1.
USAID Climate Change Adaptation Project Preparation Facility for Asia and the Pacific
(USAID Adapt Asia-Pacific)
Session 12:
Managing Design Phase Tasks
for Climate Change Adaptation
Projects
January 19, 2017

2.
USAID Adapt Asia-Pacific
Course Overview
• Day 1: Project Presentations,
Climate Finance, and Climate
Impacts
• Day 2: Planning, Risk
Management, and “Bounding” the
Project
• Day 3: Economic Analysis,
Safeguards, and Project Logic
• Day 4: Public-Private Partnerships,
Blended Finance, & Managing
Project Design
• Day 5: Monitoring & Evaluation
and Final Presentations

3.
USAID Adapt Asia-Pacific
Orientation to Process
Project
Concept
Recruit
Design Team
Project
design &
Management
framework
Economic,
Social & Env’t
Analyses
Project
Appraisal
Project
Approval
• Project need has been identified
• Develop Terms of Reference (TOR)
• Recruit design team
• Design team conducts feasibility study
• Government appraises feasibility study
• Approved feasibility incorporates appraisal findings
• Project document for financial approval and implementation
Project Design

4.
USAID Adapt Asia-Pacific
Project Cycle Responsibilities
Project Cycle Step Who’s Responsible? Managerial
Responsibilities
1. Climate policy &
strategy
Government Be informed and alert
2. Project design Financier, lead
agency, contractor
(design team)
Project concept, TOR
for design,
supervision of
contractors
3. Project appraisal Financier, lead
agency, contractor
Verify quality,
feedback. Yes/no
4. Project
implementation
Implementing entity Supervision, reports
5. Monitoring &
evaluation
Implementing entity Supervision

5.
USAID Adapt Asia-Pacific
PREPARING FOR PROJECT
DESIGN
5

6.
USAID Adapt Asia-Pacific
Revisiting the Project Cycle
RESULTS
Policy &
Strategy
Project
Design
Implementation
Appraisal/
Approval
• Project Concept
• Recruit Design
Team
• Project Design &
Management
Framework
• Economic, Social,
and Environmental
Analyses

7.
USAID Adapt Asia-Pacific
Project Concept: Urban Water Supply
and Wastewater Management in Fiji
Project
Concept
Recruit
Design Team
Project
design &
Management
framework
Economic,
Social &
Env’t
Analyses
Project
Appraisal
Project
Approval
• ADB and Fiji agree on the project concept
• TA Report is prepared to obtain funds for project preparation. It
covers:
• (i) Issues
• (ii) Impact and Outcome
• (iii) Methodology and Key Activities
• (iv) Cost and Financing
• (v) Implementation
Project Design

8.
USAID Adapt Asia-Pacific
Terms of Reference: Urban Water Supply
and Wastewater Management in Fiji
Project
Concept
Recruit
Design
Team
Project
design &
Management
framework
Economic,
Social &
Env’t
Analyses
Project
Appraisal
Project
Approval
• Attached to the TA report discussed in the previous slide is a
Design and Monitoring Framework, Cost Estimate and
Financing Plan and outline TOR
• The TOR sets out the following:
• (i) Overview
• (ii) Scope of Work
• (iii) Reporting and Schedule
Project Design

9.
USAID Adapt Asia-Pacific
Design Team Recruited for: Urban Water
Supply and Wastewater Management in Fiji
• Following the approval of the TA report that sets out the project
concept, scope of work, TOR, cost and financing, implementation
arrangements and reporting schedule, a design team can be recruited
to undertake the Feasibility Study
• Allow about 8-10 weeks for bids by shortlisted consulting firms,
evaluation of bids and award of contract. Then the FS team is fielded
and starts work
This Module discusses your role in recruiting the design team and
supervising the project design process
Project Design
Project
Concept
Recruit
Design
Team
Project
design &
Management
framework
Economic,
Social &
Env’t
Analyses
Project
Appraisal
Project
Approval

10.
USAID Adapt Asia-Pacific
Economic, Social, & Environmental
Analysis Timeline
Inception
Report:
1 Month
• Coordinate meetings & review of inception report
• Agree with design team on details in final
inception report
Draft
Feasibility
Study: 4
Months
• Coordinate meetings & review draft feasibility
report
• Appraise project: Yes/No decision
• Provide revisions for final feasibility report
Final
Feasibility
Study: 1
Month
• Coordinate with design team
• Review and approve final feasibility report
Design & Management Framework.
Economic, social, environmental analyses
Comply with requirements of financier Draft
Feasibility Study
Address gov’t & financier appraisal
edits and revisions  final feasibility
report & project document
Design Team
Responsibilities (CONDUCT)
Management Team
Responsibilities (SUPERVISE)
Consultations with government,
preliminary visits, develop work
plan, budgetinception report
Final Project Document

11.
USAID Adapt Asia-Pacific
Session 12 Objectives
121.A. Identify key principles associated with organizing and
structuring a government management team.
12.1.B. Describe necessary components for a Terms of Reference
and will apply best practices to the development of their own TORs.
12.1.C. Describe key considerations and milestones associated
with consultant selection.
12.1.D. Explain key considerations for negotiating a consulting
agreement.
12.1.E. Describe management team responsibilities related to
logistics, setup, and orientation once the design team is recruited.

12.
USAID Adapt Asia-Pacific
The Manager’s Task:
ENSURE QUALITY
• Be aware and beware of “consultant bias”!
• Bear in mind political and social feasibility
issues for potential project activities
• Assess the capabilities of the implementing
entities or agencies

13.
USAID Adapt Asia-Pacific
Enabling Effective Project
Design
Management
Team
Terms of
Reference
Consultant
Selection &
Negotiating
Agreement
Logistics &
Orientation

14.
USAID Adapt Asia-Pacific
Your Management Team
• Primary function: support and
oversee the design team
• Identify the most relevant
institutional partners & clarify
responsibilities
• Identify and liaise with key
stakeholders
• Ensure allocation of sufficient
resources
• Avoid interagency politics

15.
USAID Adapt Asia-Pacific
ADB Considerations for
Consultants
• Need for high-quality services
• Need for economy and
efficiency
• Need to give all qualified
consultants an opportunity to
compete in providing the
services financed by ADB
• ADB’s interest in encouraging
the development and use of
national consultants from
developing member countries
• Need for transparency in
selection process
• Need for increasing focus on
anticorruption and observance
of ethics

16.
USAID Adapt Asia-Pacific
Terms of Reference (TOR)
I. Introduction
II. Objectives
III. Deliverables
IV. Team composition & time
V. Background & stakeholders
VI. Issues to address, SOW, mid-
term review
VII. Qualifications & experience
VIII.Duration & reporting
IX. Implementation arrangements
X. Information details &
references
XI. Budget & implementation
schedule
The quality of TORs
and the budget
available to undertake
project preparation can
significantly affect the
quality of the project
proposal!

17.
USAID Adapt Asia-Pacific
Typical Team Composition
• Team leader
• Gender & social inclusion
• Technical specialists depending on sector
• Economic & financial analyst(s)
• Environment specialist
• Climate specialist
• Other specialists depending on circumstances
(e.g. legal, governance, institutions)

18.
USAID Adapt Asia-Pacific
Consultant selection
• Shortlisting
• Request for proposals
(RFP)
• Bids
• Bid evaluation
Know your country’s rules and
procedures!

19.
USAID Adapt Asia-Pacific
Negotiating a Consulting
Agreement
• Explicit discussion of all
aspects of the TOR
• Follow procedures required
by project financier
• Supervision of consultants
• Clear channels of
communication
Clarity up front helps
to ensure quality
results!
How to drive away good
professionals (or “how to fail”)
• Cheapest = best
• Nepotism, favoritism
• Inadequate budget or time
• Lack of support/confidence

20.
USAID Adapt Asia-Pacific
Logistics & Orientation
• Office logistics
• Transport services
• Secretarial & banking
• Arrange orientation visits
• Facilitate contacts with stakeholders
Don’t be a “gatekeeper”

21.
USAID Adapt Asia-Pacific
Session 12 Question 1
What types of experts will be
required on your project design
team, and how much time will
be required for each expert?

22.
USAID Adapt Asia-Pacific
Session 12 Question 2
Does your country have
specific guidelines for the
hiring of consultants? If so,
have you familiarized yourself
with these procedures? Where
should you go if you have
questions about these
procedures?

23.
USAID Adapt Asia-Pacific
Resources for Session 12
• General Procedures for Selecting and Engaging Consultants.
ADB 2014.
• Guidelines on the Use of Consultants by ADB & its Borrowers.
ADB 2013.
• Guidelines for Selection and Employment of Consultants by
World Bank Borrowers. World Bank 1997.