Escolar Documentos
Profissional Documentos
Cultura Documentos
Contents
Technical Requirements .......................................................................................................................4
A. Background......................................................................................................................................4
1.0
2.0
3.0
4.0
5.0
6.0
Options.......................................................................................................................................... 81
Current forms ................................................................................................................................ 81
1.5.1.
1.5.2.
1.5.3.
1.5.4.
1.5. Input screen for external user (B/R) for online approval .....................................................82
1.6.
1.7.
1.8.
1.9.
1.10.
1.11.
1.12.
1.13.
1.13.1.
1.13.2.
1.15.1.
1.15.2.
Form: ........................................................................................................................................ 99
Warning messages................................................................................................................. 100
Background....................................................................................................................................... 143
Functionality for portal ..................................................................................................................... 143
Background....................................................................................................................................... 147
Functionality for portal ..................................................................................................................... 147
Background....................................................................................................................................... 149
Functionality for portal ..................................................................................................................... 149
Background....................................................................................................................................... 152
Functionality ..................................................................................................................................... 152
Background....................................................................................................................................... 155
General Requirements ...................................................................................................................... 155
Overview of pages in portal and links ............................................................................................... 156
My portfolio ...................................................................................................................................... 158
Project at a glance ............................................................................................................................ 165
Financing overview ........................................................................................................................... 166
Disbursements .................................................................................................................................. 169
Debit Advice ...................................................................................................................................... 171
Designated Account or Advance Account ......................................................................................... 171
Total IFAD disbursements to borrower or recipient......................................................................... 174
Financing Status .............................................................................................................................. 175
Individual Loan Status...................................................................................................................... 178
Generation of Billing Statement ...................................................................................................... 180
Instalment Schedule ........................................................................................................................ 180
Appendix 12 Roles..........................................................................................................................187
Technical Requirements
A. Background
1.0
2FA
Two-factor authentication
AA
Authorised Allocation
API
Application Programming Interface
AWPB
Annual Work Plan and Budget
BI
Oracle Business Intelligence
BPM
Business Process Management
B/R
Borrower or Recipient
Borrower Portal Refers to the Borrower/Recipient Portal
Checker
The role in FX which approves a transaction
CFS
Controllers and Financial Services Division
CGIAR
Consultative Group for International Agricultural Research
CPM
Country Programme Manager
DC
IFAD Data Center
DRC
Disaster Recovery Center
EJB
Enterprise Java Beans
EUR
Euro
DSBL
Disbursable
DW
Datawarehouse
EC
European Commission
EOD
End of Day closure process in FX
FA
Finance Assistant
FMA
Financial Management Application (currently under development)
FO
Finance Officer
FX
Flexcube the system used for recording withdrawals from loans and grants.
GARTS/ARTS Grant Audit Report Tracking System / Audit Report Tracking System
GRIPS
Grant and Investment Projects System
GTC
General Terms and Conditions for the Procurement of Services
GUI
Graphical User Interface
HIPC
Heavily Indebted Poor Countries
ICOs
IFAD Country Offices
IFAD
International Fund for Agricultural Development
ICT
Information and Communications Technology Division
Maker
The role in FX which initiates a transaction
NCSC
National Computer Security Center
NGO
Non-Governmental Organization
OFID
OPEC Fund for International Development
OPEC
Organization of Petroleum Exporting Countries
PDF
Portable Document Format
PID
PLF
PMD
PMU
Portal
Purchaser
PS
RBD
RFD
RFP
RMS
RIMS
SDR
SOA
SOAP
SOE
Supplier
USD
VAMI
WA
WATS
2.0
The Purchaser
About IFAD
The International Fund for Agricultural Development (IFAD) is a specialized agency of the
United Nations with its Headquarters in Rome, Via Paolo di Dono 44, 00142 Rome, Italy.
IFAD was established as an international financial institution in 1977 to finance agricultural
development projects primarily for food production in the developing countries. IFAD's mission
is to enable poor rural people to overcome poverty and is dedicated to eradicating rural
poverty in developing countries. Working with rural poor people, governments, donors, nongovernmental organizations and many other partners, IFAD focuses on country-specific
solutions, which can involve increasing rural poor peoples' access to financial services,
markets, technology, land and other natural resources. It is a not-for-profit institution which
relies on funding from its Member States.
More detailed information regarding IFAD is available in the Organizations website
(http://www.ifad.org). In particular, the latest IFAD Annual Report and The Agreement
Establishing IFAD can be downloaded from the website.
In order to fully understand the business requirements for this Borrower/Recipient (B/R) Portal
project it is important to be familiar with the terminology used within this document. The
attached link provides information in an eLearning platform on Financial Management of
projects. Key stages within the project as well as the overview of certain procedures are
provided. http://www.ifad.org/elearning_cfs/index.html
Objectives of this RFP
The purpose of this RFP Lot 1 is to engage a software development supplier for the
implementation of a secure, single-window IFAD Borrower/Recipient Portal for providing
access to B/R specific information and transacting business with IFAD that will integrate with
several underlying IFAD systems. The RFP seeks a software supplier that has the capacity and
knowledge to conduct requirements analysis, detailed design, development, testing, and
training of IFAD staff, deployment and support for the IFAD Borrower/Recipient Portal System.
(Note that this RFP has four lots: Lot 1 The Borrower/Recipient Portal; Lot 2 Two Factor
Authentication; Lot 3 End User Helpdesk; Lot 4 Rollout Support.)
IFAD now invites sealed bids from eligible Suppliers for the Lot 1 project for:
Supply, Implementation, Rollout and Support of the IFAD Borrower/Recipient Portal system.
The project includes:
1.
2.
3.
4.
5.
6.
7.
Integration of the application software with the two factor authentication solution in
Lot 2;
8.
Integration with other internal IFAD systems as specified. IFAD will build and expose
the web services for the IFAD systems to integrate with the new application
software, the supplier shall use the web services provided to integrate the solution
with the IFAD systems;
9.
Development of training materials for the different roles in the Borrower Portal;
conduct training for internal IFAD staff; provision of system and technical
documentation to IFAD as part of knowledge transfer plan;
10.
11.
Implementing Spanish and French as additional languages in the Portal in Phase 1.5
of the project, after the go live of Phase 1. The Supplier shall provide the costing for
adding Spanish and French as languages to the Portal as a separate line item in the
cost table. In addition, the Supplier shall provide the cost of adding Arabic to the
Portal after Phase 2 go live.
No Commitment
This RFP does not commit IFAD to award a contract or to pay any costs incurred in the
preparations or submission of proposals, or costs incurred in making necessary studies for
the preparation thereof or to procure or contract for services or supplies. IFAD reserves the
right to award only a portion of the requirements and to award separate or multiple
contracts for the elements covered by this RFP in any combination it may deem appropriate.
3.0
The Supplier's Project Manager must have a minimum of ten (10) years experience in a
project manager role with at least two (2) successfully completed projects of similar size
and technology as project manager,
and
2.
Joint Venture
In the case of a Joint Venture, the partner responsible for application software development
must be designated the lead partner and the financial figures for all joint venture partners
shall be added together to determine the Suppliers compliance with the minimum
qualification criteria for financial and technical capability. For a Joint Venture to qualify, the
lead partner must meet at least 50 percent of the financial capability (turnover and
liquidity).
Regarding experience and technical capability, each Joint Venture member must by itself
have completed at least two (2) successful contracts involving exercise of the skills for which
it has been included in the Joint Venture, preferably concerning the supply, implementation
and support of a large-scale web application of similar functional/technical characteristics
and of a comparable scale. The lead partner must demonstrate at least one (1) successful
experience with a large scale web application deployment.
Failure to comply with these requirements shall result in the rejection of the Joint Ventures
bid. Subcontractors experience and resources shall not be taken into consideration.
4.0
Those concerned with the management of the borrowing (e.g. Ministry of Finance)
Over time it is expected that the number of users of the Portal will be in the region of 4,000.
IFAD currently uses Oracle Flexcube for the recording of financial transactions related to
loans and grants. This is interfaced directly to Peoplesoft for the accounting of the
transactions and the recording of cash management transactions. In addition, reporting is
provided through ad-hoc reports designed in Oracle Business Intelligence.
The Borrower/Recipient Portal will provide a suitable platform that can be integrated with
Flexcube through a web-based front end to facilitate B/R self-service and submission of
requests.
Furthermore, given that the Portal will be used by Borrowers and Recipients to request draw
downs on loans and grants (i.e. request payments) it is critical that the Portal is established
on a secure platform with access security arrangements that will be fully tested and
approved by the IFAD technical team.
The Portal is expected to deliver functionality to route requests for review and approval to
appropriate roles both external and internal to IFAD, also based upon information held in
other systems internal to IFAD. Any routing of requests will need to be completely
configurable in order to ensure that the system is sufficiently flexible to allow for the
development of IFAD processes. Currently IFAD uses an in-house developed system for the
routing of withdrawal applications (Withdrawal Application Tracking System WATS) and it
is expected that this will be replaced by the functionality in the Portal.
The Portal will be accessed by users in a large number of countries with varying levels of
connectivity and bandwidth even within a country. Hence it is important that any
functionality available to external users be light on bandwidth and does not require the user
to stay on line for extended periods of time.
10
Roles
The Portal will require the creation of the following user roles:
Viewer-B/R:
Author
11
Authorizer:
Validator:
Uploader:
Reviewer IFAD:
Approver:
Viewer IFAD.
Access Administrator Borrower/Recipient:
Administrator IFAD
5.0
12
a) Evaluation of bid responses will be undertaken in accordance with the evaluation criteria sheet.
b) Application Design and Development Requirements will be evaluated based on i)
comprehensiveness of response ii) demonstration of technical depth iii) simplicity of design iv)
leveraging out of the box functionality of underlying tool components v) configurability of
systems vi) maintainability of applications.
c) Functional and Business Requirements for Phase 1, Phase 1.5 and Phase 2 will be evaluated
based on i) comprehensiveness of the solution ii) understanding of business functionality iii)
elegance of proposed solution iv) integration approach.
d) Strategic Alignment with IFAD IT Directions will be evaluated on the degree of alignment with
IFAD IT Directions and market positioning including i) Enable IFAD to build future proofed,
secure, expandable large-scale web-based applications with a high degree of usability or userexperience ii) Allow for future application delivery through mobile channels iii) Enable shift to
Cloud Computing iv) Enable Social networking for IFAD staff and external actors (Borrowers,
International Financial Institutions, experts) v) Enable seamless integration without complexity.
e) Supplier Services will be evaluated based on the quality of the team and the approach and
methodology proposed for the project and on-going support.
f) Supplier Experience and Client References will be evaluated based on the relevance of the
experience, and the comparability of the client systems to IFAD's Borrower/Recipient Portal
requirements.
g) Hardware and Software bids will be evaluated based on alignment with existing IFAD
infrastructure and market positioning.
6.0
The Purchaser shall pay the Contract Price to the Supplier in the manner specified below. Except as
otherwise noted, all payments shall be made for the portion of the Contract Price corresponding to
the goods or services actually Delivered, Installed, or Operationally Accepted, per the Contract
Implementation Schedule, at unit prices and in the currencies specified in the Price Schedules of the
Contract Agreement. Payments will be made after Purchaser's approval of the goods or services
delivered and as per GTC Clause 7.
(a)
Advance Payment
A maximum of ten percent (10%) of the Contract Price for Phase 1 and Hardware, exclusive of all
Recurrent Costs, shall be paid at inception of project against Suppliers Bank Guarantee. The Supplier
shall provide a Bank Guarantee equal in amount and currency to the advance payment, and valid
until the Borrower Portal System is Operationally Accepted (see GTC clause 17 for Bank Guarantee
requirements).
(b)
Progress Payments
Payments for the remaining Contract Price, exclusive of all Recurrent Costs, will be paid against
achievement of project milestones as follows:
(i) Hardware
1. Physical delivery of hardware onsite at IFAD Data Center: 50%
13
(iii) Phase 1.5 Software and services for adding French and Spanish to the Portal:
1. Operational Acceptance Phase 1.5: 100%
20%
14
Application Integration platform: Application Integration platform provides software for SOA
environments that enables dynamic, interconnected business processes, and delivers
effective application infrastructures for all business situations. Integration software platform
should include the entire middleware infrastructure, including servers, services, and tools,
needed to create, deploy, run, and monitor round-the-clock, enterprise-wide web
applications and cross-platform, cross-product solutions.
Business process management is all about collaborating between business and IT to build
better processes to increase business agility and improve customer satisfaction. These BPM
tools should enable IFAD to optimize business performance by documenting, deploying and
continuously improving end-to-end business processes.
Identity and Access Manager.
Relational Database: Oracle RDBMS is the IFAD standard.
Reporting and Analytics: A flexible reporting tool that enables easy to use report generator
with drill-down capability and
Security integration with an industry standard Two Factor Authentication (2-FA) solution
able to be leveraged and integrated with other corporate platforms.
IFAD has narrowed down the technology choices for Lot 1 to the following two leading industry
vendor product lines:
1. IBM WebSphere
2. Oracle WebCenter
Supplier should ensure that their proposed solution and technology choices cover the full range of
software components required to build and support the IFAD Borrower/Recipient portal including
application servers, web servers, business process management, identity and access management,
information security and integration with IFADs existing IT infrastructure.
Note that the Purchaser reserves the right to award only a portion of the requirements and to award
separate or multiple contracts for the elements covered by this RFP in any combination it may deem
appropriate.
Application Design Requirements
1-ADR
1-ADR-01
IFAD requires a web-based custom solution that will meet its business
needs and be built on the proposed IFAD technology platform. All
modules should be fully and seamlessly integrated with one-time data
entry. The Borrower/Recipient Portal should have a high level of
usability with a common look and feel achieved through an intuitive
graphical user interface (GUI).
The Portal shall be browser agnostic, and support at least Chrome,
Firefox and Microsoft IE. The portal architecture and design should
The Portal must be fully integrated with IFAD internal systems including
Flexcube, PeopleSoft, Sharepoint, DataWarehouse and other systems
listed under integration requirements.
1-ADR-03
1-ADR-04
1-ADR-05
1-ADR-06
End User Help Functionality: The Portal shall provide End-user help
functionality including online context sensitive help, documentation of
functionality,and extended help for error/warning messages for all user
and operator functions. The Supplier is responsible for creating the help
materials, in consultation with Purchaser's subject matter experts.
The Portal shall provide the ability to publish help information (FAQs,
definitions, ) that are easily accessible from the Portal by users, with
authorized IFAD staff being able to update/publish help information
directly to the Portal.
15
WorkFlow & Messaging: The Portal shall provide workflow and alerts to
users who need to take action within the system. The Portal shall
provide for managing workflow processes including escalation and
exception alerts.
1-ADR-08
1-ADR-09
1-ADR-10
1-ADR-11
1-ADR-12
Access Control
a. The Portal solution shall require a logon with a valid user ID and
Password and it must integrate with the 2-Factor authentication
solution in Lot 2. The system must be able to support a single
signon experience for internal IFAD users by integrating with
Microsoft AD.
b. The system shall provide users a self-service facility to reset
passwords, while adhering to best practice security principles.
c. The system shall enforce sound password management that
16
The system shall provide full audit trails for all activities within the
system, including system accesses and messages sent and received
and reports.
The system shall provide for the management of all Portal users
(both internal to IFAD and external) and their access privileges and
alerts such as:
j.
1-ADR-13
The system shall have the ability to restrict access to critical data
based on user-roles to prevent unauthorized use and to audit
changes to data within the system. The system should provide audit
trails for transaction updates and retrieval of designated critical
data. Audit trails will identify all information by:
user identification
network terminal identification
date and time
kind of data accessed or transaction executed.
Reporting and Analytical Functions
A major consideration for the IFAD Borrower/Recipient Portal system is
its reporting capabilities. IFAD wants to ensure that the system provides
full flexibility in report production and that running large reports does
not impact system performance.
A comprehensive suite of reports shall be provided as indicated in the
Reports business functionality section. All standard reports shall be
parameter driven and provide for a range of data selection, grouping,
aggregation, and sorting.
17
1-ADR-15
User Experience with data entry: The system should automatically save
any data entered by the user at frequent intervals (say every 30
seconds). This auto save and any saves made by the user during input
will not cause data validations to take place. Where data validations
exist within a process, the user will be required to submit the request
for validation as a separate step.
2-HDR
2-HDR-01
High level design and systems architecture: The Supplier shall submit a
high-level design and systems architecture of application and
integration components. The architecture must clearly depict all
components and show integration points with internal systems.
2-HDR-02
2-HDR-03
18
19
4-GTR
20
21
Comprehensive Reporting
General
C05
The detailed requirements for Reporting are included in Appendix 9.
C10
Access to Reporting will be granted through a User/password for basic functionality
which do not allow to enter or approve transactions but access mainly reporting.
However, 2FA may be required at IFAD discretion for reporting as well.
C15
The following users will have access to Reporting:
Borrowers Viewer
Borrowers Author
Borrowers Authorizer
Uploader
Validator
Reviewer - IFAD
Approver
Administrator
C20
The information to be made available should be presented in a modern user
friendly fashion in a dashboard format.
C25
The reports should be made available so that the user can run and obtain up-to
date information.
C30
There should be links between areas facilitating user navigation.
C33
Access of users to reports will be limited to projects, countries, recipients, funding
source or a combination of these three, depending upon the overall access of the
user.
C35
Once a user has selected a single type of financing, navigation to different areas
should keep the same financing proposed with the option to select another
(depending on the access of the individual).
C40
There should be the possibility to export and download all reports and pages to
excel.
C45
Where information is generated on a periodic basis (for example the billing
statements and debit advices), notifications should be generated to inform the user
that the information is available on the portal.
C47
5-CRP-02
22
Some reports currently exist in Oracle BI. If the Supplier proposes to expose BI
reports directly to Portal users, then additional BI licensing requirements for Portal
users must be included in the Supplier proposal. Otherwise reports will have to be
written for the Portal using the reporting tools proposed by the Supplier.
My portfolio
C55
My portfolio will be the point of access of users
C60
If a user has access to more than one project or country, there should be the
possibility to search for financing. The results of the search will depend upon the
access of the user. If the user has access to only one project the information will be
shown directly.
C65
The user will also have the possibility of designating financings as favourites to
avoid having to search every time.
C70
Depending on the access of the user or the search carried out a list of projects will
be presented together with graphs and pie charts comparing financed amount with
disbursed amount.
5-CRP-03
Project at a glance
C72
This page is designed to provide an overview on a project by project basis. Full
details of the information to be shown has yet to be defined, however an example
is shown in Appendix 9. Project information is available from Peoplesoft GRIPS.
5-CRP-04
Financing overview
C75
This page will provide an overview of the financing accessing standing data
(reference data) in FX.
C80
There will also be the status of funds which is a report currently available in BI. The
report format has been amended slightly for presentation in the Portal. This report
needs to be amended to display the status of funds in other currencies if selected
and to include the percentage financed by IFAD
C85
The financing Overview should default to be in the currency in which the financing
is denominated, be it SDR, USD, EUR or other
C90
The user will have the possibility of changing the currency to one of SDR, EUR, USD
or local currency for the country concerned
C95
Where the currency is changed from the denominated currency all figures will be
calculated at the current exchange rate of the date that the information is
provided. A message will be included explaining the exchange rate used.
C100
In converting the status of funds from the denominated currency to the currency
selected by the user, the following exchange rates should be used:
Allocation: as at the date of approval
Disbursed: composite of actual exchange rates at the date of disbursement
for conversion to USD. For other currencies to use the exchange rate at the
23
Disbursements
C105
This page will give details of the disbursements as a dashboard for the financing.
Historic information will be provided and the total of disbursements will agree to
the Total Utilized on the Financing Overview page. The current report which exists
in BI is the Historic Transaction Report.
C110
The users will be able to export the information to excel.
C115
The explanation notes on the Historic Transaction Report will be included as a
footnote.
C120
Once electronic Submission for WA has been implemented any WA processed
through the Portal will have the link to the WA notification/form used for
submission.
C125
Users will be able to sort the WA by any of the header fields.
C130
From the payment, there will be a link to self-service to generate the relevant debit
advice
C135
The user will also be able to run the report as of a specific date. This report will be
exportable to excel.
5-CRP-06
Debit advice
C140
The user will have the ability to re-generate a debit advice. If a payment is selected,
the relevant RFD field will be automatically populated. The user will also be able to
change the financing number and other data in order to use self-service and
generate the debit advice.
5-CRP-07
24
DW.
C150
A customization is required in Flexcube whereby a flag is introduced to the Payee
Instructions form to be able to identify the relevant accounts as designated and/or
advance accounts, in order to overcome the issues noted in C145. This Flexcube
customisation will be handled by IFAD
C155
Where the B/R uses pooled Treasury accounts for multiple projects, the Portal
should also provide information on an aggregated basis. This information is not
maintained in current IFAD systems, hence the Portal should contain the possibility
for an IFAD Role ( Validator or Approver) to indicate that Pooled Treasury accounts
are used and then select the projects and financing which are linked to that Pooled
Treasury account. The Validator or Approver will maintain a list of pooled Treasury
accounts in the Portal for a country and link financings to a pooled account.
C160
If Pooled accounts are selected then there will be a page with the pooled accounts
which adds up all the information on the bank accounts for C145 and presents it on
an aggregated basis. [Note: This report should be reconfirmed before design starts.]
5-CRP-08
5-CRP-09
Financing Status
C165
Users should be able to access the Financing Status directly (i.e. as a point of
access) as well as from the My portfolio page or the Financing Overview page.
C170
The purpose of this area is to give Borrowers information on loans and how much
has been repaid. As a result, access to this page will be more limited and it is not
expected that the PMU will have access
C175
The access of Borrowers will be linked to the information for the specific country
and hence accessing the financing status page will cause a summary of all loans to
be generated. There exists a current report in BI Loan Disbursements and
Repayments Report which provides the information required. However, this will
be presented in a more user-friendly fashion.
C180
The information will be hyperlinked to the disbursement page for disbursements
and to the Individual Loan Status page (see below) . Amounts billed will hyperlink
to the page for the generation of the billing statement (see separate section
below).
C185
25
The user will also be able to run the reports as at a specific date or for a specific
period.
5-CRP-10
5-CRP-11
5-CRP-12
Instalment Schedule
C210
Borrowers will be able to obtain instalment schedules for each of the loans by
clicking on the specific loan and at a total level by Borrower. The report available in
BI for the individual loans is Loan Instalment Schedule and this is not available on a
total basis. Furthermore, where loans were in existence at 1 November 2013 (date
of implementation of FX at IFAD) the first instalment represents all the previous
instalments billed as a lump sum. Hence this report will require modification before
being presented in the Portal.
6-ADC
6-ADC-01
26
D20
Under the Operational Reference Documents there will be directories for the
following documents with links to the documents themselves:
Design documents
Supervision reports, mid-term review reports and other official mission
reports
D22
Under the Documents from the Borrower or Recipient there will be directories for
the following documents with links to the documents themselves
Audited financial statements
Interim financial statements
Subsidiary Loan Agreement
Implementation Agreement or Memorandum of Understanding
6-ADC-02
6-ADC-03
Operational documents
D65
The documents required are currently published on the IFAD Internet (public) site.
D70
The documents should be accessible directly from the relevant project and
financing as described in D05, through the Operational Reference Documents area.
7-WAD
7-WAD-01
27
Process - Submission of WA
B10
In order to submit a WA the banking instructions need to have been inserted and
approved in FX. In this way only approved banking instructions will be available to
the B/R.
B12
The proposed process flow for the submission of Withdrawal Applications and the
detailed requirements for the submission of Withdrawal Applications is included in
Appendix 1.
B14
In order to submit a Withdrawal Application the B/R is required to complete certain
mandatory forms. These are Form 100, Summary Sheet, Form 101, 102, 104 (A or
B), 105. Recipients of non-country grants are required to submit a statement of
expenditure as well as Form 100. An example of each of these forms is provided in
Attachment 5 to Appendix 1. The standard Form 100 has been modified for the eSubmission of WA in the Portal for ease of presentation of data. Only the Form 100
28
29
7-WAD-04
30
B60
Various system validation checks will take place to ensure the completeness and
accuracy of information included. These validation checks are all currently available
in FX. Some are currently activated in FX at the point of entry of data and some are
at the point in which a transaction is saved. These system checks are detailed in the
eSubmission of Withdrawal Applications Appendix 1.
B70
User friendly notification will be created to summarise the information on the
mandatory form for review and approval.
B75
The Portal will include automatic routing:
To an external approver (Authorizer) if Form 100 is initiated by an external
user and is to be approved online.
To IFAD if Form 100 is initiated by an IFAD user (i.e. there should be the
possibility for IFAD user to insert data in Form 100 from the paper form
and this will not require to be approved by the Authorizer)
B80
The Portal will include workflow to route the request as necessary between the
various actors. Any notification needs to be completely traceable. The request will
pass through different stages and statuses in the workflow and the B/R view of the
Portal must include the current status of the request.
B83
Where online approval is used, there will be a workflow for initiation and approval
at the borrower/recipient level prior to submission to IFAD. This approval will take
place within the Portal.
B85
It should be possible to amend the routing rules associated with workflow requests
should it be decided that certain value/type or risk of WAs need to be routed
differently. This is particularly valid for the certification by the CPM (Reviewer
IFAD role). Hence this routing needs to be completely configurable. Full details of
the routing required is defined in paragraphs 1.16, 1.17 and 1.18 in Appendix 1.
B95
Form 100 is to be fully printable also as a pdf.
B105
Any request submitted will pass through a series of predefined validation checks
which may give rise to warning messages being created.
B110
The notification for review by IFAD will differ to that of the B/R in that additional
information will be included (from BI, Financial Management Application - FMA) as
well as any warning messages arising from the point above.
B115
The Validator and Approvers will have the possibility to insert comments, route
them back to the B/R or forward to the Approver.
B120
The Validator only will have the possibility of reducing the total amount of the WA
as well as the allocation to categories. When the WA has been reduced the
transactions created in FX will be for the reduced amount. At the same time, once
the transaction is approved information on the amount reduced will be interfaced
to FMA as ineligible expenditure.
B125
The Portal will include a completely configurable workflow for risk based
31
disbursements. The routing of the request will depend upon the risk rating (which
will be interfaced from the FMA), materiality both relative to the underlying
financing and in absolute terms, type of payment e.g. first disbursement. If the risk
category changes, this should automatically change the process checks and flows
associated with subsequent WAs.
B130
The Portal will include a completely configurable workflow for straight through
processing1. This will be a future option for IFAD and so the system should be
designed in such a way to allow straight-through processing of withdrawal
applications based upon certain criteria in the workflow (see B125)
B135
It will only be possible for the B/R to amend or add information to a WA which has
been submitted if it is released for editing by IFAD. The WA will require reapproval
if any of the input fields are changed. If the only change is to upload additional
scanned documents the WA will not be routed for reapproval but it will be possible
to submit directly to IFAD.
B140
The B/R will be able to delete or modify any WA prior to being submitted to IFAD.
B145
There will be a workflow for up to two stages of approval by IFAD depending on the
risk, type and value of the WA
B150
Upon final approval by the Approver of the WA an approved transaction will be
created within FX. [This assumes that the maker and checker functionality can be
combined in FX for transactions generated by the system. If this is not possible an
unapproved transaction will be created in FX for approval by the Checker]. Given
that there are certain periods of the day or month in which transactions cannot be
input into FX (i.e. during EOD or the billing cycle), requests will be staged pending
interface into FX. If it is not possible to create an approved transaction in FX then
notifications will be generated for any transactions which remain unapproved for
more than 6 hours and a list will need to be available to the Checker to be able to
trace the transaction in FX.
B155
Where the withdrawal application has been submitted at the project level, there
needs to be as many transactions in FX as the FX Accounts which have been
selected. Where more than one request for payment has been made in a WA, there
will be as many transactions created in FX as different bank accounts to which
payments are to be made..
B160
There will be reports available in order to ensure that the interface to FX has
worked correctly and to allow IFAD staff to follow up on any transactions which
have failed the interface. The system should provide a set of control and tracking
reports of which this is one.
B165
Risk ratings will not be initially visible to B/R, however there should be the
possibility of making this information available in the future.
B170
1
Straight through processing refers to the process whereby the B/R submits a request to IFAD, the system will
auto-approve, a transaction is created in FX and the payment is processed, with no intervention from IFAD
staff.
32
At each stage in the approval workflow, the notification will capture the names of
the people who have approved and their role as well as the time and date of the
action taken.
B173
There should be audit trail for initiation and approvals given within the system.
Such information will need to be maintained and fully accessible by IFAD staff for
audit purposes.
B175
Worklists will be available to IFAD users of notifications to be actioned with key
information for each notification. The list will be completely searchable to allow
notifications to be retrieved easily.
B180
At certain key steps within the process email notifications will be sent to email
addresses of the B/R. At the same time there will be an area within the Portal for
communication and a short description of the notification will be included.
B185
The Portal is expected to integrate with current IFAD systems as follows:
With Flexcube: to obtain standing data see separate attachment 1 to
Appendix 1 - detailed requirements for eSubmission
With Flexcube: to generate transactions: Requests for Disbursements,
Justifications, Category Reallocations
With FMA in order to obtain data: Risk rating, Ineligible expenditure,
With FMA in order to pass data: Ineligible expenditure identified
With GARTS/ARTS: Audit reports pending, Action plan in place and on time
With the identify and access management system to obtain information on
who notifications/requests are to be routed to for country financing;
With GRIPS to obtain information on who notifications/requests are to be
routed to for non-country financing
With Microsoft Sharepoint to access, store, replace documents.
With additional IFAD systems.
B187
Certain data will be required to be referenced which is not currently maintained in
any IFAD system, nor is it planned that the data will be maintained in a structure
which would allow the data to be referenced by a system. As a result a database of
additional information will need to be created/defined. For each FX account the
following information will be required: SOE thresholds per category, Start-up costs,
Percentage of AWPB which is to be financed (for revolving funds), Retroactive
financing, Minimum WA amount, Percentage of each category financed by IFAD.
This database must include information from Flexcube to allow cross referencing
e.g. for the SOE thresholds per category, the reference data would be the category
number and description. It is not mandatory that all the fields are completed.
B188
The data at B187 would be input by the Uploader or Validator role and would be
approved by the Approver role
B190
At the relevant point (after confirmation of execution of payment by the bank) the
debit advice is generated and is sent to the B/R via email. This is a current process
available within the IFAD systems. The functionality required to be delivered is that
the B/R will be able to generate the debit advice through self-service available in
the Portal (see C140). An alert in the Portal should trigger an email notification to
the user(s) who needs to view the alert. It should be possible for the user to turn
33
such email notifications of alerts off in his/her profile in the Portal. This will allow
users to control the number of emails they receive about alerts. [ A final decision is
still to be made on whether the sole form of communication will be through alerts
or notifications in the Portal or whether emails will also be sent. So discuss with the
IFAD Project Manager at the appropriate time.]
7-WAD-05
7-WAD-06
7-WAD-07
8-MBI
8-MBI-01
B251
The proposed process flow and the detailed requirements for the submission of
Banking Information are included in Appendix 2.
B255
Access to the banking information process will be granted through a two-factor
authentication process.
The following users will have access to Banking information functionality in the
Portal:
Borrowers Viewer
Borrowers Author
Borrowers Authorizer
Uploader
Validator
Approver
34
B260
There will be a form for the submission of banking information.
B265
The form will have the possibility to upload scanned documents mandatory field
B270
There will be an approval workflow whereby the form is routed to the Authorizer.
B275
At each stage in the approval workflow, the notification will capture the names of
the people who have approved and their role
B280
Once approved the workflow will route the form to the Validator2. The Validator
will insert the banking instructions into FX (Payee Instructions). (Portal Phase 2 will
require the use of Optical character recognition to facilitate the insertion of data in
FX. Refer requirements under Phase 2.)
B285
The banking information in FX will require to be validated by an Approver before it
is available to the B/R for use within the WA process.
B287
There will need to be the possibility to reject the BI back to B/R with request for
additional information.
B290
Notifications will be generated informing the B/R (by email and online) of the status
of the request
8-MBI-02
9-LNO
9-LNO-01
The supplier shall provide advice on how to control and manage the security of the
Banking Information process in the Portal to mitigate as much as possible the risks
of fraud and subversion of funds.
Link to No objection System
B637
There is no appendix in which the detailed requirements for this functionality are
defined.
B640
The requirement in Phase 1 is to be able to access another system (under
development). The Portal should provide a single sign-on experience to the No
Objection System. For Phase 2, the functionality is detailed under 10-SDC and
other Phase 2 functionality.
B665
IFAD is in the process of developing a workflow for No-Objections within the
Scriptoria system. The acceptance of the procurement information (but not
necessarily the procurement plan) will fall into this workflow. To the extent that
this functionality is developed and delivered before the Portal, the minimum
requirements for the first phase of the Portal are that the No-Objection system be
accessible from the Portal via links with a single signon. It is preferable that the look
and feel of the Portal and the No-Objection be similar.
Currently the update of banking instructions is performed by CFS and hence this would be included in the
access of the Validator and Approver. To be decided whether this function should remain in CFS. If not,
separate roles will be required for the update and for the approval of banking instructions.
35
B670
The detailed requirements for Portal Phase 2 need to be clarified, however these
could include the linkage between the AWPB, the procurement plan, No-objections
provided on individual procurement actions and the contract monitoring form
functionality.
After
Phase 2 Functionality
IFAD wants to understand the cost of Phase 2 functionality in detail to enable IFAD to make trade offs
based on budget and priority considerations. The cost table lists the level of detail requested.
10-SDC
10-SDC-01
36
Approver
Administrator
B305
There will be a form for the submission of the Annual Work Plan and Budget. There
will be 3 fields for data entry and a requirement to upload a scanned document
B310
There will be no approval workflow at the B/R level; once completed the AWPB
will be submitted to IFAD
B3153
The Portal will include workflow to route and re-route the request as necessary
between the various actors. Any notification needs to be completely traceable.
The request will pass through different stages and statuses in the workflow and
the B/R view of the Portal must include the current status of the request.
B320
If a certain period of time (30 days) has passed by from submission and no action
has been taken by IFAD the AWPB will automatically move into the final status of
Accepted
B325
At each stage in the approval workflow, the notification will capture the names of
the people who have approved and their role
B330
Once the AWPB has been accepted the fields within the form will be available for
use by the WA submission process.
B335
Throughout the process notifications will be generated informing the actors where
action is to be taken. For IFAD users these notifications will not create emails, but
there will be a worklist.
B340
Notifications will be generated informing the B/R (by email and online) of the
status of the request
11-RIMS
11-RIMS-01
12-LWA
12-LWA-01
For requirements B315 B340, IFAD is in the process of developing a workflow for No-objections within the
Scriptoria in-house platform . The acceptance of the AWPB will fall into this workflow. To the extent that
this functionality is developed and delivered before the Portal, the requirements for Portal Phase 1 are to
link to the No-objection functionality (see 9-LNO).
37
B550
The following users will have access to the process:
Borrowers Viewer
Borrowers Author
Uploader
Validator
Reviewer - IFAD
Approver
Administrator
B555
The Portal will contain an area which replicates the format of the Contract
Monitoring form (C11). There will be the possibility to upload scanned documents
by the B/R. The form will reference data in FX, with picklists and fields for the B/R
to complete.
B560
The information in the form should be accessible by the B/R and by IFAD staff.
B565
When inserting payments issued in the contract monitoring area, the initiator will
be invited to select a WA from the list of disbursements in order to link the WA to
the contract monitoring. It will not be mandatory for the payments to be linked to
a WA. This means that it will be possible to update the contract monitoring form
and then link it to a WA.
If the payment is a direct payment then the contract monitoring area
should be included in the links on Form 100 for review by the approver
role at the B/R level and by IFAD staff when reviewing the WA.
If the payment is included in the WA, the user will have the possibility of
linking the contract monitoring to a WA and then either to scanned
documents (101,102) or to the individual forms
B567
Whenever a payment is inserted, the system will compare the total payments with
the total contract value. If the total of the payments is greater than the total
contract value (including amendments), the following error message will be given
to the Author and also included as a warning message on the Contract Monitoring
Form:
Warning: the total payments are greater than the value of the contract.
B570
The linking of the Contract monitoring and Form 100 will be reciprocal i.e. it will be
possible to link from Form 100 and the subsidiary forms to the Contract
monitoring and from the Contract Monitoring to the WA forms.
B575
Each user of the Portal be it a B/R, PMU or IFAD user must have the possibility of
navigating easily between the contract monitoring and the individual WAs.
B580
It should be possible to link the contract monitoring to more than one WA.
B585
A contract can be in one of 2 statuses: open or closed. Once all payments have
been made against the contract or the residual value is zero, the initiator will have
the possibility of changing the status of the contract to closed. The status can only
be changed to closed once all WAs which reference the contract monitoring have
been paid. Once the status is closed, it will not be possible to link to a WA and
38
13-CDB
13-CDB-01
39
B375
At each stage in the approval workflow, the notification will capture the names of
the people who have approved and their role
B377
The B/R will have the possibility of linking the disbursement conditions to
documents in the Reference documents area, or submitting documents to the
Reference documents area through the disbursement condition functionality.
B380
The B/R will have the possibility to submit to IFAD and then the information will be
routed to the various actors for review and approval, rejection or for putting onhold.
B385
Notifications will be generated informing the B/R (by email and online) of the
status of the request
B390
Throughout the process notifications will be generated informing the actors where
action is to be taken. For IFAD users these notifications will not create emails, but
there will be an area for notifications.
B400
Once the notification is approved a transaction will be interfaced to FX to change
the status of the financing to DSBL.
14-ARD
14-ARD-01
15-MSC
15-MSC-01
40
B402
The proposed process flow and the detailed requirements for the Reallocation of
Categories are included in Appendix 5.
B405
Access to the reallocation of categories process will be granted through a twofactor authentication process.
B410
The following users will have access to the reallocation of categories:
Borrowers Viewer
Borrowers Author
Uploader
Validator
Reviewer - IFAD
Approver
Administrator
B415
The Portal will contain an area where a request for reallocation can be submitted
together with a scanned document. The form will reference data in FX, with
picklists and fields for the B/R to complete and a calculation of the final amount.
B420
Once submitted there will be a workflow for the request routing it to the various
actors and allowing the upload of scanned documentation to support the request.
At any stage in the workflow, the request can be accepted or rejected, with
rejections flowing back to the Reviewer and with the possibility to add comments
which can be seen by subsequent roles.
B425
Once all approved the information is presented to the Validator role for input into
FX. Alternately a transaction will be created in FX for review and approval by the
Validator (who will be able to change it) and/or the Approver.
B430
At each stage in the approval workflow, the notification will capture the names of
the people who have approved and their role.
B435
Throughout the process notifications will be generated informing the actors where
action is to be taken. For IFAD users these notifications will not create emails, but
there will be an area for notifications.
B440
Notifications will be generated informing the B/R (by email and online) of the
status of the request.
15-MSC-02
41
Uploader
Validator
Reviewer - IFAD
Approver
Administrator
B505
The Portal will contain an area where a request for the increase or decrease in the
special account allocation can be submitted together with a scanned document.
The form will reference data in FX, with picklists and fields for the B/R to complete.
B510
Once submitted, a notification will be created with the summary of the change
being requested and scanned document if any.
B515
This notification will follow a workflow process where each actor will have the
possibility to review the request, approve, reject and add comments.
B520
At each stage in the approval workflow, the notification will capture the names of
the people who have approved and their role.
B525
If at any point in the process the request is rejected, the person rejecting will have
the possibility to insert comments, explaining the rejection. The comments will be
visible to subsequent reviewers.
B530
Once all approved the information is presented to the Validator role for input into
FX. Alternately a transaction will be created in FX for review and approval by the
Validator (who will be able to change it) and the Approver.
B535
Throughout the process notifications will be generated informing the actors where
action is to be taken. For IFAD users these notifications will not create emails, but
there will be an area for notifications.
B540
Notifications will be generated informing the B/R (by email and online) of the
status of the request
15-MSC-03
16-WAR
16-WAR-01
42
The Portal will contain a form for the submission of the recovery schedule. This will
be available for all financing. The form will reference data in FX, with picklists and
fields for the B/R to complete and a calculation of the final amount.
B615
The recovery schedule/plan is submitted for each Special or Advance account and
not at the financing level. Hence there will need to be the possibility to submit as
many recovery schedules as advance or special accounts.
B620
There is no requirement to submit scanned documentation and no "approval"
process. Instead the recovery plan is either accepted or rejected by IFAD.
B625
Once submitted there will be a workflow for the request routing it to the various
actors. At any stage in the workflow, the request can be accepted or rejected, with
rejections flowing back to the initiator and with the possibility to add comments
which can be seen by subsequent roles
B630
The input fields will be available for modification by the validator and the
Approver.
B635
Information from FX on Justification transactions related to the specific financing
will be shown at the bottom of the form.
Withdrawal Application Enhancements, Reporting
B225
In Phase 2, the Portal will contain the possibility to insert data for certain forms
(subsidiary forms) or upload scanned documents. Depending on whether the
Author selects to submit scanned forms or use the IFAD forms, the Author will be
proposed with the forms to complete. This selection is made on Form 100. Within
the subsidiary forms, certain standing data will be populated from FX.
Furthermore, not all fields will be obligatory.
B230
Excel uploader will be available for the subsidiary forms to facilitate the capture of
information by the Author. Where the subsidiary forms are used there will be a
step to validate the information. At this point the system will check that the
various amounts which should cross reference to each other agree and that there
are no anomalies with respect to SOE thresholds (held in database within the
Portal). There should be the possibility to develop and change the forms according
to the categories (in FX) selected. Current requirements are for 2 variations, but
this may increase.
B245
The subsidiary forms will all be printable.
B250
If the subsidiary forms are used the Form 100 can only be submitted for approval
once the subsidiary forms have been validated.
B252
Where the B/R submits paper WA the FA (or centralised processing unit) will be
required to insert the data on the paper WA into the eSubmission system instead
of into FX as this will be necessary to take advantage of the logic within the
workflow. All the relevant fields specified in Appendix 1 section 1.5.3 will be
available for the FA to insert information from the scanned form, except for the
43
confirmations. Appendix 1 section 1.5.4 will not be relevant for a paper WA.
Alternately the information on the scanned Form 100 will be captured
automatically using character-recognition and an electronic Form 100 (eForm)
created.
16-WAR-02
16-WAR-03
Portal Phase 2
Optical Character Recognition is required for phase 2 of the Portal.
The FA will review the eForm against the scanned documentation, will correct
where necessary and then will submit the eForm.
Manage Banking Information Phase 2
Portal Phase 2 will require the use of Optical character recognition to facilitate the
insertion of Banking Information data in FX. The OCR capability should extract
relevant fields from the scanned image of the Banking Instruction form and
populate the fields on the banking information screen in FX for IFAD staff to review
and then proceed with updating the information in FX.
44
17-SAI-01
Supplier should explain how the proposed solution will enable IFAD to build
future proofed, secure, expandable large-scale web-based applications with a
high degree of intuitive user-experience that is easy to use without significant
training.
17-SAI-02
Supplier should explain how the proposed solution will enable future
application delivery through mobile and other channels.
17-SAI-03
Supplier should explain how the proposed solution will enable shift to Cloud
Computing.
17-SAI-04
Supplier should explain how the proposed solution will enable Social
networking for IFAD staff and external actors (Borrowers, IFI, experts).
17-SAI-05
Supplier should explain how the proposed solution will enable seamless
integration with internal and external systems.
17-SAI-06
Supplier should explain how the proposed solution will enable the delegation of
user and role administration to the borrower in a secure and transparent way
without the need of intervention of a technical expert.
17-SAI-07
Ensuring the highest level security of the new platform is essential to protect
IFAD reputation and credibility.
Supplier should explain how the security of the new platform will be enforced
at each layer of the solution in order to guarantee the highest level of security
of the current solution and become the cornerstone on which IFAD will build
future enhancements. The proposed solution should be able to be leveraged
and integrated with other corporate platforms
E. Service Specifications
1.0
Successful implementation of the project will depend on the provision of key services
defined below.
Requirements
ID
Description
18-PMR
18-PMR-01
18-PMR-PM01
18-PMR-PM02
Supplier must clearly identify roles and time needed from IFAD users for a
successful implementation. Identify business and ICT users time required for
detailed business requirements definition, software requirements specifications
reviews, integration, testing, end-user training and final operational
acceptance.
18-PMR-PM-
45
03
18-PMR-PM04
18-PMR-PM05
The IFAD Project Manager shall have the authority to veto the assignment of
specific Supplier staff and Subcontractor staff to the project on grounds of
inexperience or lack of appropriate skills.
18-PMR-IA
18-PMR-IA-01
18-PMR-IA-02
18-PMR-HN
18-PMR-HN01
After project implementation, the purchaser reserves the right to transfer the
support for the Borrower Portal platform to a different vendor. The Supplier
agrees to assist the Purchaser and the incoming vendor in a smooth transition
of system support arrangements to the incoming vendor as a part of the
Supplier's Borrower Portal support contract.
19-PMT
19-PMT-01
The Project Manager must have a minimum of ten (10) years experience with at
least two (2) successfully completed projects of similar size as project manager,
preferably on banking projects.
Besides, he/she shall have at least five years (5) of industry experience in a web
application development/development team leadership capacity.
The Supplier shall guarantee that the named Project Manager will be assigned to
46
Two (2) Key functional team leads must be identified for the project. Each
functional team lead must have at least five (5) years of experience on the
proposed solution platform. Experience with Banking & Financial solutions or
with government & development clients is preferred.
The Supplier shall guarantee that these two named functional team leads will be
assigned to the Lot 1 project.
19-PMT-03
Project technical team must include Software & System Experts with at least 2
years of experience in the recommended technical platform. Supplier must
provide the following experts:
Senior Technical Architect with at least five (5) years experience implementing
solutions on the IFAD software platform and overall seven (7) years experience.
Candidate should have worked in this role for at least two (2) projects,
preferably on banking projects.
Senior Application Designer & Development team lead with at least five (5)
years experience implementing solutions on the IFAD software platform and
overall seven (7) years' experience. Candidate should have worked in this role
for at least two (2) projects, preferable on banking projects.
Senior IT Infrastructure team lead with at least five (5) years experience
implementing solutions on the IFAD software platform and overall five (5)
years. Candidate should have worked in this role for at least two (2) projects.
The Supplier shall guarantee that these named technical resources will be
assigned to the Lot 1 project (ideally at the start of the project, but not later than
3 months from project kick off, except in case of force-majeure the vendor will
have to communicate it to IFAD).
19-PMT-04
The Supplier shall make available onsite (at IFAD, Rome) senior or key members
of the project team during periods when close interaction with IFAD is
necessary. IFAD expects the Supplier to propose an onsite-offshore model,
while ensuring that key Supplier team members are available onsite when
required.
20-TRM-TR
20-TRM-TR-01
The Supplier shall provide training for business and technical users so that they
can fully operationalize and run the system. This training is to be provided
before system go live, ensuring that the trainees have enough time to become
familiar with the system before go live.
Business users will be trained on all business processes based on their defined
user-roles and screen navigation requirements.
Technical users will be provided high level training on the overall technology
platform and components, with in-depth training on the integration points.
Among training courses to be provided are
47
The Supplier must propose local training in Rome, Italy. Total number of
business trainees is thirty (30) in IFAD.
20-TRM-TR-02
20-TRM-TR-03
Training material & facility: Supplier is responsible for preparing and providing
all training materials customized for this IFAD Borrower Portal implementation.
The training facility (rooms) will be provided by IFAD.
21-TST-OA
21-TST-OA-01
Purchaser (with the assistance of the Supplier) will perform the tests on the
System and its Subsystems following installation to determine whether the
System and the Subsystems meet all the requirements mandated for
Operational Acceptance.
21-TST-OA-02
The Supplier's testing methodology shall provide for using regression testing
using automated testing tools to verify that new functionality being added to
the Borrower Portal does not break existing functionality in the Portal. The
Supplier shall provide in their proposal how they will define, implement,
manage and support automated regression testing, and highlight any
limitations of regression testing.
21-TST-OA-03
Supplier will provide comprehensive documentation and test cases for the
purchaser to conduct the Operational Acceptance Test. All system custom
software and reports must be delivered for Operational Acceptance test to
commence.
21-TST-OA-04
Business users will review the Supplier provided test cases, and will form a suite
of User Acceptance Test (UAT) Cases which will include test cases designed by
the business team and test cases provided by the Supplier.
Business users will verify that processes are running correctly, reports
generated match with previous reports and that data interfaces with other
systems are performing correctly.
21-TST-OA-05
The IFAD technical and business teams (with Suppliers support) will ensure that
system performance, security tests and documentation is as per requirement.
21-TST-OA-06
The Entire System: Successful operation of the entire system after Phase 1,
Phase 1.5 and Phase 2 Go Live for a period of eight weeks each is required for
Operational Acceptance of Phase 1, Phase 1.5 and Phase 2 functionality
48
respectively.
22-SPT
22-SPT-SP-01
22-SPT-SP-02
Post Go-Live Active Support: During the period after Go-Live (of Phase 1, Phase
1.5, Phase 2) the Supplier shall provide onsite support with a few key resources
to help stabilize the system and ensure that the system is performing correctly.
22-SPT-SP-03
Warranty Service: The Supplier shall provide bug fixes for all bugs in the
Borrower Portal for a period of six months after Phase 1, Phase 1.5 and Phase 2
go live respectively, at no incremental cost to the Purchaser. These bug fixes
should be provided without impacting the System Support arrangement
described below.
22-SPT-SP-04
System Support after go live: The Supplier shall provide support for running the
Borrower/Recipient Portal application and platform and all its instances, and
provide minor enhancements, for a period of two years after go live. The
Purchaser shall have the option of extending the system support arrangement
for another two years after the initial two year period of support. The
extensions of support can be done in one or two year increments.
The support period for Phase 2 after Phase 2 go live will be aligned with the
support for Phase 1 (and Phase 1.5) so that Phase 2 post go live support ends at
the same time that Phase 1 (and Phase 1.5) support ends.
The support service shall include provision for i) minor enhancements and
corrections not handled by warranty ii) regular support for upgrades/patches to
latest versions of application software, operating system and database iii)
provide an application hotline support iv) security alerts and critical patch
upgrades, v) performance tuning and vi) all bug fixes.
A minor enhancement is defined as one that takes not more than 40 person
hours for the supplier to define, develop and test (Purchaser's testing effort is
not considered). The supplier should provide for four (4) minor enhancements
per month in their Portal support cost proposal.
The following SLAs will be required for outages and defects. The supplier
49
The Supplier will aim towards 99.9% availability of services under their direct
responsibility, excluding issues for which the root cause is not under their
control. Supplier shall provide a proposal according to industry best practices
including potential penalties and reduction in fees in case of
underperformance.
22-SPT-SP-05
During the Support period, Supplier shall make available its key technical staff
onsite or over the phone/email for consultation and shall respond to critical
system or hardware failures that prevent business operations as per the SLA.
Given the nature of the platform as the channel to conduct business between
IFAD and its partners the application needs to be available, secure, responsive
and supported 24/7. This will be achieved by a mix of on-site and off-site
support. As a result, the following support guidelines need to be observed.
The Supplier shall provide at a minimum the following technical resources
onsite as part of the support team:
During Rome office hours,
A system administrator/DBA
The supplier will ensure that unavailability of the above resources will be
backfilled. The supplier will propose the relevant profiles.
During Rome non-business hours including weekends, the supplier shall provide
the minimum resources to ensure the availability of the portal and related
services. Non-business hours support can be achieved through offshore
resources and the supplier should propose the operational model.
22-SPT-SP-06
50
22-SPT-SP-07
22-SPT-SP-08
UAT
PROD
In case of emergency fixes approved by IFAD, there can be a different flow for
the changes. This will be agreed upon with the Supplier by IFAD.
Maintenance Window
The IFAD Borrower/Recipient Portal systems are required to be available 24 x 7.
There is a standard planned maintenance window (which may or may not be
used) to allow for activities which disrupt the availability of the system. The
maintenance window occurs every Thursday from 20:00 to 24:00 CET.
22-SPT-SP-09
51
52
equivalent
monitoring
for
the
Database Backup:
long term recovery of backups are not guaranteed to run on the current
software versions or hardware infrastructure
Incident Management
Incident management requirements are detailed under Application Hotline and
Warranty Service.
53
22-SPT-SP-12
22-SPT-SP-13
The Supplier shall provide maintenance and support services for all instances of
the Portal, including development, test, UAT, training, support and of course
the production instances in the primary and disaster recovery data centers.
The Supplier shall refresh data in the various instances on a schedule to the
agreed with the Purchaser. For example, after system go live, the "support"
instance is expected to be refreshed with data from production at least on a
weekly basis (this allows for easier trouble shooting of production issues).
22-SPT-SP-14
Audit support: The Portal is subject to audit by IFAD's internal and external
auditors. The Supplier shall provide system logs, proof of backups, and other
artifacts requested by the auditors.
54
55
23-EXP-EX
23-EXP-EX-01
The Supplier shall provide verifiable client information for their web application
implementation experience. While in the mandatory criteria the Supplier has to
provide a minimum of two successful contracts, the Supplier should provide
details of three to four client sites. Supplier shall provide (at the minimum) the
following information for each client site:
24-CLR
24-CLR-01
56
57
Hardware
The system shall run on dedicated hardware to be installed both in the IFAD Data Center (DC)
and in the Disaster Recovery Centre (DRC) sites. The Supplier is responsible for any customs
clearance requirements for the hardware.
The live system shall be installed on servers at both sites. The equipment at each site shall be
sufficient to run the entire production system should the other site become unavailable, but in
normal operation IFAD expects that the systems at the sites will be coupled in such a way that a
failure at any site will have no effect on the operation of the system. Bids must contain
recommendations as to how the sites will be equipped and coupled to enable the highest level
of availability.
Bids should also contain details of how suitable failover procedures will be developed and tested
to allow for situations of multiple failures or complete unavailability of one site.
The Supplier will be required to supply, install and test all hardware, system software,
middleware and any other products and equipment necessary to run the system.
25-HAR
Hardware
25-HAR-01
a. The system shall support upto 4000 users from IFAD client countries and
internal IFAD users.
b. The system must support 1400 simultaneously logged on users of which 140
capabilities to support the volume estimates for a period of five (5) years at
a 10% annual growth rate.
d. The requirement for data retention for the Portal is the close of financing
plus five years for a project financing. The average length of a project is
around seven years. For this contract, the supplier shall provide storage for
a period of twelve years for all instances (production, test etc) of the Portal.
58
requirements.
least three years for parts and on-site labour. Please explain the rationale
for any lower warranty periods.
25-HAR-02
System Instances: The Borrower Portal is a critical system and shall have at a
minimum seven instances - Production, Development, Test, UAT Test, Support,
Training, and Disaster Recovery. All instances can be virtualized (e.g. with
VMWare).
As highlighted earlier, the Supplier shall provide maintenance and support
services for all instances of the Portal.
25-HAR-03
The system must be operationally resilient, with high levels of local recovery
supported by an appropriately configured back-up installation and a smooth
cut-over between the primary and disaster sites, and back again to the
primary site when service is restored.
g. A cutover from the primary to the disaster site must be possible within four
(4) hours.
25-HAR-04
25-HAR-05
Servers
The Supplier shall specify in detail all recommended server components, together
with any items necessary for connection to IFADs existing and planned
technology environment.
Suppliers shall describe any operating system options, version/variant, release
level, all additional and optional modules required, and (if desired) their
preferred option.
25-HAR-06
59
Data Storage
Bids must specify in detail the recommended data storage capacity and
equipment. This should be supported by sizing information on the capacity
required to hold all copies of the system database(s) and any other supporting
data, based on the current and forecast volumes given in these bid documents.
Bids should estimate storage needs for 12 years.
Other Hardware
Bids should include details of any other hardware required to implement their
solution, such as certificate servers, networking and security components such as
routers, firewalls, other security appliances, racks, etc.
25-HAR-07
26-SWR
26-SWR-01
26-SWR-02
26-SWR-03
Report Writer
Bids should describe standard easy-to-use database report generation tools that
can be used for the rapid development of reports to satisfy needs that might
arise on an ad hoc basis.
IFAD currently uses Oracle OBIEE as its standard reporting tool. If Supplier
proposes a different reporting solution, then IFAD prefers to use open source
reporting tools that provide drill-down capabilities and are not licensed per
named user but at the server level.
60
I. Implementation Schedule
The following is a proposed Implementation Schedule for the project. The Supplier shall complete
their assessment and propose their own Implementation Schedule. The Gantt chart shows a broad
schedule by year for implementation and support. The detailed task table shows key activities
during project implementation, for Phase 1, Phase 1.5 and Phase 2. The project kickoff is expected
to take place within four (4) weeks after the contract is signed or as agreed upon between the
supplier and purchaser at contract signing time. The proposed implementation schedule starts from
the project kickoff date.
Start
(week
of)
End
(week of)
Overall Project
W1
W91
Project Management
W1
W91
1.1
Project Planning
W1
W3
1.2
W5
W7
W12
Hardware
and
software W16
infrastructure set in the disaster
recovery centre (RDC)
Software design and development
Phase 1
W25
10
2.1
W3
2.2
W2
W5
2.2
W1
W3
1.3
1.4
1.5
2
Elapsed Duration
(weeks)
2.3
2.4
2.5
61
W5
W11
W24
18
3
3.1
Testing Phase 1
Test Plan Phase 1
W4
W5
3.2
W6
W19
14
3.2
W28
12
W35
W36
3.4
W42
Go live Phase 1
4.1
W38
11
4.2
W40
4.3
W35
W40
4.4
Go live - Phase 1
W43
4.5
W51
4.6
3.2
3.3
4.7
4.8
W51
Till end of
Warranty
support
System and application support W43
Till end of
Phase 1
support
contract
Add support for French and Spanish Specify Specify
and roll out to production. This will
have its own testing and user
acceptance
steps,
operational
acceptance and support contract.
Confirmation of requirements W35
W40
6
Phase 2
6.1
W48
6.2
W64
16
62
Testing Phase 2
7.1
W46
W48
7.2
W47
W60
14
7.3
W66
12
7.4
W67
W73
7.5
W72
W74
7.6
W75
W82
Go live Phase 2
8.1
W78
11
8.2
W80
8.3
W77
W80
8.4
Go live Phase 2
W83
8.5
W83
8.6
W91
8.7
9.1
W42
9.2
9.3
9.4
Till end of
Lot
3
contract
Till end of
Lot
4
contract
W8
4
9.5
W43
W5
Till End of
Warranty
Support
W91
Till end of
Support
Contract.
Till end of
support
access
provisioning
credentials
Lot
2
contract
63
64
2.
3.
4.
5.
65
Document Name
Included in submission?
YES
NO
CMMI
YES
NO
YES
NO
YES
NO
3
4
Reference
to Proposal
Response
Section
certifications
like
Item #
Mandatory Criteria
YES
NO
Reference to
Proposal
Response
Section
Item #
2
Mandatory Criteria
66
YES
NO
YES
NO
YES
NO
Reference to
Proposal
Response
Section
Item #
5
67
Mandatory Criteria
indicating
YES
NO
Reference to
Proposal
Response
Section
Item #
68
Mandatory Criteria
Reference to
Proposal
Response
Section
YES
NO
Item #
1
1-ADR Response
to
Application
Requirements , 1-ADR* (all ADR items).
Design
NO
YES
NO
YES
NO
YES
Reference
to Proposal
Response
Section
Item #
4
4-GTR Response
to
general
requirements (low bandwidth ..)
technical
7-WAD Withdrawal
[Phase 1]
Application
YES
NO
YES
NO
YES
NO
YES
NO
YES
NO
YES
NO
YES
NO
YES
NO
processing
NO
YES
69
10
other
12
Reference
to Proposal
Response
Section
Item #
13
13-CDB
Confirmation
conditions [Phase 2]
of
YES
NO
YES
NO
YES
NO
YES
NO
YES
NO
19
NO
18
YES
17
NO
16
YES
15
disbursement
70
Reference
to Proposal
Response
Section
Item #
20
YES
NO
YES
NO
YES
NO
YES
NO
YES
NO
YES
NO
22
21
71
23
24
25
Reference
to Proposal
Response
Section
Item #
26
Reference
to Proposal
Response
Section
27
72
YES
NO
YES
NO
Site
IFAD
The International
Fund for Agricultural
Development (IFAD)
is a specialized
agency of the United
Nations with its
Headquarters in
Rome, Via Paolo di
Dono 44, 00142
Rome, Italy.
Rome, Italy
Tel:+39-0654591
Fax:+39-065043463
Via Paolo di Dono 44, 00142 Rome,
Italy.
73
74
1 January
Friday
2 January
Presidential Holiday
Friday
3 April
Good Friday
Monday
6 April
Easter Monday
Friday
1 May
Labour Day
Tuesday
2 June
Friday
17 July
Friday
14 August
Wednesday
23 September
Eid Al-Adha*
Friday
25 December
Christmas Day
Monday
28 December
75
Assumption
Borrowers/Recipients
Viewer
5 per country;
Borrowers/Recipients
Author
Borrowers/Recipients
Authorizer
Uploader
Validator
Reviewer - IFAD
Approver
Viewer - IFAD
Administrator - IFAD
Administrator
Borrower/recipient
2 per country
5 per project
8 per project for 50% of projects
8 per project for 50% of projects
It is recognised that the requirements of each country and/or project with respect to access will be
different: some projects may have very decentralised operations with multiple implementing units
each requiring access, whereas some projects may be centralised with one PMU with limited
staffing. An analysis was performed of the current4 financing to countries (i.e. excluding non-country
grants).
There will be a gradual rollout of the Portal to users. Initially the Portal will be made accessible to
those countries with which consultations on the Portal are taking place and or countries where
electronic/advanced pilots are already successfully in place. These total approximately 10 -15
countries.
Total
Pilot
No of countries (ministries)
145
15
No of financings
377
96
No of projects
223
53
Current was defined to be any financing which had a closing date after 31/12/16 on the basis that the portal
would probably not be rolled out to projects which were close to closure, hence a cut-off date of 18
months (rounded to the end of the year) was taken.
Role
Assumption
Borrowers/Recipients
Viewer
5 per country;
Borrowers/Recipients
Author
76
Total
Pilot
1 840
340
1 115
106
1 115
106
5 per project
Uploader
10
10
Validator
10
10
Reviewer - IFAD
290
30
Approver
15
15
Viewer - IFAD
600
600
Administrator - IFAD
Administrator
Borrower/recipient
2 per country
290
30
Total
5,289
1,251
Using the estimated numbers for roles above and assuming that there is one CPM per country, the
total number of roles for the Portal for country loans and grants is at least 5,000. Given the phasing
of the functionality, it is expected that there will be approximately 1,200 roles required in the first
phase of the rollout. It is to be recognised that there is a certain amount of overlap in that users may
have multiple roles. Taking this into account, the users for IFAD are expected to be no more than
600. The overlap for countries and projects is less straight-forward to estimate, however a
reasonable assumption is that half of the viewers at the B/R level will also have access as an Author
or Authorizer i.e. an overlap of approximately 1,000 (of which approximately 170 for the initial
rollout).
Non-country grants
Given the vast number of non-country grant recipients and in consideration that many recipients
only receive one grant from IFAD, it has been decided to limit the number of recipients given access
to the Portal to the top recipients plus the CGIAR centres. Applying the same assumptions as for
country financing will lead to an additional 600 external roles of the system and 100 internal roles
(mainly grant managers included in the calculation of 600).
Conclusion
For estimation purposes, on the basis of the above assumptions, it is reasonable to expect that the
Portal will be used by approximately 4,3005 4,800 users of which approximately 600 will be internal
and approximately 1,0006 will be required in the initial rollout.
5,289-10-10-290-15-4-1,000+600 = 4.560
1,521-20-30-15-4-170=1,012
77
Assuming that 50% of the portfolio will use the Borrower Portal in the first two years after rollout,
the maximum number of non-IFAD Portal users are 4,800 * 0.5 = 2,400. So the maximum number of
Portal users expected in the first two years after Phase 1 rollout are 2,400 + 600 = 3,000. For license
costing purposes, we will use 4,000 users as the reference number.
78
#
1
Average =90
(could be up to
1,500)
scanned
document
AWPB
up to 100
excel, word,
pdf
scanned
document
Recovery schedule
Banking information
Confirmation of disbursement
conditions - for the project to be
able to submit all documentation
and to allow easy reference
20
10-20
10-20
scanned
document
10-20
scanned
document
unknown - hence
estimated at > 20 per
month
650 (2 documents for
250 projects plus 1
document for 150 noncountry grants)
400 - 5,000 (1-10
documents for 250
projects plus 1
document for 150 non-
up to 100
scanned
document
20-30
up to 10
scanned
document
8
9
10
Requirement
(Main Transaction
measured
Average size of
volume document
(pages)
Comment
Business
Process)
11
12
up to 100 for
main contract;
amendments
and bank
guarantees 20 pages
1
2
excel
scanned
document
and excel
Multiple pdf
documents
may be
submitted up to 10
scanned
document
79
country grants)
13
This covers:
200-400 pages
This covers:
Supervision reports and mid term review: 40-80 pages Design reports: 200-400 pages
80
Start
IFAD
Start
Start
Data from
database in
portal
Data from
Flexcube
Not approved
Author
Manually inserts
data in Form 100
and optionally
subsidiary forms
Amends forms if
released by IFAD
Scanned documents
uploaded
System validations
of data inserted
Submits for
approval
Notification form
created
1.5.3, 1.6 and 1.8
Authorizer
Review form and
verify no
modification of
documents or
information
Approve
1.13
Data from
GARTS
Receiver
Receives Hard
copy - WA
Creates
scanned
document
System
Routes to IFAD resource based upon:
1. Borrower or Recipient
2. Risk assigned to financing
3. Type of withdrawal application
4. Materiality
5. Alert messages
Submitted
Routing 1
Uploader
Receives scanned
document
Captures data
automatically and
populates Form 100
Attaches scanned
document
System validations
of data inserted
Notification form
created
Review and submit
for processing
1.6, 1.8 and 1.13
Submitted
Uploader
Approved
Validator (FA)
Receives SWIFT
message from CI
Manually inserts
data in Form 100
Attaches scanned
document
System validations
of data inserted
Notification form
created
Review and submit
for processing
1.7, 1.8 and 1.13
Reviews Notification
in accordance with
RBD requirements
Reduces amount
claimed if required
(ineligible
expenditure)
Inserts comment if
required
Releases Form 100
for modification
Validate or reject
1.19
Request routed to
RMS for storage
1.23
End
Routing 2
Validate
Reviews Notification
in accordance with
RBD requirements
Inserts comment if
required
Approve or Reject
Releases Form 100
for modification
1.19
Ineligible
expenditure
data to FMA
1.16 and 1.19
End
Request routed to
RMS for storage
1.23
End
No
Approve?
Approve?
Approve?
Yes
Yes
Reviewer (CPM)
Reviews Notification
in accordance with
RBD requirements
Inserts comment if
required
Approve or Reject
Releases Form 100
for modification
1.19
No
No
No
Yes
Routing 3
Reviewer (CPM)
Data from
People/
GRIPS
Data from
FMA
Yes
Approved
transaction
created in FX
1.24
Ineligible
expenditure
data to FMA
1.16 and 1.19
End
End
Request routed to
RMS for storage
1.23
End
Approve?
Yes
Yes
Approved
transaction
created in FX
1.24
End
Approved
transaction
created in FX
1.24
End
81
Paper
Scanned
Where the WA is submitted through the portal, information on WA (Form 100) with
option for Forms 101, 102, 104 and 105 in phase 2) will be inserted into the portal and
scanned additional forms and supporting documentation will be uploaded. Application is
approved online and submitted to IFAD for processing
Where the WA is not submitted through the portal, Form 100 will be inserted by IFAD
staff and the scanned additional forms and supporting documentation will be uploaded
to the system by IFAD staff.
Given that the portal will be a secure site with access being limited to authorized persons
only with cross-validations to initiate access, the submission of scanned forms will be
accepted.
1.4.2.Current forms
IFAD will design the portal input pages to be in line with the forms below:
82
Options
Comments
The options available
will depend upon the
access of the user and
will need to be defined
by the countries. All
options
should
be
available to make the
access as wide or
restricted as necessary
Borrower or Recipient
Country Name
PMU
Implementing Agency
Recipient
Financing Type
Status
Project
83
Funding source
84
Project Number
Financing
Number
ABCDE
1447
Alternate
Account
Number
Ccy
Financing
Amount
Financing Type
Status
Disbursable
Date
Closing date
Completion
date
Disbursed
amount
Undisbursed
amount
Percentage
disbursed
100000363100
123
SDR
19 600 000.00
LOANS
Disbursable
21/03/2011
30/09/2018
31/03/2018
4 896 299.21
14 703 700.79
16.50%
100000447900
123-B
SDR
8 450 000.00
LOANS
Signed
8 450 000.00
0.00%
100000363200
456-
SDR
630 000.00
LOAN
COMPONENT
GRANTS
Disbursable
74 272.70
555 727.30
11.80%
100000448000
456-B
SDR
650 000.00
LOAN
COMPONENT
GRANTS
Signed
650,000.00
0.00%
SDR
39 330 000.00
4 970 571.91
33 709 428.09
12.64%
2,498,601.63
75.14%
Total
ABCDE
30/09/2018
31/03/2018
100000274900
789-
SDR
10 050 000.00
LOANS
Disbursable
26/06/2008
30/09/2017
31/03/2017
7 551 398.37
100000275000
910-
SDR
635 000.00
LOAN
COMPONENT
GRANTS
Disbursable
09/07/2008
30/09/2017
31/03/2017
635 000.00
SDR
10 685 000.00
100.00%
8 186 398.37
0.00
76.62%
1571
100000415000
124
SDR
44 140 000.00
LOANS
Disbursable
12/11/2014
31/12/2020
30/06/2020
1 707 159.26
42 432 840.74
3.87%
100000415100
126
SDR
630 000.00
LOAN
COMPONENT
GRANTS
Disbursable
12/11/2014
31/12/2020
30/06/2020
128 161.27
501 838.73
20.34%
SDR
44 770 000.00
1 835 320.53
501 838.73
4.10%
SDR
3 380 000.00
ASAP GRANT
Enter
Force
into
31/12/2023
30/06/2023
3 380 000.00
0.00%
SDR
950 000.00
LOAN
COMPONENT
GRANTS
Enter
Force
into
31/12/2023
30/06/2023
950 000.00
0.00%
Total
ABCDE
21/03/2011
1376
Total
ABCDE
Date: As at 25/5/15
110000174500
200000095000
200000095000
85
SDR
4 330 000.00
0.00
950 000.00
0.00%
The selection of one of the data rows should give the user the option to select the Form 100 or subsidiary forms for input of data.
It will be possible to submit the WA at any of the following levels:
At the project level with percentage split by financing
At the financing level
At the financing level by implementer
Intuitively the PMU will focus on the actual bank accounts and request WA to the bank account. If one bank account is used for multiple financing instruments, it is probable that one
WA would be submitted with allocation to the different instruments.
86
Description
Comment
Application type
Results
based
disbursements are not
currently used in IFAD
Justification
Bank account
87
Special Payment
Instructions
WA reference number
Sequential number
Application currency
Inserted by inputter
Application Amount
Inserted by inputter
S- Funding Source
I
Retroactive financing
88
Period of Application
Source of supply
Generally in inputting WA
into FX, FA will chose the
country in which the
project
is
being
implemented.
Different
countries are only selected
for
direct
payments
(generally)
System only to propose this
if the WA is
Reimbursement
Replenishment
Justification
Direct Payment
If the WA is for an advance
the
default
will
be
Undetermined
Category allocation
Direct Payment
Reimbursement
Replenishment
Results based disbursement
New area to open:
Boxes to insert amounts for each
category. For each box a picklist of the
available categories should be available.
Not all categories will be required,
hence require possibility to have more
than one box.
System to total amount of categories
Error message if total of categories is
different to that of Application Amount.
Where WA is submitted at the project
level the category allocation has to be
for each Funding Source which has been
89
less
than
SOE
Mode of submission of
SOE
Scanned
documentation
90
The goods and services covered by this application have been or are being purchased and/or procured in
accordance with the terms of the applicable General Conditions for Agricultural Development Financing.
The undersigned hereby certify that the expenditures for which replenishment is claimed under the statement
of expenditure (SOE) thresholds are correct for the Project as provided in the IFAD Financing Agreement. We
certify that these expenditures represent resources used in compliance with the principles of legality,
regularity and sound financial management. I certify that the audit requirement outlined in article VIII and
section 9.01 of the General Conditions will be complied with, and that the requirements for maintaining
records and documentation for expenditures disbursed using the Statement of Expenditure modality and
outlined in section 4.04(c) and (d) of the General Conditions, will be complied with. This includes, inter alia,
that an annual audit will be carried out and that the documentation (including purchase orders, invoices,
evidence of payment and delivery and any other relevant documentation evidencing the expenditures) will be
retained for 10 years after the Closing Date of the IFAD Financing, and that such records and documentation
will be made available to IFAD representatives for review on request.
The undersigned hereby certify that all the supporting documentation to this withdrawal application has been
submitted in accordance with the Letter to the Borrower and the Loan Disbursement Handbook
We hereby apply for this withdrawal from the Grant Account and hereby certify and agree as follows:.
The funds covered by this application are required exclusively for the purposes of the Project.
The certified Statement of Expenditures provides detailed information on the utilisation of the immediately
preceding advance and confirms that the funs withdrawn have been exclusively used in accordance with the
Grant Agreement. All documentation authenticating these expenditures has been retained in accordance with
paragraph 6.13 of Schedule 6 of the Agreement (the above article does not apply for first withdrawal
application).
If the financing is funded by supplementary funds from the EC [Donor = EU}, following certification
is also required:
We hereby confirm that an electronic archiving system has been set up in order maintain all the accounting
documentation relating to the project and that this system will be maintained for at least ten years following
Project closure.
There should be the possibility for the B/R to upload scanned documentation (as noted in section
1.5.3 above, be it scanned forms 101, 102, 104, 105, C10 and C11 or scanned supporting
documentation.
1.5.4.Specific information to be requested depending upon type of disbursement request:
Disbursement request
Specific requirements
Advance payment imprest Box to be ticked:
account
Please confirm that the relevant AWPB has been approved by
91
92
93
% justification (for advance account) is less than the % amount set-up. The
percentage to be justified is included as standing data in FX for each
advance account. Where the field is null, this check is not required.
Warning: The advances have not been sufficiently justified to allow the payment of a
subsequent advance. Click Continue if you wish to proceed, Save if you wish to complete
the application later or Cancel if you wish to withdraw the request
Alerts in case the balance in the loan account is less than 2 times the
outstanding initial deposit.
Warning: The balance in the loan account is less than 2 times the initial deposit. If you
have not already done so, you should submit a recovery plan to IFAD in order not to
delay future payments. Click Continue if you wish to proceed, Save if you wish to
complete the application later or Cancel if you wish to withdraw the request
e. If the WA is submitted and the balance in the loan account is less than 2 times the
outstanding initial deposit (for imprest account), notifications to FA/FO should include
The balance in the loan account is less than 2 times the outstanding initial deposit
f.
If the WA is for a revolving fund and the WA is less than 30% of the outstanding advance
or less than 50% of the AWPB, or if the WA is for an imprest account and the total amount
is less than the minimum withdrawal application amount AND the WA is not the final one:
Warning: the withdrawal application is for an amount less than the minimum amount
accepted by IFAD for this financing. Please refer to the Financing Agreement or Letter to the
Borrower for the minimum withdrawal applications which IFAD accepts. Click Save if you
wish to review further or Cancel if you wish to withdraw the request
g. Validates that in the case of replenishments, only categories linked to that special account
available for disbursement are used.
h. Checks for possible duplication of WA: if a WA has been submitted for the same period as
this WA and neither of the WA are direct payments
Warning: A withdrawal application has already been submitted for this period. Please
ensure that this is not a duplicate. Click Continue if you wish to proceed with the
application, Save if you wish to review further or Cancel if you wish to withdraw the
request
i.
Checks for possible duplication of WA: if a WA has already been submitted for the same
amount as this WA and neither of the WA are direct payments
Warning: A withdrawal application has already been submitted for the same amount.
Please ensure that this is not a duplicate. Click Continue if you wish to proceed with the
94
Checks for uniqueness of WA number - i.e. no duplicate WA numbers are accepted, hence
preventing double payments.
Error: This withdrawal application number has already been used. Please modify and
resubmit
k. Validates that in case of replenishments or advances, the system checks that the currency
used is the one defined for the special/advance account.
Error: The currency being requested for payment is different from that of the bank account.
Please amend and resubmit. Checks that the advance of the special account does not exceed
the defined ceiling of the special account.
Error: The amount requested is greater than the ceiling defined. Please amend and resubmit
l.
Validates that payee input instructions available for the payment are only the ones
maintained in the database.
m. Validates that for supplementary grants, the amount disbursed does not exceed the
amount received from the donor (as interfaced from PeopleSoft into FX). No error
message will be given to the B/R, however this should be noted on any notifications to
FA/FO for follow up
The amount being requested for payment exceeds the amount received from the
donor. Follow up is required
n. If there is a process for AWPB within the portal (defined in separate document) and the
WA is for an advance payment to a revolving fund, the system will check that there is an
approved AWPB for the period of the WA. Where there is no AWPB for the period of the
WA
Warning: Before any advance can be paid from this account the AWPB needs to be
submitted and approved. Please ensure the AWPB has been submitted and approved. Click
Continue if you wish to proceed with the application, Save if you wish to review further or
Cancel if you wish to withdraw the request
o. If the WA relates to a direct payment, a help/warning message should be given:
Please ensure that the currency of the direct payment is the same as that of the contract. If
it is not, the payment will be delayed
1.9. Cancellation or modification of a WA
The B/R should be able to withdraw (cancel) a request before it is submitted to IFAD with no
trace in the system. The B/R should be able to modify a WA before it is submitted to IFAD. IF
a WA has already been approved online, any modification made will require that the WA be
routed for approval at the B/R level again.
1.10.
Communication of issues to IFAD
a. The B/R has to have the possibility to be able to contact IFAD for assistance, hence there
should be an area where questions can be raised or a request be raised for the help-desk.
95
xxx
xxx
Amount to be Paid in Figures
xxx
xxx
Amount to be Justified in Figures
Withdrawal amount:
xxx
xxx
Currency Name
Payment Instruction
Payees Name and Address:
Xxx The payment instruction section is a list of values
Payees Bank
Correspondent Bank:
Name:
This will be populated from the LOV above xxx
xxx
Address:
xxx
xxx
Account No.:
xxx
xxx
Y/N
xx/xx/xx
Retroactive financing
xx/xx/xx
From (dd/mm/yy)
To
(dd/mm/yy)
Details of Expenditure
Category Summary
Number
xx
Description
xx
Currency
xx
Amount
xx
Source of
supply
%
financed
by IFAD
xx
xx
96
xx
xx
xx
xx
xx
xx
TOTAL
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
Procurement Details
a)
xxx
xxx
b)
c)
d)
xxx
xxx
xxx
Certification for financing to a country
We hereby apply for withdrawal from the Loan/Grant Account opened under the IFAD Financing Agreement and hereby certify as follows:
A.
The undersigned has not previously withdrawn from the Loan/Grant Account to meet these expenditures and has not and does not intend
funds for this purpose out of the proceeds of any other loan/grant/financing.
B.
The goods and services covered by this application have been or are being purchased and/or procured in accordance with the terms of th
General Conditions for Agricultural Development Financing
C.
D.
xx/xx/xx
xx/xx/xx
From (dd/mm/yy)
To (dd/mm/yy)
The undersigned hereby certify that the expenditures for which replenishment is claimed in Form 102
A and 102 B are correct, for the Project as provided in the IFAD Financing Agreement. We certify
that the expenditures incurred are within the statement of expenditure (SOE) thresholds and represent
resources used in compliance with the principles of legality, regularity and sound financial
management. We certify that the audit requirement outlined in article VIII and section 9.01 of the
General Conditions will be complied with, and that the requirements for maintaining records and
documentation for expenditures disbursed using the Statement of Expenditure (Form 102/A) modality
and outlined in section 4.04(c) and (d) of the General Conditions, will be complied with. This
includes, inter alia, that an annual audit will be carried out and that the documentation (including
purchase orders, invoices, evidence of payment and delivery and any other relevant documentation
evidencing the expenditures) will be retained for 10 years after the Closing Date of the IFAD
Financing, and that such records and documentation will be made available to IFAD representatives
for review on request.
97
The undersigned hereby certify that all the supporting documentation to this withdrawal application has
been submitted in accordance with the Letter to the Borrower and the Loan Disbursement Handbook
We hereby apply for this withdrawal from the Grant Account and hereby certify and agree as follows:.
A. The funds covered by this application are required exclusively for the purposes of the Project.
B. The certified Statement of Expenditures provides detailed information on the utilisation of the immediately
preceding advance and confirms that the funs withdrawn have been exclusively used in accordance with
the Grant Agreement. All documentation authenticating these expenditures has been retained in
accordance with paragraph 6.13 of Schedule 6 of the Agreement (the above article does not apply for first
withdrawal application).
xxx
xx/xx/xx
Name of Borrower/Recipient
Date (DD/MM/YY)
xxx
Name(s) and Title(s) of Authorized Representative(s)
xxx
online approval (s) of Authorized Representative(s)
All sections will be populated from the information inserted by the initiator or from the standing
data. Only the fields with information will be included. Where the field is blank this will not show on
the notification. Where noted there will be hyperlinks either to scanned documentation to enable
any approver within the workflow to review the request and the supporting documentation.
It should also be possible to possible to print the form so that the authorised signatory for the B/R
can sign it and submit in hard copy to IFAD.
Where the form is approved electronically the names of the person approving should be captured.
Approval notifications will need to be maintained and fully accessible by IFAD staff for audit
purposes.
Where the WA is submitted at the level of project and there is more than one FX account associated
with the project and therefore the initiator will need to provide the allocation of the WA to the
different types of financing, the Notification will be modified to include the information on the
various accounts concerned see sample below. This will also be true for the notification to IFAD
staff.
98
xxx
xxx
Total to be paid
xxx
xxx
Total to be justified
Withdrawal Amount
Split by funding source
Account number 1
xxx
xxx
Currency Name
xxx
xxx
xxx
xxx
Account number 2
xxx
xxx
xxx
xxx
Payment Instruction
Payees Name and Address:
xxx
Payees Bank
Correspondent Bank:
(not required when using the Direct Payment procedure)
Name:
xxx
xxx
Address:
xxx
xxx
Account No.:
xxx
Retroactive financing
xxx
Y/N
xx/xx/xx
xx/xx/xx
From (dd/mm/yy)
To (dd/mm/yy)
Details of Expenditure
Category Summary
Number
Description
xx
xx
xx
xx
Currency
xx
xx
xx
xx
xx
xx
xx
xx
TOTAL
Documentation of Eligible Expenditure
Electronic Statement of Expenditure
Scanned Statement of Expenditure
Copies of records
Amount
xx
xx
xx
xx
xx
xx
xx
xx
Source of
supply
%
financed
by IFAD
Account number 1
allocation
Account
number 2
allocation
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
etc
1.12.
List of notifications for review
At all stages in the process, once the notification is created, the users will have a list of outstanding
notifications to be reviewed.
1.13.
99
In the case where the Withdrawal Application has been submitted on paper, the
data will have been inserted/uploaded by a FA. The notification will be routed to
the FO for review and approval that the data inserted agrees with that on the
paper documents.
The FO or FA will have the possibility to reject the request back to the FA (hard
copy) with a comment box for communication to the FA
Withdrawal application number xxx for financing xxx has not been accepted by IFAD.
For further information, please see below
Comments
1.14.
Submission to IFAD in an internal review system
Once submitted to IFAD a series of notifications will be generated:
Time, date:
WA xx for project xxx, account number xxx has been submitted to IFAD for processing
To the following users: Finance Assistant, Finance Officer, CPM (if certification is to be
maintained) and to B/R.
For financing to a country the information on who to route the notification to can be
obtained from the Access/Identity management system and by reference to the country.
1.15.
IFAD users to be able to view and review information submitted in a user-friendly
manner
1.15.1. Form:
A sample form for presentation of the data is attached. It is envisaged that this information
be presented on one screen, possibly as a notification. In addition to the information made
available to the B/R the following information will be included:
Authorised allocation for Accounts which are Special Accounts (i.e. imprest
accounts)
Status (see 60 in Attachment 1)
Risk rating
Percentage of advance to be recovered for Accounts which have an Advance
account (for revolving fund only)
AWPB approved (for revolving fund only)
Amount of AWPB (for revolving fund only)
Period of AWPB (for revolving fund only)
Percentage of AWPB to be financed for revolving fund only
Ineligible expenditure pending
Status of funds (BI report)
SOE threshold for each category
100
The amount being requested for payment exceeds the available amount of donor funds.
Follow up is required
For loans: compare the balance on the financing + current request for payment
to outstanding advance. If (balance on the financing + current request for
payment) < 2 * outstanding advance
The balance in the loan account is less than 2 times the outstanding initial deposit
For all financing: if current date closing date < 6 months
There are less than 6 months to completion date
101
102
xxxxxxxxxxxx
Borrower/Recipient name
xxxxxxxxxxxx
Account number
xxxxxx
Project Name
xxxxxx
Funding Sources
Financing Type
Application No.:
xx/xx/xx
xxxxxx
xxxxxx
Closing date
xx/xx/xx
xx/xx/xx
Authorised Allocation
xxxxxx
Y/N
CCY xxxxxxx
Status
xx
Risk rating
xx
Y/N/n/a
Amount of AWPB
CCY xxxxxxx
Period of AWPB
xxx
xx
Currency
xxx
xx
Currency
Withdrawal Amount
xxx
For special ac
xx %
For revolving fund
dd/mm/yy to dd/mm/yy
xx %
xxx
Amount to be Paid in
Figures
xxx
Amount
to
be
Justified in Figures
xxx
Currency
Amount Requested in
Figures
Disbursed
Available
balance
SOE threshold
% financed by
IFAD
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
103
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
Warning messages
The amount being requested for payment exceeds the available amount of donor funds. Follow up is required
The balance in the loan account is less than 2 times the outstanding initial deposit
There are less than 6 months to completion date
There are outstanding advances
Payees Bank
Name:
xxx
Address:
Correspondent Bank:
(not required when using the Direct Payment
procedure)
xxx
xxx
xxx
Account No.:
xxx
104
Description
Currency
Amount
Source of
supply
% financed by
IFAD
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
xx
TOTAL
xx
xx
xx
xx
xx
xx
Copies of records
xx
Procurement Details
a)
xxx
b)
c)
d)
xxx
xxx
Name of Borrower/Recipient
xxx
Name(s) and Title(s) of Authorized Representative(s)
xxx
xx/xx/xx
Date (DD/MM/YY)
xxx
Signature(s) of Authorized Representative(s)
105
Ineligible expenditure: The CPM will be able to note that the value of the
WA should be reduced in the case that ineligible expenditure is noted. The
CPM will be required to insert information on the amount of the ineligible
expenditure and a description. This information will be available for
subsequent reviewers on the review form. If ineligible expenditure is noted
the WA will be routed to the FA for reduction. The amount of the ineligible
expenditure and the description will be interfaced to the FM tool once
approved by the FO.
d. Once reviewed the CPM will have one of three options:
Reject: a notification will be sent to the FA/FO stating that the WA has
been rejected by the CPM. The CPM will have the possibility to insert
comments as to why the WA has been rejected and this information will be
available to FA/FO. Only the FA/FO will be able to reject a WA back to the
B/R.
WA xxx for Financing xxxxxxx has been rejected by the CPM
Comments
e. Once all issues with the WA have been resolved by the CPM, clearance is given. The
process for the review of the WA by CFS will continue regardless as to whether CPM
106
f.
clearance is provided or not. However WAs for high or medium risk projects will not be
interfaced to Flexcube unless the WA has also been certified by the CPM. (see flowchart)
If the WA is for an Advance payment to a revolving fund account i.e. where the Category
Type is ADV, the WA will be routed to the CPM for certification that the amount
requested is in line with the AWPB. If functionality is included to upload and approve the
AWPB then the amount of the AWPB should be included on the review page for CFS.
1.17.
Risk-based disbursement methodology to be applied to routing of request:
a. The routing of the request based on risk-based disbursements needs to be completely
configurable. This includes also determining whether certain error or warning messages
affect the routing of the WA. The following sections of this paragraph describe the current
requirements and are included in order to understand the complexity of the routing
required.
b. Regardless of risk rating of project, the following withdrawal applications will be routed
directly to the FA for verification:
Imprest
account
Risk
Routing
Initial deposit
N/a
N/a
N/a
All
FA
Advance
N/a
N/a
N/a
All
FA
Replenishment
Yes
Yes
N/a
Low
FO
Reimbursement
Yes
Yes
N/a
Low
FO
Justification
Yes
Yes
N/a
Low
FO
Results Based
disbursement
N/a
N/a
Yes
Low
FO
107
Risk
STP
Materiality
(absolute)
Materiality
(relative)
Initial deposit
All
No
N/a
N/a
Advance
All
No
N/a
N/a
Replenishment
Low
Yes
< USD1
million
<30% of
financing
Reimbursement
Low
Yes
< USD1
million
<30% of
financing
Justification
Low
Yes
< USD1
million
<30% of
financing
Results Based
disbursement
Low
Yes
< USD1
million
<30% of
financing
1.19.
Comparison of information with standing data and routing of requests for review
based upon decision trees inherent within the system
a. One WA may contain several requests for payment . The FA/FO will need to have the
possibility to treat these separately and approve or reject individual transactions.
b. For all WAs routed to Finance Assistant there will be the possibility for the FA to:
Temporarily Reject: the WA will be routed back to the B/R. The FA will
have the possibility to insert comments as to why the WA has been
108
Final rejection: the WA will be routed back to the B/R. The FA will have
the possibility to insert comments as to why the WA has been rejected. The
B/R, FO and CPM will receive a notification. It will not be possible to
resubmit the WA:
WA no. xxx has been rejected by IFAD for the following reason: insert text
d. For all WAs routed to Finance Officer there will be the possibility for the FO to:
Validate: if the project risk is low or medium and the financing is not a
Grant and the amount is greater than USD 1 million the WA is routed to a
second FO for review and approval. If the project risk is High or the
financing is Grant and the amount is greater than USD 500,000 the WA is
routed to a second FO for second review and validation. Otherwise the WA
passes to the approval stage;
Reject: the FO will have the possibility to reject back to the FA for follow
up or back to the B/R. WA will be routed back to the relevant user. The FO
will have the possibility to insert comments as to why the WA has been
rejected. If rejection is to the FA, the FA will receive a notification of the
rejection. If the rejection is to the B/R, the B/R and CPM will receive a
notification and the WA will become available for edit by the B/R
WA no xxx has been returned for the following reason : insert text
The WA no xxx is now available for editing or for the submission of additional
information
109
Final rejection: the WA will be routed back to the B/R. The FA will have
the possibility to insert comments as to why the WA has been rejected. The
B/R, FO and CPM will receive a notification. It will not be possible to
resubmit the WA:
WA no. xxx has been rejected by IFAD for the following reason: insert text
1.20.
Amendment of WA by B/R
a. If the WA is put on hold by the CPM, FO or FA, or if it is rejected back to the B/R, the WA
in the system will become open for editing.
b. If the WA is rejected, the B/R will be able to amend the WA, however it will require to be
re-approved by the approver before being submitted to IFAD.
c. If the WA is put on hold and if any information in the input boxes of the Form 100 is
edited then the WA will require to be re-approved. If the change is only to upload scanned
documents, then no re-approval will be needed.
d. If additional information is uploaded by the B/R this should be easily identifiable by the
FA/FO and CPM. A notification should be sent informing FA/FO and CPM
WA xxx for financing xxx has been amended by the B/R
1.21.
Second Validation
a. If the WA requires a second validation it will be routed to the relevant FO who will have
one of three options
Reject: the WA will be routed back to the FO. The second validator will
have the possibility to insert comments as to why the WA has been
rejected.
1.22.
Approval stage
a. Once the WA has been reviewed and validated the system checks whether CPM approval
has been provided for those financing instruments which require such approval (see 1.16
above). If CPM approval has been received, the WA is ready for approval. The FO receives
a notification with a link to the approval page
WA xxx is ready for approval, click here to approve for payment
b. Notification should be sent to the FO if a WA remains in the approval stage for more than
2 days:
WA xxx is ready for approval, click here to approve for payment
c. If a WA is in the approval stage and CPM clearance is required and has not been received,
the CPM will receive a notification every 2 days until resolved
WA xxx is awaiting your clearance, please review and provide clearance
1.23.
Creation of record in Records Management System
Once the approval has been given by the FO and by the CPM, a record of the full withdrawal
application (Form 100 and scanned documents attached or Phase 2 - Form 100, 101, 102, 104, 105
110
111
Forms (Phase 2)
1.29.
Overview (Phase 2)
There will be the possibility to enter data from the current forms in use in IFAD into the portal. The
forms will cascade as follows:
I.
Certain data on the form is should be cross-referenced to the same figure on another form. The cells
which cross-reference are shaded as indicated with the relevant form reference included as text.
Form 100
Certain information is not obligatory, this will depend upon the underlying agreement with the B/R.
These cells are marked as follows:
For the detailed forms, the fields which should be calculated by the system are marked as follows:
112
9.
10.
That the Forms 102 do not include any amount greater than the SOE threshold for the
category. If an amount is included which is greater than the SOE threshold, the following
error message will be given and the line will be highlighted in red.
Form 102 includes amounts greater than the SOE threshold for this category. Please review the
submission and amend
1.31.
Special cases (Phase 2)
a. If the B/R is a non-country i.e. financing is a non-country grant, the Summary Sheet is in a
different format and the subsequent forms 101, 102, 104 and 105 are not required.
b. If the financing includes a category for Credit and Guarantee Funds, or Grants & Subsidies or
Investment Capital, the SOE form for that line will be the one for Rural Financing. A table
should be maintained of category numbers for which the Rural Financing form is to be used.
This must be updatable by an Administrator function within the system.
Rural Financing categories
Category Number
2000010
2000012
2000030
2000031
2000032
113
d. If on line approval is used, Form 105 should be available for the B/R to compile and submit
or compile and print, depending on whether full electronic forms are used or whether
scanned forms are uploaded. The example in Attachment 5 shows which fields can be
populated automatically depending on the type of submission used.
114
Information needed
Format
Source
Status
10
Project Risk
HML
FM tool
Alphanumeric
6 lines
Alphanumeric
6 lines
Alphanumeric
Flexcube
Data available
but only
captured on
spreadsheet.
FM tool not
yet in place
Data available
20
Flexcube
Data available
Flexcube
Data available
Flexcube
Data available
50
Financing Type
Flexcube
Data available
60
Status
[Work Flow Status]
APPR -Approved
CANC Cancelled
CLSD - Closed
DSBL - Disbursable
ENTF Entered into
Force
EXPD - Expired
PAID - Repaid
SIGN - Signed
SPND - Suspended
Flexcube
Data available
70
Funding Source
Data available
80
Categories
90
100
Currency of Special/Advance
account
Type of Special/Advance
account
25
30
40
110
*
*
Flexcube
Data available
Data available
but only
captured on
spreadsheet.
FM tool not
yet in place
Data available
Data available
115
Closing date
Completion date
Original Financing amount
*
*
*
150
Amounts Disbursed
160
Amounts undisbursed
170
180
190
Start-up costs
200
210
220
230
Retroactive financing
240
Minimum WA amount
SPL
Date
Date
Currency and
amount (normally
SDR but can be US$,
EUR or other)
Currency and
amount (normally
SDR but can be US$,
EUR or other)
Currency and
amount (normally
SDR but can be US$,
EUR or other)
Date
Percentages to be
recovered for each
WA9
Currency and
amount (normally
SDR but can be US$,
EUR or other)
Number 1-100
Number 1-100
Currency and
amount (normally
US$, but can be EUR
or other)
Yes or No and
Amount
Currency and
amount (normally
SDR but can be US$,
EUR or other)
Or percentage of
advance or AWPB
This field can also be
To be investigated further
Flexcube
Flexcube
Flexcube
Data available
Data available
Data available
Flexcube
Data available
Flexcube
Data available
Data to be
captured
Excel
Data available,
spreadsheets/
however not
emails
in one place
possibly in FM
Tool
Financing
Data to be
agreement
captured
possibly in FM
Tool
Flexcube
Data available
LTB
FM Tool
LTB
FM Tool
Data to be
captured
Data to be
captured
116
Ineligible expenditure
pending
255
260
270
zero
Y or N
Number 1-100
Yes or No with
comment field
Area where RBD can
be updated and
dictates workflow
LTB
FM Tool
LTB
FM Tool
??
Portal
Data available
on a
spreadsheet.
To be included
in FM tool
Data to be
captured
Data to be
captured
117
118
Application type
* Advance for start-up costs
Advance payment or Initial deposit
Replenishment
Direct Payment
Reimbursement
Justification
Imprest Account
Revolving Fund
Flexcube field/Trx
Country
If Loan then PRODUCT_CATEGORY
If Grant then PRODUCT_DESC
If DSF then PRODUCT_CATEGORY
Work Flow Status
Project Name
Account
Alternate Account Number
Project ID
Amount Financed
Disbursable date
Closing date
Project Completion date
Total Utilized Amount
Total Available Amount
119
PRODUCT_DESC
ORDINARY TERMS SDR
INTERMEDIARY TERMS SDR
HIGHLY CONCESSIONAL TERMS 0.75
pc
HARDENED TERMS
HIGHLY CONCESSIONAL TERMS 1.00
pc
INTERMEDIARY TERMS
IFAD FUNDED GRANTS
LOAN COMPONENT GRANTS
SUPPLEMENTARY FUNDS GRANTS
ECD GRANTS
ORDINARY TERMS
DSF SELF-STANDING GRANTS
DSF HC GRANTS
ORDINARY TERMS EUR
LOAN ADMINISTRATION ONLY
INTERMEDIARY TERMS EUR
BLENDED TERMS
ASAP GRANTS
DEBT SETTLEMENT PLAN
PRODUCT_CATEGORY
LOANS
LOANS
LOANS
LOANS
LOANS
LOANS
GRANTS
GRANTS
GRANTS
GRANTS
LOANS
DSF
DSF
LOANS
ADMIN_LOANS
LOANS
LOANS
GRANTS
LOANS
120
xxxxxxxxxxxx
xxxxxx
Application No.: x
xxx
xxx
Currency Name
Application Type
xxx
xxx
Amount to be Paid in Figures
xxx
xxx
Amount to be Paid in Figures
We hereby apply for withdrawal from the Loan/Grant Account opened under the IFAD Financing Agreement and hereby certify as follows:
A. The undersigned has not previously withdrawn from the Loan/Grant Account to meet these expenditures and has not and does not intend to
obtain funds for this purpose out of the proceeds of any other loan/grant/financing.
B. The goods and services covered by this application have been or are being purchased and/or procured in accordance with the terms of the
General Conditions for Agricultural Development Financing approved on 29 April 2009.
C. This Application for Withdrawal covers a reporting period:
xx/xx/xx
xx/xx/xx
From (dd/mm/yy)
To (dd/mm/yy)
D. The undersigned hereby certify that the expenditures for which replenishment is claimed in Form 102
A and 102 B are correct, for the Project as provided in the IFAD Financing Agreement. We certify
that the expenditures incurred are within the statement of expenditure (SOE) thresholds and represent
resources used in compliance with the principles of legality, regularity and sound financial
management. We certify that the audit requirement outlined in article VIII and section 9.01 of the
General Conditions will be complied with, and that the requirements for maintaining records and
documentation for expenditures disbursed using the Statement of Expenditure (Form 102/A) modality
and outlined in section 4.04(c) and (d) of the General Conditions, will be complied with. This
includes, inter alia, that an annual audit will be carried out and that the documentation (including
purchase orders, invoices, evidence of payment and delivery and any other relevant documentation
evidencing the expenditures) will be retained for 10 years after the Closing Date of the IFAD
Financing, and that such records and documentation will be made available to IFAD representatives
for review on request.
Details of Expenditure
Payment Instruction
Payees Bank
Name:
xxx
xxx
xxx
xxx
Address:
Account No.:
Procurement Details
xxx
xxx
xxx
xxx
c) Currency and Total Amount of Contract:
xxx
d)
xxx
Correspondent Bank:
(not required when using the Direct Payment procedure)
xxx
Withdrawal Details
xxx
b) Percentage of Expenditures to be Financed by IFAD:
10
xxx
xxx
11
xxx
12
xx/xx/xx
Name of Borrower/Recipient
13
xxx
Name(s) and Title(s) of Authorized Representative(s)
Page | 120
Date (DD/MM/YY)
14
xxx
Signature(s) of Authorized Representative(s)
121
Accounting software:
Reporting period:
Accounting basis:
WA no.:
Category
(Schedule 2)
Category 1
Category 2
Category 3
Category 4
Category 5
Category 6
Category 7
WA Currency
USD)
Form 102
Form 101
Form 101
Form 102
Form 102
Form 101
Form 101
Form 102
Form 102
Form 101
Form 101
Form 102
Form 102
Form 101
Form 101
Form 102
Form 102
Form 101
Form 101
Form 102
Form 102
Form 101
Form 101
Form 102
Form 102
Form 101
Form 101
Form 102
Form 102
(e.g.
Total
Local
currency
Total
WA
Currency
(e.g. USD)
Form 100
Form 100
Form 100
Form 100
Form 100
Form 100
Form 100
Form 100
Withdrawal
amount
Annotations
Page | 121
WA Currency
This is the currency in which the Withdrawal Application is prepared and expenditure claimed for Replenishment
Financing number:
Reporting period:
WA No:
Accounting software:
The name of the accounting system/software in which all the expenditures are recorded in.
Accounting basis:
The basis used for accounting e.g. cash, modified cash, accrual etc..
122
Page | 122
The standards followed when preparing the project financial statements e.g. IFRS, IPSAS, IPSAS cash etc..
Categories:
Claimed under 101:
These are the categories of expenditure as expressed in the Schedule 2 of the financing agreement.
These are the expenditures below the SOE threshold and subsequently claimed under form 102 and for which no
supporting documentation is required.
These are the expenditures above the SOE threshold and subsequently claimed under form 101 and for which supporting
documentation is required.
123
_____________________________________________
_____________________________________________
_____________________________________________
______________ to ______________ in ____________ (Currency)
Category of Expenditures
Budgeted
Received
Spent
Outstanding
Totals
We hereby certify that the above amounts have been expended for Eligible Expenditures for
the proper execution of the Project in accordance with the terms and conditions of the
Agreement dated _____________.
Name and Title
_____________________________________________
Date
_____________________________________________
124
Item
No.
Name
and
Address
Contractor(s) or Supplier(s)
of
Reference to the
relevant AWPB
and
budget
line/item
Accounting
software
payment
voucher number
Reference
to
bank
statement/petty
cash
book
(transfer check)
Application No.:
xxx
Contract
or
Purchase Order No.
and Date
Brief Description of
Goods, Works or
Services
Currency
Total
Amount
of
Contract
xxx
xxx
Summary sheet
xxx
Summary sheet
Remarks
Including
of Origin
Country
125
Description of
Category:
Reporting
Period:
Date:
xx/xx/xx
From
(DD/MM/YY)
xx/xx/xx
To
(DD/MM/YY)
xxxxxxxxxx
IFAD Loan/Grant/Financing No.
xxx
Category No.
15.
Item
No.
Total
xx/xx/xx
xxx
Application No.
Full Description of
the payment
Name of the
payee/Contractor,
supplier, service
provider
Reference
to
the
relevant
AWPB
and
budget
line/item
Contract and/or
invoice number
Accounti
ng
software
payment
voucher
number
Contra
ct
value
and
curren
cy
Expenditur
e
(invoice
amount in
Currency of
the
payment)
IFAD
Financing
Percentage
Date of
Payment
Rate
of
Exchange
Withdrawal
Application
Currency
Equivalent Claimed for
Replenishment/
justification/reimburseme
nt
Summary Sheet
Reference
to
bank
statement/petty
cash
book
(transfer check)
Country
Origin
other
of
and
126
*The undersigned hereby certify that the expenditures for which replenishment is claimed herein are correct, for the Project as provided in the IFAD Financing Agreement. We certify that the expenditures incurred
are within the statement of expenditure (SOE) threshold of equivalent US$XXX or Currency for this Category, and represent resources used in compliance with the principles of legality, regularity and sound financial
management. We certify that the audit requirement outlined in article VIII and section 9.01 of the General Conditions will be complied with, and that the requirements for maintaining records and documentation
for expenditures disbursed using the Statement of Expenditure (Form 102/A) modality and outlined in section 4.04(c) and (d) of the General Conditions, will be complied with. This includes, inter alia, that an annual
audit will be carried out and that the documentation (including purchase orders, invoices, evidence of payment and delivery and any other relevant documentation evidencing the expenditures) will be retained for
10 years after the Closing Date of the IFAD Financing, and that such records and documentation will be made available to IFAD representatives for review on request.
(Borrower/Recipient)
Certif
ied
by:
Certified by:
(Project
Accountant)
By:
(Project Director)
(Authorized Representative)
127
Description of Category:
Reporting Period:
Date:
xx/xx/xx
To
(DD/MM/Y
Y)
xxxxxxxxxxxx
IFAD Loan/Grant/Financing No.
xxx
Category No.
16
Item
No.
Total
xx/xx/xx
xxx
Application No.
Reference to
the relevant
AWPB and
budget
line/item
Accounting
software
payment
voucher
number
Name of the
issuing entity
(MFI etc..)
Name
of the
client/
benefic
iary
agreement/
contract
number
between
the
LPA
and
the
MFI
Contract
value
and
currency
Expenditu
re
(Currency
of
the
payment)
IFAD
Financing
Percentage
Date of
Payment
Rate of
Exchange
Withdrawal
Application
Currency
Equivalent of
Claimed
for
Replenishment
Summary
sheet
Reference
to
bank
statement/petty
cash
book
(transfer check)
Country
of Origin
and
other
remarks
128
*The undersigned hereby certify that the expenditures for which replenishment is claimed herein are correct, for the Project as provided in the IFAD Financing Agreement. We certify that the expenditures
incurred are within the statement of expenditure (SOE) threshold of equivalent US$XXX or Currency for this Category, and represent resources used in compliance with the principles of legality, regularity
and sound financial management. We certify that the audit requirement outlined in article VIII and section 9.01 of the General Conditions will be complied with, and that the requirements for maintaining
records and documentation for expenditures disbursed using the Statement of Expenditure (Form 102/A) modality and outlined in section 4.04(c) and (d) of the General Conditions, will be complied with.
This includes, inter alia, that an annual audit will be carried out and that the documentation (including purchase orders, invoices, evidence of payment and delivery and any other relevant documentation
evidencing the expenditures) will be retained for 10 years after the Closing Date of the IFAD Financing, and that such records and documentation will be made available to IFAD representatives for review
on request.
(Borrower/Recipient)
Certified
by:
Certified by:
(Project
Accounta
nt)
By:
(Project Director)
(Authorized Representative)
129
WA No.:
xxx
Project Title:
xxx
xxxx - xx
DESIGNATED ACCOUNT:
BANK NAME:
xxx
Reporting Period:
xxx
xx/xx/xx
to
US$
US$
US$
US$
US$
US$
US$
subtotal of 5
TOTAL OF BANK BALANCES [DESIGNATED A/C, PA, SUB-ACCOUNTS & CASH IN HAND BALANCE] (Li ne 4 + Li ne 5)
US$*
Form 100
US$
US$
REASON:
Eligible amount of expenditures for which a WA has not yet been prepared
DATE
US$
AMOUNT
US$
US$
subtotal of 8
US$
US$
US$
US$
12 DATE:
xx/xx/xx
SIGNATURE:
Na me i n Ful l
Ti tl e i n Ful l
xx/xx/xx
130
Project Title:
xxx
xxxx -xx
WA No.
Reporting Date:
xxx
xx/xx/xx
to
xx/xx/xx
xxx
xxx
US$
US$
US$
less Number 2)
US$
US$
US$
US$
Subtotal of 5
TOTAL OF BANK BALANCES, DA, PA, SUB-ACCOUNTS, CASH IN HAND (Line 4 + Line 5)
6 PLUS TOTAL AMOUNT CLAIMED IN THIS WA No. -----
US$
US$*
US$
US$
DATE
USD
AMOUNT
Subtotal of 8
9 MINUS INTEREST EARNED (to be completed; if zero please mark "0")
10 TOTAL ADVANCE ACCOUNTED FOR ( Line 5* through Line 9)
11 EXPLANATION OF ANY DIFFERENCE BETWEEN THE TOTALS APPEARING ON LINES 3 AND 10
e.g. non-eligible amount to be refunded to the designated account
e.g. calculation errors/errors in application of % financing
e.g. counterpart financial resources to be reimbursed
US$
US$
US$
Form 100
131
xxx
WA No.
Esignature
Esignature and
and
input of forms in
scanned
system
forms
System
System
System
System
System
System
System
System
System
6. Currency of payment
System
System
System
System
System
System
System
System
System
System
System
System
Yes or No
STATEMENT OF EXPENDITURE
1. Eligibility of expenditures claimed
(a) Within SOE financial ceiling
(b) Expenditures under specific category [-----] eligibility
2. Form 102 signed by designated Project Accountant, Project Director, Authorized Representative
3. Form 102 supported by signed Form 101 (for items reported in 2, but over the financial ceiling)
DESIGNATED ACCOUNT REPLENISHMENT REQUESTS
1. Amount within ceiling figure agreed as a reasonable limit [-- US$ or --]; or per AWP/B period
2. Amount at least equal to 20 per cent of the agreed limit; or per AWP/B projected requirements
3. Amount agreed sufficient to cover a specific reporting period (revolving fund option)
4. Exchange rate used
5. Completeness of designated account banking and account details
6. Enclosed designated account reconciliation and bank statements
SUPPORTING DOCUMENTATION (attached when/if required)
1. Copy of contract
2. Copy of invoice, certified by Project Director
3. Copy of bank guarantee and performance guarantee (for advance payment)
4. Copy of delivery receipt
5. Copy of evidence of payment
6. Completed Form 101
7. Completed Form 102 (A or B) including reference to AWPB, name of the supplier, invoice contract
number, total contract value, date of payment, list of supporting documentation, and reference to
the bank/petty cash statement.
PROCUREMENT
1. Copy of no objection(s) provided by IFAD (attached)
2. Copy of Contract Payment Monitoring Form(s) -duly Signed (attached)
3. Copy of Register of contracts- duly signed (attached)
COMPLIANCE WITH CONDITION(S) FOR DISBURSEMENT
1. In accordance with terms in section E of the Financing Agreement
2. In accordance with terms in the Letter to the Borrower/Recipient
EXPENDITURE INCURRED/COMMITTED BEFORE PROJECT COMPLETION DATE
1. Expenditure verified as eligible:
(a) contract signed before project completion date
(b) goods delivered before project completion date
(c) services completed and/or rendered before project completion date
Remarks:
132
133
10
Currently the update of banking instructions is performed by CFS and hence this would be included in the
access of the Validator and Approver. To be decided whether this function should remain in CFS. If not,
additional roles will be required for the update and for the approval of banking instructions.
134
135
Beneficiary nam e
Address/Adresse/Direccin
City/Ville/Ciudad
Country/Pays/Pas
Bank Branch/Sucursale/Sucursal
City/Ville/Ciudad
Country/Pays/Pas
Bank ID (i.e. ABA # - Fedw ire (USA) - Sort Code (GBP) - Routing No.
Intermediary/Corresponding Bank
(for USD transfers outisde USA and EUR outside EU/EEA area)
City/Ville/Ciudad
Country/Pays/Pas
PLEASE NOTE THAT ALL FIELDS ARE OBLIGATORY - INSTRUCTIONS WILL BE KEPT CONFIDENTIAL
CHANGES SHOULD BE COMMUNICATED OFFICIALLY USING THE FORM WITH STAMP/SIGNATURE INCLUDED
Date and signature/stamp of bank
(Obligatory)
136
PMU
Phase
Start
AWPB prepared/
amended
AWPB uploaded
Notification to
CPM
AWPB Submitted
No
B
R
AWPB reviewed
and approved
Yes
No
Is AWPB On
Hold, or
Rejected
AWPB Accepted
Notification to B/R
Yes
End
CPM
Yes
AWPB reviewed
and approved
Yes
End
CFS
No
Notification to B/R
137
11
The CPM will receive a notification that the AWPB has been uploaded:
AWPB for the period xxx to xx for financing xxx is ready for your review. In accordance with the
General Conditions, if no comment is provided to the Borrower/Recipient within 30 days the
AWPB shall be deemed to be acceptable to the Fund
5. The CPM will have the possibility to
o accept the AWPB or
o reject the AWPB back to the PMU and provide comments to the PMU or
o Hold the AWPB in draft status and provide comments to the PMU.
The role of the CPM will also be to ensure that the amount inserted by the B/R agrees with
that in the scanned document and that the period has been reflected correctly.
6. The AWPB will have the possibility of being in one of four statuses:
o Submitted
o Accepted
o Rejected
o Draft
7. If the status of the AWPB has not changed status in 10 days the CPM will receive notifications
every 10 days as follows:
AWPB for the period xxx to xx for financing xxx was submitted on xx/xx/xxxx and is ready for
your review. In accordance with the General Conditions, if no comment is provided to the
Borrower/Recipient within 30 days the AWPB shall be deemed to be acceptable to the Fund
8. If 30 days have gone by from when the AWPB was submitted and it has not been rejected or put
into Draft, the status of the AWPB will automatically move to Accepted and the CPM will
receive the following notification:
AWPB for the period xxx to xx for financing xxx is deemed acceptable to IFAD
9. Once the CPM takes action to change the status of the AWPB, a notification will be sent to the
B/R
9.1. On status change to Accepted
11
For the subsequent requirements, IFAD is in the process of developing a workflow for No-objections within
Scriptoria. The acceptance of the AWPB will fall into this workflow. To the extent that this functionality is
developed and delivered before LGS2, the requirements for this phase of the portal are to link to the Noobjection functionality. Phase 2 will be to build the functionality with the 3 fields noted at paragraph 3
being completed for reference in the WA submission process.
138
139
140
ABCD
Financing:
100000363100 L-I--801-
Disbursement conditions
XXXXXXXXXXXXXXXXXXXXXXXXX
CPM
approval
Documentation Confirmation
required
required
Reference
document tag
Y/N
Y/N
n/a
n/a
n/a
n/a
LTB
Y/N
Y/N
Y/N
Y/N
Y/N
Y/N
Y/N
Y/N
Y/N
3. There will be the possibility for the information submitted to flow through to the CPM, once
submitted by the B/R if necessary. The FO/FA will select approval by CPM Y or N for each
single condition.
4. Given that the information will be available to the B/R there will be a possibility for review
and approval by the FO
5. Also for review and approval by the CPM for confirmation that information for which CPM
approval is needed is correct. The CPM will see all disbursement conditions at this stage and
will have the possibility to reject back to CFS for changes.
6. There should be the possibility to link documents submitted in the disbursement conditions
process to the Reference documents section and vice versa. This will happen wherever the
disbursement condition refers to a standard tag in the Reference documents. The user will
be required to select the tag from a dropdown list and if a document exists with that tag, to
select the document and link it.
7. Once this information is approved the B/R will be able to access a screen of disbursement
conditions where the text inserted is re-proposed, together with either a box to tick (if
confirmation is needed) or the possibility to upload documentation, (where this has been
indicated by CFS).
Project Name:
ABDC
XXXXXXXXXXXXXXXXXXX
141
100000363100 L-I--801-
Disbursement conditions
Documentation Confirmation
required
required
Link
document
to Y
Fully-fledged
financial
management system installed
8. The condition concerning the Letter to the Borrower is the one condition which the B/R will
not be required to update and which is the responsibility of the Finance Assistant or Officer.
This will link with the Reference documents area of the portal.
9. Once all the boxes have been ticked or documentation uploaded, the B/R will be required to
tick a box:
I hereby certify that all the disbursement conditions for financing xxx (from a drop down list,
with the possibility to select more than one financing) have been satisfied.
And then submit
10. Submission will create a notification for the relevant FA/FO and CPM
Please note Name of B/R has declared that all disbursement conditions have been met for
Financing number please review
11. The FA followed by the FO and the CPM will review the documentation and declarations
from the B/R with 3 options for action to take:
o Approve this creates a transaction in FX whereby the status of the financing is
changed to DSBL
o Reject goes back to the B/R with a notification explaining the reason for the
rejection (missing information or additional information needed)
o On hold minor information which can be resolved in a minimum time period
12. Once all parties have approved the documentation there will be an interface to FX to update
the status of the financing to DSBSL. At this stage a notification will be sent to the B/R
Financing number xxxxxxxx is now in disbursable status and withdrawal applications can be
submitted
142
143
To the CPM
To CFS
To LEG
To Division Director
If the reallocation is between categories and not just from the unallocated category to
an existing category to the AVP PMD (after approvals a. to f. have been obtained)
If the reallocation requires the creation of a new category, the financing agreement
will require amendment and hence approval of the President
1.3. The current process requires an office memorandum to be prepared explaining the
rationale for the reallocation. This is manually routed internally in IFAD in accordance with
the attached flowchart and as described briefly in point 2 above. The text of the office
memorandum is frequently amended by CFS as incorrect/inaccurate or incomplete.
1.4. Although the client portal could be utilised for the submission of the request, the overall
automation of this process requires an approval workflow within IFAD. Consideration must
be given as to whether:
the client portal would be the most appropriate place for such workflow;
functionality already available in other systems (e.g. Scriptoria) could be used for the
same purpose.
2. Functionality for portal
1.5. There should be an area within the portal for the submission of a request for reallocation.
This can be arrived at either through the Header-search function at 1.5.1 in eSubmission of
Withdrawal Applications (Appendix 1) or by searching directly on the project. In all cases
the request for reallocation is submitted at the level of financing.
1.6. B/R will be required to select categories and insert the amounts to be reallocated. The B/R
will be able to enter/select as many lines as necessary from the financing (i.e. no need to
enter all categories). The B/R will also have the possibility of selecting a New Category and
naming it from a dropdown list of standard categories in FX.
Category Name
Category
Number
Authorised
amount (A)
Reallocation
(B)
From FX
From FX
Inserted
B/R
144
From FX
Inserted
B/R
by System calculated
1.7. B/R uploads a scanned document giving the reason for the reallocation and the amounts to
be reallocated and submits request to IFAD.
1.8. B/R receives a notification
Request for reallocation for financing xxx has been submitted to IFAD
1.9. A notification will be created with the summary of the amount being requested for
reallocation (table above) and the scanned document. Key information to be included on
the request is:
Borrower/Recipient name:
FX Account number
Project names
Funding source
Completion Date
Closing Date
To the CPM
To CFS
To LEG
To Division Director
If the reallocation is between categories and not just from the unallocated category to
an existing category, to the AVP PMD (after approvals a. to f. have been obtained)
1.12.
At each stage in the approval workflow, the notification will capture the names of
the people who have approved and their role.
1.13.
Once all approvals have been obtained the notification is routed back to the CPM
and the following text is added:
Request for reallocation for financing xxx has been fully approved, please inform the B/R
145
Once the VAMI is approved the B/R receives the following notification:
The request for category reallocation for financing xxx has been approved by IFAD and the data
entered in the system. All future reports for this financing will show the revised allocations.
146
CFS
CPM
Start
Start
Start
yes
Approve
increase in AA
No
End
Yes
Update
information
in FX
End
147
Inserted by user
An example of picklist:
Account number: 1000000363100
Alternate Account number: L-I-801Project Name: ABCD
Picklist:
Designated Account Authorised Allocation
Designated Account Authorised Allocation abc
Designated Account Authorised Allocation defg
1.8. Once submitted, a notification will be created with the summary of the change being
requested (table above) and if any scanned document. Key information to be included on
the request is:
Borrower/Recipient name:
FX Account number
Project name
Funding source
Closing date
148
Completion date
If CPM or B/R has submitted the request then notification routes to FO with copy for
information to FA and CPM
A request for a change in the special account allocation for financing xxx has been
submitted
1.10.
The CPM has the possibility to insert comments in a comment box.
1.11.
An automatic VAMI transaction is created in FX to update the DA Amount field or
the FA enters a VAMI transaction in FX which are then approved by the FO
1.12.
.If automatic VAMI is created the FO/FA will receive the following notification:
VAMIs for change in the authorised allocation of the special account for financing xxx has been
entered in the system and is awaiting your approval
1.13.
Once the VAMI is approved the B/R receives the following notification copying the
CPM:
The special account allocation for account xxx for financing xxx has been changed to CCY xxx xxx.
149
If the payment is a direct payment then the contract monitoring area should be
included in the links on Form 100 for review by the approver role at the B/R level and
by IFAD staff when reviewing the WA.
If the payment is included in the WA, the user will have the possibility of linking the
contract monitoring to a WA and then either to scanned documents (101,102) or to
the individual forms
150
151
xxx
Date(s) of No
Objection:
Contract
Officer:
Comp.:
xx/xx/xx
e-mail:
telephone:
Contract Summary
(ENTER CURRENCY)
Document
Original Contract
Amendment (AM-1)
Amendment (AM-2)
Amendment (AM-3)
Total Amount
Contract Reference
No.
Amount
Dates (start/end)
Bank Securities or
Bonds ( -- currency)
Document
Date
Amount
Expiry
Date
Extension
Advance Payment
Performance Bond
Other
Monitoring of
Payments
Payment Schedule
Milestone Expected
Amount
Total
Amount
Notes:
Progress
Certificate
No.
Date
Payments Issued
Invoice No.
Payment Amount
Date
Paid
Cheque
or WA
No.
Financial Controller:
Signature
Programme
coordinator:
Signature
Balance Due
on Contract
152
1.9. Once the recovery schedule has been completed the fields shaded as below should be zero
amounts. The initiator will have the possibility to save the recovery schedule or submit to
IFAD.
153
154
Borrower:
0.00
DD/M M /YY
(Today) Date:
DD/M M /YY
WA No.
Date
Unjustified balance
Local
Currency
USD
DEN
USD
Authorized Allocation or
Outstanding advance
DEN
0.00
0.00
Recovery Amount
(USD)
Cumulative
(USD)
JUSTIFICATION:
S/N
Period covered by WA
WA No.
(Expected) Date of
receipt
Estimated value
Local Currency
Estimated value
(USD)
Proposed
Recovery %
Nov-13
0.00
0%
0.00
0.00
Dec-13
0.00
0%
0.00
0.00
Jun-14
0.00
0%
0.00
0.00
Oct-14
0.00
0%
0.00
0.00
Dec-14
0.00
0%
0.00
0.00
Jan-15
0.00
0%
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
10
0.00
0.00
11
0.00
0.00
12
0.00
0.00
13
0.00
TOTAL
0.00
0.00
0.00
TRUE
Actual recoveries
Advance
(USD)
WA No.
Advance (DEN)
Date
Amount recovered
(USD)
Amount
Outstanding Advance
recovered (DEN)
(USD)
Outstanding
Advance (DEN)
155
Dashboards with drilldown - information which the B/R will query on in order to be able to drill down and obtain
information on the portfolio (i.e. dashboards);
Self-service for access of documents - information which is not currently made available directly to B/R; and
Self-service for running of reports - reports which the B/R will be able to run in order to obtain information
This document concerns only the reporting for the B/R (including debt servicing) and does not deal with reporting for
donors (reporting for donors is not in scope for this contract).
2. General Requirements
The information to be made available should be presented in a modern user friendly fashion in a dashboard format.
There should be links between areas facilitating user navigation.
Access of users to reports will be limited to projects, countries, recipients, funding source or a combination of these,
depending upon the overall access of the user.
Once a user has selected a single type of financing, navigation to different areas should keep the same financing
proposed with the option to select another (depending on the access of the individual).
The reports should be made available so that the user can run and obtain up-to date information as well as where
specified, run the reports at dates selected by the user.
There should be the possibility to export and download reports and pages to excel as required.
Where information is generated on a periodic basis (for example the billing statements and debit advices),
notifications should be generated to inform the user that the information is available on the portal. In the case of
billing statements and debit advices, this means linking with the distribution of these documents by RMT.
On each page there should be links to
Help information
Glossary of terms
How to contact IFAD
Policy documents
156
Reports
currently
available
Drilldown
My portfolio
Project at a
glance
Financing
Overview
Disbursements
Debit
Advice
Designated
&
Advance Account
(4)
Entrance point
for
project
information
Summary of all
active
financing
instruments by
project
(5)
Overall
operational
information
on a project
(6)
Information on
individual
financing
including
status of funds
(7)
All
disbursements
for a single
financing
(8)
Self-service
to
run
report for
single
payments
made
by
IFAD to the
project
(9)
Information on
all
the
designated and
advance
accounts
for
each financing
Report 4.1
Report 4.2
Report varies
depending
upon access of
user
No report
currently
available info
from FX
To 5.1
Project
number
To 6.1
Financing no
To 7.1
Disbursed
5.1
Information
from GRIPS
6.1 Information
from FX
6.2 - Status of
Funds
7.1 - Historic
Transaction
report
8.1 Debit
Advice
Report 9.1
designated or
advance account
Report 9.2
Treasury pooled
accounts
Information
from FX
requires
customisation
To 7.1
Amount
disbursed
To 9.1 or 9.2
Financing no
To reference
docs
To Withdrawal
application WA
no
To 8.1 WA no
IFAD
disbursements
to B/R
(10)
This page will
give
information on
the history of
total
disbursements
in a graphical
format
10.1 Graph
derived from
Disbursement
report
Financing
status
Individual
loan status
Billing
Statement
Instalment
schedule
(11)
Entrance point
for
Loan
information
Information to
Borrowers on
status of all
loans how
much has been
drawn
down
and how much
has been repaid
11.1 Loan
Disbursement
and
Repayments
Report
(12)
Information
to Borrowers
on individual
loans, how
much
has
been billed
(principal
and interest)
and
how
much
has
been repaid
12.1 Historic
repayment
File
(13)
Self-service
to run billing
statement
for
single
amounts
billed
by
IFAD
(14)
Information to
Borrowers on
future
instalments,
both
for
individual loans
and for all
13.1 Billing
Advice
14.1 Instalment
amounts by
Borrower and
due date
Requires
modification as
only has data
from FX i.e. no
analysis of data
pre 11-13
To 7.1
Disbursed
Amount
To 12.1
Account
number
To reference
To 13.1
Amount
Billed
157
User to be
able to run
at any date
and export
to excel
Amount
To 10.1
Financing
number
where user has
access
To reference
docs
Financing
number
No
Financing
number
No
Yes
docs
Financing
number
Export to excel
only
Yes
No
Yes
Yes
Yes
Yes
158
4. My portfolio
My portfolio will be the point of access of users. If a user has access to more than one project or
country, there should be the possibility to search for financing. The results of the search will depend
upon the access of the user. If the user has access to only one project the information will be shown
directly. The user will also have the possibility of designating financing as favourites to avoid having
to search each time.
Header search function
12
Title
Borrower or Recipient
Financing Type
Options
Country Name
PMU
Implementing Agency
Recipient
Comments
The options available
will depend upon the
access of the user and
will need to be defined
by the countries. All
options
should
be
available to make the
access as wide or
restricted as necessary
12
Borrowers or recipients view all financing for the country of reference or for the noncountry recipient
159
160
Project Number
Financing Number
ABCDE
1447
Alternate
Account Number
Ccy
Financing Amount
Financing Type
Status
Disbursable
Date
Closing date
Completion
date
Disbursed
amount
Undisbursed
amount
Percentage
disbursed
100000363100
123
SDR
19 600 000.00
LOANS
Disbursable
21/03/2011
30/09/2018
31/03/2018
4 896 299.21
14 703 700.79
16.50%
100000447900
123B
SDR
8 450 000.00
LOANS
Signed
8 450 000.00
0.00%
100000363200
456
SDR
630 000.00
74 272.70
555 727.30
11.80%
100000448000
456B
SDR
650 000.00
LOAN
GRANTS
LOAN
GRANTS
650,000.00
0.00%
SDR
39 330 000.00
4 970 571.91
33 709 428.09
12.64%
2,498,601.63
75.14%
Total
ABCDE
100000274900
789
SDR
10 050 000.00
LOANS
100000275000
910
SDR
635 000.00
LOAN
GRANTS
SDR
10 685 000.00
Disbursable
COMPONENT
Signed
21/03/2011
30/09/2018
31/03/2018
COMPONENT
Disbursable
26/06/2008
30/09/2017
31/03/2017
7 551 398.37
Disbursable
09/07/2008
30/09/2017
31/03/2017
635 000.00
100.00%
8 186 398.37
0.00
76.62%
1571
100000415000
124
SDR
44 140 000.00
LOANS
100000415100
126
SDR
630 000.00
LOAN
GRANTS
SDR
44 770 000.00
SDR
3 380 000.00
ASAP GRANT
SDR
950 000.00
LOAN
GRANTS
Total
ABCDE
COMPONENT
1376
Total
ABCDE
Date: As at 25/5/15
COMPONENT
Disbursable
12/11/2014
31/12/2020
30/06/2020
1 707 159.26
42 432 840.74
3.87%
Disbursable
12/11/2014
31/12/2020
30/06/2020
128 161.27
501 838.73
20.34%
1 835 320.53
501 838.73
4.10%
110000174500
200000094500
200000094500
COMPONENT
Enter
Force
Enter
Force
into
31/12/2023
30/06/2023
3 380 000.00
0.00%
into
31/12/2023
30/06/2023
950 000.00
0.00%
161
SDR
4 330 000.00
0.00
950 000.00
0.00%
162
ABCD
EFGH
IJKLM
NOPQR
ABCD
EFGH
IJKLM
NOPQR
20.00
15.00
10.00
5.00
0.00
ABCD
EFGH
IJKLM
NOPQR
163
Date: As at 25/5/15
Project Number
Financing
Number
1447
Alternate
Account
Number
Ccy
Financing
Amount
Financing Type
Status
Disbursable
Date
Closing date
Completion
date
Disbursed
amount
Undisbursed
amount
Percentage
disbursed
100000363100
123
SDR
19 600 000.00
LOANS
Disbursable
21/03/2011
30/09/2018
31/03/2018
4 896 299.21
14 703 700.79
16.50%
100000447900
123-B
SDR
8 450 000.00
LOANS
Signed
8 450 000.00
0.00%
100000363200
456
SDR
630 000.00
Disbursable
74 272.70
555 727.30
11.80%
100000448000
456-B
SDR
650 000.00
LOAN
COMPONENT
GRANTS
LOAN
COMPONENT
GRANTS
650,000.00
0.00%
SDR
39 330 000.00
23 709 428.09
12.64%
Total
21/03/2011
30/09/2018
31/03/2018
Signed
4 970 571.91
164
L-I--801-
L-I--801-
L-I--801-B
L-I--801-B
G-I-C-1159-
G-I-C-1159-
G-I-C-1159-B
G-I-C-1159-B
Millions
Financing Amount
Disbursed amount
165
USD
72 159 083.00
Financiers
IFAD Loan
IFAD Additional Loan
IFAD Grant
IFAD Additional Grant
Total IFAD
USD
26 999 850.00
12 999 660.00
999 400.00
998 680.00
41 997 590.00
National Government
National Government - additional
Total National Government
15 342 900.00
3 977 351.00
19 320 251.00
Beneficiaries
Beneficiaries - additional
8 814 400.00
2 026 842.00
10 841 242.00
XXXXXXXXXXXXX
Key Dates
Start date
End-date
14/05/2007
30/09/2018
Innovative Features
The project has a number of features that are innovative in the context of rural communities (i)
introduction of a new integrated approach to irrigation system improvements in which user
involvement from branch canal downward will ensure completion of improvements; (ii) establishment
of WUOs at the branch canal levels, with links to the farm level water management committees; (iii)
replication of the IFAD-supported farming systems research approach, which is adjusted to local
conditions to render it demand- and market driven; and (iv) introduction of a participatory extension
approach to maximize the benefits of irrigation improvements by bringing together, for the first time,
extension staff from irrigation advisory services to deliver a harmonized message on crop and water
use to the farmers.
Project Components
Community Development
166
Country: XXXXXXXXXXXXXXX
Status: Disbursing
123
Currency
XDR
19 600 000.00
Amount Financed
Cancelled or reduced
Total Utilized
4 896 299.21
14 703 700.79
24.98%
Percent disbursed
17/12/2009
15/02/2010
16/02/2010
21/02/2018
30/09/2018
In process
-
14 703 700.79
There will be drilldown from Total utilized to the Disbursements page in section 3.
The financing Overview should default to be in the currency in which the financing is
denominated, be it XDR, USD or EUR or other. The user will have the possibility of changing the
currency to one of SDR, EUR, USD or local currency for the country concerned. Where the
currency is changed from the denominated currency all figures will be calculated at the current
exchange rate of the date that the information is provided. A message will be included
explaining the exchange rate used.
Project name: ABCDE
Financing:
100000363100
Country: XXXXXXXXXXXXXXXX
Status: Disbursing
123
Financing Overview
Data as of 25/5/15
Currency
USD
Amounts are translated from the financing denominated
Currency at the exchange rate of 0.710769
Amount Financed
Cancelled or reduced
Total Utilized
27 575 766.53
6 888 734.89
20 687 031.64
24.98%
In process
Withdrawal Applications submitted
20 687 031.64
17/12/2009
15/02/2010
16/02/2010
21/02/2018
30/09/2018
167
A note should be included in the status of funds, explaining the exchange rate. The exchange
rates are available in Peoplesoft (GRIPS) for the allocation and for the disbursed from 2 tables in
Flexcube (current exchange rates and historical).
168
169
170
171
All banking information is presented i.e. including that of beneficiaries of direct payments
Request a customization of Flexcube where by a flag is introduced to be able to flag the
relevant accounts as designated and/or advance accounts.
The information will be presented in the currency of the special or advance account.
172
100000363100
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
CENTRAL BANK OF ABC
408248526
1 500 000.00
Advance to Account
Justifications
USD
USD
1 500 000.00
-
Total deposits
Documented
Outstanding balance
Transactions in process
USD
USD
USD
USD
3 039 717.61
1 539 717.61
1 500 000.00
-
Account - 2
IFAD Account number
Account Holder
Account Holder's Bank
Account Number
Current Authorized Allocation USD
100000363100
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
CENTRAL BANK OF ABC
19265161257
1 500 000.00
Advance to Account
Justifications
USD
USD
1 500 000.00
-
Total deposits
Documented
Outstanding balance
Transactions in process
USD
USD
USD
USD
1 500 000.00
1 500 000.00
-
173
Total Justifications
Balance on Account
Total deposits
Documented
Outstanding balance
Transactions in process
USD
USD
USD
USD
USD
USD
100000248900
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
CENTRAL BANK OF ABC
254082177290
1 300 000.00
1 300 000.00
(253 642.86)
(575 206.44)
(353 017.24)
(118 133.46)
(1 300 000.00)
-
57 JUST
62 JUST
64 JUST
65 JUST
USD
USD
USD
USD
12 111 487.07
12 111 487.07
-
Account - 2
IFAD Account number
Account Holder
Account Holder's Bank
Account Number
Current Authorized Allocation USD
Advance to Account
Justifications
Balance on Account
USD
USD
Total deposits
Documented
Outstanding balance
Transactions in process
USD
USD
USD
USD
100000248900
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
BANK OF NEW YORK
892569190607
6 847 149.30
6 847 149.30
-
Advances to Account
100000438700
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
EQUITY BANK LIMITED
51022294452827
EUR
EUR
1
02
SOE APR 2014 A
SOE APR 2014 B
Total Justifications
Balance on Account
EUR
EUR
EUR
EUR
Total deposits
Documented
Outstanding balance
Transactions in process
EUR
EUR
EUR
EUR
Total Advances
Justifications
120 054.00
107 073.00
227 127.00
(120 054.00)
(7 147.78)
(127 201.78)
99 925.22
227 127.00
127 201.78
99 925.22
-
174
2012
2013
2014
2015
175
2012
2013
2014
2015
176
Country:
Date:
XXXXXXXXXXXXXXXXXXX
25 May 2015
Financed
Disbursed
Amount
Amount
Billed Amount
21 940 332.63 21 940 332.63 12 355 801.00
10 100 000.00 10 100 000.00 10 100 000.00
16 199 058.88 16 199 058.88 16 199 058.88
13 965 596.31 13 965 596.31
5 142 644.00
17 289 013.55 17 289 013.55
4 901 678.00
17 891 242.22 17 891 242.22
3 915 961.00
21 800 000.00 21 800 000.00 13 352 500.00
14 600 000.00 12 466 359.02
7 300 005.00
9 050 000.00
7 551 398.37
2 345 000.00
19 600 000.00
5 864 556.33
986 667.00
8 450 000.00
44 140 000.00
1 707 159.26
215 025 243.59 146 774 716.57 76 599 314.88
Repaid
Amount
12 355 801.00
10 100 000.00
16 199 058.88
5 142 644.00
4 901 678.00
3 915 961.00
13 352 500.00
7 300 005.00
2 345 000.00
986 667.00
76 599 314.88
Outstanding
9 584 531.63
8 822 952.31
12 387 335.55
13 975 281.22
8 447 500.00
5 166 354.02
6 705 000.00
4 877 889.33
1 707 159.26
71 674 003.32
Undisbursed
2 133 640.98
1 498 601.63
14 722 110.67
8 450 000.00
42 432 840.74
69 237 194.02
Percentage Percentage
disbursed
repaid
100.00%
56.32%
100.00%
100.00%
100.00%
100.00%
100.00%
36.82%
100.00%
28.35%
100.00%
21.89%
100.00%
61.25%
85.39%
58.56%
0.00%
0.00%
83.44%
31.05%
29.92%
16.82%
0.00%
0.00%
0.00%
0.00%
3.87%
0.00%
68.26%
52.19%
177
178
Due Date
Type
15/08/2011
I
15/02/2012
I
15/08/2012
I
15/02/2013
I
15/08/2013
I
05/11/2013 ADCH_CR_INT
15/02/2014
I
15/08/2014
I
15/02/2015
L
15/02/2015
I
Total Interest
Total Principal
Total add'l charges/(credits)
Country:
Status:
123
Currency
SDR
19 600 000.00
5 864 556.33
986 667.00
986 667.00
4 877 889.33
13 735 443.67
20%
3%
XXXXXXXXXXXXXXXXXXX
Disbursing
Key Financing Dates
Approval
Signing
Effective
Completion
Closing
61 427.11
1 019 554.21
(31.59)
17/12/2009
15/02/2010
16/02/2010
21/02/2018
30/09/2018
Under/O
ver
Payment
DEN
-
Amount
Under/Over
Paid
Amount
Payment
Currency Repaid USD
USD
USD
3 192.66
USD
4 953.75
USD
5 044.91
USD
5 083.46
USD
7 573.23
USD
(31.78)
(0.19)
USD
8 157.38
(15.46)
USD
10 276.42
(2.96)
USD
1 019 554.21
USD
17 072.68
(54.20)
1 080 876.92
(72.81)
61 354.49
1 019 554.21
(31.78)
(72.62)
(0.19)
In addition with being presented with the information, users will also have the possibility of running
the report for any date period they require. This report will be exportable to excel.
Amounts billed will hyperlink to the page for the generation of the billing statement (see separate
section below)
179
180
Billing statement
181
182
183
184
185
Appendix 12 Roles
1. This area will allow users to view documents which have been made available by IFAD.
2. The Reference documents will be accessible both as a separate tab within the portal and also as
a link from the Financing number in My Portfolio, in Financing Overview and in Financing status.
3. There will be three main categories of documentation:
Financial Reference Documents
Operational Reference Documents
Documents from the Borrower or Recipient
4. Under Financial Reference Documents there should be directories for the following documents
with links to the documents themselves:
Financing agreement and amendments
Letter to the Borrower and amendments
Signatories
5. Under the Operational Reference Documents there will be directories for the following
documents with links to the documents themselves:
Design documents
Supervision reports, mid-term review reports and other official mission reports
6. Under the Documents from the Borrower or Recipient there will be directories for the following
documents with links to the documents themselves
Audited financial statements
Interim financial statements
Subsidiary Loan Agreement
Implementation Agreement or Memorandum of Understanding
Financial Reference Documents
7. The documents in point 3 are currently stored in RMS or on shared drives in xdesk. Although the
documents are stored in a structured way by project, there are many more documents available
within the relevant directories than those which the B/R will be required to view. Hence there is
the requirement for the development of a secure system for the upload and approval of
documents, referenced to the appropriate financing and/or project, to be made available for
viewing by the B/R.
8. There should be the possibility to access previous versions of the documents as well as maintain
an audit trail of the period of relevance of the documents.
9. The workflow for the upload of the documents is attached and provides that the Uploader will
upload the document in the relevant directory and this will be reviewed by the Approver and
approved or rejected. If rejected, the Uploader will be informed through notifications. If
approved, the document will be made available for viewing in the portal and a notification will
be sent to the B/R.
10. Routing from the Uploader to the Approver will be based upon information held in the
access/identity management system.
11. There should be the possibility for new areas to be added and for the documents to be sorted by
the B/R in order to find the document required. Each document will be tagged as to its contents
when uploaded and there will be a set of standard tags (Financing Agreement, Financing
186
Appendix 12 Roles
Number, Letter to the Borrower, Signatories, Start Date, End Date). It will be possible to amend
the tags by an administrator role.
12. There should be the possibility to access previous versions of the documents as well as maintain
an audit trail of the period of relevance of the documents
Operational Reference Documents
13. Currently the documents in point 4 are published on the IFAD internet site with the following
structure:
Region
o Country
Project
Design Report
Supervision report 2014
Supervision report 2013
Supervision report 20xx
14. The documents should be accessible directly from the relevant project and financing as
described in paragraph 2, through the Operational Reference Documents area
15. The Concept Note refers to the following documents:
Project Status Report
Results Indicators
RIMS (Results and Impact Monitoring system)
Project Completion Reports with assessment ratings
Documents from the B/R
16. The portal will also contain an area for the B/R to submit documents to IFAD. There should be an
area for:
17. There will be an interface with GARTS/ARTS whereby audit reports and interim financial
statements submitted within the portal will be interfaced into GARTS/ARTS.
18. There should be the possibility for new areas to be added and for the documents to be sorted in
order to find the document required. It is expected that the following categories will be
required:
187
Appendix 12 Roles
Appendix 12 Roles
The Portal will require the creation of at least the following user roles. Other roles may added as required.
Role
Borrowers/Recipients
Viewer
Responsibility
Functions
View data, run
reports;
View WA forms
Borrowers/Recipients
Author
Create withdrawal
requests, submit
banking instructions,
confirm disbursement
conditions, submit
AWPB, access Noobjection workflow
submit request for
reallocation of
categories, Submit
request for increase in
Special Account
allocation, Submit
recovery schedule,
Contract monitoring
Form
Borrowers/Recipients
Authorizer
Authorize withdrawal
requests, banking
instructions, AWPB
submission,
disbursement
conditions
Uploader
188
Appendix 12 Roles
disbursement
conditions, , requests
for reallocation of
categories, requests
for increase in special
account allocation,
recovery schedule and
contract monitoring
Validator
Review withdrawal
submission(s), banking
instructions,
confirmation of
disbursement
conditions, requests
for reallocation of
categories, requests
for increase in special
account allocation,
recovery schedule and
contract monitoring
Reviewer - IFAD
Approver
189
Appendix 12 Roles
monitoring
Viewer - IFAD
Administrate
Application access by
roles; configure or
override risk rating
category, straight
through processing,
CPM routing,
categories and
directories for upload
of reference
documents.
Phase 2
Configure new forms
for SOEs where
needed
Access administrator
Borrower/recipient
Administrate limited
application access by
role at the
Borrower/recipient
level
The access of users of the Borrower/Recipient for viewing and for the submission of requests will be limited to
those countries or projects which they are authorised to access. For example, the staff at the project level will only
have access to the information on a project (and probably not the debt-servicing area), while at the Ministry level
the user will have access to all the projects for a country and the debt-servicing area.
There will be no restrictions on access to data for IFAD staff, however the routing of requests and notifications will
depend upon the allocation of countries responsibilities to staff.
It should be noted that a borrower can be assigned a combination of external facing roles (i.e., Viewer, Author,
Authoriser), but not Validator, Uploader, Reviewer-IFAD, Approver or Administrator. The combination of roles
becomes that particular user's profile. In order to ensure segregation of duties, one user would not be assigned
Author and Authorizer.
The role of Validator, Uploader, Reviewer-IFAD, Viewer- IFAD, Approver, or Administrator are IFAD internal facing
190
Appendix 12 Roles
roles that would be assigned to IFAD staff, and consistent with Segregation of Duties, that precludes the role being
held by the same person.
Viewer-B/R: Default role to be issued to all B/R by Organization Liaisons. This permits access to the Funds
website and viewing of financing to which the viewer is authorized to access.
Author: This role issued to borrowers responsible for creating transactions within the WA process. The
Organization Liaison will determine who holds this role.
Authorizer: The allocation of this role will be assigned based on the nominees included in the standard
Authorized Signatory letter which is provided by finance recipients to nominate individuals authorized to sign
WAs. CFS will approve and ICT will set up users with this role.
Validator: This role is responsible for reviewing those WAs that fail the system validation process and may
require human review of the submitted materials. This is a role that would be held by IFAD (Finance Assistant)
and would accommodate manual intervention.
Uploader: This role will be responsible for creating an electronic request when it is submitted in hard copy. This
is a role which is held by IFAD (Finance Assistant or centralised processing unit).
Reviewer IFAD: This role will be allocated to the CPM who will have the possibility of reviewing the
transactions/requests and providing comments or approving the request. Depending on the process there will be
different levels of Reviewer and the workflow should be able to route requests from Reviewer 1 to Reviewer 2 to
Reviewer 3 etc, depending upon the organizational role of the user.
Approver: This role is responsible for Approving certain transactions prior to interface to FX. This role would be
held by CFS in IFAD (Finance Officer).
Viewer IFAD. This role would have access to all forms and all reports in view mode only. This role would be
held by relevant IFAD staff (PMD staff, IFAD Country Offices staff, management)
Administrator - IFAD: This role has the responsibility for various setup tasks such as assigning roles to users,
and/or various data elements, such as project risk rating. This role could be held by CFS or ICT.
Administrator Borrower/Recipient: This role has the responsibility for certain tasks related to system access at
the Borrower/Recipient level such as the resetting of password, updating of email addresses for the distribution of
debit advices and billing statements; limited set up of users and association of access for certain roles. It is country
or recipient (for non-country recipients) specific, hence an Administrator-B/R in one country will not be able to
give access to information other than the country/recipient to which they are assigned. The role will not be able to
assign Authorizer to any user and is incompatible with the Author and Authorizer role.