Hng dn

S dng T vn
i vi Ngn hng Pht trin Chu
v Cc bn vay vn
Thng 7 nm 2013
In ti Philippines In trn giy ti ch
Ngn hng Pht trin Chu
Tm nhn ca ADB l xy dng khu vc Chu v Thi Bnh Dng khng
c i ngho. S mnh ca ADB l h tr cc nc thnh vin ang pht
trin gim ngho v nng cao cht lng cuc sng ca ngi dn. Mc
d t c nhiu thnh cng, khu vc ny vn chim n 2 phn 3
dn s ngho ca th gii: 1,7 triu ngi sng vi mc thu nhp di 2
-la mt ngy, trong 828 triu ngi ang phi vt ln vi mc thu
nhp di 1,25 -la mt ngy. ADB cam kt gim ngho thng qua tng
trng kinh t ton din, pht trin bn vng v mi trng v hi nhp
khu vc.
ADB, tr s ti Ma-ni-la, c 67 quc gia thnh vin, trong c 48
thnh vin trong khu vc. Cng c chnh ca ADB h tr cc nc
thnh vin ang pht trin l i thoi chnh sch, cho vay, u t vn c
phn, bo lnh, vin tr khng hon li v h tr k thut.
Asian Development Bank
6 ADB Avenue, Mandaluyong City
1550 Metro Manila, Philippines
www.adb.org
Hng dn
S dng T vn
i vi Ngn hng Pht trin Chu
v Cc bn vay vn
Thng 7 nm 2013
Ngn hng Pht trin Chu 2013
Bo h tt c mi quyn. Xut bn nm 2013.
In ti Philippines
ISBN 978-92-9254-184-2 (Bn in)
ISBN 978-92-9254-185-9 (Bn PDF)
L n phm s TIM135819
Danh muc D liu n phm cp nht
Ngn hng Pht trin Chu
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn
Mandaluyong, Philippines, Ngn hng Pht trin Chu 2013
1. T vn I. Ngn hng Pht trin Chu
Ti liu ny c dch t nguyn bn ting Anh vi muc ch phuc vu ng o bn c. Tuy nhin, ting
Anh vn l ngn ng chnh ca Ngn hng Pht trin Chu v ch c nguyn bn ting Anh ca ti liu
ny l mi ng tin cy (ngha l ch nguyn bn ting Anh c chnh thc cng nhn v c hiu lc). Do
vy, cc trch dn cn da vo nguyn bn ting Anh ca ti liu ny.
Asian Development Bank
6 ADB Avenue Mandaluyong City
1550 Metro Manila Philippines
Tel +63 2 632 4444
Fax +63 2 636 2444
www.adb.org
t hng, xin vui lng lin h:
Vu Quan h i ngoi ADB
Fax +63 2 636 2648
adbpub@adb.org
Mc lc
I. Gii thiu v chnh sch
1.1 Muc ch 1
1.4 Cc Tiu ch chung 2
1.7 Phm vi p dung 3
1.10 Mu thun li ch 4
1.12 Li th cnh tranh khng bnh ng 6
1.13 Tnh hp l 6
1.14 Lin doanh gia cc chuyn gia t vn 7
1.15 K hp ng trc v ti tr hi t 8
1.16 nh gi, h tr v gim st ca ADB 8
1.18 Mua sm khng hp l 9
1.19 Cc tham chiu i vi ADB 9
1.20 Pht trin nng lc 10
1.21 o to hoc chuyn giao kin thc 10
1.22 Ngn ng 10
1.23 Gian ln v Tham nhng 11
1.26 nh gi thc hin 12
1.27 K hoch mua sm 13
II. Th tc
A. Hnh thc tuyn dng 14
2.1 Tuyn dung cng ty t vn 14
2.2 La chn da vo cht lng v chi ph (QCBS) 14
2.23 La chn da vo cht lng (QBS) 20
2.26 La chn theo mc ngn sch c nh (FBS) 21
2.27 La chn chi ph thp nht (LCS) 21
2.28 La chn theo cht lng t vn (CQS) 22
2.29 La chn t mt ngun (SSS) 22
2.33 Thng l thng mi 24
2.34 Tuyn dung chuyn gia t vn c lp 24
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn iv
2.35 Tuyn dung cc chuyn gia t vn c bit 24
2.36 Chuyn gia ngun 25
2.37 Lin Hp Quc (LHQ) v
cc C quan c chuyn mn c bit mn khc 25
2.38 Cc t chc phi chnh ph (NGO) 25
2.39 i l mua sm (PAs) 26
2.40 i l kim tra gim st 26
2.41 Ngn hng 27
2.42 Kim ton 27
2.43 Nhim vu cung cp dch vu 28
B. Cc loi hp ng 28
2.45 Hp ng trn c s thi gian 28
2.46 Hp ng theo mc ph tr trc v/hoc ph d phng (thnh cng) 28
2.47 Hp ng t vn khng thi hn (hp ng v gi) 29
2.48 Hp ng trn gi 29
2.49 Hp ng theo tin thc hin 29
C. Cc quy nh hp ng quan trng cho Khon vay 30
2.51 Tin t 30
2.52 iu chnh gi 30
2.53 iu khon thanh ton 30
2.55 Bo lnh thanh ton trc 31
2.56 ng gp ca Bn vay 31
2.57 Xung t li ch 31
2.58 Trch nhim chuyn mn 32
2.59 Thay th nhn s 32
2.60 Lut c p dung v Gii quyt tranh chp 32
D. Gim st v nh gi tnh hnh thc hin 33
2.61 Gim st qu trnh tuyn dung 33
2.62 nh gi tnh hnh thc hin 33
Ph lc
Phu luc 1 Tm tt th tuc QCBS v th tuc QBS 34
Phu luc 2 Hng dn cho cc chuyn gia t vn 36
ca cc d n khon vay
I. Gii thiu v cc chnh sch
Mc ch
1.1 Muc ch chnh ca Hng dn ny l a ra cc chnh sch v th tuc
ca Ngn hng Pht trin Chu (ADB) la chn, k hp ng v gim st cc
chuyn gia t vn cn thit cho cc d n khon vay v h tr k thut (HTKT)
c ti tr mt phn hoc ton b t cc khon vay ca ADB, cc khon vin tr
khng hon li ca ADB, hoc cc ngun ti tr do ADB qun l. Hng dn ny
trnh by cc chnh sch v th tuc ang c ADB p dung; gii thch cu th hn
s c nu trong hng dn qun l d n ca ADB (PAI)
1
, v/hoc yu cu np
xut chun (RFP).
2
1.2 Hip nh khon vay, hip nh vin tr khng hon li hoc vn kin HTKT,
3

nu c p dung, s iu chnh mi quan h php l gia bn nhn v ADB, v
Hng dn ny s c p dung i vi vic thu tuyn t vn nh c quy nh
trong cc hip nh lin quan. Cc quyn li v ngha vu ca Bn vay
4
hoc ADB
v cc chuyn gia t vn s tun theo cc yu cu np xut chun (RFP) cu th
do Bn vay hoc ADB pht hnh v theo hp ng do Bn vay hoc ADB k vi
chuyn gia t vn, ch khng cn c theo quy nh ca Hng dn ny, hip nh
khon vay, hip nh vin tr khng hon li hoc vn kin HTKT. Khng c bn
1
C th tham kho PAIs trn mng website ca ADB, www.adb.org.
2
Mu xut chun (RFP) cho cc khon vay c xy dng hi ho vi cc mu khc ca cc ngn hng pht
trin thnh vin v c th tham kho trn mng website ca ADB, www.adb.org.
3
i vi cc HTKT do ADB ti tr, nc nhn HTKT s c mt Hip nh Khung tng th v HTKT vi ADB
iu chnh mi quan h php l chung gia ADB v nc nhn HTKT cho tt c cc d n HTKT do ADB ti tr
cho nc . Tuy nhin, i vi mt d n HTKT cu th, vn kin HTKT s c k gia ADB v nc nhn HTKT.
Vn kin HTKT thng bao gm cc quy nh trong Hip nh Khung v HTKT v cc quy nh trong vn kin
HTKT xut ph duyt HTKT.
4
Khi nim bn vay c cp trong Hng dn ny bao gm cc c quan thc hin v/hoc c quan iu
hnh chu trch nhim v d n do ADB ti tr trong trng hp bn vay (hoc bn nhn vin tr khng hon
li) khng trc tip iu hnh d n ny.
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 2
no ngoi cc bn tham gia hip nh khon vay, hip nh vin tr khng hon li
hoc vn kin HTKT s c quyn nhn cc quyn li hoc yu cu ngun tin ca
khon vay, khon vin tr khng hon li hoc HTKT.
1.3 V muc ch ca Hng dn ny, khi nim chuyn gia t vn bao gm nhiu
t chc t nhn v cng cng, k c cc cng ty t vn quc t
5
v trong nc,
6

cc cng ty k thut, cc cng ty xy dng, cng ty qun l, i l mua sm, cng
ty gim st, cng ty kim ton, cc t chc ca UNDP v cc t chc a quc gia
khc, cc trng i hc, cc vin nghin cu, cc c quan Chnh ph, cc t chc
phi chnh ph (NGO), v cc c nhn khc.
7
ADB hoc Bn vay s dung cc t chc
t vn ny h tr cc hot ng nh t vn chnh sch, ci cch th ch, qun
l, dch vu k thut, gim st xy dng, dch vu ti chnh, dch vu mua sm, nghin
cu mi trng v x hi, v xc nh, chun b v thc hin cc d n b sung
nng lc ca ADB hoc Bn vay trong cc lnh vc ny.
Cc tiu ch chung
1.4 Thng thng, Bn vay chu trch nhim la chn, thu tuyn v gim st cc
chuyn gia t vn c ti tr t khon vay,
8
v ADB chu trch nhim la chn,
thu tuyn v gim st cc chuyn gia t vn c ti tr t ngun vin tr HTKT.
9

Tuy cc quy nh v th tuc cu th p dung tuyn dung chuyn gia t vn s
phu thuc vo iu kin cu th ca tng trng hp, nhng chnh sch ca ADB
v quy trnh la chn s tun theo 6 tiu ch chnh sau y:
(a) Nhu cu v dch vu cht lng cao;
(b) Nhu cu v tnh kinh t v tnh hiu qu;
(c) S cn thit to c hi cho tt c cc chuyn gia t vn c nng lc cung
cp cc dch vu do ADB ti tr;
5
T vn quc t c ngha l cng ty t vn c thnh lp ti cc quc gia hp l, k c bn vay, hoc mt c
nhn c quc tch ca quc gia hp l k c quc tch ca bn vay.
6
T vn trong nc c ngha l cng ty hoc chuyn gia t vn ca bn vay m c thnh lp v ng k
vn phng ti bn vay, hoc mt c nhn c quc tch ca nc .
7
Chuyn gia t vn c lp, xem on 2.34.
8
Cc chuyn gia t vn bao gm t vn c thu tuyn theo cc d n u t c vin tr khng hon li
mt phn hoc hon ton t ngun vn u i ca ADB (ADF).
9
tng tnh s hu ca cc d n HTKT v ci thin tnh bn vng li ch ca d n, trong trng hp c bit
ADB c th u quyn cho bn vay (gi l HTKT c phn cp) tuyn dung v gim st chuyn gia t vn
HTKT.
Gii thiu v cc chnh sch 3
(d) Mi quan tm ca ADB trong vic khuyn khch pht trin v s dung cc
chuyn gia t vn trong nc ca cc nc thnh vin ang pht trin (DMC);
(e) S cn thit v tnh minh bch trong quy trnh la chn; v
(f ) S cn thit phi ch trng vo vic chng tham nhng v quy tc o c.
1.5 Trong nhiu trng hp, ADB cho rng vic tun th tt nht cc tiu ch trn
l thng qua vic cnh tranh gia cc cng ty nng lc trong danh sch ngn,
trong vic la chn s da vo cht lng Bn xut, v chi ph cung cp dch
vu nu ph hp. Phn II, Muc A ca Hng dn ny m t cc phng php khc
nhau la chn chuyn gia t vn tho mn yu cu ca ADB v cc trng hp
p dung cc phng php ny. Do phng php la chn theo cht lng v chi
ph (QCBS) l phng php la chn m ADB khuyn khch, on 2.02-2.21 ca
Hng dn ny m t chi tit th tuc theo phng php QCBS. Tuy nhin, i vi
cc trng hp m phng php QCBS khng ph hp, on 2.23-2.32 trnh by
cc phng php la chn thay th khc.
1.6 Cc phng php c s dung la chn chuyn gia t vn theo cc d
n vay vn hoc HTKT c quy nh ti cc hip nh khon vay, hip nh vin
tr khng hon li hoc cc vn kin HTKT. Cc hp ng cu th c ti tr trong
d n v hnh thc la chn ca cc hp ng ny ph hp vi cc quy nh ca
khon vay, khon vin tr khng hon li hoc vn kin HTKT s c quy nh cu
th trong k hoch mua sm (xem on 1.27).
Phm vi p dng
1.7 Dch vu t vn c p dung theo cc quy nh ca Hng dn ny nhn
chung v bn cht l tri thc v t vn, bao gm nhiu lnh vc, cho khu vc cng
v t nhn, v cc dch vu
10
nhiu giai on khc nhau trong chu k d n. Hng
dn ny thng khng p dung i vi cc loi dch vu khc thin v kha cnh vt
cht (v du nh cc cng trnh xy dng).
1.8 Cc th tuc c nu trong Hng dn ny p dung cho tt c cc hp ng
dch vu t vn c ti tr mt phn hoc ton b t khon vay, HTKT hoc cc
khon vin tr khng hon li khc hoc cc qu do ADB qun l v do ADB hoc
10
Dch vu bao gm t vn chnh sch; qun tr; ci cch th ch; cc vn x hi bao gm gim ngho v gii;
nh gi mi trng v kim ton, tham gia v tham vn, tng cng th ch v tng cng nng lc bao gm
o to; dch vu php l v ti chnh; dch vu qun l v k thut; v gim st xy dng.
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 4
Bn vay thc hin. Trong qu trnh tuyn dung dch vu t vn m khng c ti
tr t cc ngun vn trn, Bn vay c th p dung cc th tuc khc. Trong trng
hp , ADB cn phi m bo rng (i) th tuc p dung tuyn dung c chuyn
gia t vn c trnh nghip vu cn thit; (ii) cc chuyn gia t vn c chn
s thc hin nhim vu c giao theo k hoch c thng nht trc, v (iii)
phm vi dch vu ph hp vi nhu cu ca d n.
1.9 Cc chuyn gia t vn c Bn vay tuyn dung bao gm cc cng ty t vn
v t vn c lp cho cc d n vn vay v cc HTKT c y nhim. ADB c th s
dung chuyn gia t vn cho cc hot ng HTKT c ADB ti tr t ngun vn ca
mnh hoc t ngun vn ca cc t chc khc do ADB thay mt t chc qun
l thc hin. ADB cng c th s dung (i) chuyn gia t vn b sung ngun cn
b ca mnh nhm cung cp cc kin thc chuyn ngnh c bit v t vn cho
cc hot ng ca ADB theo cc hp ng c ti tr t ngun ngn sch hot
ng ca ADB; v (ii) cn b phi hp t chc cc hi ngh, to m v hi tho.
Trong cc trng hp , chuyn gia t vn s do ADB tuyn dung. Trch nhim
ca chuyn gia t vn c quy nh trong iu khon tham chiu (TOR), v i vi
trng hp d n HTKT th TOR s c xy dng c s tham vn vi bn nhn HTKT.
Mu thun li ch
1.10 Theo quy nh ca ADB, mu thun li ch l trng hp mt bn c li ch
m c th c tc ng nh hng khng thch hp n vic thc hin cc ngha
vu hoc trch nhim chnh thc, cc ngha vu theo hp ng, hoc vic tun th
cc quy ch v lut lin quan ca bn , v s mu thun quyn li c th gp
phn hoc to ra hnh ng b cm bi chnh sch chng tham nhng ca ADB.
Theo cc quy nh ca chnh sch chng tham nhng ca ADB, Bn vay (k c cc
bn hng li t hot ng do ADB ti tr) cng nh cc chuyn gia t vn theo
hp ng do ADB ti tr phi tun th mc cao nht cc chun mc o c,
ADB s c cc hnh ng ph hp qun l mu thun li ch hoc c th phn
i xut trao thu nu ADB thy rng mu thun li ch nh hng tiu cc
n tnh trung thc trong qu trnh tuyn chn t vn.
1.11 Khng nh b gii hn bi cc quy nh chung nu trn, cc chuyn gia t
vn c th khng c tuyn dung trong cc trng hp sau:
Gii thiu v cc chnh sch 5
(a) Mu thun gia hot ng t vn v mua sm hng ho, cng trnh hoc
dch v (ngoi cc dch v t vn c cp trong Hng dn ny).
11

Mt cng ty t vn hoc chuyn gia t vn c lp m c ADB hoc
Bn vay tuyn chn cung cp hng ho, cng trnh hoc dch vu (ngoi dch
vu t vn c cp trong Hng dn ny) cho mt d n, s khng c
la chn cung cp dch vu t vn lin quan n cc hng ho, cng trnh
hoc dch vu . Ngc li, cng ty t vn hoc chuyn gia t vn c lp c
thu tuyn cung cp dch vu t vn chun b hoc thc hin mt d n s
khng c tuyn chn tip tuc cung cp hng ho, cng trnh hoc dch
vu (ngoi cc dch vu t vn c cp trong Hng dn ny) pht sinh hoc
lin quan trc tip n dch vu t vn chun b hoc thc hin d n .
(b) Mu thun gia cc nhim v t vn. Cc cng ty t vn hoc chuyn
gia t vn c lp s khng c thu tuyn cho bt c nhim vu no nu
cng vic c yu t mu thun vi mt nhim vu khc ca cng ty hoc
chuyn gia c lp . V du, cc cng ty hoc chuyn gia t vn c lp
c thu tuyn chun b thit k k thut cho mt d n c s h tng
s khng c tuyn dung chun b bo co nh gi mi trng c
lp cho cng d n, v cc cng ty t vn hoc chuyn gia t vn c lp h
tr khch hng trong qu trnh t nhn ho cc ti sn cng s khng c
php mua hoc t vn bn mua cc ti sn . Tng t, cc chuyn gia t
vn c thu tuyn chun b iu khon tham chiu (TOR) cho mt
nhim vu s khng c thu tuyn thc hin nhim vu .
(c) Mi quan h vi nhn vin ca Bn vay. Cc cng ty t vn hoc chuyn
gia t vn c lp c mi quan h cng vic hoc quan h gia nh vi cn
b ca ADB hoc vi nhn vin ca Bn vay, hoc l ngi trc tip hoc
gin tip lin quan n (i) vic chun b TOR ca hp ng; (ii) qu trnh
tuyn dung cho hp ng ; hoc (iii) gim st hp ng th c th
khng c trao hp ng, tr khi s mu thun pht sinh t mi quan h
ny c gii quyt mt cch chp nhn c i vi ADB trong sut
qu trnh tuyn dung v thc hin hp ng.
11
Xem on 1. 7 ca Hng dn ny.
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 6
Li th cnh tranh khng bnh ng
1.12 Tnh bnh ng v minh bch trong qu trnh tuyn dung i hi cc cng
ty t vn hoc chuyn gia t vn c lp cnh tranh cho mt cng vic cu th
khng c php s dung li th cnh tranh t vic cung cp dch vu t vn
lin quan n cng vic . i vi vn ny, ADB hoc Bn vay s cung cp cho
cc cng ty t vn trong danh sch ngn tt c cc thng tin v yu cu np
xut chun (RFP) m c th to ra li th cnh tranh cho mt cng ty t vn hoc
chuyn gia t vn c lp.
Tnh hp l
1.13 Tr trng hp c Ban Gim c iu hnh quyt nh khc i, (i) cc
dch vu t vn c ti tr t tin ca cc khon vay hoc vin tr khng hon li
thuc Qu c bit phi do cc chuyn gia t vn thuc cc quc gia thnh vin
pht trin ng gp vn vo cc qu nu trn hoc cc chuyn gia t vn t cc
quc gia thnh vin ang pht trin cung cp; v (ii) cc dch vu t vn c ti tr
t cc khon vay hoc vin tr khng hon li t ngun vn vay thng thng ca
ADB hay t cc qu do ADB qun l phi do cc chuyn gia t vn t cc quc gia
thnh vin cung cp. iu kin tham gia l nng lc cn thit m bo kh
nng ca cng ty trong vic thc hin hp ng lin quan. Tuy nhin, cc yu
t sau s c xem xt:
(a) Cc chuyn gia t vn c th khng c tham gia trong trng hp Hi
ng Bo an Lin Hp Quc c quyt nh tun th theo Chng VII ca
Hin chng Lin Hp Quc cm Bn vay thc hin thanh ton cho mt
quc gia, c nhn hoc thc th no . Nu Bn vay cm thanh ton cho
mt chuyn gia t vn cu th no hoc i vi hng ho cu th no theo
quy nh tun th , chuyn gia t vn s khng c tham gia.
(b) Cc doanh nghip hoc t chc nh nc ti quc gia vay c th tham gia
ch khi h c th chng minh rng h (i) c lp v php l v ti chnh, (ii)
hot ng theo lut thng mi, v (iii) khng phi l c quan trc thuc
Chnh ph Bn vay hoc chnh quyn a phng ca Bn vay.
(c) Trng hp ngoi l i vi (b), khi dch vu ca cc trng i hc cng
hoc vin nghin cu cng ca Bn vay c tnh cht ngoi l v duy nht, v
Gii thiu v cc chnh sch 7
s tham gia ca cc t chc ny l cn thit thc hin d n, ADB c th
ng thu tuyn cc t chc ny trong tng trng hp cu th. Tng t,
cc gio s i hc hoc cc nh khoa hc ca cc vin nghin cu c th
c thu tuyn vi ngun ti tr ca ADB.
(d) Cc cng chc vin chc nh nc ch c th c thu tuyn theo hp
ng t vn di dng t vn c lp hoc thnh vin ca cng ty t vn
nu h (i) ngh php khng lng; (ii) khng c thu tuyn ti c quan
m h lm vic ngay trc khi ngh php; v (iii) vic tuyn dung cc cn
b ny khng gy ra mu thun li ch (xem on 1.10).
(e) Mt cng ty t vn hay mt chuyn gia t vn b hn ch theo quy nh ca
ADB ti muc (d) ca on 1.23 ca Hng dn ny hoc trong Chnh sch
chng tham nhng ca ADB v trong cun Hng dn v Nguyn tc Lim
chnh (c hai ti liu thng xuyn c cp nht) s khng hp l tham
gia cc hp ng do ADB ti tr hoc do ADB qun l hay nhn c li ch
ti chnh hoc li ch no khc t hp ng do ADB ti tr hoc ADB qun l
trong khong thi gian do ADB xc nh.
Lin doanh gia cc chuyn gia t vn
1.14 Cc chuyn gia t vn c th lin doanh vi nhau to ra nhm lin
doanh
12
hoc hp ng t vn phu b tr cc lnh vc chuyn mn tng ng,
tng cng yu t k thut cho xut ca h, v c nhiu chuyn gia t vn
hn, c cch tip cn v phng php tt hn, v trong mt s trng hp, c
mc gi thp hn. S lin kt c th l di hn (c lp vi mt nhim vu cu
th) hoc cho mt nhim vu cu th. Nu ADB hoc Bn vay s dung mt nhm
lin doanh, nhm lin doanh ny s ch nh mt cng ty i din cho nhm; tt
c cc thnh vin lin doanh s k hp ng v s cng chu trch nhim v cng
vic . Bn vay s khng yu cu chuyn gia t vn thnh lp lin doanh vi bt
k cng ty hay nhm cng ty cu th no, nhng c th khuyn khch lin doanh
vi cc cng ty trong nc c nng lc.
12
Quc tch ca nhm lin doanh s dung cho muc ch danh sch ngn s c xc nh theo quc tch ca
cng ty i din nhm lin doanh.
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 8
K hp ng trc v Ti tr hi t
1.15 ADB khuyn khch vic k hp ng trc v ti tr hi t trong trng hp
cn thit y nhanh vic thc hin d n. Vi s ng ca ADB, Bn vay c th
tin hnh la chn (mc d khng k hp ng) cc chuyn gia t vn trc khi
k hip nh khon vay. Trong trng hp ny, th tuc la chn phi tun th vi
Hng dn ny, v ADB s xem xt quy trnh ca Bn vay. Bn vay hon ton chu
trch nhim i vi hnh ng k hp ng trc, v th khng phn i ca
ADB v th tuc, h s hay xut trao thu s khng c ngha l ADB phi cung
cp khon vay cho d n . Nu hp ng c k, cc khon hon tr ca ADB
thanh ton cho cc khon ng trc ca Bn vay theo hp ng trc khi hip
nh khon vay c k c gi l ti tr hi t v ch nm trong hn mc c
quy nh ti Hip nh vay. Trong cc trng hp c bit, c th p dung hnh
ng thu tuyn t vn trc tuyn dung t vn cho cc HTKT ca ADB hoc
cc HTKT c y nhim.
nh gi, h tr v gim st ca ADB
1.16 m bo Bn vay tun th vi Hng dn ny, ADB s thc hin kim tra
trc (prior review) i vi vic tuyn dung t vn cho khon vay v cc HTKT c
y nhim. Cc t kim tra trc yu cu Bn vay phi cung cp quy trnh tuyn
dung ca tt c cc phng php tuyn dung trong qu trnh thc hin ADB
ph duyt. Mc v tn sut hot ng kim tra trc s phu thuc vo nng lc
ca Bn vay. Bn vay phi cung cp h s theo yu cu chng t nng lc v
kinh nghim tt ca Bn vay. Trong trng hp cu th, c th khng p dung quy
nh kim tra trc, thay vo l hnh thc kim tra sau (post review). Yu cu, tn
sut v mc kim tra trc, v cc tiu ch p dung hnh thc kim tra sau s
do Bn vay v ADB thng nht trong qu trnh chun b d n v c cp trong
k hoch mua sm (xem on 1. 6 v 1.27).
1.17 Trong cc trng hp c bit v du nh khi khng nhn th by t quan
tm (EOI expression of interest) v khi phn hi i vi th yu cu ca Bn vay,
ADB c th cung cp cho Bn vay danh sch di cc cng ty m ADB d kin c
nng lc thc hin cng vic ny. Vic cung cp danh sch di khng c ngha
ADB chp thun cc chuyn gia t vn. Bn vay c th b hoc b sung bt k
Gii thiu v cc chnh sch 9
chuyn gia t vn no; tuy nhin danh sch ngn cui cng s c cung cp cho
ADB ph duyt trc khi Bn vay pht hnh yu cu np xut chun (RFP).
Nu ph hp, ADB c th tham gia cc cuc tho lun gia Bn vay v t vn v
nu cn thit, ADB c th h tr Bn vay gii quyt cc vn lin quan n cng
vic ny.
Mua sm khng hp l
1.18 ADB khng ti tr cho cc khon chi dch vu t vn nu cc chuyn gia t
vn ny khng c tuyn chn theo cc quy nh lin quan ca Hip nh v
Hng dn ca ADB. Nu vic tuyn chn khng c thc hin theo cam kt,
ADB s tuyn b l tuyn chn khng hp l, v thng s hu khon ti tr c
phn b cho phn dch vu mua sm khng hp l. Trong trng hp cn thit, ADB
c th ng pht hnh li yu cu np xut chun (RFP) sau khi tuyn b mua
sm khng hp l. Ngoi ra, ADB c th thc hin cc bin php khc c nu
trong Hip nh. Thm ch khi hp ng c trao thu sau khi c th khng
phn i ca ADB, ADB vn c quyn tuyn b mua sm khng hp l nu ADB
c kt lun rng th khng phn i c gi trn c s thng tin khng y ,
khng chnh xc hoc sai lch, hoc cc iu kin v iu khon ca hp ng
c chnh sa ng k m khng c s ng ca ADB.
Tham chiu i vi ADB
1.19 Khi d n c ADB ti tr ton b hoc mt phn, ADB s c cp
trong RFP v h s hp ng nh sau:
.. [tn ca Bn vay] .. nhn mt [khon vay] [v/hoc vin tr khng hon
li] t [ngun vn thng thng hoc ngun Qu c bit] ca Ngn hng Pht
trin Chu ti tr cho khon chi ph ca [tn d n], v d kin s s dung
phn ti tr ca [khon vay] [vin tr khng hon li] cho cc khon thanh ton
hp l theo Hp ng ny. Cc iu khon v iu kin ca hp ng [cc hp
ng] ny v cc khon thanh ton ca Ngn hng Pht trin Chu s tun
theo cc iu kin v iu khon ca [Hip nh vay/vin tr khng hon li],
bao gm Hng dn S dung Chuyn gia t vn ca Ngn hng Pht trin Chu
v Bn vay. Tr khi c ADB thng nht khc i, khng bn no ngoi [tn
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 10
Bn vay] c quyn s dung bt c quyn li no t [hip nh khon vay/vin
tr khng hon li] hay yu cu thanh ton t ngun tin ca [khon vay/vin
tr khng hon li].
Pht trin nng lc
1.20 ADB cung cp tng cng nng lc tng cng (i) nng lc v quyn
s hu quc gia thng qua vic nhn mnh yu cu v quy nh cch tip cn
tng cng nng lc tuyn dung t vn cho cc nc thnh vin ang pht trin
(DMC); (ii) nng lc tuyn dung ca Bn vay thng qua nh gi v thc hin cc
kho o to thc hnh, c lp, v song song nh c nu trong k hoch mua
sm; (iii) pht trin cc ngnh t vn ca cc nc DMC thng qua vic gii quyt
nhu cu tng cng nng lc 4 cp: (a) cp chnh sch/php l, thc y vai
tr ca Chnh ph trong vic to mi trng kinh doanh thun li pht trin
ngnh ny; (b) cp hip hi t vn, hng dn v pht trin chng trnh o
to ngnh v nng cao v th ca ngnh; (c) cp cng ty t vn, v du nh thng
qua vic a yu cu cc cng ty t vn quc t phi chuyn giao k nng qun
l t vn cho cc cng ty t vn trong nc vo iu khon tham chiu, v (d) cp
chuyn gia t vn c lp, thng qua vic tng cng thng tin v c hi tuyn
dung ca ngnh t vn.
o to hoc chuyn giao kin thc
1.21 Nu nhim vu t vn bao gm mt cu phn quan trng v o to hoc
chuyn giao kin thc cho cn b Bn vay hoc t vn quc gia, iu khon tham
chiu cn nu r muc tiu, tnh cht, phm vi v muc ch ca chng trnh o
to, bao gm chi tit v chuyn gia o to v hc vin, k nng s c chuyn
giao, khung thi gian v cc tho thun v gim st v nh gi. Chi ph cho
chng trnh o to thng thng s c bao gm trong hp ng t vn v
ngn sch ca cng vic t vn .
Ngn ng
1.22 Ngn ng ca ti liu v thng tin trao i lin quan n vic s dung chuyn
gia t vn do ADB, Bn vay v t vn chun b l ting Anh.
Gii thiu v cc chnh sch 11
Gian ln v Tham nhng
1.23 Chnh sch chng tham nhng ca ADB quy nh rng Bn vay (k c nhng
ngi hng li t hot ng do ADB ti tr), cng nh cc chuyn gia t vn theo
hp ng do ADB ti tr, phi tun th mc cao nht cc chun mc o c
trong qu trnh tuyn dung v thc hin cc hp ng ny. Theo chnh sch ny,
13

v trong bi cnh ca Hng dn ny, ADB:
(a) v muc ch ca quy nh ny, nh ngha cc khi nim di y nh sau:
(i) hnh vi tham nhng c ngha l vic ngh, a, nhn hoc g gm,
trc tip hoc gin tip, bt k vt g c gi tr tc ng khng ng
n n hnh ng ca bn kia;
(ii) hnh vi la di c ngha l bt c hnh vi hoc s b st no, bao gm
c vic din gii sai, m c hay v tnh lm sai lch, hoc c ch lm
sai lch mt bn lin quan t c li ch v ti chnh hoc li ch
khc hoc n trnh trch nhim;
(iii) hnh vi thng ng c ngha l mt tho thun gia hai hoc nhiu
bn nhm t c muc tiu khng ng n, k c vic tc ng
khng ng n n hnh ng ca mt bn lin quan khc.
(iv) hnh vi p buc c ngha l lm h hng, tn hi hoc nh hng xu,
gin tip hoc trc tip, n bt k bn lin quan no hoc ti sn ca bn
tc ng khng ng n n hnh ng ca bn lin quan .
(b) s phn i xut trao hp ng nu ADB xc nh rng chuyn gia t vn
c xut trao hp ng c lin quan trc tip, hoc thng qua mt i
l, n hnh vi tham nhng, la di, p buc hoc thng ng trong qu
trnh cnh tranh hp ng ny;
(c) s hy khon ti tr c phn b cho hp ng ny nu vo bt k thi
im no ADB xc nh rng i din ca Bn vay tham gia vo cc hnh
vi tham nhng, la di, p buc hoc thng ng trong qu trnh tuyn
chn t vn hoc trong qu trnh thc hin hp ng m Bn vay khng c
hnh ng kp thi v ph hp gii quyt tnh hnh, tha mn vi ADB;
(d) s pht mt c nhn hoc mt cng ty t vn, ti bt k thi im no, theo
13
Xem Chnh sch Chng Tham nhng ca ADB (http://www.adb.org/Documents/Policies/Anticorruption) v
cun Hng dn v Nguyn tc Lim chnh (http://www.adb.org/Documents/Guidelines/Integrity-Guidelines-
Procedures).
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 12
Chnh sch chng tham nhng ca ADB v cun Hng dn v Nguyn tc
Lim chnh (c hai ti liu thng xuyn c cp nht), bao gm tuyn b
cng ty t vn, chuyn gia t vn hoc c nhn/c quan k nhim k trn
s khng c php tham gia vnh vin hoc tm thi trong mt khong
thi gian nht nh, vo cc hot ng do ADB ti tr hoc qun l, hay nhn
c li ch ti chnh hoc li ch no khc t hp ng do ADB ti tr hoc
ADB qun l, nu vo bt k thi im no ADB nhn thy rng cng ty t
vn hay chuyn gia t vn , trc tip hoc gin tip thng qua i l,
tham gia vo cc hnh vi tham nhng, la di, thng ng, p buc hoc
cc hot ng b cm khc; v
(e) s c quyn yu cu b sung vo trong h s la chn t vn v trong cc
hp ng do ADB ti tr mt quy nh yu cu cc chuyn gia t vn cho
php ADB hoc i din ca ADB kim tra cc ti khon v h s ca h v
cc ti liu khc lin quan n qu trnh tuyn chn t vn v lin quan n
tnh hnh thc hin hp ng v thc hin kim ton cc hp ng ny bi
cc cng ty kim ton do ADB ch nh.
1.24 Vi tho thun cu th ca ADB, Bn vay c th cp trong yu cu np
xut chun (RFP) ca cc HTKT hoc cc d n khon vay c phn cp do ADB
ti tr l t vn s tin hnh quan st quy nh php l ca quc gia xem c
trng hp la di hoc tham nhng (bao gm hi l) trong qu trnh cnh tranh
v thc hin hp ng nh c nu trong RFP. ADB s chp thun vic thc hin
quan st theo yu cu ca Bn vay vi iu kin l cc tho thun thc hin quan
st ny tho mn i vi ADB.
1.25 Khi hp ng c ADB ti tr mt phn hoc ton b, h s hp ng s
nu rng chuyn gia t vn khng nh khng c bt k khon ph, tin thng,
hon tr, qu tng, tin hoa hng hoc cc khon thanh ton trc ngoi nhng
khon thanh ton c nu trong xut, c a, nhn hoc cam kt lin quan
n qu trnh tuyn dung t vn hoc trong qu trnh thc hin hp ng.
nh gi thc hin
1.26 ADB nhn thy rng c hi thc hin hp ng t vn tip theo cn phi
gn lin vi tnh hnh thc hin trc y ca cc chuyn gia t vn. ADB v Bn
vay s thc hin nh gi chnh thc tnh hnh thc hin ca cc chuyn gia t vn.
Gii thiu v cc chnh sch 13
Trong qu trnh nh gi ny, chuyn gia t vn s c mi nhn xt v tnh hnh
thc hin HTKT, HTKT c y nhim v d n khon vay ca Bn vay v ADB. T
vn cng s c c hi xem xt nh gi v nhn xt v ni dung bo co nh gi
thc hin do Bn vay v ADB chun b.
K hoch mua sm
1.27 Trong qu trnh chun b d n khon vay v/hoc vin tr khng hon li,
Bn vay cng phi hp vi ADB chun b k hoch mua sm cho cc hng ho,
cng trnh v tuyn dung dch vu t vn mt cch sm nht, v trong mi trng
hp k hoch mua sm phi c chun b trc khi tin hnh m phn khon
vay. i vi dch vu t vn, k hoch s nu r: (i) tng gi hp ng cu th; (ii)
xut phng php v hnh thc la chn dch vu t vn; v (iii) d kin mt
k hoch tuyn dung tng th v ngn sch cho tng gi hp ng t vn. Vic
chun b k hoch mua sm s tng tnh s hu ca Bn vay, k c vic Bn vay
tham gia xc nh nhu cu dch vu t vn, xy dng v thng qua iu khon tham
chiu (TOR), v tp trung nhiu hn vo cc chuyn gia t vn trong nc. Trc
hoc trong qu trnh chun b k hoch ny, i vi cc Bn vay mi tham gia hoc
Bn vay c nng lc hn ch, v d kin ch thc hin cc t tin kim v hu kim
nhanh gn, hoc khi HTKT c xut phn cp, ADB
14
c th nh gi nng lc
ca Bn vay thc hin k hoch ny. Vic nh gi s nh hng n qu trnh
thc hin k hoch ny thng qua vic xc nh yu cu v tn sut cc t tin
kim v hu kim. Nu ph hp, vic nh gi s xc nh chng trnh o to
tng cng nng lc tuyn dung ca Bn vay. Mc d k hoch ban u s c
a vo trong Bo co v Khuyn ngh ca Ch tch ADB (RRP), y vn l k hoch
xoay vng, v s c cp nht nh k trong khong thi gian hp l.
14
S tm kim thm cc hng dn t nhiu ngun khc nh Bo co nh gi mua sm quc gia (CPAR) v kinh
nghim trc y ca ADB v cc ngn hng pht trin a phng (MDB) khc.
II. Th tc
A. Hnh thc tuyn dng
15

Tuyn dng cng ty t vn
2.1 (i) cung cp nhiu loi dch vu t vn; (ii) tng cng cng c v hi ho
th tuc; v (iii) gim chi ph giao dch v n gin ho th tuc hnh chnh, ADB thc
hin cc phng thc tuyn dung t vn sau y:
a. La chn da vo cht lng v chi ph (QCBS)
2.2 QCBS l hnh thc da vo cht lng ca xut k thut v chi ph dch vu
c cung cp. V theo hnh thc QCBS, chi ph cc dch vu c xut l mt
yu t trong qu trnh la chn, hnh thc ny ph hp khi: (i) phm vi cng vic
c xc nh cu th; (ii) TOR r rng v c cu th ho; v (iii) ADB hoc Bn vay
v chuyn gia t vn c th c tnh kh chnh xc thi gian nhn lc cng nh cc
ngun u vo khc cn thit ca chuyn gia t vn.
(i) Th tuc QCBS p dung i vi cc khon vay v HTKT c phn cp
2.3 Th tuc QCBS p dung i vi cc chuyn gia t vn ca khon vay v HTKT
c phn cp cho Bn vay c trnh by v tm tt Phu luc 1. Thng thng,
Bn vay s c yu cu np 3 loi h s (tin kim) ADB xem xt ph duyt,
gm: (i) d tho RFP bao gm c danh sch ngn; (ii) bo co nh gi xut k
15
Bng lit k chi tit cc hot ng cho mi hnh thc la chn do PAI quy nh c sn trn mng website ca
ADB: www.adb.org.
Th tuc 15
thut; v (iii) bo co nh gi v xp loi tng th. Tuy nhin, Bn vay c nng lc
s c yu cu np 2 loi h s: (i) d tho yu cu np xut chun (RFP) bao
gm c danh sch ngn; v (ii) bo co nh gi v xp loi tng th.
a. Chun b iu khon tham chiu
2.4 Trc khi bt u thu tuyn cng ty t vn, muc tiu v phm vi ca cng
vic xut, v chc nng v nhim vu ca chuyn gia t vn cn phi c xc
nh r v y trong iu khon tham chiu.
b. c tnh chi ph (ngn sch cho cng vic t vn)
2.5 Vic chun b tt c tnh chi ph l rt quan trng m bo c ngun
ti chnh thc t. c tnh chi ph cho cc d n khon vay phi c Bn vay
chun b da vo cc nh gi ngun lc cn thit thc hin cng vic : thi
gian t vn, h tr hnh chnh, v cc thit b, phng tin khc (v du nh xe c,
thit b th nghim). Chi ph s c chia thnh 2 hng muc chnh: (i) tin lng
(theo tng loi hp ng c s dung); v (ii) chi ph trc tip. Chi ph thng/
ngi t vn s c c tnh trn c s ngun nhn lc thc t v t vn trong
nc v quc t.
c. Qung co
2.6 ADB thng thng bo tt c cc d n khon vay cn dch vu t vn trn
mng website ca ADB trc khi a ra danh sch ngn. nhn c nhiu th
by t quan tm (EOI) ca cc cng ty t vn, Bn vay cng c th qung co trn
cc thi bo, tp ch hoc mng website ph hp ca quc gia.
d. Chun b danh sch di cc chuyn gia t vn
2.7 Bn vay s chun b mt danh sch di cc cng ty nng lc k thut cn
c vo th by t quan tm (EOI) c cung cp.
e. Chun b danh sch ngn
2.8 Bn vay chu trch nhim chun b danh sch ngn. Bn vay s u tin quan
tm n cc cng ty by t quan tm tho mn cc tiu chun k thut lin quan.
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 16
Danh sch ngn s bao gm 6 cng ty nhiu quc gia, vi iu kin khng c
trn 2 cng ty t mt quc gia v phi c t nht 1 cng ty t nc ang pht trin,
tr khi khng c cng ty tiu chun t nc ang pht trin. ADB c th ng
vi danh sch ngn vi s lng cng ty t vn t hn trong trng hp c bit,
v du nh khi ch c mt s t cng ty tiu chun gi th by t quan tm i
vi mt cng vic cu th hoc khi quy m hp ng khng th p dung hnh thc
cnh tranh rng ri. Vi muc ch xy dng danh sch ngn, quc tch ca mt
cng ty l quc gia m cng ty ng k hoc thnh lp v trong trng hp
lin doanh, quc gia ca cng ty c ch nh i din cho lin doanh. Khi ADB
gi th khng phn i i vi danh sch ngn, Bn vay s khng c b sung
hoc hu tn ca cc cng ty ny.
2.9 Danh sch ngn c th bao gm hon ton cc chuyn gia t vn trong
nc (cc cng ty ng k hoc thnh lp trong quc gia ), nu yu cu cng
vic thp hn mc quy nh c nu trong k hoch mua sm c ADB
ph duyt,
16
nu c s lng cng ty c nng lc vi mc chi ph cnh tranh
c th lp danh sch ngn, v khi khng c mc cnh tranh k c t
cc chuyn gia nc ngoi, hoc cc chuyn gia t vn nc ngoi khng by t
quan tm n cng vic ny. Khi lng tng t ny s c s dung nh l hn
mc trong cc hot ng cho vay ca ADB h tr cch tip cn theo ngnh
17

(SWAps) (theo ngun vn ca Chnh ph v/hoc cc nh ti tr c
chung vi nhau) theo di hn mc ny th danh sch ngn s bao gm hon
ton cc cng ty t vn trong nc c la chn theo th tuc thng nht vi
ADB. Tuy nhin, nu cng ty nc ngoi by t quan tm th c th xem xt cc
cng ty ny.
f. Chun b v pht hnh Yu cu gi xut (RFP)
2.10 Bn vay s s dung bn RFP chun. RFP chun bao gm:
th mi;
16
C th xc nh hn mc theo gi tr la, xt n tnh cht ca d n, nng lc ca chuyn gia t vn trong
nc v mc phc tp ca cng vic, v khng th vt qu hn mc p dung c nu trong bt c bo
co nh gi mua sm quc gia (CPAR) m c hon tt i vi quc gia hoc bn vay .
17
SWAps l phng php tip cn ca cc i tc pht trin h tr cc chng trnh quc gia m c quy m
ln hn rt nhiu so vi mt d n n l. Chng trnh ny thng cho mt ngnh hoc mt tiu ngnh ln.
Th tuc 17
yu cu i vi chuyn gia t vn, bao gm mt bng c s d liu v tiu
ch nh gi;
cc mu chun xut k thut;
mu chun xut ti chnh;
iu khon tham chiu;
mu hp ng chun; v
danh sch cc quc gia hp l.
2.11 Bn vay s gi yu cu np xut (RFP) cho cc chuyn gia t vn trong
danh sch ngn. Bn vay c th s dung h thng in t gi RFP, vi iu kin
l ADB tho mn vi tnh ton din ca h thng ny. Nu RFP c gi theo mng
in t, h thng in t phi c m bo trnh RFP khng b sa i v
khng hn ch cc chuyn gia t vn trong danh sch ngn tip cn RFP.
g. Nhn cc xut
2.12 Cc cng ty s c yu cu np ng thi xut k thut v ti chnh
trong cc phong b ring bit c ng du cn thn. Bt c xut no c
nhn sau thi gian kho s s c gi tr tr li nh c, v khng chp thun bt
c vic b sung no i vi xut k thut v ti chnh sau thi gian kho s.
h. nh gi xut k thut
2.13 Vic nh gi s c thc hin theo cc tiu ch nh gi nu trong thng
bo hng dn i vi t vn. Sau khi cht lng k thut c nh gi, cc cng
ty c xut k thut khng t im yu cu ti thiu l 750 im trn 1000 im
ti a, hoc c xem l khng p ng c yu cu tham gia s c thng bo
v xut ti chnh ca cc cng ty ny s c gi tr li m khng cn xem xt
nh gi. Cc cng ty tho mn c im k thut ti thiu s c thng bo v
a im v thi gian xem xt xut ti chnh.
i. Xem xt cng khai xut ti chnh
2.14 Bn vay s thng bo cho cc cng ty c xut k thut t trn 750 im
v thi gian v a im m Bn vay s t chc nh gi cng khai xut ti chnh
ca cc cng ty ny. Tn ca cng ty, im cht lng k thut v mc chi ph
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 18
xut ca cc cng ty ny s c thng bo v lu h s khi m cc xut ti
chnh ca h.
j. nh gi xut ti chnh
2.15 Bn vay sau s xem xt nh gi mc tng thch gia xut ti
chnh v xut k thut, thc hin iu chnh nu cn thit, v sa cc li sai st
tnh ton.
k. Xp loi xut
2.16 Tng s im xut s c tnh bng bnh qun gia quyn im k thut
v im ti chnh; im tng th ny s quyt nh th t xp hng xut ca cc
cng ty t vn. H s gia quyn cho chi ph s c la chn, c tnh n tnh phc
tp ca cng vic v tnh quan trng ca cht lng. H s gia quyn cho chi ph
thng l 20% ngoi tr c tnh bng phng php la chn khc.
l. m phn
2.17 Bn vay s thc hin m phn hp ng vi cng ty xp hng u tin.
Vic m phn s bao gm tho lun v iu khon tham chiu (TOR), phng
php lun, k hoch nhn s, phng tin i ng ca Bn vay v s lng cc
hng muc chi ph trong xut ti chnh ca cng ty t vn. Tuy nhin, cc cuc
tho lun ny s khng c thay i ng k TOR c nh km trong th mi
tham gia. Cng ty c la chn khng c php thay i nhn s, tr khi c hai
bn ng rng vic thay i l khng th trnh khi do s chm tr trong qu
trnh la chn hoc vic thay i rt quan trng t c muc tiu ra.
18

Mc lng xut s khng c thay i v cc khon chi ph khc s khng
c m phn do cc mc chi ph ny l yu t quyt nh trong qu trnh la
chn. Nu m phn thnh cng, hai bn s tin hnh k hp ng. Qu trnh
m phn ti chnh bao gm lm r ngha vu thu ca chuyn gia t vn ti quc
gia Bn vay (nu c), v ngha vu thu ny c phn nh trong hp ng hay
cha. Nu Bn vay v cng ty t vn khng t c tho thun, Bn vay c th
chm dt m phn vi s ng trc ca ADB, v thc hin vic m phn vi
18
Vic quy nh v thi gian xc nhn xut mt cch thc t v thc hin vic nh gi tnh hiu qu s gim
thiu ri ro ny.
Th tuc 19
cng ty xp hng tip theo cho n khi t c tho thun. Bn vay s gi mt
bn sao hp ng k cho ADB lu h s.
m. Cng b cng khai vic trao thu
2.18 Sau khi trao thu, Bn vay s cung cp cho ADB cc thng tin sau ADB
cng b cng khai trn mng website ca ADB
19
: (i) tn ca cc chuyn gia t vn
np xut; (ii) im k thut ca tng chuyn gia t vn; (iii) mc gi cho ca
mi chuyn gia t vn; (iv) xp hng tng th ca tng chuyn gia t vn; v (v) tn
ca chuyn gia trng thu v tng chi ph hp ng.
n. Thm vn
2.19 Khi cng b vic trao thu, Bn vay s nu r rng nu cc chuyn gia t vn
np h s xut mun bit ti sao h s ca mnh khng c la chn, chuyn
gia t vn c th yu cu th gii thch t Bn vay. Bn vay s gi ngay th gii
thch nu r l do ti sao xut khng c la chn.
o. Loi ton b xut v mi thu li
2.20 Bn vay c quyn loi tt c cc xut ch khi tt c cc xut ny khng
p ng c yu cu chnh c nu trong iu khon tham chiu (TOR) hoc
cc xut ny c mc chi ph cao hn hn so vi c tnh ti chnh ban u.
Trong trng hp v l do ti chnh, Bn vay s phi hp vi ADB xem xt kh nng
tng ngn sch hoc gim quy m dch vu t vn. Trc khi loi b tt c cc
xut v gi th mi thu mi, Bn vay s thng bo cho ADB, nu r l do ca vic
loi tt c cc xut ny, v phi nhn c th khng phn i ca ADB trc
khi tin hnh loi tt c cc h s tham gia v tin hnh mi thu li. Quy trnh mi
c th bao gm iu chnh RFP (k c danh sch ngn) v mc ngn sch. Nhng
s iu chnh ny s c tho thun vi ADB.
19
www.adb.org
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 20
p. Tnh bo mt
2.21 Cc thng tin lin quan n nh gi xut v khuyn ngh trao thu s
khng c cng b vi cc chuyn gia t vn np h s hoc cc bn khc khng
c trch nhim chnh thc v x l gi thu ny cho n khi c cng b chnh thc
vic trao thu, tr trng hp c quy nh ti on 2.14 v 2.16 trn.
(ii) Th tuc la chn t vn da theo cht lng v chi ph cho cc HTKT
2.22 Th tuc la chn p dung i vi h tr k thut (HTKT) tng t nh th tuc
tuyn dung cho khon vay v HTKT c y nhim v c tm tt ti Phu luc 1.
b. La chn da trn cht lng (QBS)
2.23 Hnh thc la chn trn c s cht lng (QBS) l ch da vo nh gi cht
lng xut k thut v sau s tin hnh m phn xut ti chnh v hp
ng vi chuyn gia t vn, l ngi c xut k thut c xp hng cao nht.
QBS ph hp khi (i) nhim vu t vn c chuyn mn phc tp hoc chuyn mn
cao, gy kh khn trong vic nh ngha chnh xc iu khon tham chiu (TOR)
v yu cu u vo ca t vn, (ii) nhim vu t vn c kt qu tc ng rt ln m
cht lng dch vu l rt quan trng i vi kt qu ca d n, v (iii) nhim vu quan
trng c th c thc hin theo nhiu cch khc nhau, theo cc xut ti
chnh c th gp kh khn khi so snh.
(i) La chn da trn cht lng i vi Khon vay v HTKT phn cp
2.24 Nhn chung, khi QBS c p dung, th mc gi s khng c s dung lm
tiu ch la chn, bn yu cu np xut (RFP) s yu cu cc cng ty ch cn
trnh xut k thut. p dung cng phng php lun nh trong phng php
la chn da trn cht lng v chi ph (QCBS) nh gi v xp hng cc xut
k thut ca t vn, Bn vay s yu cu t vn c xut k thut xp hng cao
nht trnh xut ti chnh chi tit, bao gm cc h s chng t i km c th
chu s kim ton. Bn vay v t vn sau s m phn v xut ti chnh v
hp ng. Tt c cc th tuc khc trong quy trnh la chn s ging nh hnh thc
QCBS, bao gm cng khai vic trao hp ng ngoi tr vic ch c mc chi ph ca
ca cng ty trng thu c cng b. Trong qu trnh , tt c Bn vay s c
Th tuc 21
yu cu thc hin 2 ln trnh (tin kim) ADB ph duyt: (i) danh sch ngn
v (ii) xp hng cui cng. Quy trnh th tuc ny c tm tt trong Phu luc 1.
(ii) La chn da trn cht lng i vi cc HTKT
2.25 Qui trnh th tuc i vi HTKT tng t nh i vi chuyn gia t vn khon
vay v HTKT phn cp v c tm tt trong Phu luc 1.
c. La chn theo mc ngn sch c nh (FBS)
2.26 La chn theo mc ngn sch c nh (FBS) l phng php thch hp ch
khi (i) iu khon tham chiu (TOR) c xc nh cu th, (ii) yu cu thi gian v
nhn s c c tnh chnh xc, v (iii) ngn sch c nh v khng c vt
qu mt mc ngn sch nht nh. gim ri ro ti chnh i vi t vn v trnh
nhn nhng xut k thut khng th chp nhn c hoc khng c xut
no, phng php ny ch c th s dung i vi cc d n HTKT r rng hoc
cc d n d kin khng thay i trong sut thi gian thc hin. Danh sch ngn
cho FBS thng bao gm 6 cng ty t nhiu v tr a l khc nhau. Yu cu np
xut (RFP) s qui nh mc ngn sch sn c, qui nh im cht lng ti thiu
cho cht lng l 750 im trong tng s ti a 1.000 im, v yu cu cc cng
ty np ng thi xut k thut v ti chnh tt nht vo tng phong b ring
bit v trong mc ngn sch cho php. u tin s tin hnh nh gi tt c cc
xut k thut. Sau cc xut ti chnh ca cc cng ty t tiu chun cht
lng ti thiu s c m cng khai v mc gi s c cng b. xut no
vt qu ngn sch cho php s b loi b. Chuyn gia t vn trnh xut k
thut xp hng cao nht trong s cc xut cn li s c la chn v mi m
phn. Nu m phn tht bi, Bn vay hoc ADB s bt u m phn vi cng ty
xp hng k tip cho n khi t c tho thun.
d. La chn chi ph thp nht (LCS)
2.27 Hnh thc la chn chi ph thp nht ch thch hp i vi chuyn gia t vn
c nhim vu rt nh,
20
c tnh cht chun mc hoc theo quy trnh thng thng
(kim ton, thit k/gim st k thut cc d n n gin v iu tra kho st n
20
Thng thp hn 100.000 USD
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 22
gin) khi c sn cc chun mc v thng l tt. Danh sch ngn cho LCS thng
bao gm 3 cng ty cc vng a l ph hp. Bn yu cu np xut (RFP) s
quy nh im cht lng ti thiu cho yu t cht lng l 750 im trong 1.000
im ti a, v yu cu cc cng ty trnh ng thi xut k thut v ti chnh
trong tng phong b ring bit. xut k thut s c m v nh gi trc. Cc
xut k thut c im thp hn im chun cht lng s b loi v xut ti
chnh ca cc xut cn li s c m cng khai. Cng ty c mc gi thp nht
s c la chn v c mi tham gia hon tt th tuc hp ng. Nu m phn
tht bi, Bn vay hoc ADB s tip tuc m phn vi cng ty k tip cho n khi
t c tho thun.
e. La chn theo cht lng t vn (CQS)
2.28 Hnh thc ny c th c s dung cho cc nhim vu nh
21
khi (i) yu cu
chuyn mn c bit cao i vi nhim vu v khi d kin tuyn dung cc cng
ty t vn nh cung cp dch vu t vn mt lnh vc chuyn mn su; (ii) thi
gian tuyn dung l rt quan trng v nhim vu thng c thi hn ngn; (iii) c t
chuyn gia t vn tho mn cht lng yu cu; v (iv) kh c th thc hin vic
chun b v nh gi cc xut cnh tranh. Bn vay hoc ADB s (i) chun b iu
khon tham chiu (TOR), (ii) yu cu cc thng tin v th by t quan tm chi tit
v kinh nghim v nng lc lin quan n nhim vu ca chuyn gia t vn, (iii) lp
danh sch ngn gm ti thiu 3 cng ty t vn, v (iv) la chn cng ty t vn c
tiu chun cht lng v tham chiu thch hp nht da trn c s th by t quan
tm. Cng ty t vn c chn s phi trnh xut k thut ti chnh v sau
s c mi tham gia m phn hp ng. Nu m phn tht bi, Bn vay hoc
ADB s tin hnh m phn vi cng ty t vn k tip cho n khi t c tho
thun.
f. La chn t mt ngun (Single Source Selection)
2.29 Hnh thc la chn chuyn gia t vn t mt ngun (SSS) khng em li li
ch cnh tranh v cht lng v mc gi, thiu minh bch trong qu trnh la chn
v c th khuyn khch cc thng l khng c chp nhn. Do vy, la chn t
mt ngun ch c s dung trong mt s trng hp ngoi l. L do xut hnh
21
Thng thp hn 200.000 USD
Th tuc 23
thc SSS s c xem xt trong li ch tng th ca khch hng v d n. Trch
nhim ca ADB l phi m bo tnh kinh t v hiu qu v to ra c hi ngang
bng cho tt c cc chuyn gia t vn c nng lc.
2.30 Hnh thc SSS c th ph hp ch khi hnh thc ny c li th cnh tranh r
rng: (a) i vi nhim vu c tnh k tha ca cng vic trc m c cng
ty t vn thc hin (xem on sau), (b) trong trng hp khn cp, chng hn nh
i ph vi thin tai, (c) i vi mt s nhim vu rt nh
22
hoc (d) ch khi mt
cng ty t vn t tiu chun hoc c kinh nghim c bit i vi nhim vu .
2.31 Khi tnh lin tuc i vi cng vic cui cng c tnh cht quan trng, bn
yu cu np xut (RFP) ban u s nu r vic ny v nu c th, cc tiu ch la
chn chuyn gia t vn s xem xt n kh nng tip tuc la chn t vn . Tnh
lin tuc trong phng php k thut, yu cu kinh nghim, v trch nhim chuyn
mn tip theo ca cng chuyn gia t vn c th u tin chuyn gia t vn trc
tip tuc thc hin so vi cc chuyn gia t vn mi, tu thuc vo kt qu thc hin
nhim vu ban u. i vi cc nhim vu cui cng , Bn vay s yu cu chuyn
gia t vn c la chn ban u chun b xut ti chnh v k thut trn c s
iu khon tham chiu (TOR) do Bn vay cung cp, l xut sau s c m
phn. Nu nhim vu ban u khng c trao trn c s cnh tranh, hoc nu kt
qu thc hin nhim vu c gi tr tng i ln, th tuc cnh tranh c ADB chp
thun thng s c p dung, theo chuyn gia t vn thc hin cng vic ban
u s khng b loi tr nu chuyn gia t vn ny c th by t quan tm. ADB s
xem xt cc trng hp ngoi l i vi nguyn tc ny ch trong trng hp c
bit v ch khi quy trnh cnh tranh mi khng p dung c.
2.32 Khi Bn vay hoc ADB xut s dung hnh thc SSS, Phi on ADB s a
th tuc d kin vo vn kin HTKT v vo Bo co v Khuyn ngh ca Ch tch
(RRP). Bn vay hoc ADB yu cu chuyn gia t vn trnh ng thi xut k
thut nhn s (Biodata Technical Proposal - BTP) v xut ti chnh
23
. ADB hoc
Bn vay xem xt BTP m bo rng xut ny y v tin hnh m phn
hp ng vi cng ty hoc chuyn gia .
22
Hn mc theo gi tr USD v mc rt nh s c xc nh trong tng trng hp, c xt n tnh cht v mc
phc tp ca nhim vu, nhng khng c vt qu 100.000 USD.
23
BTP bao gm k hoch thc hin, k hoch nhn s v s yu l lch ca mi chuyn gia t vn c xut.
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 24
g. Thng l thng mi
2.33 Trong trng hp mt trung gian ti chnh cho vay li khon vay cho doanh
nghip khu vc t nhn hoc doanh nghip thng mi c lp ca nh nc, Bn
vay phu phi tun th theo cc thng l thng mi hoc thng l ca khu vc
t nhn m c ADB xc nh l c th chp nhn c. Vic xem xt cng s
c p dung trong trng hp s dung th tuc cnh tranh nh c nu trn,
c bit i vi cc nhim vu ln.
Tuyn dng chuyn gia t vn c lp
2.34 i vi mt s nhim vu, chuyn gia t vn c lp thch hp hn v c chi
ph hp l hn so vi cng ty t vn. Bn vay hoc ADB c th tuyn dung trc tip
cc chuyn gia t vn c lp (chuyn gia c lp) hoc thng qua mt t chc, v
du nh cng ty t vn, hc vin, chnh ph, hoc mt t chc quc t. Qui trnh th
tuc la chn n gin hn so vi quy trnh th tuc la chn cng ty t vn quc
t v trong nc. Chuyn gia t vn c lp c tuyn dung trn c s nng lc
chuyn mn ca h. Khi Bn vay tuyn dung chuyn gia t vn c lp quc t v
trong nc cho d n vay, hai bn cn phi t c s thng nht mt sch sm
nht v trong bt k trng hp no phi trc khi tin hnh m phn khon
vay, v (i) loi chuyn gia t vn ph hp nht cho nhim vu , (ii) qui trnh th
tuc p dung. Thng thng, Bn vay s tuyn dung chuyn gia t vn ph hp vi
qui trnh th tuc ca chnh ph chup thun c i vi ADB. i vi HTKT, qui
trnh th tuc tuyn dung phu thuc vo phc tp
24
ca iu khon tham chiu
(TOR), v thi gian thc hin nhim vu.
Tuyn dng cc chuyn gia t vn c bit
a. Cn b t vn
2.35 ADB s qui nh vic tuyn dung v chun b TOR cho cn b t vn. ADB s
xem xt th by t quan tm do chuyn gia t vn np v d liu thng tin v cc
chuyn gia t vn c lp (DICON) i vi cc ng vin thch hp, nu cn thit,
ngh cc t chc hoc cng ty t vn c chuyn gia.
24
Mc phc tp trong on ny c nh ngha theo mc cng vic (da vo trch nhim ca cng vic
v yu cu chuyn mn nghip vu v kinh nghim i vi chuyn gia t vn) ca cng vic .
Th tuc 25
b. Chuyn gia ngun (resource person)
2.36 Cc chuyn gia ngun khng c tuyn dung cho cc cng vic trn 10
ngy lm vic nhng c th c tuyn dung theo hnh thc la chn t mt
ngun t vn.
c. Lin Hp Quc (LHQ) v cc C quan c chuyn mn c bit mn khc
2.37 Lin Hp Quc (LHQ) v cc c quan c chuyn mn c bit tng t khc
c th c thu tuyn nh cc chuyn gia t vn khi cc c quan ny nng lc
cung cp tr gip k thut v t vn trong lnh vc chuyn mn ca h. Tuy nhin,
cc c quan ny s khng nhn c bt k s u tin no trong qu trnh la chn
cnh tranh, ngoi tr Bn vay c th chp nhn c quyn v min tr dnh cho
cc c quan v nhn vin LHQ theo cc iu c quc t hin hnh v c th tho
thun vi cc c quan LHQ v tho thun thanh ton c bit theo iu l ca c
quan vi iu kin l c ADB chp thun. trung ho quyn u tin ca cc
c quan thuc LHQ cng nh cc li th khc chng hn nh c min thu v
trang b phng tin, v cc iu khon thanh ton c bit, c th s dung hnh
thc tuyn dung da trn cht lng t vn (QBS). Cc c quan thuc LHQ c th
c thu tuyn trn c s la chn t mt ngun nu p ng c cc tiu ch
ra trong on 2.29 ca Hng dn ny.
d. Cc t chc phi chnh ph (NGO)
2.38 ci thin tnh hiu qu, cht lng v tnh bn vng cc hot ng ca
mnh, ADB hp tc vi nhiu t chc phi chnh ph quc t v quc gia. Cc t
chc NGO quc t ln thng vn c bao gm trong danh sch ngn ca cc
chuyn gia t vn khon vay v HTKT nu ADB hoc Bn vay nhn thy nng lc
ca h tho mn yu cu. Th tuc tuyn dung v cc tho thun hp ng n
gin s c p dung i vi cc NGO nh (chng hn NGO trong nc). Khi NGO
quc t c bao gm trong danh sch ngn vi cc cng ty t vn khc cho t
vn HTKT hoc khon vay th phng thc QBS s c p dung. Khi cc d n
HTKT hoc d n khon vay i hi kin thc chuyn su v cc vn a phng,
nhu cu cng ng v/hoc phng php tip cn theo hnh thc tham gia m
cc NGO quc t hoc NGO trong nc r rng c kh nng tt hn th danh sch
ngn c th ch bao gm cc NGO v phng thc la chn s l QCBS. i vi cc
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 26
NGO trong nc ang c tuyn dung cho mt HTKT hoc d n vay, ADB c th
p dung qui trnh th tuc tuyn dung QCBS rt gn (n gin) phn nh nng
lc ca cc NGO cnh tranh khi tiu ch nh gi phn nh nng lc c bit ca
cc NGO, bao gm (i) qu trnh lm vic vi cng ng a phng v bng chng
v tnh hnh thc hin thnh cng, (ii) thng tho vi cc phng php tip cn
pht trin vi s tham gia ca cc bn lin quan, (iii) cam kt y v ch o v
qun l, v (iv) nng lc kt hp vi s tham gia hng li. ADB hoc Bn vay c th
la chn cc t chc NGO thng qua hnh thc La chn t mt ngun, vi iu
kin tho mn cc tiu ch c nu trong on 2.29 ca hng dn ny.
e. i l mua sm (Procurement Agent)
2.39 Khi Bn vay thiu b phn, ngun lc hoc kinh nghim cn thit, cch tt
nht v hiu qu nht cho Bn vay l i thu mt cng ty lm i l ca mnh
chuyn thc hin cng vic mua sm . Khi i l mua sm c thu tuyn c
bit nh i l thc hin vic mua sm cc hng ho nht nh v thc hin
cng vic ti vn phng ca h, Bn vay thng phi tr cho i l t l phn
trm gi tr ca hp ng mua sm c thc hin, hoc mt t l phn trm no
vi khon ph c nh. Trong mt s trng hp nh vy, i l mua sm s
c la chn s dung th tuc QCBS vi chi ph c h s gia quyn ln ti 50%.
Tuy nhin, khi i l mua sm ch cung cp dch vu t vn cho hot ng mua sm
hoc hot ng nh i l cho ton b d n ti mt vn phng cu th cho d n
, cc i l c thanh ton trn c s thi gian lm vic v trong nhng trng
hp nh vy, cc i l c la chn theo qui trnh th tuc thch hp nh i vi
cc nhim vu t vn khc s dung qui trnh th tuc QCSB v hp ng theo thi
gian c nu cu th trong Hng dn ny. Cc i l phi tun th tt c cc th
tuc mua sm qui nh trong hip nh vay v k hoch mua sm c ADB ph
duyt thay mt Bn vay, gm c vic s dung RFP, th tuc nh gi v lp h s
mua sm lin quan.
f. i l kim tra/gim st
2.40 Bn vay c th mong mun tuyn dung cc cng ty kim tra/gim nh
kim nh v chng nhn hng ho trc khi vn chuyn hoc n nc vay. Vic
gim nh ca cc cng ty thng bao gm cht lng v s lng hng ho
lin quan v tnh hp l ca mc gi. Cc cng ty gim nh s c la chn theo
Th tuc 27
th tuc QCBS vi mc chi ph c h s gia quyn ln n 50% v s dung mu hp
ng vi phng thc thanh ton trn c s t l phn trm gi tr hng ho c
kim nh v chng nhn.
g. Ngn hng
2.41 Cc ngn hng u t v thng mi, cc cng ty ti chnh v cc cng ty
qun l qu c Bn vay thu bn ti sn, pht hnh cc cng cu ti chnh v
cc giao dch ti chnh doanh nghip khc, c bit trong bi cnh lin quan n
hot ng t nhn ho, s la chn theo phng thc QCBS. Bn yu cu np
xut (RFP) s qui nh cu th tiu ch la chn lin quan n hot ng - v du, kinh
nghim v cc cng vic tng t hoc mng li cc bn mua tim nng v chi
ph dch vu. Ngoi mc lng theo thng l (gi l ph tr trc), khon n b
gm khon ph thnh cng; ph ny c th c nh nhng thng c tnh trn
phn trm gi tr ti sn hoc cc cng cu ti chnh khc c bn. Bn RFP s nu
r rng trong qu trnh nh gi chi ph s c tnh n ph thnh cng, c th ch
tnh ph thnh cng hoc tnh c ph tr trc. Nu ch loi ph thnh cng , ph
tr trc chun s c thng bo cho tt c t vn trong danh sch ngn v c
nu trong RFP v s im ti chnh s c da trn ph thnh cng. i vi vic
nh gi hn hp (c bit l i vi cc hp ng ln), mc chi ph ny c th c
h s gia quyn cao hn so vi h s c khuyn ngh ti on 2.16 hoc vic la
chn c th ch da vo mc chi ph s c thc hin i vi cc chuyn gia t
vn t c im cht lng ti thiu i vi xut ca h. RFP s qui nh cu
th v cch thc trnh by v so snh cc xut ny.
h. Kim ton
2.42 Cc kim ton vin thng thc hin nhim vu kim ton theo TOR cu th
v cc chun mc chuyn mn nghip vu r rng. Cc kim ton vin s c la
chn theo phng thc QCBS vi mc chi ph c th c h s gia quyn ln ti
50% hoc theo hnh thc La chn theo mc chi ph thp nht nh c trnh
by trong on 2.27. i vi cc nhim vu rt nh
25
, phng thc La chn theo
cht lng t vn (CQS) c th c p dung.
25
Xem ghi ch 21.
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 28
i. Nhim v cung cp dch v
2.43 Cc d n yu cu cc dch vu h tr, v du nh o to, thit k hoc sn
xut cc trang thit b phuc vu o to d n hoc cc bng video hoc ti liu
qung co v cc kho hi tho hoc ta m v lp k hoch v thc hin c th
thu tuyn cc c nhn hoc cc t chc chuyn mn cung cp cc dch vu trn
c s hp ng. TOR s c chun b. Mt hp ng trn gi (xem on 2.48) l
c ch thch hp nht cho vic tuyn dung ngi cung cp dch vu.
B. Cc loi hp ng
2.44 La chn loi hp ng s phu thuc vo (i) bn cht ca cng vic, (ii) kh
nng xc nh cu th phm vi v sn phm u ra ca cng vic, v (iii) phn phi
ri ro gia cc bn lin quan.
Hp ng trn c s thi gian
26
2.45 Hp ng trn c s thi gian c s dung khi gp kh khn trong vic
xc nh phm vi, sn phm u ra v thi gian dch vu. Hp ng ny c s
dung khi dch vu c lin quan n v ang ch vic hon thnh cc hot ng ca
cc nh cung cp khc m thi gian hon thnh c th thay i, hoc kh nh
gi khi lng u vo ca t vn. Loi hp ng ny s c s dung i vi
cc nghin cu phc tp, gim st xy dng, t vn dch vu v hu ht cc nhim
vu o to. Khi lng thanh ton thng c tnh theo khi lng u vo v
thng c da vo khi lng nhn s hng thng ca cc chuyn gia c tn
trong hp ng, v da vo mc c th thanh ton c s dung mc ph thc t
v/hoc n gi c thng nht.
Hp ng theo mc ph tr trc v/hoc ph d phng (thnh cng)
2.46 Hp ng theo mc ph tr trc v ph d phng c s dung rng ri
khi cc chuyn gia t vn (cc ngn hng hoc cc cng ty ti chnh) ang chun
b bn hoc sp nhp cc cng ty, ch yu trong cc hot ng t nhn ho. Mc
lng ca chuyn gia t vn bao gm khon tr trc v ph thnh cng, v mc
ph thnh cng thng c tnh theo phn trm ca gi bn ti sn.
26
C khi c xem nh l hp ng thanh ton theo tin
Th tuc 29
Hp ng t vn khng thi hn (Hp ng v gi)
2.47 Hp ng ny c s dung khi Bn vay c nhu cu t xut v dch vu
c bit t vn v mt hot ng cu th, trong khi phm vi v thi gian khng
th xc nh trc. Hp ng ny thng c s dung nm gi chuyn gia t
vn thc hin cc d n phc tp (v du nh p nc), chuyn gia gii quyt
trong hi ng gii quyt tranh chp, ci cch th ch, t vn mua sm, khc phuc
s c k thut, thng thng trong thi gian 1 nm hoc di hn. Bn vay v cng
ty tho thun v mc lng cho chuyn gia t vn v vic thanh ton s c thc
hin trn c s thi gian lm vic thc t.
Hp ng trn gi (lump-sum)
2.48 Hp ng trn gi c s dung cho cc nhim vu c ni dung, thi gian
thc hin v sn phm u ra ca chuyn gia t vn c quy nh mt cch r
rng. Nhim vu ny thng bao gm k hoch v nghin cu kh thi n gin,
nghin cu mi trng, thit k chi tit cc c cu chun hoc thng thng, cung
cp dch vu v chun b h thng x l d liu. Mc gi bao gm tt c cc chi ph
v khng c m phn. Vic thanh ton s c thc hin theo sn phm u
ra, v du nh bo co, bn v, sao k khi lng, h s thu v cc chng trnh
phn mm.
Hp ng theo tin thc hin
2.49 Hp ng theo tin thc hin c p dung tng cng vic cung
cp cc kt qu dch vu t vn, qua ci thin gi tr ng tin. Vic thanh ton
cho chuyn gia t vn c thc hin trn c s kt qu t c cc mc cu th
theo cc sn phm u ra ca d n (v du: kt qu thc hin hoc sn phm
u ra c qui nh trong thit k d n v khung gim st) c hon tt
hoc t c. Cc mc thc hin hp ng cn c xc nh r rng, v s
lng cho php gim st v kim tra hiu qu. Vic la chn cc mc thc hin
v cc ch s tham chiu kim tra vic t c cc mc s c tho thun
vi chuyn gia t vn v/hoc Bn vay ti thi im m phn hp ng. Mc
d dng trong vic i chiu, kim tra cc mc thc hin phu thuc vo bn cht
ca tng d n. Vic kim tra c th tng i d i vi d n xy dng nhng
kh kh khn i vi cc d n tng cng nng lc th ch. Trong trng hp th
hai, c th p dung hnh thc tho thun chung l kt hp cc tiu ch ca hp
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 30
ng theo thi gian v hp ng theo tin cng vic. Trong trng hp ny, t
l thanh ton hp ng cho chuyn gia t vn da trn khi lng cng vic
hon thnh v mt phn da vo kt qu t c mt hoc nhiu mc chin
lc, thng l giai on sau ca hp ng.
C. Cc iu khon hp ng quan trng ca Khon vay
2.50 Hp ng bao gm cc iu khon sau:
Tin t
2.51 Cc bn yu cu np xut (RFP) phi nu r rng cc cng ty c th a
ra mc gi dch vu ca h bng bt c loi ng tin c th chuyn i d dng
no. Nu cc chuyn gia t vn mun a ra mc gi bng tng nhiu loi ng
ngoi t khc nhau th h c th lm nh vy, vi iu kin l xut ca h khng
c c nhiu hn ba loi ngoi t. Bn vay c th yu cu cc chuyn gia t vn
nu r khi lng chi ph bng loi ng tin ca nc vay. Vic thanh ton hp
ng s c thc hin bng loi tin t hoc cc loi tin t c s dung a
ra mc gi trong xut.
iu chnh gi
2.52 iu chnh mc lng theo t l lm pht trong nc hoc/v nc
ngoi, hp ng s bao gm mt iu khon v iu chnh mc gi nu thi hn
hp ng vt qu 18 thng. Cc hp ng c thi hn ngn hn c th bao gm
mt iu khon v vic iu chnh mc gi khi t l lm pht trong nc hoc
nc ngoi d kin l cao v kh d on.
iu khon thanh ton
2.53 Cc iu khon thanh ton, bao gm s tin c thanh ton, lch thanh
ton v th tuc thanh ton s c tho thun trong qu trnh m phn. C th
thc hin thanh ton theo thi hn nh k (p dung cho hp ng theo thi gian)
hoc theo kt qu t c (nh trong hp ng trn gi). Vic thanh ton trc
(v du cho chi ph khi ng ban u) vt qu 10% khi lng hp ng thng
c m bo bng khon bo lnh thanh ton trc.
Th tuc 31
2.54 Vic thanh ton s c thc hin ngay lp tc theo cc iu khon hp
ng. thc hin vic ny:
(a) ADB cn thanh ton trc tip cho chuyn gia t vn khi c yu cu ca Bn
vay hoc thng qua th tn dung trong trng hp ngoi l;
(b) ch gi li nhng khon b tranh ci, vi phn cn li ca ho n phi c
thanh ton theo hp ng; v
(c) hp ng s qui nh vic thanh ton cho cc khon ph ti chnh nu c s
chm tr trong qu trnh thanh ton do li ca khch hng vt qu khong
thi gian cho php trong hp ng; mc ph s c qui nh cu th trong
hp ng
Bo lnh thanh ton trc
2.55 i vi cc hp ng t vn khon vay, Bn vay c th yu cu chuyn gia t
vn cung cp bo lnh thanh ton trc bo m cho khon thanh ton trc
ca Bn vay.
ng gp ca Bn vay
2.56 Bn vay c th ch nh cc cn b nghip vu khc nhau thc hin cc
nhim vu trong hp ng. Hp ng gia Bn vay v chuyn gia t vn s qui nh
chi tit v cc cn b ny, cn gi l cn b i tc, cng nh trang thit b do Bn
vay cung cp, v du nh nh ca, vn phng, h tr hnh chnh, trang thit b v xe
c. Hp ng s nu r cc bin php m t vn c th p dung nu cc hng muc
trn khng c cung cp hoc b thu hi trong thi gian thc hin nhim vu, v
khon bi thng cho chuyn gia t vn trong trng hp .
Xung t li ch
2.57 Theo quy nh ca ADB, mu thun li ch l trng hp mt bn c li ch
m c th c tc ng nh hng n tnh hnh thc hin cc ngha vu hoc trch
nhim chnh thc, cc ngha vu theo hp ng, hoc vic tun th cc quy ch
v lut lin quan ca bn , v s mu thun quyn li c th gp phn hoc
to ra thng l nghim cm theo chnh sch chng tham nhng ca ADB. Theo
cc quy nh ca chnh sch chng tham nhng ca ADB, Bn vay (k c cc bn
hng li t hot ng do ADB ti tr) cng nh cc chuyn gia t vn theo hp
Hng dn S dung T vn i vi Ngn hng Pht trin Chu v Cc bn vay vn 32
ng do ADB ti tr phi tun th mc cao nht cc chun mc o c, ADB
s c cc hnh ng ph hp qun l mu thun li ch hoc c th phn i
xut trao thu nu ADB thy rng mu thun li ch nh hng tiu cc n
tnh trung thc trong qu trnh tuyn chn t vn. Hp ng s c cc iu khon
hn ch vic tham gia ca chuyn gia t vn vo cc dch vu trong tng lai m cc
dch vu ny l kt qu ca hoc lin quan trc tip n dch vu t vn ca cng ty
t vn theo quy nh ti on 1.11 ca Hng dn ny.
Trch nhim chuyn mn
2.58 Chuyn gia t vn d kin thc hin nhim vu vi s quan tm v n lc
ph hp v tun theo cc chun mc hin hnh v nghip vu. V trch nhim ca
chuyn gia t vn i vi Bn vay s c iu chnh theo cc lut hin hnh, hp
ng khng cn phi cp n vn ny tr khi cc bn mun hn ch trch
nhim ca mnh. Nu trng hp xy ra, cc bn phi m bo rng (a) khng
hn ch trong trng hp chuyn gia t vn hon ton s xut hoc hnh vi sai tri
c ch ; (b) trong bt c trng hp no, trch nhim ca chuyn gia t vn i
vi Bn vay khng c thp hn mt t l phn trm tng gi tr hp ng m s
c quy nh trong bn RPF v trong cc iu khon c bit ca hp ng (khi
lng trong trng hp hn ch s phu thuc vo tng trng hp nht nh); v
(c) bt k hn ch no ch c th p dung cho trch nhim ca chuyn gia t vn
i vi khch hng v khng phi trch nhim ca chuyn gia t vn vi bn th
ba.
Thay th nhn s
2.59 Trong thi gian thc hin nhim vu, nu cn phi thay th nhn s (chng
hn nh v l do m au, cht, hoc bi v chuyn gia khng thch hp), chuyn
gia t vn s xut chuyn gia khc c trnh t nht l tng ng Bn
vay ph duyt.
Lut c p dng v Gii quyt tranh chp
2.60 Hp ng s bao gm cc iu khon qui nh nhng lut s c p dung
v to n gii quyt tranh chp. Hp ng ca chuyn gia t vn s lun c iu
khon gii quyt tranh chp. To n thng mi quc t c th c li th i vi
cc hnh thc khc gii quyt tranh chp. Do vy, Bn vay c khuyn khch
Th tuc 33
xut loi hnh thc gii quyt ny. ADB s khng c lm trng ti hoc xut
trng ti phn x.
D. Gim st v nh gi thc hin
Gim st qu trnh tuyn dng
2.61 ADB p dung mt cng cu gim st, gi l gim st hot ng tuyn dung
chuyn gia t vn (CRAM), trong phn chia qu trnh tuyn dung chuyn gia t vn
khon vay v h tr k thut thnh cc hot ng v p dung cc tiu chun (ngy
lm vic) tnh cc ngy muc tiu cho mi hot ng v cho ton b qu trnh.
CRAM cng p dung trch nhim thc hin cho nhng ngi lin quan n (a) thc
hin cc hot ng, (b) gim st cc ngy thc t so vi ngy muc tiu v, nu ph
hp, (c) thc hin hnh ng mt cch kp thi. CRAM c th p dung i vi (a) cc
phng thc tuyn dung t vn khc nhau, v (b) cc loi xut k thut.
nh gi tnh hnh thc hin
2.62 Bn vay nh gi vic thc hin ca cc cng ty t vn v cc chuyn gia t
vn c lp cho cc khon vay v cc chuyn gia HTKT c phn cp. Vi s tham
vn ca Bn vay, ADB nh gi tnh hnh thc hin ca chuyn gia t vn HTKT.
Tu thuc vo thi gian thc hin nhim vu, vic nh gi c th thc hin trong
sut thi k thc hin cng nh khi kt thc nhim vu. Thng qua bn cu hi khi
nhim vu kt thc, chuyn gia t vn c c hi gp cho bo co nh gi v tnh
hnh thc hin ca Bn vay v ADB. Vo thi im m phn hp ng, Bn vay
hoc ADB a cho chuyn gia t vn ang m phn mt bn sao ca mu nh
gi thc hin v bn cu hi khi kt thc nhim vu chuyn gia t vn hon tt;
th tuc chun b bo co nh gi thc hin v bng cu hi khi kt thc nhim vu
s c gii thch. Khi hon tt nhim vu, Bn vay hoc ADB chun b bo co mt
gii thch mc xp hng tng th ca mnh, c bit l cc mc xp hng thp.
Nu vic thc hin ca cng ty sau c pht hin l yu km, bo co c
th c s dung a ra bt k s hn ch hoc trng pht khc. Chuyn gia t
vn c c hi a ra kin i vi nhng pht hin ca vic nh gi thc hin v
i vi vic thc hin ca Bn vay v ADB. ADB lu gi h s v vic thc hin ca
cng ty t vn v chuyn gia t vn c lp v kim tra cc thng tin ny vo thi
im lp danh sch ngn chuyn gia t vn cho HTKT v khon vay.
Ph lc 1
Tm tt th tc la chn ca phng php la chn trn c s
chi ph v cht lng (QCBS) v phng php la chn trn c s
cht lng (QBS)
Bng A1: Qui trnh th tc QCBS
S TT Khon vay v HTKT c y nhim H tr k thut
(i) Chun b TOR v d ton chi ph Chun b TOR v d ton chi ph
(ii) Qung co Qung co
(iii) Chun b danh sch di chuyn gia t
vn
Chun b danh sch di chuyn gia t
vn
(iv) Chun b RFP v danh sch ngn chuyn
gia t vn
Chun b RFP v danh sch ngn chuyn
gia t vn
trnh ln th nht cho ADB
a
(v) Pht hnh RFP Pht hnh RFP
(vi) Tip nhn xut Tip nhn xut
(vii) nh gi xut k thut nh gi xut k thut
trnh ln th hai cho ADB
(viii) M cng khai xut ti chnh M cng khai xut ti chnh
(ix) nh gi xut ti chnh nh gi xut ti chnh
(x) Xp hng xut Xp hng xut
trnh ln th ba cho ADB
a
(xi) Sao chup hp ng k gi cho ADB m phn v k hp ng
(xii) Thng bo vic trao hp ng Thng bo vic trao hp ng
(xiii) Tham vn Tham vn
ADB = Ngn hng Pht trin Chu , QBS = La chn trn c s cht lng, QCBS = La chn da trn c s cht
lng v chi ph, RFP = Yu cu np xut, HTKT = H tr k thut, TOR = iu khon tham chiu
a
C quan thc hin vi nng lc c chng minh (xem on 1.27 v 2.3)
Ngun: c tnh ca ADB
35
Tm tt th tuc la chn ca phng php la chn trn c s chi ph v cht lng (QCBS)
v phng php la chn trn c s cht lng (QBS
Bng A2: Th tc QBS
S TT Khon vay v HTKT c phn cp H tr k thut
(i) Chun b TOR Chun b TOR
(ii) Qung co Qung co
(iii) Chun b RFP v danh sch ngn chuyn
gia t vn
Chun b danh sch di chuyn gia
t vn
(iv) Chun b RFP v danh sch ngn chuyn
gia t vn
Chun b RFP v danh sch ngn chuyn
gia t vn
trnh ADB ln th nht
(v) Pht hnh RFP Pht hnh RFP
(vi) Tip nhn xut Tip nhn xut
(vii) nh gi v xp hng xut k thut nh gi v xp hng xut k thut
trnh ADB ln th hai
(viii) Bn vay mi chuyn gia t vn c
xut k thut xp hng cao nht np
xut ti chnh
ADB mi chuyn gia t vn c xut
k thut xp hng cao nht np xut
ti chnh
(ix) m phn v chun b d tho hp
ng vi cng ty c la chn
m phn vi cng ty c la chn
(x) K hp ng K hp ng
(xi) Sao chup hp ng k gi cho ADB
(xii) Thng bo vic trao hp ng Thng bo vic trao hp ng
ADB = Ngn hng Pht trin Chu , QBS = La chn trn c s cht lng, RFP = Yu cu np xut, HTKT = H
tr k thut, TOR = iu khon tham chiu
Ngun: c tnh ca ADB
Ph lc 2
Hng dn cho cc chuyn gia t vn ca cc d n khon vay
Mc ch.
1.1 Phu luc ny hng dn cho cc chuyn gia t vn mun cung cp dch vu t
vn cho cc d n vay vn do Ngn hng Pht trin Chu (ADB) ti tr v thng
qua cc qu do ADB qun l.
Trch nhim la chn chuyn gia t vn
1.2 (i) Bn vay ca d n vay vn hon ton chu trch nhim thc hin d n
v trch nhim thanh ton dch vu t vn trong khun kh d n. V
phn mnh, ADB m bo rng ngun vn c gii ngn t khon
vay khi khon chi ph pht sinh.
(ii) Vic gii ngn ngun vn khon vay c thc hin ch khi c yu cu
ca Bn vay. Cc vn bn chng minh ngun vn vay c s dung
ph hp vi Hip nh vay s c cung cp cng vi n xin rt vn
ca Bn vay. Vic thanh ton c th c thc hin (a) hon tr cho
cc khon thanh ton c Bn vay thc hin t ngun tin ca
mnh, hoc (b) trc tip cho bn th ba (v du nh chuyn gia t vn).
(iii) Nh nhn mnh trong Hng dn ny, Bn vay chu trch nhim
tuyn dung chuyn gia t vn khon vay. Bn vay mi, tip nhn v
nh gi cc xut v trao hp ng. Hp ng c k gia Bn
vay v chuyn gia t vn. ADB khng phi l bn tham gia hp ng.
Vai tr ca ADB
1.3 (i) Nh quy nh trong Hng dn ny, ADB s xem xt yu cu np
xut (RFP), bao gm danh sch ngn, nh gi k thut ca cc
xut, a ra cc khuyn ngh trao thu v hp ng m bo qu
trnh c thc hin ph hp vi quy trnh th tuc tho thun,
theo quy nh ca hip nh vay v k hoch mua sm. i vi tt c
cc hp ng i hi phi thc hin tin kim, ADB s nh gi cc h
s do Bn vay np trc khi cc vn bn ny c ban hnh.
37 Hng dn cc chuyn gia t vn thc hin cc d n vay
(ii) Nu ti bt c thi im no trong qu trnh la chn (thm ch sau
khi trao hp ng), ADB kt lun rng quy trnh th tuc thng nht
khng tun th cht ch v bt k kha cnh no, ADB c th tuyn b
mua sm khng hp l, nh c m t ti on 1.18 ca Hng dn
ny. Tuy nhin, nu Bn vay trao hp ng sau khi c kin khng
phn i ca ADB, ADB s tuyn b mua sm khng hp l ch khi
kin khng phn i c a ra trn c s Bn vay cung cp thng
tin khng y , khng chnh xc hoc sai lch.
(iii) Ngoi ra, nu ADB xc nh rng c cc hnh vi tham nhng, gian ln,
thng ng, e do hoc cc hnh vi b nghim cm c thc hin
bi i din ca Bn vay hoc chuyn gia t vn, ADB c th p dung
cc bin php trng pht c quy nh trong on 1.23 (d) ca Hng
dn.
(iv) ADB cng b cc RFP chun v hp ng chun cho cc loi hnh dch
vu t vn khc nhau. Bn vay bt buc phi s dung cc mu h s ny,
ch c php thay i nh vi s chp nhn ca ADB gii quyt
nhng vn c th ca tng d n. Bn vay hon tt v pht hnh
ti liu ny nh mt phn ca RFP.
Thng tin v dch v t vn
1.4 (i) u tin, thng tin v dch vu t vn, bao gm m t ngn gn v ni
dung dch vu, thi gian, chi ph c tnh v s thng - ngi s c
cng b, ng ti trn trang web ca ADB ti thiu 30 ngy trc khi
c danh sch ngn.
(ii) Sau khi trao hp ng t vn ca HTKT v khon vay, ADB s cng b
trn trang web ca mnh nhng thng tin sau: (a) tn ca tt c chuyn
gia t vn trnh xut; (b) im k thut ca mi chuyn gia t
vn; (c) xp hng tng th chuyn gia t vn: (d) tn ca chuyn gia t
vn trng thu v chi ph, thi gian lm vic v tm tt ni dung hp
ng.
Vai tr ca chuyn gia t vn
1.5 (i) Khi chuyn gia t vn nhn c RFP v nu chuyn gia t vn c th
p ng cc yu cu ca TOR v cc iu khon thng mi v hp
Phu luc 2 38
ng, chuyn gia t vn nn thc hin cc tho thun cn thit
chun b xut phn hi (v du nh n cng tc ti nc s thc
hin nhim vu, tm kim s lin danh, thu thp ti liu, thnh lp nhm
chun b). Nu chuyn gia t vn nhn thy trong ti liu RFP - c bit
trong th tuc la chn v tiu ch nh gi c bt c s m h, b st
hoc tri ngc hay bt c c im no khng r rng hoc c du
hiu phn bit hoc hn ch, chuyn gia t vn nn yu cu Bn vay
lm r bng vn bn, trong khong thi gian quy nh theo RFP v vic
gii thch nhng thng tin theo yu cu. Lin quan n vic ny, cn
khng nh rng tng RFP cu th do Bn vay pht hnh c cch thc
la chn ring. Nu chuyn gia t vn cm thy bt k iu khon no
trong RFP khng ph hp vi hng dn ny, chuyn gia t vn cng
nn cp vn ny ra vi Bn vay.
(ii) Chuyn gia t vn cn m bo rng h trnh mt xut phn hi
ton din, bao gm tt c cc ti liu lin quan theo quy nh trong
RFP. Bn vay cn m bo tnh chnh xc trong s yu l lch (CV) ca
chuyn gia t vn c trnh cng vi xut. Chuyn gia t vn
phi k v ghi r ngy thng khng nh tnh chnh xc ca CV v vic
sn sng cng tc ca t vn. Vic khng tun th vi cc yu cu quan
trng s dn n vic loi b xut . Khi xut k thut c tip
nhn v m, chuyn gia t vn s khng c yu cu, v khng c
php thay i ni dung, chuyn gia t vn v..v.. Tng t, khi nhn c
xut ti chnh, chuyn gia t vn s khng c yu cu hoc khng
c php thay i mc ph xut v...v, ngoi tr
27
ti thi im
m phn c thc hin ph hp vi iu khon ca RFP. Nu vic gia
hn thi gian ca cc xut vi l do chuyn gia t vn cha c sn,
vic thay i chuyn gia t vn c trnh tng ng hoc tt hn
c th c chp nhn.
Tnh bo mt
1.6 Nh quy nh ti Hng dn, on 2.21, quy trnh nh gi xut phi c
gi b mt cho ti khi cng b hp ng, tr trng hp cng b cc im k
27
Ty thuc vo phng php la chn. V du vi phng thc la chn da trn cht lng v chi ph (QCBS) v
phng thc la chn theo mc ngn sch c nh (FBS) m phn v mc ph l khng c chp thun
39 Hng dn cc chuyn gia t vn thc hin cc d n vay
thut theo quy nh ti on 2.13, v vic cng b thng tin ti chnh ti bui m
cng khai cc xut ti chnh, xem on 2.14. Tnh bo mt cho php Bn vay v
cn b nh gi ca ADB trnh c s can thip hoc quan nim khng ng
n.
Khiu ni trong qu trnh tuyn dng
1.7 Nu trong qu trnh tuyn dung, chuyn gia t vn mun cung cp cc thng
tin lin quan ti tnh trung thc ca qu trnh la chn Bn vay, ADB hoc c
hai bit, h phi thc hin bng vn bn thng qua Bn vay, hoc c th trc tip
vit cho ADB nu Bn vay khng phn hi kp thi hoc c vic khiu ni i vi
Bn vay.
Thm vn sau khi trao hp ng
1.8 Nu sau khi trao hp ng, chuyn gia t vn mun xc nh l do ti sao
xut ca mnh khng c chp nhn, h cn phi gi yu cu ny ti Bn vay.
Nu chuyn gia t vn khng tho mn vi nhng gii trnh a ra, chuyn gia t
vn c th lin h trc tip vi ADB bng vn bn.
Hng dn
S dng T vn
i vi Ngn hng Pht trin Chu
v Cc bn vay vn
Thng 7 nm 2013
In ti Philippines In trn giy ti ch
Ngn hng Pht trin Chu
Tm nhn ca ADB l xy dng khu vc Chu v Thi Bnh Dng khng
c i ngho. S mnh ca ADB l h tr cc nc thnh vin ang pht
trin gim ngho v nng cao cht lng cuc sng ca ngi dn. Mc
d t c nhiu thnh cng, khu vc ny vn chim n 2 phn 3
dn s ngho ca th gii: 1,7 triu ngi sng vi mc thu nhp di 2
-la mt ngy, trong 828 triu ngi ang phi vt ln vi mc thu
nhp di 1,25 -la mt ngy. ADB cam kt gim ngho thng qua tng
trng kinh t ton din, pht trin bn vng v mi trng v hi nhp
khu vc.
ADB, tr s ti Ma-ni-la, c 67 quc gia thnh vin, trong c 48
thnh vin trong khu vc. Cng c chnh ca ADB h tr cc nc
thnh vin ang pht trin l i thoi chnh sch, cho vay, u t vn c
phn, bo lnh, vin tr khng hon li v h tr k thut.
Asian Development Bank
6 ADB Avenue, Mandaluyong City
1550 Metro Manila, Philippines
www.adb.org