Capital Markets Modernization Date: Project 19 June 2012 71401 PIU Director: Bakhtiyar Aziziov TTL: Uzma Khalil P120321 Proc. Specialist: Konul Veliyeva Operations Officer: Alina Tourkova Credit (LOAN): 8024-AZ, USD 12.00 mln PAS: Deepal Fernando Program Assistant: Vusala Asadova Days Execution Amendments Type-Category Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Plan / Actual Reception Short No (Amount, Date Capital Markets Modernization Contr. Prior / Proposal Note Selection of Listing/RFP No Invitation Technical No Final Objection Contract and reason Comments Project Procurement Ref. # Type Post Ad of EOI Submissio Start Completion # Method Expression submssion Objection for RFP Evaluation Objection Evaluation to Sign Signature should be Notes (Company Name) Name of Assignment / Contract LS / TB Review n of Interest to the Bank Contract indicated in the Comments) 1 08/10/2012 1:36 3 4 5 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Creation of General Framework P 11-Oct-11 20 31-Oct-11 9 09-Nov-11 37 16-Dec-11 3 19-Dec-11 56 13-Feb-12 11 24-Feb-12 7 02-Mar-12 11 13-Mar-12 27 09-Apr-12 7 16-Apr-12 21 07-May-12 1330 28-Dec-15 for stimulating supply and Corporate Solutions CMMP01-2011 CS-1 1 QCBS LS Prior capacity building of Capital Consulting Ltd. A Markets. 11-Oct-11 20 31-Oct-11 6 06-Nov-11 39 15-Dec-11 1 16-Dec-11 69 23-Feb-12 22 16-Mar-12 63 18-May-12 19 06-Jun-12 ### 0 0 730 P 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 28 15-Mar-11 3 18-Mar-11 3 21-Mar-11 730 20-Mar-13 Procurement Consultant CMMP-IC-01-2011 CS-2 2 IC TB Prior A 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 179 27-Aug-11 13 09-Sep-11 10 19-Sep-11 366 19-Sep-12 P A P 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 15-Feb-11 28 15-Mar-11 3 18-Mar-11 3 21-Mar-11 730 20-Mar-13 Financial Consultant CMMP-IC-01-2012 CS-3 3 IC TB Prior A 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 01-Mar-11 179 27-Aug-11 Cancelled P Project Audit 4 LCS LS Prior A P 26-Oct-12 14 09-Nov-12 0 09-Nov-12 14 23-Nov-12 0 23-Nov-12 14 07-Dec-12 7 14-Dec-12 14 28-Dec-12 3 31-Dec-12 14 14-Jan-13 7 21-Jan-13 29 19-Feb-13 120 19-Jun-13 Year 2011-2012 CMMP01-2012 CS-4 5 LCS Prior A P Year 2013 CMMP01-2013 CS-5 6 LCS Prior A P Year 2014 CMMP01-2014 CS-6 7 LCS Prior A P Year 2015 CMMP01-2015 CS-7 8 LCS Prior A P Development of Project Financial 19-Jan-12 0 19-Jan-12 0 19-Jan-12 0 19-Jan-12 0 19-Jan-12 0 19-Jan-12 0 19-Jan-12 0 19-Jan-12 0 7-Feb-12 0 N/A 0 17-Feb-12 3 20-Feb-12 365 19-Feb-13 CMMP-IC-02-2012 CS-8 9 IC LS Prior A Management System 23-Jan-12 0 23-Jan-12 0 23-Jan-12 0 23-Jan-12 0 23-Jan-12 0 23-Jan-12 0 23-Jan-12 0 23-Jan-12 0 17-Feb-12 0 N/A 0 28-Mar-12 0 28-Mar-12 369 1-Apr-13 Unallocated 13 P A P A P Total Consulting Services-Estimate Red Text Rows: = Actuals A Total A-B-E Components - ACTUALS Yellow Columns: Cell turns red if Planned Date has passed. Total for Consulting Services in Loan Agreement Cell turns white again if cell for Actual Date is filled in. Total SECO grant Note: Every line item represents only one lot. Days Execution Plan vs./ Actual Type-Category Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Amendment Prior / No Note Proc. Submission to No Evaluation & Contract Contarct s physical Payment to Comments/ Name of Assignment/Contract Procurement Ref. # Post Invitation Bid Opening Objection + Start Completion # Method the Bank Objection Recomm. Award Siganture Variation progress% vendor % Notes Review PSC Order 1 08/10/2012 1:36 3 4 5 9 10 11 12 13 14 15 16 17 18 19 20 P Provision of ICT for Clearing, 15-Feb-13 10 25-Feb-13 3 28-Feb-13 46 15-Apr-13 15 30-Apr-13 10 10-May-13 10 20-May-13 10 30-May-13 7 6-Jun-13 395 6-Jul-14 Settlement and Depository (Supply G 1 ICB Prior A & Installation) P ICB Prior A ICB Prior A Total Works and Goods-Estimate Red Text Rows: = Actuals Total Works and Goods - ACTUALS Yellow Columns: Cell turns red if Planned Date has passed. Total Works and Goods in Loan Agreement Cell turns white again if cell for Actual Date is filled in. NOTES: Days Execution Plan vs./ Actual Type-Category Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Days Interval Review No Note No Selection/P Adverti- Technical Capital Markets Modernization Project by Bank No No Final Objection Contract Procurement Ref. # rocure TORs sement Submission Evaluation Interviews Start Completion Name of Assignment/Contract Prior / Objection Objection Evaluation to Sign Signature Method Invitation +Shortlist Post Contract 1 08/10/2012 1:36 3 4 5 9 10 11 12 13 14 15 16 17 18 19 20 21 22 Incremental Operating Costs P Translation of draft Law on Securities CMMP-IOC-01-2012 IOC-1 1 SSS A Markets P Translation CMMP-IOC-02-2012 IOC-2 2 A P Translation CMMP-IOC-03-2012 IOC-3 3 A P PIU office operation CMMP-IOC IOC-3 4 A Training CMMP-IOC 5 P Regional Fuduiary Training, Tbilisi June 5-7, CMMP-IOC-T01-2012 IOC-4 6 A 2012 Total for IOC - ESTIMATE Red Text Rows: = Actuals Total for IOC - ACTUALS Yellow Columns: Cell turns red if Planned Date has passed. Cell turns white again if cell for Actual Date is filled in. GRAND TOTAL - PLAN GRAND TOTAL - ACTUALS Total Loan Front-end fee Loan Agrmt SECO grant Non-allocated/Contingencies Total IBRD Financing Per Category This Proc Plan Usage in USD (USD) Goods, Works, #REF! #REF! 4,300,000 0 Procurement Thresholds as per PAD & Loan Agreement Goods and Works and non-consulting services Prior Review Threshold Procurement Method Procurement Method Threshold US$ 1 ICB and LIB (Goods)  >$300K All 2 ICB and LIB (works) >$4 Mil All 3 NCB (Goods) <$300K First 2 Contracts 4 NCB (Works) <$4 Mil First 2 Contracts 5 Shopping <$100K First 2 Contracts Same as for goods 6 (Non-Consultant Services) under any method All above US$ 100,000 above sulting services Consulting services Prior Review Selection Method Threshold Comments Competitive Methods Above US$ 1  (Firms)  100,000 One goods package 2 Single Source (Firms) All Above US$ Currently none 3 Individual 50,000 Currently none Currently none Currently none Currently none g services Comments All TOR prior review All TOR prior review All TOR prior review