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Facility Administration Manual
Project Number: 35290-01 Facility Number: MFF 0030 Updated in November 2011
Multitranche Financing Facility
India: North Eastern Region Capital Cities
Development Investment Program Version 1.3
The facility administration manual is an active document, progressively updated and revised as necessary, particularly following any changes in project or program costs, scope, or implementation arrangements. This document, however, may not reflect the latest project or program changes.
CURRENCY EQUIVALENTS (as of 31 August 2011)
Currency Unit – Indian Rupee/s (Re/Rs) Rs1.00 = $0.02263
$1.00 = Rs 44.195
ABBREVIATIONS
ADB – Asian Development Bank CAA – Constitutional Amendment Act DSMC – design, construction supervision and management consultants EIRR – economic internal rate of return FGIA - first generation imprest account FFA – Framework Financing Agreement FIRR – Financial internal rate of return IEE – initial environmental examinations IPCC – investment program coordination cell IPDF – indigenous people development framework IPDP – indigenous people development plan IPEC – Investment Program Empowered Committee JNNURM – Jawaharlal Nehru National Urban Renewal Mission MFF – Multitranche Finance Facility MOUD – Ministry of Urban Development MTR – Midterm Review NSC – National Steering Committee NER – North Eastern Region NGO – Nongovernment organization NRW Non Revenue Water O&M – Operation and maintenance PHED – Public Health and Engineering Departments PFR – Periodic Financing Request RF – Resettlement Framework RP – Resettlement Plan SEA – State level Executing Agency SGIA – Second generation imprest accounts SIPMIU – State Investment Program Management and Implementation Unit SOE – Statement of expenditures UFW – unaccounted for water ULB – Urban Local Body WACC – Weighted average cost of capital WSS – Water and Sewerage
NOTES
(i) The fiscal year (FY) of the Government of India ends on 31 March. FY before a calendar year denotes the year in which the fiscal year ends, e.g., FY2006 ends on 31 March 2006.
(ii) In this report, "$" refers to US dollars.
CONTENTS
Page Preface: Facility Administration Manual – Objectives i Reference Materials ii I. PROGRAM DESCRIPTION 1 II. COST ESTIMATES AND FINANCING PLAN
A. Cost Estimate of Investment Program 1 B. Financing for Investment Program 2 C. Cost Estimates and Financing Plan of Projects 1 and 2 3 D. Allocation of Loan Proceeds of the Projects 1 and 2 4
III. IMPLEMENTATION ARRANGEMENTS AND SCHEDULE
A. Project Readiness Activities 5 B. Implementation Arrangements 5 C. Implementation Schedule and Tranches 5 D. Projection of Contract Awards and Disbursement for Projects 1 and 2 6 (including S-curve of Contract Awards and Disbursement)
IV. SUBPROJECT SELECTION CRITERIA AND IMPLEMENTATION PROCEDURE 8 V. CONSULTANT RECRUITMENT AND PROCUREMENT
A. Consultant Recruitment 11 B. Procurement 13
VI. FINANCIAL MANAGEMENT
A. Disbursement Procedures 14 B. Accounts and Auditing 16
VII. SAFEGUARDS 16 VIII. GENDER AND SOCIAL DIMENSIONS 16 IX. PERFORMANCE MONITORING, EVALUATION, REPORTING AND COMMUNICATION 17 X. ANTICORRUPTION POLICY 18 XI. ACCOUNTABILITY MECHANISM 19
APPENDIXES
1. Report and Recommendation of the President (RRP) to the Board of Directors, Multitranche
Financing Facility of the North Eastern Region Capital Cities Development Investment Program
2. Framework Financing Agreement
3. Loan Agreement (Loan 2528-IND)
4. Project Agreements (Loan 2528-IND)
5. First Periodic Financing Request (PFR 1)
6. Detailed Cost Estimate of the Investment Program
7. Project Readiness Checklist of the Government of India
8. Project Readiness Checklist for Tranche 2
9. Key Persons Involved in the Project
10. Investment Program Implementation Schedule
11. Updated Implementation Schedule (by Project Cities)
12. Contract Awards and Disbursement Projections
13. Format for Subproject Appraisal Report with Safeguards Checklists
14. Consultants Recruitment Flowchart and Consulting Recruitment Activity Monitoring (CRAM)
15. Indicative Procurement Plan for the Investment Program
16. Contract Summary Sheet
17. Disbursement Letter
18. Suggestions for Improved Claim Submission
19. Audit Letter
20. Guidelines for Calculating Project Progress
21. Template for Quarterly Progress Report
22. Template for Computing Progress for Project 1 and 2
23. Template for Project Completion Report
24. ADB‟s Anticorruption Policy
25. Project Milestone Events
26. Record of FAM Changes
27. Gender Action Plan for Tranche 2
i
Preface
The Facility Administration Manual (FAM) was prepared for the use of executing and implementation agencies provided with all essential information, or its source, required in implementing ADB's project. FAM aims at providing practical information such as templates necessary for reporting, claiming loan funds, preparing new subprojects, and others, which executing agencies can refer to at any time during project implementation. FAM supplements the project appraisal report (the Report and Recommendation of the President to the Board of Directors), the Framework Financing Agreement, the Loan Agreement, and Project Agreements prepared for the project and refers ADB's policies and procedures in various aspects. While the FAM was prepared to be consistent with documents above, they would supersede the FAM in case of any inconsistency. This FAM was prepared in the format revised in January 2010 following ADB's streamlined business process. The format and contents of FAM are expected to be firmed up as more FAMs are prepared in the new format and tested in the field. Any suggestions from executing agencies for the new format of FAM and contents are welcome. Further, the FAM contains dynamic information such as disbursement projection or procurement plans, which may be updated during project implementation. As such, the FAM shall be considered as 'live document' and would be updated time to time as necessary.
ii
REFERENCE MATERIALS (downloadable from ADB‟s website: http://www.adb.org/)
A. Loan
Ordinary Operations Loan Regulations B. Use of Consultants (http://www.adb.org/Consulting/documents.asp)
Guidelines on the Use of Consultants by the ADB and its Borrowers (April 2010)
Consulting Services Operations Manual (2008)
Handbook for Users of Consulting Services Volume I: Procedures and Practices (September 2002, 5
th Edition)
C. Procurement (http://www.adb.org/Procurement/prequalification-bid-documents.asp)
Procurement Guidelines (revised April 2010)
Guide on Bid Evaluation (updated October 2010)
User‟s Guide for Procurement of Works (September 2010)
User‟s Guide for Procurement of Works-Small Contracts (September 2010)
User‟s Guide for Procurement of Plant (September 2010)
User‟s Guide for Procurement of Goods (September 2010)
User‟s Guide for Standard Prequalification document (September 2010)
Standard Bid Documents – Goods
Standard Bid Documents – Works
Standard Bid Documents – Plants
Handbook on Problems in Procurement for Projects Financed by the Asian Development Bank, 1995
Environmentally Responsible Procurement D. Disbursement
Loan Disbursement Handbook (January 2007) E. Economic Analysis
Guidelines for Economic Analysis of Projects (revised February 1997) F. Environment and Social Dimensions
Environment Policy (2002)
Involuntary Resettlement (1995)
ADB‟s Policy on Indigenous People (1998)
Safeguard Policy Statement (2009) G. Anticorruption and ADB Accountability Mechanism
Anticorruption Policy (July 1998)
Harmonized Definitions of Corrupt and Fraudulent Practices (2006)
ADB Accountability Mechanism (http://compliance.adb.org/) H. Information Disclosure
ADB‟s Public Communication Policy (2005)
3 Appendix 1
I. PROGRAM DESCRIPTION
1. Program Area and Location. The NERCCDIP (the Investment Program) has been designed to improve the urban environment and promote reforms for sustainable, efficient, and responsive urban service delivery in the capital cities of five states in the North Eastern Region (NER), namely Agartala (Tripura), Aizawl (Mizoram), Gangtok (Sikkim), Kohima (Nagaland), and Shillong (Meghalaya). The physical investments under the Investment program, include improvements to water supply, sanitation and sewerage, and solid waste management infrastructure. Physical improvements will be coupled with urban governance, finance, and service delivery reforms and a capacity building program to support the implementation of the investment program and the urban reform agenda.
2. Projects’ Appraisal Reports and Loan Documents. The first Project, Project-1 under NERCCDIP, was appraised by ADB in the form of the Report and Recommendation of the President to the Board of Directors (RRP, Appendix 1). On financing the project activities, the Government of India, the executing agencies, and ADB entered into the Framework Financing Agreement (FFA, Appendix 2), the Loan Agreement for Project-1 (Appendix 3) and the Project Agreements for Project-1 (Appendix 4) in response to the First Periodic Financing Request (PFR1, Appendix 5). Government has recently requested financing of Project 2 under the Investment Program. Project 2 was appraised by ADB in March 2011.
3. Design and Monitoring Framework (DMF). Refer to FFA, Schedule 2, PFR1, Annex 4 and PFR2 Report, Appendix 3, for the DMFs that describe the goal, outcomes, outputs, and activities/inputs for the whole investment program, Project 1 and Project 2, respectively.
II. COST ESTIMATES AND FINANCING PLAN
A. Cost Estimate of Investment Program
4. The cost of the entire investment plan for water, sewerage and sanitation and solid waste management in the five capital cities of NER for the next 20 years period is estimated at $1.1 billion, out of which the estimated cost of NERCCDIP is $285.7 million (Table 1). Detailed cost estimates are in Appendix 6.
Table 1: Program Investment Plan ($ million)
Items Amount Percentage
A. Base Costa
1. Urban Infrastructure and Service Improvement
a. Water Supply 73.8 25.8
b. Wastewater Management 83.4 29.2
c. Solid-Waste Management 16.0 5.6
2. Capacity Development and Investment Program Management
a. Capacity Building 5.9 2.1
b. Investment Program Management 18.8 6.6
3. Taxes and Duties 26.8 9.4
Subtotal (A) 224.7 78.6
B. Contingenciesb 31.9 11.2
C. Financing Charges During Implementationc
29.1 10.2
Total (A+B+C) 285.7 100.0 Note: Numbers may not sum precisely because of rounding.
a In end 2008 prices. Purchasing power parity was used as the base assumption in forecasting foreign exchange
rates during project implementation years, as suggested in ADB. 2002. Guidelines for the Financial Governance
and Management of Investment Projects Financed by the Asian Development Bank. Manila. b Physical contingencies computed at 10% for civil works; and 5% for equipment.
Price contingencies were computed
at 0.5% for domestic inflation and 0.4%–1.4% for international inflation.
4
Investment Program
Project 1
Infrastructure Subprojects
Capacity Building
Project 2
Infrastructure Subprojects
Capacity Building
Project 3
Infrastructure Subprojects
Capacity Building
Framework Financing Agreement
Tranche 1 Loan
Agreement
Tranche 2 Loan
Agreement
Tranche 3 Loan
Agreement
Financing Financing Financing
Intent to finance Investment Program
c Includes interest and commitment charges. Financing charges assume an interest rate computed at the 6-month
London interbank offered rate, a spread of 20 basis points, and a commitment fee of 0.15%. Available:
http://www.adb.org/Media/Articles/2007/12313-asian-loans-charges/
Source: Asian Development Bank estimates.
B. Financing for Investment Program
5. Multitranche Financing Facility. ADB will provide financing up to an equivalent of $200 million from ADB‟s ordinary capital resources to help finance the Investment Program. The financing will be provided under an MFF in accordance with ADB policy.
1 The FFA outlines the specific terms and
conditions under which succeeding tranches will be made as well as PFR1 in an amount of $30.0 million of ADB loan and a total cost of $42.8 million. The minimum amount of subsequent PFRs is $30 million.
Table 2: Financing Plan
($ million)
Source Total %
Asian Development Bank 200.0 70.0
Government of India and states governments 85.7 30.0
Investment Program Total 285.7 100.0 Source: Asian Development Bank estimates.
Diagram 1: Financing Structure under MFF
1 According to MFF guidelines (ADB. 2008. Operations Manual Section D14/BP: Multitranche Financing Facility.
Manila), the MFF will extend several loans to finance a range of subprojects under NERCCDIP, subject to the
submission of a related PFR by the Government and the execution of the related loan and project agreements.
5
6. Tranches under MFF. ADB will provide loans under the MFF as soon as the projects are ready for financing and upon submission of a satisfactory related PFR. Each loan will constitute a tranche and may carry terms different from the financing terms of previous or later loans. The choice of financing terms will depend on the project and ADB‟s financing policies at the time the loan is documented in a legal document. Tranches may be provided in sequence or simultaneously, and may overlap. The Government will provide the proceeds of each tranche to MOUD and each state to be applied to the financing of expenditures of the Investment Program, in accordance with conditions set forth in the FFA and the loan agreements for each tranche.
7. The ADB loans under the MFF will finance civil works, equipment, consulting services, and capacity building costs. All the provisions of the ordinary operations loan regulations applicable to London interbank offered rate (LIBOR)-based loans dated 1 July 2001 will apply to each loan, subject to any modifications that may be included in any loan agreements. The Government has the option to choose between eligible currencies and interest rate regimes for each loan. The specific terms of each loan will be based upon the related PFR with interest determined in accordance with ADB‟s LIBOR-based lending facilities.
8. Each PFR will have been technically prepared, financially appraised, and processed in compliance with the applicable social and safeguard frameworks. Each PFR will specify the tranche amount, the conversion instruments, the financing terms, cost estimates and financing plan, implementation arrangements, advance contracting, and the amount and purpose of retroactive financing.
9. The Government will submit to ADB, along with the PFR, the summaries of feasibility studies and engineering designs (as necessary), terms of reference for the engagement of advisors, results of any advance actions, and relevant economic and financial assessments. Each PFR will refer to and attach the procurement plan and the appropriate safeguard documents, including safeguard plans required under the safeguard frameworks prepared for the MFF. Each PFR will confirm that the general understandings under the FFA remain true and will describe the client‟s compliance with the undertakings.
10. Commitment Charges. Commitment charges are not payable on the MFF. They are payable only on financing actually committed by ADB as a loan. ADB rules on commitment charges, which are in effect when a tranche is provided, will apply with respect to such tranche, as per related loan and project agreements.
C. Cost Estimates and Financing Plan of Project 1 and Project2
11. Project 1 is estimated to cost the equivalent of $42.8 million (Table 3), including taxes and duties of $4.2 million equivalent. It will cover consultancies for design, construction supervision and management; and civil works and equipment pertaining to (i) emergency works and (ii) the implementation of 2 small sample subprojects (water supply in Gangtok and solid waste management in Kohima). A loan of $30 million has been provided from ADB‟s ordinary capital resources to cover part of the cost of Project 1. The ADB loan will have a term of 25 years, including a grace period of 5 years, with interest rate to be determined according to ADB‟s LIBOR-based lending facility, a commitment charge of 0.15% per annum, and such other terms and conditions as agreed in the FFA, and the loan and project agreements. The detailed cost estimates and financing plan for Project 1 are in PFR1, Annex 2.
12. Project 2 is estimated to cost the equivalent of $102.9 million (Table 4), including taxes and duties of $5.1 million equivalent. It will cover consultancies for institutional development in Aizawl Gangtok and Kohima and civil works and equipment pertaining to (i) Agartala water supply; (ii) Aizawl water supply; (iii) Aizawl sewerage; (iv) Aizawl solid waste management; (v) Gangtok water supply; (vi) Gangtok solid waste management; (vii) Kohima water supply; (viii) Shillong solid waste management. A loan of $90 million has been requested from ADB‟s ordinary capital resources to cover part of the cost of Project 2. The ADB loan will have a term of 25 years, including a grace period of 5 years, with interest rate to be determined according to ADB‟s LIBOR-based lending facility, a commitment charge of 0.15% per annum, and such other terms and conditions as agreed in the FFA, and the loan and project agreements. The detailed cost estimates and financing plan for Project 2 are in PFR2, Annex 2.
6
Table 3: Cost Estimates and Financing Plan for Project 1 ($ million)
Items ADB India Total
A. Base Cost
1. Urban Infrastructure and Service Improvement 10.5 3.2 13.7
2. Capacity Development and Investment Program
Management
16.9 0.1 17.0
3. Taxes and Duties 0.0 4.2 4.2
Subtotal (A) 27.4 7.5 34.9
B. Contingencies 2.6 0.4 3.0
C. Financing Charges During Implementation 0.0 4.8 4.8
Total (A+B+C) 30.0 12.8 42.8 Source: Asian Development Bank estimates.
Table 4: Cost Estimates and Financing Plan for Project 2
($ million)
Items ADB India Total
A. Base Cost
1. Urban Infrastructure and Service Improvement 53.9 19.0 72.9
2. Capacity Development and Investment Program
Management
8.64 0.2 8.6
Subtotal (A) 62.3 19.2 81.5
B. Taxes and Duties 0.0 5.1 5.1
C. Contingencies 9.7 0.6 10.4
D. Financing Charges During Implementation 0.0 6.0 6.0
Total (A+B+C+D) 72.0 30.9 102.9
Source: Asian Development Bank estimates.
D. Allocation of Loan Proceeds of Project 1 and Project 2
13. The proceeds of the loans shall be used to finance eligible Project 1 and Project 2 expenditures. All goods and services to be financed out of the loan proceeds shall be procured in accordance with the respective Loan and Project Agreements and shall be used exclusively in the carrying out of Project 1 and Project 2. ADB may refuse to finance a contract where goods or services have not been procured under procedures in accordance with those agreed between the Government and ADB, or where the terms and conditions of the contract are not satisfactory to ADB. Loans allocation and withdrawal percentages to be applied with withdrawing from the loan proceeds are in Attachment to Schedule 3 of each of the loan agreements.
III. IMPLEMENTATION ARRANGEMENTS AND SCHEDULE
A. Project Readiness Activities
14. Project 1 and Project 2 of the Investment Program have been prepared complying with the Project Readiness Checklist of the Government of India (Appendix 7, and Appendix 8 for Project 2 specifically) and the subsequent tranches will be also prepared complying with it.
B. Implementation Arrangements
15. Refer to FFA, Schedule 3, for implementation arrangements including the organization charts, roles and responsibility of agencies and committees, and other detailed implementation arrangements for both the projects. Key persons involved in the project implementation are listed in Appendix 9.
7
C. Implementation Schedule and Tranches
16. NERCCDIP will be implemented in three tranches (or more if necessary) over a period of 7 years (2009-2015). The last PFR is expected to be submitted by 31 December 2012. The overall implementation schedule is in Appendix 10 and an updated schedule for each of the cities is in Appendix 11. The actual size of each tranche and the total number of tranches may vary from the estimates during the MFF appraisal. Tranching is based, in addition to subproject selection criteria, on readiness of subprojects in terms of, land acquisition and safeguard requirements for environment and resettlement, technical inter-linkages among components, and institutional capacities. The sequencing of tranches is based on following principles:
(i) works pertaining to emergency repairs, improvement of existing infrastructure and operational efficiencies will be taken up in the 1st tranche – these include rehabilitation of water supply systems, e.g., leakage reduction, bulk and individual metering, and awareness raising for improved sanitation and solid waste practices, water conservation, and capacity building. Tranche I will also include 2 subprojects, one for water supply and another for solid waste management, which are to serve as samples for replication in other cities in subsequent tranches.
(ii) subprojects on expansion of infrastructure and services would be taken up in the 2nd
and 3
rd tranches as they require commitments from the States, for example, on the availability
of water source or suitable land with necessary safeguard clearances, and progress towards cost recovery for operation and maintenance to sustain improvements.
Table 5: Proposed Financing Plan by Tranche
($ million)
Tranche 1 Tranche 2 Tranche 3 Total Percentage
Asian Development Bank 30.0 72.0 98.0 200.0 70 Government of India 12.8 30.9 42.0 85.7 30 Total 42.8 102.9 140.0 285.7 100
Note: this is only indicative and subject to change
17. First Tranche (May 2009–October 2015). The first tranche consists of 6 subprojects in the five cities under Part A, urban infrastructure and services improvements and under Part B, financing of (i) the whole community awareness and participation programs in the five capital cities, part of capacity building programs, (ii) a fraction of Investment Program Management and Monitoring Consultants, (iii) Design, Construction Supervision and Management Consultants in all cities, and (iv) Institutional Development Consultants in Agartala and Shillong. Project 1 is expected to be completed by 31 October 2015. No disbursements from the loan account will be requested or made later than 30 April 2016.
18. Second Tranche (July 2011-June 2016). The second tranche consists of 7 subprojects in five cities providing comprehensive water infrastructure to the cities of Agartala, Aizawl, Gangtok and Kohima, sewerage infrastructure in Aizawl and solid waste management infrastructure in Gangtok and Shillong. In addition, support for the implementation of urban governance, municipalization and municipal reform (through Institutional Development Consultants) will be provided for Aizawl, Gangtok and Kohima.
19. Third Tranche (December 2012-December 2015). The third tranche will support the construction of water supply, sewerage and sanitation facilities in Agartala, Aizawl, Gangtok, Kohima and Shillong, and solid waste management in Agartala , Aizawl, and Shillong.
D. Projection of Contract Awards and Disbursement for Project 1 and Project 2 20. Overall contract awards and disbursement under Project 1 and Project 2 are projected as in the tables below and S-curves are shown in the charts (The projections of contract awards and disbursement will be updated as necessary).Contract awards and disbursement projections of individual executing agencies are in Appendix 12.
8
Total
0.0
5.0
10.0
15.0
20.0
25.0
30.0
Dec-09 Jul-10 Dec-10 Jun-11 Dec-11 Jun-12 Dec-12 Jun-13 Dec-13 Jun-14 Dec-14 Jun-15 Dec-15 Jun-16 Dec-16
Target
Achieved
Target
Achieved
Table 6. Summary Projection of Contract Awards and Disbursement for Project-1, as of March 2011 Indicators Yr/Qtr 2009 2010 2011 2012 2013 2014 2015 2016 Total
Q1 Q2 Q3 Q4 Total
Contract Target 12.29 4.31 2.51 1.35 9.46 17.63 0.53 0.22 0.00 0.00 0.00 0.00 30.67
Awards Achieved 8.73 6.06 6.06 14.79
Disburse- Target 0.04 0.66 1.74 1.93 2.94 7.26 12.09 6.46 2.31 1.90 0.58 0.03 30.67
ment Achieved 0.03 0.65 0.65 0.68
Chart 1. S-Curves for Contract Awards and Disbursement for Project-1
Table 7. Quarterly Projection of Contract Awards and Disbursement for Project-2, as of August 2011
2011 2012 2013
Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
Contract Awards 1.2 2.6 0.2 0.2 19.7 34.5 0.4 0.8 0.2 0.2 0.2
Disbursement - 0.6 0.6 0.6 0.6 1.6 3.1 4.2 6.1 7.1 7.1
2014 2015 Total
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
Contract Awards 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 62.3
Disbursement 4.9 4.6 4.4 4.5 4.6 3.9 2.9 1.0 62.3
Chart 2. S-curves of Contract Awards and Disbursement for Project-2
S-curves
0
10
20
30
40
50
60
70
80
Apr-
11
Jun-
11
Sep-
11
Dec-
11
Mar-
12
Jun-
12
Sep-
12
Dec-
12
Mar-
13
Jun-
13
Sep-
13
Dec-
13
Mar-
14
Jun-
14
Sep-
14
Dec-
14
Mar-
15
Jun-
15
Sep-
15
Dec-
15
$ million
Contract Awards
Disbursement
9
IV. SUBPROJECT SELECTION CRITERIA AND IMPLEMENTATION PROCEDURE2
21. Definition of Subproject. Each project under the Investment Program will be financed by a loan as and when ready for financing. A project is a collection of various subprojects. For example, Project 1 under the Investment Program contains eight investment subprojects and Project 2 contains seven investment subprojects.
22. Subproject selection criteria and implementation procedure are detailed in FFA, Schedule 4.
23. Individual subprojects selected in accordance with the above criteria will be implemented through the following procedures.
(i) Feasibility Studies. For each proposed subproject/scheme (water supply, sewerage, solid waste management), SIPMIU will (a) form a planning team comprising specialized/deputized staff to the SIPMIU, and concerned line departments/ULBs (both technical and associated departments involved in provision of clearances, etc) and (b) conduct consultations with stakeholder groups. With the support of the DSMC consultants, the team will review and update feasibility studies conducted during the PPTA, or undertake new ones, and prepare subproject implementation plans and due diligence assessments (draft environmental and social safeguards documents , economic and financial). Upon concurrence with stakeholder groups in writing, Subproject Appraisal Report (SAR) is prepared and submitted to the State Government for approval. The SIPMIU will have those subprojects approved by the IPEC and forwarded to MOUD's IPCC. The draft SAR will be reviewed by MOUD and ADB.
3 Based on this, preparations
for a new PFR to finance the subproject will be initiated by the Government and ADB, in parallel to the preparation of detailed designs and tender documents.
(ii) Format for SAR. Suggested format of SAR is in Appendix 13.
(iii) ADB’s Appraisal. A team of specialists from ADB will review the draft SAR based on the subproject selection criteria and other relevant ADB's requirements. It is unlikely that ADB comments on design and engineering aspects at this stage, but ADB may suggest how the SAR, partiality the portions related to safeguards, economic, and financial analysis, may be further improved. As soon as all necessary surveys are completed, but before completing draft SAR, ADB may send a subprojects appraisal mission. ADB mission will review the project scope, financing size and documentation requirements, particularly on safeguards. All the checklists on the subprojects‟ impact on environment, resettlement and indigenous people must be submitted to ADB three weeks before a subprojects proposal review mission so as to identify which subprojects require filed visits. ADB's appraisal mission for the specific PFR will be organized based on the quality of feasibility documentation and the timetable set forth for meeting readiness criteria. After ADB‟s subprojects appraisal mission, IPEC will approve the subproject based on the draft SAR. The SIPMIU will prepare „a matrix of comments and actions taken,‟ which will be attached to the draft SAR. The SIPMIU will submit the approved draft SAR to ADB/MOUD for its review. It is highly recommended that following documents are sent electronically:
(a) Summary of subprojects, consolidated cost and financing plan under a tranche
2 This section is mostly replicated from FFA, Schedule 4 with the addition of description of ADB's appraisal works. To
make this section comprehensive, the entire procedure was described. 3 At this stage, a time-bound program for each SIPMIU/IPCC will be prepared showing how and when will Project
Readiness Checklist be met for that specific tranche.
10
(b) Updated checklists on the subprojects‟ impact on environment, resettlement and indigenous people
(c) An SAR for each subproject, including all safeguards and analytical documents (d) Source excel files for cost estimates, economic and financial analysis (e) Updated Project Readiness Checklist as issued by the Government of India
(iv) Detailed Design. Detailed design will be undertaken by the SIPMIU upon review of the
subproject concept papers and feasibility study updates by MOUD and ADB (and in parallel to the institutional strengthening process). The design process, supported by the DSMC, will involve undertaking of all surveys (topographical, geotechnical, soils etc.) necessary; preparation of detailed designs, associated calculations (utilizing computer aided design tools) and drawings. Moreover, the process should remain consultative an approved by State/ULB level institutions and stakeholder groups (as described in (i)) and their endorsement will be sought prior to design finalization and reflected in the implementation agreement. Tender documents will be prepared on the basis of the final design. Where applicable, land acquisition and resettlement plans will be finalized at this stage, and will be implemented with the engagement of an implementation NGO. Similarly, where applicable environmental documents (initial environmental examinations and/or environmental clearances) and indigenous peoples' development plans, drafted under stage (i) will be finalized after receiving comments from ADB, and statutory clearances sought. The submission of all the above documents to MOUD and ADB will lead to the finalization subproject for inclusion in the next proposed PFR.
(v) Approval for Subprojects and Tranches. Upon receipt of finalized documentation from
the SIPMIUs as described in (i) and after incorporating ADB's comments, MOUD's IPCC
will review the subproject proposals to confirm compliance with subproject selection criteria, and then forward those eligible subprojects to ADB for prior review and endorsement. MOUD will coordinate with the SIPMIUs the preparation of detailed engineering designs and agree a common timetable for all States to meet project readiness criteria outlined in (iv). The consolidated PFR to be formally submitted by MOUD to ADB through the Department of Economic Affairs should include (i) the required loan amount, (ii) a list of subprojects to be financed under the loan, (iii) cost estimates and financing plan, (iv) implementation arrangements, (v) confirmation of the continuing validity of, and adherence to, the provisions of the FFA, (vi) confirmation of compliance with the provisions under previous loan agreements and project agreements as appropriate, and (vii) due diligence on safeguards. The format of PFR1 will be followed for the subsequent tranches.
(vi) Legal Agreement. ADB will send a draft legal agreement to the Government of India at
least 3 weeks before the loan negotiations. Loan negotiations generally take 2 days. Upon successful conclusion of loan negotiations, ADB will seek its President‟s approval of the loan and project agreements.
Indicative Processing Steps and Time Frames for Subsequent Tranches
Activities Duration (weeks) Responsibility
A. Feasibility Studies (i) Formation of planning team SIPMIU (ii) Consultations with stakeholder groups SIPMIU (iii) Review/update of feasibility studies conducted during the PPTA
or undertaking of new ones Planning Team,
SIPMIU, DSMC (iv) Preparation of subproject implementation plans and due
diligence assessments Planning Team,
SIPMIU, DSMC (v) Obtaining written concurrence with stakeholder groups Planning Team
and SIPMIU (vi) Preparation of subproject appraisal report (SAR) and submit to Planning Team,
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Activities Duration (weeks) Responsibility
State Government for approval DSMC, SIPMIU (vii) Approval of SAR State Government (viii) Submission of approved SAR with due diligence documents to
MOUD & ADB for review SIPMIU
(ix) Review of SAR and prepare PFR Govt & ADB B. Detailed Design [in parallel with A.(ix)] (i) Field surveys SIPMIU, DSMC (ii) Preparation of detailed designs, associated calculations and
drawings in consultation with stakeholder groups SIPMIU, DSMC
(iii) Obtaining approval of State/ULB & stakeholder groups SIPMIU, DSMC (iv) Finalization of design SIPMIU, DSMC (v) Preparation of tender documents SIPMIU, DSMC (vi) Finalization of land acquisition & resettlement plans (RPs) SIPMIU, DSMC (vii) Implementation of RPs NGO, SIMPMIU (viii) Finalization of environmental documents and indigenous
peoples‟ development plans SIPMIU, DSMC
(ix) Obtaining statutory clearances SIPMIU, DSMC (x) Submission of above documents to MOUD & ADB SIPMIU and SSC C. ADB’s Appraisal (i) In-house review of the SARs 2 weeks ADB (ii) Appraisal of subproject in the field 2 weeks ADB (iii) Confirm categorization of the subprojects‟ impact on
environment, resettlement and indigenous people 1 week ADB
(iv) ADB‟s comments on the subproject reports 1 week ADB D. Finalization of Subproject Appraisal Reports (i) Incorporation of ADB‟s comments. 4 weeks IPCC, SIPMIUs (ii) GOI‟s assessment of project readiness 1 week IPCC, SIPMIUs (iii) GOI‟s 15-day prior notice in sending PFR officially 1 week GOI, MOUD (iv) Submission of the PFR and the final SARs to ADB 1 week IPCC (v) ADB's review of PFR and approval of loan negotiation 3 weeks ADB (vi) Setting the date of loan negotiations 1 week ADB, GOI,
MOUD, States (vii) EA‟s official submission of PFR to GOI 1 week GOI, MOUD (viii) GOI‟s official submission of PFR to ADB 1 week GOI, ADB E. Loan Agreement (i) Preparation of loan and project agreements 1 week ADB (ii) Official submission of draft loan and project agreements 1 week ADB (iii) Loan negotiations 3 weeks ADB (iv) ADB‟s approval of the PFR 1 week ADB (v) Signing of loan and project agreements 1 week ADB, GOI,
MOUD, States
(vii) Tendering and Implementation of Civil Works. Upon (a) approval of the detailed
design by the State Government, the stakeholders and then MOUD's IPCC, (b) obtaining statutory clearances and (c) full completion of the land acquisition and resettlement process where applicable, SIPMIUs will commence the tendering process of the civil works and supply of goods. SIPMIUs will be responsible for complying with ADB's procurement processes, including (i) submission of bidding documents, and (ii) submission of bid evaluation reports for review and approval, as may be relevant to the different modes of procurement agreed in the PFR Procurement Plans. MOUD's IPCC will monitor the procurement process and the timely award of contracts, and will provide expert support wherever necessary in dealing with matters pertaining to contract administration (as may advise on aspects pertaining to arbitration etc).
12
(viii) Implementation of Capacity Development and Urban Reform Program. SEAs, with support from the SIPMIUs will be responsible for the implementation of the detailed urban governance and municipal reform program. SEAs, with support from the SIPMIUs, should no less than quarterly present progress in the SSC. Information and associated documentation (such as any laws passed, plans prepared, etc.) as well as a summary of actions agreed during the SSS meeting should be included in the quarterly reports forwarded to the IPCC. The IPCC will consolidate the information provided by the State and prepare a consolidated report pertaining to compliance with targets agreed with each of the States, and include this in the Quarterly Reports submitted to ADB. Compliance with this program will also determine the eligibility of the States for subsequent PFRs.
V. CONSULTANT RECRUITMENT AND PROCUREMENT
A. Consultant Recruitment 24. The program will be led by each of the States, through a coordinated effort amongst the SIPMIU, the ULB, UDD and PHED. Design, Construction Supervision and Management Consultants (DSMCs) will be recruited by the SIPMIUs while Program Management and Monitoring Consultants (PMMCs) will be recruited by MOUD's IPCC. Institutional Development Consultants (IDCs) will be recruited by SIPMIUs, the capital city's ULB and the PHED, wherever relevant. The respective SIPMIUs will be responsible for ensuring compliance with ADB's consultant's recruitment process and other requirements of its guidelines, when recruiting DSMCs and IDCs. MOUD will be responsible for compliance with ADB's consultant's recruitment process and other requirements of its guidelines, when recruiting PMMC as well as monitoring the overall recruitment process and the timely award of contracts. Plan on the use of consultants is on RRP, Appendix 7. Flowcharts of recruitment process and consultant recruitment activity monitoring (CRAM) frame are in Appendix 14.
25. Consultants will be engaged by each of the five SIPMIUs for DSMC and IDC activities in accordance with ADB‟s Guidelines on the Use of Consultants (2010, as amended from time to time). Each State DSMCs will be headed by urban development/municipal engineering specialists with international and Indian experience. Their key tasks will include (i) supporting the SIPMIUs in identifying, preparing, and appraising of sub projects, ensuring conformance with the subproject selection criteria, as well as national, state and ADB‟s safeguards and other policy requirements and guidelines; (ii) undertake detailed surveys and investigations, prepare detailed engineering designs, technical specifications, procurement and contract documents and construction supervision in accordance with established good practices, (iii) support technical evaluation during the tender process and supervise construction of the Program investments, and (iv) support the SIPMIU conducting program management activities, awareness and public relations activities, financial management, monitoring and evaluation, technical capacity building programs etc. IDCs will also be recruited by each of the States and will support the SIPMIUs and Government agencies (particularly ULBs and, where relevant, parastatals) in (i) implementing the institutional, financial, regulatory, and operational reform agenda, (ii) conducting capacity building programs for improved asset management and (iii) updating action plans and strategies for meeting the objectives of the reform agenda. Outline terms of reference for consulting services in each of the SIPMIUs are in RRP, Supplementary Appendixes H and I.
26. The IPCC will be supported by the PMMC, headed by an urban development/municipal engineering expert with extensive experience, and will be comprised of a team, including an urban management/finance specialist, and an MIS specialist. The principal tasks of the central PMMC will include: (i) supporting the IPCC in MOUD in program coordination activities including regular progress monitoring and reporting, identifying implementation bottlenecks and recommending corrective actions; (ii) reviewing subproject appraisal reports prepared by the SIPMIUs in States, and supporting the IPCC in preparing the PFRs for submission to DEA; and (iii) supporting IPCC on capacity building activities. The consultant will also be required to assist the IPCC with implementation of the urban reform plan and undertake relevant studies, establish systems, and prepare strategy and action plans for solid-waste management and PSP packages. The services of both NGOs and community-based organizations are also likely to be required to support civic awareness raising, community-level solid-waste management,
13
and resettlement monitoring. Outline terms of reference for the PMMC services are in RRP, Supplementary Appendix J.
27. It is estimated that a total of 1985 person-months of national consultancy inputs will be required for project management, design and construction supervision, and 549 person-months of national expert inputs will be required for institutional development activities over the Investment Program period.
4 The
specific number of consultants deployed at any point of time will depend on work requirements but it is estimated that on an average 5-6 consultants would be deployed in the central IPCC and 10-12 consultants in each of the 5 State DSMCs at any one time. For contract values of at least $0.1 million and above, consultants will be selected following the quality and cost-based selection method. For contract values of less than $100,000, consultants will be selected following the least-cost selection method or individual recruitment. The need for consultancy services is expected to decline gradually with increasing SEA capacities during implementation, and will be reviewed during the MFF midterm review (MTR).
B. Procurement
28. Procurement Plan. Procurement under the NERCCDIP will be carried out in accordance with ADB‟s Procurement Guidelines (2010, as amended from time to time) and the loan agreements for Project 1 and Project 2. The Procurement Plans provide (a) a list of goods, works and consulting services contract packages that will be processed over the next 18 month; (b) the proposed methods for procurement, estimated values, and expected dates of start of procurement activities of such contracts. ADB discloses the Procurement Plans through its website according to ADB's Information Disclosure Policy and expects to attract consultants and service providers to ADB projects.
29. An Indicative Procurement Plan for the entire Financing Facility is in Appendix 15, the Procurement Plan for Project 1 is in PFR1, Annex 3 and for Project 2 is in PFR2, Annex 3. The procurement plans for subsequent loans will be prepared and attached to the PFRs. When a change in the disclosed Procurement Plans becomes necessary, a revision of the procurement plan will be proposed by the SIPMIUs for consolidation by IPCC and forwarded to ADB for approval and disclosure.
30. Mode of Procurement. International competitive bidding (ICB) procedures will be used for civil works contracts estimated to cost $5.0 million or more, and supply contracts valued at $1.0 million or higher. The upper limit for civil works and equipment to be procured through National Competitive Bidding (NCB) procedures will be less than $5.0 million and $1.0 million respectively. Shopping will be used for contracts for procurement of equipment worth $ 100,000 or less. The feasibility of community contracting will be examined on a case-by-case basis for low-cost sanitation and other community level works not exceeding $100,000 in value. Other relevant details on procurement procedures are contained in the procurement plans of Project 1 and Project 2.
31. Bidding Documents. A bid document generally consists of nine sections as below. For faster review and approval of ADB, it is important to follow that (i) the provisions in Section 1 and Section 7 must be used with their text unchanged, and (ii) any data and provisions that these sections require for a specific procurement and contract shall be included respectively in Section 2 and Section 8.
(i) Section 1 - Instructions to Bidders (ITB) (ii) Section 2 - Bid Data Sheet (BDS): This section consists of provisions that are specific to
each procurement and supplement the information or requirements included in Section 1- ITB.
(iii) Section 3 - Evaluation and Qualification Criteria (EQC) (iv) Section 4 - Bidding Forms (BDF) (v) Section 5 - Eligible Countries (ELC) (vi) Section 6 – Employer‟s Requirements (ERQ) or Works Requirements (vii) Section 7 - General Conditions of Contract (GCC)
4 In addition, 1386 person-months of support staff will be engaged for the purpose of project management, design
and construction supervision activities and 640 person months of support staff will assist the IDCs.
14
(viii) Section 8 - Particular Conditions of Contract (PCC) (ix) Section 9 - Contract Forms (COF)
32. The EA should provide ADB a copy of all signed contracts, equivalent to $100,000 and above, including a Contract Summary Sheet (Appendix 16) to facilitate creation of contract record.
33. Advance Contracting and Retroactive Financing. As stated in FFA, under each loan of the MFF, advance contracting of (i) civil works, (ii) equipment and materials, and (iii) recruitment of consultants, may be requested subject to these being eligible as per the agreed procedures and guidelines indicated above. Except as otherwise agreed with ADB, the expenditures incurred for civil works, equipment and materials, and consulting services eligible for advance contracting, will be eligible for retroactive financing for up to 20% of the proposed amount for the loans under the facility for eligible expenditures in each category incurred prior to effectiveness of each loan, but no earlier than 12 months before the signing of the respective loan agreement.
34. Environmentally Responsible Procurement. ADB encourages borrowers and executing agencies to ensure, wherever possible, that the goods and services procured under ADB-financed projects have been produced/rendered in a responsible manner with a view to resource efficiency, waste minimization, and environmental considerations. For details, see guidelines for Environmentally Responsible Procurement.
VI. FINANCIAL MANAGEMENT
A. Disbursement Procedures
35. Types of Disbursement Procedure. Loan disbursements will be in accordance with ADB‟s Loan Disbursement Handbook (2007, as amended from time to time). There are four major types of disbursement:
• direct payment procedure where ADB, at the borrower's request, pays a designated beneficiary directly;
• commitment procedure where ADB, at the borrower's request, provides an irrevocable undertaking to reimburse a commercial bank for payments made or to be made to a supplier against a letter of credit financed from the loan account;
• reimbursement procedure (with or without full supporting documents) where ADB pays from the loan account to the borrower's account, or in some cases, to the project account for eligible expenditures which have been incurred and paid for by the project out of its budget allocation or its own resources; and
• imprest fund procedure where ADB makes an advance disbursement from the loan account for deposit to an imprest account to be used exclusively for ADB's share of eligible expenditures.
36. Use of (i) the reimbursement procedure „without full supporting documents‟ and (ii) the imprest fund procedure require a prior approval of ADB. Both types of disbursement have been approved with some limitations under the FFA.
37. Imprest Fund Procedure. Loan disbursements will be in accordance with ADB‟s Loan Disbursement Handbook (2007, as amended from time to time). Immediately upon each loan effectiveness, the Government will open and maintain a first-generation imprest account (FGIA) in the account of the Controller of Aid Accounts and Audit of the Reserve Bank of India in Delhi to ensure the timely release of loan proceeds and expedite implementation. The FGIA will be denominated in US dollars. Imprest accounts will be opened separately for each PFR.
5 The amount to be advanced to the
FGIA will be equivalent to 6-months estimated expenditure or 10% of the loan amount, whichever is lower. The initial advance or replenishment by ADB into the FGIA will be converted into equivalent rupees by the
5 Charges associated with opening and maintaining imprest accounts will be financed by the Government.
15
Controller of Aid Accounts and Audit following its policy, and transferred in rupees to each of the States through the budgetary mechanism.
38. Concurrently, second-generation imprest accounts (SGIAs) may be opened in a commercial bank by the governments of Meghalaya, Mizoram, Nagaland, Sikkim and Tripura; subject to the commitment by each of these governments and urban departments, as the State-level EAs, to adhere to ADB procedures for operating the SGIA. The Government will assure ADB that all ADB disbursements for imprest advance and/or replenishment will be passed on to urban development departments for deposit into the commercial bank SGIAs within 30 calendar days of receipt of the advance or replenishment from ADB. The initial amount to be deposited into each SGIA account shall not exceed the lower of (i) the estimated expenditure for the first six months of Project implementation for the respective State; or (ii) the equivalent of ten percent (10%) of the Loan amount allocated the State. The SIPMIUs will warrant that funds in each of the SGIAs will be used only to fund eligible expenditures in accordance with the terms of each of the Loan Agreements and to meet the immediate short-term disbursement requirements of the loans. Both the FGIA and SGIA will be established, managed, and liquidated in accordance with guidelines contained in ADB‟s Loan Disbursement Handbook. Procedures for establishing and operating the imprest account and SOE procedures are detailed in the Disbursement Letter (Appendix 17).
39. Reimbursement and Liquidation Using Statement of Expenditures (SOE). The SOE procedure will be adopted for reimbursing and liquidating the SGIAs for eligible expenditures not exceeding $100,000 per payment.
40. The force account works procedure may be used for reimbursement of eligible expenditures under procurement by the force account in accordance with ADB‟s Loan Disbursement Handbook.
41. Disbursement Practice. To expedite disbursement, ADB‟s Loan Disbursement Handbook has a dedicated section in Chapter 4 on (i) actions to be taken by the Borrower, (ii) basic requirements for disbursement, and (iii) withdrawal application.
42. Fund Flow and Claim Submission. The Investment Program Fund Flowchart (the FFA, Figure S3.2), shows MOUD reimbursement procedure under which States submit SOE in appropriate format as prescribed by ADB to MOUD and MOUD consolidates SOEs and submits withdrawal application for admissible amount to the Controller of Aid Accounts and Audit periodically. States do not make any withdrawal application to ADB. On its part, MOUD reimburses to States admissible project expenditure incurred by them on monthly/quarterly basis as required. Suggestions for improved claim submission are attached in Appendix 18.
16
B. Accounts and Auditing 43. The requirements related to accounting and auditing are given FFA and the Project Agreements as replicated below:
FFA Schedule 3, para 14. India and States will ensure that accounts and records are maintained and audited in a timely manner, for the expenditure (including each subproject) under each loan to adequately identify use of the loan proceeds in such manner and details as my be specified under each loan agreement or project agreement.
Project Agreements. Section 2.09. (a) MOUD and the State shall (i) maintain separate accounts for each of the projects; (ii) have such accounts and related financial statements (balance sheet, statement of income and expenses, and related statements) audited annually, in accordance with appropriate auditing standards consistently applied, by independent auditors whose qualifications, experience and terms of reference are acceptable to ADB; and (iii) furnish to ADB, through MOUD, promptly after their preparation but in any event not later than nine (9) months after the close of the fiscal year to which they relate, certified copies of such audited accounts and financial statements and the report of the auditors relating thereto (including the auditors' opinion on the use of the loan proceeds and compliance with the covenants of the loan agreements for Project 1 and Project 2 as well as on the use of the procedures for [imprest account/statement of expenditures), all in the English language. MOUD and the State shall furnish to ADB such further information concerning such accounts and financial statements and the audit thereof as ADB shall from time to time reasonably request. A letter requesting auditing of project accounts was issued to the Government of India and copied to the state governments, which explains scope of auditing (Appendix 19).
44. Failure in Submitting Audited Project Accounts. If ADB does not receive satisfactory audited project accounts after 6 months from the original due date, ADB may be obliged to suspend processing withdrawal applications and issuing PCSS numbers. To avoid such matters, it is essential for the executing agencies to discuss with the concerned auditing authority well in advance about the audit requirements and schedule such auditing.
VII. SAFEGUARDS
45. Safeguard Requirements and Other Undertakings. FFA, Schedule 5 and 6 provide the requirements related to environmental and social safeguards and other undertakings agreed among MOUD, the state executing agencies, and ADB. ADB will regularly review the status of implementation of these requirements and undertakings with MOUD and the state executing agencies.
VIII. GENDER AND SOCIAL DIMENSIONS
46. The gender action plan (GAP) for Tranche 2 is in Appendix 27. The GAP identifies activities to increase women‟s participation in project investments through training and awareness building, etc. The GAP will deliver outputs with gender aspects incorporated into the project implementation including improved water supply, sanitation, and solid waste management. Additional capacity development of the implementing agencies is provided to ensure gender awareness and monitoring of GAP targets.
IX. PERFORMANCE MONITORING, EVALUATION, REPORTING AND COMMUNICATION
47. Investment Program Performance Monitoring System (IPPMS). IPCC in MOUD will be responsible for establishing an IPPMS acceptable to ADB within three months of the effectiveness of the first loan under MFF, including (i) procedures on data collection and reporting, (ii) performance indicators relating to physical infrastructure and capacity development and program management support, including those in the design and monitoring framework (for individual loans and overall investment program) and
17
(iii) corresponding target dates, including those for institutional and financial reforms and capacity building. IPPMS will be established as soon as PMMC consultant is mobilized.
48. IPCC will help SIPMIUs establish baseline values for each of the indicators and subsequently conduct annual surveys to update these baseline values. IPPMS tracks implementation activities, target dates, expected inputs, impacts, outcomes and outputs against each indicator to monitor and evaluate the performance of the Investment Program and the subprojects under each loan. The guidelines for calculating progress are in Appendix 20.
49. Quarterly Progress Reports (QPRs). The QPRs on Projects will provide the status of the Project implementation.
50. QPR for Project 1 and Project 2. The IPCC will provide ADB with QPRs informing ADB on the implementation progress of Project 1and Project 2 separately which should consolidate the quarterly reports separately prepared by SIPMIUs, mainly providing information on (i) performance monitoring and (ii) status of and projections for contract awards and disbursement. The reports will also provide summary financial accounts of Project 1 and Project 2, separately, including (i) a summary financial account for each of the States, (ii) expenditures to date, (iii) a report on benefit monitoring, and (iv) a report on safeguard compliance.
51. The content of the progress report includes sufficient information in summary form to be useful to ADB as a funding agency. The purpose of the report is to enable the borrower, MOUD, SIPMIUs and ADB to monitor the latest progress, become aware of current problems, and assess whether the project‟s immediate objectives will be met. The progress report sent to ADB will enable ADB staff to readily capture key information for inputting into the project performance report (PPR).
52. States are being asked for strict compliance of periodicity of submission of QPRs. The QPR is due on the following dates:
(i) 20 April (for the period January to March);
(ii) 20 July (for the period April to June);
(iii) 20 October (for the period July to September); and
(iv) 20 January (for the period October to December of previous year). 53. The suggested format in preparing Project 1 and Project 2 QPRs is in Appendix 21. Based on the QPRs, ADB will prepare annual implementation progress reports to be submitted to the Board each December. The template for computing progress for Project 1 and Project 2 is in Appendix 22.
54. Completion Reports. Within 3 months of physical completion of each loan, the IPCC will also submit to ADB a completion report which will cover the details of project implementation, costs, monitoring and evaluation activities, safeguard compliance, and other information requested by ADB. The format of the Project Completion Report is in Appendix 23. Within 3 months of physical completion of Project 1 and Project 2, respectively, the IPMU will also submit to ADB an MFF completion report, which will cover the details of Investment Program implementation, total investment, evaluation of the Investment Program‟s impacts, and other information requested by ADB.
55. ADB's Review of Project Implementation. ADB will field review missions approximately during project implementation. Based on a review of annual progress reports on the Investment Program, ADB, MOUD and the State governments will meet as required to discuss the progress of the MFF. In addition to regular reviews, including a midterm review for each loan, an MFF midterm review will be conducted for the Investment Program. The midterm review will include a detailed evaluation of the scope and implementation arrangements of the MFF, safeguards issues, progress with achievement of set targets, contract management progress, and any other outstanding issues, and develop remedial measures to achieve the overall objectives of the Investment Program in a timely manner.
18
X. ANTICORRUPTION POLICY
56. ADB’s Anticorruption Policy (2010, as amended from time to time) (Appendix 24) was explained to and discussed with the Government and States. Consistent with its commitment to good governance, accountability and transparency, ADB reserves the right to investigate, directly or through its agents, any alleged corrupt, fraudulent, collusive, or coercive practices relating to the Program.
6 In this
regard, investigation of government officials, if any, would be requested by ADB to be undertaken by the Government. To support these efforts, relevant provisions of ADB‟s Anticorruption Policy are included in the loan regulations and the bidding documents under the Investment Program. In particular all contracts financed by ADB in connection with NERCCDIP shall include provisions specifying the rights of ADB to audit and examine the records and accounts of the EA and all contractors, suppliers, consultants, and other service providers as they relate to the Program. Individuals/entities on ADB‟s anticorruption debarment list are ineligible to participate in ADB-financed activity and may not be awarded any contracts under the Program.
7
57. To supplement the policy, these following specific measures are included: (i) information technology will be used to increase transparency, accountability, and efficiency, through (a) public disclosure of NERCCDIP information through the Government and program websites (to be prepared), and (b) an expedited program of e-governance in the states; (ii) communities will participate in state steering committee decisions, and the minutes of meetings will be disclosed to the public through the program webpage; (iii) independent procurement and performance audits, commissioned by MOUD, will be carried out as often as necessary, and at least once before the NERCCDIP midterm review; (iv) fiduciary issues will be reviewed; and (v) the Right to Information Act 2005 (RTI Act), the Prevention of Corruption Act (1998), and Service Rules and Codes of Conduct of Public Officials will be strictly applied in all the five states, thus empowering departments to investigate the conduct of their officials, and to investigate allegations of corruption, through internal vigilance offices or state equivalents of the Central Bureau of Investigation take legal action if required.
58. The ADB Office of Anticorruption and Integrity (OAI) is the point of contact to report allegations of fraud and corruption among ADB-financed projects or its staff. It assesses allegations and investigates thoroughly and confidentially, whether fraud or corruption has occurred. Refer to ADB‟s Anticorruption Policy Handbook. Anyone coming across evidence of corruption associated with the Project may contact OAI:
by email at [email protected] or [email protected]
by phone at +63 2 632 5004
by fax to +63 2 636 2152
by mail at the following address (Please mark correspondence Strictly Confidential):
Office of Anticorruption and Integrity (OAI) Asian Development Bank 6 ADB Avenue Mandaluyong City 1550 Metro Manila, Philippines
XI. ACCOUNTABILITY MECHANISM
59. People who are, or may in the future be, adversely affected by the project may address complaints to ADB, or request the review of ADB's compliance under the Accountability Mechanism.
8
6 Available at: http://www.adb.org/Documents/Policies/Anticorruption-Integrity/Policies-Strategies.pdf
7 ADB's Integrity Office web site is available at: http://www.adb.org/integrity/unit.asp
8 For further information see: http://compliance.adb.org/
19
Report and Recommendation of the President (RRP) to the Board of Directors, Multitranche Financing Facility of the North Eastern Region Capital Cities Development Investment Program
Available upon request, also available at (http://www.adb.org/Documents/RRPs/IND/35290-IND-RRP.pdf)
Appendix 2 20
FRAMEWORK FINANCING AGREEMENT (FFA)
Available upon request, also available at (http://www.adb.org/Documents/Framework-Financing-Agreements/IND/35290/35290-IND-FFA.pdf)
21 Appendix 3
Loan Agreement available upon request, also available at ADB website Loan Agreement (Loan 2528-IND): http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MLO1.pdf Amendment to the Loan Agreement (Loan 2528-IND): http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MLO1-A.pdf
Appendix 4 22
Project Agreements (Loan 2528-IND) available upon request or at ADB website: State of Meghalaya http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR1.pdf State of Mizoram http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR2.pdf State of Nagaland http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR3.pdf State of Sikkim http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR4.pdf State of Tripura http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR5.pdf
23 Appendix 5
Appendix 6 24
Detailed Cost Estimate of the Investment Program ($’000)
Item
Agartala
Tripura
Aizawl
Mizoram
Gangtok
Sikkim
Kohima
Nagaland
Shillong
Meghalaya
Program
Coordination Total
A. Base Costa
1. Urban Infrastructure and Service Improvement
a. Water Supply
Tranche 1 1,340.7 2,342.4 4,832.8 1,254.4 0.0 0.0 9,770.2
Tranche 2 33,442.6 18,724.5 2,693.0 9,206.1 0.0 0.0 64,066.2
Tranche 3 0.0 0.0 0.0 0.0 0.0 0.0 0.0
b. Sewerage and Sanitation
Tranche 1 0.0 0.0 0.0 0.0 0.0 0.0 0.0
Tranche 2 0.0 0.0 0.0 0.0 0.0 0.0 0.0
Tranche 3 0.0 17,636.8 17,477.6 20,370.2 27,898.9 0.0 83,383.5
c. Solid-Waste Management
Tranche 1 0.0 0.0 0.0 3,511.3 304.3 0.0 3,815.7
Tranche 2 2,430.1 982.1 1,683.3 398.0 2,134.0 0.0 7,627.4
Tranche 3 552.5 2,516.2 0.0 0.0 1,474.3 0.0 4,542.9
2. Capacity Development and Investment Program
Management
a. Capacity Building
Tranche 1 1,176.2 0.0 0.0 0.0 1,176.2 0.0 2,352.4
Tranche 2 0.0 1,176.2 1,176.2 1,176.2 0.0 0.0 3,528.6
Tranche 3 0.0 0.0 0.0 0.0 0.0 0.0 0.0
b. Investment Program Management
Tranche 1 2,801.7 2,942.1 2,779.3 2,787.3 2,769.3 613.1 14,692.9
Tranche 2 572.5 572.5 572.5 572.5 572.5 613.1 3,475.7
Tranche 3 0.0 0.0 0.0 0.0 0.0 613.1 613.1
3. Taxes and Duties 5,742.2 6,275.1 4,339.7 5,618.3 4,579.8 246.8 26,801.9
Subtotal (A) 48,058.5 53,167.8 35,554.5 44,894.3 40,909.4 2,086.1 224,670.5
B. Contingenciesb 6,255.1 7,725.5 5,175.9 6,800.1 5,790.0 135.3 31,881.9
C. Financing Charges During Implementationc 6,625.8 6,925.5 4,544.8 5,802.8 4,960.8 258.7 29,118.4
Total (A+B+C) 60,939.4 67,818.7 45,275.1 57,497.2 51,660.1 2,480.0 285,670.7 a In end 2008 prices.
bPhysical contingencies computed at 10% for civil works; and 5% for equipment.
Price contingencies are computed at 0.5% for domestic inflation and at 0.4%–1.4%
for international inflation.
25
c Includes interest and commitment charges. Financing charges are estimated, assuming an interest rate computed at the 6-months London interbank offered rate
and a spread of 20 basis points and a commitment fee of 0.15%. (http://www.adb.org/Media/Articles/2007/12313-asian-loans-charges/)
Source: Asian Development Bank estimates.
Table A4.2: Proposed Financing Plan by Tranche
($ million) Item Tranche 1 Tranche 2 Tranche 3 Total Percentage
Asian Development Bank 30.0. 72.0 98.0 200.0 70.0 Government of India 12.8 30.9 42.0 85.7 30.0 Total 42.8 102.9 140.0 285.7 100.0
Source: Asian Development Bank estimates.
Appendix 7 26
Project Readiness Checklist of the Government of India
SN Milestones Action Points Status Responsible Agency
1 Before loan fact-finding mission of ADB
1.1 PPTA, if any, is substantially completed
ADB/EA
1.2 Feasibility study report and preliminary design completed
States/MOUD
2 Before loan appraisal mission of ADB
2.1 Concurrence of the line Ministry/Competent Authority
MOUD/DEA
2.2 Approval under FRBM Act from Dept of Expenditure
DEA
2.3 Approval for Govt of India guarantee by Budget Division, if required
DEA
2.4 Commitment to provide counterpart funds
MOUD
2.5 Budgeting for at least 30% of land acquisition and resettlement requirements completed, if any
MOUD/States
2.6 Designation of SIPMIU/IPCC staff completed and core staff for the project assigned
States/MOUD
2.7 Procurement plan for the project detailing contract packages, modes of procurement, pre-requisites for awarding the contracts, approval flow chart, decision making structure and schedule for each contract be in place
ADB/MOUD/States
2.8 Terms of reference (ToR) for all consultancy contracts including Project Management Consultants, shortlist of consultants/consulting firms and documents for prequalification of contractors are prepared and approved/reviewed by ADB
ADB/MOUD/States
2.9 Environmental Management Plan (EMP) for the first two years of project implementation be
ADB/States/MOUD
Appendix 7 27
SN Milestones Action Points Status Responsible Agency
finalized. Complete IEE/EIA and secure ADB approval
2.10 Relief & Resettlement Plan for the first two years of the project implementation should be finalized and confirmation regarding R&R activities are aligned with the Procurement Plan be conveyed
ADB/States/MOUD
3 Before loan negotiations
3.1 Bidding documents for all contracts, including criteria for consultant recruitment and procurement, to be awarded during first 12 months of project implementation should be prepared, approved and issued. Issue of RFP for consultants and calling of bids for civil works.
States/MOUD/ADB
3.2 Project Implementation Plan / Administration Manual / Memorandum covering scope, organization and its ToR, procurement, budgeting, disbursement, reporting and auditing arrangements be finalized
ADB/MOUD/States
3.3 At least 50% of land acquisition (if required) to be completed
States/MOUD
3.4 Establish (a) financial management system (b) auditing arrangement (c) fund flow arrangement (d) system of oversight
ADB/States/MOUD
3.5 All Statutory clearances like environment / forest clearances to be in place
States
3.6 Administrative clearances for temporary use of land i.e. right of way taken
States
3.7 Administrative approval for shifting of utilities taken
States
28 Appendix 7
SN Milestones Action Points Status Responsible Agency
3.8 At least 30% of the tendering work should be completed for awarding
States/MOUD/ADB
3.9 Provision of budget for project implementation in first financial year
MOUD/States
4 Before loan signing
4.1 Award of contracts for consultancy services to be completed and at least 30% contracts for civil works to be awarded within a month after loan signing
States/MOUD/ADB
5 Before loan effectiveness
5.1 Dedicated PIUs to be established, if need be.
EA
5.2 Legal opinions taken
DEA/MOUD
29 Appendix 8
Project Readiness Checklist for Tranche 2
Program Name: North Eastern Region Capital Cities Development Investment Program Periodic Financing Request [PFR] No. 2 Project No: 35290-033 Executing Agency: MOUD, State Governments of Nagaland, Meghalaya, Mizoram, Tripura, Sikkim Stage of Loan Processing: PFR Submitted Date: 1 August 2011
No Milestones Action Points Responsible
Agency Status
1 Before loan fact-finding mission
1.1 PPTA, if any, is substantially completed
ADB/EA Done before PFR-1.
1.2 Feasibility study report and preliminary design completed
EA Feasibility study and draft DPRs for all subproject completed.
2 Before loan appraisal mission
2.1 Concurrence of the line Ministry/ Competent Authority
Line Ministry/ DEA
Done
2.2 Approval under FRBM Act from Department of Expenditure
EA Done
2.3 Approval for Government of India guarantee by Budget Division, if required
DEA Not applicable
2.4 Commitment to provide counterpart funds
EA Done
2.5 Budgeting for at least 30% of land acquisition and resettlement requirements completed, if any.
EA Agartala and Gangtok have budget for land acquisition
2.6 Designation of PMU/PIUs staff completed and core staff for the project assigned
EA Completed
2.7 Procurement plan for the project detailing contract packages, modes of procurement, pre-requisites for awarding the contracts, approval flow chart, decision making structure and schedule for each contract be in place
ADB/EA Prepared
2.8 Terms of Reference (TOR) for all consultancy contracts including Project Management Consultants (PMC), shortlist of consultants/consulting firms and documents for prequalification of contractors are prepared and approved/reviewed by ADB
ADB/EA Prepared and approved by ADB
2.9 Environmental Management Plan (EMP) for the first two years of project implementation be finalized. Complete IEE/EIA and secure ADB approval
ADB/EA Prepared and approved by ADB
30 Appendix 8
No Milestones Action Points Responsible
Agency Status
2.10 Relief & Resettlement Plan for the first two years of the project implementation should be finalized and confirmation regarding „R&R activities are aligned with the procurement plan‟ be conveyed.
ADB/EA Prepared by Aizawl and Gangtok.
3 Before loan negotiations
3.1 Bidding documents for all contracts, including criteria for consultant recruitment and procurement, to be awarded during first 12 months of project implementation should be prepared, approved and issued. Issue of RFP for consultants and calling of bids for civil works.
ADB/EA To be finalized by Sep 2011.
3.2 Project Implementation Plan/ Administration Manual/Memorandum covering scope, organization and its TOR, procurement, budgeting, disbursement, reporting and auditing arrangement be finalized.
ADB/EA FAM updated.
3.3 At least 50% of land acquisition (if required) to be completed
EA Done by Aizawl and Gangtok
3.4 Establish: (a) financial management system; (b) auditing arrangement; (c) fund flow arrangement; and (d) system of oversight.
ADB/EA Done.
3.5 All statutory clearances like environmental/forest clearances to be in place.
EA Applied for.
3.6 Administrative clearances for temporary use of land i.e right of way taken etc.
EA Done.
3.7 Administrative approval for shifting of utilities taken.
EA Done.
3.8 At least 30% of the tendering work should be completed for awarding.
EA Bidding documents will be issued in Sep-Oct 2011.
3.9 Provision of budget for project implementation in first financial year.
EA Done.
4 Before loan signing
4.1 Award of contracts for consultancy services to be completed and at least 30% contracts for civil works to be awarded within a month after loan signing.
ADB/EA
5 Before loan effectiveness
5.1 Dedicated PIUs to be established, if need be.
EA
5.2 Legal opinions taken DEA/EA
31 Appendix 9
KEY PERSONS INVOLVED IN THE PROJECT
ADB HEADQUARTERS STAFF
Name Position Contact Number
M. Teresa Kho Director Urban Development Division (SAUW) South Asia Department (SARD)
Tel: +63-2 632-6858 Fax : +63-2 636-2293 Email [email protected]
Shigehiko Muramoto Unit Head, Project Administration, SAUW Tel: +63-2 632-6123 Fax: +63-2 636-2293 Mobile: +91-9910865955 (only in mainland India) Email: [email protected]
Carmelina R. Tabernilla (Carmie)
Associate Project Analyst, SAUW Tel: +63-2 632-6659 Fax: +63-2 636-2293 Email: [email protected]
Francis Mathew Financial Control Specialist Controller‟s Department Loan Administration Division (CTLA1)
Tel +63-2 632-4603 Fax +63-2 636-2606 Email [email protected]
Hun Kim Country Director India Resident Mission (INRM)
Tel: +91-11 2410 7200 Fax: +91-11 2687 0955 +91-11 2687 2419 Email: [email protected]
Pushkar Srivastava Project Implementation Officer, INRM Tel: +91-11 2410 7200 Fax: +91-11 2687 0975 Email: [email protected]
EXECUTING AGENCIES
Agency Name/Position Address Contact Details
National
Ministry of Urban Development (MOUD)
Mr. Arun Goel, Joint Secretary
Room No. 140 „C‟ Nirman Bhawan, Maulana Azad Road, New Delhi 110011
Tel: +91-11-23063255 Fax: +91-11-23062028 Website: http://nerudp.nic.in
Ashutosh Joshi, Director (UD) Investment Program Manager
Room No. 212-„C‟ Nirman Bhawan, Maulana Azad Road, New Delhi 110011
Tel/Fax: +91-11-23062195 Email: [email protected]
Yogesh Goel Room No. 203-„C‟ Nirman Bhawan, Maulana Azad Road, New Delhi 110011
Tel/Fax: +91-11-23061691 Mobile: +91-9910585959 Email: [email protected]
State of Meghalaya
Urban Affairs Department (UAD)
Mr. P. Naik, Principal Secretary, UAD
Additional Secretariat, Myntdu Building, Shillong 793001, Meghalaya
Fax: +91-364-2220202 Tel: +91-364-2225935 Email: [email protected]
B. K. Dev Varma, Additional Chief Secretary, Finance Mr.N S Samant, Principal Secretary, Finance and State Nodal Officer NERCCDIP.
Meghalaya Secretariat, Rilang Building, Shillong 793001, Meghalaya Additional Secretariat, Myntdu Building, Shillong 793001, Meghalaya
Email: [email protected] Tel: +91-364-2222016 Tel: +91-364-2226350
32 Appendix 9
Agency Name/Position Address Contact Details
Mr. Biswajit Dutta, Program Director, SIPMIU (Shillong)
Urban Affairs Complex, Dhankheti, Shillong-793 003, Meghalaya
Tel: 0364-2505463 Fax: 0364-2505463 Mobile: 9436100879 Email: [email protected] [email protected] Website: Under construction
Mr. K. Kharumnuid, Addl. Project Director, SIPMIU (Shillong)
Email: [email protected] Mobile:09436306554
State of Mizoram
Urban Development and Poverty Alleviation Department (UP&PAD)
R.L. Rinawma, IRS Principal Secretary, UD&PAD
New Secretarial, Complex, Aizawl 796001
Fax: +91-389-2335916 Tel: +91-389-232-2123 Email: [email protected]
Lalmalsawma, Finance and Home Secretary & Chief Electoral Officer
Tel: 0389-232-2558 Fax: 232-5131
Mr. Valbuanga, Project Director, SIPMIU (Aizawl)
U-5/A, Vega Studio, Laipuitlang, Aizawl
Tel: +91-0389-2340337 Fax: +91-0389-2340532 Mobile: +91-0-94361-42319 Email: [email protected], Website:
State of Nagaland
Urban Development Department (UDD)
Mr. Neihu C. Thur, Secretary, UDD
Nagaland Civil Secretariat, Kohima-797001, Nagaland
Tel: +91-370-2270289 Fax: +91-370-2270289 Mobile: +91-9862008068; 9436003618 Email: [email protected]
Mr. K. Haralu, Program Director, SIPMIU (Kohima)
Old Secretariat Complex Kohima-797001, Nagaland
Tel: +91 370 2292099/2292103 Fax: +91 370-2292102 Mobile: +91 9436000213 Email: [email protected], [email protected] Website:
State of Sikkim
Urban Development and Housing Department (UDHD)
T.Dorji, IAS Commissioner/ Secretary
Urban Development & Housing Department Government of Sikkim Gangtok 737101
Tel: +913592202726 Fax: +913592205087 Mobile: +919733299888
Mr. J.D. Bhutia Project Director, SIPMIU (Gangtok)
Urban Development & Housing Department, Govt. of Sikkim, NH 31A, Gangtok-797 101
Tel: +91 03592 -202726; + 913592201430 Fax: +91 03592-205087 Mobile: +919434152987 Email: [email protected] Website:
State of Tripura
Urban Development Department (UDD)
S. K. Roy, Principal Secretary, UDD & Health
Urban Development Department New Secretariat Complex Agartala Tripura 799006
Tel: 0381-232-5058 Fax: +91-381-241-0145 E-mail: [email protected]
Mr. R.K. Majumder Project Director, SIPMIU (Agartala)
SIPMIU, ADB-Assisted NERCCDIP, 2nd Floor khadya Bhavan Government of Tripura Office Lane, Agartala, India-799006
Tel: +91 381 232 9301 / 0174 /0263 Fax: +91-381-232-9301 Email: [email protected] Website: Mobile: +919402168870
Appendix 9 33
Agency Name/Position Address Contact Details
Mr. Manik Lal Sarkar Adviser SIPMIU (Agartala)
SIPMIU, ADB-Assisted NERCCDIP, 2nd Floor khadya Bhavan Government of Tripura Office Lane, Agartala, India-799006
Tel: +91 381 232 9301 Fax: +91-381-232-9301 Email: [email protected] Website: Mobile: +919436479992
Mr. Ashim Chakraborti Project Manager SIPMIU (Agartala)
SIPMIU, ADB-Assisted NERCCDIP, 2nd Floor khadya Bhavan Government of Tripura Office Lane, Agartala, India-799006
Tel: +91 381 232 9301 /0174/ 0263 Fax: +91-381-232-9301 Email: [email protected] Website: Mobile: +919436125768
Mr. Biswajit Paul BME/MIS officer SIPMIU (Agartala)
SIPMIU, ADB-Assisted NERCCDIP, 2nd Floor khadya Bhavan Government of Tripura Office Lane, Agartala, India-799006
Tel: +91 381 232 9301 /0174/0263 Fax: +91-381-232-9301 Email: [email protected] Website: Mobile: +919436120155
CONSULTANTS
Agency Name/Position Address Contact Details
National
PMMC Pritam Kapur, TL,(JPS Associates Pvt Ltd)
R-16, Hauz Khaz Enclave New Delhi-110016
Tel : 011-26862487 Fax : 011-26864547 [email protected]
State of Meghalaya
DSMC Dibyendu Roy Chowdhury, Team
Leader (Mott MacDonald)
Email: swades.bhattacharya@ mottmac-india.com
IDC H.K. Mazhari, Team Leader, (PricewaterhouseCoopers Pvt. Ltd.)
Email: [email protected]
B. Rajesh, Senior Manager, (PricewaterhouseCoopers Pvt. Ltd.)
Building No. 10, 17th Fl.
Tower-C, DLF Cyber City, Gurgaon – 122002, Haryana
Tel: +91-124-3306170 Fax: +91-124-3306999 Mobile: +91-9971900681 Email: [email protected]
State of Mizoram
DSMC Mr. Dunglena Team Leader (Gherzi Eastern)
Telefax: 0389 2340024 Phone:0389 2306946 Mob: 09436142013 Email: [email protected]
B.N. Misra, Deputy Team Leader (Gherzi Eastern)
Telefax: 0389 2340024 Phone: 0389 2306946 Mobile: Email: [email protected]
IDC To be appointed
State of Nagaland
DSMC Abdul Majeed, Team Leader (Wilbur Smith Associates)
Tel: Fax: Mobile: Email: [email protected]
D. Jayakumar, Director, Water & Sanitation (Wilbur Smith Associates)
Tel: +91-80-3918-7500 Fax: +91-80-2363-4097 Mobile: Email: [email protected]
IDC To be appointed
34 Appendix 9
Agency Name/Position Address Contact Details
State of Sikkim
DSMC Ranajit Bannerjee, Team Leader, (Wilbur Smith Associates)
By Pass Road junction NH31A Gangtok 737101
Tel: + 913592208002 Fax: Mobile: +919831074177 Email: [email protected]
IDC To be appointed
State of Tripura
DSMC T. K. Mukhopadhyay, Team Leader (STUP Consultants P. Ltd.)
Rathor Bhavan, IInd Fl. Palace Compound, North Gate, Agartala 799001
Mob: 9612661847 Email: [email protected] Email: [email protected]
IDC Mr. A.B. Paul, Team Leader (PSP Financial Consultants Pvt. Ltd)
c/o Ashutosh Saha, Khosh Bagan, Central Road (Behind Central Bank of Agartala), Agartala 799001
Tel: Fax: Mobile: Email: [email protected]
K. Padmanabhan, Chartered Accountant, (PSP Financial Consultants Pvt. Ltd.)
same as above
Tel: Fax: Mobile: Email: [email protected]
Mainak Chakrabarti Assistant Chartered Accountant (PSP Financial Consultants Pvt. Ltd.)
same as above
Tel: Fax: Mobile: +91-9831336116 Email: [email protected]
Consultants
Wilbur Smith Associates
Prashant Karkare, Director, Urban Development-Asia
#8, Second Fl. 80 Feet Road, RT Nagar, Bangalore, Karnataka - 560032
Tel: +91-80-3918-7500 Fax: +91-80-2363-4097 Mobile: Email: [email protected]
35 Appendix 10
Description
Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4ADB's FFA and PFR Approval w w w
Loan Signing w w w
Loan Effectiveness w w w
Preliminary TasksStaffing/Operationalizing of SIPMIUStaff orientationEnvironmental Clearances w w w
Project Lands Acquired and R&R activities w w w
Tranche 1 (ADB loan $30 million including financial charges)Optimization of water supply systemsIntroduction of NRW programs in all 5 StatesImmediate refurfishment and emergency repairsSample water supply rehabilitation and expansion scheme for Gangtok Sample SWM comprehensive site in Kohima and emergency scheme in ShillongDCMS consultancy for all 5 StatesIDC consultancy in Agartala and Shillong
Tranche 2 (ADB loan $79.3 million including financial charges)Water supply rehabilitation and expansion schemes for Agartala (South Zone), Aizawl and
SWM schemes for Agartala, Aizawl, Gangtok and ShillongSWM equipment for KohimaIDC consultancy in Aizawl, Gangtok and Kohima
Tranche 3 (ADB loan $90.8 million including financial charges)Water supply rehabilitation and expansion schemes for Agartala (Central Zone) and Shillong
SWM equipment for Aizawl, Gangtok and ShillongSewerage schemes for Aizawl, Gangtok and Kohima
2013 2015201420102009 2011 2012
IEE/EIA
PFR1 complete
FFA & FR1 FR2 PFR3
clear PFR2IEE/EIA
clear PFR3
PFR2 complete PFR3 complete
clear PFR1
INVESTMENT PROGRAM IMPLEMENTATION SCHEDULE
Appendix 11 36
Description
Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
ADB's FFA and PFR Approval w w w
Loan Signing w w w
Loan Effectiveness w w w
Preparation Tasks
Staffing/Operationalizing of SIPMIU
Staff orientation
Water Allocations/Permits Secured (new Sources) w
Environmental Clearances w w w
Project Lands Acquired and R&R activities w w w
Part A: Urban Infrastructure and Services Improvement
A1.a Improved Water Supply Service and Coverage - Immediate Refurbishment
Implementation of NRW program
Replacement of existing 25 tube wells (in South and Central Zones)
Replacement of 17 iron removal plants (in South and Central Zones)
A1.b Improved Water Supply Service and Coverage - South Zone Rehabilitation and Expansion
Construction of reservoirs with a capacity of 7.5 ML
Construction of pumping mains and secondary and tertiary pipelines
Supply and installation of chlorinators (incl 3 yr maintenance)
Construction of 2 new tube wells
Construction of 5 new iron removal plants
Construction of 5 new groundwater treatment plants
Provision of HH connections
A1.c Improved Water Supply Service and Coverage - Central Zone Rehabilitation and Expansion
Provision of infiltration galleries at the College Tilla and augmentation of current treatment plant, incl. machinery and dedicated power
Construction of 7 new tube wells
Construction of 3 new iron removal plants
Construction of 2 new groundwater treatment plants
Construction of pumping mains and secondary and tertiary pipelines
A2. Solid Waste Management
EIA and Awareness Campaign
Transfer station, compost plant (50 TDP) and sanitary landfill site
Parking cum garage/shop (@ Malay Nagar)
Transportation vehicles (5 medium duty tipper)
Heavy vehicles and equipment (3 tipper trucks, 2 bulldozers, 2 loader)
Bins and light equipment
Supply of Bentonite
Part B: Insititutional Strengthening and Investment Program Management
B.1 Support to Double Entry Accounting Reform
Accounting manual
Asset Registrar and Valuation
Software Preparation and Adaptation
Account Migration
Training
B.2 Support to Property Tax Reform
Mapping and computerized data base
Introduction of GIS software
Property mapping survey
Introduction of new tax
B.3 Public Utility (Water and Sewerage) Strengthening
Program on improved asset management (incl. establishment of database and asset condition systems)
Asset Cost Drivers and Cost Models for Investment Planning
Quality Assurance and quality control manual, procedures and systems
B.4 Public Awareness Campaign
Implementing India's 74th Amendment to the Constitution
Solid Waste Management (Segregation)
Water and solid waste management charges
B.5 Investment Program Management
Consultancies (DSMC): Signing and Mobilization
Consultancies (IDC): Signing and Mobilization
Design
Tender and Evaluation
Construction/Installation/Implementation
Commissioning/Testing
2009 2011 2012 2013 20142010 2015
signed MOUsIEE/EIA
PFR1 complete
FFA & FR1 PFR2 PFR3
clear PFR2 IEE/EIA clear PFR3
PFR2 complete PFR3 complete
clear PFR1
AGARTALA-SUMMARY INVESTMENT PROGRAM IMPLEMENTATION
Appendix 11 37
Description
Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
ADB's FFA and PFR Approval w w w
Loan Signing w w w
Loan Effectiveness w w w
Preliminary Tasks
Staffing/Operationalizing of SIPMIU
Staff orientation
Environmental Clearances w w w
Project Lands Acquired and R&R activities w w w
Part A: Urban Infrastructure and Services Improvement
A1.a Improved Water Supply Service and Coverage - Immediate Refurbishment
NRW program
Supply and installation of household meters (13,000)
Supply and installation of chlorinators are major reservoirs (2)
Replacement of zonal reservoirs (7)
Water testing laboratory equipment
A1.b Improved Water Supply Service and Coverage - Rehabilitation and Expansion
Provision of a dedicated power supply 132 KV line
Feeder mains, primary (37km) and secondary and tertiary (122 km) distribution
Construction of 9 new reservoirs
A2. Sewerage and Sanitation
Primary (23 km) and Secondary (30 km) Sewerage Network
Sewage Treatment Plant (1) and Disposal (+5 yr maintenance contract)
Provision of HH connections (incl. inspection chambers, 9152) and community blocks (6), HH
assistance (1000)
Sewerage maintenance equipment, tools and lab equipment
A3. Solid Waste Management
EIA and Awareness Campaign
Transfer station , compost plant (50 TDP) and weighbridge
Parking cum garage/shop (@ Thumpui)
New disposal site (Muallungthu) and rehabilitation of existing one (Tuirial)
Primary and Secondary Collection equipment: light equip and vehicles (10 medium duty tipper, 6
tipper trucks, 8 dumper placer trucks)
Equipment for compost plant
Equipment for landfill site
Part B: Insititutional Strengthening and Investment Program Management
B.1 Support to Double Entry Accounting Reform
Accounting manual
Asset Registrar and Valuation
Software Preparation and Adaptation
Account Migration
Training
B2 Support to Property Tax Reform
Mapping and computerized data base
Introduction of GIS software
Property mapping survey
Introduction of new tax
B3. Public Utility (Water and Sewerage) Strengthening
Program on improved asset management (incl. establishment of database and asset condition systems)
Asset Cost Drivers and Cost Models for Investment Planning
Quality Assurance and quality control manual, procedures and systems
B4. Public Awareness Campaign
Implementing India's 74th Amendment to the Constitution
Solid Waste Management (Segregation)
Water and solid waste management charges
B5. Investment Program Management
Consultancies (DSMC): Signing and Mobilization
Consultancies (IDC): Signing and Mobilization
Design
Tender and Evaluation
Construction/Installation/Implementation
Commissioning/Testing
2009 2011 2012 2013 20142010 2015
DCS & PMC - Part I
IEE/EIA
PFR1 complete
FFA & FR1 PFR2 PFR3
DCS & PMC - Part II DCS & PMC - Part III DCS & PMC - Part IV
clear PFR2IEE/EIA
clear PFR3
PFR2 complete PFR3 complete
clear PFR1
AIZAWL-SUMMARY INVESTMENT PROGRAM IMPLEMENTATION
38 Appendix 11
Description
Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
ADB's FFA and PFR Approval w w w
Loan Signing w w w
Loan Effectiveness w w w
Preliminary Tasks
Staffing/Operationalizing of SIPMIU
Staff orientation
Environmental Clearances w w w
Project Lands Acquired and R&R activities w w w
Part A: Urban Infrastructure and Services Improvement
A1 Improved Water Supply Service and Coverage - Rehabilitation and Expansion
Construction of 3 new R.C.C. Zonal Service Reservoirs
Construction of 31 kilometers of primary pipelines and 38 km of secondary lines
Provision of 19,000 metered service connections
Construction and installation of 4 chlorinators
A2 Improved Sanitation and Sewerage (Zone II and III and Community Latrines)
Primary (12 km) and Secondary (30 km) Sewerage Network for Zone 2
Primary (12 km) and Secondary (30 km) Sewerage Network for Zone 3
Construction of sewage treatment plants for Zones II and III
Sewerage maintenance equipment, tools and lab equipment
Community latrines
B3 Solid Waste Management
EIA and Awareness Campaign
Transfer station (3 @ Indira Bypass)
Parking cum garage/shop (@ UDHD parking)
New disposal site (Marshak)
Primary and Secondary Collection equipment: light equip and vehicles (3 medium duty tipper, 3 large
tipper trucks, 4 dumper placer trucks)
Equipment for compost plant
Equipment for landfill site
Part B: Insititutional Strengthening and Investment Program Management
B1.Support to Double Entry Accounting Reform
Accounting manual
Asset Registrar and Valuation
Software Preparation and Adaptation
Account Migration
Training
B2. Support to Property Tax Reform
Mapping and computerized data base
Introduction of GIS software
Property mapping survey
Introduction of new tax
B3. Public Utility (Water and Sewerage) Strengthening
Program on improved asset management (incl. establishment of database and asset condition systems)
Asset Cost Drivers and Cost Models for Investment Planning
Quality Assurance and quality control manual, procedures and systems
B4. Public Awareness Campaign
Implementing India's 74th Amendment to the Constitution
Solid Waste Management (Segregation)
Water and solid waste management charges
B5. Investment Program Management
Consultancies (DSMC): Signing and Mobilization
Consultancies (IDC): Signing and Mobilization
Design
Tender and Evaluation
Construction/Installation/Implementation
Commissioning/Testing
2009 2011 2012 2013 20142010 2015
IEE/EIA
PFR1 complete
FFA & FR1 FR2 PFR3
clear PFR2IEE/EIA
clear PFR3
PFR2 complete PFR3 complete
incl. 3 yr maintenance
clear PFR1
DCS & PMC - Part I DCS & PMC - Part II DCS & PMC - Part III DCS & PMC - Part IV
GANGTOK-SUMMARY INVESTMENT PROGRAM IMPLEMENTATION
Appendix 11 39
Description
Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
ADB's FFA and PFR Approval w w w
Loan Signing w w w
Loan Effectiveness w w w
Preliminary Tasks
Staffing/Operationalizing of SIPMIU
Staff orientation
Water Allocations/Permits Secured (new Sources) w
Environmental Clearances w w w
Project Lands Acquired and R&R activities w w w
Part A: Urban Infrastructure and Services Improvement
A1a Improved Water Supply Service and Coverage - Rehabilitation and Expansion
Construction of 19 replacement R.C.C. Zonal Service Reservoirs
Refurbishment of existing WTP
Construction and installation of 2 chlorinators
Provision of 30 bulk meters
UFW program
A1.b Improved Water Supply Service and Coverage - Rehabilitation and Expansion
Construction of 31 kilometers of primary pipelines and 38 km of secondary lines
Construction of 5 new R.C.C. Zonal Service Reservoirs
Provision of 11,500 metered service connections
A2 Improved Sanitation and Sewerage (Zone II and III and Community Latrines)
Primary (12 km) and Secondary (30 km) Sewerage Network for Zone 2
Primary (12 km) and Secondary (30 km) Sewerage Network for Zone 3
Construction of sewage treatment plants for Zones II and III
Sewerage maintenance equipment, tools and lab equipment
Community latrines
B3 Solid Waste Management
EIA and Awareness Campaign
Transfer station
Parking cum garage/shop
New disposal site and compost plant
Primary and Secondary Collection equipment: light equip and vehicles
Equipment for compost plant
Equipment for landfill site
Part B: Insititutional Strengthening and Investment Program Management
B1.Support to Double Entry Accounting Reform
Accounting manual
Asset Registrar and Valuation
Software Preparation and Adaptation
Account Migration
Training
B2. Support to Property Tax Reform
Mapping and computerized data base
Introduction of GIS software
Property mapping survey
Introduction of new tax
B3. Public Utility (Water and Sewerage) Strengthening
Program on improved asset management (incl. establishment of database and asset condition systems)
Asset Cost Drivers and Cost Models for Investment Planning
Quality Assurance and quality control manual, procedures and systems
B4. Public Awareness Campaign
Implementing India's 74th Amendment to the Constitution
Solid Waste Management (Segregation)
Water and solid waste management charges
B5. Investment Program Management
Consultancies (DSMC): Signing and Mobilization
Consultancies (IDC): Signing and Mobilization
Design
Tender and Evaluation
Construction/Installation/Implementation
Commissioning/Testing
2013 201520102009 2011 2012 2014
signed MOUsIEE/EIA
PFR1 complete
FFA & FR1 FR2 PFR3
clear PFR2 IEE/EIA clear PFR3
PFR2 complete PFR3 complete
clear PFR1
incl. 3 yr maintenance
incl. 3 yr maintenance
DCS & PMC - Part I DCS & PMC - Part II DCS & PMC - Part III DCS & PMC - Part IV
KOHIMA-SUMMARY INVESTMENT PROGRAM IMPLEMENTATION
40 Appendix 11
Description
Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
ADB's FFA and PFR Approval w w w
Loan Signing w w w
Loan Effectiveness w w w
Preliminary Tasks
Staffing/Operationalizing of SIPMIU
Staff orientation
Environmental Clearances w w w
Project Lands Acquired and R&R activities w w w
Part A: Urban Infrastructure and Services Improvement
A1 Improved Sanitation and Sewerage (Zone I and Community Latrines)
Primary (33 km) and Secondary and tertiary (60 km) Sewerage Network
Sewage Treatment Plant (1, 10 MLD) and Disposal (+5 yr maintenance contract)
Provision of HH connections (incl. inspection chambers, 6536) and community blocks (6), HH
assistance (1000)
Sewerage maintenance equipment, tools and lab equipment
A2. Solid Waste Management
EIA and Awareness Campaign
Short term landfill site
Transfer station (@ Maulai), and weighbridge
Parking cum garage/shop (@ compost plant)
New disposal site (@ Mawiong ) and rehabilitation of existing one (Mawlai)
Primary and Secondary Collection equipment: light equip and vehicles (5 medium duty tipper, 6 tipper
trucks, 7 dumper placer trucks)
Equipment for compost plant
Equipment for landfill site
Part B: Insititutional Strengthening and Investment Program Management
B.1 Support to Double Entry Accounting Reform
Accounting manual
Asset Registrar and Valuation
Software Preparation and Adaptation
Account Migration
Training
B.2 Support to Property Tax Reform
Mapping and computerized data base
Introduction of GIS software
Property mapping survey
Introduction of new tax
B.3 Public Utility (Water and Sewerage) Strengthening
Program on improved asset management (incl. establishment of database and asset condition systems)
Asset Cost Drivers and Cost Models for Investment Planning
Quality Assurance and quality control manual, procedures and systems
B.4 Public Awareness Campaign
Implementing India's 74th Amendment to the Constitution
Solid Waste Management (Segregation)
Water and solid waste management charges
B.5 Investment Program Management
Consultancies (DSMC): Signing and Mobilization
Consultancies (IDC): Signing and Mobilization
Design
Tender and Evaluation
Construction/Installation/Implementation
Commissioning/Testing
2009 2011 2012 2013 201520142010
signed MOUsIEE/EIA
PFR1 complete
FFA & FR1 FR2 PFR3
clear PFR2IEE/EIA
clear PFR3
PFR2 complete PFR3 complete
clear PFR1
SHILLONG-SUMMARY INVESTMENT PROGRAM IMPLEMENTATION
41 Appendix 12
CONTRACT AWARDS AND DISBURSEMENT PROJECTIONS (Project-1)
Projection of Contract Awards and Disbursement (Project 1) by EAs, April 2010 ($ million)
2010 Total
Q1 Q2 Q3 Q4 Total
MOUD
Contract Target 0.000 0.000 0.470 0.470 0.470
Award Achieved 0.000 0.000
Disburse- Target 0.000 0.000 0.000 0.020 0.020 0.040 0.080 0.080 0.080 0.080 0.080 0.030 0.470
ment Achieved 0.000 0.000
Meghalaya, Shillong
Contract Target 2.773 1.215 0.510 1.725 4.498
Award Achieved 2.773 1.215 1.215 3.988
Disburse- Target 0.014 0.234 0.371 0.320 0.430 1.355 1.393 0.713 0.360 0.360 0.303 4.498
ment Achieved 0.014 0.234 0.234 0.248
Mizoram, Aizawl
Contract Target 2.48 0.108 1.533 0.053 0.053 1.747 0.239 0.218 0 0 0 0 4.684
Award Achieved 2.48 0.108 0.108 2.588
Disburse- Target 0 0.196 0.26 0.463 0.465 1.384 1.578 0.707 0.346 0.472 0.197 0 4.684
ment Achieved 0 0.196 0.196 0.196
Nagaland, Kohima
Contract Target 3.290 0.000 0.000 0.000 4.480 4.480 0.120 7.890
Award Achieved 2.623 2.623 2.623
Disburse- Target 0.000 0.000 0.390 0.180 0.340 0.910 3.140 2.310 0.960 0.570 7.890
ment Achieved 0.000 0.000 0.000
Contract Target 0.000 2.988 0.000 0.000 4.664 7.652 0.169 7.821
Award Achieved 2.114 2.114 2.114
Disburse- Target 0.000 0.000 0.141 0.254 0.720 1.115 3.974 1.747 0.564 0.421 7.821
ment Achieved 0.000 0.000
Contract Target 3.750 0.000 0.000 1.300 0.260 1.560 5.310
Award Achieved 3.480 0.000 0.000 3.480
Disburse- Target 0.030 0.230 0.580 0.690 0.960 2.460 1.920 0.900 5.310
ment Achieved 0.020 0.220 0.220 0.240
Contract Target 12.293 4.311 2.513 1.353 9.457 17.634 0.528 0.218 0.000 0.000 0.000 0.000 30.673
Award Achieved 8.733 6.060 6.060 14.793
Disburse- Target 0.044 0.660 1.742 1.927 2.935 7.264 12.085 6.457 2.310 1.903 0.580 0.030 30.673
ment Achieved 0.034 0.650 0.650 0.684
Indicators
Total
2015
Sikkim, Gangtok
Tripura, Agartala
20162011 2012 2013 20142009
42 Appendix 12
0.0
1.0
2.0
3.0
4.0
5.0
6.0
7.0
8.0
9.0
Dec-09Jul-10Dec-10Jun-11Dec-11Jun-12Dec-12Jun-13Dec-13Jun-14Dec-14Jun-15Dec-15Jun-16Dec-16
Gangtok
Target
Achieved
Target
Achieved
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
Dec-09 Jul-10 Dec-10 Jun-11 Dec-11 Jun-12 Dec-12 Jun-13 Dec-13 Jun-14 Dec-14 Jun-15 Dec-15 Jun-16 Dec-16
Shillong
Target
Achieved
Target
Achieved
0.0
1.0
2.0
3.0
4.0
5.0
6.0
7.0
8.0
9.0
Dec-09 Jul-10 Dec-10Jun-11Dec-11Jun-12Dec-12Jun-13Dec-13Jun-14Dec-14Jun-15Dec-15Jun-16Dec-16
Kohima
Target
Achieved
Target
Achieved
0.0
0.1
0.1
0.2
0.2
0.3
0.3
0.4
0.4
0.5
0.5
Dec-09 Jul-10 Dec-10 Jun-11 Dec-11 Jun-12 Dec-12 Jun-13 Dec-13 Jun-14 Dec-14 Jun-15 Dec-15 Jun-16 Dec-16
MOUD
Target
Achieved
Target
Achieved
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
Dec-09 Jul-10 Dec-10Jun-11Dec-11Jun-12Dec-12Jun-13Dec-13Jun-14Dec-14Jun-15Dec-15Jun-16Dec-16
Aizawl
Target
Achieved
Target
Achieved
0.0
1.0
2.0
3.0
4.0
5.0
6.0
Dec-09Jul-10Dec-10Jun-11Dec-11Jun-12Dec-12Jun-13Dec-13Jun-14Dec-14Jun-15Dec-15Jun-16Dec-16
Agartala
Target
Achieved
Target
Achieved
0.0
5.0
10.0
15.0
20.0
25.0
30.0
Dec-09 Jul-10 Dec-10 Jun-11 Dec-11 Jun-12 Dec-12 Jun-13 Dec-13 Jun-14 Dec-14 Jun-15 Dec-15 Jun-16 Dec-16
Total
Target
Achieved
Target
Achieved
43 Appendix 12
Quarterly Projection of Contract Awards and Disbursement-Tranche 2
Indicators 2011 2012 2013 2014 2015 Total
Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
MOUD
Contract Target - - - - - - - 0.600 - - - - - - - - - - - 0.600
Award Achieved -
Disburse Target - - - - - - - 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.600
ment Achieved -
Shillong, Meghalaya -
Contract Target - 0.053 0.053 0.053 0.718 0.053 0.226 0.053 0.053 0.053 0.053 0.053 0.053 0.053 0.053 0.053 0.053 0.053 0.053 1.788
Award Achieved -
Disburse Target - 0.053 0.053 0.053 0.053 0.086 0.119 0.161 0.236 0.245 0.229 0.096 0.087 0.053 0.053 0.053 0.053 0.053 0.053 1.788
ment Achieved -
Aizawl, Mizoram -
Contract Target 1.200 0.078 0.078 0.078 4.229 11.641 0.078 0.078 0.078 0.078 0.078 0.078 0.078 0.078 0.078 0.078 0.078 0.078 0.078 18.314
Award Achieved -
Disburse Target - 0.198 0.198 0.198 0.198 0.405 0.694 0.868 1.010 1.347 1.880 2.275 2.126 1.446 1.143 1.234 1.278 1.057 0.761 18.314
ment Achieved -
Kohima, Nagaland -
Contract Target - 1.250 0.050 0.050 0.050 8.595 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 0.050 10.645
Award Achieved -
Disburse Target - 0.170 0.170 0.170 0.170 0.170 0.384 0.384 0.384 0.597 0.597 0.691 0.691 0.905 1.118 1.332 1.545 1.118 0.050 10.645
ment Achieved -
Gangtok, Sikkim -
Contract Target - 1.244 0.044 0.044 1.046 7.337 0.044 0.044 0.044 0.044 0.044 0.044 0.044 0.044 0.044 0.044 0.044 0044 0.044 1.295
Award Achieved -
Disburse Target - 0.164 0.164 0.164 0.164 0.215 0.413 0.588 0.861 1.134 1.228 1.047 0.837 1.005 1.029 0.860 0.211 0.164 0.044 10.295
ment Achieved -
Agartala, Tripura -
Contract Target - 0.008 0.008 0.008 13.613 6.888 0.008 0.008 0.008 0.008 0.008 0.008 0.008 0.008 0.008 0.008 0.008 0.008 0.008 20.635
Award Achieved -
Disburse Target - 0.008 0.008 0.008 0.008 0.681 1.474 2.170 3.568 3.725 3.156 0.710 0.777 0.971 1.076 1.061 0.727 0.496 0.008 20.635
ment Achieved -
Grand Toral
Contract Target 1.200 2.633 0.233 0.233 19.656 34.515 0.406 0.833 0.233 0.233 0.233 0.233 0.233 0.233 0.233 0.233 0.233 0.233 0.233 62.278
Award Achieved - - - - - - - - - - - - - - - - - - - -
Disburse Target - 0.593 0.593 0.593 0.593 1.557 3.085 4.220 6.109 7.098 7.141 4.869 4.568 4.430 4.468 4.590 3.865 2.938 0.967 62.278
ment Achieved - - - - - - - - - - - - - - - - - - - -
Appendix 12 44
S-curves by EAs (Tranche 2)
MOUD
0
1
2
3
Apr-11 Jun-11 Sep-11 Dec-11 Mar-12 Jun-12 Sep-12 Dec-12 Mar-13 Jun-13 Sep-13 Dec-13 Mar-14 Jun-14 Sep-14 Dec-14 Mar-15 Jun-15 Sep-15 Dec-15
$ million
Contract Aw ard
Disbursement
Shillong
0
1
2
3
Apr-11 Jun-11 Sep-11 Dec-11 Mar-12 Jun-12 Sep-12 Dec-12 Mar-13 Jun-13 Sep-13 Dec-13 Mar-14 Jun-14 Sep-14 Dec-14 Mar-15 Jun-15 Sep-15 Dec-15
$ million
Contract Aw ard
Disbursement
Aizawl
0
5
10
15
20
Apr-11 Jun-11 Sep-11 Dec-11 Mar-12 Jun-12 Sep-12 Dec-12 Mar-13 Jun-13 Sep-13 Dec-13 Mar-14 Jun-14 Sep-14 Dec-14 Mar-15 Jun-15 Sep-15 Dec-15
$ million
Contract Aw ard
Disbursement
Kohima
0
5
10
15
Apr-11 Jun-11 Sep-11 Dec-11 Mar-12 Jun-12 Sep-12 Dec-12 Mar-13 Jun-13 Sep-13 Dec-13 Mar-14 Jun-14 Sep-14 Dec-14 Mar-15 Jun-15 Sep-15 Dec-15
$ million
Contract Aw ard
Disbursement
Gangtok
0
5
10
15
Apr -11 Jun-11 Sep-11 Dec-11 Mar -12 Jun-12 Sep-12 Dec-12 Mar -13 Jun-13 Sep-13 Dec-13 Mar -14 Jun-14 Sep-14 Dec-14 Mar -15 Jun-15 Sep-15 Dec-15
$ million
Contract Aw ard
Disbursement
Agartala
0
5
10
15
20
25
Apr -11 Jun-11 Sep-11 Dec-11 Mar -12 Jun-12 Sep-12 Dec-12 Mar -13 Jun-13 Sep-13 Dec-13 Mar -14 Jun-14 Sep-14 Dec-14 Mar -15 Jun-15 Sep-15 Dec-15
$ million
Contract Aw ard
Disbursement
45 Appendix 12
Worksheet for Quarterly & Yearly Contract Awards/Commitments & Disbursement Projections ($ Million)( Important: Before completing this form, please read carefully the instructions printed at the back of this form. Refer to PAI Nos. 5.02. Issued in December 2001.)
PROJECT: PROJECTIONS MADE IN:
LOAN/GRANT NO. SEGMENT NO. FUNDS (OCR, SF, ADF-IX, ATF2/
) COUNTRY (Acronym) (Month, Year)
QP QP QP QP
QA QA QA QA
QP QP QP QP
QA QA QA QA
1/ In accordance with the allocation of loan proceeds as defined in the loan documents, or any other detailed breakdown if found useful. NOTES AND REMARKS: Page ___ of ___ pages
2/ ATF = Asian Tsunami Fund; Projections should be for the ADB-ATF financed component only. QP-01-20______
QA = Quarterly Actual (already awarded/committed/disbursed, when projections are prepared).
QP = Quarterly Projected (to be awarded/committed/disbursed), when projections are prepared).
ADB Form No. 16/06 Revised September 2005
Apr, May, Jun 20_____ Jul, Aug, Sep 20_____ Oct, Nov, Dec 20_____
TOTAL OF THIS PAGE___ OF___PAGES (To be carried on next page)
6
3
GRAND TOTAL (LAST PAGE)
QUARTER 1Contracts
Awarded on
Previous
Year(s)Jan, Feb, Mar 20_____
7
5
QUARTER 2
10
8
9
TOTAL (Carried Forward) FROM PREVIOUS PAGE ___ OF ___ PAGES
4
1
2
Month, Year
Contract
Awarded
Contract Value
(Bank Financed)
Month Awarded/
Committed or To be
Awarded/
Committed
Contract Value/
Commitment (1)
Disbursement
Amount Related
to the Contract/
Commitment (2)
QA
Month Awarded/
Committed or To be
Awarded/
Committed
QP Disbursement
Amount Related
to the Contract/
Commitment (4)Contract Value/
Commitment (3)QA
Disbursement
Amount Related to
the Contract/
Commitment
(10)=(2+4+6+8)
Contract Value/
Commitment
(9)=(1+3+5+7)
QUARTER 4
Month Awarded/
Committed or To be
Awarded/
Committed
QP Disbursement
Amount Related
to the Contract/
Commitment (8)Contract Value/
Commitment (7)QA
Ref.
Line
No.
Cate-
gory 1/ CONTRACT/COMMITMENT ITEM
/1
QUARTER 3
Month Awarded/
Committed or To be
Awarded/
Committed
QP Disbursement
Amount Related
to the Contract/
Commitment (6)Contract Value/
Commitment (5)
QP
QA
TOTAL PROJECTED
FOR THE YEAR 20___
(YP)=(QA) + (QP)
46 Appendix 12
Appendix 12 47
Summary Form Contract Awards and Disbursement Projections
(up to project completion)
Year 2011
(in US$'000)
Description of Contracts/Loan
Category
Contract Awards Disbursements
Q1 Q2 Q3 Q4 Total Q1 Q2 Q3 Q4 Total
- -
- -
- -
- -
- -
Total - - - - - - - - - -
Year 2012
(in US$'000)
Description of Contracts/Loan
Category
Contract Awards Disbursements
Q1 Q2 Q3 Q4 Total Q1 Q2 Q3 Q4 Total
- -
- -
- -
- -
- -
Total - - - - - - - - - -
Appendix 13 48
PROFORMA OF SUBPROJECT APPRAISAL REPORTS
1. Subproject Name
2. Subproject Town
3. Tranche Project–1, Project–2, Project–3, Project–4
4. Sub-sector Water supply Sewerage and sanitation
Solid waste management Drainage
Urban road and transportation Slum upgrading
5. Introduction and
Rationale
A. Background
[Brief description of existing situation at city level and in subproject area]
B. What is the need i.e. demand-supply gap?
[asses the need, current service level, demand: both in terms of quantitative
and qualitative aspect]
C. What are the reasons for demand-supply gap?
[increase in demand/usage/generation, lack of production/collection/treatment
capacity, inefficiency distribution/collection ]
D. What action government is taking to address the gap?
[ whether the subproject will solve the problem of the area or it is part of
many parallel activities initiated by government to solve the problem
[ what are the status of parallel development activities, if any]
6. Description A. Subproject area
[ brief description of topography, soil condition, climate, current population
etc]
B. Assessment of existing situation
[ status of physical infrastructure, their condition and service level]
C. Objective of the subproject
[ identify specific outcome: how subproject will mitigate the demand supply
gap,, how many people will be benefited(immediate and design),what will be
the improvement in service level both in terms of quantity and quality, what
are the service level standards]
D. Subproject Component
[ proposed physical activity under the subproject, including the specific
outputs]
E. What are the risk and assumption
[indicate risk and assumption for achieving the subproject output and
outcome
Indicate statutory approvals needs to be obtained for implementation of the
subproject ]
7. Design Features A. What is the design period?
B. What is the basis of the design?
[The following indicators cover sub-sectors of water supply, sanitation, solid
waste management and drainage. Applicable indicators will be chosen for
the project. For the sub-sectors of urban road and transport or slum
upgrading, appropriate indicators will be developed. The values of indicators
are sample only. ]
1. Urban population of the project town
- Current (20XX)
- At project completion (20XY)
60,000 (2009)
75,000 (2012)
Appendix 13 49
2. Urban population currently availing
service at the government standards
- Water supply
- Sanitation
- Solid waste
- Drainage
20,000
5,000
35,000
50,000
3. Target additional urban population that
will availing service at the government
standards upon completion of the project
- Water supply:
- Sanitation:
- Solid waste
- Drainage
50,000
20,000
30,000
10,000
4. Capacity improvement
Production of water
- Current
- At project completion (20XY)
Treatment of Wastewater
- Current
- At project completion (20XY)
Solid waste treatment
- Current
- At project completion (20XY)
Drainage discharge
- Current
- At project completion (20XY)
200 MLD
300 MLD
20 MLD
100 MLD
10 m-ton/day
50 m-ton/day
200 cubic meter/ sec
250 cubic meter/ sec
5. Service level improvement
Water supply
- Current
- At project completion (20XY)
Waste water collection
- Current
- At project completion (20XY)
Solid waste collection
- Current
- At project completion (20XY)
Reduction of water logging period
- Current
- At project completion (20XY)
Average 60 litter/day
Average 135 litter/day
0 litter/day
Average 110 litter/day
Own delivery to dumpsite
Once a week
200 hr/year
20 hr/year
8. Project Cost A. What are the estimated costs?
Item Amount
50 Appendix 13
A. Base Cost
1. [name of contracts/ works or supply]
2. [name of contracts/ works or supply]
3. [name of contracts/ works or supply]
4. [name of contracts/ works or supply]
5. Taxes and duties
Subtotal (A)
B. Contingencies
1. Price contingency
2. Physical contingency
Subtotal (B)
Total (A+B)
In mid-20XX prices.
9. Implementation
Period
A. What is the timeframe for implementation of this subproject?
Approval of this SAR
Completion of detailed engineering design
Issuance of tender documents
Contract award
Commencement of contract
Completion of contract
10. Implementation
Arrangement
A. Who will implement the subproject?
B. Who will be in charge of design and construction supervision?
11. Procurement and
Consultant
Selection
A. What will be the procurement method?
12. Operation and
Maintenance
A. Who will be the asset owner after completion?
B. Estimated yearly O&M cost
13. Economic and
Financial Analysis
( Provide detail analysis
in Attachment)
A. Economic and Financial justification as per the subproject selection
criteria
14. Environmental
Assessment
(Fill in Attachment 2 and
attach Initial
Environmental
Examination (IEE) or
Environmental Impact
Assessment (EIA) as
necessary)
A. Brief Description of Environmental Impact
B. What is the ERA assessment on following?
Likely to be classified as:
Category A under the EIA Notification of 2006 of GoI
Category B under the EIA Notification of 2006 of GoI
Unknown
The project site is not:
Within 10 km from the boundary of protected areas, notified areas and
inter-state and international boundaries as defined under EIA Notification
of 2006 of GoI
A part of National Parks/Sanctuaries and Tiger Reserve areas (notified
as defined under Indian Wildlife (Protection) Act, 1972)
Near to reserved forest or protected forest as defined under Forest
(Conservation) Act, 1980 (amended in 1988)
The subproject does not require:
Consent for Establishment and Consent for Operation under the Water
Appendix 13 51
(Prevention and Control of Pollution) Act, 1974 and/or the Air (Prevention
and Control of Pollution) Act, 1981
Authorization for waste processing and landfills under Municipal Solid
Waste (Management and Handling) Rules, 2000 of GoI
15. Involuntary
Resettlement
(Fill in Attachment 3 and
Attach Resettlement Plan
as necessary)
A. Brief Description of Resettlement Issues
B. What is the ERA assessment on following?
This subproject is unlikely to cause:
Loss of any private land for agricultural land, homestead land or vacant
plot
Loss of any government land for agricultural land, homestead land or
vacant plot used by (i) legal or (ii) illegal occupants
Loss of residential structure including but is not limited to walls, fences,
sheds, wells used by (i) legal or (ii) illegal occupants
Loss of commercial structure used by (i) legal or (ii) illegal occupants
Loss of trees and crops
Temporary loss of land
Temporary disruption of livelihood
Loss and temporary impacts on common resources
16. Indigenous People
Development
(Fill in Attachment 4 and
attach Indigenous People
Development Plan as
necessary)
A. Brief Description of Issues
B. What is the ERA assessment on following?
There are no indigenous people or ethnic minority groups present in
project locations (as defined by Indian Constitution Article 342 and
366(25))
17. Other Issues, if any
Appendix 13 52
Attachment 1
INITIAL POVERTY AND SOCIAL ANALYSIS
Country: Project Title:
Lending/Financing Modality:
Project/Sector/Multitranche Financing Facility /Policy-Based, others (please specify)
Department/ Division:
I. POVERTY ISSUES
A. Links to the National Poverty Reduction Strategy and Country Partnership Strategy
Based on the country poverty assessment, the country partnership strategy and the sector analysis, describe how the project would directly or indirectly contribute to poverty reduction and how it is linked to the poverty reduction strategy of the partner country.
B. Targeting Classification
Select the targeting classification of the project: General Intervention Individual or Household (TI-H) Geographic (TI-G) Non-Income MDGs (TI-M1, M2,
etc.)
Explain the basis for the targeting classification:
C. Poverty Analysis
1. If the project is classified as TI-H, or if it is policy-based, what type of poverty impact analysis is needed?
2. What resources are allocated in the PPTA/due diligence?
3. If GI, is there any opportunity for pro-poor design (e.g., social inclusion subcomponents, cross subsidy, pro-poor
governance, and pro-poor growth)? Please explain {If yes, actions/measures should be prepared during
PPTA/due diligence.}
II. SOCIAL DEVELOPMENT ISSUES
A. Initial Social Analysis
Based on existing information: 1. Who are the potential primary beneficiaries of the project? How do the poor and the socially excluded benefit
from the project? 2. What are the potential needs of beneficiaries in relation to the proposed project? 3. What are the potential constraints in accessing the proposed benefits and services, and how will the project
address them?
B. Consultation and Participation
1. Indicate the potential initial stakeholders.
2. What type of consultation and participation (C&P) is required during the PPTA or project processing (e.g., workshops, community mobilization, involvement of nongovernment organizations and community-based organizations, etc.)?
3. What level of participation is envisaged for project design? Information sharing Consultation Collaborative decision making Empowerment
4. Will a C&P plan be prepared during the project design for project implementation? Yes No Please explain.
C. Gender and Development Proposed Gender Mainstreaming Category: _________________
1. What are the key gender issues in the sector/subsector that are likely to be relevant to this project/program?
Appendix 13 53
2. Does the proposed project/program have the potential to promote gender equality and/or women‟s empowerment by improving women‟s access to and use of opportunities, services, resources, assets, and participation in decision making?
Yes No Please explain. {If yes, a gender action plan should be prepared during PPTA/due diligence.} 3. Could the proposed project have an adverse impact on women and/or girls or to widen gender inequality?
Yes No Please explain {If yes, actions/measures should be prepared during PPTA/due diligence.}
III. SOCIAL SAFEGUARD ISSUES AND OTHER SOCIAL RISKS
Issue Nature of Social
Issue Significant/Limited/ No Impact/Not Known
Plan or Other Action Required
{Delete boxes not required}
Involuntary Resettlement
Resettlement Plan Resettlement Framework Environmental and Social Management System Arrangement
None Uncertain
Indigenous Peoples
Indigenous Peoples Plan Indigenous Peoples Planning Framework
Environmental and Social Management System Arrangement
None Uncertain
Labor
Employment Opportunities
Labor Retrenchment Core Labor Standards
Plan Other Action No Action Uncertain
Affordability
Action No Action Uncertain
Other Risks and/or Vulnerabilities
HIV/AIDS Human Trafficking Others (conflict, political instability, etc.), please specify
Plan Other Action No Action Uncertain
IV. PPTA/DUE DILIGENCE RESOURCE REQUIREMENT
1. Do the TOR for the PPTA (or other due diligence) include poverty, social and gender analysis and the relevant specialist/s?
Yes No If no, please explain why.
2. Are resources (consultants, survey budget, and workshop) allocated for conducting poverty, social and/or gender analysis, and C&P during the PPTA/due diligence? Yes No If yes, please provide details. If no, please explain why.
54 Appendix 13
Attachment 2
RAPID ENVIRONMENTAL ASSESSMENT (REA) CHECKLIST
URBAN DEVELOPMENT
Urban Development [ PDF:] [ Doc: ] (http://adb.org/documents/Guidelines/Environmental_Assessment/REA_Urban_Development.pdf)
Attach Initial Environmental Examination (IEE) or Environmental Impact Assessment (EIA) as necessary
Country/Project Title:
Sector Division:
Screening Questions Yes No Remarks
A. Project Siting
Is the project area…
Densely populated?
Heavy with development activities?
Adjacent to or within any environmentally sensitive areas?
Cultural heritage site
Protected Area
Wetland
Mangrove
Estuarine
Buffer zone of protected area
Special area for protecting biodiversity
Bay
B. Potential Environmental Impacts
Will the Project cause…
impacts on the sustainability of associated sanitation and solid waste disposal systems and their interactions with other urban services.
deterioration of surrounding environmental conditions due to rapid urban population growth, commercial and industrial activity, and increased waste generation to the point that both manmade and natural systems are overloaded and the capacities to manage these systems are overwhelmed?
degradation of land and ecosystems (e.g. loss of wetlands and wild lands, coastal zones, watersheds and forests)?
Appendix 13 55
Screening Questions Yes No Remarks
dislocation or involuntary resettlement of people?
disproportionate impacts on the poor, women and children, Indigenous Peoples or other vulnerable group?
degradation of cultural property, and loss of cultural heritage and tourism revenues?
occupation of low-lying lands, floodplains and steep hillsides by squatters and low-income groups, and their exposure to increased health hazards and risks due to pollutive industries?
water resource problems (e.g. depletion/degradation of available water supply, deterioration for surface and ground water quality , and pollution of receiving waters?
air pollution due to urban emissions?
risks and vulnerabilities related to occupational health and safety due to physical, chemical and biological hazards during project construction and operation?
road blocking and temporary flooding due to land excavation during rainy season?
noise and dust from construction activities?
traffic disturbances due to construction material transport and wastes?
temporary silt runoff due to construction?
hazards to public health due to ambient, household and occupational pollution, thermal inversion, and smog formation?
water depletion and/or degradation?
overpaying of ground water, leading to land subsidence, lowered ground water table, and salinization?
contamination of surface and ground waters due to improper waste disposal?
pollution of receiving waters resulting in amenity losses, fisheries and marine resource depletion, and health problems?
large population influx during project construction and operation that causes increased burden on social infrastructure and services (such as water supply and sanitation systems)?
social conflicts if workers from other regions or countries are hired?
56 Appendix 13
Screening Questions Yes No Remarks
risks to community health and safety due to the transport, storage, and use and/or disposal of materials such as explosives, fuel and other chemicals during operation and construction?
community safety risks due to both accidental and natural hazards, especially where the structural elements or components of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?
* Hazards are potentially damaging physical events.
Climate Change and Disaster Risk Questions
The following questions are not for environmental categorization. They are included in this checklist to help identify potential climate and disaster risks.
Yes No Remarks
Is the Project area subject to hazards such as earthquakes, floods, landslides, tropical cyclone winds, storm surges, tsunami or volcanic eruptions and climate changes (see Appendix I)?
Could changes in temperature, precipitation, or extreme events patterns over the Project lifespan affect technical or financial sustainability (e.g., increased extreme rainfall increases flooding, damaging proposed infrastructure)?
Are there any demographic or socio-economic aspects of the Project area that are already vulnerable (e.g., high incidence of marginalized populations, rural-urban migrants, illegal settlements, ethnic minorities, women or children)?
Could the Project potentially increase the climate or disaster vulnerability of the surrounding area (e.g., by paving vulnerable groundwater recharge areas, or using water from a vulnerable source that is relied upon by many user groups, or encouraging settlement in earthquake zones)?
Appendix 13 57
RAPID ENVIRONMENTAL ASSESSMENT (REA) CHECKLIST WATER SUPPLY
Water Supply [ PDF:] [ Doc: ] (http://adb.org/documents/Guidelines/Environmental_Assessment/REA_Water_Supply.pdf)
Country/Project Title: Sector Division:
Screening Questions Yes No Remarks
A. PROJECT SITING
IS THE PROJECT AREA…
DENSELY POPULATED?
HEAVY WITH DEVELOPMENT ACTIVITIES?
ADJACENT TO OR WITHIN ANY ENVIRONMENTALLY SENSITIVE AREAS?
CULTURAL HERITAGE SITE
PROTECTED AREA
WETLAND
MANGROVE
ESTUARINE
BUFFER ZONE OF PROTECTED AREA
SPECIAL AREA FOR PROTECTING BIODIVERSITY
BAY
B. POTENTIAL ENVIRONMENTAL IMPACTS
Will the Project cause…
pollution of raw water supply from upstream wastewater discharge from communities, industries, agriculture, and soil erosion runoff?
impairment of historical/cultural monuments/areas and loss/damage to these sites?
hazard of land subsidence caused by excessive ground water pumping?
social conflicts arising from displacement of communities ?
conflicts in abstraction of raw water for water supply with other beneficial water uses for surface and ground waters?
unsatisfactory raw water supply (e.g. excessive pathogens or mineral constituents)?
58 Appendix 13
Screening Questions Yes No Remarks
delivery of unsafe water to distribution system?
inadequate protection of intake works or wells, leading to pollution of water supply?
over pumping of ground water, leading to salinization and ground subsidence?
excessive algal growth in storage reservoir?
increase in production of sewage beyond capabilities of community facilities?
inadequate disposal of sludge from water treatment plants?
inadequate buffer zone around pumping and treatment plants to alleviate noise and other possible nuisances and protect facilities?
impairments associated with transmission lines and access roads?
health hazards arising from inadequate design of facilities for receiving, storing, and handling of chlorine and other hazardous chemicals.
health and safety hazards to workers from handling and management of chlorine used for disinfection, other contaminants, and biological and physical hazards during project construction and operation?
dislocation or involuntary resettlement of people?
disproportionate impacts on the poor, women and children, Indigenous Peoples or other vulnerable groups?
noise and dust from construction activities?
increased road traffic due to interference of construction activities?
continuing soil erosion/silt runoff from construction operations?
delivery of unsafe water due to poor O&M treatment processes (especially mud accumulations in filters) and inadequate chlorination due to lack of adequate monitoring of chlorine residuals in distribution systems?
delivery of water to distribution system, which is corrosive due to inadequate attention to feeding of corrective chemicals?
accidental leakage of chlorine gas?
excessive abstraction of water affecting downstream water users?
Appendix 13 59
Screening Questions Yes No Remarks
competing uses of water?
increased sewage flow due to increased water supply
increased volume of sullage (wastewater from cooking and washing) and sludge from wastewater treatment plant
large population influx during project construction and operation that causes increased burden on social infrastructure and services (such as water supply and sanitation systems)?
social conflicts if workers from other regions or countries are hired?
risks to community health and safety due to the transport, storage, and use and/or disposal of materials such as explosives, fuel and other chemicals during operation and construction?
community safety risks due to both accidental and natural hazards, especially where the structural elements or components of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?
* Hazards are potentially damaging physical events.
Climate Change and Disaster Risk Questions
The following questions are not for environmental categorization. They are included in this checklist to help identify potential climate and disaster risks.
Yes No Remarks
Is the Project area subject to hazards such as earthquakes, floods, landslides, tropical cyclone winds, storm surges, tsunami or volcanic eruptions and climate changes (see Appendix I)?
Could changes in temperature, precipitation, or extreme events patterns over the Project lifespan affect technical or financial sustainability (e.g., changes in rainfall patterns disrupt reliability of water supply; sea level rise creates salinity intrusion into proposed water supply source)?
Are there any demographic or socio-economic aspects of the Project area that are already vulnerable (e.g.,high incidence of marginalized populations, rural-urban migrants, illegal settlements, ethnic minorities, women or children)?
Could the Project potentially increase the climate or disaster vulnerability of the surrounding area (e.g., by using water from a vulnerable source that is relied upon by many user groups, or encouraging settlement in earthquake zones)?
60 Appendix 13
RAPID ENVIRONMENTAL ASSESSMENT (REA) CHECKLIST SEWAGE TREATMENT
Sewage Treatment [ PDF:] [ Doc:] (http://adb.org/documents/Guidelines/Environmental_Assessment/REA_Sewage_Treatment.pdf)
Country/Project Title: Sector Division:
Screening Questions Yes No Remarks
B. PROJECT SITING
IS THE PROJECT AREA…
DENSELY POPULATED?
HEAVY WITH DEVELOPMENT ACTIVITIES?
ADJACENT TO OR WITHIN ANY ENVIRONMENTALLY SENSITIVE AREAS?
CULTURAL HERITAGE SITE
PROTECTED AREA
WETLAND
MANGROVE
ESTUARINE
BUFFER ZONE OF PROTECTED AREA
SPECIAL AREA FOR PROTECTING BIODIVERSITY
BAY
A. POTENTIAL ENVIRONMENTAL IMPACTS
WILL THE PROJECT CAUSE…
impairment of historical/cultural monuments/areas and loss/damage to these sites?
interference with other utilities and blocking of access to buildings; nuisance to neighboring areas due to noise, smell, and influx of insects, rodents, etc.?
dislocation or involuntary resettlement of people?
disproportionate impacts on the poor, women and children, Indigenous Peoples or other vulnerable groups?
impairment of downstream water quality due to inadequate sewage treatment or release of untreated sewage?
Appendix 13 61
Screening Questions Yes No Remarks
overflows and flooding of neighboring properties with raw sewage?
environmental pollution due to inadequate sludge disposal or industrial waste discharges illegally disposed in sewers?
noise and vibration due to blasting and other civil works?
risks and vulnerabilities related to occupational health and safety due to physical, chemical,and biological hazards during project construction and operation?
discharge of hazardous materials into sewers, resulting in damage to sewer system and danger to workers?
inadequate buffer zone around pumping and treatment plants to alleviate noise and other possible nuisances, and protect facilities?
road blocking and temporary flooding due to land excavation during the rainy season?
noise and dust from construction activities?
traffic disturbances due to construction material transport and wastes?
temporary silt runoff due to construction?
hazards to public health due to overflow flooding, and groundwater pollution due to failure of sewerage system?
deterioration of water quality due to inadequate sludge disposal or direct discharge of untreated sewage water?
contamination of surface and ground waters due to sludge disposal on land?
health and safety hazards to workers from toxic gases and hazardous materials which maybe contained in confined areas, sewage flow and exposure to pathogens in untreated sewage and unstabilized sludge?
large population increase during project construction and operation that causes increased burden on social infrastructure (such as sanitation system)?
social conflicts between construction workers from other areas and community workers?
risks to community health and safety due to the transport, storage, and use and/or disposal of materials such as explosives, fuel and other chemicals during construction and operation?
62 Appendix 13
Screening Questions Yes No Remarks
community safety risks due to both accidental and natural hazards, especially where the structural elements or components of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?
Climate Change and Disaster Risk Questions
The following questions are not for environmental categorization. They are included in this checklist to help identify potential climate and disaster risks.
Yes No Remarks
Is the Project area subject to hazards such as earthquakes, floods, landslides, tropical cyclone winds, storm surges, tsunami or volcanic eruptions and climate changes (see Appendix I)?
Could changes in precipitation, temperature, salinity, or extreme events over the Project lifespan affect its sustainability or cost?
Are there any demographic or socio-economic aspects of the Project area that are already vulnerable (e.g. high incidence of marginalized populations, rural-urban migrants, illegal settlements, ethnic minorities, women or children)?
Could the Project potentially increase the climate or disaster vulnerability of the surrounding area (e.g., increasing traffic or housing in areas that will be more prone to flooding, by encouraging settlement in earthquake zones)?
Appendix 13 63
Rapid Environmental Assessment (REA) Checklist SOLID WASTE MANAGEMENT
Solid Waste Management [ PDF:] [ Doc:] (http://adb.org/documents/Guidelines/Environmental_Assessment/REA_Solid_Waste_Management.pdf)
Country/Project Title: Sector Division:
Screening Questions Yes No Remarks
A. PROJECT SITING IS THE PROJECT AREA…
DENSELY POPULATED?
HEAVY WITH DEVELOPMENT ACTIVITIES?
ADJACENT TO OR WITHIN ANY ENVIRONMENTALLY SENSITIVE AREAS?
CULTURAL HERITAGE SITE
PROTECTED AREA
WETLAND
MANGROVE
ESTUARINE
BUFFER ZONE OF PROTECTED AREA
SPECIAL AREA FOR PROTECTING BIODIVERSITY
BAY
B. POTENTIAL ENVIRONMENTAL IMPACTS WILL THE PROJECT CAUSE…
impacts associated with transport of wastes to the disposal site or treatment facility
impairment of historical/cultural monuments/areas and loss/damage to these sites?
degradation of aesthetic and property value loss?
nuisance to neighboring areas due to foul odor and influx of insects, rodents, etc.?
dislocation or involuntary resettlement of people?
disproportionate impacts on the poor, women and children, Indigenous Peoples or other vulnerable groups?
64 Appendix 13
Screening Questions Yes No Remarks
risks and vulnerabilities related occupational health and safety due to physical, chemical, biological, and radiological hazards during project construction and operation?
public health hazards from odor, smoke from fire, and diseases transmitted by flies, insects, birds and rats?
deterioration of water quality as a result of contamination of receiving waters by leacheate from land disposal system?
contamination of ground and/or surface water by leach ate from land disposal system?
land use conflicts?
pollution of surface and ground water from leach ate coming form sanitary landfill sites or methane gas produced from decomposition of solid wastes in the absence of air, which could enter the aquifer or escape through soil fissures at places far from the landfill site?
inadequate buffer zone around landfill site to alleviate nuisances?
road blocking and/or increased traffic during construction of facilities?
noise and dust from construction activities?
temporary silt runoff due to construction?
hazards to public health due to inadequate management of landfill site caused by inadequate institutional and financial capabilities for the management of the landfill operation?
emission of potentially toxic volatile organics from land disposal site?
surface and ground water pollution from leach ate and methane gas migration?
loss of deep-rooted vegetation (e.g. tress) from landfill gas?
explosion of toxic response from accumulated landfill gas in buildings?
contamination of air quality from incineration?
public health hazards from odor, smoke from fire, and diseases transmitted by flies, rodents, insects and birds, etc.?
health and safety hazards to workers from toxic gases and hazardous materials in the site?
large population influx during project construction and operation that causes increased burden on social infrastructure and services (such as water supply and sanitation systems)?
Appendix 13 65
Screening Questions Yes No Remarks
social conflicts if workers from other regions or countries are hired?
risks to community health and safety due to the transport, storage, and use and/or disposal of materials such as explosives, fuel and other chemicals during construction and operation?
community safety risks due to both accidental and natural hazards, especially where the structural elements or components (e.g., landfill or incinerator) of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?
Climate Change and Disaster Risk Questions
The following questions are not for environmental categorization. They are included in this checklist to help identify potential climate and disaster risks.
Yes No Remarks
Is the Project area subject to hazards such as earthquakes, floods, landslides, tropical cyclone winds, storm surges, tsunami or volcanic eruptions and climate changes (see Appendix I)?
Could changes in precipitation, temperature, salinity, or extreme events over the Project lifespan affect its sustainability or cost?
Are there any demographic or socio-economic aspects of the Project area that are already vulnerable (e.g. high incidence of marginalized populations, rural-urban migrants, illegal settlements, ethnic minorities, women or children)?
Could the Project potentially increase the climate or disaster vulnerability of the surrounding area (e.g., increasing traffic or housing in areas that will be more prone to flooding, by encouraging settlement in earthquake zones)?
66 Appendix 13
Attachment 3
INVOLUNTARY RESETTLEMENT CHECKLIST
Attach Resettlement Plan as necessary
(http://adb.org/Documents/Guidelines/Resettlement/IR-Categorization-Form.pdf)
Appendix 13 67
Attachment 4
INDIGENOUS PEOPLES IMPACT CHECKLIST
Attach Indigenous People Development Plan as necessary
(http://adb.org/Documents/Guidelines/Resettlement/IR-Categorization-Form.pdf)
68 Appendix 13
Attachment 5
ECONOMIC AND FINANCIAL ANALYSIS
Appendix 13 69
Attachment 6
COMPLIANCE WITH THE SUBPROJECT ELIGIBILITY CRITERIA
70 Appendix 13
STANDARD DESIGN AND MONITORING FRAMEWORK Urban Infrastructure Development
(for Sub-sectors of Water Supply, Sanitation, Solid Waste Management, Drainage, and Institutional Strengthening)
Design Summary
Performance Targets/Indicators Data
Sources/Reporting Mechanisms
Assumptions and Risks
Impact Sustainable economic growth through improved quality of urban life
Cases of water born diseases decreased by __%/year
Household income in the primary sector increased by __%/year
Capital investment in industries and trades increased by __%/year
People‟s perception of their quality of life
People's perception of urban services.
Note
9
State and local government statistics
Socio economic survey
Assumptions
Continued government commitment to sector development and reforms
Sustained economic growth in the country
All beneficiaries make full use of improved access to urban serves
Risks
Political and economic instability
Lack of employment opportunities results in underutilization of healthier workforces.
Outcome Improved access to urban services at the standards set by the government
Service-Operational Target Population with improved
access to water supply (as per the Government standards).
Population with improved access to sanitation.
Population with improved access to solid waste management.
Population with improved drainage.
Service-Governance Target Improved operating ratios of
municipality and parastatals for service deliveries
10
Timely publication of acceptable audited accounts
Planning, designing, and monitoring of urban services using authentic database
City or municipality
service level data/statistics
Baseline data include (i) population with service levels at project inception, (ii) population that already has good access to service; and (iii) population that need improved access in the project area;
Project performance monitoring system (PPMS) based on appraisal reports.
PMU/PIU's monitoring of project progress
11
Annual accounts and audit report
Assumptions Adequate O&M
arrangements established for project outputs.
13
State and municipal corporation commitment to necessary institutional and financial reforms to improve service delivery.
Parallel development, if any, will occur in the sector.
House service connection will be provided by Government, if not included under the project
Government make full use of the new service management skills and technology
9 The indicators for „Impact‟ would be rather ambitious depending on the project component. They can be modified as
necessary. 10
Operating ratio is defined as operational expenses divided by operational revenues. 11
PMU: Project Management Unit. PIU: Project Implementation Unit
Appendix 13 71
Design Summary
Performance Targets/Indicators Data
Sources/Reporting Mechanisms
Assumptions and Risks
Note
12
Outputs (i) Improved water supply infrastructure (ii) Improved sanitation infrastructure (iii) Improved SWM infrastructure (iv) Improved drainage (v) Strengthened project implementation capacity of executing agency
Increase in (i) the number of
WTPs and/or tube wells and (ii) volume of potable water production (MLD).
14
Water supply pipes installed (km)
Increase in the number of households served with improved piped connection.
Reduced UFW (unaccounted- for water) %.
Increase in the volume of
sewage treatment facilities (MLD).
Increase in sewer networks (km).
Increase in the number of household connected to septic tanks or sewers.
Increase in the number and
capacity of sanitary landfills (metric tonnes).
Procurement of major collection equipment (unit).
Procurement of transportation equipment/vehicle (unit)
Increase in the capacity of
drainage (cubic meter/sec) Increase in the length of
drainage (km) Increase in the number of
pumping stations Achievement of yearly contract
awards and disbursement targets
Satisfactory compliance of ADB policies and procedures for procurement and safeguards
Number of public communication document
Project progress
reports PPMS Aide memoire of
Review Missions.
Assumptions Land transfers and project
affected persons‟ compensation agreed and completed before scheduled construction.
Commitment of project staff.
Timely recruitment of implementation assistance consultants.
PMU/PIU‟s fully staffed with requisite capacity to implement the Project
Timely provision of counterpart funds.
Contractors perform competently, to time and budget.
Risks Overrun of Project
construction costs and time Reluctance of ULBs to keep
up with the pace of institutional change which is necessary.
Community resistance to cost recovery programs.
13
O&M: operation and maintenance 12
All baseline data related to input, output, outcome and associated risk and assumption will be captured in subproject appraisal reports (SARs). SARs will also set the targets (original) for each component, which may be updated as project progress (during detail engineering design and or contract execution)
14 WTP: water treatment plant. MLD: million litter per day.
72 Appendix 13
Design Summary
Performance Targets/Indicators Data
Sources/Reporting Mechanisms
Assumptions and Risks
(v) Strengthened local government for sustainable service delivery
published and satisfactory dissemination of project information
Implementation of works following standard construction practice and proper schedule of activities
Technical: Preparation of operation and
maintenance manuals for services
Reduction of commercial losses (%) through water and energy audit
Establishment of GIS databases and number of household(%) and assets(%) captured by GIS database
Institutional Setting up of appropriate
institutional structure in owner agencies for O&M
Reduction in the number of O&M staff/1000 connections
Issuance of an order to levy realistic user charges
The number of ULB staff trained on project planning / design, implementation, and O&M aspects or participated in exposure trips
Financial Improved billing and collection
of tariffs and taxes Annual O&M budget increased
by X% of the value of new water assets created.
Increase tax network Modernize the financial
management system of ULBs(i.e. accrual-based double entry accounting, asset management etc)
Activities with Milestones (Indicate timeframe for each activity) 1. Project Management Unit (PMU) and Project Implementation Unit established with adequate staff 2. Consultants recruitment and mobilization 3. Procurement:
(i) Detailed engineering design
Inputs (include the following as applicable)
ADB
Government
Co-financing
Appendix 13 73
Design Summary
Performance Targets/Indicators Data
Sources/Reporting Mechanisms
Assumptions and Risks
(ii) Bidding documents issued (iii) Contracts awarding (iv) Mobilization of contractors (v) Completion of contracts
4. Land and Right of Way acquisition 5. Resettlement, indigenous peoples plan implementation
(i) RP and IPDP approved (ii) Award of Compensation
6. Environmental Clearances 7. Training session organized for PMU staff
Beneficiaries
Private sector
NGOs with GAD experiences
Others
Civil works ($ million)
Goods and equipment ($million)
Consulting services ($million)
Land acquisition and resettlement ($million)
Training and workshops ($million)
Surveys ($million)
74 Appendix 14
CONSULTANTS RECRUITMENT FLOWCHARTS (QCBS)
Appendix 14 75
76 Appendix 14
Appendix 14 77
78 Appendix 14
A. Type, Number & Name
B. Contract Budget (USD)
C. Selection Method QCBS/FBS/LCS
D. Type of Technical Proposal FTP
E. Executing Agency (EA)
F. EA Contact Person
G. Project Unit (PU)/Dept.
H. ADB Project Officer Last edited by:
I. ADB COSO Officer on
J. Actual Date of EA CSC-SL Meeting
NORM
Cal Cum. Achieved Cum. Cum.
Days Days Date Days Days
2 3 4 5 6 7 8 9 10 11
[7-3] [8-5]
1 EA 30 30
2 EA 10 10
3 EA 1 41
4 PU 1 42
5 COSO/PU 14 56
6 PU 1 57
7 EA 7 64
8 EA 45 109
9 EA 21 130
10 EA 1 131
11 PU 1 132
12 COSO/PU 10 142
13 PU 1 143
14 EA 7 150
15 EA 7 157
16 EA 14 171
17 EA 1 172
18 PU 1 173
19 COSO 7 180
20 PU 1 181
21 EA 3 184
22 EA 14 198
23 EA 7 205
24 EA 7 212
25 PU 1 213
26 PU 3 216
27 PU 1 217
28 EA 14 231
29 EA 7 238
30 EA 7 245
245
Footnotes: a. Activity NORMS [column 3] are based on calendar days1 Report on Shortlisting of Consulting Firms (including longlist and shortlist). b. The base date for planning and monitoring is the date of CSRN.2 With allow ance for clarif ication from EA. c. PLANNED dates & cumulative days [columns 4 & 5] are derived from the NORMS & are computed as calendar days3 Report on Evaluation of Technical Proposals. d. ACTUAL achieved dates [column 6] are inputted by the responsible project off icer from the concerned Project Unit (PU)4 Report on Financial Evaluation and Ranking of Proposals. e. DEVIATIONS are computed in calendar days and cumulative calendar days [columns 9 and 10]5 Draft negotiated contract.
Planned Actual Deviation
Explanation and ActionDates Days
Consultant Recruitment Activity Monitoring (CRAM) - with COSO Review of Submissions 1 and 2
Package Number
Financing:
PU receiving & forwarding Submission 1 to COSO
ADB review of Submission 12 (including consolidation, signing & forwarding of
Submission 1 Review to PU)
Activity Responsibility
ADB sending approval of Submission 1 to EA
Days
1
EA submitting Submission 11 to PU
CSRN
EA Shortlisting/preparation of CSC minutes & Submission 1
PU receiving & forwarding Submission 2 to COSO
ADB review of Submission 22 (including consolidation, signing & forwarding of
Submission 2 Review to PU)
ADB sending approval of Submission 2 to EA
EA issuing RFP
Proposal submission
EA CSC Technical Proposal Evaluation/preparation of CSC minutes & Submission 23
EA submitting Submission 2 to PU
EA issuing invitation for public opening of Financial Proposals
Public opening of Financial Proposals
EA financial evaluation & overall ranking of proposals/preparation of Submission 34
EA submitting Submission 3 to PU
Consultant's mobilization
Total number of calendar days
PU receiving & forwarding Submission 3 to COSO
ADB review of Submission 32 (including consolidation, signing & forwarding of
Submission 3 Review to PU)
ADB sending approval of Submission 4 to EA
EA signing of the contract & sending copy to ADB
EA issuing Notice to Proceed (NTP)
EA issuing invitation for contract negotiation
ADB sending approval of overall ranking to EA
PU review & endorsement of Submission 4
Commencement of contract negotiation
Completion of contract negotiation
EA submitting Submission 45 to PU
PU receiving Submission 4
Consultant Recruitment Activity Monitoring (CRAM) with COSO Review
Appendix 14 79
A. Type, Number & Name
B. Contract Budget (USD)
C. Selection Method QCBS/FBS/LCS
D. Type of Technical Proposal FTP
E. Executing Agency (EA)
F. EA Contact Person
G. Project Unit (PU)/Dept.
H. ADB Project Officer Last edited by:
I. ADB COSO Officer on
J. Actual Date of EA CSC-SL Meeting
NORM
Cal Cum. Achieved Cum. Cum.
Days Days Date Days Days
2 3 4 5 6 7 8 9 10 11
[7-3] [8-5]
1 EA 30 30
2 EA 10 10
3 EA 1 41
4 PU 10 51
5 PU 1 52
6 EA 7 59
7 EA 45 104
8 EA 21 125
9 EA 1 126
10 PU 10 136
11 PU 1 137
12 EA 7 144
13 EA 7 151
14 EA 14 165
15 EA 1 166
16 PU 1 167
17 COSO 7 174
18 PU 1 175
19 EA 3 178
20 EA 14 192
21 EA 7 199
22 EA 7 206
23 PU 1 207
24 PU 3 210
25 PU 1 211
26 EA 14 225
27 EA 7 232
28 EA 7 239
239
Footnotes: a. Activity NORMS [column 3] are based on calendar days1 Report on Shortlisting of Consulting Firms (including longlist and shortlist). b. The base date for planning and monitoring is the date of CSRN.2 With allow ance for clarif ication from EA. c. PLANNED dates & cumulative days [columns 4 & 5] are derived from the NORMS & are computed as calendar days3 Report on Evaluation of Technical Proposals. d. ACTUAL achieved dates [column 6] are inputted by the responsible project off icer from the concerned Project Unit (PU)4 Report on Financial Evaluation and Ranking of Proposals. e. DEVIATIONS are computed in calendar days and cumulative calendar days [columns 9 and 10]5 Draft negotiated contract.
Planned Actual Deviation
Explanation and ActionDates Days
Consultant Recruitment Activity Monitoring (CRAM) - without COSO Review of Submissions 1 and 2
Package Number
Financing:
Days
1
Activity Responsibility
EA submitting Submission 11 to PU
CSRN
EA Shortlisting/preparation of CSC minutes & Submission 1
ADB review & signing of Submission 12
ADB sending approval of Submission 1 to EA
EA issuing RFP
Proposal submission
EA CSC Technical Proposal Evaluation/preparation of CSC minutes & Submission 23
EA submitting Submission 2 to PU
ADB review & signing of Submission 22
ADB sending approval of Submission 2 to EA
EA issuing invitation for public opening of Financial Proposals
Public opening of Financial Proposals
EA financial evaluation & overall ranking of proposals/preparation of Submission 34
EA submitting Submission 3 to PU
Consultant's mobilization
Total number of calendar days
PU receiving & forwarding Submission 3 to COSO
ADB review of Submission 32 (including signing & forwarding of Submission 3 Review to PU)
ADB sending approval of overall ranking to EA
ADB sending approval of Submission 4 to EA
EA signing of the contract & sending copy to ADB
EA issuing Notice to Proceed (NTP)
EA issuing invitation for contract negotiation
PU review & endorsement of Submission 4
Commencement of contract negotiation
Completion of contract negotiation
EA submitting Submission 45 to PU
PU receiving Submission 4
Consultant Recruitment Activity Monitoring (CRAM) without COSO Review
80 Appendix 15
INDICATIVE PROCUREMENT PLAN FOR THE INVESTMENT PROGRAM (Updated in November 2011)
Tranche 1
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
Agartala – Water Supply
1 TW&IRP/WS/AGT
Replacement of 22 tube wells including construction of pump house, with supply & installation of electrical & mechanical equipment
NCB N 2010
2 AGT/WS01/M/11/2
Procurement of MS ERW pipe for making strainer for the construction of tube well in Agartala
NCB N 2010
3 LD/WS/AGT/T1/SHP
Procurement of leak detection equipment and ancillary supplies, testing and training
0.08 NCB N 2-10
4 Procurement of MS Pipe for the Construction of Tube wells in Agartala City Water Supply System
NCB N 2010
Aizawl – Water Supply
5 OHT1/WS/AIZ Construction of 7 (replacement) ground level RCC zonal tanks
0.97 NCB N 2010 Civil Works Contract
6 CHL/WS/AIZ Procurement of equipment and ancillary supplies, civil works, testing and commissioning pertaining to the installation of chlorinators
0.17 NCB N 2010 Civil Works Contract
7 WM1/WS/AIZ Providing and installing and giving satisfactory field testing of 13,000 domestic water meters.
0.70 NCB N 2010 Goods
Gangtok – Water Supply
8 WA1/GTK
Supplying and laying distribution system in Burtuk and Chandmari, construction of pump house, installing pump sets and allied works
NCB N 2010
9 CHL/WS/GTK Supply and Installation of Chlorinators NCB N 2010
Kohima – Water Supply
10 OHT1/WS/KOH Construction of 19 (replacement) ground level RCC zonal tanks)
NCB N 2010
Appendix 15 81
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
11 WTP/WS/KOH
Refurbishment of the 1.5 MLD treatment plant
NCB N 2010
12 CHL/WS/KOH/T1/NCB
Provision for procurement and installation of chlorinators
0.12 NCB N 2010
13 WM/WS/KOH/T1/NCB Provision for Supply, Installation Testing of 30 Electro Magnetic Bulk Meters (+5 year maintenance)
0.19 NCB N 2010
14 UFW/WS/KOH/T1/NCB Carrying UFW assessment and repairs 0.25 NCB N 2010
Kohima – Solid Waste Management
15 CP&LF/SWM/KOH Design, Supply, Installation, Testing & Commissioning, and Operation & Maintenance for Solid Waste Management Works
4.55 NCB N 2010
Shillong – Solid Waste Management
16 LF&R/SWM/SHI Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff for short term landfill site at Mawlai‟s site (approx. 6 acres) as well as 1 bulldozer
0.41 NCB N 2010 Civil Works
Tranche 2
No Contract No. General Description Contract Value
Procurement Method
Prequalification of Bidders (y/n)
Avtsmt. Date (Q/Y)
Comments
Agartala
1 WS-02 Design and build 14 overhead service reservoirs
4.48 NCB No Dec-11
2 WS-03 Design, build and operate 7 ground water treatment units in three Lots
5.33 ICB No Nov-11
3 WS-04 Procurement of 59 km of pipes for primary network
3.46 ICB No Nov-11
4 WS-05 Procurement of 255 km of pipes for central and south zone secondary distribution
9.85 ICB No Dec-11
82 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification of Bidders (y/n)
Avtsmt. Date (Q/Y)
Comments
5 WS-06 Laying of 59 km of primary pipelines 0.32 NCB No Jun-12
6 WS-08 Laying of secondary pipelines in South Zone (225 km)
0.96 NCB No Dec-11
7 WS-09 Procurement and Installation of 61 bulk flow meters
0.29 NCB No Nov-11
Aizawl
8 OHT/WS/AIZ/T2/NCB Construction of 3 ground level RCC zonal tanks
0.54 NCB No Sep-11
9 EM&S/WS/AIZ/T2/NCB Electrical and mechanical works testing, equipment installation and commissioning of two booster pumps in Chandmari and Tlangnuam
0.15 NCB No Nov-11
10 P&SN/WS/AIZ/T2/ICB Extension of main feeder pipe lines (23.69 km), rehabilitation of existing secondary and tertiary network (51.70km), extension to distribution system (31.16Km) and road restoration.
6.89 ICB No Dec-11
11 WM1/WS/AIZ/T2/ICB Purchase, installation of bulk and domestic water meters and UFW reduction program
1.48 ICB No Apr-12
12 PS-1/ WS/ AIZ/T2/ICB Purchase of dedicated power supply system
3.93 ICB No Mar-12
13 PS-2/ WS/ AIZ/T2/FA Installation of dedicated power supply system
0.96 Force account No Mar-12
14 P&SN/SEW/AIZ/T2/NCB Sewerage network consisting of 45.95 km including manholes and ventilation shafts and all associated earthworks; and utility shifting
4.68 NCB No Jan-12
15 SCM/SEW/AIZ/T2/NCB Procurement of septic tank cleaning equipment
0.22 NCB No Oct-11
16 CT/SEW/AIZ/T2/NCB Construction of 10 community toilets in few lots
0.22 NCB No Oct-11
17 STP/SEW/AIZ/T2/NCB Construction of STP 2.44 NCB No Dec-11
Appendix 15 83
No Contract No. General Description Contract Value
Procurement Method
Prequalification of Bidders (y/n)
Avtsmt. Date (Q/Y)
Comments
18 AR/ SEW/ AIZ/T2/NCB Construction of approach road to STP 0.29 NCB No Nov-11
Gangtok
19 GTK-WA-1 Improvement of existing water supply system by replacement & augmentation of the distribution network in Housing & Press Tank Zones; and 2 storage reservoirs
3.49 NCB No Dec-11
20 GTK-WA-2 Improvement of existing water supply system by replacement & augmentation of distribution network for the remaining areas; including 5 storage reservoirs
3.96 NCB No Dec 11
21 GTK-WA-3 Providing 12000 consumer meters. 0.95 NCB No Dec
22 GTK-SWM-1 Providing primary and secondary collection vehicles & equipments for solid waste phase 1
0.33 NCB No Dec
23 GTK-SWM-2 Construction of Land fill, Leachate Treatment Plant, and Associated Infrastructure for land fill site.
1.64 NCB No Dec
24 GTK-SWM-3 Providing Landfill vehicles & equipments and providing balance primary and secondary collection vehicles & equipments for solid waste (Phase 2)
1.02 ICB No Dec
Kohima
25 KHM-WA-4 Improvement of existing water supply system by replacement & augmentation of the secondary network (315 Km), including installation of meters
10.84
ICB No Dec-11
26 KHM-WA-5 30 bulk and 20,000 household water meters
1.82 ICB No Mar 12
Shillong
27 NERCCDIP/TR-02/SHG/SWM-01/01
Construction of Garage cum Workshop and staff rest room
0.28 NCB No Nov-11
28 NERCCDIP/TR-02/SHG/SWM- Procurement of primary and secondary 0.42 NCB No Nov-11
84 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification of Bidders (y/n)
Avtsmt. Date (Q/Y)
Comments
01/02 collection vehicles (18), workshop machinery
29 NERCCDIP/TR-02/SHG/SWM-01/03
Procurement of different types of bins, personnel protective equipment & polythene bags
0.25 NCB No Nov-11
Tranche 3 (to be updated as subprojects will be prepared)
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
Agartala – Solid Waste Management
A10 PC&T/SWM/AGT Provision of primary collection and storage. Provision of transportation vehicles: tipper trucks, dumper placer trucks, tractors, JBC, bulldozers etc
0.4 NCB N Q4 2012 Goods
A11 CP&LF/SWM/AGT Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff.
2.5 NCB N Q4 2012 Civil Works Contract
Aizawl – Solid Waste
B10 PC&T/SWM/AIZ Provision of primary collection and storage. Provision of transportation vehicles: tipper trucks, dumper placer trucks, tractors,
0.83 NCB N Q4 2012 Goods
B11 CP&LF/SWM/AIZ Procurement of equipment, vehicles and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff.
3.06 NCB N Q4 2012 Civil Works Contract
Gangtok – Sewerage
C6 P&SNZ2/SEW/GTK/T3 12 km primary sewer network and 30 km secondary network, civil works, testing, commissioning, provision of record drawings and
8.77 ICB N Q4 2012 Civil Works Contract
Appendix 15 85
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
Operating Manuals and training of operational staff.
Construction of Circular R.C.C. Manholes and ventilation shafts.
Construction of 1.9 km approach road of WBM plus BT from the existing road to the STP.
Supply and lay of 30 km secondary collectors and.
3,700 household connections.
C7 STPZ2/SEW/GTK/T3 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff.
0.7 NCB N Q4 2012 Civil Works Contract
C8 P&SNZ3/SEW/GTK/T3 12 km primary sewer network and 30 km secondary network, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff.
Construction of Circular R.C.C. Manholes and ventilation shafts.
Construction of 1.9 km approach road of WBM plus BT from the existing road to the STP.
Supply and lay of 30 km secondary collectors
4,200 household connections.
7.86 ICB N Q4 2012 Civil Works Contract
C9 STPZ3/SEW/GTK/T3 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff.
0.8 NCB N Q4 2012 Civil Works Contract
C10 SCM/SEW/GTK/T3 Procurement of Sewer Cleaning Machinery for maintenance of networks
0.17 NCB N Q4 2012 Goods
C11 LCS/SEW/GTK/T3 Civil works, equipment and ancillary 0.58 NCB N Q4 2012 Civil Works
86 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
supplies pertaining to the construction of community toilets households
Contract
Kohima – Sewerage
D12 P&SNZ1/SEW/KOH/T3 Sewerage for Zone 1 Procurement of 14 km primary sewer network and 15 km secondary network, and 3200 connections, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff. Construction of Circular R.C.C. Manholes and ventilation shafts. Construction of 3.34 m wide approach road of WBM plus BT from the existing road to the STP, including culverts.
9.44 ICB N Q4 2012 Civil Works Contract
D13 P&SNZ2/SEW/KOH/T3 Sewerage for Zone 2 Procurement of 17 km primary sewer network and 11 km secondary network, and 3,500 connections, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff. Construction of Circular R.C.C. Manholes and ventilation shafts Construction of 3.34 m wide approach road of WBM plus BT from the existing road to the STP, including culverts.
8.24 ICB N Q4 2012 Civil Works Contract
D14 STP/SEW/KOH/T3 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff.
2.71 NCB N Q4 2012 Civil Works Contract
D15 SCM/SEW/KOH/T3 Procurement of Sewer Cleaning Machinery for maintenance of networks
0.19 NCB N Q4 2012 Goods
D16 LCS/SEW/AKOH/T3 Civil works, equipment and ancillary supplies pertaining to the construction of community toilets households, who
0.39 NCB N Q4 2012 Civil Works Contract
Appendix 15 87
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
neither have toilets nor have toilet spaces in their households.
Shillong – Solid Waste Management
E1 PC&T/SWM/SHI/T3 Provision of primary collection and storage, including wheel plastic bins, dumper placer bins, autovans w/ containers. Provision of transportation vehicles: tipper trucks, dumper placer trucks, tractors,
1.55 ICB N Q4 2012 Goods
E2 LF&TG/SWM/SHI/T2 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff
1.51 NCB N Q4 2012 Civil Works Contract
Shillong – Sewerage
E4 STP/SEW/SHI/T3 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff
1.61 (tbc) NCB N Q4 2012 Civil Works Contract
E5 P&SN/SEW/SHI/T3 Procurement of 33 km primary sewer network (150-900 mm dia) and 60 km secondary network, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff. Construction of Circular R.C.C. Manholes and ventilation shafts. Construction of 3.34 m wide approach road of WBM plus BT from the existing road to the STP, including culverts. Providing connections to 6500 HHs
22.44 (tbc)
ICB N Q4 2012 Civil Works Contract
E6 SCM/SEW/SHI/T3 Procurement of Sewer Cleaning Machinery for maintenance of networks
0.16 NCB N Q4 2012 Goods
E7 LCS/SEW/SHI/T3 Civil works, equipment and ancillary supplies pertaining to the construction of community toilets households.
0.85 NCB N Q4 2012 Civil Works Contract
88 Appendix 15
INDICATIVE PROCUREMENT PLAN FOR THE INVESTMENT PROGRAM (Prepared in 2009)
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
Agartala – Water Supply
A1 TW&IRP/WS/AGT/T1 Civil works, electromechanical works and associated pumping machinery, testing and commissioning pertaining to the construction of 1. 18 (replacement) deep tube wells to serve Agartala‟s South Zone; 2. 7 (replacement) deep tube wells to serve Agartala‟s Central Zone; 3. 10 (replacement) iron removal plants (IRPs) in Agartala‟s South Zone; 4. 7 (replacement) iron removal plants (IRPs) in Agartala‟s Central Zone; 5. Chlorinators in all IRPs.
0.9 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
A2 LD/WS/AGT/T1 Procurement of leak detection equipment and ancillary supplies, testing and training
0.08 SHP N Q1 2009 Goods (Itemized
BOQ)
A3 WW&T/WS/AGT/T2 Procurement of equipment and ancillary supplies, civil works, testing and commissioning pertaining to 1. Construction of infiltration galleries 2. Replacement of machinery and equipments at the College Tilla WTP 3. Construction of sludge drying and disposal facilities as required at the two treatment plants 4. Installation of pumping machineries at the intake well and construction of aeration cum pre-sedimentation tanks at the existing water treatment plants 5. 9 new tube wells (7 in Central Zone and 2 in South Zone), including dedicated power supply 6. 8 iron removal plants (5 in South
5.52 ICB N Q1 2010 Civil Works Contract (Itemized
BOQ)
Appendix 15 89
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
Zone and 3 in Central Zone) 7. 7 new groundwater treatment plants, clear water reservoirs and pumping stations (5 in South Zone and 2 in Central Zone). 5. Chlorinators in all treatment plants.
A4 LAB&ST/AGT/T1 Laboratory testing equipment and stores equipment
0.2 NCB N Q1 2010 Goods (Itemized
BOQ)
A5 PM&S/WS/AGTSZ/T2 Supply, laying and jointing of DI pipes for pumping mains, secondary and tertiary network pipe lines, provision of 20,000 household connections and bulk meters in the Southern Zone including those going to newly developing areas inclusive of fixing of valves and specials, construction of valve chambers, making connections, testing of entire distribution system complete job as per primary network design for following sizes of pipes.
7.53 ICB N Q1 2010 Civil Works Contract (Itemized
BOQ)
A6 OHT/WS/AGTSZ/T2 Construction of 8 RCC zonal overhead tanks (7.5 ML) in the Southern Zone to serve as service reservoir including fixing of Inlet, outlet and other pipes, its‟ commissioning and testing, land cost, site clearance etc. complete for following zones.
3.4 NCB N Q1 2010 Civil Works Contract (Itemized
BOQ)
A7 PM&S/WS/AGTCZ/T3 Supply, laying and jointing of DI pipes for pumping mains, secondary and tertiary network pipe lines, provision of 50,000 household connections and bulk meters in the Central Zone including those going to newly developing areas inclusive of fixing of valves and specials, construction of valve chambers, making connections, testing of entire distribution system
8.70 ICB N Q1 2011 Civil Works Contract (Itemized
BOQ)
68 A
ppe
nd
ix 9
90 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
complete job as per primary network design for following sizes of pipes.
A8 OHT/WS/AGTCZ/T3 Construction of 10 RCC zonal overhead tanks (10 ML) in the Central Zone to serve as service reservoir including fixing of Inlet, outlet and other pipes, its‟ commissioning and testing, land cost, site clearance etc. complete for following zones.
4.66 NCB N Q1 2011 Civil Works Contract (Itemized
BOQ)
A9 WM/WS/AGT/T3 Supply of all 70,000 consumer water meters including, as well as leak detection equipment. Including 3-year meter reading program.
1.46 ICB N Q4 2011 Goods Contract (Itemized
BOQ)
Agartala – Solid Waste Management
A10 PC&T/SWM/AGT/T2 Provision of primary collection and storage, including wheel plastic bins, dumper placer bins, autovans w/ containers. Provision of transportation vehicles: tipper trucks, dumper placer trucks, tractors, JBC, bulldozers etc
0.4 NCB N Q4 2010 Goods (Itemized
BOQ)
A11 CP&LF/SWM/AGT/T2 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. compost plant – civil buildings godowns, waste segregation facility, other infrastructure, plant and machinery, material handling automobiles at site; 2. development of sanitary landfill at Naginara. 3. development of transfer station and garage facilities
2.5 NCB N Q4 2009 Civil Works Contract (Itemized
BOQ)
Aizawl – Water Supply
B1 OHT1/WS/AIZ/T1 Construction of 7 (replacement) ground 0.97 NCB N Q1 2009 Civil Works
Appendix 15 91
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
level RCC zonal tank to serve as service reservoir including fixing of Inlet, outlet and other pipes, its‟ commissioning and testing, land cost, site clearance etc. complete for following zones. Zones 1, 3, 14, 15, 17, 25 and 27 (Tlangnuam, Seventh Day Tlang, Government Complex, Armed Veng, Bawngkawn, Mission Vengthlang, TB Tlang Zemabawk)
Contract (Itemized
BOQ)
B2 CHL/WS/AIZ/T1 Procurement of equipment and ancillary supplies, civil works, testing and commissioning pertaining to the installation of chlorinators of Aizawl‟s Main Reservoir (1000MAC) and Chandmari Booster (500 MAC). Includes chlorinator rooms.
0.17 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
B3 WM1/WS/AIZ/T1 Providing and installing and giving satisfactory field testing of 13,000 domestic water meter, horizontal, inferential, multi jet, dry dial suitable for potable water and for 450C temperature, hermetically sealed totalizer and meter duly sealed against tempering, complete with couplings on both ends, and with pressure rating maximum 20 Kg/cm2 manufactured by ISO certified firms in India and minimum, maximum and transitional flows conforming to ISO : 4064/1 and IS 779: 1994 , class B, marked in metric system, along with manufacture‟s test and guarantee certificates including all Taxes duties etc. inclusive of cost of Installation and Maintenance for 3 year Period
0.70 NCB N Q1 2009 Goods (Itemized BOQ)?
B4 BWM/WS/AIZ/T2 Provision for Supply, Installation 0.20 NCB N Q4 2009 Goods
92 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
Testing of Electro Magnetic Bulk Meters as per relevant 1. S.S. inclusive of 5 years of Maintenance including replacement of Parts of following sizes at designated places including fittings, specials, fixtures etc. complete.
1. 26 bulk meters (80 mm-450mm)
2. portable ultrasonic flowmeter
(Itemized BOQ)?
B5 OHT2/WS/AIZ/T2 Design and construction of 13 ground level RCC zonal tank to serve as service reservoir including fixing of Inlet, outlet and other pipes, its‟ commissioning and testing, land cost, site clearance etc. complete for following zones. Zones (3, 34 & 36), (9 & 37), (24&44), 28, 30, 31, 32, 33, 46, 38, 39, 40 and 41.
1.02 NCB N Q1 2010 Civil Works Contract (Itemized
BOQ)
B6 EM&S/WS/AIZ/T2
E&M works testing, equipment provision, installation of pumps, commissioning, provision of record drawings for:
1. Bangwan Booster 2. Neiwbah Booster
0.08 NCB N Q4 2009 Civil Works Contract (Itemized
BOQ)
B7 PS/WS/AIZ/T2 Provision 132 KV dedicated Power line, 16.5 KM and installation, including cables and all other accessories, control panels etc. 1. Construction of 132 KV Single Circuit Transmission line from central substation, Melriat to PHE water pumping scheme at Dihmunzawl - 16 CKM 2. Cost of 132kv outgoing bay for PHE feeder at central substation, Melriat. 3. Cost of 132/33kv power substation at Dihmunzawl PHE department
4.13 NCB N NA Civil Works Contract (Itemized
BOQ)
Appendix 15 93
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
complex with 2*12.5MVA transformers, 3 nos. 132kv Bays, 5 Nos. 33kv bays with associate equipments
B8 P&SN/WS/AIZ/T2 Supply, laying and jointing of DI pipes for main feeder pipe lines (56 km), secondary and tertiary network pipe lines (110 km) and new connections including those going to newly developing areas inclusive of fixing of valves and specials, construction of valve chambers, making connections, testing of entire distribution system complete job as per primary network design for following sizes of pipes.
11.06 ICB N Q1 2010 Civil Works Contract (Itemized
BOQ)
B9 WM2/WS/AIZ/T2 Providing and installing and giving satisfactory field testing of 20,000 domestic water meter, horizontal, inferential, multi jet, dry dial suitable for potable water and for 450C temperature, hermetically sealed totalizer and meter duly sealed against tempering, complete with couplings on both ends, and with pressure rating maximum 20 Kg/cm2 manufactured by ISO certified firms in India and minimum, maximum and transitional flows conforming to ISO : 4064/1 and IS 779: 1994 , class B, marked in metric system, along with manufacture‟s test and guarantee certificates including all Taxes duties etc. inclusive of cost of Installation and Maintenance for 3 year Period
0.90 NCB N Q4 2010 Goods Contract (Itemized
BOQ)
Aizawl – Solid Waste
B10 PC&T/SWM/AIZ/T3 Provision of primary collection and storage, including wheel plastic bins, dumper placer bins, autovans w/ containers.
0.83 NCB N Q4 2010 Goods (Itemized
BOQ)
94 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
Provision of transportation vehicles: tipper trucks, dumper placer trucks, tractors,
B11 CP&LF/SWM/AIZ/T2 Procurement of equipment, vehicles and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. compost plant – civil buildings godowns, waste segregation facility, other infrastructure, plant and machinery, material handling automobiles at Muallungthu site; 2. development of sanitary landfill at Muallungthu.
3.06 NCB N Q4 2009 Civil Works Contract (Itemized
BOQ)
Aizawl – Sewerage
B12 P&SN/SEW/AIZ/T3 1. Clearance of vegetation. 2. Procurement of 23 km DI K-7 grade pipes and ancillary supplies for primary sewer network (150-900 mm dia) and 30 km secondary network, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff. 3. Construction of Circular R.C.C. Manholes and ventilation shafts as per type design/drawing on sewer line and provided with tight fitting FRC manhole frames and covers ISI marked or of approved make and provision of encapsulated PVC foot rests for the following diameter. 4. Construction of 3.34 m wide approach road of WBM plus BT from the existing road to the STP, including culverts.
14.89 ICB N Q4 2010 Civil Works Contract (Itemized
BOQ)
Appendix 15 95
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
5. Supply and lay of 30 km secondary collectors and mains along the existing road stretches and along hillsides, by gravity. 6. 3,600 household connections.
B13 STP/SEW/AIZ/T3 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. Construction of biotower sewage treatment plant with capacity of 7 MLD
0.79 NCB N Q4 2010 Civil Works Contract (Itemized
BOQ)
B14 SCM/SEW/AIZ/T3 Procurement of Sewer Cleaning Machinery for maintenance of networks
0.17 NCB N Q2 2011 Goods (Itemized
BOQ)
B15 LCS/SEW/AIZ/T3 Civil works, equipment and ancillary supplies pertaining to the construction of community toilets households, who neither have toilets nor have toilet spaces in their households
0.33 NCB N Q4 2010 Civil Works Contract (Itemized
BOQ)
Gangtok – Water Supply
C1 OHT1/WS/GTK/T1 Construction of 3 new ground level RCC zonal tank to serve as service reservoir including fixing of Inlet, outlet and other pipes, its‟ commissioning and testing, land cost, site clearance etc. complete for following zones.
0.29 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
C2 P&S/WS/GTK/T1 Supply, laying and jointing of 29 km DI pipes for main feeder pipe lines, 38 km of secondary and tertiary network pipe lines and 18,000 connections including those going to newly developing areas inclusive of fixing of valves and specials, construction of valve chambers, making connections, testing of entire distribution system complete job as per primary network design for
5.07 ICB N Q1 2009 Civil Works Contract (Itemized
BOQ)
56 A
ppe
ndix
9
96 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
following sizes of pipes.
C3 EMZ5/WS/GTK/T1 Civil works testing, commissioning, provision of record drawings for: 1. Construction of sump of 10.5 m diameter with all pipes valves and appurtenances. 2. Construction of pump house of 3.5 x 3m size with all pipes valves and appurtenances. 3. Supply and installation of 2 pump set of 45 kw with all accessories and making electric connection.
0.06 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
C4 CHL/WS/GTK/T1 Procurement of equipment and ancillary supplies, civil works, testing and commissioning pertaining to the installation of 4 chlorinators of Gangtok‟s Main Reservoir, Enchey reservoir, Housing Tank, Hanuman Tok.
0.16 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
C5 WM1/WS/GTK/T2 Supply and installation of all 43 bulk and 18,000 consumer water meters including, as well as leak detection equipment. Three year maintenance program.
1.21 ICB N Q4 2010 Goods Contract (Itemized
BOQ)
Gangtok – Sewerage
C6 P&SNZ2/SEW/GTK/T3 1. Clearance of vegetation. 2. Procurement of 12 km DI K-7 grade pipes and ancillary supplies for primary sewer network (150-900 mm dia) and 30 km secondary network, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff. 3. Construction of Circular R.C.C. Manholes and ventilation shafts as per type design/drawing on sewer line and provided with tight fitting FRC manhole
8.77 ICB N Q4 2010 Civil Works Contract (Itemized
BOQ)
Appendix 15 97
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
frames and covers ISI marked or of approved make and provision of encapsulated PVC foot rests for the following diameter. 4. Construction of 1.9 km 3.34 m wide approach road of WBM plus BT from the existing road to the STP, including culverts. 5. Supply and lay of 30 km secondary collectors and mains along the existing road stretches and along hillsides, by gravity. 6. 3,700 household connections.
C7 STPZ2/SEW/GTK/T3 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. Construction of Extended Aeration with Sludge drying beds / filter press sewage treatment plant with capacity of 4 MLD
0.7 NCB N Q4 2010 Civil Works Contract (Itemized
BOQ)
C8 P&SNZ3/SEW/GTK/T3 1. Clearance of vegetation. 2. Procurement of 12 km DI K-7 grade pipes and ancillary supplies for primary sewer network (150-900 mm dia) and 30 km secondary network, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff. 3. Construction of Circular R.C.C. Manholes and ventilation shafts as per type design/drawing on sewer line and provided with tight fitting FRC manhole frames and covers ISI marked or of approved make and provision of
7.86 ICB N Q4 2010 Civil Works Contract (Itemized
BOQ)
98 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
encapsulated PVC foot rests for the following diameter. 4. Construction of 1.9 km 3.34 m wide approach road of WBM plus BT from the existing road to the STP, including culverts. 5. Supply and lay of 30 km secondary collectors and mains along the existing road stretches and along hillsides, by gravity. 6. 4,200 household connections.
C9 STPZ3/SEW/GTK/T3 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. Construction of Extended Aeration with Sludge drying beds / filter press sewage treatment plant with capacity of 4 MLD
0.8 NCB N Q4 2010 Civil Works Contract (Itemized
BOQ)
C10 SCM/SEW/GTK/T3 Procurement of Sewer Cleaning Machinery for maintenance of networks
0.17 NCB N Q2 2011 Goods (Itemized
BOQ)
C11 LCS/SEW/GTK/T3 Civil works, equipment and ancillary supplies pertaining to the construction of community toilets households, who neither have toilets nor have toilet spaces in their households
0.58 NCB N Q4 2010 Civil Works Contract (Itemized
BOQ)
Gangtok – Solid Waste
C12 PC&T/SWM/AIZ/T2 Provision of primary collection and storage, including wheel plastic bins, dumper placer bins, autovans w/ containers. Provision of transportation vehicles: tipper trucks, dumper placer trucks, tractors,
0.76 NCB N Q4 2009 Goods (Itemized
BOQ)
C13 LF/SWM/AIZ/T2 Procurement of equipment, vehicles 0.61 NCB N Q4 2009 Civil Works
Appendix 15 99
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. compost plant – civil buildings godowns, waste segregation facility, other infrastructure, plant and machinery, material handling automobiles at Muallungthu site; 2. development of sanitary landfill at Muallungthu.
Contract (Itemized
BOQ)
Kohima - Urban Water Supply
D1 OHT1/WS/KOH/T1 Construction of 19 (replacement) ground level RCC zonal tank to serve as service reservoir including fixing of Inlet, outlet and other pipes, its‟ commissioning and testing, l and cost, site clearance etc. complete for following zones (School Ed‟n, L-Khel Village, Gov‟t High School, Raj Bhawan, PR Hills, Assamese Church, VIP Quarters, Assam Riffles, Forest Colony, Old Zoon, Naga Hospital, DC Hospital, Assam Riffles Camp, South Police St, Fernwood + 5).
0.32 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
D2 WTP/WS/KOH/T1 Refurbishment of the 1.5 MLD treatment plant, including replacement of clarifiers, lining and structural assessments of receiving tanks, replacement of pumps and other machinery, slow sand filter media, electrics and painting
0.35 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
D3 CHL/WS/KOH/T1
Provision for procurement and installation of chlorinators at main reservoir at Filter plant site along with pump and other accessories fittings, fixtures etc. complete of following
0.12 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
100 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
capacities. Civil works for Chlorinator Room of Suitable size (4 M x 3 M x 4 M). Provision for Purchase of Chlorine Cylinder Termed as „Tonner‟ including stand bye
D4 WM/WS/KOH/T1 Provision for Supply, Installation Testing of 30 Electro Magnetic Bulk Meters as per relevant 1. S.S. inclusive of 5 years of Maintenance including replacement of Parts of following sizes at designated places including fittings, specials, fixtures etc.
0.19 NCB N Q1 2009 Goods Contract (Itemized
BOQ)
D5 UFW/WS/KOH/T1
Carrying Unaccounted For Water Assessment in the Project area to minimize water loss in distribution and transmission system inclusive of Salaries to Staff, equipments , materials etc.,
0.26 NCB N Q1 2009 Goods Contract (Itemized
BOQ)
D6 OHT2/WS/KOH/T2 Design and construction of 5 ground level RCC zonal tank to serve as service reservoir including fixing of Inlet, outlet and other pipes, its‟ commissioning and testing, land cost, site clearance etc. complete for following zones.
0.92 NCB N Q1 2010 Civil Works Contract (Itemized
BOQ)
D7 P&SN/WS/KOH/T2 Supply, laying and jointing of DI pipes for main feeder pipe lines (28 km), secondary and tertiary network pipe lines (91 km) and 11,500 service connections including those going to newly developing areas inclusive of fixing of valves and specials, construction of valve chambers, making connections, testing of entire distribution system complete job as per primary network design for following sizes of pipes.
9.03 or 3.6
ICB or NCB N Q1 2010 Civil Works Contract (Itemized
BOQ)
Ap
pen
dix
9 5
9
Appendix 15 101
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
D8 WM/WS/KOH/T2 Supply of all 13 bulk and 19,000 consumer water meters including, as well as leak detection equipment. Including 3-year program for maintenance and meter reading. Providing and Installing and giving satisfactory field testing of domestic water meter, horizontal, inferential, multi jet, dry dial suitable for potable water and for 450C temperature, hermetically sealed totalizer and meter duly sealed against tempering, complete with couplings on both ends, and with pressure rating maximum 20 Kg/cm2 manufactured by ISO certified firms in India and minimum, maximum and transitional flows conforming to ISO : 4064/1 and IS 779: 1994 , class B, marked in metric system, along with manufacture‟s test and guarantee certificates including all Taxes duties etc
X.XX ICB N Q4 2010 Goods Contract (Itemized
BOQ)
Kohima – Solid Waste
D9 PC&T/SWM/KOH/T2 Provision of primary collection and storage, including wheel plastic bins, dumper placer bins, autovans w/ containers. Provision of transportation vehicles: tipper trucks, dumper placer trucks, tractors,
0.28 NCB N Q4 2009 Goods (Itemized
BOQ)
D10 CP&LF/SWM/KOH/T1 Procurement of equipment and ancillary supplies, civil works, mechanical and electrical works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. compost plant – land development
4.55 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
102 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
waste segregation facility, other infrastructure, plant and machinery, material handling automobiles at site; 2. development of sanitary landfill. 3. Civil works and construction/surfacing associated with the construction of access
D11 RD/SWM/KOH/T2 Approach road and complementary buildings
Tbc NCB N Q1 2010 Civil Works Contract (Itemized
BOQ)
Kohima – Sewerage
D12 P&SNZ1/SEW/KOH/T3 Sewerage for Zone 1 1. Clearance of vegetation. 2. Procurement of 14 km DI K-7 grade pipes and ancillary supplies for primary sewer network (150-900 mm dia) and 15 km secondary network, and 3200 connections, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff. 3. Construction of Circular R.C.C. Manholes and ventilation shafts as per type design/drawing on sewer line and provided with tight fitting FRC manhole frames and covers ISI marked or of approved make and provision of encapsulated PVC foot rests for the following diameter. 4. Construction of 3.34 m wide approach road of WBM plus BT from the existing road to the STP, including culverts.
9.44 ICB N Q4 2010 Civil Works Contract (Itemized
BOQ)
D13 P&SNZ2/SEW/KOH/T3 Sewerage for Zone 2 1. Clearance of vegetation. 2. Procurement of 17 km DI K-7 grade pipes and ancillary supplies for primary
8.24 ICB N Q4 2010 Civil Works Contract (Itemized
BOQ)
Appendix 15 103
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
sewer network (150-900 mm dia) and 11 km secondary network, and 3,500 connections, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff. 3. Construction of Circular R.C.C. Manholes and ventilation shafts as per type design/drawing on sewer line and provided with tight fitting FRC manhole frames and covers ISI marked or of approved make and provision of encapsulated PVC foot rests for the following diameter. 4. Construction of 3.34 m wide approach road of WBM plus BT from the existing road to the STP, including culverts.
D14 STP/SEW/KOH/T3 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. Construction of extended aeration treatment plant with capacity of 7 MLD (Zone 1). 2. Construction of extended aeration treatment plant with capacity of 5 MLD (Zone 2).
2.71 NCB N Q4 2010 Civil Works Contract (Itemized
BOQ)
D15 SCM/SEW/KOH/T3 Procurement of Sewer Cleaning Machinery for maintenance of networks
0.19 NCB N Q2 2011 Goods (Itemized
BOQ)
D16 LCS/SEW/AKOH/T3 Civil works, equipment and ancillary supplies pertaining to the construction of community toilets households, who neither have toilets nor have toilet spaces in their households.
0.39 NCB N Q4 2010 Civil Works Contract (Itemized
BOQ)
104 Appendix 15
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
Shillong – Solid Waste Management
E1 PC&T/SWM/SHI/T3 Provision of primary collection and storage, including wheel plastic bins, dumper placer bins, autovans w/ containers. Provision of transportation vehicles: tipper trucks, dumper placer trucks, tractors,
1.55 ICB N Q1 2010 Goods (Itemized
BOQ)
E2 LF&TG/SWM/SHI/T2 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. development of new sanitary landfill. 2. development of transfer and garage station.
1.51 NCB N Q1 2009 Civil Works Contract (Itemized
BOQ)
E3 LF&R/SWM/SHI/T1 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff for short term landfill site at Mawlai‟s site (approx. 6 acres) as well as 1 bulldozer
0.41 NCB N Q1 2009 Civil Works (Itemized
BOQ)
Shillong – Sewerage
E4 STP/SEW/SHI/T3 Procurement of equipment and ancillary supplies, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff; including the following: 1. Construction of aerated lagoons sewage treatment plant with capacity of 15 MLD
1.61 (tbc) NCB N Q4 2010 Civil Works Contract (Itemized
BOQ)
E5 P&SN/SEW/SHI/T3 1. Clearance of vegetation. 2. Procurement of 33 km DI K-7
22.44 (tbc)
ICB N Q4 2010 Civil Works Contract
84 A
ppe
nd
ix 1
1
Appendix 15 105
No Contract No. General Description Contract Value
Procurement Method
Prequalification Of Bidders (y/n)
Advtsmt. Date (Q/Y)
Comments
grade pipes and ancillary supplies for primary sewer network (150-900 mm dia) and 60 km secondary network, civil works, testing, commissioning, provision of record drawings and Operating Manuals and training of operational staff. 3. Construction of Circular R.C.C. Manholes and ventilation shafts as per type design/drawing on sewer line and provided with tight fitting FRC manhole frames and covers ISI marked or of approved make and provision of encapsulated PVC foot rests for the following diameter. 4. Construction of 3.34 m wide approach road of WBM plus BT from the existing road to the STP, including culverts. 5. Providing connections to 6500 HHs
(Itemized BOQ)
E6 SCM/SEW/SHI/T3 Procurement of Sewer Cleaning Machinery for maintenance of networks
0.16 NCB N Q2 2011 Goods (Itemized
BOQ)
E7 LCS/SEW/SHI/T3 Civil works, equipment and ancillary supplies pertaining to the construction of community toilets households, who neither have toilets nor have toilet spaces in their households
0.85 NCB N Q4 2010 Civil Works Contract (Itemized
BOQ)
106 Appendix 16
CONTRACT SUMMARY SHEET
I. PROJECT DATA
A. Loan No. : B. Executing Agency :
II. OUTLINE OF CONTRACT A. EA Contract No. : B. Contractor/Supplier Name : and Address : C. Description of Contract : D. Category Code :
III. SUMMARY OF CONTRACT AGREEMENT Currency 1 Currency 2
A. Contract Amount/s : Base Duties & taxes Contingency Total B. Contract Period : C. Date of Contract Signing : D. Commencement Date : E. Completion Date : F. Terms of Payment :
(including advance, if any) IV. RESULT OF BIDDING
A. Mode of Procurement : B. Date of Bid Invitation : C. Date of Bid Opening : D. Ranking/List of Bidders :
Serial No.
Name of Bidders Amount of Bid As
Opened Amount of Bid As
Evaluated Rank
Note: Please provide a brief explanation if the contract was not awarded to the lowest bidder. V. COUNTRY/COUNTRIES OF ORIGIN (for Goods only): Seen and Approved: Name Project Director
For ADB use only
PCSS No.
Appendix 17 107
SAMPLE DISBURSEMENT LETTER Name of the Borrower Address Dear Sir/Madam: Loan No.____: (Project name) 1. We draw your attention to the Loan Agreement and other related documents dated _____________ of the above loan. The loan account will be credited with US$/SDR _____________ when the Loan Agreement becomes effective. Withdrawal of Loan Proceeds 2. Expenditures are normally eligible for financing from the date the Loan Agreement becomes effective. We enclose our Loan Disbursement Handbook and hope it will assist you when making withdrawals from the loan account. For disbursements using the SOE procedure and/or the imprest fund procedure which normally require ADB approval, please refer to Chapters 9 and 10 of the Handbook. Sample withdrawal application forms are in the Appendixes of the Handbook.
15 Incomplete withdrawal applications which do
not substantially meet the criteria requirements for disbursement, will be returned to you. 3. We wish to draw your particular attention to the following disbursement arrangements.
Imprest Fund Procedure Under paragraph _____ of Schedule 3 of the Loan Agreement, when ADB‟s imprest fund procedure is used, a portion of the loan proceeds is deposited by ADB into an imprest account from which you may draw ADB‟s share of eligible Project expenditures. Detailed procedures for establishing and operating the imprest fund are set out in Annex ____ of this letter.
Statement of Expenditures (SOE) Procedure
Under paragraph ______ of Schedule 3 of the Loan Agreement, you may apply the SOE procedure to reimburse, liquidate, or replenish the imprest account for expenditures or contracts amounting to _____________. Details of the SOE procedure and formats to be used are in the Handbook. Under SOE procedure you should retain all supporting documents and produce them for examination by ADB‟s representative whenever needed. Furthermore, SOE records are periodically audited, as part of the project audit, by an independent auditor or auditors acceptable to ADB and the audit report is to be given to ADB by the date indicated in the Loan Agreement after the end of each fiscal year.
Retroactive Financing
Under paragraph _____ of Schedule 3 of the Loan Agreement, ADB agrees to retroactive financing of expenditures incurred from __________ to the effective date up to US$/SDR ____________ for (specify eligible expenditures covered). Such expenditures are accumulated and withdrawn from the loan account immediately after the loan is effective using the reimbursement procedure described in the Handbook.
Authorized Signatory(ies) 4. The Handbook describes what you must do before disbursement commences. The person(s) nominated by you to sign the withdrawal application on your behalf should be authorized under the Loan
15
Please ensure that each withdrawal application is numbered sequentially with a five-character numeric identification, such as 00001. Assign an alpha identification for each executing agency (EA) (province) if there is more than one EA and submission of withdrawal applications is done separately by the EA (province).
108 Appendix 17
Agreement provisions. An authorization letter, together with the relevant specimen signature(s), is to be sent to ADB before submission of the first withdrawal application. If there is a change in the authorized person(s) later, send us a new authorization letter, accompanied by the specimen signature(s) to ensure uninterrupted processing of loan disbursements. Minimum Amount per Withdrawal Application 5. To promote efficiency in processing loan disbursements, a minimum value per withdrawal application is set at US$100,000 equivalent (or the amount determined to be reasonably minimum). As far as possible, the executing / implementing agency (ies) is requested to consolidate claims and submit a withdrawal application after its amount has exceeded this limit. Loan Service Payment 6. Arrangements are to be made for paying the principal, as well as the interest, front-end fees, and other charges on the due dates specified in the Loan Agreement. Required Action 7. We suggest that the procedures contained in the enclosed publications be studied thoroughly by the officials responsible for administering the loan. Please inform us if we need to clarify any of the attachments. To avoid delays in disbursement after the loan becomes effective, you should immediately (a) submit the withdrawal authorization letter together with the specimen signature(s); (b) submit the withdrawal application for reimbursement of expenditures eligible for retroactive financing; and (c) submit the withdrawal application for the initial deposit to the imprest account. Advice of Withdrawals 8. Advice of withdrawals and other loan disbursement information are available at the Controller‟s web address http://lfis.adb.org. For password access to this website, please contact the Borrowers‟ Services Section, Loan Administration Division, Controller‟s Department at [email protected]. Please also provide us the updated address, telephone number, and e-mail address of the executing/implementing agency(ies) concerned. 9. Please circulate this letter to the project staff, including project accountants. 10. We look forward to your continued cooperation and a mutually beneficial relationship. Sincerely yours, Assistant Controller Loan Administration Division Controller‟s Department cc: Name of executing / implementing agency (ies) Address (es) bcc: Country Director (ADB Resident / Regional Mission concerned) Project Specialist / Project Officer
Appendix 17 109
Attachments: 1. Loan Agreement 2. Loan Disbursement Handbook 3. Procedures for Establishing and Operating the Imprest Account
110 Appendix 18
Appendix 18 111
112 Appendix 18
Appendix 19 113
SAMPLE AUDIT LETTER
[Date] Name of the Borrower Address Dear Sir/Madam:
Loan No. - Project Name —FINANCIAL REPORTING AND AUDITING REQUIREMENTS
1. This letter is to ensure your timely compliance with the loan covenants and the quality of financial information as required by ADB. Please refer to ADB's Handbook for Borrowers on the Financial Governance and Management of Investment Projects Financed by the ADB (http://www.adb.org/Documents/Handbooks/Borrowers_Fin_Gov_Mgt_Investment/default.asp) for guidance. 2. ADB, by its Charter, is required to ensure that the proceeds of any loan made, guaranteed, or participated in by ADB are used for the purposes for which the loan was approved. ADB requires accurate and timely financial information from its borrowers to be assured that expenditure was for the purposes stated in the loan agreement. 3. For this particular loan, the requirements are stipulated in Section 4 and Schedule 5 of the Loan Agreement dated 4 August 2009 between ADB and India and Sections 2.09 and 2.10 of the respective Project Agreements. Please provide copies of the Loan / Project Agreements to your EAs and the auditor(s), together with a copy of this letter.
http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MLO1.pdf http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR1.pdf http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR2.pdf http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR3.pdf http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR4.pdf http://www.adb.org/Documents/Legal-Agreements/IND/35290/35290-IND-MPR5.pdf
4. The following are the main requirements:
(i) ADB requires the EA to maintain separate project accounts and records exclusively for the Project to ensure that the loan funds were used only for the objectives set out in the Loan or Project Agreements. The project accounts comprise the following:
• Statement of Accounting/Financial Policies • Statement of Income/Cash Receipts • Statement of Expenses/Cash Payments • Cash Flow Statement • Imprest Account Statement • Statement of Expenditures (SOE), and • Notes to the Financial Statements
Please refer to Attachment 1 for the purpose of each accounting statement. We will send a typical format for each statement in due time. The first set of project accounts to be submitted to ADB covers the fiscal year ending 31 March 2010. As stipulated in the Project Agreement, they are to be submitted up to nine
114 Appendix 19
months after the end of the fiscal year. For this loan, the deadline is by 31 December 2010.
(ii) The accounts and records for the project are to be consistently maintained by using sound accounting principles. Please stipulate that your external auditor is to express an opinion on whether the financial report has been prepared using international or local generally accepted accounting standards and whether they have been applied consistently.
ADB prefers project accounts to use international accounting standards prescribed by the International Accounting Standards Committee. Please advise your external auditor to comment on the impact of any deviations, by the Executing Agencies from international accounting standards.
(iii) Please ensure that your external auditor specifies in the Auditor's Report the appropriate
auditing standards they used, and direct them to expand the scope of the paragraph in the Auditor's Report by disclosing the key audit procedures followed. Your external auditor is also to state whether the same audit procedures were followed for all supplementary financial statements submitted.
ADB wishes that auditors conform to the international auditing standards issued by the International Federation of Accountants. In cases where other auditing standards are used, request that your external auditor to indicate in the Auditor's Report the extent of any differences and their impact on the audit.
(iv) The external auditor's opinion is also required on whether
• the proceeds of the ADB's loan have been utilized only for the project as stated in
the Loan Agreement; • the financial information contains data specifically agreed upon between India
and ADB to be included in the financial statements; • the financial information complies with relevant regulations and statutory
requirements; • compliance has been met with all the financial covenants contained in the Loan
or Project Agreements; • Imprest Account/Second Generation Imprest Account(s) funds have been
correctly accounted for; and • documents and controls on the use of the Statement of Expenditures (SOE)
procedure are adequate.
Please refer to Attachment 2 for a model Audit Opinion for a non-revenue earning project.
(v) The Auditor's Report is to clearly state the reasons for any opinions that are qualified, adverse, or disclaimers.
(vi) Actions on deficiencies disclosed by the external auditor in its report are to be resolved
by the Ministry of Finance and/or the Executing Agencies within a reasonable time. The external auditor is to comment in the subsequent Auditor‟s Report on the adequacy of the corrective measures taken by the Ministry of Finance and/or the Executing Agencies.
5. ADB also requires auditors to provide a Management Letter with reference to the EA. This is a report on the internal controls and operating procedures of the entity, covering all aspects included during the normal course of the audit. This should be submitted together with the audited project accounts. 6. Compliance with these ADB requirements will be monitored by review missions and during normal project supervision, and followed up regularly with all concerned, including the external auditor.
Appendix 19 115
Yours sincerely, Director, Urban Development and Water Division South Asia Department
Attachments: as stated
116 Appendix 19
Accounting Statements and Financial Reports
Accounting Statements Non-Revenue Earning Projects and Executing Agencies
Revenue Earning Projects and Executing Agencies
Interim (PMRs)
Annual Audited
Interim (PMRs)
Annual Audited
Statement of Accounting / Financial Policies
- Yes - Yes
Statement of Income (Cash Receipts)
Yes Yes - -
Statement of Expenses Yes Yes - -
Cash Flow Statement Yes1 Yes
1 Yes Yes
Imprest Account Statement Yes Yes Yes Yes
Statement of Expenditures (SOE)
Yes Yes Yes Yes
Income Statement These statements are usually not prepared as most non-
revenue generating projects currently use cash basis of
accounting
Yes Yes
Balance Sheet Yes Yes
Notes to Financial Statements Yes2 Yes
2 Yes
2 Yes
2
Other Information Yes3 Yes
3 Yes
3 Yes
3
Notes: 1. The contents and format of Cash Flow Statements for non-revenue earning projects (and EAs) will not
necessarily conform to international accounting standards or to national accounting standards. 2. The notes to the financial statements provide further breakdowns or explanations of the information provided
in the main financial statements. The scope and nature of other information to be provided will be negotiated between ADB and Borrower.
Statement of Accounting or Financial Policies Irrespective of whether the cash or accrual basis of accounting is used, a clear statement of the accounting or financial policies that underlie the accounting statements must be provided. Statement of Income (or Cash Receipts) Shows the year‟s complete financial information, and cumulative data from project start-up to date. Where the cash basis of accounting is followed, the opening and closing cash balances should be shown. ADB financing should be subdivided as follows when ADB disburses via SOE procedures: (i) by expenses category in the loan agreement, RRP or revisions thereto, (ii) disbursements via SOE, and (iii) other methods. Statement of Expenses (or Cash Payments) Shows the year‟s financial information, and cumulative totals from project start-up to the current date. Where the accrual basis of accounting is used, this statement will include noncash items, such as depreciation. Cash Flow Statement The Cash Flow (or project funds) Statement should include:
Sources of project financing (for example, ADB, Government contribution, etc.), and by methods of disbursement by ADB (for example, direct payment, imprest account, etc.)
Appendix 19 117
Uses of funds summarized under project disbursement categories as per the loan agreement (for example: equipment, civil works, consultant services and training, and “Other” which may be further subdivided following start of project implementation)
The opening and closing cash balances; and
In accordance with IAS 7, separate disclosure is required of funds that are not available for use, such as confirmed future commitments.
Imprest Account Statement This statement summarizes ADB‟s advances and replenishments, less amounts withdrawn by the project entity, showing the remaining cash balance in the Imprest Account. Bank statements should be provided by each local bank that is selected to operate each imprest account, where these are in use for the project. Each bank statement should summarize the current year‟s advances and replenishments, interest earned on balances; less withdrawals for project expenditures. The first account is used to receive money from ADB for the credit of the “Project Imprest Account”, and the second may be used by the project for local operating purposes (“Second Generation Imprest Account”). The Project Imprest Account is to be used to replenish the SGIA, when this is in use. It will be necessary to attach “Reconciliation Statements” to reflect intransit items between ADB and the Imprest Account and between Imprest Account and the SGIA. (Replenishment made by ADB not yet received; and reimbursements to the SGIA from the Imprest Account not yet received by it). The third financial statement is a detailed statement of transactions of the Imprest Account‟s operating account(s). This is to be generated by the EA, where the Imprest Account is used to make direct payments inlocal and foreign currency. Statement of Expenditures The Statement of Expenditures (SOE) procedure is an ADB reimbursement procedure that does not require submission of supporting documentation. The SOE form should include certification, confirming existence of registration for mobilization and secured advances/deposits. The ADB Loan Disbursement Handbook describes the use of this method and associated reporting and auditing procedures. Income Statement and Balance Sheet These statements may not be necessary where cash accounting is used. These statements are described in section 4.3.4 (Preparing Financial Tables). Notes to Financial Statements The EA should provide Notes to the financial statements. These should be explanatory notes and/or supplementary financial statements that analyze or qualify important heads of account, or that present the information in conformity with generally accepted accounting practices of the country. For example, if Statements are prepared on a “cash basis”, information may be required from the EA to convert key items to an “obligation” or “accrual” basis and ADB, therefore, may seek details relating to obligations (unpaid commitments and accounts receivable) in supplementary statements. Similarly, details may also be required to distinguish between transactions relating to capital (development) investments and operating expenditures. Other Information ADB wishes to receive financial reports on a project that illustrate both performance in the fiscal year under review and accumulated transactions from project commencement particularly with regard to sources of funds and expenditures for assets and inventories. Reporting practices in some government entities require only disclosure of annual financial transactions against annual budget authorizations. Therefore, to monitor performance from start-up throughout the project‟s implementation period, the reported results of project transactions and financial performance data for previous fiscal years should be included as memorandum entries in a current fiscal year‟s Statement of Income (or Cash Receipts) and Statement of Expenses (or Cash Payments).
118 Appendix 19
Alternatively, the reported results of prior years may be included in the annual financial statements as of the last day of the reporting fiscal year that summarizes and classifies all receipts and expenditures relating to the project from its commencement. In addition, the accumulated sources or provision of funds for the project in the ratio agreed upon between the borrower and ADB should be disclosed in the Notes to the financial statements.
Appendix 19 119
Model Auditor Opinion for a Nonrevenue-Earning Project To: Borrower (or designated agency) We have audited the accompanying financial statements (pages _____ to _____) of the _______________________ Project financed under the Asian Development Bank Loan No. ________ as of 31 December, 20____, and for the year then ended. These financial statements are the responsibility of the management of [the EA]. Our responsibility is to express an opinion on the accompanying statements based on our audit. We conducted our examination in accordance with International Standards on Auditing. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. Our audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. Our audit also includes assessing the accounting principles and significant estimates made by management, as well as evaluating the overall statement presentation. We believe that our audit provides a reasonable basis for our opinion. ________________ [The EA‟s] policy is to prepare the accompanying statements in the format agreed between the Asian Development Bank and the Government of ____________ as noted in the Minutes of Negotiations for the Loan [on a cash receipts and disbursements basis in which cash is recognized when received and expenses are recognized when paid, rather than when incurred] OR [on an accruals basis in which expenses are recognized when incurred and revenue is reported when income is due]. In our opinion, (A) the aforementioned financial statements and appended notes that were also the subject of the audit, fairly present in all material respects the financial position of the _________________ project as at ___________ 20____ and the results of its operations for the year ended ___________ 20____, in conformity with __________________ accounting standards, applied on a basis consistent in all material respects with that of the previous year; (B) the [Borrower] [EA] has utilized all proceeds of the loan withdrawn from the Asian Development Bank only for purposes of the Project as agreed between the Asian Development Bank and [the Borrower] in accordance with the loan agreement; and no proceeds of the loan have been utilized for other purposes; and (C) the [Borrower] [EA] was in compliance as at the date of the balance sheet of the year of audit with all financial covenants of the loan agreement. In addition: (i) (a) With respect to Statements of Expenditures, adequate supporting documentation has been maintained to support claims to the Asian Development Bank for reimbursements of expenditures incurred; and (b) which expenditures are eligible for financing under Loan Agreement No. _____. (ii) (a) The Imprest Accounts (page ___) give a true and fair view of the receipts collected and payments made during the year ending ______; and (b) these receipts and payments support Imprest Account liquidations/replenishments during the year. [(i) and (ii) above are to be provided where the loan agreement requires separate Imprest Account and statement of expenditures audits and audit opinions.]
120 Appendix 20
GUIDELINES FOR CALCULATING PROJECT PROGRESS A. Introduction 1. Physical and precommencement activities are considered in calculating project implementation progress. These activities, which may include recruitment of consultants, capacity building, detailed design, preparation of bid and prequalification documents, etc., could constitute a significant proportion of overall implementation and therefore should be counted. 2. Each activity in the implementation schedule will be weighted according to its overall contribution (using time as a reference) to progress of project implementation. These weights will then be used to calculate the percentage of project progress along the entire time span of the project. This is to provide a holistic view of the pace of implementation. B. Framework for Compiling Activity List and Assigning Weights 3. The actual project implementation progress of these activities should be reported regularly through the EA‟s quarterly project progress report. To ensure ADB-wide consistency, the following framework has been established; its application will be monitored through the ADB‟s Project Performance Report.
1. Compilation of Activity List 4. The IPCC in consultation with the SIPMIUs should identify major implementation activities and include them in the implementation schedule, which is attached as an appendix in the grant assistance report. The implementation schedule should follow the critical path of the project‟s major activities in project implementation taking account of various country, sector, and project constraints.
2. Assignment of Weights 5. Corresponding weights for each activity should be assigned to ensure that “project progress" measures the percentage of achievement (nonfinancial except when the project has credit components) for all events during the entire duration of the implementation schedule. To avoid disproportionate assignment of weights, to the extent possible these should be evenly distributed along the implementation schedule. When activities are concurrent, avoid “double counting.”
3. Computation of Project Progress 6. Once all activities are identified and corresponding weights assigned, project progress should be calculated using the following steps:
(i) Determine the actual percentage progress (nonfinancial) of each activity. (ii) Multiply these percentages by the assigned weight of each activity to arrive at the
weighted progress. (iii) Add up the resulting weighted progress of all activities to determine the project progress.
7. Attachment to this Appendix provides an illustration of this calculation using a generic sample implementation schedule and a specific example in the education sector.
Appendix 20 121
Implementation Schedule with Activities and Weights
Sample Implementation Schedule
122 Appendix 21
TEMPLATE FOR QUARTERLY PROGRESS REPORT
TEMPLATE FOR QUARTERLY PROGRESS REPORT - PROJECT 1 (Loan 2528) For the quarter ended ________________
A. Project Description
Part A: Improved Urban Infrastructure and Services (a) Water Supply: replacement of water source and treatment works and equipment purchase
in Agartala; rehabilitation and improvement of water storage and storage facilities in Aizawl and Kohima; full rehabilitation and expansion of the water storage and distribution system in Gangtok.
(b) Solid Waste Management: construction of a new disposal site and compost facilities in Kohima and provision of a small emergency landfill site for Shillong.
Part B: Capacity Building Civic Awareness and Investment Program Management (a) Investment Program management: consulting services for program management and
design and supervision in Agartala, Aizawl, Gangtok, Kohima and Shillong. (b) Capacity building: consulting services for institutional development in Agartala and
Shillong. (c) Community awareness and participation programs: in all 5 cities.
B. Loan Milestones
Approval date Signing date Effective date Original closing date
Extensions and final closing date
Time remaining for loan closing in months:
Original Loan amount $M Cancellations $M Net Loan amount $M
30.0
C. Loan Financial Progress ($M)
Contract award Disbursement IDC/FEF/TA
Allocated in Loan 30.0 30.0
Performance YTD
Cumulative
Balance in Loan
D. Progress for current year ($M)
Total Project Cost
I Quarter II Quarter III Quarter IV Quarter Total
Contract Award
Target
Achieved
Balance
Disbursement
Target
Achieved
Balance
Loan Amount (to be filled by MOUD)
I Quarter II Quarter III Quarter IV Quarter Total
Contract Award
Target
Achieved
TPRM format
Appendix 21 123
Balance
Disbursement
Target
Achieved
Balance
E. Project Impact
The Investment Program is expected to improve the environment and well-being of urban residents in the five capital cities by 2017. F. Status of Achieving Project Outcomes of the Investment Program
Investment Program Tranche 1
Outcomes Indicators Targets Baseline
Data
Achievement
Previous Current
Sustainable and increased access to better urban services in five program cities
Water Supply:
Increased service reliability
People provided with safe water 12-24/7
Reduced unaccounted for water by 2015
Agartala, Aizawl, Gangtok and Kohima
90,000
To 30%
Solid Waste
Management Service:
People provided with solid waste collection treatment
Compliance with India‟s
Solid Waste Management
and Handling Rules in
Kohima and Shillong by
2014
0.35 million
100%
State and ULB Project
Capacities:
Project development,
implementation and
management capacity
developed by 2015
Municipalities are
empowered as defined by
74th Constitutional
Amendment Act and
MOAs signed with MOUD
by 2014
State (UD and PHED) and ULB level Agartala and Shillong
G. Status of Achieving Project Outputs of Tranche 1
Outputs Target Achievement
Previous Current
Physical outputs by end 2013
Water Supply:
Agartala • Tube wells replaced
• 25 nos.
124 Appendix 21
Outputs Target Achievement
Previous Current
• IPRs replaced Aizawl • Reservoirs replaced • Chlorinators installed • Household meters installed Gangtok • Primary mains replaced • Secondary pipelines replaced • Reservoirs constructed • Chlorinators installed • Meters installed Kohima • Existing WTP refurbished • Reservoirs replaced • Chlorinators installed
• 17 nos. • 7 nos. • 2 nos. • 13,000 nos. • 31 kms. • 38 kms. • 3 nos. • 4 nos. • 19,000 nos. • 1.5 mld • 19 nos. • 2 nos.
Solid Waste Management:
Kohima • Compost plant developed • Sanitary landfill site developed • Garage/transfer station and approach road
constructed Shillong • Short-term sanitary landfill site developed • Transfer station constructed
• 50 tpd • 1 no. • 1 no. • approx. 6 acres • 1 no.
Institutional Development & Investment Program Management
Reforms (by end 2013) • ULB reconstituted and municipal election held • ULBs strengthened • Double entry accounting systems installed and
financial systems computerized • Property tax yield in AMC & SMB strengthened • GIS installed/updated and operational • Planning process/legislation amended to
strengthen development controls and sanitation regulations
• Municipal staff trained in operation and maintenance of services, financial management, regulation enforcement
• Shillong • Tripura & Meghalaya • AMC & SMB • at least 0.5% of
property value • AMC & SMB • Tripura & Meghalaya • AMC and SMB
Public Utility Management (by 2014) • Dedicated city water and sewerage units
established • Asset management systems improved and
performance-based operational systems introduced for water, sewerage and solid waste management services
• Sustainable user charge structure including volumetric water charges, sewerage charges and solid waste management charges implemented
• all cities • IPPMS indicators &
2009 baseline • recovery to be no less
than full O&M costs in all cities
Public Awareness (by 2015) • Public and village leaders acceptance of ULB
creation as shown in support for election process • Broad understanding of the need for and
compliance with service charges • Segregation at source
• all cities • • by no less than 50% of
the population
Capacity Development
Appendix 21 125
Outputs Target Achievement
Previous Current
• On-the-job capacity building program prepared for implementation
• capacity on consultant recruitment/management, procurement and contract management, disbursement management, project and performance monitoring, safeguards compliance, land acquisition, preparation of feasibility and detailed design
• • all SIPMIUs
H. Status of Project Inputs and Activities No Inputs/Activities Status
Previous Current
Preparatory Activities
1 Establish IPCC in MOUD and SIPMIUs and staffing
MOUD Agartala Aizawl Gangtok Kohima Shillong
2 IPCC formulates protocols on (i) project performance monitoring system, (ii) reporting, and (iii) accounting and auditing February 2009.
3 Consultant selection – PMCC DSMC IDC DSMC DSMC DSMC DSMC IDC
MOUD Agartala -ditto- Aizawl Gangtok Kohima Shillong -ditto-
4 Engineering designs Agartala Aizawl Gangtok Kohima Shillong
5 Undertake baseline surveys (with gender disaggregated data)
Agartala Aizawl Gangtok Kohima Shillong
6 Land acquisition and resettlement Agartala Aizawl Gangtok Kohima Shillong
7 Environmental clearance Agartala Aizawl Gangtok Kohima Shillong
8 Civil Works – Water supply Solid Waste Management
Agartala Aizawl Gangtok Kohima Kohima Shillong
9 Awareness campaign and community consultations in all 5 towns by May 2009
Agartala Aizawl Gangtok Kohima
126 Appendix 21
No Inputs/Activities Status
Previous Current
Shillong
I. Major change in scope or implementation arrangements J. Status of financing K. Status of Government counterpart funding L. Major Issues (such as governance, consultants, safeguard, procurement, etc.) and Risks
and Proposed Actions
No Major Issues/Risks Proposed Actions Responsibility Time Frame
M. Compliance with undertakings and loan covenants
Reference
No FFA LA Sch 5 para
Aspect MOUD Agatala Aizawl Gangtok Kohima Shillong
iii Project Management
1 1-2. National Steering Committee
2 3-4. IPCC
3 5, 8. State executing agencies
4 6. State steering committee
5 7. IPEC
6 9. SIPMIU
7 27. PPMS
8 28. Project review
9 v Approved plan for investment
10 xi 19. Public information for water supply and sanitation
11 12. Project website
12 16. Project scope change
13 26. Quality control
Reform
14 ii 15. Urban reform program
15 iv 10 Financing O&M
Safeguards
16 vi 20. Land acquisition resettlement
17 vii 17, 18. Environment
18 viii 21. Indigenous people
19 ix 24. Labor law, health, safety under civil works
20 x 23. Adequate representation of all sections of society
21 xii 22. Gender action plan
22 25. Grievance redress
Accounting and Auditing
23 13. Financial audit
Appendix 21 127
Checklist for Compliance with Major Undertaking and Loan Covenants
Date: _________________ Executing Agency: ______________________
Covenant Items Agency Compliance Status
FFA LA
Others
National Steering Committee
1 iii 2 MOUD shall be the national-level Project Executing Agency. Within three (3) months of the Effective Date, MOUD shall establish a NSC to monitor the use of funds under the Project as well as overall Project performance. The NSC shall be chaired by the Secretary MOUD and comprise representatives of DEA, the Ministry for Development of the North Eastern Region, the Planning Commission, and representatives of each State. The NSC shall meet whenever necessary, but not less than once every quarter. (paras. 1 & 2)
MOUD
IPCC
2 3 The IPCC established within MOUD shall at all times during Project implementation be headed by an Investment Program Manager who shall be supported by at least one administrative and financial official, one technical official, and one official responsible for environmental and social issues. The IPCC shall be supported by a team of program management and monitoring consultants, to be headed by an experienced urban development or municipal engineering expert, and including an urban management and finance specialist as well as a management information systems specialist. (para. 3)
MOUD
3 4 The IPCC shall be responsible for (i) reporting to ADB on Investment Program and Project implementation progress; (ii) the preparing and submitting to ADB of consolidated quarterly reports; (iii) consolidating payment and reimbursement requests; (iv) coordinating policy-related activities and ensuring that actions highlighted during NSC meetings are acted upon; (v) preparing the overall Investment Program implementation plan and consolidated annual work plans; (vi) coordinating training programs and allocations for each of the States; (vii) conducting monitoring and evaluation activities to ensure compliance with Loan covenants and agreed targets; and (viii) designing and implementing Investment Program performance management system surveys. (para. 4)
MOUD
State executing agencies
4 5 Each State shall have a SEA as follows: (i) for Meghalaya: its Urban Affairs Department; (ii) for Mizoram: its Urban Development and Poverty Alleviation Department; (iii) for Nagaland: its Urban Development Department; (iv) for Sikkim: its Urban Development and Housing Department; and (v) for Tripura: its Urban Development Department. (para. 5)
GoMe, GoMi, GoNa, GoSi & GoTr
5 8 The SIPMIU established in each State shall at all times during Project implementation be headed by a full-time Project Director who shall be a senior civil servant authorized to make any decision affecting the Project at State level. S/he shall be assisted by a full-time Deputy Project Director, a senior administration officer, a senior accounts officer, technical and engineering staff, a public relations officer, and a management information systems specialist. Each of the senior staff shall be supported by sufficient qualified junior staff. Each SIPMIU shall establish small engineering cells, as needed, with staff deputed from relevant departments and ULBs. Each engineering cell, headed by a superintending or executive engineer, shall be responsible for designing, contracting, supervising, and administering the work of that cell. (para. 8)
GoMe, GoMi, GoNa, GoSi & GoTr
State steering committee
6 6 Within three (3) months of the Effective Date, each State shall have established a SSC and an IPEC. Each SSC shall be chaired by the Chief
GoMe, GoMi,
128 Appendix 21
Covenant Items Agency Compliance Status
Secretary of the concerned State, and comprise relevant Secretaries and Heads of Department of such State. The SSC shall meet quarterly to (i) review progress on Project implementation; (ii) provide policy guidance; (iii) advise on matters that affect the scope or cost of the Project, as well as on matters related to the Urban Reform Program; and (iv) facilitate inter-agency coordination. (para. 6)
GoNa, GoSi & GoTr
IPEC
7 7 Each IPEC shall be chaired by the Secretary of the concerned SEA and comprise representatives from ULBs and relevant departments of the concerned State. Each IPEC shall decide on matters related to the implementation of the Project that do not affect its scope or cost. The IPEC shall meet whenever needed, at the request of any IPEC member. The Program Director shall be the IPEC's member-secretary. (para. 7)
GoMe, GoMi, GoNa, GoSi & GoTr
SIPMIU
8 9 Each SIPMIU shall be responsible for overall management and implementation of the Project in its respective State, including (i) recruiting consultants and NGOs; (ii) carrying out detailed surveys, investigations, and engineering designs of investment activities prior to starting any tendering process; (iii) coordinating with agencies and obtaining all required statutory clearances; (iv) conducting all aspects of the procurement process in compliance with ADB's Procurement Guidelines; (v) ensuring compliance with Loan covenants; (vi) administering the contracts of consultants and contractors, certifying payments and preparing change orders; (vii) submitting disbursement requests to MOUD for forwarding to DEA for onward transmission to ADB; (viii) timely submitting reports, including audit reports, to the IPCC and ADB; (ix) supervising the implementation of the gender action plan for the Project as well as other social activities; (x) guiding awareness campaigns and participation programs; (xi) organizing and operating state-level Project performance monitoring systems, including collecting data for key indicators and conducting baseline and completion surveys; (xii) reviewing and facilitating the progress of the Urban Reform Program; and (xiii) designing and organizing capacity building programs. (para 9)
GoMe, GoMi, GoNa, GoSi & GoTr
PPMS
9 27 Within three (3) months of the Effective Date, IPCC shall have established an Investment Program performance monitoring system (IPPMS) that shall be used to monitor and evaluate each project under the Facility, including the current Project. The IPPMS shall include: (i) procedures and data collection and reporting; (ii) performance indicators for physical infrastructure, capacity development, and program management support; and (iii) target dates for reaching the performance indicators. Within six (6) months of the Effective Date each State, through its SIPMIU, shall have established baseline indicators for each target. (para. 27)
MOUD, GoMe, GoMi, GoNa, GoSi & GoTr
Project Review
10 28 The Borrower and the States, and ADB shall jointly review the Project on a semi-annual basis as well as conduct a detailed mid-term review towards the end of the third year of Project implementation. (para. 28)
GOI,GoMe, GoMi, GoNa, GoSi & GoTr
Approved plan for investment
11 v Prior to any investment in augmentation of water supply in any of the capital cities, the city concerned will have approved a plan for increased investments in sewerage and sanitation.
Public information for water supply and sanitation
12 xi 19 Within nine (9) months of the Effective Date, each State SIPMIU publicize and make available information on water and effluent discharge testing. This shall include posting of testing results in municipality offices in a place visible to all visitors. (para. 19)
GoMe, GoMi, GoNa, GoSi & GoTr
Appendix 21 129
Covenant Items Agency Compliance Status
Project website
13 12 Within three (3) months of the Effective Date, MOUD and the States shall have established a Project website, including for procurement issues. The website shall include at a minimum the following information: (i) bidding procedures, bidders, and contract awards for the Project; (ii) use of the funds disbursed under the Project; and (iii) decisions of the SSC. (para. 12)
MOUD, GoMe, GoMi, GoNa, GoSi & GoTr
Project scope change
14 16 The Borrower and the States shall ensure that in the event there are any changes to the Project scope as described in Schedule 1 to this Loan Agreement, those changes shall be made in conformity with the selection criteria as set out in schedule 4 to the FFA. (para. 16)
GOI, GoMe, GoMi, GoNa, GoSi & GoTr
Quality control
15 26 Within three (3) months of the Effective Date, each SEA shall have approved a timebound plan, with budget allocation, to strengthen construction supervision, recording, and reporting systems through the use of modern technology. Each SEA shall establish a quality control cell and operationalize an internal third party technical audit mechanism. All Works contracts shall include provisions for third party inspection for quality control. (para. 26)
GoMe, GoMi, GoNa, GoSi & GoTr
Sector
Urban reform program
16 ii 15 Each SEA shall fully and timely implement all actions specified in the Urban Institutional, Financial, Regulatory, and Operational Reform Program agreed between the Borrower, the States, and ADB and which is included in Annex 1 of the FFA, in as far as it is applicable to this first Project under the Facility. (para. 15)
GoMe, GoMi, GoNa, GoSi & GoTr
Financing O&M
17 iv 10 The Borrower and the States shall ensure sufficient funds shall be allocated to meet all operation and maintenance costs for all assets created under the Investment Program. (para. 10)
GOI, GoMe, GoMi, GoNa, GoSi & GoTr
Social
18 vi 20 India and the States will ensure that all land and right-of-way required for the Investment Program are made available in a timely manner, adequate compensations are provided prior to the signing of relevant civil works contracts, and involuntary resettlement is carried out in accordance with the Resettlement Framework (RF) and Resettlement Plans (RPs) agreed upon between the Government and ADB, the Government‟s National Policy on Resettlement and Rehabilitation, and ADB‟s Policy on Involuntary Resettlement (1995). An RP will be prepared for each sub-project involving land acquisition or resettlement and shall be submitted to ADB for review and approval prior to award of any related civil works contracts. For sample sub-projects, updated RPs will be provided to ADB for review and approval following detailed design and prior to award of civil contracts. (FFA)
19 viii India and the States will ensure that sub-projects will not negatively impact vulnerable groups, such as indigenous peoples. In the event of their involvement in any of the sub-projects, the GoI and the States will ensure that the sub-projects are carried out in accordance with the Indigenous Peoples Development Framework (IPDF) agreed upon between GoI and the States and ADB and comply with ADB‟s Policy on Indigenous Peoples (1998) and India's and the States' laws and regulations. (FFA)
20 21 In the event any issues related to indigenous people arise in the course of Project implementation, the Borrower and the States shall ensure to
GOI, GoMe,
130 Appendix 21
Covenant Items Agency Compliance Status
address those issues in accordance with the applicable laws and policies of the Borrower, ADB's Policy on Indigenous Peoples (1998) and the Indigenous Peoples Development Framework for the Facility as agreed between the Borrower, the States and ADB and incorporated by reference into Schedule 5 to the FFA. In the case of any discrepancy between the Borrower's legislation and ADB's policy, ADB's policy shall prevail. (para. 21)
GoMi, GoNa, GoSi & GoTr
21 ix 24 GOI and the States will ensure that all civil works contractors comply with all applicable labor laws, including those on occupational health and safety, equal pay for work of equal value between men and women, and do not employ child labor as defined in national legislation for construction and maintenance activities. (para. 24)
22 x 23 The Borrower and the States shall ensure to take all appropriate and necessary measures to encourage adequate representation of all sections of society in ULBs. (para. 23)
GOI, GoMe, GoMi, GoNa, GoSi & GoTr
23 xii 22 The Borrower and each State shall ensure to fully implement the gender action plan for the Investment Program as it applies to the Project. (para. 22)
GOI, GoMe, GoMi, GoNa, GoSi & GoTr
25 Within six (6) months of the Effective Date, each State shall have established a grievance reporting and redressal mechanism. (para. 25)
GoMe, GoMi, GoNa, GoSi & GoTr
Environmental
24 vii 17 18
India and the States will ensure that the design, construction, operation and implementation of all sub-project facilities is carried out in accordance with the environmental assessment and review procedures and Initial Environmental Examinations (IEEs) for core sub-components agreed upon between the Government and ADB, and complies with the Government‟s environmental laws and regulations and ADB‟s Environment Policy (2002). Any adverse environmental impacts arising from the construction, operation and implementation of sub-component facilities will be minimized by implementing the environmental mitigation and management measures, and other recommendations specified in environmental assessment reports (e.g., IEEs). The Government will ensure environmental requirements will be incorporated in bidding documents and civil works contracts. . Issuance of bid documents will be made after review and clearance of IEE/EIA by ADB and SEIAA or MOEF. GoI will prepare and submit annually to ADB an environmental monitoring report that describes progress in implementation of the EMP and EARP and issues encountered and measures adopted; and compliance with the relevant assurances and loan covenants. (FFA)
Financial
25 13 The Borrower and the States shall undertake, through their internal audit wing, annual financial audits, including the investigation of all financial records and transactions. (para. 13)
GOI, GoMe, GoMi, GoNa, GoSi & GoTr
Appendix 21 131
Checklist for Compliance with Major Undertaking and Loan Covenants FFA Annex 1 - Urban Institutional, Financial, Regulatory, and Operational Reform Program
Date: _________________ Executing Agency: Agartala
Reform Program Compliance Status
A Institutional
Implement 74th
Constitutional Amendment (CA) -Objective: Implementing decentralization measures through establishing and strengthening elected ULBs
26 Within six months of loan effectiveness develop and submit a plan approved by the State Empowered Committee (SEC) containing (i) a situational assessment of the capacities of the various functional arms of the Urban Local Body (ULB) (ii) a time-bound ULB capacity development and resource program and (iii) a time-bound action plan for devolving further functions in a phased manner to ULBs in line with 74
th CAA
and JNNURM1
27 Within six months of 1st tranche approval, develop and submit to MOUD and ADB an
administrative, organizational, operational development strategy and plan approved by the SEC and the Agartala Municipal Council (AgMC including (a) finalization/ clarification of the jurisdictions, mandate, and power of zones/wards and their logistical requirements, (b) organizational structure of AgMC (considering also the expansion of boundaries of AgMC), its political and administrative wings, departments, sections, and their job descriptions, (c) asset management and operation systems development, and (d) personnel management and staff augmentation/ development.
28 Within 3 years of 1st tranche approval and prior to Tranche 3 approval (expected end
2011), all States must have (i) substantially devolved functions to their respective capital cities (for no less than those sectors supported under the Investment Program but also expected in other areas), (ii) adequately staffed engineering, administrative and financial sections of the ULBs, and allocated sufficient budget to initiate activities in newly established ULBs and (iii) transferred assets associated with these functions.
B Service Delivery
Reforms for Efficient and Financially Sustainable Water Supply and Sewerage Service Providers
29 Within one year of 1st tranche approval, restructure PHED/AgMC (as per agreed
model) and create one single city ring fenced area headed by a senior officer with control over city water and sewerage operations as well as separate accounting and balance sheet.
30 Issue order to use double entry accounting, asset inventory and asset management in the circle within two years of 1
st tranche approval and implement within 1 year of WS
subprojects approval (expected 2nd
tranche).
31 Develop performance improvement plans within one year of approval for WSS subprojects and start implementing them.
32 Within two years of 2nd
tranche approval, commence implementation of selected options of financially self sustainable, efficient and commercially operated water and sewerage agency and start consultations with stakeholders including ADB on options available.
1 Depending on the level of municipalization in each city, the following activities may need to be considered in the
preparation of the action plans: (1) Formation of Core Group/ Task Force for carrying out reform and constitution of Municipalities; (2) Framing the Rules under Municipal Act for day-to-day administration; (3) Issuance of an executive order for constituting a municipality; (4) Agreeing on general principles of demarcating municipal boundaries and wards; (5) Making amendment in Municipality Act as per 74th CAA; (6) Issuance of Government orders/Notification of Transfer of functions listed under 12th Schedule of 74th CAA; (7) Framing Rules for Ward Delimitation; (8) Agreeing on a proposed staffing and reporting structure and manpower requirements and recommend to State Finance Commission; (9) Constitute State Finance Commission and its recommendation implemented; (10) Send recommendations to the State Finance Commission for allocation of municipal budgets; (11) Fixing of cadre strength and responsibilities for various levels of officers; (12) Recruitment of officers and staff with appropriate skills and qualification or transfer from state line departments; (13) Imparting of short term training to newly recruited staff and officers and transferred staff towards municipal council‟s operations; (14) Complete transfer of functions to municipal council and (15) Transfer of assets to municipal council.
132 Appendix 21
Reform Program Compliance Status
33 Within 1 year of 2nd
tranche approval, and based on the results of the PSP study, conduct consultations and develop a plan and proposals for components with potential for PSP.
34 Within four years of tranche approval of WS subprojects, approve appropriate arrangements/laws for regulating the water service providers
Improved Operational Efficiency
35 Prior to loan effectiveness, issue Government Order to implement a NRW reduction program, as well as a bulk and consumer metering program, and commence implementation within 6 months of 1st tranche approval.
Regulatory Compliance
36 In States whose capital cities receive funds from the MFF for subprojects in the sewerage and sanitation sector, the States will approve, within six months of tranche approval (generally 3
rd), regulations to (a) enforce those households with access to a
sewerage pipeline to connect to the sewerage system within one year of network completion; (b) enforce all households not to discharge their sanitary waste without treatment and maintain their septic tanks in specified levels of efficiency; (c) require new buildings to obtain a sanitary waste discharge permit; and (d) enforce generators of large quantities of wastes such as industries not to discharge their wastes without treatment and to maintain their discharges at specified levels of efficiency.
37 In States whose cities receive funds from the Facility for subprojects in the solid waste management sector, the States will approve, at the latest by the commencement of civil works, regulations regarding (a) the discharge of solid wastes; (b) the separation of wastes and disposal of hazardous wastes; (c) the installation of improved procedures for vehicle routing, asset control and staff management; and (d) establishment of operations and maintenance procedures for vehicles and other equipment; (e) the monitoring of waste collection and treatment, revenues and costs, staff costs, and other inputs.
C Financial
Municipal Financial Management
38 Within 2 years of 1st tranche approval for Agartala and Shillong, and within 2 years of
2nd
tranche approval for Aizawl, Gangtok and Kohima, capital cities will have completed migration to an accrual based double entry accounting system.
2
Property Tax Improvements
39 Within 18 months of 1st tranche approval, Agartala will have implemented property tax reforms, including preparation of GIS based property mapping, unit area based and self assessment based property tax system whilst Shillong will have updated its system and retrained staff.
40 Within 3 years of 1st tranche approval for Agartala and Shillong, and 3 years of 2
nd
tranche approval for Aizawl, Gangtok and Kohima, collection efficiency should be no less than 60%, and 85% one year later.
Introduction and Rationalization of User Charges
41 Within 1 year of 1st tranche approval, develop (with guidance from Supplementary
Appendix M plan) and submit a Financial Action Plan to ensure improved utility financial performance.
42 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement solid waste collection charges to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created SWM assets and services
43 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement volumetric water charges with regular adjustments to tariffs to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created water and sewerage assets.
2 This will include, amongst other, (1) Completion and adoption of accounting manual, (2) passing of
GO/Legislation/Modification of Municipal Finance rules for migrating to double entry accounting system, (3) Training of personnel, (4) Undertaking of Business process re-engineering, (5) Valuation of assets and liabilities, (6) Drawing up of opening balance sheet, and (7) Drawing up of opening balance sheet.
Appendix 21 133
Checklist for Compliance with Major Undertaking and Loan Covenants FFA Annex 1 - Urban Institutional, Financial, Regulatory, and Operational Reform Program
Date: _________________ Executing Agency: Kohima
Reform Program Compliance Status
A Institutional
Implement 74th
Constitutional Amendment (CA) -Objective: Implementing decentralization measures through establishing and strengthening elected ULBs
1 Within six months of loan effectiveness develop and submit a plan approved by the State Empowered Committee (SEC) containing (i) a situational assessment of the capacities of the various functional arms of the Urban Local Body (ULB) (ii) a time-bound ULB capacity development and resource program and (iii) a time-bound action plan for devolving further functions in a phased manner to ULBs in line with 74
th CAA
and JNNURM1
2 Within six months of 1st tranche approval, develop and submit to MOUD and ADB an
action plan approved by the SEC to gradually transfer to KMC responsibility and resources for urban functions and to build necessary capacities, including developing administrative, organizational, operational, and financial systems, and staffing.
3 Within 3 years of 1st tranche approval and prior to Tranche 3 approval (expected end
2011), all States must have (i) substantially devolved functions to their respective capital cities (for no less than those sectors supported under the Investment Program but also expected in other areas), (ii) adequately staffed engineering, administrative and financial sections of the ULBs, and allocated sufficient budget to initiate activities in newly established ULBs and (iii) transferred assets associated with these functions.
B Service Delivery
Reforms for Efficient and Financially Sustainable Water Supply and Sewerage Service Providers
4 Within one year of 1st tranche approval, restructure PHED/KMC (as per agreed
model) and create one single city ring fenced area headed by a senior officer with control over city water and sewerage operations as well as separate accounting and balance sheet.
5 Issue order to use double entry accounting, asset inventory and asset management in the circle within three years of 1
st tranche approval and implement within 1 year of WS
subprojects approval (expected 2nd
tranche).
6 Develop performance improvement plans within one year of approval for WSS subprojects and start implementing them.
7 Within two years of 2nd
tranche approval, commence implementation of selected options of financially self sustainable, efficient and commercially operated water and sewerage agency and start consultations with stakeholders including ADB on options available.
8 Within 1 year of 2nd
tranche approval, and based on the results of the PSP study, conduct consultations and develop a plan and proposals for components with potential for PSP.
9 Within four years of tranche approval of WS subprojects, approve appropriate arrangements/laws for regulating the water service providers
1 Depending on the level of municipalization in each city, the following activities may need to be considered in the
preparation of the action plans: (1) Formation of Core Group/ Task Force for carrying out reform and constitution of Municipalities; (2) Framing the Rules under Municipal Act for day-to-day administration; (3) Issuance of an executive order for constituting a municipality; (4) Agreeing on general principles of demarcating municipal boundaries and wards; (5) Making amendment in Municipality Act as per 74th CAA; (6) Issuance of Government orders/Notification of Transfer of functions listed under 12th Schedule of 74th CAA; (7) Framing Rules for Ward Delimitation; (8) Agreeing on a proposed staffing and reporting structure and manpower requirements and recommend to State Finance Commission; (9) Constitute State Finance Commission and its recommendation implemented; (10) Send recommendations to the State Finance Commission for allocation of municipal budgets; (11) Fixing of cadre strength and responsibilities for various levels of officers; (12) Recruitment of officers and staff with appropriate skills and qualification or transfer from state line departments; (13) Imparting of short term training to newly recruited staff and officers and transferred staff towards municipal council‟s operations; (14) Complete transfer of functions to municipal council and (16) Transfer of assets to municipal council.
134 Appendix 21
Reform Program Compliance Status
Improved Operational Efficiency
10 Prior to loan effectiveness, issue Government Order to implement a NRW reduction program, as well as a bulk and consumer metering program, and commence implementation within 6 months of 1st tranche approval.
Regulatory Compliance
11 In States whose capital cities receive funds from the MFF for subprojects in the sewerage and sanitation sector, the States will approve, within six months of tranche approval (generally 3
rd), regulations to (a) enforce those households with access to a
sewerage pipeline to connect to the sewerage system within one year of network completion; (b) enforce all households not to discharge their sanitary waste without treatment and maintain their septic tanks in specified levels of efficiency; (c) require new buildings to obtain a sanitary waste discharge permit; and (d) enforce generators of large quantities of wastes such as industries not to discharge their wastes without treatment and to maintain their discharges at specified levels of efficiency.
12 In States whose cities receive funds from the Facility for subprojects in the solid waste management sector, the States will approve, at the latest by the commencement of civil works, regulations regarding (a) the discharge of solid wastes; (b) the separation of wastes and disposal of hazardous wastes; (c) the installation of improved procedures for vehicle routing, asset control and staff management; and (d) establishment of operations and maintenance procedures for vehicles and other equipment; (e) the monitoring of waste collection and treatment, revenues and costs, staff costs, and other inputs.
C Financial
Municipal Financial Management
13 Within 2 years of 1st tranche approval for Agartala and Shillong, and within 2 years of
2nd
tranche approval for Aizawl, Gangtok and Kohima, capital cities will have completed migration to an accrual based double entry accounting system.
2
Property Tax Improvements
14 Within 18 months of 2nd tranche approval, Aizawl, Gangtok and Kohima will have introduced property tax, following the unit area based and self assessment based property tax system.
15 Within 3 years of 1st tranche approval for Agartala and Shillong, and 3 years of 2
nd
tranche approval for Aizawl, Gangtok and Kohima, collection efficiency should be no less than 60%, and 85% one year later.
Introduction and Rationalization of User Charges
16 Within 1 year of 1st tranche approval, develop (with guidance from Supplementary
Appendix M plan) and submit a Financial Action Plan to ensure improved utility financial performance.
17 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement solid waste collection charges to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created SWM assets and services
18 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement volumetric water charges with regular adjustments to tariffs to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created water and sewerage assets.
2 This will include, amongst other, (1) Completion and adoption of accounting manual, (2) passing of
GO/Legislation/Modification of Municipal Finance rules for migrating to double entry accounting system, (3) Training of personnel, (4) Undertaking of Business process re-engineering, (5) Valuation of assets and liabilities, (6) Drawing up of opening balance sheet, and (7) Drawing up of opening balance sheet.
Appendix 21 135
Checklist for Compliance with Major Undertaking and Loan Covenants FFA Annex 1 - Urban Institutional, Financial, Regulatory, and Operational Reform Program
Date: _________________ Executing Agency: Aizawl
Reform Program Compliance Status
A Institutional
Implement 74th
Constitutional Amendment (CA) -Objective: Implementing decentralization measures through establishing and strengthening elected ULBs
1 Within six months of loan effectiveness develop and submit a plan approved by the State Empowered Committee (SEC) containing (i) a situational assessment of the capacities of the various functional arms of the Urban Local Body (ULB) (ii) a time-bound ULB capacity development and resource program and (iii) a time-bound action plan for devolving further functions in a phased manner to ULBs in line with 74
th CAA
and JNNURM1
2 Within six months of 1st tranche approval establish an administrative arm the ULB,
including an acting CEO, accounting and engineering units. Transfer/reallocate staff as necessary.
3 Within 3 years of 1st tranche approval and prior to Tranche 3 approval (expected end
2011), all States must have (i) substantially devolved functions to their respective capital cities (for no less than those sectors supported under the Investment Program but also expected in other areas), (ii) adequately staffed engineering, administrative and financial sections of the ULBs, and allocated sufficient budget to initiate activities in newly established ULBs and (iii) transferred assets associated with these functions.
B Service Delivery
Reforms for Efficient and Financially Sustainable Water Supply and Sewerage Service Providers
4 Within one year of 1st tranche approval, restructure PHED/AiMC (as per agreed
model) and create one single city ring fenced area headed by a senior officer with control over city water and sewerage operations as well as separate accounting and balance sheet.
5 Issue order to use double entry accounting, asset inventory and asset management in the circle within three years of 1
st tranche approval and implement within 1 year of WS
subprojects approval (expected 2nd
tranche).
6 Develop performance improvement plans within one year of approval for WSS subprojects and start implementing them.
7 Within two years of 2nd
tranche approval, commence implementation of selected options of financially self sustainable, efficient and commercially operated water and sewerage agency and start consultations with stakeholders including ADB on options available.
8 Within 1 year of 2nd
tranche approval, and based on the results of the PSP study, conduct consultations and develop a plan and proposals for components with potential for PSP.
9 Within four years of tranche approval of WS subprojects, approve appropriate arrangements/laws for regulating the water service providers
Improved Operational Efficiency
1 Depending on the level of municipalization in each city, the following activities may need to be considered in the
preparation of the action plans: (1) Formation of Core Group/ Task Force for carrying out reform and constitution of Municipalities; (2) Framing the Rules under Municipal Act for day-to-day administration; (3) Issuance of an executive order for constituting a municipality; (4) Agreeing on general principles of demarcating municipal boundaries and wards; (5) Making amendment in Municipality Act as per 74th CAA; (6) Issuance of Government orders/Notification of Transfer of functions listed under 12th Schedule of 74th CAA; (7) Framing Rules for Ward Delimitation; (8) Agreeing on a proposed staffing and reporting structure and manpower requirements and recommend to State Finance Commission; (9) Constitute State Finance Commission and its recommendation implemented; (10) Send recommendations to the State Finance Commission for allocation of municipal budgets; (11) Fixing of cadre strength and responsibilities for various levels of officers; (12) Recruitment of officers and staff with appropriate skills and qualification or transfer from state line departments; (13) Imparting of short term training to newly recruited staff and officers and transferred staff towards municipal council‟s operations; (14) Complete transfer of functions to municipal council and (15) Transfer of assets to municipal council.
136 Appendix 21
Reform Program Compliance Status
10 Prior to loan effectiveness, issue Government Order to implement a NRW reduction program, as well as a bulk and consumer metering program, and commence implementation within 6 months of 1st tranche approval.
Regulatory Compliance
11 In States whose capital cities receive funds from the MFF for subprojects in the sewerage and sanitation sector, the States will approve, within six months of tranche approval (generally 3
rd), regulations to (a) enforce those households with access to a
sewerage pipeline to connect to the sewerage system within one year of network completion; (b) enforce all households not to discharge their sanitary waste without treatment and maintain their septic tanks in specified levels of efficiency; (c) require new buildings to obtain a sanitary waste discharge permit; and (d) enforce generators of large quantities of wastes such as industries not to discharge their wastes without treatment and to maintain their discharges at specified levels of efficiency.
12 In States whose cities receive funds from the Facility for subprojects in the solid waste management sector, the States will approve, at the latest by the commencement of civil works, regulations regarding (a) the discharge of solid wastes; (b) the separation of wastes and disposal of hazardous wastes; (c) the installation of improved procedures for vehicle routing, asset control and staff management; and (d) establishment of operations and maintenance procedures for vehicles and other equipment; (e) the monitoring of waste collection and treatment, revenues and costs, staff costs, and other inputs.
C Financial
Municipal Financial Management
13 Within 2 years of 1st tranche approval for Agartala and Shillong, and within 2 years of
2nd
tranche approval for Aizawl, Gangtok and Kohima, capital cities will have completed migration to an accrual based double entry accounting system.
2
Property Tax Improvements
14 Within 18 months of 2nd tranche approval, Aizawl, Gangtok and Kohima will have introduced property tax, following the unit area based and self assessment based property tax system.
15 Within 3 years of 1st tranche approval for Agartala and Shillong, and 3 years of 2
nd
tranche approval for Aizawl, Gangtok and Kohima, collection efficiency should be no less than 60%, and 85% one year later.
Introduction and Rationalization of User Charges
16 Within 1 year of 1st tranche approval, develop (with guidance from Supplementary
Appendix M plan) and submit a Financial Action Plan to ensure improved utility financial performance.
17 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement solid waste collection charges to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created SWM assets and services
18 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement volumetric water charges with regular adjustments to tariffs to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created water and sewerage assets.
2 This will include, amongst other, (1) Completion and adoption of accounting manual, (2) passing of
GO/Legislation/Modification of Municipal Finance rules for migrating to double entry accounting system, (3) Training of personnel, (4) Undertaking of Business process re-engineering, (5) Valuation of assets and liabilities, (6) Drawing up of opening balance sheet, and (7) Drawing up of opening balance sheet.
Appendix 21 137
Checklist for Compliance with Major Undertaking and Loan Covenants FFA Annex 1 - Urban Institutional, Financial, Regulatory, and Operational Reform Program
Date: _________________ Executing Agency: Shillong
Reform Program Compliance Status
A Institutional
Implement 74th
Constitutional Amendment (CA) -Objective: Implementing decentralization measures through establishing and strengthening elected ULBs
1 Within six months of loan effectiveness develop and submit a plan approved by the State Empowered Committee (SEC) containing (i) a situational assessment of the capacities of the various functional arms of the Urban Local Body (ULB) (ii) a time-bound ULB capacity development and resource program and (iii) a time-bound action plan for devolving further functions in a phased manner to ULBs in line with 74
th CAA
and JNNURM1
2 Within one year of 1st tranche approval, conduct a public debate, involving all
stakeholders, on the need for an urban governance set up for the Greater Shillong area. Submit a report to ADB and MOUD.
3 Within 3 years of 1st tranche approval and prior to Tranche 3 approval (expected end
2011), all States must have (i) substantially devolved functions to their respective capital cities (for no less than those sectors supported under the Investment Program but also expected in other areas), (ii) adequately staffed engineering, administrative and financial sections of the ULBs, and allocated sufficient budget to initiate activities in newly established ULBs and (iii) transferred assets associated with these functions.
B Service Delivery
Reforms for Efficient and Financially Sustainable Water Supply and Sewerage Service Providers
4 Within 18 months of 1st tranche approval, restructure PHED/SMB (as per agreed
model) and create one single city ring fenced area headed by a senior officer with control over city water and sewerage operations as well as separate accounting and balance sheet.
5 Issue order to use double entry accounting, asset inventory and asset management in the circle within two years of 1
st tranche approval and implement within 1 year of WS
subprojects approval (expected 2nd
tranche).
6 Develop performance improvement plans within one year of approval for WSS subprojects and start implementing them.
7 Within two years of 2nd
tranche approval, commence implementation of selected options of financially self sustainable, efficient and commercially operated water and sewerage agency and start consultations with stakeholders including ADB on options available.
8 Within 1 year of 2nd
tranche approval, and based on the results of the PSP study, conduct consultations and develop a plan and proposals for components with potential for PSP.
9 Within four years of tranche approval of WS subprojects, approve appropriate arrangements/laws for regulating the water service providers
Improved Operational Efficiency
1 Depending on the level of municipalization in each city, the following activities may need to be considered in the
preparation of the action plans: (1) Formation of Core Group/ Task Force for carrying out reform and constitution of Municipalities; (2) Framing the Rules under Municipal Act for day-to-day administration; (3) Issuance of an executive order for constituting a municipality; (4) Agreeing on general principles of demarcating municipal boundaries and wards; (5) Making amendment in Municipality Act as per 74th CAA; (6) Issuance of Government orders/Notification of Transfer of functions listed under 12th Schedule of 74th CAA; (7) Framing Rules for Ward Delimitation; (8) Agreeing on a proposed staffing and reporting structure and manpower requirements and recommend to State Finance Commission; (9) Constitute State Finance Commission and its recommendation implemented; (10) Send recommendations to the State Finance Commission for allocation of municipal budgets; (11) Fixing of cadre strength and responsibilities for various levels of officers; (12) Recruitment of officers and staff with appropriate skills and qualification or transfer from state line departments; (13) Imparting of short term training to newly recruited staff and officers and transferred staff towards municipal council‟s operations; (14) Complete transfer of functions to municipal council and (15) Transfer of assets to municipal council.
138 Appendix 21
Reform Program Compliance Status
10 Prior to loan effectiveness, issue Government Order to implement a NRW reduction program, as well as a bulk and consumer metering program, and commence implementation within 6 months of 1st tranche approval.
Regulatory Compliance
11 In States whose capital cities receive funds from the MFF for subprojects in the sewerage and sanitation sector, the States will approve, within six months of tranche approval (generally 3
rd), regulations to (a) enforce those households with access to a
sewerage pipeline to connect to the sewerage system within one year of network completion; (b) enforce all households not to discharge their sanitary waste without treatment and maintain their septic tanks in specified levels of efficiency; (c) require new buildings to obtain a sanitary waste discharge permit; and (d) enforce generators of large quantities of wastes such as industries not to discharge their wastes without treatment and to maintain their discharges at specified levels of efficiency.
12 In States whose cities receive funds from the Facility for subprojects in the solid waste management sector, the States will approve, at the latest by the commencement of civil works, regulations regarding (a) the discharge of solid wastes; (b) the separation of wastes and disposal of hazardous wastes; (c) the installation of improved procedures for vehicle routing, asset control and staff management; and (d) establishment of operations and maintenance procedures for vehicles and other equipment; (e) the monitoring of waste collection and treatment, revenues and costs, staff costs, and other inputs.
C Financial
Municipal Financial Management
13 Within 2 years of 1st tranche approval for Agartala and Shillong, and within 2 years of
2nd
tranche approval for Aizawl, Gangtok and Kohima, capital cities will have completed migration to an accrual based double entry accounting system.
2
Property Tax Improvements
14 Within 18 months of 1st tranche approval, Agartala will have implemented property tax
reforms, including preparation of GIS based property mapping, unit area based and self assessment based property tax system whilst Shillong will have updated its system and retrained staff.
15 Within 3 years of 1st tranche approval for Agartala and Shillong, and 3 years of 2
nd
tranche approval for Aizawl, Gangtok and Kohima, collection efficiency should be no less than 60%, and 85% one year later.
Introduction and Rationalization of User Charges
16 Within 1 year of 1st tranche approval, develop (with guidance from Supplementary
Appendix M plan) and submit a Financial Action Plan to ensure improved utility financial performance.
17 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement solid waste collection charges to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created SWM assets and services
18 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement volumetric water charges with regular adjustments to tariffs to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created water and sewerage assets.
2 This will include, amongst other, (1) Completion and adoption of accounting manual, (2) passing of
GO/Legislation/Modification of Municipal Finance rules for migrating to double entry accounting system, (3) Training of personnel, (4) Undertaking of Business process re-engineering, (5) Valuation of assets and liabilities, (6) Drawing up of opening balance sheet, and (7) Drawing up of opening balance sheet.
Appendix 21 139
Checklist for Compliance with Major Undertaking and Loan Covenants FFA Annex 1 - Urban Institutional, Financial, Regulatory, and Operational Reform Program
Date: _________________ Executing Agency: Gangtok
Reform Program Compliance Status
A Institutional
Implement 74th
Constitutional Amendment (CA) -Objective: Implementing decentralization measures through establishing and strengthening elected ULBs
1 Within six months of loan effectiveness develop and submit a plan approved by the State Empowered Committee (SEC) containing (i) a situational assessment of the capacities of the various functional arms of the Urban Local Body (ULB) (ii) a time-bound ULB capacity development and resource program and (iii) a time-bound action plan for devolving further functions in a phased manner to ULBs in line with 74
th CAA
and JNNURM1
2 Within six months of 1st tranche approval establish an administrative arm of the
Gantok Municipal Council (GMC), including an acting CEO, accounting and engineering units. Transfer/reallocate staff as necessary.
3 Within 3 years of 1st tranche approval and prior to Tranche 3 approval (expected end
2011), all States must have (i) substantially devolved functions to their respective capital cities (for no less than those sectors supported under the Investment Program but also expected in other areas), (ii) adequately staffed engineering, administrative and financial sections of the ULBs, and allocated sufficient budget to initiate activities in newly established ULBs and (iii) transferred assets associated with these functions.
B Service Delivery
Reforms for Efficient and Financially Sustainable Water Supply and Sewerage Service Providers
4 Within one year of 1st tranche approval, restructure PHED and create one single city
ring fenced area (as per agreed model) headed by a senior officer with control over city water and sewerage operations as well as separate accounting and balance sheet.
5 Issue order to use double entry accounting, asset inventory and asset management in the Circle within three years of 1
st tranche approval and implement within 1 year of
WS subprojects approval (expected 1st tranche).
6 Develop performance improvement plans within one year of approval for WSS subprojects and start implementing them.
7 Within two years of 2nd
tranche approval, commence implementation of selected options of financially self sustainable, efficient and commercially operated water and sewerage agency and start consultations with stakeholders including ADB on options available.
8 Within 1 year of 2nd
tranche approval, and based on the results of the PSP study, conduct consultations and develop a plan and proposals for components with potential for PSP.
9 Within four years of tranche approval of WS subprojects, approve appropriate arrangements/laws for regulating the water service providers
Improved Operational Efficiency
1 Depending on the level of municipalization in each city, the following activities may need to be considered in the
preparation of the action plans: (1) Formation of Core Group/ Task Force for carrying out reform and constitution of Municipalities; (2) Framing the Rules under Municipal Act for day-to-day administration; (3) Issuance of an executive order for constituting a municipality; (4) Agreeing on general principles of demarcating municipal boundaries and wards; (5) Making amendment in Municipality Act as per 74th CAA; (6) Issuance of Government orders/Notification of Transfer of functions listed under 12th Schedule of 74th CAA; (7) Framing Rules for Ward Delimitation; (8) Agreeing on a proposed staffing and reporting structure and manpower requirements and recommend to State Finance Commission; (9) Constitute State Finance Commission and its recommendation implemented; (10) Send recommendations to the State Finance Commission for allocation of municipal budgets; (11) Fixing of cadre strength and responsibilities for various levels of officers; (12) Recruitment of officers and staff with appropriate skills and qualification or transfer from state line departments; (13) Imparting of short term training to newly recruited staff and officers and transferred staff towards municipal council‟s operations; (14) Complete transfer of functions to municipal council and (15) Transfer of assets to municipal council.
140 Appendix 21
Reform Program Compliance Status
10 Prior to loan effectiveness, issue Government Order to implement a NRW reduction program, as well as a bulk and consumer metering program, and commence implementation within 6 months of 1st tranche approval.
Regulatory Compliance
11 In States whose capital cities receive funds from the MFF for subprojects in the sewerage and sanitation sector, the States will approve, within six months of tranche approval (generally 3
rd), regulations to (a) enforce those households with access to a
sewerage pipeline to connect to the sewerage system within one year of network completion; (b) enforce all households not to discharge their sanitary waste without treatment and maintain their septic tanks in specified levels of efficiency; (c) require new buildings to obtain a sanitary waste discharge permit; and (d) enforce generators of large quantities of wastes such as industries not to discharge their wastes without treatment and to maintain their discharges at specified levels of efficiency.
12 In States whose cities receive funds from the Facility for subprojects in the solid waste management sector, the States will approve, at the latest by the commencement of civil works, regulations regarding (a) the discharge of solid wastes; (b) the separation of wastes and disposal of hazardous wastes; (c) the installation of improved procedures for vehicle routing, asset control and staff management; and (d) establishment of operations and maintenance procedures for vehicles and other equipment; (e) the monitoring of waste collection and treatment, revenues and costs, staff costs, and other inputs.
C Financial
Municipal Financial Management
13 Within 2 years of 1st tranche approval for Agartala and Shillong, and within 2 years of
2nd
tranche approval for Aizawl, Gangtok and Kohima, capital cities will have completed migration to an accrual based double entry accounting system.
2
Property Tax Improvements
14 Within 18 months of 2nd tranche approval, Aizawl, Gangtok and Kohima will have introduced property tax, following the unit area based and self assessment based property tax system.
15 Within 3 years of 1st tranche approval for Agartala and Shillong, and 3 years of 2
nd
tranche approval for Aizawl, Gangtok and Kohima, collection efficiency should be no less than 60%, and 85% one year later.
Introduction and Rationalization of User Charges
16 Within 1 year of 1st tranche approval, develop (with guidance from Supplementary
Appendix M plan) and submit a Financial Action Plan to ensure improved utility financial performance.
17 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement solid waste collection charges to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created SWM assets and services
18 In line with JNNURM‟s MOA, within 1 year of 3rd tranche approval, implement volumetric water charges with regular adjustments to tariffs to generate sufficient revenues to meet 100% of the cost that is incurred in undertaking O&M of existing and project-created water and sewerage assets.
2 This will include, amongst other, (1) Completion and adoption of accounting manual, (2) passing of
GO/Legislation/Modification of Municipal Finance rules for migrating to double entry accounting system, (3) Training of personnel, (4) Undertaking of Business process re-engineering, (5) Valuation of assets and liabilities, (6) Drawing up of opening balance sheet, and (7) Drawing up of opening balance sheet.
Appendix 22 141
PERCENTAGE OF PROJECT IMPLEMENTATION PROGRESS – Project 1 and 2
No. Description Weight
(A) % Progress
(B)
Weighted Progress
(A) x (B) / 100
1. Initial Activities
a. Establish & staff PMU a/
b. Loan Negotiation/Signing/Effectiveness b/
2. Consulting Services $14.03 c/
i) IPCC PMCC 0.47
ii) DSMC-Agartala 2.23
iii) IDC-Agartala 1.17
iv) DSMC-Aizawl 2.37
v) DSMC-Gangtok 2.21
vi) DSMC-Kohima 2.21
vii) DSMC-Shillong 2.20
viii) IDC-Shillong 1.17
ix) Various survey packages
3. Procurement - Works & Goods $14.59 d/
a. Agartala
i) TW&IRP/WS/AGT/T1/NCB 0.90
ii) LD/WS/AGT/T1/SHP 0.08
b. Aizawl
i) OHT1/WS/AIZ/T1/NCB 0.97
ii) CHL/WS/AIZ/T1/NCB 0.17
iii) WM1/WS/AIZ/T1/NCB 0.70
c. Gangtok
i) OHT1/WS/GTK/T1/NCB 0.29
ii) P&S/WS/GTK/T1/NCB 5.07
iii) EMZ5/WS/GTK/T1/NCB 0.06
Iv) CHL/WS/GTK/T1/NCB 0.16
d. Kohima
i) OHT1/WS/KOH/T1/NCB 0.32
ii) WTP/WS/KOH/T1/NCB 0.35
iii) CHL/WS/KOH/T1/NCB 0.12
iv) WM/WS/KOH/T1/NCB 0.19
v) UFW/WS/KOH/T1/NCB 0.25
vi) CP&LF/SWM/KOH/T1/NCB 4.55
e. Shillong
i) LF&R/SWM/SHI/T1/NCB 0.41
Total 100
a/ 20% - initial set-up; ……………; 100% - full staff
b/ 20% - negotiation; 50% - signing; 100% - effectiveness
c/ 30% - selection process
[20%-Shortlist & Draft Request for Proposal; 30%-RFP issued; 60%-Technical Proposal Evaluation Report; 80%-Financial Proposal Evaluation Report; 100%-Contract signed]
70% - contract implementation [% - disbursement / contract amount] d/ 30% - bidding process
[20%-Draft Bid Document; 30%-Bid Document issued; 60%-Technical Bid Evaluation Report; 80%-Financial Bid Evaluation Report; 100%-Contract signed]
70% - contract implementation [% - disbursement / contract amount]
142 Appendix 23
TEMPLATE FOR PROJECT COMPLETION REPORT
CONTENTS
Page
BASIC DATA #
{MAP (optional): If a revised map is included to show the project‟s (program‟s) impact, do not use the map from the report and recommendation of the President.} #
I. PROJECT {PROGRAM} DESCRIPTION #
II. EVALUATION OF DESIGN AND IMPLEMENTATION #
A. Relevance of Design and Formulation # B. Project {Program} Outputs # C. Project {Program} Costs # D. Disbursements # E. Project {Program} Schedule # F. Implementation Arrangements # G. Conditions and Covenants # H. {Related Technical Assistance} # I. Consultant Recruitment and Procurement # J. Performance of Consultants, Contractors, and Suppliers # K. Performance of the Borrower and the Executing Agency # L. Performance of the Asian Development Bank #
III. EVALUATION OF PERFORMANCE #
A. Relevance # B. Effectiveness in Achieving Outcome # C. Efficiency in Achieving Outcome and Outputs # D. Preliminary Assessment of Sustainability # E. Impact #
IV. OVERALL ASSESSMENT AND RECOMMENDATIONS #
A. Overall Assessment # B. Lessons # C. Recommendations #
APPENDIXES
1. {Title of Appendix} # 2. {Title of Appendix} #
SUPPLEMENTARY APPENDIXES
A. {Title of Appendix} B. {Title of Appendix}
Appendix 23 143
BASIC DATA A. Loan Identification 1. Country 2. Loan Number 3. Project {Program} Title 4. Borrower 5. Executing Agency 6. Amount of Loan 7. Project {Program} Completion Report Number
{Give Special Funds loan in SDR}
B. Loan Data 1. Appraisal – Date Started – Date Completed 2. Loan Negotiations – Date Started – Date Completed 3. Date of Board Approval 4. Date of Loan Agreement 5. Date of Loan Effectiveness – In Loan Agreement – Actual – Number of Extensions 6. Closing Date – In Loan Agreement – Actual – Number of Extensions 7. Terms of Loan – Interest Rate – Maturity (number of years) – Grace Period (number of years) 8. Terms of Relending (if any) – Interest Rate – Maturity (number of years) – Grace Period (number of years) – Second-Step Borrower
Include items as appropriate
144 Appendix 23
9. Disbursements a. Dates
Initial Disbursement
{day month year}
Final Disbursement
{day month year}
Time Interval
{months}
Effective Date
{day month year}
Original Closing Date
{day month year}
Time Interval
{months}
b. Amount (${give multiplier, i.e., „000 or million})
Category or Subloan
Original
Allocation
Last Revised
Allocation
Amount
Canceled
Net Amount
Available
Amount
Disbursed
Undisbursed
Balance
Total
10. Local Costs (Financed) - Amount ($) - Percent of Local Costs - Percent of Total Cost C. Project {Program} Data
1. Project {Program} Cost (${give multiplier, i.e., „000 or million})
Cost Appraisal Estimate Actual
Foreign Exchange Cost Local Currency Cost Total
2. Financing Plan (${give multiplier, i.e., „000 or million})
Cost Appraisal Estimate Actual
Implementation Costs Borrower Financed ADB Financed Other External Financing
Total
IDC Costs Borrower Financed ADB Financed Other External Financing
Total
ADB = Asian Development Bank, IDC = interest during construction.
Appendix 23 145
3. Cost Breakdown by Project {Program} Component (${give multiplier, i.e., „000 or million})
Component Appraisal Estimate Actual
Total
4. Project {Program} Schedule
Item Appraisal Estimate Actual
Date of Contract with Consultantsa
Completion of Engineering Designs Civil Works Contract Date of Award Completion of Work Equipment and Supplies Dates First Procurement Last Procurement Completion of Equipment Installation Start of Operations Completion of Tests and Commissioning Beginning of Start-Up
Other Milestonesb
a If more than one, show dates for each contract.
b Show key events not listed above, particularly for projects with elements not involving construction or supply of
materials and equipment.
5. Project {Program} Performance Report Ratings
Implementation Period
Ratings
Development Objectives
Implementation Progress
From {day month year} to {day month year} From {day month year} to {day month year} From {day month year} to {day month year} From {day month year} to {day month year} From {day month year} to {day month year} {delete rows not required} From {day month year} to {day month year} From {day month year} to {day month year} From {day month year} to {day month year}
146 Appendix 23
D. Data on Asian Development Bank Missions
Name of Mission
a
Date
No. of Persons
No. of Person-Days
Specialization of Members
b
Project {program} completion review
c
Note: {Insert notes as needed.} a Include identification, fact-finding, preappraisal, appraisal, project {program} inception, review, special loan
administration, disbursement, project {program} review mission. If more than one of each type of mission, number consecutively as review mission 1, 2, etc.
b May use reference letters in table, e.g., a = engineer, b = financial analyst, c = counsel, d = economist, e =
procurement consultant or specialist, f = control officer, g = programs officer.
Appendix 23 147
I. PROJECT {PROGRAM} DESCRIPTION
1. {Briefly describe the project’s (program’s) objectives, components, and outputs; and the rationale for undertaking it. Cross-reference the report and recommendation of the President (RRP)
16 and use
tables to present information concisely.}
II. EVALUATION OF DESIGN AND IMPLEMENTATION
2. {Deal selectively with subheads A to L in this chapter. Cross-reference the RRP. Use the results of the project performance management system and project performance report as appropriate. Describe any remedial actions in response to any “at risk” assessment.} A. Relevance of Design and Formulation
3. {Discuss the relevance of the project (program) in terms of consistency with ADB’s country strategy and program, the country’s development objectives, soundness of the design, and adequacy of the formulation process (including the extent of stakeholder participation and level of ownership generated). Assess relevance at appraisal and completion. Discuss how changes made during implementation, if any, enhanced relevance. Discuss quality of project preparatory technical assistance (TA), if any.} B. Project {Program} Outputs
4. {List the project (program) outputs by component as anticipated during appraisal. Assess the extent to which the expected outputs were achieved. Give reasons for any deviations, and indicate
whether these affected project (program) costs, time schedules, expected benefits, or other measures of efficiency.}
C. Project {Program} Costs
5. {Discuss project (program) costs and explain significant overruns or underruns (in tabular form, by year, currency, and major components or categories) and any major shifts between foreign and local costs. State the reasons for cost changes (design inadequacy, external factors, delays, etc.) and their likely effect on the project’s (program‟s) economic and financial rates of return.} D. Disbursements
6. {Assess whether the appraisal disbursement schedule was realistic. Assess any delays and corrective actions taken by the borrower, executing agency (EA) {Use the name of the agency rather than “EA.”}, and ADB if disbursements did not follow the schedule made at appraisal. Where imprest fund and/or statement of expenditure dispensation was used, evaluate the impact (negative or positive) of these procedures on implementation and the experience of the EA or ADB.} E. Project {Program} Schedule
7. {Explain the causes of significant delays, referring to discussions in other paragraphs (e.g., those dealing with procurement or performance of contractors).}
F. Implementation Arrangements
8. {Discuss the project‟s (program‟s) implementation as designed at appraisal and any major
changes in the arrangements caused by changes in the project (program). Assess the adequacy of
16
Use this format: ADB. Year. Report and Recommendation of the President to the Board of Directors: Proposed Loan{s} {and Technical Assistance Grant(s)} to the {full name for DMC} for {project title}. Manila.
148 Appendix 23
implementation arrangements to deliver project (program) outputs and achieve the project (program)
purpose.} G. Conditions and Covenants
9. {Explain causes of significant delays in meeting the conditions of effectiveness with attention to
procedural problems in the borrower's country that may affect other projects (programs).}
10. {Assess the relevance of covenants. Indicate the status of compliance with all general and
specific covenants. If compliance was delayed or breached, discuss the reasons and impact, and whether
the covenant was realistic. Discuss the impact of partial or noncompliance of covenants on project
performance. Recommend ways to achieve compliance.}
11. {Indicate if any covenant has been modified, suspended, or waived, and the justification for such
action. Where relevant, undertake a financial analysis of the EA and compare the financial ratios to check
compliance with the financial covenants. Review the borrower’s and EA’s compliance with reporting
requirements. Discuss any relevant changes in amortization between the borrower and EA, and
conversion of the loan to equity.} H. {Related Technical Assistance}
12. {Describe any TA provided under the loan and explain any variations from appraisal. Prepare a
separate TA completion report (TCR)17
for any advisory TA processed in conjunction with loans. In this
project (program) completion report (PCR), include the salient points of the TCR; note the TA rating and
provide a complete citation for the TCR in a footnote. If the TCR is being prepared concurrently with the
PCR, append it to the PCR and note the salient points in the PCR text. Include an assessment of the
advisory TA performance and incorporate it in the overall assessment of the project (program).} I. Consultant Recruitment and Procurement
13. {Discuss arrangements for consultant recruitment, any deviations from agreed-upon procedures,
and the causes of disagreements between the borrower or EA and ADB on consultant selection (state
how the differences were resolved). Describe any significant problems encountered in packaging
contracts, preparing tender documents, and evaluating bids. State how they were resolved.} J. Performance of Consultants, Contractors, and Suppliers
14. {If any of the consultants, contractors, or suppliers used by the borrower or EA failed to perform well, or performed exceptionally well, describe these instances and estimate their negative or positive effects on the quality of the outputs, schedule, and/or costs.} K. Performance of the Borrower and the Executing Agency
15. {Summarize the performance of the borrower and EA in meeting the responsibilities assigned in
the implementation plan, and discuss any weaknesses in performance. Indicate whether the assessment
of the EA's capabilities at appraisal was reasonably accurate.}
16. {Assess the present institutional capacity and development of the EA, including specific strengths and weaknesses, and whether the institutional development measures envisaged at appraisal were adequate or successful. Assess how the project (program) and advisory TA, if any, helped improve institutional capacity.}
17
{A TCR template is available at the ADB Portal (Guidelines and Templates for Board Documents) at URL: http://eboard.asiandebvank.org/docs_refs/index.php.}
Appendix 23 149
17. {Rate the performance of the borrower and EA as highly satisfactory, satisfactory, partly
satisfactory, or unsatisfactory.} L. Performance of the Asian Development Bank
18. {Review ADB’s part in project (program) implementation (e.g., approvals, disbursements, and
monitoring) to determine whether any ADB failure to act promptly, or disagreements with the borrower or
EA on terms of reference, bid documents, awards, or other matters affected the implementation
procedures, project (program) costs, or implementation schedule. If the effects are insignificant or do not
permit generalized conclusions, note such instances, but do not include the analysis.}
19. {State the type of advisory services (including training) provided by ADB, and whether the
assistance was adequate and timely.}
20. {Rate the performance of ADB as highly satisfactory, satisfactory, partly satisfactory, or unsatisfactory.}
III. EVALUATION OF PERFORMANCE18
A. Relevance
21. {Assess the relevance of design (chapter II, A.) and the impacts of changes to improve relevance
made at midterm review or any other point.} B. Effectiveness in Achieving Outcome
22. {Assess the extent to which the project (program) achieved its outcome.} C. Efficiency in Achieving Outcome and Outputs
23. {Assess the efficiency of the investment (wherever possible, by financial and economic reevaluation or other cost-effectiveness measures) and the efficiency of the process. Where efficiency of investment or measures of cost-efficiency cannot be used, efficiency of process can be considered. However, as the sole efficiency criterion, it will carry a low weight in the overall assessment. Efficiency of process may include aspects such as the efficiency with which executing and implementing agencies managed the project, and the efficiency of ADB's support, supervision, and administration. For program loans, the efficiency of investment is not usually assessed. In all cases, the subcriteria used should be relevant to the project or program being evaluated.} D. Preliminary Assessment of Sustainability
24. {Assess the requirements for, and likelihood of, project (program) sustainability. Provide the
rationale for recommended follow-up actions to enhance the likelihood of sustainability.} E. Impact
25. {Provide a general assessment of significant poverty, institutional economic, environmental, social, and other impacts (positive and negative, whether intended or not) generated during project (program) implementation. If the project (program) included environmental control and safeguard
measures, evaluate their implementation and effectiveness.} 18
For project loans, OED guidelines now use four core criteria for the rating of performance. For program loans, there are six criteria. A text section assessing the (i) contribution of program loans to institutional development, and (ii) program loan impact should be added following “Preliminary Assessment of Sustainability”. See OED „s Guidelines for PPER at http://www.adb.org/Documents/Guidelines/Evaluation/PPER-PSO/default.asp).
150 Appendix 23
IV. OVERALL ASSESSMENT AND RECOMMENDATIONS
A. Overall Assessment
26. {Describe briefly (in one or two short paragraphs) whether the project (program) was implemented as conceived and, if not, explain the difficulties and remedial measures undertaken. Analyze the design and monitoring framework and the performance monitoring and evaluation system, and provide an overall performance rating. Rate the project (program) as highly successful, successful, partly successful, or unsuccessful in accordance with the definitions and guidelines provided by the Operations
Evaluation Department.} 27. {Do not include the calculations for deriving the ratings and the summary table in the PCR, but
retain them on file for reference to prepare the project (program) performance evaluation report (PPER).} B. Lessons
28. {Clearly describe all major lessons learned. Support identified lessons learned using the results of
the project (program) and provide the basis for drawing such lessons in relevant sections of the PCR.} C. Recommendations
29. {Include project (program)-specific and general recommendations that may affect projects (programs) or may be generally applicable to ADB practices. Recommendations should be specific and within the power of the nominated entity and person responsible for carrying them out. Include the name of the entity or person responsible for taking action, time frame, and responsibility for monitoring and
reporting compliance.}
1. Project {Program} Related
{Recommendations should include the following:} 30. Future monitoring. {Describe aspects of project (program) operation (technical, financial, personnel, management, etc.) that require monitoring, and recommend monitoring tools (specific reports by the borrower or EA, missions, consultants, etc.) and, at least initially, time intervals for project (program)
review.} 31. Covenants. {Recommend whether the covenants in the loan and project (program) agreements should be maintained in their existing form. Indicate the specific period to maintain such covenants or whether any should be changed or waived; identify covenants to be changed or waived and the
substance or wording of any change recommended.} 32. Further action or follow-up. {Indicate actions that may be needed to complete project (program) implementation (including action needed to complete disbursements and close the loan account), support
its initial operation, achieve project (program) benefits, or ensure its sustainability.} 33. Additional assistance. {Indicate any additional assistance under new financing arrangements (TA or loan assistance) required to substantially improve the project's (program‟s) performance and
sustainability.} 34. Timing of the project (program) performance evaluation report. {Indicate the appropriate timing for preparing the PPER. In exceptional cases (e.g., where some works still have to be completed or where supplemental assistance may be proposed, or to allow some time for operations to settle down),
the PPER is not to be undertaken before a certain date. Give reasons for proposing deferment.}
Appendix 23 151
2. General
35. {For project (program) appraisal, the recommendations could focus on (i) ensuring the design and monitoring framework is complete and comprehensive; (ii) assessing the EA‟s capacity; (iii) estimating costs, including allowance for contingencies; (iv) preparing financing plans; (v) planning implementation; and
(vi) project (program) scheduling.} 36. {For project (program) implementation, review
(i) ADB‟s identification and discussion of design and monitoring framework performance targets with the EA;
(ii) the borrower's and EA's contracting procedures; and ADB‟s approval of procurement documentation, including shortlists, prequalification documents, contract documents, awards, and contracts;
(iii) disbursement procedures;
(iv) monitoring and reporting; and special assistance provided.}
PROJECT {OR PROGRAM} FRAMEWORK
Design Summary
Performance Indicators/Targets
Monitoring Mechanisms Assumptions and Risks
Goal
Purpose
Outputs
Activities
Inputs
152 Appendix 23
STATUS OF COMPLIANCE WITH LOAN COVENANTS
Covenant
Reference in Loan
Agreement
Status of Compliance
153 Appendix 24
ADB’s ANTICORRUPTION POLICY Available at (http://beta.adb.org/documents/anticorruption-and-integrity-policies-and-strategies)
Appendix 25 154
PROJECT PROCESSING MILESTONE EVENTS
MULTITRANCHE FINANCING FACILITY (MFF) 1. Approval of Project Preparatory Technical Assistance 8 June 2004
2. Concept Paper Approval
3. Fact-Finding/Reconnaissance Mission 15 May-2 Jun 2006
4. Management Review Meeting (MRM) 09 February 2007
5. Pre-Appraisal Mission 5 Oct – 10 Nov 2008
6. Appraisal Mission 13-16 January 2009
7. Staff Review Committee Meeting 05 February 2009
8. Negotiation of Framework Financing Agreement (FFA) 1 – 2 April 2009?
9. FFA Signing 14 May 2009
10. Submission of FFA to Management 29 May 2009
11. Board Circulation of RRP-MFF 2 June 2009
12. Board Consideration and Approval of RRP-MFF 23 June 2009
13. Last Periodic Financing Request Submission (estimated) 31 December 2012
14. Estimated Investment Program Completion Date 31 December 2015
15. Period of Utilization 30 June 2016
FIRST PERIODIC FINANCING REQUEST (PFR 1)
1. Approval of Project Preparatory Technical Assistance 8 June 2004
2. Concept Paper Approval (as a part of MFF)
3. Fact-Finding/Reconnaissance Mission (as a part of MFF) 15 May-2 Jun 2006
4. Management Review Meeting (MRM) 09 February 2007
5. Pre-Appraisal Mission (as a part of MFF) 5 Oct – 10 Nov 2008
6. Appraisal Mission (as a part of MFF) 13-16 January 2009
7. Staff Review Committee Meeting (as a part of MFF) 05 February 2009
8. Loan Negotiations (as a part of MFF) 1 – 2 April 2009?
9. 1st Periodic Financing Request Submission (as a part of MFF)
10. Approval of 1st PFR 1 July 2009
11. Signing of Loan and Project Agreements on 1st PFR 4 August 2009
12. Loan Effectiveness on 1st PFR 19 November 2009
13. Estimated Project Completion Date 31 October 2015
14. Loan Closing Date* on 1st PFR 30 April 2016
Appendix 25 155
SECOND PERIODIC FINANCING REQUEST (PFR 2)
Subproject appraisal mission 21 February – 4 March 2011
Receipt of PFR 2 3 August 2011
Loan Negotiations 21 November 2011
Submission of PFR Report to Management 30 November 2011
Approval of PFR 2 15 December 2011
Signing of Loan and Project Agreements-PFR2 15 January 2012
Loan Effectiveness on PFR 2 15 March 2012
Estimated Project Completion Date 31 December 2015
Loan Closing Date on PFR 2 30 June 2016
Appendix 26 156
RECORD OF FAM CHANGES
Table 4: Cost estimates and financing plan for tranche 2 Main texts
Table 6: Summary projection of contract awards and disbursements for project 1 as of March 2011
Main texts
Table 7: Quarterly projection of contract awards and disbursement for Project-2 as of August 2011
Main texts
Chart 2. S-curves of contract awards and disbursement for project 2
Main texts
Project Readiness Checklist for Tranche 2 Appendix 8
Updated key persons involved in the project Appendix 9
Quarterly projection of contract awards and disbursements-Project 2
Appendix 12
S-curves by EA (Project 2) Appendix 12
Summary Form for contract awards and disbursement projections (up to project completion)
Appendix 12
Updated Initial Poverty and Social Analysis template Appendix 13
Updated Consultants Recruitment Flowcharts Appendix 14
Updated Consulting Recruitment Activity Monitoring (CRAM) sheets
Appendix 14
Template for computing progress report for project 1 and 2 Appendix 22
Gender Action Plan for Tranche 2 Appendix 27
Appendix 27 157
GENDER ACTION PLAN FOR TRANCHE 2
Activities Target Indicators19
Responsibility Time Outcome
Improved access to selected urban services in 5 program cities
20
Conduct of 1 gender sensitization seminar for each program city that highlights gender issues in water supply, sanitation, solid waste and drainage, and the need for women‟s involvement in the implementation, O&M of these services
10 municipal council officials per
program city gender-sensitized
Representatives of 5 women‟s NGOs,
including self-help group per program
city gender-sensitized
20 community members (50%
women), including from scheduled
castes (SCs) and scheduled tribes
(STs), where applicable, per program
city gender-sensitized
State Investment Program
Management and Implementation Unit
(SIPMIU) staff of each state executing
agency gender-sensitized
5 SIPMIUs in coordination with a women‟s NGO / resource center that has the expertise to conduct the seminar (or the State‟s Department of Women or Women Development Corporation)
2012-2015
Outputs
(i) Constructed and rehabilitated water supply infrastructure
Provision of connections and meters to poor
female-headed households (FHHs) in each
program city.
1,000 FHHs in Agartala, 500 FHHs in
Aizawl, 300 FHHs in Gangtok, and 1,000
FHHs in Kohima provided with
connections and water meters
In Agartala, Aizawl,
Gangtok, and
Kohima.
SIPMIUs
Contracting
company
City governments
2012 – 2015
Employment of women in the construction of
pipelines, plants, etc., with implementation of
„same pay for work of equal value‟
Priority consideration to women workers
in Agartala employed in construction
work of water supply facilities with equal
pay.
SIPMIU (Agartala)
and contracting
company
2012-2015
(During
construction)
(ii) Constructed sanitation
infrastructure
Prioritize connections to sewerage system of
poor female-headed households
500 number of poor FHHs in Aizawl
provided with sewerage connections
SIPMIU (Aizawl) and
contracting company
2012 – 2015
(iii) Constructed and
installed SWM
infrastructure
management systems
Prioritize FHHs in the provision of household
bins
5,100 FHHs in Gangtok and 3,000 FHHs
in Shillong provided with household bins
SIPMIU (Gangtok and
Shillong) and
contracting company
2012-2015
(iv) Strengthened local Conduct of 1 consultation per program city, 100 Women and men community SIPMIU (Gangtok, Q3-Q4 of
19 Quantitative targets included in the GAP will be refined at project onset in consultation with relevant EAs and IAs based upon a baseline survey.
20 The five program cities are Agartala of Tripura, Aizawl of Mizoram, Shillong of Meghalaya, Kohima of Nagaland, and Gangtok of Sikkim.
158 Appendix 25
Activities Target Indicators19
Responsibility Time government for better
financial management
and sustainable service
delivery
among community members (target: 50%
women) including SCs and STs, and NGOs on
the manner and schedule of trash collection
members consulted per program city
Shillong, and Aizawl)
2011
Conduct an exploratory study on possible
livelihood opportunities from available
recyclable materials and the market for possible
products from these recycled materials
Study reports in Aizawl, Kohima,
Shillong, and Gangtok produced
IDC engaged by
SIPMIU or local
government
Q1 –Q2 of
2012
Conduct of 2 trainings on alternative livelihoods
for women using recyclable materials (e.g.,
papier mache, etc.) per program city
50 women community members trained
on alternative livelihoods per program
city
SIPMIU to organize
the trainings, in
coordination with an
NGO or a state
agency providing
livelihood trainings
Q3-Q4 of
2012; and
Q1-Q2 of
2013
Conduct of demographic survey of program city,
showing gender differential access to urban
services, income / poverty levels, among other
such indicators, specifically, between male-
headed and female-headed households and
among SCs and STs
At least 10% of the population of each
program city surveyed, with each sample
comprising 50% women
SIPMIU, State
governments to
engage an external
group
Q3-Q4 of
2011
Instituting geographic and sex-disaggregated
project management information system
Project management information system
in place with sex disaggregated data
EA Q3-Q4 of
2011
Conduct of on-the-job capacity-building
activities for SIPMIU on gender-sensitive
recruitment, management, procurement and
contract management, project and performance
monitoring, safeguard compliance, land
acquisition, and preparation of feasibilities
studies and detailed designs
All SIPMIU staff capacitated on gender-
responsive project management
EA, SIPMIU Q3-Q4 of
2011;
Q1-Q2 of
2012
