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TA 8399-PRC: Shanxi Technical and Vocational Education and Training DevelopmentProject

Terms of Reference for Consul ting Firm, Phase 2

Institutional AnalysisExperts(international/team leader, 4.0 person-months; national/ deputy

team leader, 5.0 person-months)

1. The experts should have institutional analysis and planning backgrounds and have morethan 15 years (international) and 12 years (national) of relevant work experience in preparingand leading ADB-funded project preparatory TA projects, preferably in the PRC. Familiarity withprocurement of civil works and goods, contract management, and institutional management foroperation and management of public services is also required. The deputy team leader will bean expert in TVET and will provide support to international consultants in TVET, as required, incollecting data, facilitating FGDs and interviews, and providing background information onrecent TVET developments in the PRC. The experts will organize appropriate consultationsthroughout the process with key stakeholders to reflect balanced views pertinent to TVETdevelopment in Shanxi. The experts will ensure that thorough consultations with employers and

industries, including ISCs (TVET groups), are carried out during TA implementation and inconsultation with the consulting team, the experts will identify mechanisms to engage employersand/or industry, as much as possible throughout all project components, including in theidentification of training equipment as well as training programs, standards, and competencies,and through the project steering committee to ensure a demand-driven approach to TVET. Theproject is classified as effective gender mainstreaming, hence the experts will identify suitableactions and indicators from the gender action plan (GAP) for incorporation into the design andmonitoring framework. The experts are expected to guide the project design, incorporatinglessons and experiences from other relevant ADB-financed projects and TVET projects in thePRC financed by other international development organizations such as the World Bank,

AusAid, and GIZ. The experts will ensure that poverty and social analysis of TVET is conducted,with particular attention to access to TVET for the poor, ethnic minorities, and other

disadvantaged groups, including issues of direct and indirect costs of education, access toscholarships and subsidies, availability of TVET schools in local areas, admissions policies, andsocial marketing of TVET. The experts will ensure that monitoring and evaluation (M&E) willinclude such tools as tracer studies, employer surveys, and impact evaluation to ensure thatlessons from the project can be captured and shared. The experts will ensure that impactevaluation that focuses on with and without scenarios is incorporated into the project designand provide recommendations on credible institutions who can conduct impact evaluation. Theexperts will refine and administer the baseline survey to the selected project TVET institutions atthe start of the TA (the draft baseline survey will be developed by the TVET policy andinstitutional capacity development experts to be recruited on an individual basis). The expertswill help identify model training programs in the four priority sectors in advanced countries, andwill propose suggestions for twinning partnerships between such model TVET institutions and

project TVET institutions, to ensure sustainable capacity building and knowledge transfer. Theexperts, in consultation with TVET experts in the TA team, will prepare recommendations for amechanism to pilot the innovation fund. The experts will (i) guide, coordinate, and supervise theconsulting teams inputs, and will be responsible for preparing and finalizing TA outputs,including the inception report, interim report, draft final report, and final report; (ii) undertake atechnical review of the design and feasibility analyses prepared for the infrastructure andcapacity building components to make sure that TVET facilities are properly designed and fullymeet technical standards including national safety and environmental requirements and thatcapacity building activities address the needs of the executing agency and project schools; (iii)


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provide innovative ideas and technical advice to improve overall project design and avoidoversized facilities construction; (iv) work closely with the individual consultants to ensure theiradvice and outputs are incorporated into the project design; (v) work closely with the TVETconsultants in the consulting firm to prepare a project design, incorporating lessons andexperiences from other relevant ADB-financed projects and TVET projects financed by theWorld Bank, AusAid, and GIZ in the PRC; (vi) assess adequacy of detailed cost estimate; (vi)

identify appropriate procurement packaging and procurement plans for the project components;(vii) assess operation and maintenance (O&M) requirement of investment components; (viii)identify and enhance potential innovative features of the project; (ix) analyze capacitydevelopment needs and design capacity building activities for the executing agency andimplementing agencies; (x) taking into account international and national best practices, giverecommendations for further strengthening the design and implementation arrangements forcapacity building and infrastructure components; (xi) conduct appropriate workshops andtraining for project design and project performance management system, ADBs safeguardspolicy, and ADBs procurement and disbursement; (xii) review contract packaging arrangementsfor the capacity building and infrastructure components, coordinate preparation of theconsolidated procurement plan, provide guidance and support in preparing procurementdocuments for the project, (xiii) be responsible for preparing the draft report and

recommendation of the President (RRP) and the required linked documents based on the inputsof the team; (xiv) provide continuous guidance to the PMO and the project schools to ensuresynchronization between domestic PRC approvals and ADB processing requirements, and toemphasize to the PMO, the need to prepare domestic documents (e.g., draft feasibility studyreport (FSR) and foreign capital utilization proposal) to a good quality standard and in a timelymanner to meet the proposed processing schedule; and (xv) and perform other tasks as may bereasonably assigned by ADB.

Finance Specialists (international, 1.5 person-months; national, 2.0 person-months)

2. The international expert should have at least 10 years and the national at least 8 yearsof experience, preferably in financial management assessment (FMA) in the education sector.

The consultant should have a thorough understanding of education and training budgets and beexperienced in undertaking financial analyses and calculating project costs in detail. Under theteam leader's guidance, the TVET cost and financing analysis experts will conduct financialanalyses of the components, prepare the cost estimates and financing plan for the project, andassess the financial viability of each component and the project as a whole; undertake FMA ofthe financial performance of the relevant implementing agencies under the project inaccordance with ADBs guidelines for financial management and analysis of projects;1analyzethe historical and projected budget of the government for education and TVET subsector; andcompile and review economic, industrial, and investment policies and strategies impacting onTVET; calculate and break down the unit costs in government and private TVET traininginstitutions; calculate the cost of recommended TVET capacity building and investmentactivities; recommend ways to increase the financial sustainability of TVET program delivery

including changes to institutional management and administration structures, program financing,and public-private partnerships; calculate the detailed costs of the proposed project design,assess the design of funds flow and disbursement mechanisms, and identify any furthercapacity building (financial management and ADB disbursement procedures) that will benecessary for the project and perform other tasks as may be reasonably assigned by ADB;provide recommendations for improved financing of TVET in Shanxi province over the medium

1 ADB. 2002. Guidelines for the Financial Governance and Management of Investment Projects Financed by ADB.

Manila.


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and long term. The recommendations should be costed, with fiscal and financial sustainabilityanalysis as support, and have a prioritized implementation schedule; be responsible for thepreparation and presentation of TVET financing issues, including cost recovery and relatedfinancial and fiscal policies at the workshops; provide the financial analysis and relateddocuments for the RRP;work with the sector experts to prepare detailed cost estimates of thecapital and O&M cost for each project component, identify contract packages and the financing

plan, and prepare the draft procurement plan;prepare S-curve projections for quarterly contractawards and disbursement throughout the project implementation period; work with theeconomist to provide financial information and analysis relevant to financing, and O&M ofproject outputs;work with the sector experts and the economist to assess alternative options foreach component and complete the economic least-cost analysis; assess the financialsustainability of the project components, including their financial internal rates of return, andperform sensitivity and risk analysis; review cost recovery mechanisms and giverecommendations for strengthening the financial sustainability of project components and thesector as a whole;on the basis of the questionnaire checklist provided by ADB, assess financialmanagement and review current accounting and administrative capacities of executing agencyand TVET schools, the internal control system employed, current internal audit, external orgovernment audit, and recommend any changes as appropriate; conduct the procurement

capacity assessment of the project TVET institutions; identify areas for improvement andtraining needed with respect to the quality of financial statements, disclosure, and notes to thefinancial statements;design a fund-flow mechanism disbursement arrangements following ADBprocedures and based on the project needs and the capacity of the two schools to manage fundflow and disbursements;participate in training during the TA and in the workshops, focusing on

ADB procedures for financial analysis and FMA, procurement capacity assessment, anddisbursement; finalize the (i) financial analysis, (ii) cost estimates and financing plan, (iii)financial action plan and loan covenants, and (iv) assessment of the project benefits, impacts,assumptions, and risks; and identify potential project-related risks in three specific thematicissues, namely, public financial management, procurement, and anticorruption based on theirprocurement assessment and FMA, and prepare a governance risk assessment andmanagement plan.

Economist (national, 2.0 person-months)

3. The national expert should have at least 5 years of experience and preferably witheconomic assessments in the education sector. The consultant will conduct the economicanalysis for each project component and for the overall project in accordance with ADBsguidelines for economic analysis of projects2and other relevant policies and guidelines;reviewthe economic rationale for each project component;assess the social and economic justificationfor each project component and the project as a whole, based on governments goals,objectives, policies, and plans relating to general social and economic development, urban/ruraldevelopment, and actual development patterns; work with sector experts to evaluate thedemand for component services considering population and economic growth; identify all

quantifiable and non-quantifiable economic benefits (incremental and non-incremental) andcosts of each component;work with the sector experts to assess alternative options for eachcomponent and complete the economic least-cost analysis;estimate economic internal rate ofreturn of each component and the project as a whole, and conduct sensitivity and risk analysis;develop economically sound indicators of the impact of the subprojects, and use the householdsurvey and other relevant sources to develop baseline and performance target indicators; assistthe team leader to carry out project appraisal to specify assurances and other conditions

2 ADB. 1997. Guidelines for the Economic Analysis of Projects. Manila.


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attached to the loan; and assist the ADB project economist in finalizing (i) the economicanalysis; (ii) financial analysis; (iii) cost estimates and financing plan; (iv) financial action plan;(v) associated loan covenants; and (vi) assessment of the project benefits, impacts,assumptions, and risks.

Civil Engineer(national, 1.5 person-months)

4. The civil engineer will have at least 10 years of experience in the design andconstruction of TVET facilities. Under the team leader's guidance, the civil engineer willundertake a technical review of the FSRs prepared for the TVET institutions to ensure that allproject-financed buildings are technically sound, meet all relevant technical and safetystandards, and incorporate energy-efficiency and resources-conservation measures. Using thereview and taking into account the national best practice, the expert will recommendimprovements to the proposed design in terms of structural integrity, energy-efficiency, safety,and environmental sustainability. The expert will conduct a gender analysis of the TVETfacilities upgrading and identify areas where further studies, capacity building, and gender-responsive physical design features are required. The expert will ensure that the cost estimatesfor civil works will include disaster management measures and that the civil works designs

include access for disabled people. The expert will review proposed contract packagingarrangements for civil works and equipment, help prepare a procurement plan, and provideguidance on preparing procurement documents for components under Output 2.

Involuntary Resettlement Expert (national, 2.0 person-months)

5. The involuntary resettlement expert will have at least 5 years of experience. The expertwill orient SED and the TVET institutions on ADB's Safeguard Policy Statement (2009)requirements and procedures, as well as the policy and legal framework for resettlement in thePRC; and review due diligence reports to be prepared by a resettlement institute to be recruitedby the PMO. For the Jinzhong Vocational and Technical College campus, the consultant willassist the implementing agency to prepare a resettlement plan. For land that has already been

acquired, due diligence will be undertaken to (i) determine whether lands were acquired inanticipation of ADB support, and (ii) ensure that there are no outstanding land acquisition andresettlement issues. In case there are outstanding issues (new or legacies), prepare acorrective action plan or resettlement plan in accordance with ADB's Safeguard PolicyStatement. Assist the relevant TVET institutions in finalizing the subproject resettlement plan,and provide training to SPG and project TVET institutions in ADB's resettlement planning andimplementation requirements.

Social, Poverty, and Gender Experts (international, 1.0 person-month; national, 1.0 person-month)

6. The international expert will have at least 10 years and national expert at least 5 years of

experience. The experts will(i) conduct the focus group and key informant interviews concerningpoverty, social, and gender issues; (ii) undertake scoping for the ethnic minority impacts underthe project to confirm there are no safeguards issues; (iii) based on the findings of such surveyand analysis, the experts are expected to provide baseline information for the project on povertylevels, socioeconomic conditions, assessment of benefits and risks, mitigation andenhancement activities, recommendations to further strengthen the development impact of theproject with attention to design, implementation, and monitoring; (iv) assess the prevailinggender patterns in the labor market and in Shanxis TVET institutions; (v) orient SPG and theimplementing agencies on relevant ADB policies on social dimensions; (vi) prepare a poverty


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and social analysis report, which will include a GAP, a social action plan, and a summarypoverty reduction and social strategy in consultation with SPG and the implementing agenciesto ensure their endorsement; and (vii) finalized inputs will also be provided for the RRP, designand monitoring framework, and Project Administration Manual (PAM).

Environment Expert (national, 1.5 person-months)

7. The environment expert will have at least 10 years of work experience in environmentalimpact assessment and the design of environmental management systems. The expert willensure that domestic environmental safeguards requirements are met. The expert will providesupport to the civil engineer in reviewing the FSRs for components under Output 2, to ensurethat all project-financed buildings are technically sound; meet all relevant technical and safetystandards; and incorporate energy-efficiency, resources-conservation measures, and otherenvironmental measures. The environment expert will review environmental implications of theproject, and develop a generic environment management plan (EMP) for the design,construction, and operation stages of the project. The generic EMP shall define, amongst others(i) responsibilities of different stakeholders during detailed design, construction, and operationphases; (ii) mitigation, monitoring, and reporting responsibilities of contractors (including outline

of site EMP to be developed by contractors); (iii) environment protection measures to beincorporated into design drawings and bidding documents; (iv) an environment monitoring andconstruction site inspection mechanism, to be applied by the implementing agencies andcoordinated by the PMO; and (v) a simple grievance redress mechanism for environmentrelated grievances and complaints. The generic EMP shall be incorporated into the PAM,included as a separate annex in all bidding and contract documents, and disclosed on theproject website. The expert will develop recommendations for capacity building activities relatedto the environmental safeguards under the ensuing loan.

Procurement Expert(national, 1.0 person-month)

8. The national consultant will have at least 5 years of experience in preparing and

implementing procurement plans under foreign-funded projects in the PRC. The expert will drafta procurement plan in consultation with the PMO and the project TVET institutions, and preparethe sample bidding documents. The expert will prepare an S-curve chart for disbursement andcontract award projections, contribute to the PAM (including implementation plans, scheduleand estimate budget for procurement), and support the TA team in conducting a procurementcapacity assessment of the project implementing agencies. The expert will conduct procurementtraining to the project implementing agencies.

TVET Curriculum, Skills Standards, and Assessment Expert (international, 1.5 person-months;national, 1.5 person-months)

9. The international TVET curriculum, skills standards, and assessment expert will have at

least 15 years of experience and the national consultant will have at least 10 years ofexperience in the assessment and development of TVET programs, development of TVETqualifications, and competency-based curriculum (CBC). The TVET curriculum experts will haveat least 10 years experience in the use of occupational standards leading to the developmentand delivery of CBC as this relates to the development of TVET courses and qualifications atdifferent levels of required training. Under the team leaders guidance, the consultants willassess the relevance, quality, and efficiency of curriculum and assessment practices in publicTVET schools and colleges; review current curriculum initiatives (e.g., in metallurgy) driven bythe central Ministry of Education to determine whether their approach is consistent with the


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proposed reforms for the project; investigate and recommend the agencies that need to beinvolved in the development of occupational standards and where the key coordination role andresponsibility for their development is best placed; identify occupational sectors and trainingprograms in which occupational standards, training standards, and curricula will need to bedeveloped, or refined, in response to enterprise (industry) needs; review curricula, learningresources, and training materials development in the priority areas offered by the pilot schools

and/or colleges to be financed under the project; recommend improvements to increaserelevance and quality, including the development of CBC developed from occupationalstandards; review curriculum and/or programs to ensure that they include environment relatedsubjects (e.g., environmental sustainability and energy saving policies) to support Shanxistransition to a low-carbon society; introduce concepts of competency-based instruction througha workshop with ISCs (TVET groups), including industrial partners, TVET instructors, TVETadministrators, by drawing on the experience of other World Bank and AusAid projects inChongqing, Guangdong, Liaoning, and Shandong provinces; conduct a gender analysis of theTVET sector, including an analysis of gender barriers in trades and occupations, and identifyareas where further studies and capacity building are required; develop the CBC framework,and costed and time-bound CBC development plan for two priority sectors (mining andequipment manufacturing), including the activities, the expertise, partnerships, and institutional

support required; prepare a list of subjects and programs in the project TVET institutions whichwill be upgraded under the ensuing loan and make recommendations about consulting servicesrequired to support curriculum related capacity building and interventions under the ensuingloan; with the team leader, recommend changes and investment activities to make trainingprograms more relevant to labor market needs. The experts will analyze the extent to whichTVET schools are focusing on developing skills that enhance employability, such as creativethinking, entrepreneurship, communications and relationship management, information andcommunication technology (ICT) skills, and work-related soft skills; and will makerecommendations for developing such skills within TVET institutions, including entrepreneurshiptraining, both for the formal TVET programs and for the short-term training programs. Theconsultants will review the current student assessment methods used by TVET schools andcolleges in Shanxi and other provinces (Chongqing), including feedback from administration,

trainers, and industry representatives; review the policy related to assessment and reporting inTVET and provide recommendations and changes to upgrade the policy to meet therequirements of a competency-based assessment system; recommend improvements toincrease relevance and quality, including the development of competency-based assessmentmethods and tools; provide suggestions to plan the transition from traditional examinations tocompetency-based assessment methods; include recommendations for quality assuranceapproaches (e.g., verification of assessment) to ensure the validity and reliability ofcompetency-based assessment; explore and make judgments on the usefulness of trialingassessment item banks and/or databases for project schools and/or colleges; provide details ofthe training requirements for pilot schools/colleges in the transition to a competency-basedassessment and reporting system; develop implementation plan for a new approach (CBC) toassessment of student performance; and perform other tasks as may be reasonably assigned

by ADB.

TVET Teacher Training Expert(international, 1.0 person-month)

10. The consultant will have experience and knowledge of teacher and trainer employmentand training system both in the PRC and internationally and have more than 15 years ofrelevant work experience. The consultant will examine international models for the training ofvocational instructors and TVET trainers and will assess the existing system in Shanxi, includingthe organization of the system for teacher and trainer training; the appropriateness of existing


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teacher training qualifications, standards, and competencies; the quality and relevance of TVETteacher and trainer training programs, curricula and pedagogical approaches, including thedegree of practical and theoretical curriculum content; the role of the provincial educationagency in the teacher and trainer training system; skill gaps of existing teachers and trainers,both in teacher training institutions and in TVET institutions; and the appropriateness of existingpay, and employment and recruitment policy and practices for teachers and trainers. The

experts will conduct a gender analysis regarding gender dimensions of the TVET faculty,training opportunities for faculty, etc., and will identify areas where further studies and capacitybuilding are required. The experts will draw on the experience of the World Bank, AusAid, andDeutsche Gesellschaft fr Internationale Zusammenarbeit (GIZ) projects in TVET in the PRC(e.g., Guangdong, Liaoning, Shandong, and Chongqing provinces) and other ADB-funded TVETprojects in the PRC, and identify relevant lessons for the proposed project. The expert willrecommend policy changes and project investment activities to improve the quality of teachingand trainer training and increase the number of TVET teachers and trainers. The consultant willalso review proposed teacher and trainer training arrangements and the training activitiesproposed by the project vocational schools/colleges, and identify specific staff developmentactivities for teachers and trainers. The experts will help prepare a procurement plan for thissubcomponent, provide guidance and support in preparing procurement documents for this

component, and perform other tasks as may be reasonably assigned by ADB.

Labor Market and Skills Mapping Experts (international, 1.5 person-months; national, 2.0person-months)

11. The international labor market and skills mapping expert will have at least 15 years ofexperience and the national consultant will have at least 10 years of relevant experience. Underthe team leaders guidance, the international consultant will be responsible for undertaking thelabor market assessment and will be responsible for overseeing all aspects of the labor marketassessment, including the development of the survey methodology, the preparation of requiredsurvey tools (e.g., questionnaires and training materials), training for survey staff, and theexecution of the selection of the organization to carry out required surveys. The consultant will

review previous labor market assessments and studies undertaken in Shanxi to identify theirrelevance to current circumstances; review and assess existing sources of information on thelabor market in Shanxi, including the demand for, and supply of, skills, using informationavailable from SED, Shanxi Provincial Development and Reform Commission, Shanxi LaborDepartment, and other sources; undertake and/or oversee assessment of labor market inShanxi, including development of the scope of the labor market assessment, nature of survey(s)to be conducted, preparation of the terms of reference for required surveys, development ofsurvey design and methodologies (i.e., employment elasticity, labor demand function, etc.),preparation of survey tools, training programs and training manuals, execution of surveys andother studies as required, and preparation of labor market projections for the period 20122017and other relevant labor market studies; organize workshops and undertake consultations withgovernment officials, the private sector, TVET providers, TVET students, TVET sector

stakeholders, and displaced workers and migrants; prepare and/or oversee preparation of draftand final labor market assessment reports; work closely with the private sector and theprovincial government to determine strategic skill areas, taking into account plannedinvestments by the government in the 12th Five-Year Plan and will assess the prevailing genderpatterns in the labor market; assess the existing labor market information system and the TVETinformation platform; identify weaknesses in the institutional, legal, and regulatory framework fordevelopment of an improved labor market information system; and perform other tasks as maybe reasonably assigned by ADB.


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Industry Liaison Expert (international, 1.0 person-month; national, 1.0 person-month)

12. The industry liaison experts will have at least 10 years of experience in developingsuccessful education/training and industry partnerships. With regards to industry sector councils(ISCs, also referred to in Shanxi as TVET associations or TVET groups), the expert will (i)provide an overview of the concepts, key features, and drivers that provide a viable way of

establishing ISCs and formalizing their role; (ii) in partnership with key stakeholders, determinethe composition of the ISC Boards in priority sectors for Shanxi province; (iii) in partnership withkey stakeholders and based on best practice, define the services to be provided by each ISC(e.g., setting TVET policy, designing sector related strategies, etc.); (iv) provide a detailed list ofproject interventions and a corresponding timeline of deliverables by the ISCs in priority sectorsover the project period; (v) develop recommendations for capacity building for ISCs under theproposed project; (vi) outline the policy and procedures that will be required for the optimaloperation of the ISCs; (vii) provide an overview of the current enterprise-training providerpartnerships in project schools and in a sample of non-project schools, to identify main forms ofpartnerships; (viii) undertake a gap analysis of what is missing in terms of optimal functioning ofenterprise-training provider partnerships in the project schools; (ix) develop policy andinvestment recommendations to facilitate enterprise-training partnerships in project schools

under the project; (x) conduct FGDs with employers, ISCs, TVET administrators and faculty,and relevant government agencies on industry partnerships; (xi) develop an implementationplan for industrytraining provider partnerships under the project; (xii) prepare a report thataddresses the issues above; and perform other tasks as may be reasonably assigned by ADB.

Public-Private Partnership Expert (international, 0.5 person-month)

13. The expert will assess the current status of and a potential for industry-training providerpartnerships and private-public partnerships (PPPs) in TVET in Shanxi. With regards to PPPs inTVET, the expert will (i) provide a brief overview of the concepts and key features of PPP thatprovide a viable way of determining industry buy-in to the TVET system; (ii) investigate anddescribe the role of government as a facilitator, regulator, and policy setter for the development

of PPP; (iii) investigate the needs of industry for high demand skills and upgrading of theircurrent workforce in priority sectors; (iv) identify key roles of industry and the means forfostering and developing industry participation for improving the quality of TVET; (v) provide anoverview of best practice for undertaking consultations with industry as equal partners in thedevelopment and operation of PPP; (vi) explore a potential for PPP in TVET in Shanxi, (vii)prepare a report that addresses the issues above; and (viii) perform other tasks as may bereasonably assigned by ADB.

TVET Information and Communication Technologies Expert (international, 1.0 person-month; national, 1.0 person-month)

14. The TVET ICT experts will have 10 years of experience in ICT for education, particularly

TVET. Under the team leader's guidance, the experts will review project proposals for using ICTfor TVET. The experts will introduce the international best practice of using ICT in TVET. Theexperts will the review the current processes of using ICT in TVET, including use of flexible andblended delivery, computer-assisted learning, simulated learning, and distance learning. Theexperts will review quality assurance mechanisms for developing, uploading, and updating thecurriculum online; select a sample of existing online TVET courses; and assess the coursesyllabi, learning guides and materials, user interaction, feedback functions, M&E mechanisms,and impact on the learning outcomes; and solicit feedback from users of the online TVET usinginterviews, focus discussions, e-mail, etc. The experts will provide recommendations on


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introducing international best practice for ICT in TVET and for improving the functions,requirements, and M&E of the ICT systems for the proposed project, and will perform othertasks as may be reasonably assigned by ADB.

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