Chapter 1: Chapter Name. Disclosure Guide. eoperations ADB Disclosure Management System

Transcription

1 Chapter 1: Chapter Name Disclosure Guide eoperations ADB Disclosure Management System 26 September

2 Abbreviations ADB ADMS COBP CPS CSS DER EIA IEE ICM IMF IPP IPSA MFF MRM PCP PDS PI PP RCS RRP SRM TA Asian Development Bank ADB Disclosure Management System Country Operations Business Plan Country Partnership Strategy Country Safeguard Systems Department of External Relations Environmental Impact Assessment Initial Environmental Examination Implementation Completion Memorandum International Monetary Fund Indigenous Peoples Plan Initial Poverty and Social Analysis Multitranche Financing Facility Management Review Meeting Public Communications Policy Project Data Sheet Project Implementation Project Processing Regional Cooperation Strategy Report and Recommendation of the President Staff Review Meeting Technical Assistance

3 System Roles and Responsibilities The table below describes the different actors or roles within the system and the corresponding responsibility assigned to them. ADMS responsibilities are derived from the team members composition in eops and can be requested through eaccess. Actor/Role System Responsibility Description PTL Project Processing Lead or Specialist ADB Project Manager The Specialist assigned to lead the processing and implementation of the project. PTL can submit documents for disclosure to DER, and request replacement and removal of documents already disclosed on ADB s website. PA Project Processing or Implementation Analyst ADB Project Member Staff assigned as project analyst and is allowed to submit documents for disclosure to DER, and request replacement and removal of documents already disclosed on ADB s website.

4 Chapter 1: Chapter Name Contents Abbreviations 2 System Roles and Responsibilities 3 Introduction 6 Disclosing Project Documents in ADMS 7 Document disclosure scenarios 8 Accessing ADMS 10 ADMS page elements 12 Searching for a record 13 Disclosing a project document 14 Creating a new project document for disclosure 19 Disclosing project documents with Linked Documents 24 Withholding a document for disclosure 27 Updating the disclosure request if it was returned for revision by DER 32 Requesting to replace a disclosed document 33 Requesting to remove a disclosed document 36 Disclosing Non-Project Documents in ADMS 39 Disclosing a non-project document 40

5 Chapter 1: Chapter Name Appendix 1: User Interface Guide 45 Appendix 2: Document Types and Versions 46 Appendix 3: Document Status in ADMS 76

6 Introduction The revised Public Communications Policy (PCP) 2011 which took effect on 2 April 2012 guides ADB s efforts for transparency and accountability to the people it serves. Contained in the policy are the disclosure requirements for ADB documents. DER s Public Information and Disclosure Unit (InfoUnit) provides advice, guidance and tools on the disclosure requirements and monitors disclosure compliance to fulfill the requirements under the PCP. The ADB Document Management System (ADMS) is the system used for submitting documents, both project and nonproject-related documents, for disclosure. The ADB Disclosure Management System (ADMS) was developed as part of the eoperations Simplification effort. This is the system where documents, primarily those required by the PCP to be disclosed, are submitted for posting on ADB s website. The system has built-in notifications for selected documents to remind staff to submit their documents for disclosure. The ADMS is also linked to eserve to handle disclosure of documents circulated to ADB s Board of Directors. Only documents are disclosed in ADMS. The disclosure and updating of the Project Data Sheet (PDS) will still be done in eoperations.

7 Disclosing Project Documents in ADMS Chapter 1 Disclosing Project Documents in ADMS The Public Communications Policy (PCP) 2011 establishes the disclosure requirements for documents and information ADB produces or requires to be produced. It mandates projectrelated documents normally produced during the project cycle to be posted on the web. 7

8 Disclosing Project Documents in ADMS Document disclosure scenarios Automatic Disclosure An automatic disclosure request is created for documents circulated to the Board for information, e.g. completion reports, COBP, etc. (except for nonsovereign projects). Documents tagged as For Early Disclosure in the circulation form are simultaneously disclosed to ADB.org and to the Board. The Project Lead and Analyst will receive an notification once the documents are posted in ADB.org Under PCP 2011, some Board documents may be posted on the ADB website at the same time they are circulated to the Board (For Early Disclosure), subject to the concurrence of the member country concerned. 1 This is applicable to RRPs of sovereign projects and final proposals of regional cooperation strategies (RCS) and country partnership strategies (CPS). Supporting documents (electronically linked documents) that are referred to in the RRP, CPS, or RCS shall be posted on the ADB website at the same time as the unless stated otherwise in the PCP. Documents with Disclosure Reminder Disclosure reminders are sent to the project lead, CC project analyst, for documents with specific project milestones or deadlines (based on MRM/SRM/ ICM dates, e.g. draft safeguard documents as required by the Safeguard Policy Statement) or upon consideration ( endorsement/approval) by the Board. 2 Refer to Appendix 2 for the list of project documents for disclosure and the corresponding disclosure rules for each and notification reminders. Documents disclosed upon Board endorsement/approval include the following: Board-approved TA Reports RRPs, CPS, icps, and RCS, if member country did not consent to disclose early Board-approved major changes 1 This consent should be noted in the minutes of the loan negotiations and management review meeting for the RRP and CPS/iCPS/RCS respectively. The concurrence of the member country concerned must be attached to the circulation request in eserve. 2 Upon is a defined term to mean no later than 2 weeks (14 calendar days) following the date of approval or circulation. 8

9 Disclosing Project Documents in ADMS Progress reports on tranche releases for policy-based loans and grants Documents without Disclosure Reminder These are the documents that will not have reminders from ADMS and are required to be disclosed only upon receipt or completion and acceptance by ADB. To avoid delays in disclosing documents, ensure that all submitted documents follow the templates available in the Board Documents and References section of Update the Milestone Events page in eops to ensure timely sending of disclosure reminders. 9

10 Disclosing Project Documents in ADMS Accessing ADMS Actor/s: PTL PA ADMS can be accessed in two ways: 1) access directly via URL, 2) access from eops. Access ADMS directly To access ADMS, go to on your browser or simply type adms in the URL field. The ADMS homepage opens displaying the list of projects you are a member or assigned to. Click the [Twistie] icon beside the project number and it will show the documents that are due for disclosure. Disclosed documents appear in the [All Documents] view or tab. Use the same URL ( when accessing ADMS outside ADB. Login using the Windows ID and password. 10

11 Disclosing Project Documents in ADMS Access ADMS from eops To access ADMS via eoperations, open the project record, and then click on the [Disclose Project Documents] button found in the Project Tasks page. ADMS opens showing only the exact project record you accessed from eops. 11

12 Disclosing Project Documents in ADMS ADMS page elements Use the [Search Bar] to find documents by Project Number, Project Name, Document Type, and Approval Number. 2. Use the [Quick Links] to easily access the guidelines and references about document disclosure. 3. Use the [View by:] tabs to quickly track projects with documents that are due for disclosure or display all documents for a project. The list displays only projects that you are a member of. 4. The [Operations] section is a list of projects with documents for disclosure. Certain documents may also be disclosed via eoperations. 5. The [Non-Operations] section is a list of non-project documents for disclosure. 12

13 Disclosing Project Documents in ADMS Searching for a record Actor/s: PTL PA 1. To search for a record, type any one of the following in the [Search Bar], and then press the [Enter] key or click the [Search] icon. Project Number (the 8 digit code or the first 5 digit code ) Project Name Document Type Approval Number 2. The system filters the list with the matching record. 1 2 To display all the records again, click the [Refresh] icon in the [Search Bar]. 13

14 Disclosing Project Documents in ADMS Disclosing a project document Actor/s: PTL PA To disclose a project document in ADMS: 1. Open ADMS from eops or directly. If accessed directly, click here to know how to search a project record. 2. The Disclosure Management page opens. You may click the [Twistie] icon beside the [Project Number] to hide/show the list of documents to be disclosed. A pre-determined list of document types will be shown depending on the project modality, amount, safeguard categorization, etc. 3. If the Board-approved or Management-approved document is on the list, click the [Update Details] icon. 2 3 To disclose non-project documents, scroll down to the Non-Operations section and click on the [Add Non-Operations Document for Disclosure] button. This button is different from the add button under the Operations section and is used SOLELY for adding documents which are not project-specific, such as annual reports, Board papers, policy papers, etc. For more information, refer to Chapter 2. 14

15 Disclosing Project Documents in ADMS 4. The Add Document for Disclosure form will open. Click the [Browse] button, and then search your computer for the document to be disclosed. The file size must not be over 5MB. Otherwise, contact IT Service Desk (loc. 5555) to get assistance on reducing the size. 5. The [Document Title] field defaults to the filename of the attachment. Edit as necessary. Specials characters are allowed and the maximum number of characters is 1, Enter the document s official cover date in the [Document Date] field. The Document Date should be consistent with the date provided on the attachment's cover page. Additional date details may be required depending on the document type and version. Future date is not accepted in all date fields

16 Disclosing Project Documents in ADMS 7. Indicate the document status using the [Document Version] options. For most documents, the version to be used is. The other versions are typically used on safeguard documents, procurement plans, etc. Please refer to Appendix 2 for the complete list of documents for disclosure and their corresponding versions. 8. The [Withhold from Disclosure] setting indicates if the document is to be disclosed or not. By default, the No radio button is ticked. If the document will be withheld from disclosure, click here to know how

17 Disclosing Project Documents in ADMS 9. Optionally, enter notes in the [Remarks] field. Text entered in the [Remarks] field will reflect in the history. 10. Click [Submit Document for Disclosure] to send the request to DER Save Click the [Save] button to save the request as draft or if the document will be withheld from disclosure. The status will become Pending for Submission. Cancel Click the [Cancel] button to close the window or disregard the data entry. Data entered will not be saved. 11. Click [OK] in the message that appears

18 Disclosing Project Documents in ADMS 12. A message appears upon submission. Click the [Cancel] button to close the form The system sends a notification to DER. Once the request is complete, a notification is sent to the requestor and the status of the document changes to Disclosed

19 Disclosing Project Documents in ADMS Creating a new project document for disclosure Actor/s: PTL PA To disclose a new project document in ADMS: 1. Open ADMS from eops or directly. If accessed directly, click here to know how to search a project record. 2. The Disclosure Management page opens. You may click the [Twistie] icon beside the [Project Number] to hide/show the list of documents to be disclosed. 3. If the document you will submit for disclosure is not on the list, click the [Add Project Document for Disclosure] button. 2 3 To disclose non-project documents, scroll down to the Non-Operations section and click on the [Add Non-Operations Document for Disclosure] button. This button is different from the add button under the Operations section and is used SOLELY for adding documents which are not project-specific, such as annual reports, Board papers, policy papers, etc. For more information, refer to Chapter 2. 19

20 Disclosing Project Documents in ADMS 4. The Add Document for Disclosure form will open. Click the [Browse] button, and then search for the document to disclose. The file size must not be over 5MB. Otherwise, contact IT Service Desk (loc. 5555) to get assistance on reducing the size. 5. The [Document Title] field defaults to the filename of the attachment. Edit as necessary. Special characters are allowed and the maximum number of characters is 1, The [Document Type] is a predictive text field. A list of document types that contain the same word(s) you entered will appear as you type. Depending on your internet speed, this feature may require a few seconds before the options come out. Please refer to Appendix 2 for the list of document types in ADMS. If the document type is not yet in ADMS like CPS documents (e.g. COBP), submit document for disclosure through docs4web@adb.org

21 Disclosing Project Documents in ADMS 7. Enter the document s official cover date in the [Document Date] field. The Document Date should be consistent with the date provided on the attachment's cover page. Additional date details may be required depending on the document type and version. Future date is not accepted in all date fields. 8. Indicate the document status using the [Document Version] options. Please refer to Appendix 2 for the complete list of documents for disclosure and their corresponding versions. 9. The [Withhold from Disclosure] setting indicates if the document is to be disclosed or not. By default, the No radio button is ticked. If the document will be withheld from disclosure, click here to know how

22 Disclosing Project Documents in ADMS 10. Optionally, enter notes in the [Remarks] field. Text entered in the [Remarks] field will reflect in the history. 11. Click [Submit Document for Disclosure] to send the request to DER Save Click the [Save] button to save the request as draft or if the document will be withheld from disclosure. The status will become Pending for Submission. Cancel Click the [Cancel] button to close the window or disregard the data entry. Data entered will not be saved. 12. Click [OK] in the message that appears

23 Disclosing Project Documents in ADMS 13. A message appears upon submission. Click the [Cancel] button to close the form The system sends a notification to DER. Once the request is complete, a notification is sent to the requestor and the status of the document changes to Disclosed

24 Disclosing Project Documents in ADMS Disclosing project documents with Linked Documents Actor/s: PTL PA RRPs, Grant Assistance Reports, Major Change Documents, Periodic Financing Requests, and Report to the President may have linked documents attached to them. Use the [Create Linked Documents] button in ADMS to view or add linked documents. 1. Open ADMS from eops or directly. If accessed directly, click here to know how to search a project record. 2. The Disclosure Management page opens. Click the [Create Linked Documents] button. 2 24

25 Disclosing Project Documents in ADMS 3. The Select Document Type form appears. Click the dropdown list, and then select the document type intended for addition, revision or update of linked documents. 4. Click the [Create Linked Documents] button The Linked Documents home page opens. Refer to the Linked Documents QRG to learn how to add, revise or update linked documents. 25

26 Disclosing Project Documents in ADMS 6. After adding, revising or updating the linked documents, disclose the (e.g. RRPs, Grant Assistance Reports, Major Change Documents, Periodic Financing Requests, Report to the President) in ADMS. Click here to know how to disclose project documents. When submitting documents for disclosure which may have Linked Documents attached (e.g. RRPs, Grant Assistance Reports, Major Change Documents, Periodic Financing Requests, and Report to the President) please always indicate in the [Remarks] field if : 1. All linked documents are for disclosure or 2. if there are documents that should be withheld, in which case, provide the specific PCP exception for each. 26

27 Disclosing Project Documents in ADMS Withholding a document for disclosure Actor/s: PTL PA A document can be withheld from disclosure if it falls under the PCP s exceptions to presumed disclosure. To withhold a document for disclosure, follow the steps below. 1. Open ADMS from eops or directly. If accessed directly, click here to know how to search a project record. 2. The Disclosure Management page opens. You may click the [Twistie] icon beside the [Project Number] to hide/show the list of documents to be disclosed. A pre-determined list of document types will be shown depending on the project modality, amount, safeguard categorization, etc. 3. If the Board-approved or Management-approved document is on the list, click the [Update Details] icon. If not, click the [Add Project Document for Disclosure] button

28 Disclosing Project Documents in ADMS 4. The Request Details form will open. Click the [Browse] button, and then search your computer for the document to be disclosed. The file size must not be over 5MB. Otherwise, contact IT Service Desk to get assistance on reducing the size. 5. The [Document Title] field defaults to the filename of the attachment. Edit as necessary. 6. Enter the document s official cover date in the [Document Date] field. The Document Date should be consistent with the date provided on the attachment's cover page. Additional date details may be required depending on the document type and version. Future date is not accepted in all date fields

29 Disclosing Project Documents in ADMS 7. Indicate the document status using the [Document Version] options. For most documents, the version to be used is. The other versions are typically used on safeguard documents, procurement plans, etc. Please refer to Appendix 2 for the complete list of documents for disclosure and their corresponding versions. 8. The [Withhold from Disclosure] setting indicates if the document will be withheld from disclosure because it falls under the PCP s exceptions to presumed disclosure. Choosing Yes requires exception(s) to be specified and disables the [Submit Document for Disclosure] button

30 Disclosing Project Documents in ADMS You can select multiple exceptions by pressing on the [CTRL] key while doing the selection. 9. Provide supporting notes or comments to DER in the [Remarks] field. Text entered in the [Remarks] field will reflect in the history. 10. Click [Save] to save in ADMS Cancel Click the [Cancel] button to close the window or disregard the data entry. Data entered will not be saved. 11. Click [OK] in the message that appears

31 Disclosing Project Documents in ADMS 12. A message appears upon saving. Click the [Cancel] button to close the form The status of the document is Withheld. When the time comes the document is for disclosure, click the [Update Details] icon, and click the No radio button in the [Withhold from Disclosure] section. Then click the [Submit Document for Disclosure] button

32 Disclosing Project Documents in ADMS Updating the disclosure request if it was returned for revision by DER Actor/s: PTL PA DER may return the request if there are inconsistencies or missing information in the request. When DER returns the request, the PTL and PA will be notified through together with the reason for the return. The status of the request will become For Revision. To update and resubmit the request, follow the steps below. 1. Open the link in the notification to open the record. You can also open ADMS from eops or directly. If accessed directly, click here to know how to search a project record. 2. The Disclosure Management page opens. Look for the request with the For Revision status. Click the [Update Details] icon. 2 When the request is for revision, a [Delete] icon will appear in the Delete Document column. Clicking the [Delete] icon will remove the request in ADMS. This action is irreversible. This can be used if the reason for revision is, for example, the use of an incorrect document type. 3. The Request Details form will open. Scroll down and see the reason why DER returned the request in the History section. This is also available in the notification Update the request as necessary, all fields are open for editing. Click [Resubmit]. 4 32

33 Disclosing Project Documents in ADMS Requesting to replace a disclosed document Actor/s: PTL PA Disclosed documents may still be replaced if there are updates or corrections to the document. 1. Open ADMS from eops or directly. If accessed directly, click here to know how to search a project record. 2. From the search result, click the [Update Details] icon of the disclosed document The Request Details form will open showing the information about the disclosed document. Click the [Replace] button at the bottom. 3 33

34 Disclosing Project Documents in ADMS 4. The Request for Replacement form appears. Click [Browse] to search for the new document. 5. Initially, the [Document Title] copies the file name. You may edit this as necessary. This will help inform the title of the document displayed on ADB.org 6. State the justification for changing the document in the [Reason for replacement] field. 7. Click the [Submit Request for Replacement] button After submission, the justification entered in the [Reason for replacement] field will appear in the History section found at the bottom of the Request Details form. 8. Click [OK] in the message that appears. 8 34

35 Disclosing Project Documents in ADMS 9. A message appears upon submission. Click the [Close] button to close the form The system sends a notification to DER. Once the request is complete, a notification is sent to the requestor and the status of the document changes to Replaced

36 Disclosing Project Documents in ADMS Requesting to remove a disclosed document Actor/s: PTL PA Documents already disclosed can still be removed from the ADB website (except for Boardapproved documents). 1. Open ADMS from eops or directly. If accessed directly, click here to know how to search a project record. 2. From the search result, click the [Update Details] icon of the disclosed document The Request Details form will open showing the information about the disclosed document. Click the [Remove] button at the bottom. 3 36

37 Disclosing Project Documents in ADMS 4. The Request for Removal form appears. State the justification for document removal in the [Reason for removal] field. 5. Click the [Submit Request for Removal] button. 4 5 After submission, the justification entered in the [Reason for removal] field will appear in the History section found at the bottom of the Request Details form. 6. Click [OK] in the message that appears. 6 37

38 Disclosing Project Documents in ADMS 7. A message appears upon submission. Click the [Close] button to close the form The system sends a notification to DER. Once the request is complete, a notification is sent to the requestor and the status of the document changes to Removed. 8 38

39 Disclosing Non-Project Documents in ADMS Chapter 2 Disclosing Non-Project Documents in ADMS The disclosure of other types of documents not related to any particular project like annual reports, Board papers, host country agreements, and policy papers are now done through ADMS. This chapter will discuss how to disclose non-project documents in ADMS. 39

40 Disclosing Non-Project Documents in ADMS Disclosing a non-project document Actor/s: PTL PA To disclose a document in ADMS: 1. Open ADMS directly. Click here to know how to search a record. 2. The Disclosure Management page opens. Click the [Add Non-Operations Document for Disclosure] button below the Non-Operations section. 2 This button is different from the add button under the Operations section and is used SOLELY for adding documents which are not project-specific, such as annual reports, Board papers, policy papers, manuals, etc. 3. The Add Document for Disclosure form will open. Click the [Browse] button to attach the document for disclosure. 3 40

41 Disclosing Non-Project Documents in ADMS The file size must not be over 5MB. Otherwise, contact IT Service Desk (loc. 5555) to get assistance on reducing the size. 4. Initially, the [Document Title] copies the file name. Edit it as necessary. Special characters are allowed and the maximum number of characters is 1, The [Document Type] is a predictive text field. A list of document types that contain the same word(s) you entered will appear as you type. Depending on your internet speed, this feature may require a few seconds before the options come out. Please refer to Appendix 2 for the list of document types in ADMS. If the document type is not yet in ADMS, submit document for disclosure through docs4web@adb.org 6. Enter a country in the [Country] field (optional) if the document for disclosure is specifically for an ADB member country. 7. Enter the local number of the point person in the [Contact Person] field

42 Disclosing Non-Project Documents in ADMS 8. Enter the document s official cover date in the [Document Date] field. The Document Date should be consistent with the date provided on the attachment's cover page. Additional date details may be required depending on the document type and version. Future date is not accepted in all date fields. 9. Indicate the document status using the [Document Version] options. For most documents, use. Please refer to Appendix 2 for the complete list of documents for disclosure and their corresponding versions. 10. The [Withhold from Disclosure] setting indicates if the document is to be disclosed or not. By default, the No radio button is ticked. If the document will be withheld from disclosure, click here to know how

43 Disclosing Non-Project Documents in ADMS You can select multiple exceptions by pressing on the [CTRL] key while doing the selection. 11. Optionally, enter notes in the [Remarks] field. Texts entered in the [Remarks] field reflect in the history. 12. Click [Submit Document for Disclosure] to send the request to DER Save Click the [Save] button to save the request as draft. The status will become Pending for Submission or Withheld if Withhold from Disclosure is set to Yes. Cancel Click the [Cancel] button to close the window or disregard the data entry. Data entered will not be saved. 13. Click [OK] in the message that appears

44 Disclosing Non-Project Documents in ADMS 14. A message appears upon submission. Click the [Cancel] button to close the form The document is then added. The status is updated to For Disclosure and DER is notified on the request. The Requestor will also be notified upon disclosure or if DER returns the document for revision

45 Appendix 1: User Interface Guide Using a form A form refers to an editable page that allows user-inputted data to be saved. It is composed of any or a combination of the following elements: Text Field an input field that allows direct text input. Radio buttons an input field that allows selection of a value from a set of mutuallyexclusive options laid out either horizontally or vertically. Date Field refers to a date input field (with format dd-mmm-yyyy) that allows selection of a value from a date picker pop-up window, accessed by clicking the Date Picker icon. Buttons rectangular buttons that accomplishes a specific form command.

46 Appendix 2: Document Types and Versions How to use the table: Document Type - gives the user an idea what document type to enter in the [Document Type] field in ADMS. Document Version - what version to choose in the Document Version section in ADMS. Disclosure Rule (When to disclose) tells the user when to disclose the document. Timing of Notification Reminder sent from ADMS shows the timing of notification reminder from ADMS (applicable only to certain types of document). Remarks other important information about the document. Operational document types Project Documents: Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Additional Financing Administration Document Administration of Additional Grant Only if there are changes to the project

47 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Annual ESMS Performance/Implementation Reports (for Category FI and Category A and B General Corporate Finance projects) For category FI and category A and B General Corporate Finance projects No later than 14 days after receipt date by ADB Not mandatory but encouraged to be posted upon receipt Category FI and category A and B General Corporate Finance projects Annual Monitoring Report Attached Technical Assistance For projects with TA components Audited Project Financial Statement Within 14 days after date of acceptance (if acceptable to ADB) 1 day after date of acceptance by ADB Date of Acceptance by ADB is manually entered by the user in EDM Cancellation of Loan Cancellation of TA Chair Summary - Development Effectiveness Committee No later than 14 days after Board circulation Change Request Only if there are changes to the project 47

48 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Completion Reports (Project/Program/Facility) No need to indicate modality as this applies to all No later than 14 days after circulation date 1 day after circulation date Compliance Review - Report Compliance Review - Monitoring Report Compliance Review - Remedial Action Plan Compliance Review - Report on Eligibility Compliance Review - Terms of Reference Concept Paper Mandatory for all except PPTA and emergency assistance Conference Materials Contribution to ADB Results Framework Contribution to the Output Aggregates of the ADB's Results 48

49 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Corporate Audit (for Category FI) For SOV: 1 day before MRM/SRM date For NSO: 1 day before ICM Not mandatory but encouraged to be posted before project appraisal (if no mission for appraisal is required) Corporate Safeguards Audit Country Economic Indicators Details of Implementation Arrangements Development Coordination All except emergency assistance EA's Progress Report Economic Analysis Only for projects Economic and Financial Analysis Only for projects Effectiveness Letter 49

50 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Emergency Assistance Coordination Only for projects Draft For SOV: 30 days before MRM / SRM date 30 days before MRM / SRM date Only for emergency assistance, MFF, sector loans Environmental Assessment and Review Framework Only for emergency assistance, MFF, sector loans Environmental Compliance Audit Report (for existing facilities), including a Corrective Action Plan (CAP), if required 1. 1 day before MRM / SRM date 2. If project is environment category A, at least 120 days before Board date days before MRM/SRM date , 135, 133, and 132 days before Board date Projects involving existing facilities and/or business activities that already exist or are under construction Draft At least 120 days before Board approval date 150, 135, 133, and 132 days before Board date Only for projects classified as environment category A Environmental Impact Assessment Only for projects classified as environment category A Environmental Impact Matrix Draft At least 120 days before Board approval date At least 120 days before Board approval date 150, 135, 133, and 132 days before Board date 150, 135, 133, and 132 days before Board date Only for policy-based projects classified as environment category B Only for policy-based projects classified as environment category B 50

51 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Environmental Monitoring Report No later than 14 days after document completion (acceptable to ADB) 1 day after receipt date Only for projects classified as environment category A or B Draft No later than 14 days after document completion 1 day after document completion date Only for projects that use country safeguard Equivalence and Acceptability Assessments No later than 14 days after document completion 1 day after document completion date Only for projects that use country safeguard Updated 1 day after document completion date Only for projects that use country safeguard Extended Annual Review Report No later than 14 days after board circulation date 1 day after circulation date Facility Administration Manual Only for MFF FAST Report Report of the Special Project Facilitator TA Consultants Reports No later than 14 days after document completion Financial Analysis Only for projects 51

52 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Financial Intermediary: Environmental and Social Management System Arrangement Only for projects with FI safeguard issues (Env, IR, IP) Financing Plan Framework Financing Agreement 1 day after signing date Only for MFF Gender Action Plan Only for projects classified as "gender equity" or "effective gender mainstreaming" (project classification) Gender and Social Inclusion Action Plan Only for Nepal projects Grant Assistance Report for JFPR and JFICT No later than 14 days after Board approval date (if no government consent) 1 day after Board date For standalone JFPR Grant linked documents Grant Implementation Manual No later than 14 days after approval by division or Country Director Only if project is funded by JFPR Grant 52

53 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks IED Annual Evaluation Report No later than 14 days after Development Effectiveness Committee discussion date 1 day after Development Effectiveness Committee (DEC) discussion date IED Comments on the Management Response to Independent Evaluations No later than 14 days after document completion date 1 day after document completion date Implementation Completion Memorandum Increase in Technical Assistance Budget Amount Only if applicable to the TA Independent Evaluation Report No later than 14 days after Board circulation date 1 day after circulation date 53

54 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Indigenous Peoples Plan Draft For SOV: 1. Before MRM/SRM 2. Before approval of the subproject for resettlement category A of a sector or financial intermediary project; 3. Before Management consideration of the periodic financing request for MFF tranches after the 1st tranche For SOV: 1. 30, 15, 5 days before MRM/SRM date Only for projects classified as indigenous peoples A or B For NSO: 1 day before final ICM date For NSO: 30, 15, 5 days before final ICM date Only for projects classified as indigenous peoples A or B Indigenous Peoples Planning Framework Draft For SOV: 1 day before MRM / SRM date For NSO: 1 day before final ICM date For SOV: 30, 15, 5 days before MRM/SRM date For NSO: 30, 15, 5 days before final ICM date ALL loans and grants for sector loan and multitranche financing facility 54

55 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Only for emergency assistance, MFF, sector loans New No later than 14 days after receipt by ADB 1 day after receipt date Indigenous peoples A or indigenous peoples B Updated No later than 14 days after receipt by ADB 1 day after receipt date Indigenous peoples A or indigenous peoples B Draft Only for project classified as environmental category B Initial Environmental Examination Only for project classified as environmental category B New Updated 14 days after receipt date 1 day after receipt date Only for project classified as environmental category B 14 days after receipt date 1 day after receipt date Only for project classified as environmental category B 55

56 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Initial Poverty and Social Analysis For SOV: No later than 14 days after approval of the project concept paper For SOV: 1 day after Concept Paper approval date Mandatory except for PPTA and emergency assistance For NSO: No later than 14 days after board date For NSO: 1 day after Board date Integrated Risk Assessment and Mitigating Measures Only for result-based lending projects Interim/Midterm Report Interim Operational Strategy Only for emergency assistance International Monetary Fund Assessment Letter Only for policy-based projects Issues Paper Japan Fund for Poverty Reduction (JFPR) Grant Proposal Lapse of Loan Offer or Approval Only if there are changes to the project 56

57 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Legal Agreement No later than 14 days after signing date 1 day after signing date or 1 day after effectivity date of amendment Only OGC is allowed to disclose ADMS will send disclosure reminder List of Ineligible Items Only for policy-based projects Loan Agreement No later than 14 days after signing date Only OGC is allowed to disclose Mandate Letter Major Change in Scope/Amount/Implementation Arrangements No later than 14 days after Board approval date 1 day after Board date Only if there are changes to the project linked documents Management Response to Independent Evaluations No later than 14 days after document completion 1 day after document completion date Memorandum of Agreement (MOU)/Aide Memoire Multitranche Financing Facility Annual Report Only for MFF-Facility Ownership, Management, and Governance 57

58 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Performance Evaluation Report (Project/Program) c/o IED; No later than 14 days after circulation to Management and the Board Performance Evaluation Report (TA) c/o IED; No later than 14 days after circulation to Management and the Board Performance Overview Mandatory for projects and MFF Periodic Financing Request for Project 1 Only for MFF Periodic Financing Request Monthly Report No later than 14 calendar days from Board circulation date 1 day after circulation date Prepared by SPD Periodic Financing Request Report No later than 14 calendar days from Board circulation For subsequent MFF tranches PPTA Appendix No later than 14 days After approval of the project concept paper 1 day after concept paper approval date Mandatory for all except PPTA and emergency assistance Priority Sector Diagnosis and Analyses 58

59 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Program Action Plan Only for results-based lending projects Program Expenditure and Financing Assessment Only for results-based lending projects Program Fiduciary Systems Assessment Only for results-based lending projects Program Implementation Document Only for results-based lending projects Program Monitoring and Evaluation System Assessment Only for results-based lending projects Program Results Assessment Only for results-based lending projects 59

60 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Program Results Framework Only for results-based lending projects Program Safeguard Systems Assessment Only for results-based lending projects classified under environment category B, involuntary resettlement category A or B, and/or indigenous peoples category A or B Program Soundness Assessment Only for results-based lending projects Progress Report on Tranche Release If waived compliance (Board approval), within 14 days after Board approval date If complied (Management approval), within 14 days after Board circulation date 1 day after Board date 1 day after circulation date Only for policy-based projects Document is automatically sent for disclosure upon circulation date for SOV projects Progress Report on Tranche Report No later than 14 days after Board approval Progress Towards Millennium Development Goals and Targets 60

61 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Project Administration Manual Only for projects Project Design Advance No later than 14 days of Board circulation This document is Managementapproved and is required to be circulated to the Board for information, FYI A PDA may only be provided for a first tranche under a multitranche financing facility (MFF), and not for subsequent tranches Quarterly Monitoring Report Reallocation of Loan Proceeds Only if there are changes to the project Reallocation of Proceeds Only if applicable to the TA 61

62 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks For SOV: No later than 14 days after Board circulation (early disclosure with government consent) 1 day after circulation date For SOV: Document is automatically sent to DER for web posting upon circulation Report and Recommendation of the President For SOV: No later than 14 days after Board approval date (if no government consent) For SOV: ADMS will send disclosure reminder For NSO: No later than 14 days after Board approval date (if no government consent) For NSO: ADMS will send disclosure reminder linked documents Report to the President A redacted/abbreviated version shall be manually submitted in ADMS for disclosure no later than 14 days from Board circulation (for information). 1 day after circulation date Prepared for NSO projects where approval level = President linked documents A redacted/abbreviated version shall be manually submitted to ADMS for disclosure no later than 14 days from Board circulation (for information) 62

63 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks For SOV: 1 day before MRM / SRM For SOV: 30, 15, 5, 4, 3, 2 days before MRM/SRM date Only for MFF, sector loans Resettlement Framework Draft For NSO: 1 day before final ICM For NSO: 30, 15, 5 days before final review investment committee date Only for emergency assistance, MFF, sector loans Updated For SOV/NSO: No later than 14 days after receipt by ADB 1 day after receipt date Only for emergency assistance, MFF, sector loans 63

64 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Draft For SOV: 1. 1 day before MRM/SRM date 2. Before approval of the subproject for resettlement category A of a sector or financial intermediary project 3. Before Management consideration of the periodic financing request for MFF tranches after the 1st tranche For SOV: 1. 30, 15, 5 days before MRM/SRM date Only for projects classified as involuntary resettlement A or B Resettlement Plan For NSO: Before ICM For NSO: 30, 15, 5 days before final review investment committee date Only for projects classified as involuntary resettlement A or B New No later than 14 days after receipt date by ADB 1 day after receipt date Only for projects classified as involuntary resettlement A or B Updated No later than 14 days after receipt date by ADB 1 day after receipt date Only for projects classified as involuntary resettlement A or B 64

65 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Revised Financing Plan Only if applicable to the TA Revised Project/Facility Administration Manual Updated No later than 14 days after document completion Mandatory for projects and MFF Mandatory for projects and MFF Risk Assessment and Risk Management Plan Safeguards and Social Dimensions Summary Safeguards Compliance Note/Checklist Safeguards Due Diligence Report Safeguards screening checklist and categorization Sector Overview Small Scale Technical Assistance (SSTA) Memo 65

66 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Social Compliance Audit Report (for existing facilities), including a Corrective Action Plan (CAP), if required 1 day before MRM / SRM date 30 days before MRM/SRM date Projects involving existing facilities and/or business activities that already exist or are under construction Social Impact Matrix 1 day before MRM / SRM 30, 15, 4, 3, and 2 days before MRM/SRM date Only for policy-based projects classified as i) involuntary resettlement category A or B or ii) indigenous peoples category A or B Social Monitoring Report No later than 14 days after receipt date (acceptable to ADB) 180, 365, and 730 days after project effectiveness date Only for projects classified as involuntary resettlement A or B and indigenous peoples A or B SSTA Memo Or Only for TAs with amount of up to $225,000 Small Scale Technical Assistance (SSTA) Memo Strategic Environmental Assessment Draft At least 120 days before Board approval date 150, 135, 124, 123, and 122 days before Board date Only for policy-based projects classified as environment category A Summary Assessment of Damage and Needs Only for emergency assistance 66

67 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Summary of Program Performance Only for result-based lending projects tagged as emergency assistance Summary of Project Performance Summary Poverty Reduction and Social Strategy Summary Sector Assessment Only for emergency assistance Supplementary Documents TA Completion Report No later than 14 days after Board circulation 1 day after circulation date For SOV projects : Document is automatically sent for disclosure upon circulation date For NSO projects: Notification reminder will be sent TA Subproject Proposal No later than 14 calendar days of approval by the relevant authority 67

68 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks TA Validity Extension Approval No later than 14 calendar days of circulation to the Board for information 1 day after circulation date Not required but may be disclosed If Approval = Board No later than 14 days after Board date 1 day after Board date SOV projects: Document is automatically sent for disclosure upon circulation date Technical Assistance Report If Approval = Management (VP/President) Within 14 days after Board circulation date 1 day after circulation date For NSO projects: Reminder notification will be sent (see timing of notification reminder sent by ADMS) If PPTA and amount is up to $1.5 million Within 14 days after concept paper approval date 1 day after concept paper approval date Technical Assistance (TA) Letter Technical Assistance (TA) Paper Technical Assistance (TA) Subproject Proposal TOR of Consultants Tranche Compliance Updated Procurement Plan No later than 14 days after document completion date 1 day after document completion date 68

69 Appendix 2: Document Types and Versions Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks Waiver of Loan Effectiveness Condition Only if there are changes to the project 69

70 Appendix 2: Document Types and Versions Non-Operational document types Administrative Documents: Document Type Document Version Disclosure Rule (When to disclose) Timing of Notification Reminder sent from ADMS Remarks ADB Annual Reports No later than 14 days after Board date 1 day after Board date As applicable ADB budget for each fiscal year No later than 14 days after Board approval date 1 day after Board date As applicable ADB Work Program and Budget Framework No later than 14 days after Board date 1 day after Board date As applicable Administrative Tribunal Decisions No later than 14 days after Administrative Tribunal notifies the Secretary to post a decision 1 day after Administrative Tribunal notifies SEC to post a decision As applicable Annual Report on Country Performance Assessment with access to Asian Development (ADF) resources No later than 14 days after document completion 1 day after document completion date As applicable Annual Report on loan servicing of developing member countries No later than 14 days after Board approval date 1 day after Board date As applicable Asian Development Fund Asian Development Outlook and Asian Development Outlook Update No later than 14 days after document completion As applicable 70