears]: ______________________________________________________________________________________________________________________________________

10. Languages [For each language indicate proficiency]:

Level of Proficiency (Mother tongue, Excellent, Good, Fair,Poor)

Language Speaking Reading Writing



11. Employment Record [Starting with present position, list in reverse order everyemployment held by expert since graduation, giving for each employment (see formathere below): dates of employment, name of employing organization, positions held.]:

From [Year]: _______________ To [Year]: ___________________Employer: ______________________________________________Positions held: ___________________________________________

12. Detailed Tasks Assigned [List all tasks to be performedunder this assignment]

13. Work Undertaken that Best Illustrates Capability toHandle the Tasks Assigned[Among assignments involving the expert, indicate the following information for those that best illustrate the expert's capability to handle the tasks listed in line 12.]

Name of assignment or project: ____________________________________Year: ____________________________________Location: ____________________________________Client: ____________________________________Main project features: ____________________________________Positions held: ____________________________________Activities performed: ____________________________________

13. Certification:

I, the undersigned, certify to the best of my knowledge and belief− Yes No

(i) this CV correctly describes my qualifications and my experience.

(ii) I am employed by the Executing or the Implementing Agency.

(iii) I am a close relative of a current ADB staff member.

(iv) I am the spouse of a current ADB staff member.

(v) I am former ADB staff member.

• If yes, I retired from ADB over 12 months ago

(vi) I was part of the team who wrote the terms of reference for thisconsulting services assignment.

(vii) I am sanctioned (ineligible for ADB engagement).



[If CV is signed by the individual]I certify that I have been informed by the firm that it is including my CV in the proposal for the[name of project]. I confirm that that I will be available to carry out the assignment for whichmy CV has been submitted, in accordance with the implementation arrangements andschedule set out in the proposal.

[If CV is signed by the firm's authorized representative and the written agreement attached]I, as the authorized representative of the firm submitting this proposal for the [name of theproject] certify that I have obtained the consent of the named expert to submit his/her CV, andthat I have obtained a written representation from the expert that s/he will be available to carryout the assignment in accordance with the implementation arrangements and schedule setout in the proposal.

I understand that any willful misstatement may lead to disqualification or dismissal, and anyother ADB disciplinary action.

___________________________________________________ Date: _________________ [Signature of expert or authorized representative of the firm]

Full name of authorized representative:

________________________________________

Day/Month/Year

This CV can be signed by the consultant's senior representative. If the consultant's proposalis ranked first, a copy of the CV the expert or specialist signed must be submitted to ADBbefore commencing contract negotiations.

Page Limit: Maximum of 5 pages

1

TA 7978-PRC: Technical and Vocational Education and Training Demonstration Project (Part B: Policy Development)

Terms of Reference for Consulting Firm

Policy and Advisory Technical Assistance

A. Background 1. Expansion of quality technical and vocational education and training (TVET) has been identified as one of priorities in the National Plan for Medium and Long-term Education Reform and Development (2010-2020) of the People’s Republic of China (PRC). The Plan has highlighted the expansion of quality secondary and higher TVET as a principal measure to reduce a gap between labor market supply and demand, and to foster talents for entrepreneurship and innovation in production, science and technology. 2. The PRC has seen significant progress in expanding coverage of secondary and higher TVET since the 1980s, owning partly to the implementation of student stipend schemes. However, quality and relevance of TVET to labor market and socio-economic development demands need to be further strengthened in order to promote economic growth, employment and improved means of livelihood. With a view to improving the quality and relevance, the Plan has called for institutionalization of school-enterprise cooperation in TVET. 3. In the PRC, various forms of school-enterprise cooperation already exist in the areas of: teaching; on-the-job training; teacher training; equipment purchase tied up with installation, training for teachers and students, development of referential curriculum and teaching materials; technology development and transfer; and research and development (R&D) of new products. While no comprehensive statistics on school-enterprise cooperation in TVET are currently available, most of national demonstration vocational colleges have signed cooperation agreement with several thousand companies, leading to the establishment of a considerable number of off-campus practice bases and employment of part-time teachers from enterprises. 4. These initiatives notwithstanding, school-enterprise cooperation has not made significant headway in TVET. This may be attributed to various factors, including lack of legal and institutional framework for supporting school-enterprise cooperation at the national level, perceived risks and costs for enterprises to enter into cooperation agreement with schools, schools’ needs for knowledge and experience to establish mutually beneficial cooperation with enterprises. For example, appropriate policies and guidelines for promoting school-enterprise cooperation in TVET have not been adopted at the national level, although some local governments have issued guidelines for strengthening school-enterprise cooperation in TVET, covering the establishment of interdepartmental (e.g. education, labor, finance and others) committee to guide school-enterprise cooperation and fund for TVET development, tax deduction for enterprises which support TVET, and funding for interns’ remuneration. Enterprises are generally reluctant to invest in training for those who would not work for them in the future and often end up substituting interns and apprentices for cheap unskilled labor without training them. In addition, even though interns and apprentices are exposed to the risk of work-related injuries like other employees, they are insufficiently covered by insurance schemes. Schools, on the other hand, have little incentives and abilities to improve quality and relevance of education and training. Some schools view cooperation with enterprises merely as a solution to resource and employment shortages resulted from increased enrollment.

2

5. While problems abound, school-enterprise cooperation can provide opportunities for mutual gains. Through the government’s support to school-enterprise cooperation, enterprises can reduce the input of space and equipment (e.g. off-campus practice bases) and production costs (e.g. hiring interns). They can also identify qualified candidates for employees. Furthermore, joint research projects with schools may bring about innovation in management and production technology. Schools, students and teachers, on their side, can benefit from cooperation with enterprises. Schools can upgrade teaching standards by involving employers in shaping training curricula and course content. Students can also acquire competence and experience required in the real workplace within the school education system. Teachers can develop technical skills and knowledge, by working together with technicians of enterprises in joint research and development (R&D) projects. However, in order to capitalize on the opportunities, a proper system for managing intellectual property needs to be established in the context of school-enterprise cooperation in TVET. Likewise, methods and systems for sharing revenues accruing from joint research projects have to be developed. 6. For the programming exercise in 2010, the Ministry of Education (MOE) requested policy and advisory technical assistance (PATA) to improve school-enterprise cooperation in TVET. It was proposed that the PATA would contribute to the implementation of national policies which feature school-enterprise cooperation in TVET, namely: the National Plan for Medium and Long-Term Educational Reform and Development (2010-2020), the 12th Five Year Education Plan (2011-2015), the National Innovative Action Plan for Secondary TVET Education (2010-2012), and the Plan for Modern Vocational and Adult Education System (2012-2020); and to the amendment of TVET Law and research for drafting a National Regulation on School-Enterprise Cooperation. B. Consulting Services 7. Consulting services are required over a period of 8 months. Six consultants will be engaged through a consulting firm for a total of 19 person-months, consisting of 5 national consultants (17 person-months, of whom one acts as a team leader) and 1 international consultant (2 person-months). A consulting firm will be recruited in accordance with ADB’s Guidelines on the Use of Consultants (2010, as amended from time to time) and will be selected on the quality (90%) and cost (10%)-based selection method, using ADB’s simplified technical proposal. 8. The main outputs of the TA will be a technical report and a policy note prepared through stakeholder consultations, online and paper-based surveys. The technical report will be consisted of two parts: (i) analysis of national and international good practices of school-enterprise cooperation in TVET; and (ii) draft strategy for promoting school-enterprise cooperation in TVET. The draft strategy will cover the following areas: (a) roles and responsibilities of TVET stakeholders, including national, provincial and local governments, industrial associations, enterprises, secondary vocational schools and higher vocational colleges; (b) legal obligations of industrial associations, enterprises and vocational schools and colleges entering into cooperation agreement; (c) incentive schemes for enterprises (large, medium and small) to participate in TVET development; (d) system for managing intellectual property accruing from school-enterprise cooperation in TVET; (e) methods and systems for sharing revenues generated through school-enterprise cooperation in TVET; (f) work-related injury insurance schemes for students, teachers and employers involved in school-enterprise cooperation; (g) guidelines on intern and apprentice remuneration; (h) proposed amendments to the existing laws associated with school-enterprise cooperation in TVET, such as tax laws, enterprise laws and labor laws; and (i) action plan for promoting gender equity in school-

3

enterprise cooperation in TVET. The policy note will be prepared based on the technical report. It will succinctly summarize recommendations regarding: (a) system for managing intellectual property; methods and systems for sharing revenues; (b) incentive schemes for enterprises; (c) work-related injury insurance schemes for students, teachers and employers involved in school-enterprise cooperation; (d) guidelines on intern and apprentice remuneration; and (e) amendments to the existing laws associated with school-enterprise cooperation in TVET. The policy note will be disseminated widely as a knowledge product of the TA at a final workshop organized for policy makers. 9. The main outputs of the TA will be developed in three phases. By the end of Phase 1 which lasts two months, the consultants will prepare an inception report with draft outlines of the technical report and policy note. The inception report will include online and paper-based survey methodology and tools. Phase 2 will be consisted of two parallel activities: (i) review and analysis of legal and institutional frameworks and policies relating to school-enterprise cooperation in TVET and international and national good practices in this area; and (ii) training of researchers in data collection, entry and preliminary analysis, and survey administration. By the end of Phase 2 which lasts four months, the consultants will prepare a midterm review report which will summarize the results of the review and analysis, and the surveys and policy recommendations. During Phase 3 which lasts two months, the results and recommendations will be shared and discussed at stakeholder consultation workshops. Based on the consultations, the consultants will prepare draft technical report and policy note. The final technical report and policy note will incorporate comments and suggestions made by the MOE, NIVE, other provincial and local government departments and agencies, and the Asian Development Bank (ADB). 10. The expected key deliverables of the consultants are presented in Table 1. The consultants will make all the necessary arrangements for the translation of the deliverables in English and Chinese.

Table 1: Key Deliverables

No. Deliverable Expected Completion

1 Inception report including detailed outlines, methodologies, and schedule of the study, online and paper-based survey methodology and tools as well as outlines of the technical report and policy note

After 2 months

2 Midterm review report After 6 months 3 Draft final technical report and policy note After 7.5 months 4 Final technical report and policy note After 8 months 11. In order to promote full acceptance of the TA outputs, the consultants will perform their tasks in close consultation with the executing agency, the PRC Ministry of Education (MOE), and the implementing agency, the National Institute for Vocational Education (NIVE). The MOE will establish a project steering committee (PSC) to provide overall guidance and support for TA implementation. The PSC will be chaired by Director-General (or his deputy) of Vocational and Adult Education Department in MOE, and will comprise different stakeholders in school-enterprise cooperation in TVET. The NIVE will manage day-to-day TA activities. The consultants will be responsible for the organization of workshops and surveys. 12. Consulting services requirement is summarized in Table 2.

4

Table 1: Summary of Consulting Services Requirements International Person- National Person- Name of positions months Name of positions months

TVET school-enterprise cooperation policy specialist

2.0 TVET school-enterprise cooperation policy specialist/team leader

8.0

Education/TVET economist 4.0 Legal specialist 3.0 Work-related injury insurance specialist 1.0 Gender specialist 1.0 Subtotal 2.0 Subtotal 17.0

Source: Asian Development Bank

1. TVET school-enterprise cooperation policy specialist (national/team leader, 8 person-months)

18. The team leader should have a graduate degree in education, training administration, business administration and other relevant disciplines and at least 7 years of experience in school-enterprise cooperation in TVET and in developing strategies and guidelines on school-enterprise cooperation at national and/or local levels. The team leader must have a good command of both spoken and written English and Chinese, with a strong record in preparing technical reports in English and Chinese. She or he will perform the following tasks:

(i) Prepare all the required reports in English and Chinese, namely: (a) an inception report; (b) a field survey methodology and tools; (c) a midterm review report; (d) draft final technical report and policy note; and (e) final technical report and policy note. All the reports must be prepared, reflecting all consultants’ inputs and activities. They must meet international standards quality, and be submitted to the ADB, the executing agency and implementing agency on time.

(ii) Hold appropriate consultations with the executing agency, implementing agency and other provincial and local government departments and agencies throughout the assignment period to ensure that all outputs are locally adaptable and feasible.

(iii) Coordinate survey methodologies and tools, recruitment of researchers, training of researchers in data collection, entry, and preliminary analysis to ensure timely survey administration and quality of online and/or paper-based surveys.

(iv) Identify and review laws, regulations, policies and guidelines regarding school-enterprise cooperation in TVET at the national and local levels, including those on secondary and higher TVET, training content, methods, assessment and certification, teaching and teacher training, tax and other financial incentives for firms which provide training and enter into contractual agreement with schools, intern and apprentice status and remuneration, intellectual property, technology development and transfer, work-related injury insurance and gender.

(v) Analyze institutional arrangements for developing and implementing policies and guidelines regarding school-enterprise cooperation in TVET at the national and local levels.

(vi) Review and assess through online and/or paper-based surveys roles and responsibilities of TVET stakeholders, including national, provincial and local governments, industrial associations, enterprises, secondary vocational schools and higher vocational colleges, in areas such as: development of training content, methods and materials; student assessment and certification; teaching; provision of equipment and facilities; teacher training; internship and apprenticeship programs; and joint R&D projects.

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(vii) Develop procedures and guidelines for establishing, operating, monitoring and evaluating school-enterprise cooperation in TVET, including governance structure, roles and responsibilities of each actor, coordination mechanisms, and M&E indicators.

(viii) Recommend legal measures to enforce policies and guidelines on school-enterprise cooperation in TVET and to protect interests of both parties.

(ix) Supported by the other consultants, develop guidelines for students who seek internship or apprenticeship in enterprise.

(x) Present and discuss findings of reviews, analyses, and surveys with TVET stakeholders and policy makers in workshops.

2. TVET school-enterprise cooperation policy specialist (international, 2

person-months)

19. TVET school-enterprise cooperation policy specialist should have a graduate degree in education, training administration, business administration and other relevant disciplines and at least 10 years of experience in school-enterprise cooperation in TVET and in working at national TVET authorities, skills councils, chambers of commerce and/or international organizations/associations specialized in TVET. Experience in the PRC is preferred. The TVET school-enterprise cooperation policy specialist will perform the following tasks:

(i) Assist/advise the team leader in preparing all the required reports, namely: (a) an inception report; (b) field survey methodology and tools; (c) a midterm review report; (d) draft final technical report and policy note; and (e) final technical report and policy note.

(ii) Identify and analyze international best practices of school-enterprise cooperation in TVET in terms of: legal and institutional arrangements; training content, methods, assessment and certification; teaching and teacher training; provision of equipment and facilities; contractual agreements between schools, enterprises and industrial associations; tax and other financial incentives for firms which provide training and enter into contractual agreement with schools; internship and apprenticeship programs including remuneration and insurance; and intellectual property management.

(iii) By working closely with the team leader and the other consultants, develop case studies of national and international good practices of school-enterprise cooperation in TVET.

(iv) Provide consultations on international study visit and other related matters. (v) Present and discuss findings of reviews, analyses, and surveys with TVET

stakeholders and policy makers in workshops.

3. Education/TVET economist (national, 4 person-months)

20. TVET economist should have at least 7 years of experience in school-enterprise cooperation in TVET, especially in relation to cost and benefit sharing among TVET stakeholders. In addition, TVET economist is expected to have been trained in education economics and have research experience in education/TVET. TVET economist will perform the following tasks:

(i) Review laws, regulations, national and local policies and guidelines on tax and other financial incentives for enterprises which provide training and enter into contractual agreement with schools, and intern and apprentice status and remuneration.

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(ii) Identify and review various forms of school-enterprise cooperation, such as order-based training, “two + one” training, alternate work and study programs, school-owned enterprises, teaching and training bases within enterprises, sector organization-led school-enterprise cooperation, introduction of training programs developed by enterprises in schools in key sectors of the economy.

(iii) Identify and analyze costs and benefits of school-enterprise cooperation in TVET to different stakeholders in different forms of school-enterprise cooperation in key sectors of the economy.

(iv) Identify and analyze cost sharing mechanisms among different stakeholders in different forms of school-enterprise cooperation in key sectors of the economy, such as intern and apprentice remunerations, fees, levies, funds, subsidies, and tax deductions.

(v) Identify and analyze revenues generated through joint R&D projects, and technology development and transfer between schools and enterprises.

(vi) Review and assess through online and/or paper-based surveys costs and benefits of different forms of school-enterprise cooperation in TVET to enterprises (large, medium and small) in key sectors of the economy and regions.

(vii) Recommend tax and other financial incentive schemes for enterprises in key sectors of the economy.

(viii) Develop guidelines on intern and apprentice remuneration, methodologies and models for calculating remuneration, taking into account regional and sectoral differences.

(ix) Develop methods and systems for sharing revenues in the context of school-enterprise cooperation in TVET.

(x) Provide training for researchers and ensure timely administration and quality of online and/or paper-based surveys.

4. Legal specialist (national, 3 person-months)

21. Legal specialist should have been trained in law and have at least 7 years of experience in drafting and/or reviewing laws, regulations and contractual agreements, preferably related to school-enterprise cooperation in TVET. Legal specialist will perform the following tasks:

(i) Identify laws and regulations related to school-enterprise cooperation in TVET, for example with regards to labor markets, internship and apprenticeship, enterprises, tax deductions and other financial incentives for enterprises, dispute resolutions, work injury related insurance, etc. and analyze their coherence and consistency with TVET law and draft National Regulation on School-Enterprise Cooperation.

(ii) Develop a technical note which includes findings of the above analysis and proposals for amendments to the existing laws and regulations related to school-enterprise cooperation in TVET.

(iii) Review laws, regulations, national and local policies and guidelines on intellectual property, and technology development and transfer in the context of school-enterprise cooperation.

(iv) Recommend systems for managing intellectual property in the context of school-enterprise cooperation in TVET.

(v) Identify and review contractual agreements between schools, enterprises and/or industrial associations for different forms of school-enterprise cooperation in key sectors of the economy, including joint R&D, technology development and transfer.

(vi) Develop standard contracts for different forms of school-enterprise cooperation, including joint R&D, technology development and transfer.

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5. Work-related injury insurance specialist (national, 1 person-months)

22. Work-related injury insurance specialist should have a graduate degree in insurance economics, economics, and other related disciplines and at least 7 years of experience in developing, administering and researching work-related injury insurance schemes, and preferably familiarity with school-enterprise cooperation in TVET. Work-related injury insurance specialist will perform the following tasks:

(i) Review national and local policies and regulations on work-related injury insurance schemes.

(ii) Collect and analyze statistics on work-related accidents, injuries, diseases, disabilities, and deaths in the workplace in different sectors of the economy and regions.

(iii) Identify and analyze major work-related injury insurance schemes in terms of: the definition of work-related injuries; coverage; premium rate and collection; insurance benefits; compensation items and methods of payment; penalties and legal liability for employers; judicial redress; application and administrative procedures; and injury monitoring and prevention systems.

(iv) Review and analyze through online and/or paper-based surveys the incidence of work-related injuries and coverage of students and teachers involved in school-enterprise cooperation in TVET by insurance schemes, taking into account regional and sectoral differences and various forms of school-enterprise cooperation.

(v) Recommend measures to improve the existing work-related injury insurance schemes for students, teachers, and employers involved in school-enterprise cooperation, taking into account regional and sectoral differences and various forms of school-enterprise cooperation.

(vi) Provide training for researchers and ensure timely administration and quality of online and/or paper-based surveys.

6. Gender specialist (national, 1 person-months)

23. Gender specialist should have a graduate degree in education, sociology and other relevant disciplines and at least 7 years of experience in conducting gender analysis in relation to the labor market and TVET. Gender specialist will perform the following tasks:

(i) Review international, national and local policies and guidelines on gender. (ii) Review national and local labor market and TVET policies and guidelines from

gender perspective. (iii) Collect and analyze statistics of the labor market and TVET from gender perspective,

taking into account regional and sectoral differences. (iv) By closely working with the team leader and the other consultants, develop an action

plan for promoting gender equity in school-enterprise cooperation.