HNG DN S DNG T VN I VI

NGN HNG PHT TRIN CHU V CC BN VAY VN

Ngn hng Pht trin Chu
Thng 2/2007



Ti liu ny c dch t bn ting Anh n c vi nhiu c gi khc. Ngn hng
Pht trin Chu (ADB) n lc xc minh tnh chnh xc ca bn dch ny, tuy nhin ting
Anh vn l ngn ng lm vic ca ADB v do ch c bn gc bng ting Anh mi c gi
tr (c ngha l chnh thc v c hiu lc). Bt c s tham chiu no phi s dng bn ting
Anh gc ca ti liu ny.



Li ta

Ti liu Hng dn s dng chuyn gia t vn i vi Ngn hng Pht trin Chu v Cc
Bn vay vn ny (Hng dn) s thay th ti liu Hng dn s dng chuyn gia t vn i
vi Ngn hng Pht trin Chu v Cc Bn vay vn trc y (thng 4/2006).

Ti liu hng dn ny p dng cho cc d n khon vay v h tr k thut do Ngn hng
Pht trin Chu (ADB) ti tr hoc cc ngun vin tr khng hon li khc do ADB qun
l.


MC LC

I. GII THIU V CHNH SCH 1

1.1 Mc ch 1
1.4 Cc Tiu ch chung 2
1.7 Phm vi p dng 2
1.10 Mu thun li ch 3
1.12 Li th cnh tranh khng bnh ng 4
1.13 Tnh hp l 4
1.14 Lin doanh gia cc chuyn gia t vn 5
1.15 K hp ng trc v ti tr hi t 5
1.16 nh gi, h tr v gim st ca ADB 5
1.18 Mua sm khng hp l 6
1.19 Cc tham chiu n ADB 6
1.20 Pht trin nng lc 7
1.21 o to hoc chuyn giao kin thc 7
1.22 Ngn ng 7
1.23 Gian ln v Tham nhng 7
1.26 nh gi thc hin 8
1.27 K hoch mua sm 9

II. TH TC 10

A. Hnh thc tuyn dng 10
2.1 Tuyn dng cng ty t vn 10
2.2 La chn da vo cht lng v chi ph (QCBS)10
2.23 La chn da vo cht lng (QBS) 14
2.26 La chn theo mc ngn sch c nh (FBS) 14
2.27 La chn chi ph thp nht (LCS) 15
2.28 La chn theo cht lng t vn (CQS) 15
2.29 La chn t mt ngun (SSS) 15
2.33 Thng l thng mi 16
2.34 Tuyn dng chuyn gia t vn c lp 16
2.35 Tuyn dng cc chuyn gia t vn c bit 17

B. Cc loi hp ng 19

2.45 Hp ng trn c s thi gian 19
2.46 Hp ng theo mc ph tr trc v/hoc ph d phng (thnh cng) 19
2.47 Hp ng t vn khng thi hn (hp ng v gi) 20
2.48 Hp ng trn gi 20
2.49 Hp ng theo tin thc hin 20

C. Cc quy nh hp ng quan trng cho Khon vay 20

D. Gim st v nh gi tnh hnh thc hin 22

2.61 Gim st qu trnh tuyn dng 22
2.62 nh gi tnh hnh thc hin 23



PH LC 1: Tm tt th tc QCBS v th tc QBS 24
PH LC 2: Hng dn cho cc chuyn gia t vn 26
ca d n khon vay

1
I. GII THIU V CC CHNH SCH

Mc ch

1.1 Mc ch chnh ca Hng dn ny l a ra cc chnh sch v th tc 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 tc ang
c ADB p dng; gii thch c 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 dng, s iu chnh mi quan h php l gia bn nhn v ADB, v Hng dn
ny s c p dng i vi vic thu tuyn t vn nh c quy nh trong cc hip nh
lin quan. Cc quyn li v ngha v ca Bn vay
4
hoc ADB v cc chuyn gia t vn s
tun theo cc yu cu np xut chun (RFP) c 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 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 mc 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 dng cc t chc t vn ny h tr cc hot ng nh t
vn chnh sch, ci cch th ch, qun l, dch v k thut, gim st xy dng, dch v ti
chnh, dch v 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.




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 c 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.
5
T vn quc t c ngha l cng ty t vn c thnh lp ti cc nc thnh vin ca ADB, k c
bn vay, hoc mt c nhn c quc tch ca nc thnh vin ADB 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.
2



Cc tiu ch chung

1.3 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 tc c th p dng tuyn dng chuyn gia t vn s ph thuc vo iu kin c
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 v 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 v do ADB ti tr;
(d) Mi quan tm ca ADB trong vic khuyn khch pht trin v s dng 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 v nu ph hp.
Phn II, Mc 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 dng 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 tc 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 dng 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 c 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 c th trong k hoch mua sm (xem on
1.27).

Phm vi p dng

1.7 Dch v t vn c p dng 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 v
10
nhiu giai on khc nhau trong chu k d n. Hng dn ny thng khng p

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 dng v gim
st chuyn gia t vn HTKT.
10
Dch v 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 v php l v ti chnh; dch v qun l v k thut; v gim
st xy dng.

3



dng i vi cc loi dch v khc thin v kha cnh vt cht (v d nh cc cng trnh xy
dng).

1.8 Cc th tc c nu trong Hng dn ny p dng cho tt c cc hp ng dch v
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 Bn vay thc hin.
Trong qu trnh tuyn dng dch v t vn m khng c ti tr t cc ngun vn trn, Bn
vay c th p dng cc th tc khc. Trong trng hp , ADB cn phi m bo rng (i)
th tc p dng tuyn dng c chuyn gia t vn c trnh nghip v cn thit; (ii)
cc chuyn gia t vn c chn s thc hin nhim v c giao theo k hoch c
thng nht trc, v (iii) phm vi dch v ph hp vi nhu cu ca d n.

1.9 Cc chuyn gia t vn c Bn vay tuyn dng 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 dng
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 dng (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 dng. 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 v hoc trch
nhim chnh thc, cc ngha v 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 dng trong cc trng hp sau:

(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 v (ngoi dch v t vn c cp trong
Hng dn ny) cho mt d n, s khng c la chn cung cp dch v t vn
lin quan n cc hng ho, cng trnh hoc dch v . Ngc li, cng ty t vn
hoc chuyn gia t vn c lp c thu tuyn cung cp dch v t vn chun b
hoc thc hin mt d n s khng c tuyn chn tip tc cung cp hng ho,

11
Xem on 1. 7 ca Hng dn ny.

4


cng trnh hoc dch v (ngoi cc dch v t vn c cp trong Hng dn ny)
pht sinh hoc lin quan trc tip n dch v 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 v no nu cng vic c yu
t mu thun vi mt nhim v khc ca cng ty hoc chuyn gia c lp . V d,
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 dng 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
v s c khng thu tuyn thc hin nhim v .

(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 dng 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 dng v thc hin hp ng.

Li th cnh tranh khng bnh ng

1.12 Tnh bnh ng v minh bch trong qu trnh tuyn dng i hi cc cng ty t vn
hoc chuyn gia t vn c lp cnh tranh cho mt cng vic c th khng c php s
dng li th cnh tranh t vic cung cp dch v 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 tng tnh cnh tranh, ADB cho php cc cng ty v t vn c lp t tt c cc
nc thnh vin ADB c php cung cp dch v t vn cho cc d n do ADB ti tr.
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 hip quc c quyt nh tun th theo Chng VII ca Hin chng Lin
hip 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 c th no hoc
i vi hng ho c 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.


5



(c) Trng hp ngoi l i vi (b), khi dch v ca cc trng i hc cng hoc vin
nghin cu cng ca Bn vay c tnh cht ngoi l v duy nht, v 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 c 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 dng cc cn b ny khng gy ra mu thun
li ch (xem on 1.10).

(e) Chuyn gia t vn khng hp l theo quy nh ca ADB ti mc (d) ca on 1.23
ca Hng dn ny s khng hp l tham gia cc hp ng do ADB ti tr hoc
do 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 ph 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 v c th) hoc cho mt nhim v c th. Nu ADB
hoc Bn vay s dng 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 c th no, nhng c th khuyn khch lin doanh vi
cc cng ty trong nc c nng lc.

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 tc 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 tc, 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 dng hnh
ng thu tuyn t vn trc tuyn dng 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 dng t vn cho khon vay v cc HTKT c y nhim.

12
Quc tch ca nhm lin doanh s dng cho mc ch danh sch ngn s c xc nh theo quc
tch ca cng ty i din nhm lin doanh.

6


Cc t kim tra trc yu cu Bn vay phi cung cp quy trnh tuyn dng ca tt c cc
phng php tuyn dng trong qu trnh thc hin ADB ph duyt. Mc v tn sut
hot ng kim tra trc s ph 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 c
th, c th khng p dng 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 dng 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 d 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 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 v 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 v 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 n 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 dng 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 dng 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 Bn vay] c quyn s dng 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].



7



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 dng t vn cho cc nc thnh vin ang pht trin (DMC); (ii) nng lc tuyn
dng 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 d 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 dng ca ngnh t vn.

o to hoc chuyn giao kin thc

1.21 Nu nhim v 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 mc
tiu, tnh cht, phm vi v mc 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 dng chuyn gia t
vn do ADB, Bn vay v t vn chun b l ting Anh.

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
dng v thc hin cc hp ng ny. Theo chnh sch ny
13
v trong bi cnh ca Hng
dn ny, ADB:

(a) v mc ch ca quy nh ny, nh ngha cc khi nim di y nh sau:

(i) hnh ng tham nhng c ngha l a, cho, nhn hoc g gm, trc tip hoc
gin tip, bt c hin vt c gi tr tc ng mt cch khng ng n n
hnh ng ca bn khc;
(ii) hnh ng la di c ngha l bt c hnh ng hoc vic b qua, k c vic
trnh by sai, m c hay v tnh lm sai lch, hoc c ch lm sai lch mt
bn lin quan c li ch v ti chnh hoc li ch khc hoc n trnh trch
nhim;

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).

8


(iii) hnh ng thng ng c ngha l mt tho thun gia hai hoc nhiu bn
nhm t c mc tiu khng ng n, k c vic tc ng khng ng n
n hnh ng ca mt bn lin quan khc.
(iv) hnh ng cng bc c ngha l lm h hng 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
ng tham nhng, la di, cng bc 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 hot ng tham nhng,
la di, cng bc 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 bn lin quan hoc bn k nhim ca cng ty , bao gm tuyn b bn lin
quan hoc c quan k nhim 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 nu vo bt
k thi im no ADB nhn thy rng chuyn gia t vn , trc tip hoc gin tip
thng qua i l, tham gia vo cc hot ng tham nhng, la di, thng ng,
cng bc hoc cc hot ng b cm khc trong qu trnh cnh tranh hoc trong
qu trnh thc hin hp ng do ADB ti tr; 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 c 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 dng 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. 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

9



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
dng dch v 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 v t vn, k hoch s
nu r: (i) tng gi hp ng c th; (ii) xut phng php v hnh thc la chn dch
v t vn; v (iii) d kin mt k hoch tuyn dng 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 v 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 dng 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.

10



II. TH TC

A. Hnh thc tuyn dng
15

1. Tuyn dng cng ty t vn

2.1 (i) cung cp nhiu loi dch v t vn; (ii) tng cng cng c v v hi ho th
tc; v (iii) gim chi ph giao dch v n gin ho th tc hnh chnh, ADB thc hin cc
phng thc tuyn dng 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 v c
cung cp. V theo hnh thc QCBS, chi ph cc dch v 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 c th; (ii)
TOR r rng v c c 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 tc QCBS p dng i vi cc khon vay v HTKT c phn cp

2.3 Th tc QCBS p dng i vi cc chuyn gia t vn ca khon vay v HTKT c
phn cp cho Bn vay c trnh by v tm tt Ph lc 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 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, mc tiu v phm vi ca cng vic
xut, v chc nng v nhim v 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 d nh xe c, thit b th nghim). Chi ph s c chia
thnh 2 hng mc chnh: (i) tin lng (theo tng loi hp ng c s dng); 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


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.

11



2.6 ADB thng thng bo tt c cc d n khon vay cn dch v 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. 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 d nh khi ch c mt s t cng ty tiu
chun gi th by t quan tm i vi mt cng vic c th hoc khi quy m hp ng
khng th p dng hnh thc cnh tranh rng ri. Vi mc 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
dng 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 tc 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 dng 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 dng 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.

12


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 nc thnh vin ca ADB.

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 dng 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 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.


13



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 mc 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
mc 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 v thu ca chuyn gia t vn ti quc gia Bn vay (nu c), v ngha
v 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 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 v 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.

p. Tnh bo mt


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.
19
www.adb.org

14


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 tc la chn t vn da theo cht lng v chi ph cho cc HTKT

2.22 Th tc la chn p dng i vi h tr k thut (HTKT) tng t nh th tc tuyn
dng cho khon vay v HTKT c y nhim v c tm tt ti Ph lc 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
v 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 v
t vn c kt qu tc ng rt ln m cht lng dch v l rt quan trng i vi kt qu
ca d n, v (iii) nhim v 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 dng, th mc gi s khng c s dng lm tiu ch
la chn, bn yu cu np xut (RFP) s yu cu cc cng ty ch cn trnh xut k
thut. p dng 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 tc 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 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 tc ny c tm tt trong Ph lc 1.

(ii) La chn da trn cht lng i vi cc HTKT

2.25 Qui trnh th tc i vi HTKT tng t nh i vi chuyn gia t vn khon vay v
HTKT phn cp v c tm tt trong Ph lc 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 c 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
dng 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

15



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 v 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 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 tc hp ng. Nu
m phn tht bi, Bn vay hoc ADB s tip tc 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 dng cho cc nhim v nh
21
khi (i) yu cu chuyn
mn c bit cao i vi nhim v v khi d kin tuyn dng cc cng ty t vn nh cung
cp dch v t vn mt lnh vc chuyn mn su; (ii) thi gian tuyn dng l rt quan trng
v nhim v 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 v 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 dng
trong mt s trng hp ngoi l. L do xut hnh 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.


20
Thng thp hn 100.000 USD
21
Thng thp hn 200.000 USD

16



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 v 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 v rt nh
22
, hoc (d) ch khi mt cng ty t vn t tiu chun hoc
c kinh nghim c bit i vi nhim v .

2.31 Khi tnh lin tc 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 tc la chn t vn . Tnh lin tc 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 tc thc hin so vi cc chuyn gia t
vn mi, tu thuc vo kt qu thc hin nhim v ban u. i vi cc nhim v 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 v ban u khng c trao trn c s cnh tranh, hoc
nu kt qu thc hin nhim v c gi tr tng i ln, th tc cnh tranh c ADB chp
thun thng s c p dng, 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 dng c.

2.32 Khi Bn vay hoc ADB xut s dng hnh thc SSS, Phi on ADB s a th
tc 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
.

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 ph 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 dng trong trng hp
s dng th tc cnh tranh nh c nu trn, c bit i vi cc nhim v ln.

2. Tuyn dng chuyn gia t vn c lp

2.34 i vi mt s nhim v, 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 dng trc tip cc chuyn gia
t vn c lp (chuyn gia c lp) hoc thng qua mt t chc, v d nh cng ty t vn,
hc vin, chnh ph, hoc mt t chc quc t. Qui trnh th tc la chn n gin hn so
vi quy trnh th tc la chn cng ty t vn quc t v trong nc. Chuyn gia t vn c
lp c tuyn dng trn c s nng lc chuyn mn ca h. Khi Bn vay tuyn dng
chuyn gia t vn c lp quc t v trong nc cho d n vay, hai bn cn phi t c

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 v, 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.


17



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 v , (ii) qui
trnh th tc p dng. Thng thng, Bn vay s tuyn dng chuyn gia t vn ph hp vi
qui trnh th tc ca chnh ph chup thun c i vi ADB. i vi HTKT, qui trnh th
tc tuyn dng ph thuc vo phc tp
24
ca iu khon tham chiu (TOR), v thi gian
thc hin nhim v.

3. Tuyn dng cc chuyn gia t vn c bit

a. Cn b t vn

2.35 ADB s qui nh vic tuyn dng 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.

b. Chuyn gia ngun (resource person)

2.36 Cc chuyn gia ngun khng c tuyn dng cho cc cng vic trn 10 ngy lm
vic nhng c th c tuyn dng theo hnh thc la chn t mt ngun t vn.

c. Lin hip quc (LHQ) v cc C quan c chuyn mn c bit mn khc

2.37. Lin hip 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 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
dng hnh thc tuyn dng 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 tc
tuyn dng v cc tho thun hp ng n gin s c p dng 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
dng. 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

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 v v kinh nghim i vi chuyn gia t vn) ca cng
vic .

18


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 NGO trong
nc ang c tuyn dng cho mt HTKT hoc d n vay, ADB c th p dng qui trnh
th tc tuyn dng 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 dng th tc QCBS vi chi ph c h s gia quyn
ln ti 50%. Tuy nhin, khi i l mua sm ch cung cp dch v t vn cho hot ng mua
sm hoc hot ng nh i l cho ton b d n ti mt vn phng c 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 tc thch hp nh i vi cc nhim v t
vn khc s dng qui trnh th tc QCSB v hp ng theo thi gian c nu c th trong
Hng dn ny. Cc i l phi tun th tt c cc th tc 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 dng
RFP, th tc 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 dng 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 tc QCBS vi mc chi ph c h
s gia quyn ln n 50% v s dng 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 c 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 c th tiu
ch la chn lin quan n hot ng - v d, kinh nghim v cc cng vic tng t hoc
mng li cc bn mua tim nng v chi ph dch v. 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 c 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

19



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 c 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 v kim ton theo TOR c th v cc
chun mc chuyn mn nghip v 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 v rt nh
25
, phng thc La chn theo cht lng t vn (CQS) c th c p
dng.

i. Nhim v cung cp dch v

2.43 Cc d n yu cu cc dch v h tr, v d nh o to, thit k hoc sn xut cc
trang thit b phc v 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 v 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
dng ngi cung cp dch v.

B. Cc loi hp ng

2.44 La chn loi hp ng s ph thuc vo (i) bn cht ca cng vic, (ii) kh nng
xc nh c th phm vi v sn phm u ra ca cng vic, v (iii) phn phi ri ro gia cc
bn lin quan.

1. Hp ng trn c s thi gian
26


2.45 Hp ng trn c s thi gian c s dng khi gp kh khn trong vic xc nh
phm vi, sn phm u ra v thi gian dch v. Hp ng ny c s dng khi dch v 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 dng i vi cc nghin cu phc tp, gim st xy dng, t vn
dch v v hu ht cc nhim v 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 dng mc ph thc t
v/hoc n gi c thng nht.

2. 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 dng 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

25
Xem ghi ch 21.
26
C khi c xem nh l hp ng thanh ton theo tin

20


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.

3. Hp ng t vn khng thi hn (Hp ng v gi)

2.47 Hp ng ny c s dng khi Bn vay c nhu cu t xut v dch v c bit
t vn v mt hot ng c th, trong khi phm vi v thi gian khng th xc nh trc.
Hp ng ny thng c s dng nm gi "chuyn gia t vn" thc hin cc d
n phc tp (v d nh p nc), chuyn gia gii quyt trong hi ng gii quyt tranh
chp, ci cch th ch, t vn mua sm, khc phc 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.

4. Hp ng trn gi (lump-sum)

2.48 Hp ng trn gi c s dng cho cc nhim v 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 v 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 v 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 d nh bo co, bn v, sao k khi lng, h s
thu v cc chng trnh phn mm.

5. Hp ng da vo tin thc hin

2.49 Hp ng da vo tin thc hin c p dng tng cng vic cung cp cc
kt qu dch v 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 c th theo cc sn phm u
ra ca d n (v d: 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 ph 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
dng hnh thc tho thun chung l kt hp cc tiu ch ca hp 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:

1. 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 v ca h bng bt c loi ng tin c th chuyn i d dng ca mt quc gia
thnh vin ADB. 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

21


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 dng a ra mc gi trong xut.

2. 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.

3. iu khon thanh ton

2.53 Cc iu khon thanh ton, bao gm s tin c thanh ton, lch thanh ton v th
tc thanh ton s c tho thun trong qu trnh m phn. C th thc hin thanh ton
theo thi hn nh k (p dng cho hp ng theo thi gian) hoc theo kt qu t c
(nh trong hp ng trn gi). Vic thanh ton trc (v d 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.

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 dng 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 c th trong hp ng

4. 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.

5. ng gp ca Bn vay

2.56 Bn vay c th ch nh cc cn b nghip v khc nhau thc hin cc nhim v
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 d 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 dng nu cc hng mc trn khng c cung cp hoc b thu hi
trong thi gian thc hin nhim v, v khon bi thng cho chuyn gia t vn trong trng
hp .





22


6. 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 v hoc trch nhim chnh
thc, cc ngha v 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 l 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. Hp ng s c cc iu khon
hn ch vic tham gia ca chuyn gia t vn vo cc dch v trong tng lai m cc dch v
ny l kt qu ca hoc lin quan trc tip n dch v t vn ca cng ty t vn theo
quy nh ti on 1.11 ca Hng dn ny.

7. Trch nhim chuyn mn

2.58 Chuyn gia t vn d kin thc hin nhim v vi s quan tm v n lc ph hp v
tun theo cc chun mc hin hnh v nghip v. 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 ph thuc vo tng trng hp nht
nh); v (c) bt k hn ch no ch c th p dng 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.

8. Thay th nhn s

2.59 Trong thi gian thc hin nhim v, 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.

9. 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 dng 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 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 dng mt cng c gim st, gi l gim st hot ng tuyn dng chuyn gia
t vn (CRAM), trong phn chia qu trnh tuyn dng chuyn gia t vn khon vay v h
tr k thut thnh cc hot ng v p dng cc "tiu chun" (ngy lm vic) tnh cc

23


ngy mc tiu cho mi hot ng v cho ton b qu trnh. CRAM cng p dng 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 mc tiu v, nu ph hp, (c) thc hin hnh ng mt cch kp thi.
CRAM c th p dng i vi (a) cc phng thc tuyn dng t vn khc nhau, v (b) cc
loi xut k thut.

nh gi 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 v, vic nh gi c th thc hin trong sut thi k thc hin cng nh khi
kt thc nhim v. Thng qua bn cu hi khi nhim v 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 v chuyn gia t vn hon
tt; th tc chun b bo co nh gi thc hin v bng cu hi khi kt thc nhim v s
c gii thch. Khi hon tt nhim v, 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 dng 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 24

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

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 chp 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
Ngun: c tnh ca ADB
a
C quan thc hin vi nng lc c chng minh (xem on 1.27 v 2.3)





















Ph lc 1 25


Bng A2: Th tc QBS

S TT Khon vay v HTKT c phn cp HTKT
(i) Chun b TOR Chun b TOR
(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 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 chp 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 26

HNG DN CC CHUYN GIA T VN THC HIN CC D N VAY

Mc ch.

1.1. Ph lc ny hng dn cho cc chuyn gia t vn mun cung cp dch v 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 v 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 dng 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 d nh chuyn gia
t vn).

(iii) Nh nhn mnh trong Hng dn ny, Bn vay chu trch nhim tuyn
dng 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 tc 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.

(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 tc 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 dng 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 v t
vn khc nhau. Bn vay bt buc phi s dng cc mu h s ny, ch c php
Ph lc 2 27



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 v t vn, bao gm m t ngn gn v ni dung
dch v, 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 ng, chuyn gia
t vn nn thc hin cc tho thun cn thit chun b xut phn hi (v d
nh n cng tc ti nc s thc hin nhim v, 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 tc 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 c 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.



27
Ty thuc vo phng php la chn. V d 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

Ph lc 2 28


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 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 dng, 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 tra 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.