Skills Training Enhancement Project - step...

Skills Training Enhancement Project

Project Implementation Manual

Volume VI

Manual of Procedures for Beneficiaries under Window II

Contents of Other Volumes

Volume I General Introduction

Volume II Procurement Guidance

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Volume III Accounting and Financial Management Guidance

Volume IV Guidance on Environmental and Social Safeguards

Volume V Manual of Procedures for Beneficiaries under Window I

Volume VII Manual on Stipends

Volume VIII Annexes

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Contents

List of Abbreviations................................................................. 4 Bene f i t s to Shor t- term Prov i de r s of Techn i ca l Tra i n i n g Unde r STEP ...................................... 6

Introduction to the Project......................................................................6Benefits to Polytechnics under STEP.......................................................... 6Responsibilities of the Beneficiary Institutions................................................8

2 App l i c a t i o n and Selec t i o n for Fi nan c i a l Suppo r t under STEP .............................................. 9Applying for Eligibility and Selection..........................................................9Selection and Publication of the List...........................................................9

3. Forma l i z a t i o n of the Gran t and Nex t Steps ........................................................................ 10 Formalization of the Grant Award...........................................................10Next Steps......................................................................................10

4. Finance and Procu r em en t ................................................................................................... 1 1 Ac co u n t i n g and Finance ......................................................................................................... 1 1

Procurement...................................................................................12 5. Soc i a l and Env i r o n m e n t a l Safegua r ds ................................................................................ 12

Introduction....................................................................................12Social Safeguards..............................................................................12Environmental Safeguards....................................................................13

Annexure A............................................................................13 App l i c a t i o n Form ................................................................................................................... 13

Annexure B............................................................................23 Ins t i t u t i o n a l Deve l o p m e n t Proposa l ....................................................................................... 23

Annexure C............................................................................32

Annexure D............................................................................38

Constitution and Functions of the Institutional Management Committee...........................................................................................38 Cons t i t u t i o n of the Ins t i t u t i o n a l Pro je c t Managem en t Un i t [IPM U] ...................................... 39

Annexure F............................................................................42 Financ i a l Repo r t i n g ................................................................................................................ 42

F1 - Monthly Report...........................................................................42F2...............................................................................................43

Annexure G........................................................................... 44 Trace r Stud i es ........................................................................................................................ 44

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List of Abbreviations

ADB Asian Development Bank MOEWOE Ministry of Expatriates Welfare & ADP Annual Development MTR Mid-Term Review RADP Revised Annual Development

PlanNCB National Competitive Bidding

BMET Bureau of Manpower, Employment and Training

NGO Non-Governmental Organizations

BOC Bid Opening Committee NS National Shopping

BTEB Bangladesh Technical Education Board

NSDC National Skills Development Council

BEC Bid Evaluation Committee OP Operational Policy

BOC Bid Opening Committee PAC Project Audit Committee

C&AG Comptroller and Auditor General PAD Project Appraisal Document

CONTASA Convertible Taka Special Account

PC Procurement Cell

CQ Consultants Qualifications PCN Project Concept Note

IPDP Indigenous Peoples Development Plans

PD Project Director

IPMU Institutional Project Management Unit

PDO Project Development Objective

DA Designated Account PIC Project Implementation Committee

DC Direct Contracting PIM Project Implementation Manual

DfID Department for International Development

IEE Initial Environment Examinations

DTE Directorate of Technical Education

IFC International Finance Corporation

EA Environmental Assessment IFRs Interim financial Reports

EC-ILO European Commission-International Labor Organization

IFB Invitation for Bid

EIA Environmental Impact ILO International Labor OrganizationEMF Environmental Management

Framework

EMP Environmental Management PIU Project Implementation Unit

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ERD Plan

Economic Relations Division

FAPAD Foreign Aided Project Audit Directorate

PO Procurement Officer

PIU Project Implementation Unit

FBS Fixed Budget Selection PPA Public Procurement Act - 2006

IPSAS International Public Sector Accounting Standards

PPR Public Procurement Rules

IPP Indigenous Peoples Plan PPR/PPA Public Procurement Regulation/ Public PSC Project Steering Committee

IDP Institutional Development Plan PSC Public Service Commission

ISC Industry Skills Councils QCBS Quality and Cost Based Selection

ISA International Standards on Auditing

RADP Revised Annual Development Program

IC Individual Consultants RFP Request for Proposal

ICB International Competitive Bidding

IMC Institute Management Committee

SBD Standard Bidding Documents

KPI Key Performance Indicators SOEs Statement of Expenditures

LCS Least Cost Selection SSC(Voc) Secondary School Certificates in Vocational Education

M&E Monitoring and Evaluation STEP Skills and Training Enhancement Project

MOE Ministry of Education STRs Student Teacher Ratios

FM Financial Management SFAF Student Financial Assistance Forms

GOB Government of Bangladesh SSS Single Source Selection

GPN General Procurement Notice TOR Terms of Reference

GAC Grant Approval Committee TVET Technical and Vocational Education Training

IDA International Development Assoc.

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Benefits to Short-term Providers of Technical Training Under STEP

Introduction to the Project

1.1 STEP aims to bring about overall improvement in the way that training in skills is provided in Bangladesh. This is to be done through strengthening and reforms in the service providers, which includes polytechnics, short-term training providers, SSC (Voc) schools, as also the institutions that administer the Technical Vocational Education and Training [TVET] system, DTE, BTEB, and BMET.

1.2 STEP is a joint project of the World Bank and the Government of Bangladesh. It is under the Ministry of Education [MOE] and its administrative office, the Project Implementation Unit [PIU] is located within the Directorate of Technical Education [DTE]. The PIU is headed by a Project Director, who is the direct contact person for this project, and he is supported by other staff and specialists.

1.3 STEP is for a period of 5 years and its closing date is June 30, 2015.

1.4 Window II [Component 1, sub-component 1.2] of the project is concerned with providing support to Training Providers who run short-term technical courses. The objective is to support improvements in quality and relevance of the courses offered and thereby also to enhance employability of the students.

Benefits to Polytechnics under STEP

1.5 There are three kinds of benefits that institutions may avail of under STEP – (a) Stipends for students pursuing the courses that will be supported, (b) Implementation Grants, and (c) Performance Grants. Each one of them is described in brief below.

1.6 Stipends - Stipend support for students will be provided to all institutions who will be selected under the project. For selection conditions, see later in this Manual. Stipendiary support will be provided to students pursuing courses that are supported by STEP The value of the Stipend will be BDT 700 per student per month for the duration of the course. Support will continue to be

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given for approved courses as long as the institution remains a beneficiary under the project, within the project period.

1.7 Implementation Grants – Implementation Grants will be provided to the selected institutions [Training providers] from among those that are eligible under STEP. For conditions and procedure of selection and award of grants, see later in this Manual. Implementation Grants shall be provided to about 40 public and private institutions offering short-term training programs. The selected institution will be financed to upgrade a maximum of four technology courses. Each institute selected through this Window will receive an amount up to a ceiling of USD 250 per student in the approved courses. The various heads under which the Grant will be provided, are as below:

1.7.1 Modernization of Equipment and Teaching-learning Instruments in the Technical Courses Selected for Up-gradation: Institutions will be financed for modernization of equipments and instruments. Each institute is expected to prepare a list of equipments required for the selected course, as prescribed by BTEB with specifications of each of the equipment. Prior to the purchase of the equipment, the Institute will develop a clear justification about optimal usage of the equipment.

1.7.2 Instructors’ Professional Development : The Project will also finance continuous professional development for teachers and trainers, either through teacher training and/or through study tours and interaction/short-term attachment with industry.

1.7.3 Training of Managerial Staff from Industry : Institutions will be expected to make special efforts to train managerial staff from industry, and claim support for such efforts.

1.7.4 Students’ Training Material and Cost towards Industry Visits : The Project will finance the additional costs towards training material and industrial visits.

1.7.5 Infrastructure Rehabilitation and Refurbishment : - Institutions will receive financing to undertake renovation, rehabilitation and refurbishment of institute infrastructure. The Project will not finance new institute buildings or any similar infrastructure. A maximum of 10% of the total grant can be used for civil works.

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1.7.6 Improvements in Placement : The Project will finance institutions to improve overall administration (for example, institute level procurement practices, hiring of contractual teachers and staff, financial management, etc.), outreach and communications – in an effort to better understand labor market needs and to help inform potential employers of the students graduating from each program.

1.7.7 Courses for unskilled and semi-skilled Workers : The institution will be expected to make efforts to train unskilled and semi-skilled workers from industry.

1.8 Performance Grants - An annual performance grant of up to 20% of the total grant amount will be provided to the best performing institutions based on their achievements as measured through objective performance indicators. The recipient institutions will be allowed to use the amount received through the performance grant for institutional development purpose, the Project will not fix any specific head for this grant. For more details on the Performance Grant, including Application, and Evaluation for the Grant, see Annexure I.

Responsibilities of the Beneficiary Institutions

1.9 The beneficiary institutions shall have to show visible improvements in performance on several fronts. In addition, they will have to undertake to conduct procurement, accounting and finance, and social impact related processes as per the mandate of the project. These are described later in this Manual. Institutions shall also have to undertake Tracer Studies of the student pass-outs. For that, a separate procedure for that is described in this Manual later.

1.10 Further, the institutions will have to undertake (a) to pay for 10% of the costs of the approved programs, and (b) not to increase costs programs beyond 10% of what was being charged earlier.

1.11 The areas in which the beneficiary institutions will have to show improvements, are – (a) Enhanced enrolment in the supported courses, (b) Enhanced number of unskilled and semiskilled workers trained, (c) increased number of managerial staff trained, (d) Creation of data base of the pass outs and conduct of Tracer Studies, (e) increased employability of students and increased number of employed students within 6 months after pass-out, (f)

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improved academic infrastructure, (g) improved demand driven and competency based learning technology, (h) increased number of trained teachers and (i) better links with industry.

2 Application and Selection for Financial Support under STEP

Applying for Eligibility and Selection

2-1 The first step for obtaining financial support is to establish the eligibility of the Institution. For this, the applicant polytechnic has to fill up a form [ Part I of Application Form, or AF] which is available on the website of the STEP project [step-dte.gov.bd]. The form is a self-assessment form. Total maximum score on this Form is 100. If the institution obtains a score of 70 on this form, then it should proceed to fill in Part II of the same form. Part II of the form is for selection. The Application Form is attached as Annexure A to this Manual.

2-2 The AF is to be uploaded or electronically sent by the date that will be notified on the website of the project.

Selection and Publication of the List

2-4 On receipt of the AF, the PIU will, (a) check the scoring of the AF [ Part I] and verify the data with its own records/ through personal visit. When it is satisfied as to the accuracy of the scoring, the PIU will proceed to (b) evaluate Part II of the AF. The methodology will be a transparent one and applicant institutions may check the criteria and scoring system on the website of the project.

2-5 The result of the PIU evaluation will be put up to the Grants Approval Committee of the project. The list of the selected institutions will be put up on the website of the project, after the decision of the Grants Approval Committee is received.

2-6 Selected institutions will be asked to submit an Institutional Development Proposal [IDP] to the PIU within a stipulated period of time. The period of time will be announced on the website of the project. The format of the IDP is given in Annexure B to this Manual.

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3. Formalization of the Grant and Next Steps

Formalization of the Grant Award

3-1 Once the selection list is put up on the website, the selected institutions shall be invited for (a) signing a Participation Agreement with the STEP project and, (b) having a detailed discussion with the project authorities on the implementation of the beneficiary’s part of the project. The format of the Participation Agreement is at Annexure C to this Manual.

3-2 As part of the discussions under 3-1(b) above, the institution will have to agree to set up (i) an Institutional Project Management Unit (IPMU) to implement the project and (ii) an Institutional Management Committee (IMC) for oversight of implementation at the level of the institution. These two Committees are to be set up as soon as possible [a date will have to be stipulated] after the signing of the Participation Agreement.

3-3 The composition of the two committees is at Annexures D and E to this Manual.

3-4 Institutions will agree to (i) be dropped from the project if it is found at any stage that they have provided or are providing false information to the project authorities, and/or (ii) be dropped from the project if they fail to utilize at least 10% of the funds allocated to them in the first two years of the project. The unutilized amounts will be transferred to other selected institutions.

Next Steps

3-4 The next step will be for the IPMU and IMC to hold their first meetings. In these meetings, a detailed action program and timeline will be prepared and agreed to by the IPMU and ratified by the IMC. The minutes of these [and all subsequent ones throughout the life of the project] meetings will be put up on the website of the institution and provided electronically to STEP PIU.

3-5 The first step that an institution is expected to take is to have a core staff for Procurement and Accounting and Finance. These staff should be named in the minutes of the meetings as referred to in paragraph 3-4 above. They will be the points of contact for PIU officers and auditors whenever the institution is inspected. A Chapter is provided in this Manual for Procurement and Finance.

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3-6 Among the items that IPMU and IMC will consider will be co-option of the members and the opening of a Project Bank Account and identify the signatories to the same. Details of the Bank Account, as soon as it is opened, will have to be conveyed to PIU.

3-7 STEP PIU will provide basic training in procurement and accounting and financial management for the identified persons so that they are familiar with the requirements of the project.

3-8 Implementation grants will be released in three tranches based on three measures: (i) Tranche 1 of 40% - the number of students enrolled, (ii) Tranche 2 of 40% - the number of students who complete the program, and (iii) Tranche 3 of 20% - maintaining a database of graduating students for a period of 6 months after the completion of their training.

4. Finance and Procurement

Accounting and Finance

4-1 Separate Books of Account will be opened for the project at the institution. The books of account and records will primarily consist of (i) Cash Book, (ii) Bank Book, (iii) Contract Control Register, (iv) Serial payment order files along with all supporting documents, (v) Bank reconciliation statements, (vi) Cash Flow statements regularly updated, (vii) Budget control Register and (viii) Serial Budget Monitoring voucher Files.

4-2 A one-day workshop will be held by the PIU on accounting and Finance for the beneficiary institutions where the maintenance of all these records will be fully explained.

4-3 Monthly, quarterly, and annual financial statements will have to be submitted to the PIU. The formats for these are enclosed at Annexures F1and F2 to this Manual. The format for the annual statements will be circulated at the appropriate time, with a workshop for preparation.

4-4 In addition, IPMU and IMC must oversee accounts and cash flows on a regular basis and this should be a mandatory item on all meeting agenda.

4-5 Accounting and finance staff at the institution level will hold themselves in readiness at all times for surprise audits.

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Procurement

4-5 Procurement will be done both at the institution level and at the PIU level [for all institutions].

4-6 At the institution level the procuring authority will be the Principal/Head of institution. He will be supported by (i) a Head of department and (ii) identified staff as needed.

4-7 Items below a certain threshold will be procured by the institution, and items above that threshold will be procured by PIU. Items that are common to all beneficiaries [such as furniture] will be procured in large lots by the PIU only.

4-8 One of the first tasks of the procurement staff at institution level will be to prepare a detailed procurement plan. They will prepare a Simplified Procurement Plan as per Annexure H enclosed and submit the same to the PIU within four weeks of the signing of the Participation Agreement.

4-9 PIU will conduct a one-day workshop for procurement staff as soon as possible after the announcement of the Selection List.

4-10 PIU will also circulate a detailed list of procurement documents to be kept on record.

4-11 There will be procurement audits and procurement inspections from time to time. These may be announced or on surprise check basis.

5. Social and Environmental Safeguards

Introduction

5-1 All World Bank funded projects have to abide by certain social and environmental safeguards. The World Bank views the implementation of these safeguards most seriously.

5-2 Basic issues that are important for beneficiary institutions in the implementation of social safeguards have already been provided in the IDP itself [Annexure B]. Beneficiary institutions should look at these very carefully with regards to the commitments they thereby make.

Social Safeguards

5-3 Social safeguards are primarily concerned with how projects affect disadvantaged, vulnerable, and indigenous peoples’ groups. Vulnerable

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groups include women and children. Disadvantaged groups include people from economically disadvantaged backgrounds.

5-4 The project already provides for support to disadvantaged groups through the stipendiary scheme. Beneficiary institutions have to safeguard the interests of vulnerable and indigenous peoples’ groups and communities.

5-5 IPMU will draw up a clear plan for dealing with vulnerable groups and indigenous peoples in terms of the Statement of commitments made in the IDP, and a timeline for implementing the same. This Plan will be discussed by the institution’s representative with the Social Expert who will be attached to the PIU. The Social Expert will also be responsible for conducting surprise checks and audits to see that the safeguards are being properly implemented.

Environmental Safeguards

5-6 In this project environmental issues arise only if there is environmental degradation within the campus as a result of civil works, or if new construction is attempted. However, the project itself is not going to finance new construction, so that kind of impact may be said not to exist.

5-7 However, if there is an ongoing construction in which there are inputs from the project, then the environmental safeguards will apply. For instance, there may be a semi-finished building and the institution may want to repair or renovate parts of it or even to add some rooms to it. In doing so, safeguard norms for construction will have to be maintained.

5-8 For clarification and information on what kind of construction norms will need to be complied with, please consult the Project’s Operations Manual on Environmental and Social Safeguards.

Annexure A

Application FormAPPLICATION FORMAT

FORMAT FOR INSTITUTIONS OFFERING SHORT TERM TECHNICAL COURSES WISHING TO PARTICIPATE UNDER

COMPONENT- 1: WINDOW –II OF STEP

The Skills Training and Enhancement Project [STEP], co-financed by the Government of Bangladesh and the World Bank, has been launched to provide

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support to the Technical Vocational Education and Training [TVET] sector in Bangladesh, and particularly to the providers of short term technical courses in various trades.

Component 1.2 [Window II] of the project is for supporting institutions hat offer short term courses in technical subjects. This support will be provided to them in terms of an Implementation Grant, which will be an amount up to USD 250 per student enrolled in a course/trade, for a maximum of 4 courses/trades. This amount will be used to cover: (a) Stipends to students, (b) modernization of teaching-learning equipment, (c) professional development of trainers and instructors, (d) students’ training material and costs of industry visits of students, (e) improvements in placement, (f) rehabilitation and refurbishment of infrastructure (limited to 10% of total allowable grant), (g) training of skilled and semi-skilled workers through special courses, and (h) training of the managerial and supervisory staff from industry.

The condition for providing the grant will also be that the tuition fee proposed by the participating institution should not exceed the previous year’s tuition amount in nominal term by more than 10%. It is expected that the participating institutions will utilize the Project fund for the development of institution so as to provide quality training to students and not make profit out of Project funds. An independent outsource firm will carry out verification of the utilization of funds.

Implementation grants will be released in three tranches based on three measures: (i) Tranche 1 of 40% - the number of students enrolled, (ii) Tranche 2 of 40% - the number of students who complete the program, and (iii) Tranche 3 of 20% - maintaining a database of graduating students for a period of 6 months after the completion of their training. The three tranches will be released as 40%, 40% and 20% respectively for meeting each of the requirements identified above.

In addition to the implementation grant, each institution is also eligible for a performance grant of 20% per student amount offered to the institute for each trainee who is employed within six months of completion of their training. Verification of such employment will be carried out independently through an outsourced firm.

All students in all selected short term training programs in the selected institutions will receive the stipend. The Project will support about 50,000 trainees over the life of the Project, or about 100-125 students per course per institute. Out of the implementation grant each student will receive stipend of US$ 10 or BDT 700 per month.

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To get support, institutions have to first cross the eligibility threshold [get a score of 70 out of 100 in this EAF]. Part I of this form provides the criteria for eligibility. Applicant institutions should fill in the form and self-assess their scores. They should not proceed to Part II of the format if their score on Part I is less than 70.

Part II of this Form provides the Selection criteria. Institutions that are selected will only be awarded the Grants. However, since the number of grants to be provided is limited, the higher scoring institutions are likely to be taken up first for the awards.

All selected institutions will become beneficiaries of the project and shall receive the above implementation and performance grants and student stipends as applicable, provided they adhere to the conditions of disbursement which shall be duly provided to them.

Special Note:

1. Please download this Application Form from the DTE website _________.

2. Please provide all the information sought in the format. Inaccurate and inadequate information may result in disqualification of your polytechnic for financing under STEP.

3. Please compute your Institution’s score yourself in Part I of the Form. For Computation of Scores, Notes have been provided at the end of the Form where needed.

4. Maximum score on Part I of this Form is 100. If your institution scores at least 70 points you may proceed to complete Part II of the Form, on the basis of which the final selection will be made. Institutions that are finally selected will have to submit an IDP [Institution Development Proposal] as per format that will be given to them.

PART I

ELIGIBILITY CRITERIA

Sl. No.

Eligibility Criteria Response Maximum Score

Minimum Score

Institution’s Score

15

1 Year of Establishment

Scoring – See Note 1

[State year of

establishment]

20

0

2 Intake Criterion –


[State Annual Intake in technical courses for the last three years

20 5

3 No of Technology/ Trade courses –


[State No of Technology/ Trade courses in the institution

20 0

4 Student Teacher Ratio


STR = (No of

Teachers

working)/No of

Students

20

0

5 Accreditation - whether accredited with BTEB or other Authority

Yes/No 20 0

100 10

Note 1: Score on this criterion will be calculated as follows:

If established 5 years or more before 2010 – score = 20

If established 4 years before 2010 score = 16



If established less than 2 years before 2010 score = 0

Note 2: Score on this criterion will be calculated as follows:

If annual intake is more than 80 score = 20

If annual intake is less than 80 score = 5

Note 3: Scoring will be as follows

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If number of Technology Courses between 5-10 score = 20

If number of Technology Couses between 2 -4 score = 10

If number of Technology Courses less than 2 score = 0

Note 4: Scoring will be as follows:

Student Teacher Ratio = (No of students in technology courses/ No of Teachers)

If number is less than 20 score = 20

If number is between 20 – 30 score = 10

If number is more than 30 score = 0

PART II

SELECTION CRITERIA

DO NOT FILL THIS PART IF YOU HAVE NOT SCORED AT LEAST 70 IN PART I1. Please fill up the following Table

Technology Course

Being offered since

No of courses held so far

Average number of students per course

Average number of pass-outs per course

2. Please fill up the following Table, only for those courses that are for 6 months or for at least 360 contact hours

Name of Course No of Cycles of this course so far

Enrollment current cycle

Enrollment previous cycle

Enrollment for cycle prior to that

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3. We hope that you keep proper student records. With reference to those records [which we shall check] please fill up the following Table

Background of students in Technology courses

No of students enrolled in current year courses

No of students in previous year courses

Girls

Boys

From rural background –girls

From rural background – boys

From economically backward families – girls

From economically backward families – boys

Students [boys and girls] having some previous working experience or currently working in semi-skilled jobs

Students who work and pay for studying from their own earnings

4. Affordability of training in your institution:

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Course in your Institution

Highest course fee charged by any service provider for similar or same course

Lowest course fee charged by any service provider for similar or same course

Your fees

5. Placement of your students

Course (highest ranked with regard to enrollment to lowest ranked)

Rank

No of Passouts (total) in the last two cycles of the course

No of students who have got jobs and about whom you have information

Ratio of students getting jobs to student passouts

1

2

3

4

6. Quality of Education

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How would you rank your institution among all those in the market who offer similar courses?

Our Rank:

------------

Reason: Please rank

Rank Any supporting Evidence you would like to give?

Lecture delivery

Workshop equipment

Laboratories equipment

Quality of practical classes

Availability of books

Students’ internet facility

Number of well qualified instructors

Regular classes

Design of courses

Involvement of potential employers in course design

Involvement of instructors from industry

Quality and quantity of Handouts and other material given to students

Properly conducted examinations

Student counseling on Academic matters

Any other (please specify)

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7. Links to Industry

Elaboration/Remarks

Do you have a Placement Cell? Yes/No

If Yes, are you satisfied with its working?

Yes/No

If No, why not? What do you need? For each of the reasons below, put YES or NO in the next column and then write your remarks.

More staff for placement

More student involvement

Professional Placement Officer

Printing of Placement Brochure

Money to conduct placement seminars in industry

Student visits to industry

Do you hold meetings with Industry?

Yes/No

If yes, how many till now?

When was the last meeting held?

How many industries came?

Or do you hold meetings with industries one at a time?

Who goes for these meetings?

Do you have joint consultations of institutions like yours with industries? Yes/No

If Yes, when was last such

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consultation held?

Have you ever sent your students for industry visits?

If you have, how many visits are organized per course on the average?

Do your permanent Instructors visit industries?

Do you accept suggestions from industries on upgrading your curricula?

If Yes, when was this last done, and for which course(s)

Do you have an institute newsletter which is circulated to industry?

8. Undertaking

We the undersigned, hereby certify that all the information given in this form is true to the best of our knowledge and belief and we further undertake STEP project authorities to verify this information with reference to our record, if need be. We further aver that should we become the beneficiaries of grants under the STEP project we shall bear 10% of the cost of running the courses for which support is provided to us.

Head of the Institution and Chairman of Managing Committee

Signs and Seal Place and Date

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Annexure B

Institutional Development Proposal

Format For The Submission Of Institutional Development Proposal

For

Providers Of Short Term Technology Courses [IDPSTP]

This Format is to be circulated to those Short-term training providers who have been selected as per the data provided by them in the Application Form. The list of those who have been selected will be announced on the website of the project.

This Format carries an evaluation key so that the Institutional Development Proposals for Short-term Training Providers [IDPSTP] can be ranked in the order of quality of response. The ranked list is to be used for awarding grants by the Grant Committee.

The Implementation Grant will be USD 250 per student enrolled in a maximum of 4 courses per institution for the project period. Of this, USD 10 per month per student will be given as stipends to the students.

This Format should be downloaded from the website---------- and submitted by------------- in Two copies in electronic form [CD] and two hard copies.

Institutional Development Proposal

Part I

Applicant Details

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Name of the Institution

Name of Principal/Head

Address:

Telephone/Cell phone

E-mail id

Ownership (Government/Private/Government aided)

Year of Establishment

Full Address

Institute Accreditation Status (Yes/No)

Year Accredited

Accreditation Agency

Whether infrastructure including land and buildings owned by the institution (wholly or partially or not at all)

Non-Government Institutes only

Does the institution receive any aid from the government? (Yes/No)

If yes, please specify and give details

Salary

Other

State whether run by a Trust or some other entity

State name of Chairman of Managing Committee/Board/Society

State number of persons on Board/Managing Committee/Society

Total Revenues from Institution in last three years

Government Institutes only

Does the institution generate any revenue?

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(Yes/No)

If yes, does the institution retain this revenue? (Yes/No)

If yes, what percentage of the operating budget is the revenue generated?

Does the Institute have a Managing Committee (Yes/No)

Courses offered [Mention Technology Courses only] and Students’ Details

Sl. No.

Name of Course Accreditation

Yes/No/ Under Application

Year Duration of

Course

Students enrolled in current cycle

Students enrolled in

previous cycle

M F T M F T

Total Students

Instructor Information

Male Female Regular Contract Part-time

Total

Number of instructors in all Technical Courses

Number of technical staff (lab assistants etc)

Total number of instructors

1. How does the institution propose to grow and provide better training to a broader spectrum of aspirants, and enhance their employability in the next five years?

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Plans Means [In the next column, put the priority ranking according to your own evaluation]

Priority Timeline

We have a Business Plan, which has been considered by our Managing Committee. Our Plan requires that we

Recruit/employ on contract more instructors Example – within one year

Upgrade our equipment in our workshops and laboratories

Redesign some of our courses

Provide better counseling to the students both for academics and career

Provide better facilities to students including/enhancing internet and library facilities

Need to find out how other private service providers in our country and elsewhere are doing and implement Best Practice in Academic Management

Improve our placement services for students

Any other? Please State in one sentence.

We do not have an approved plan from our Managing Committee but we have prepared a Draft, which we shall submit shortly. Our Plan requires that we

Recruit/employ on contract more instructors

Upgrade our equipment in our workshops and laboratories

Redesign some of our courses

Provide better counseling to the students both for academics and career

Provide better facilities to students including/enhancing internet and library facilities

Need to find out how other private service providers in our country and elsewhere are doing and implement Best Practice in Academic Management

Improve our placement services for students

Any other? Please Specify

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We do not have a Business Plan or even a Draft yet, but we want to [Please put your proposed actions in order of priority]

2. Investment of the institution in Teaching-learning Equipment to Deliver

Effective Training: Institutions will be financed for modernization of equipments and instruments. Each institute is expected to prepare a list of equipments required based on the curricular needs as prescribed by BTEB with specifications.

Based on what you have said in response to Question 1, please fill in the Table below:

Equipment Name and Description

Related to our Priority(s) [Provide the rank only as per Q. 1]

No. Needed

Unit Cost

Total Cost of Purhase

No already with the institution

Cost of repair/ upgrading if needed

Total Cost of Purchase and Repair/ upgrading

3. Instructors’ Professional Development: The Project will finance continuous professional development for trainers, through industrial training or by

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authorized instructor training providers or by industrial attachments. Please fill in the Table below for your requirements in these regards.

Instructor Name Area/ Discipline

Requires (a) visits to industry, (b) participation in seminars (c) advanced learning course, (d) industrial attachment, (e) other (please specify); You can give more than one choice

Approximate cost

Basis on which cost was arrived at [ You should attach a separate Annexure in support of your calculations]

4. Students’ Training Material and Cost towards Industry Visits: The Project will finance the additional costs towards training material and industrial visits. Training materials may include consumables for workshops and laboratories.

Students’ Training Material

Training Material Quantity and Cost Basis of Cost

Example – industrial case studies

6 case studies per course x 3 courses : Tk 1,80,000 @ 10,000 per case study

Cost of visits + Cost of preparer + Cost of reproduction; [please provide

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unit rates]

Students’ Industry Visits

Course No of Visits per course Basis of Cost

Example – TV repairing 2 visits to TV manufacturing/ assembling industry

Cost of transportation + Cost of

refreshments+ Cost of handouts etc. [please provide unit rates]

5. Improvements in Placement: The Project will finance institutions to improve in an effort to better understand labor market needs and to help inform potential employers of the students graduating from each program.

Activity Cost Basis of Cost

Contractual hiring of Placement Cell staff

Printing of Placement Brochure

Placement visits

Placement Seminar

Computer for Placement Cell

6. Infrastructure Rehabilitation and Refurbishment: - Institutions will receive financing to undertake renovation, rehabilitation and refurbishment of institute

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infrastructure. This will be subject to a maximum of 10% of the total allowable grant. No new civil construction is allowed.


Plastering and painting of classrooms and workshops

Classroom and workshop Furniture

Re-cabling and replacement of electrical fittings

Generator

Water supply

Lighting and fans in classrooms

Air-conditioners

Minor civil repairs

7. Training of Unskilled and Semiskilled workers: The institute selected will be funded for making special efforts to train unskilled and semiskilled workers from the industry.

Proposed Courses for Unskilled and Semiskilled Workers from Industry

Course – Name and subject

Existing – proposed to be extended to unskilled and semi-skilled workers OR New; Please state

Proposed duration – Months and Contact hours

Whether will be offered in the morning or evening [after general shift in factories] or both

Proposed number of students

No of times it will be repeated in the year

How the course will be publicized

Costing of courses for unskilled and semiskilled workers

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Course design, planning and publicity for courses for unskilled and semi-skilled workers

Hiring of instructors

Cost of consumables for practical classes

Other costs (specify)

8. Training of Managerial Staff: To enhance the management capacities of the working managers the institute selected will offer extensive training to the working managers from the industry

Proposed Course Name

Area/ Discipline

Proposed intake

Approximate cost Basis on which cost was arrived at [ You should attach a separate Annexure in support of your calculations]

Undertaking

We, the undersigned, hereby aver that

(1) the information presented above is true to the best of our knowledge and belief

(2) should we be awarded a Grant, we shall abide by all the rules that may be laid down in these regards including compliance with procurement and fiduciary norms as will be explained to us.

(3) we shall bear 10% of the cost of all courses that will be supported by STEP

(4) we shall conduct regular tracer studies as per formats and procedures as will be given to us.

We are willing to sign an Agreement with the STEP project in all the above regards.

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Principal/Head of Institution Chairman of Managing Committee

Sign and Seal

Annexure C

Participation Agreement

Agreement under STEPfor

The Implementation of

Implementation Grant (Component 1: WindowII)

Providers of Short-term Technology Training Courses

PREAMBLE

THIS IMPLMENTATION GRANT AGREEMENT IS ENTERED INTO THIS ……………… day of …………………………………………….. 2010 …………………. BETWEEN The Directorate of Technical Education, (hereinafter DTE ), acting by and through its duly authorized representative (hereinafter referred to as “ FIRST PARTY ”) of the one part AND , the ------------------------------------------------------------------------------------------------------------ Institute

(hereinafter referred to as the SECOND PARTY ), which has prepared the Institutional Development Plan (IDP) for receiving Implementation Grant , acting by and through the duly authorized representatives, the Project Director of the Project Implementation Unit as the authorized representative of the party of the First Part, and -----------------------as the authorized representative of the party of the Second Part:

Whereas the International Development Association (hereinafter IDA ) and the Government of the People’s Republic of Bangladesh (hereinafter GoB ) have entered into an Agreement dated July 05, 2010 whereby the IDA and the GoB shall co-finance a project for Skills and Training Enhancement in Bangladesh,

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And Whereas the said project envisages financing of institutional development of selected technical institutions in Bangladesh.

And Whereas a part of the financing is to be provided in terms of an Implementation Grant to the selected institutions for their institutional development pursuant to the proposals submitted by them in these regards,

And Whereas the party of the Second Part has been selected as one of the institutions to which such Implementation Grant is to be provided under the Skills and Training Enhancement Project [STEP hereafter] hereinbefore referred,

And Whereas the provision of said Implementation Grant to the party of the Second Part has been duly approved by Competent Authority constituted by government in these regards,

And Whereas the provision of funds to the party of the Second Part for the implementation of the institutional development proposal submitted by them constitutes a commitment of the party of the Second Part to carry out and implement their proposal as approved by Competent Authority in the instant case,

And Whereas the party of the First Part requires that such commitment be codified in terms of a Performance Contract,

And Whereas the party of the Second Part, of its own volition is willing and desirous of entering into such a Performance Contract with the party of the First Part,

Now therefore, it is Agreed between the Parties as follows:

General Responsibilities of the Party of the First Part

1. The Party of the First Part shall be responsible for

(a) Remittance of funds to the party of the Second Part in such manner and in such

time and upon such conditions as follow:

a. First tranche of 40% on------; Second tranche of 40% on--------------, and third tranche of 20% on--------------------.

b. Procurement of Services, Goods and Works as per Procurement Plan agreed between the two parties and approved by Competent Authority as may be intimated by the party of the First Part

c. Expenditure as per conditions of eligibility of expenditure to be duly informed to the party of the second part by the party of the First part

d. Keeping of books of Account and reporting on expenditure as per formats and procedures intimated by the party of the First Part

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e. Opening of said books of Account to Auditors and other departmental functionaries as and when desired by the party of the First Part

(b) Consideration for Approval of any necessary and reasonable modification to the original Institutional Development proposal on request from the party of the Second Part, provided that any such approved modification shall also form an integral part of this Performance Contract,

(c) Monitoring, reviewing and evaluating the efficiency and effectiveness of the progress of implementation of said IDP by the party of the Second Part

General Responsibilities of the Party of the Second Part

2. The party of the Second Part shall

(a) establish an Institute Management Committee (hereinafter IMC) to oversee the

strategic and physical development of the institute and provide overall guidance to implement IDP

(b) establish an Institutional Project Management Unit (hereinafter IPMU ) for

providing all sorts of support in implementing the project activities at institution level as per IDP

(c) implement the IDP with due diligence and efficiency in accordance with the

provisions of the DPP and the year wise implementation and expenditure plan as described in IDP approved by Competent Authority

(d) be responsible for providing to the First Party for the following : Financial Plan,

Procurement Plan, Detailed Plan for the implementation of the IDP, Monthly/Quarterly/Yearly progress report as per approved IDP and

(e) be responsible for maintaining physical and financial records of the institution

without any irregularities.

Specific Rights and Responsibilities of the Parties

3. The first party reserves the right to inspect at any time the location and activities

implemented by the Second Party under the IDP , and any relevant documents and records for the purpose of monitoring the implementation or conducting financial or technical audits, by and through its authorized officers

4. The First Party reserves the right to adequately protect its interests and those of the GoB, including the right to (i) suspend or terminate the right the Second Party to use the proceeds of the Implementation Grants, or to obtain a refund of all or any part of the amount of the Implementation Grants then withdrawn, upon the Second Party’s failure to comply with any of their obligations under this Performance Contract . In the instance of non-compliance with the operational procedures, misuse and/or

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misappropriation of the Implementation Grants by the party of the Second Part, the Party of the First Part may take legal action against the persons responsible for such misdeeds according to the existing criminal laws of the country. The Party of the First Part may also temporarily suspend the participation of the party of the Second Part in the project as a corrective measure with the objective to restore financial discipline in that institution.

5. The Party of the Second Part shall be responsible for the overall timely implementation of the Implementation Grant in accordance with the implementation plan/work plan, financing plan, procurement plan, and training plan included in the approved IDP.

6. The Second Party shall also be responsible for submitting to the First Party the following reports:

(a) Quarterly progress report on the implementation of Implementation Grants as per IDP in the formats provided by the Project ;

(b) Quarterly financial reports in formats provided by the Project ;

(c) A Project Completion Report (hereinafter PCR ) summarizing all the activities implemented and the results achieved over the entire period of the implementation of the Grants (due within two months of the completion of all the proposals specified in this Contract) and others

7. The party of the Second Part shall hold itself accountable for any non-compliance with the operational procedure laid down in the IDP and misuse, transfer and/or misappropriation of the Grants received from the First Party, as well as for inefficiency that may cause delay in implementation and non-attainment of crucial milestones and performance indicators mentioned in the proposal.

Effectiveness and Duration of the Contract

8. This Contract becomes effective immediately upon signing by both the parties and shall

remain valid throughout the time specified in the IDP and its year-wise implementation plan. The IDP will be implemented for the period beginning from ………and will be completed on……., as specified in the proposal. The implementation time begins from the date of the signing of this Performance Contract

9. If the implementation of the IDP is delayed for any reason, the Party of the Second Part

must inform the First Party in writing the reasons for the delay, and if necessary request an extension of the time allowed for implementation. The Second Party hereby undertakes not exceed the time period specified in the approved proposal, unless so authorized in writing by the First Party, provided that the First Party does so in accordance with the relevant provisions of the DPP in respect of duration of the proposal.

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10. The Second Party shall strictly follow The Public Procurement Act 2006, and The

Public Procurement Rules 2008 together with the World Bank ’s Guidelines: Procurement under IBRD Loans And IDA Credits, May 2004, Revised October 1,

2006 and the relevant provisions of DPP & PIM in respect of procurement; And will be held accountable for any deviation from the regulations and procedures in matters of procurement stipulated in the aforementioned documents and pay fines and indemnity for such lapses determined by the First Party.

11. The estimated total cost, including local taxes, under this contract, is BDT ----------, as approved by Competent Authority.

12. The First Party shall not be responsible for any financial liabilities, which may arise due to deviation from financial rules and regulations, irregularities in fund utilization and expenditures and for inefficient implementation of the IDP by the Second Party.

13. Of the total cost of the IDP, financing under STEP will be to the extent of ---%. The remaining amount shall be borne by the party of the Second Part from its own resources as counterpart funding.

14. Second Party undertakes to fully adhere to the principles and procedures of financial management as stipulated in the relevant section of the Project Implementation Manual

(PIM) and the Manual of Procedures for Beneficiary Institutions under Window II.

15. Second Party undertakes to open and maintain a separate Implementation Grant

Account in a commercial Bank, to be used solely for purposes of receiving and disbursing the Grant funds released by the First Party against IDP . This Bank Account must be used exclusively for the Grants received from the First Party, and must not be diverted and used for activities not included in the approved proposals or for any other purpose. Payments from this account must be solely for the payment of eligible expenditures in accordance with the categories of eligible expenditure approved by the First Party in accordance with the provisions of IDP and the Contract.

16. In Clause 15 above

(a) The term “eligible expenditures” means expenditures for the activities and for

procurement of goods, works and services described in the Section ---- of the PIM.

(b) The term ‘installments/tranches’ means the amount of fund that will be released

quarterly by the First Party to the Second Party, subject to the achievement of milestones or targets as set, by the Second Party.

17. Release of Funds under this contract shall be made by the First Party as follows, after the opening of a Bank Account for the project by the Second Party,

(a) 40% of the approved grant amount on-------------------

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(b) Next 40% of the approved grant amount on-----------------

(c) Balance 20% of the approved grant amount on-----------------

(c) All requests for tranches after the first oneshall be accompanied by signed documentation providing evidence of utilization of funds earlier released for eligible expenditure related to the implementation of the IDP.

18. For all expenditures from the Implementation Grant Bank Account, the Second Party shall retain all records (bidding documents, invitations of bids, Agreements, orders, invoices, vouchers, cash-memo, bills, pay orders, payments, receipts and other documents) evidencing such expenditures at least two years after end of the project.

19. The First Party reserves the right to require the Second Party to follow such additional procedures and maintain such records that in its opinion and in the opinion of the Competent Authority, are likely to add to the level of prudence and propriety in accounting and financial management of project funds.

20. The First Party reserves the right not to release further funds is a substantial portion of previously released funds has not been utilized.

21. If the First Party observes that there is a prima facie case of mis-utilization or unauthorized transfer to any other Account held in the name of whomsoever, of funds, it shall serve a notice to the Second Party requiring explanation and/or refund of monies remaining in the Implementation Grant Bank Account, as well as acceptance of liability for the amounts of money so mis-utilized.

22. Materials and services purchased under this Implementation Grants shall be used exclusively for the purpose of implementation of the IDP.

23. All materials and equipment purchased under the IDP shall become the property of the party of the Second Part, and shall be registered in its inventory as provided in the relevant rules of the institution.

24. Any intellectual property produced in the course of implementation of the approved IDP , whether these be products, techniques, or services, will belong to the institution that sponsored and hosted the respective IDP proposals.

Suspension and Termination

25. This Contract may be suspended or terminated

(a) If there is prima facie evidence before the First Party of a breach of Good Faith by the Party of the Second Part,

(b) If there is prima facie evidence before the party of the First Part that the Second Party has willfully neglected to implement the IDP in the manner desired and agreed to between the parties,

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(c) If, in spite of written advice from the First Party, the party of the Second Part fails to take actions against individuals or contractors who have been found to be prima facie guilty of subverting the objectives of the IDP and the project in relation to its implementation by the Second Party.

Force Majeure

26. The conditions of Force Majeure shall be applied provided the party of the Second Part makes a written request to that effect to the First Party within two weeks of the incident of Force Majeure, and the actions taken by the Second Party.

Disputes

27. Any disputes arising out of this contract should be settled between the authorized representatives of the two parties, with the Director General of the DTE acting as Arbitrator, if need be.

28. In such cases where the matters cannot be settled by the process referred above, the issues may be taken to the Ministry of Education, before the appropriate Officer.

Jurisdiction

29. The jurisdiction of this contract is the High Court of --------------.

IN WITNESS WHEREOF the two parties have set their respective hands and seals below:

For the party of the First Part For the party of the Second Part

------------------------------------------------------------------------------------------------

Schedule I

Approved Institutional Development Proposal

Annexure D

Constitution and Functions of the Institutional Management Committee

The composition and functions of the Institutional Management Committee are as follow:Constitution

The constitution of the Committee shall be as follows:

a. Principal/Head of Institution – Chairperson

b. Chairperson of the District/Division Chamber of Commerce- Co-chair

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c. 4 members from the industries relevant to technology courses taught in the Institution [either to be nominated by the District/Division Chamber of Commerce, or to be invited by the Chairperson of the Committee]

d. 4 members being the Heads of Academic Departments within the Institution

e. 2 members, being representatives of the parents of students at the institution.

f. One nominee of the district administration.Functions

The functions of the IMC shall be, inter alia,

• Provide management support services to the institution authority;

• Provide support for placement, industry-institute interaction and partnership with industry/employers;

• Take decisions on running appropriate short-term courses;

• Provide decision support to revenue generating activities;

• Monitor performance of the institution in a comparative environment vis-à-vis other beneficiary institutions

• Ensure sending of periodic reports on financial and other matters to the PIU including use and allocation of funds for various purposes

• Ensure that communication, mobilization and awareness activities are carried on within the institution as per plan

Rules of Business of the IMC shall be adopted at the institution. This will include frequency of meetings, quorum, minutes, casual vacancies, and powers of the Chairman, etc.

Annexure E

Constitution of the Institutional Project Management Unit [IPMU]

Constitution

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The Institutional Project Management Unit [IPMU ] will be formed in the selected beneficiary institutions. The composition of the IPMU shall be

1. Principal/Head of Institution – Head of the Unit2. One Member in charge of Academic Activities related to the

Project – not below the rank of Head of Department3. One Member in charge of Finance – not below the rank of Head of

Department4. One Member in charge of Procurement – not below the rank of

Head of Department5. One Member in charge of Training – not below the rank of Head of

Department

Functions

The IPMU shall

• Prepare the Institutional Development Plan [IDP] for becoming eligible to obtain Grants under the Project

• Manage project funds provided for each activity

• Oversee accounting and management of project funds

• Oversee procurement activities

• Oversee academic activities which come under project reforms and the IDP

• Supervise execution of civil works and rehabilitation/refurbishment activities in general

• Prepare training plans for Faculty members

• Monitor performance of project activities at institution level and share it with IMC

• Prepare progress reports and send the same to the PIU on a regular periodic basis

• The IPMU will be more of a hands-on executive body and therefore shall meet as often as necessary. For the sake of transparency it is necessary that the institution puts up all

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decisions taken by the IPMU particularly in regard to procurement, on its website.

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Annexure F

Financial Reporting

F1 - Monthly Report

Institution Name:

Beneficiary Code:

Monthly Financial Report: For the month of -----------, 20—

Part I: Cash and Bank Balance

Opening Balance Inflows during the Month

Closing Balance as of -----

Cash in Hand

Cash at Bank Cash in Hand Cash at Bank

Part II: Advances

Advances unacquitted at period beginning

Acquitted during the month

Advances given during the month

Acquitted amount of advances given during the month

Total Advances unacquitted at period end

Part III: Sundry Creditors

Unpaid project bills at the

beginning of the month

Total of Bills received during

the month

Total Bills paid

Prior period bills

outstanding

Current period bills outstanding

Total Bills outstanding

at period end

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Part IV: Expenditure Summary

Major Expenditure Head Cumulative Exp till last month

Expenditure during this month

Cumulative Exp at period end

% of total Budget Expended

Modernization of Equipment

Remuneration to Guest Faculty

Students’ Training Materials

Capacity Development of Faculty

Institutional Development

Infrastructure

Part V: Drawdown

Total Implementation Grant Award

% drawn during last month

% drawn during this month

% drawn till last month, cumulative

Cumulative % drawn till period end

F2

Quarterly Statements

Same statements as above to be made for each quarter

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Annexure G

Tracer Studies

Tracer Studies are to be conducted within six months from the end of an approved course. For this purpose, the institution shall maintain student details including contact numbers etc.

A simple form will be filled in after contacting the student after (a) 3 months and (b) 6 months from the day the student passed out of the institution.

The format is given below:

Name of the Student------------------------

Passout of [Course]-------------------------

Passed out on [Date]------------------------

Response at the end of first trimester after passing out

Do you currently have a job? Yes/No

Is your job in the same area as your technical expertise?

What is the name of your employer?

How long have you had this job?

Is this your first job after passing out?

If not, is it the second, or third? Please state

Did you try to become self-employed after passing out? Answer Yes or No

If you did, why did you give it up?

What is your current salary per month gross?

What was your first salary?

Do you have any benefits other than your salary?

Are you on contract for short term or is this a permanent

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job?

Would you like to work in this job for some time? Yes/No

If Yes, how long do you think you will work?

Do you think your current job is at the same level as your expertise?

This questionnaire is to be repeated after the end of the second trimester.

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