Disclosure Guide - Asian Development Bank · 3. Use the [View by:] tabs to quickly track projects with documents that are due for disclosure or display all documents for a project

Chapter 1: Chapter Name

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Disclosure Guide eOperations ADB Disclosure Management System

26 September 2016

Abbreviations ADB Asian Development Bank

ADMS ADB Disclosure Management System

COBP Country Operations Business Plan

CPS Country Partnership Strategy

CSS Country Safeguard Systems

DER Department of External Relations

EIA Environmental Impact Assessment

IEE Initial Environmental Examination

ICM Implementation Completion Memorandum

IMF International Monetary Fund

IPP Indigenous Peoples Plan

IPSA Initial Poverty and Social Analysis

MFF Multitranche Financing Facility

MRM Management Review Meeting

PCP Public Communications Policy

PDS Project Data Sheet

PI Project Implementation

PP Project Processing

RCS Regional Cooperation Strategy

RRP Report and Recommendation of the President

SRM Staff Review Meeting

TA Technical Assistance

System Roles and Responsibilities The table below describes the different actors or roles within the system and the corresponding responsibility assigned to them. ADMS responsibilities are derived from the team members’ composition in eOps and can be requested through eAccess.

Actor/Role System Responsibility Description

Project Processing Lead or Specialist

ADB Project Manager The Specialist assigned to lead the processing and implementation of the project. PTL can submit documents for disclosure to DER, and request replacement and removal of documents already disclosed on ADB’s website.

Project Processing or Implementation Analyst

ADB Project Member Staff assigned as project analyst and is allowed to submit documents for disclosure to DER, and request replacement and removal of documents already disclosed on ADB’s website.

PTL

PA


Contents Abbreviations 2

System Roles and Responsibilities 3

Introduction 6

Disclosing Project Documents in ADMS 7

Document disclosure scenarios 8

Accessing ADMS 10

ADMS page elements 12

Searching for a record 13

Disclosing a project document 14

Creating a new project document for disclosure 19

Disclosing project documents with Linked Documents 24

Withholding a document for disclosure 27

Updating the disclosure request if it was returned for revision by DER 32

Requesting to replace a disclosed document 33

Requesting to remove a disclosed document 36

Disclosing Non-Project Documents in ADMS 39

Disclosing a non-project document 40


Appendix 1: User Interface Guide 45

Appendix 2: Document Types and Versions 46

Appendix 3: Document Status in ADMS 76

Introduction The revised Public Communications Policy (PCP) 2011 which took effect on 2 April 2012 guides ADB’s efforts for transparency and accountability to the people it serves. Contained in the policy are the disclosure requirements for ADB documents.

DER’s Public Information and Disclosure Unit (InfoUnit) provides advice, guidance and tools on the disclosure requirements and monitors disclosure compliance to fulfill the requirements under the PCP.

The ADB Document Management System (ADMS) is the system used for submitting documents, both project and nonproject-related documents, for disclosure.

The ADB Disclosure Management System (ADMS) was developed as part of the eOperations Simplification effort. This is the system where documents, primarily those required by the PCP to be disclosed, are submitted for posting on ADB’s website. The system has built-in notifications for selected documents to remind staff to submit their documents for disclosure. The ADMS is also linked to eServe to handle disclosure of documents circulated to ADB’s Board of Directors.

Only documents are disclosed in ADMS. The disclosure and updating of the Project Data Sheet (PDS) will still be done in eOperations.

http://www.adb.org/sites/default/files/institutional-document/32904/files/pcp-2011.pdf

Disclosing Project Documents in ADMS

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


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Document disclosure scenarios

Automatic Disclosure – An automatic disclosure request is created for documents circulated to the Board for information, e.g. completion reports, COBP, etc. (except for nonsovereign projects). Documents tagged as “For Early Disclosure” in the circulation form are simultaneously disclosed to ADB.org and to the Board. The Project Lead and Analyst will receive an email notification once the documents are posted in ADB.org

Under PCP 2011, some Board documents may be posted on the ADB website at the same time they are circulated to the Board (For Early Disclosure), subject to the concurrence of the member country concerned.1 This is applicable to RRPs of sovereign projects and final proposals of regional cooperation strategies (RCS) and country partnership strategies (CPS).

Supporting documents (electronically linked documents) that are referred to in the RRP, CPS, or RCS shall be posted on the ADB website at the same time as the main document unless stated otherwise in the PCP.

Documents with Disclosure Reminder – Disclosure reminders are sent to the project lead, CC project analyst, for documents with specific project milestones or deadlines (based on MRM/SRM/Final ICM dates, e.g. draft safeguard documents as required by the Safeguard Policy Statement) or upon consideration ( endorsement/approval) by the Board.2 Refer to Appendix 2 for the list of project documents for disclosure and the corresponding disclosure rules for each and notification reminders.

Documents disclosed upon Board endorsement/approval include the following:

• Board-approved TA Reports

• RRPs, CPS, iCPS, and RCS, if member country did not consent to disclose early

• Board-approved major changes

1 This consent should be noted in the minutes of the loan negotiations and management review meeting for the RRP and

CPS/iCPS/RCS respectively. The concurrence of the member country concerned must be attached to the circulation request in eServe.

2 “Upon” is a defined term to mean no later than 2 weeks (14 calendar days) following the date of approval or circulation.


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• Progress reports on tranche releases for policy-based loans and grants

Documents without Disclosure Reminder – These are the documents that will not have reminders from ADMS and are required to be disclosed only upon receipt or completion and acceptance by ADB.

To avoid delays in disclosing documents, ensure that all submitted documents follow the templates available in the Board Documents and References section of http://eboard/.

Update the Milestone Events page in eOps to ensure timely sending of disclosure reminders.


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Accessing ADMS

Actor/s:

ADMS can be accessed in two ways: 1) access directly via URL, 2) access from eOps.

Access ADMS directly

To access ADMS, go to http://adms.adb.org/ on your browser or simply type ‘adms’ in the URL field. The ADMS homepage opens displaying the list of projects you are a member or assigned to. Click the [Twistie] icon beside the project number and it will show the documents that are due for disclosure.

Disclosed documents appear in the [All Documents] view or tab.

Use the same URL (http://adms.adb.org/) when accessing ADMS outside ADB. Login using the Windows ID and password.

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http://adms.adb.org/


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Access ADMS from eOps

To access ADMS via eOperations, open the project record, and then click on the [Disclose Project Documents] button found in the Project Tasks page.

ADMS opens showing only the exact project record you accessed from eOps.


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ADMS page elements

1. Use the [Search Bar] to find documents by Project Number, Project Name, Document Type, and Approval Number.

2. Use the [Quick Links] to easily access the guidelines and references about document disclosure.

3. Use the [View by:] tabs to quickly track projects with documents that are due for disclosure or display all documents for a project. The list displays only projects that you are a member of.

4. The [Operations] section is a list of projects with documents for disclosure. Certain documents may also be disclosed via eOperations.

5. The [Non-Operations] section is a list of non-project documents for disclosure.

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Searching for a record

Actor/s:

1. To search for a record, type any one of the following in the [Search Bar], and then press

the [Enter] key or click the [Search] icon.

• Project Number (the 8 digit code or the first 5 digit code )

• Project Name

• Document Type

• Approval Number

2. The system filters the list with the matching record.

To display all the records again, click the [Refresh] icon in the [Search Bar].

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Disclosing a project document

Actor/s:

To disclose a project document in ADMS:

1. Open ADMS from eOps or directly. If accessed directly, click here to know how to search a project record.

2. The Disclosure Management page opens. You may click the [Twistie] icon beside the [Project Number] to hide/show the list of documents to be disclosed.

A pre-determined list of document types will be shown depending on the project modality, amount, safeguard categorization, etc.

3. If the Board-approved or Management-approved document is on the list, click the [Update Details] icon.

To disclose non-project documents, scroll down to the Non-Operations section and click on the [Add Non-Operations Document for Disclosure] button. This button is different from the add button under the Operations section and is used SOLELY for adding documents which are not project-specific, such as annual reports, Board papers, policy papers, etc. For more information, refer to Chapter 2.

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4. The Add Document for Disclosure form will open. Click the [Browse] button, and then search your computer for the document to be disclosed.

The file size must not be over 5MB. Otherwise, contact IT Service Desk (loc. 5555) to get assistance on reducing the size.

5. The [Document Title] field defaults to the filename of the attachment. Edit as necessary. Specials characters are allowed and the maximum number of characters is 1,333.

6. Enter the document’s official cover date in the [Document Date] field.

• The Document Date should be consistent with the date provided on the attachment's cover page.

• Additional date details may be required depending on the document type and version.

• Future date is not accepted in all date fields.

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7. Indicate the document status using the [Document Version] options.

• For most documents, the version to be used is Final.

• The other versions are typically used on safeguard documents, procurement plans, etc.

• Please refer to Appendix 2 for the complete list of documents for disclosure and their corresponding versions.

8. The [Withhold from Disclosure] setting indicates if the document is to be disclosed or not. By default, the “No” radio button is ticked. If the document will be withheld from disclosure, click here to know how.

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9. Optionally, enter notes in the [Remarks] field. Text entered in the [Remarks] field will reflect in the history.

10. Click [Submit Document for Disclosure] to send the request to DER.

Save – Click the [Save] button to save the request as draft or if the document will be withheld from disclosure. The status will become “Pending for Submission”.

Cancel – Click the [Cancel] button to close the window or disregard the data entry. Data entered will not be saved.

11. Click [OK] in the message that appears.

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12. A message appears upon submission. Click the [Cancel] button to close the form.

13. The system sends a notification to DER. Once the request is complete, a notification is sent to the requestor and the status of the document changes to “Disclosed”.

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Creating a new project document for disclosure

Actor/s:

To disclose a new project document in ADMS:



3. If the document you will submit for disclosure is not on the list, click the [Add Project Document for Disclosure] button.

To disclose non-project documents, scroll down to the Non-Operations section and click on the [Add Non-Operations Document for Disclosure] button. This button is different from the add button under the Operations section and is used SOLELY for adding documents which are not project-specific, such as annual reports, Board papers, policy papers, etc. For more information, refer to Chapter 2.

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4. The Add Document for Disclosure form will open. Click the [Browse] button, and then search for the document to disclose.


5. The [Document Title] field defaults to the filename of the attachment. Edit as necessary. Special characters are allowed and the maximum number of characters is 1,333.

6. The [Document Type] is a predictive text field. A list of document types that contain the same word(s) you entered will appear as you type. Depending on your internet speed, this feature may require a few seconds before the options come out. Please refer to Appendix 2 for the list of document types in ADMS. If the document type is not yet in ADMS like CPS documents (e.g. COBP), submit document for disclosure through [email protected]

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Please refer to Appendix 2 for the complete list of documents for disclosure and their corresponding versions.


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10. Optionally, enter notes in the [Remarks] field. Text entered in the [Remarks] field will reflect in the history.


Save – Click the [Save] button to save the request as draft or if the document will be withheld from disclosure. The status will become “Pending for Submission”.



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14. The system sends a notification to DER. Once the request is complete, a notification is sent to the requestor and the status of the document changes to “Disclosed”.

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Disclosing project documents with Linked Documents

Actor/s:

RRPs, Grant Assistance Reports, Major Change Documents, Periodic Financing Requests, and Report to the President may have linked documents attached to them. Use the [Create Linked Documents] button in ADMS to view or add linked documents.


2. The Disclosure Management page opens. Click the [Create Linked Documents] button.

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3. The Select Document Type form appears. Click the dropdown list, and then select the document type intended for addition, revision or update of linked documents.

4. Click the [Create Linked Documents] button.

5. The Linked Documents home page opens. Refer to the Linked Documents QRG to learn how to add, revise or update linked documents.

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https://oistcomms.adb.org/ReleaseNotes/QRG%20-%20Linked%20Documents%20System.pdf


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6. After adding, revising or updating the linked documents, disclose the main document (e.g. RRPs, Grant Assistance Reports, Major Change Documents, Periodic Financing Requests, Report to the President) in ADMS. Click here to know how to disclose project documents.

When submitting documents for disclosure which may have Linked Documents attached (e.g. RRPs, Grant Assistance Reports, Major Change Documents, Periodic Financing Requests, and Report to the President) please always indicate in the [Remarks] field if :

1. All linked documents are for disclosure or

2. if there are documents that should be withheld, in which case, provide the specific PCP exception for each.


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Withholding a document for disclosure

Actor/s:

A document can be withheld from disclosure if it falls under the PCP’s exceptions to presumed disclosure. To withhold a document for disclosure, follow the steps below.



A pre-determined list of document types will be shown depending on the project modality, amount, safeguard categorization, etc.

3. If the Board-approved or Management-approved document is on the list, click the [Update Details] icon. If not, click the [Add Project Document for Disclosure] button.

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4. The Request Details form will open. Click the [Browse] button, and then search your computer for the document to be disclosed.

The file size must not be over 5MB. Otherwise, contact IT Service Desk to get assistance on reducing the size.

5. The [Document Title] field defaults to the filename of the attachment. Edit as necessary.





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• For most documents, the version to be used is Final.

• The other versions are typically used on safeguard documents, procurement plans, etc.


8. The [Withhold from Disclosure] setting indicates if the document will be withheld from disclosure because it falls under the PCP’s exceptions to presumed disclosure. Choosing “Yes” requires exception(s) to be specified and disables the [Submit Document for Disclosure] button.

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You can select multiple exceptions by pressing on the [CTRL] key while doing the selection.

9. Provide supporting notes or comments to DER in the [Remarks] field. Text entered in the [Remarks] field will reflect in the history.

10. Click [Save] to save in ADMS.



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12. A message appears upon saving. Click the [Cancel] button to close the form.

13. The status of the document is “Withheld”. When the time comes the document is for disclosure, click the [Update Details] icon, and click the “No” radio button in the [Withhold from Disclosure] section. Then click the [Submit Document for Disclosure] button.

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Updating the disclosure request if it was returned for revision by DER

Actor/s:

DER may return the request if there are inconsistencies or missing information in the request. When DER returns the request, the PTL and PA will be notified through email together with the reason for the return. The status of the request will become “For Revision”. To update and resubmit the request, follow the steps below.

1. Open the link in the e-mail notification to open the record. You can also open ADMS from eOps or directly. If accessed directly, click here to know how to search a project record.

2. The Disclosure Management page opens. Look for the request with the “For Revision” status. Click the [Update Details] icon.

When the request is for revision, a [Delete] icon will appear in the Delete Document column. Clicking the [Delete] icon will remove the request in ADMS. This action is irreversible. This can be used if the reason for revision is, for example, the use of an incorrect document type.

3. The Request Details form will open. Scroll down and see the reason why DER returned the request in the History section. This is also available in the email notification.

4. Update the request as necessary, all fields are open for editing. Click [Resubmit].

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Requesting to replace a disclosed document

Actor/s:

Disclosed documents may still be replaced if there are updates or corrections to the document.


2. From the search result, click the [Update Details] icon of the disclosed document.

3. The Request Details form will open showing the information about the disclosed document. Click the [Replace] button at the bottom.

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4. The Request for Replacement form appears. Click [Browse] to search for the new document.

5. Initially, the [Document Title] copies the file name. You may edit this as necessary. This will help inform the title of the document displayed on ADB.org

6. State the justification for changing the document in the [Reason for replacement] field.

7. Click the [Submit Request for Replacement] button.

After submission, the justification entered in the [Reason for replacement] field will appear in the History section found at the bottom of the Request Details form.


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9. A message appears upon submission. Click the [Close] button to close the form.

10. The system sends a notification to DER. Once the request is complete, a notification is sent to the requestor and the status of the document changes to “Replaced”.

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Requesting to remove a disclosed document

Actor/s:

Documents already disclosed can still be removed from the ADB website (except for Board-approved documents).


2. From the search result, click the [Update Details] icon of the disclosed document.

3. The Request Details form will open showing the information about the disclosed document. Click the [Remove] button at the bottom.

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4. The Request for Removal form appears. State the justification for document removal in the [Reason for removal] field.

5. Click the [Submit Request for Removal] button.

After submission, the justification entered in the [Reason for removal] field will appear in the History section found at the bottom of the Request Details form.


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7. A message appears upon submission. Click the [Close] button to close the form.

8. The system sends a notification to DER. Once the request is complete, a notification is sent to the requestor and the status of the document changes to “Removed”.

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Disclosing Non-Project Documents in ADMS

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


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Disclosing a non-project document

Actor/s:

To disclose a document in ADMS:

1. Open ADMS directly. Click here to know how to search a record.

2. The Disclosure Management page opens. Click the [Add Non-Operations Document for Disclosure] button below the Non-Operations section.

This button is different from the add button under the Operations section and is used SOLELY for adding documents which are not project-specific, such as annual reports, Board papers, policy papers, manuals, etc.

3. The Add Document for Disclosure form will open. Click the [Browse] button to attach the document for disclosure.

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4. Initially, the [Document Title] copies the file name. Edit it as necessary. Special characters are allowed and the maximum number of characters is 1,333.

5. The [Document Type] is a predictive text field. A list of document types that contain the same word(s) you entered will appear as you type. Depending on your internet speed, this feature may require a few seconds before the options come out. Please refer to Appendix 2 for the list of document types in ADMS. If the document type is not yet in ADMS, submit document for disclosure through [email protected]

6. Enter a country in the [Country] field (optional) if the document for disclosure is specifically for an ADB member country.

7. Enter the local number of the point person in the [Contact Person] field.

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• For most documents, use “Final“.



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You can select multiple exceptions by pressing on the [CTRL] key while doing the selection.

11. Optionally, enter notes in the [Remarks] field. Texts entered in the [Remarks] field reflect in the history.


Save – Click the [Save] button to save the request as draft. The status will become “Pending for Submission” or “Withheld” if Withhold from Disclosure is set to “Yes”.



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15. The document is then added. The status is updated to “For Disclosure” and DER is notified on the request. The Requestor will also be notified upon disclosure or if DER returns the document for revision.

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Appendix 1: User Interface Guide Using a form

A form refers to an editable page that allows user-inputted data to be saved. It is composed of any or a combination of the following elements:

• Text Field – an input field that allows direct text input.

• Radio buttons – an input field that allows selection of a value from a set of mutually-exclusive options laid out either horizontally or vertically.

• Date Field – refers to a date input field (with format dd-MMM-yyyy) that allows selection

of a value from a date picker pop-up window, accessed by clicking the Date Picker icon.

• Buttons – rectangular buttons that accomplishes a specific form command.

Appendix 2: Document Types and Versions How to use the table:

Document Type - gives the user an idea what document type to enter in the [Document Type] field in ADMS.

Document Version - what version to choose in the Document Version section in ADMS.

Disclosure Rule (When to disclose) – tells the user when to disclose the document.

Timing of Notification Reminder sent from ADMS – shows the timing of email notification reminder from ADMS (applicable only to certain types of document).

Remarks – other important information about the document.

Operational document types Project Documents:

Document Type Document Version

Disclosure Rule (When to disclose)

Timing of Notification Reminder sent from ADMS Remarks

Additional Financing Final

Administration Document Final

Administration of Additional Grant

Final Only if there are changes to the

project

Appendix 2: Document Types and Versions

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Annual ESMS Performance/Implementation Reports (for Category FI and Category A and B General Corporate Finance projects)

Final

For category FI and category A and B General Corporate Finance projects No later than 14 days after receipt date by ADB

Not mandatory but encouraged to be posted upon receipt Category FI and category A and B General Corporate Finance projects

Annual Monitoring Report Final

Attached Technical Assistance Final Disclosed together with the main document

For projects with TA components This is a linked document

Audited Project Financial Statement

Final Within 14 days after date of acceptance (if acceptable to ADB)

1 day after date of acceptance by ADB

Date of Acceptance by ADB is manually entered by the user in EDM

Cancellation of Loan Final

Cancellation of TA Final

Chair Summary - Development Effectiveness Committee

Final No later than 14 days after Board circulation

Change Request Final Only if there are changes to the project


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Completion Reports (Project/Program/Facility) Final

No need to indicate modality as this applies to all No later than 14 days after circulation date

1 day after circulation date

Compliance Review - Final Report

Final

Compliance Review - Monitoring Report Final

Compliance Review - Remedial Action Plan

Final

Compliance Review - Report on Eligibility

Final

Compliance Review - Terms of Reference Final

Concept Paper Final Mandatory for all except PPTA and

emergency assistance

Conference Materials Final

Contribution to ADB Results Framework

Final Disclosed together with the main document

This is a linked document

Contribution to the Output Aggregates of the ADB's Results

Final


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Corporate Audit (for Category FI) Final

For SOV: 1 day before MRM/SRM date For NSO: 1 day before Final ICM

Not mandatory but encouraged to be posted before project appraisal (if no mission for appraisal is required)

Corporate Safeguards Audit Final

Country Economic Indicators Final Disclosed together with the main document


Details of Implementation Arrangements



Development Coordination Final Disclosed together with the main document

All except emergency assistance This is a linked document

EA's Progress Report Final

Economic Analysis Final Disclosed together with the main document

Only for projects This is a linked document

Economic and Financial Analysis Final Disclosed together with the main document


Effectiveness Letter Final


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Emergency Assistance Coordination



Environmental Assessment and Review Framework

Draft For SOV: 30 days before MRM / SRM date

30 days before MRM / SRM date

Only for emergency assistance, MFF, sector loans

Final

Disclosed together with the main document

Only for emergency assistance, MFF, sector loans This is a linked document

Environmental Compliance Audit Report (for existing facilities), including a Corrective Action Plan (CAP), if required

Final

1. 1 day before MRM / SRM date

2. If project is environment category A, at least 120 days before Board date

1. 30 days before MRM/SRM date

2. 150, 135, 133, and 132 days before Board date

Projects involving existing facilities and/or business activities that already exist or are under construction

Environmental Impact Assessment

Draft At least 120 days before Board approval date

150, 135, 133, and 132 days before Board date

Only for projects classified as environment category A

Final


Only for projects classified as environment category A This is a linked document

Environmental Impact Matrix



Only for policy-based projects classified as environment category B

Final At least 120 days before Board approval date


Only for policy-based projects classified as environment category B


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Environmental Monitoring Report Final No later than 14 days after document completion (acceptable to ADB)

1 day after receipt date Only for projects classified as environment category A or B

Equivalence and Acceptability Assessments

Draft No later than 14 days after document completion

1 day after document completion date

Only for projects that use country safeguard

Final No later than 14 days after document completion


Only for projects that use country safeguard

Updated 1 day after document

completion date Only for projects that use country safeguard

Extended Annual Review Report Final No later than 14 days after board circulation date


Facility Administration Manual Final Disclosed together with the main document

Only for MFF This is a linked document

FAST Report Final

Final Report of the Special Project Facilitator

Final

Final TA Consultants’ Reports Final No later than 14 days after document completion

Financial Analysis Final Disclosed together with the main document



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Financial Intermediary: Environmental and Social Management System Arrangement

Final


Only for projects with FI safeguard issues (Env, IR, IP) This is a linked document

Financing Plan Final

Framework Financing Agreement Final Disclosed together with the main document

1 day after signing date Only for MFF This is a linked document

Gender Action Plan Final


Only for projects classified as "gender equity" or "effective gender mainstreaming" (project classification) This is a linked document

Gender and Social Inclusion Action Plan


Only for Nepal projects

Grant Assistance Report for JFPR and JFICT Final

No later than 14 days after Board approval date (if no government consent)

1 day after Board date For standalone JFPR Grant Disclosed together with the linked documents

Grant Implementation Manual Final No later than 14 days after approval by division or Country Director

Only if project is funded by JFPR Grant


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IED Annual Evaluation Report Final No later than 14 days after Development Effectiveness Committee discussion date

1 day after Development Effectiveness Committee (DEC) discussion date

IED Comments on the Management Response to Independent Evaluations

Final No later than 14 days after document completion date


Implementation Completion Memorandum

Final

Increase in Technical Assistance Budget Amount

Final Only if applicable to the TA

Independent Evaluation Report Final No later than 14 days after Board circulation date



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Indigenous Peoples Plan

Draft

For SOV:

1. Before MRM/SRM 2. Before approval of the

subproject for resettlement category A of a sector or financial intermediary project;

3. Before Management consideration of the periodic financing request for MFF tranches after the 1st tranche

For NSO: 1 day before final ICM date

For SOV:

1. 30, 15, 5 days before MRM/SRM date

For NSO: 30, 15, 5 days before final ICM date

Only for projects classified as indigenous peoples A or B

Final


Only for projects classified as indigenous peoples A or B This is a linked document

Indigenous Peoples Planning Framework Draft

For SOV: 1 day before MRM / SRM date For NSO: 1 day before final ICM date

For SOV: 30, 15, 5 days before MRM/SRM date For NSO: 30, 15, 5 days before final ICM date

ALL loans and grants for sector loan and multitranche financing facility


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Final



New No later than 14 days after receipt by ADB

1 day after receipt date Indigenous peoples A or indigenous peoples B

Updated No later than 14 days after receipt by ADB

1 day after receipt date Indigenous peoples A or indigenous peoples B

Initial Environmental Examination

Draft


Only for project classified as environmental category B This is a linked document

Final


Only for project classified as environmental category B This is a linked document

New 14 days after receipt date 1 day after receipt date Only for project classified as

environmental category B

Updated 14 days after receipt date 1 day after receipt date Only for project classified as environmental category B


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Initial Poverty and Social Analysis Final

For SOV: No later than 14 days after approval of the project concept paper For NSO: No later than 14 days after board date

For SOV: 1 day after Concept Paper approval date For NSO: 1 day after Board date

Mandatory except for PPTA and emergency assistance

Integrated Risk Assessment and Mitigating Measures

Final


Only for result-based lending projects This is a linked document

Interim/Midterm Report Final

Interim Operational Strategy Final Disclosed together with the main document

Only for emergency assistance This is a linked document

International Monetary Fund Assessment Letter Final


Only for policy-based projects This is a linked document

Issues Paper Final

Japan Fund for Poverty Reduction (JFPR) Grant Proposal

Final

Lapse of Loan Offer or Approval Final Only if there are changes to the

project


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Legal Agreement Final

No later than 14 days after signing date

1 day after signing date or 1 day after effectivity date of amendment

Only OGC is allowed to disclose ADMS will send disclosure reminder

List of Ineligible Items Final Disclosed together with the main document

Only for policy-based projects This is a linked document

Loan Agreement Final No later than 14 days after signing date

Only OGC is allowed to disclose

Mandate Letter Final

Major Change in Scope/Amount/Implementation Arrangements

Final

No later than 14 days after Board approval date

1 day after Board date Only if there are changes to the project Disclosed together with the linked documents

Management Response to Independent Evaluations Final

No later than 14 days after document completion


Memorandum of Agreement (MOU)/Aide Memoire

Final

Multitranche Financing Facility Annual Report

Final Only for MFF-Facility

Ownership, Management, and Governance Final




58




Performance Evaluation Report (Project/Program)

Final

c/o IED; No later than 14 days after circulation to Management and the Board

Performance Evaluation Report (TA)

Final

c/o IED; No later than 14 days after circulation to Management and the Board

Performance Overview Final Disclosed together with the main document

Mandatory for projects and MFF This is a linked document

Periodic Financing Request for Project 1 Final


Only for MFF This is a linked document

Periodic Financing Request Monthly Report

Final No later than 14 calendar days from Board circulation date

1 day after circulation date Prepared by SPD

Periodic Financing Request Report

Final No later than 14 calendar days from Board circulation

For subsequent MFF tranches

PPTA Appendix Final No later than 14 days After approval of the project concept paper

1 day after concept paper approval date

Mandatory for all except PPTA and emergency assistance

Priority Sector Diagnosis and Analyses

Final


59




Program Action Plan Final


Only for results-based lending projects This is a linked document

Program Expenditure and Financing Assessment

Final



Program Fiduciary Systems Assessment Final



Program Implementation Document

Final



Program Monitoring and Evaluation System Assessment

Final



Program Results Assessment Final




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Program Results Framework Final



Program Safeguard Systems Assessment Final


Only for results-based lending projects classified under environment category B, involuntary resettlement category A or B, and/or indigenous peoples category A or B This is a linked document

Program Soundness Assessment Final



Progress Report on Tranche Release Final

If waived compliance (Board approval), within 14 days after Board approval date If complied (Management approval), within 14 days after Board circulation date

1 day after Board date 1 day after circulation date

Only for policy-based projects Document is automatically sent for disclosure upon circulation date for SOV projects

Progress Report on Tranche Report

Final No later than 14 days after Board approval

Progress Towards Millennium Development Goals and Targets

Final


61




Project Administration Manual Final Disclosed together with the main document


Project Design Advance Final

No later than 14 days of Board circulation

This document is Management-approved and is required to be circulated to the Board for information, FYI A PDA may only be provided for a first tranche under a multitranche financing facility (MFF), and not for subsequent tranches

Quarterly Monitoring Report Final

Reallocation of Loan Proceeds Final Only if there are changes to the

project

Reallocation of Proceeds Final Disclosed together with the main document

Only if applicable to the TA This is a linked document


62




Report and Recommendation of the President

Final

For SOV: No later than 14 days after Board circulation (early disclosure with government consent) For SOV: No later than 14 days after Board approval date (if no government consent) For NSO: No later than 14 days after Board approval date (if no government consent)

1 day after circulation date For SOV: Document is automatically sent to DER for web posting upon circulation For SOV: ADMS will send disclosure reminder For NSO: ADMS will send disclosure reminder Disclosed together with the linked documents

Report to the President Final

A redacted/abbreviated version shall be manually submitted in ADMS for disclosure no later than 14 days from Board circulation (for information).

1 day after circulation date Prepared for NSO projects where approval level = President Disclosed together with the linked documents A redacted/abbreviated version shall be manually submitted to ADMS for disclosure no later than 14 days from Board circulation (for information)


63




Resettlement Framework

Draft

For SOV: 1 day before MRM / SRM For NSO: 1 day before final ICM

For SOV: 30, 15, 5, 4, 3, 2 days before MRM/SRM date For NSO: 30, 15, 5 days before final review investment committee date

Only for MFF, sector loans

Final



Updated For SOV/NSO: No later than 14 days after receipt by ADB

1 day after receipt date Only for emergency assistance, MFF, sector loans


64




Resettlement Plan

Draft

For SOV:

1. 1 day before MRM/SRM date

2. Before approval of the subproject for resettlement category A of a sector or financial intermediary project

3. Before Management consideration of the periodic financing request for MFF tranches after the 1st tranche

For NSO: Before Final ICM

For SOV:

1. 30, 15, 5 days before MRM/SRM date

For NSO: 30, 15, 5 days before final review investment committee date

Only for projects classified as involuntary resettlement A or B

Final


Only for projects classified as involuntary resettlement A or B This is a linked document

New No later than 14 days after receipt date by ADB

1 day after receipt date Only for projects classified as involuntary resettlement A or B

Updated No later than 14 days after receipt date by ADB

1 day after receipt date Only for projects classified as involuntary resettlement A or B


65




Revised Financing Plan Final Disclosed together with the main document

Only if applicable to the TA This is a linked document

Revised Project/Facility Administration Manual



Updated No later than 14 days after document completion


Risk Assessment and Risk Management Plan



Safeguards and Social Dimensions Summary



Safeguards Compliance Note/Checklist Final

Safeguards Due Diligence Report Final

Safeguards screening checklist and categorization

Final

Sector Overview Final Disclosed together with the main document


Small Scale Technical Assistance (SSTA) Memo

Final


66




Social Compliance Audit Report (for existing facilities), including a Corrective Action Plan (CAP), if required

Final

1 day before MRM / SRM date 30 days before MRM/SRM date

Projects involving existing facilities and/or business activities that already exist or are under construction

Social Impact Matrix Final

1 day before MRM / SRM 30, 15, 4, 3, and 2 days before MRM/SRM date

Only for policy-based projects classified as i) involuntary resettlement category A or B or ii) indigenous peoples category A or B

Social Monitoring Report Final No later than 14 days after receipt date (acceptable to ADB)

180, 365, and 730 days after project effectiveness date

Only for projects classified as involuntary resettlement A or B and indigenous peoples A or B

SSTA Memo Or Small Scale Technical Assistance (SSTA) Memo

Final

Only for TAs with amount of up to $225,000

Strategic Environmental Assessment


150, 135, 124, 123, and 122 days before Board date

Only for policy-based projects classified as environment category A

Summary Assessment of Damage and Needs




67




Summary of Program Performance Final


Only for result-based lending projects tagged as emergency assistance This is a linked document

Summary of Project Performance Final Disclosed together with the main document


Summary Poverty Reduction and Social Strategy Final



Summary Sector Assessment Final Disclosed together with the main document


Supplementary Documents Final Disclosed together with the main document


TA Completion Report Final

No later than 14 days after Board circulation

1 day after circulation date For SOV projects : Document is automatically sent for disclosure upon circulation date For NSO projects: Notification reminder will be sent

TA Subproject Proposal Final No later than 14 calendar days of approval by the relevant authority


68




TA Validity Extension Approval Final No later than 14 calendar days of circulation to the Board for information

1 day after circulation date Not required but may be disclosed

Technical Assistance Report Final

If Approval = Board No later than 14 days after Board date If Approval = Management (VP/President) Within 14 days after Board circulation date If PPTA and amount is up to $1.5 million Within 14 days after concept paper approval date

1 day after Board date 1 day after circulation date 1 day after concept paper approval date

SOV projects: Document is automatically sent for disclosure upon circulation date For NSO projects: Reminder notification will be sent (see timing of notification reminder sent by ADMS)

Technical Assistance (TA) Letter Final

Technical Assistance (TA) Paper Final

Technical Assistance (TA) Subproject Proposal

Final

TOR of Consultants Final

Tranche Compliance Final

Updated Procurement Plan Final No later than 14 days after document completion date



69




Waiver of Loan Effectiveness Condition

Final Only if there are changes to the project


70

Non-Operational document types Administrative Documents:




ADB Annual Reports Final No later than 14 days after Board date

1 day after Board date As applicable

ADB budget for each fiscal year Final No later than 14 days after Board approval date


ADB Work Program and Budget Framework

Final No later than 14 days after Board date


Administrative Tribunal Decisions

Final No later than 14 days after Administrative Tribunal notifies the Secretary to post a decision

1 day after Administrative Tribunal notifies SEC to post a decision

As applicable

Annual Report on Country Performance Assessment with access to Asian Development (ADF) resources

Final

No later than 14 days after document completion


As applicable

Annual Report on loan servicing of developing member countries

Final No later than 14 days after Board approval date


Asian Development Fund Final

Asian Development Outlook and Asian Development Outlook Update

Final No later than 14 days after document completion

As applicable


71




Board of Directors Committee Annual Reports

Final 1 day after Board date As applicable

Chair Summary - Development Effectiveness Committee

Final No later than 14 days after Board circulation

Chairs Summary related to ADF Negotiations

Final No later than 14 days after meeting with donors

Contract Awards Final Timing of disclosure not specified in the PCP but should be document completion date


As applicable

Corporate Evaluation Study Final

Country Classification Final No later than 14 days After Board approval date

1 day after Board date

Donors Report related to ADF Negotiations

Final No later than 14 days after Board endorsement date


Financial Highlights Final

Host Country Agreements Final No later than 14 days after document completion


Subject to concurrence of country

Impact Evaluation Study Final

Invitations to submit bids or proposals for institutional procurement

Final Timing of disclosure not specified in the PCP but should be document completion date


As applicable


72




Key Indicators Final No later than 14 days after document completion


As applicable

Management Discussion and Analysis of ADB's Ordinary Capital Resources and Special Funds Resources

Final

No later than 14 days after Board date


Minutes of Board of Director's Meetings Final

No later than 14 days after Board approval of minutes but no later than 60 calendar days after Board date

As applicable

Non-financial discussion papers related to ADF Negotiations

Final No later than 14 days after circulation to the donors

Operations Manual Final No later than 14 days after document completion (issuance to staff)


As applicable

Other Resolutions of the ADB Board of Governors Final

Timing of disclosure not specified in the PCP but should be adoption date of the resolution by the Board of Governors, if Board of Directors authorizes disclosure

Outstanding Loan Service Payments

Final


73




PCP Annual Report Final No later than 14 days after Development Effectiveness Committee discussion date


Policy Paper Draft

No later than 14 days after Board circulation (for public consultation)

1 day after circulation date Document is automatically sent for disclosure upon circulation date (if Board scenario selected in eServe is For information)

Project Administration Instructions

Final No later than 14 days after document completion (issuance to staff)


As applicable

Quarterly Portfolio Update Final

Quarterly Status of PCRs and TCRs

Final

Quarterly Summary Report on Approved PPTA, SSTA, and TA Cluster Subprojects

Final

Receipt of Loan Service Payment Final

Report on Budget for Internal Administrative Expenses and Annual Capital Expenditures

Final

Resolutions of the ADB Board of Governors

Final No later than 60 days after annual meeting

As applicable


74




Review of ADB's Loan Charges and Allocation of Net Income

Final

Revised Lending Rates and Funding Cost Margins for ADB's Loan Products

Final

Risk Management Report Final

Sector Assistance Program Evaluation

Final

Staff Consultant Report Final No later than 14 calendar days of document completion/ finalization date


Statement of Recruitment and Employment Final

Strategy and Policy Paper Final

No later than 14 days after Board circulation (if public consultation is conducted) No later than 14 days after Board date (if no public consultation is conducted, except for sector and thematic policies and strategies)

1 day after circulation date Document is automatically sent for disclosure upon circulation date (if Board scenario selected in eServe is For information)

Strategy and Policy Paper: Chair's Summary

Final No later than 14 days after final Board circulation date



75




Strategy and Policy Paper: Plan for consultation (if available)

Final No later than 14 days after document completion date


Summary of Proceedings of the Annual Meeting of the Board of Governors

Final No later than 60 days after annual meeting

As applicable

Thematic Evaluation Study Final

Treasury Report Final

Unaudited condensed quarterly financial statements

Final No later than 14 days after Board date


Appendix 3: Document Status in ADMS Below are the different document statuses in ADMS.

Status Description

Pending for Submission

When the [Save] button was clicked and not yet submitted to DER, the request will be saved as draft. The status of the request will become “Pending for Submission”.

For Disclosure When the request has been submitted to DER.

For Revision When DER returns the request for changes.

Disclosed When DER disclosed the request in the ADB website. Once disclosed,

the [Link to ADB Website] icon will appear. Click to open the disclosed document from the ADB website.

For Replacement When the Requestor submitted a request to replace a previously disclosed document.

Replaced When DER has replaced the previously disclosed document.

Replacement Rejected

When DER rejected the request to replace the disclosed document.

For Removal When the Requestor submitted a request to remove a previously disclosed document.

Removed When DER removed the document from ADB website.

Removal Rejected When DER rejected the request for document removal.

Withheld When the Requestor selects “Yes” in the [Withhold from Disclosure] section in ADMS.

Appendix 3: Document Status in ADMS

77