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INDIA: Integrated Coastal Zone Management Project Mid-Term Review Mission: May 27 – June 28, 2013

Aide Memoire

A. Introduction, Objectives, Acknowledgements and Schedule

1. The Mid-Term Review mission of this project was undertaken during May 27 – June 28, 2013. During the site

visits and discussions, the World Bank team1 was joined by officials and staff of the SICOM (the national

project management unit or NPMU) and the State Project Management Units from Gujarat, Odisha and West

Bengal. This aide memoire also summarizes findings of the various technical discussions and field visits of

the Bank task team during April - May 2013.

2. Objectives of the mission included: (a) reviewing the overall progress of project implementation; (b) in light

of the slow disbursement record of the past, agreeing on clear estimates of disbursement, and plans to further

speed up disbursement2 in the Project; (c) reconfirming the plan to complete the remaining procurement worth

US$78 million by September 2013 and December 2013 as per the agreements of the Fourth Implementation

Support mission, and to ensure there is no slippage from the procurement schedule agreed as per the revised

procurement plan; (d) agreeing on the schedule and processes of preparation and adoption of Integrated

Coastal Zone Management Plans; (e) assessing the status of actions agreed during the Fourth Implementation

Support Mission, January-February 2013; (f) reviewing fulfillment of the covenants applicable to

implementation of the Project, including legal covenants; (g) discussing and agreeing on any changes, if

required, on the scope, design and components of the Project; (h) reviewing the operation of financial

management system, procurement management system including dissemination of procurement related

information, environmental and social impact management processes, grievance redress processes, and the

roll-out of the communication strategy and plans; (i) agreeing on the scope, processes and schedule of

independent evaluation of the Project; and (j) estimating the savings in credit amount, if any.

3. During the mission, discussions were held with the National Project Director and the staff of SICOM, State

Project Directors and the staff of the State Project Management Units (SPMUs) in Gujarat, Odisha and West

Bengal, all the Priority Investment Executing Agencies (PEAs) involved in implementation of the Project in

the National Components and in the Project States. The mission had wrap-up meetings with the Secretary,

Ministry of Environment and Forests, Government of India (MoEF) on July 17, 2013; the Development

Commissioner and Principal Secretary (Finance) and the Additional Chief Secretary (Environment),

Government of Odisha on May 29, 2013; Additional Chief Secretary (Environment), Government of West

Bengal on May 31, 2013; and the Additional Chief Secretary (Forests and Environment), Government of

Gujarat on June 05, 2013. The list of officials and prominent stakeholders met during the mission is presented

in Annex 1.

1 The World Bank team consisted of A S Ramakrishna (Senior Environmental Specialist and Co-Task Team Leader), Parthapriya

Ghosh (Senior Social Development Specialist), Thomas Kwasi Siaw Anang (Procurement Specialist), S. Krishnamurthy (Senior

Financial Management Specialist), Surbhi Goyal (Energy Specialist), Dhruba Purkayastha (Senior Operations Officer, CSAIC),

Sanjay Gupta (Senior Communications Specialist), Sujaya Kalainesan (Environment Specialist), Mehul Jain (Environmental

Analyst), Om Prakash (Consultant, Procurement Specialist), Moushumi Chatterjee (Consultant, Museologist), Nidhi Batra

(Consultant, Urban Designer),Valerie Marie Helene Layrol (Senior Operations Officer), Peter Kristiansen (Lead Environmental

Specialist), Pawan G. Patil (Senior Economist), Genevieve Maria Dutta (Program Assistant ), Roshni Sarah John (Program

Assistant) and Tapas Paul (Senior Environmental Specialist and Task Team Leader).

2 Given that improved disbursement since Quarter 2 of FY13 is yet to bridge the disbursement lag caused by slow implementation

in the past.

INDIA Integrated Coastal Zone Management Project (P007985)

Aide Mémoire: Mid-Term Review Mission, May-June 2013

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B. Key Project Data

Project Data Project Performance Ratings

Board Approval June 15, 2010 Summary ratings Last Now

Effectiveness Date September 22, 2010 Achievement of PDO S MS

Original Closing Date December 31, 2015 Implementation Progress MS MS

MTR Date June 30, 2013 Financial Management MS MS

Procurement S S

Original Credit Amount US$ 221.96 million Project Management S S

Amount Disbursed US$ 40.87 million Counterpart Funding S S

Monitoring and Evaluation MS MS

C. Achievement of Development Objectives

4. The Project Development Objectives are to assist GOI in (i) building national capacity for implementation of

comprehensive coastal management approach in the country, and (ii) piloting the integrated coastal zone

management approach in states of Gujarat, Odisha and West Bengal.

5. Institutional Capacity: The appropriate national institutional structure for guiding and coordinating

implementation of ICZM approaches has been established including the national, state and district level

coastal zone management authorities, the Society for Integrated Coastal management (SICOM), and the

National Centre for Sustainable Coastal Management (NCSCM). This was reported in the Aide memoire of

the Third Implementation Review Mission.

6. Until July 2012, effective operation of the NCSCM was hampered by the lack of progress of recruitment of

staff (both administrative and technical). Since August 2012, the process of recruitment has gathered speed:

first batch of recruitment was completed in March 2013; and all appointed professionals have joined. With

this, NCSCM has initiated all planned tasks effectively. While recruitment process for a few staff is under

progress and will be completed by August 2013, recruitment process for the larger second batch of staff will

be initiated during 20143.

7. Although the national and state coastal zone management authorities (NCZMA and SCZMAs) have been

functioning as planned, there is a need that all SCZMAs should build the requisite technical secretariat. The

project aimed that at least for the 3 SCZMAs in the 3 Project States such augmentation will be completed

during the project. The Government of Odisha has mandated the Integrated Coastal Zone Management

Society of Odisha (which is the SPMU) to be the secretariat of the Odisha SCZMA. Similar proposals had

been prepared in Gujarat and West Bengal, but are awaiting approval of the respective governments.

Formation of the district level coastal zone management authorities (DCZMAs) is yet to cover all coastal

districts, and building their capacities remains a challenge for the NCZMA and the MoEF. In Odisha, West

Bengal and Gujarat, the SPMUs have started training programs for district level officials; but such training

3 This late recruitment of the last batch of professionals is not expected to impact implementation of the research program of the

NCSCM during this project (which is already progressing with staff already recruited). Recruitment of the larger staff was always

planned coinciding with completion of the laboratories and facilities, so as to be able to take up larger research program in future

(after the closure of the project).



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and capacity building activities need to be continued for the next two years. The MoEF has mandated SICOM

for overall coordination of the coastal zone program in the country, but formal authorization of SICOM as the

technical secretariat of the NCZMA is yet to be notified. On the other hand, NCSCM has received appropriate

recognition as per the CRZ Notification 2011.

8. Improving Knowledge Base: To recap the knowledge initiatives listed in the Aide Memoire of the earlier

implementation support missions, there has been noticeable progress on the knowledge agenda. All these

knowledge products are available in public domain, such as at websites.

a. As part of the National Component, (i) aerial photography is now completed for the entire mainland

coast of India covering about 70,000km2; (ii) analysis of tidal data has been completed for all major

and minor ports in the mainland coast, and supplementary measurement of astronomical tides is

nearly complete for an additional 49 locations. NCSCM has been able to complete: (i) the preparation

and public dissemination of 1972-2010 shoreline change maps for the states of Gujarat, Odisha,

Kerala, Tamil Nadu, Pondicherry, Maharashtra and Andhra Pradesh after verification by the NCSCM

and the state governments, (ii) preparation of similar maps for West Bengal, Goa and Karnataka

which are being examined for its correctness as pointed out by the state governments; (iii) an

advanced draft of the potential of offshore wind energy in India.

b. Gujarat has prepared a significant number of new knowledge products: (i) a status report on all the

beaches, (ii) evaluation of sea turtle nesting sites, (iii) study of seaweed diversity, (iv) a collection of

success stories in the project, (v) baseline for health of seawater in the Gulf of Kachchh, (vi) a

protocol for seawater monitoring, (vii) a detailed assessment of carbon sequestration by mangroves,

(viii) a detailed map of areas suitable in the state for mangrove plantation, (ix) coral maps for the

state, and (x) a report on valuation of the corals in the Gulf of Kachchh.

c. In Odisha, the new knowledge products include (i) the protocol for seawater monitoring, (ii) the

ecosystem health report card for the Chilika lagoon, (iii) regional coastal process study for the 480km

long coast of Odisha, (iv) the first year assessment of benthic flora and fauna of the Chilika lagoon,

(v) the first year study of migratory birds of the Chilika lagoon.

d. In West Bengal, the new knowledge products include (i) an assessment of the mangroves of the

Sundarban, (ii) genetic sequencing of more than 40,000 microbes influencing the coastal areas.

9. Policy and Regulation: The new 2011 Coastal Regulation Zone and the 2011 Island Protection Zone

notifications were firmly in place; and a large number of dissemination workshops to explain in detail the

intent and scope of the 2011 Notification took place until July 2012. Since then, a few smaller stakeholder

workshops have taken place in the three project states. However, no specific progress was noted since August

2012 in the cases of the two proposed regulations: the proposed River Zone Regulation for conservation of

estuaries, and the proposed Fisher Persons' Rights Bill4. As noted in the aide memoires of the earlier

implementation support missions, these proposed policy instruments will take time to move to the next step of

being placed for legislative approval, possibly more than a year, to be able to complete public consultation.

10. Replication: As agreed between the World Bank and the GOI at appraisal of the Project, replicability more

than sustainability will be the true test of the Project. The GOI had earlier recommended that MOEF should

start preparing plans and proposals for replicating the Project in all of the 9 coastal states and 4 coastal union

territories. A number of activities were organized by the MoEF/SICOM during the period of March 2011-

4 These two instruments (the proposed River Zone Regulation for conservation of estuaries, and the proposed Fisher Persons'

Rights Bill) were not part of the agreed outcomes. These were proposed by MoEF later to respond to the evolving needs for

conservation of the coastal and marine resources.



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January 2012, but there was a period of lull until May 2013. It was estimated during the third implementation

support mission that a final concept note for the larger project/program will not be available before June 2013.

Although MoEF has renewed the discussions, it appears that a concept note for the larger project/program

will be further delayed.

11. Nonetheless, replication also is being attempted without waiting for a larger project/program. Since May

2013, the government had initiated preparation of integrated island plans for two union territories – the

Lakshadweep Island, and the Andaman and Nicobar Islands. Further, Tamil Nadu and Puduchchery have also

initiated preparation of integrated coastal zone management plans. Preparation of all these plans have adopted

processes similar to the ones being used in the project, and as such based on the guidelines prepared by

NCSCM.

Likelihood of achieving Project Development Objective

12. The project has already benefitted 560,283 persons directly (229,691 or 41% among whom are women), equal

to 51% of the targeted direct beneficiaries (see Annex 11 for details). There has been substantial progress in

the setting up of the institutions, knowledge benchmarks and services have shown improvement, and the

policy reforms are in place. The MTR mission assessed that the Project Development Objectives remain

relevant. In fact, given that the country had adopted the Coastal Regulation Zone and the Island Protection

Zone notifications in 2011, the project development objectives have become more important.

13. Based on the progress, the continuing public and stakeholder engagement, and the support the project enjoys

at the highest policy-levels at the GOI and the three project states suggest that it is possible to achieve the

PDOs in the remaining project period.

14. However, the project design was based on the premise that the priority investments demonstrating cross-

sector and spatial integration will be nearing completion by Year 3, and consequently the last two years of the

project will be available to focus on the larger ideas, such as preparation and adoption of ICZM plans, and

further augmentation of the institutions and knowledge. As a number of pilot activities have been delayed, it

is likely that implementation of these over the next year will impair the focus on larger ideas. Additionally,

the less than adequate project management capacity at the implementing agency levels, especially in West

Bengal may prohibit preparation of the ICZM plans in the best possible and inclusive manner. Based on this

context, there is a risk that PDOs will not be achieved unless implementation improves further.

15. The third-party evaluation is not expected to be available before December 2013. While a complete package

of monitoring data is now available (and which formed the basis of mid-term evaluation reports from the

implementing agencies), stakeholder satisfaction surveys from the third-party evaluation will be the only

objective way to ascertain if the PDOs are being achieved. In absence of such evaluation, although the

monitoring data shows improvement, the achievement of development objectives in the project is rated as

moderately satisfactory.

Likelihood of Achieving Intermediate Outcomes

16. Following is a summary discussion on the likelihood of achieving the intermediate outcomes. For a fuller

description of progress in relation to the results framework of the project, and with respect to the intermediate

targets, see Annex 2.

Compo

nent

Planned Intermediate

Outcome

Up to Last

mission

Major achievements at the Mid-Term Overall

Remarks

One National Capacity Built for

guiding and coordinating

ICZM

Somewhat

at Risk

First phase of recruitment at NCSCM, SICOM

and the related institutions complete. First draft

of guidelines for ICZM plan preparation

available; and discussion with states have

started. Discussions started to sustain the

capacities created (notably SICOM and

NCSCM) beyond the project. SCZMAs and

Likely to be

achieved



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Compo

nent

Planned Intermediate

Outcome

Up to Last

mission

Major achievements at the Mid-Term Overall

Remarks

Coastal Management Areas

Demarcated and Verified

Highly

Likely

DCZMAs are established but further

augmentation of capacity is required. NCSCSM

research program has started and gathered

speed. Large capacity building program is

initiated and being implemented.

Aerial photography completed.

Photogrammetry works started. Measurement

of tides and flood levels near complete.

Detailed erosion mapping initiated (at larger

scale it is completed for the entire country).

Work started in all 3 identified Ecologically

Sensitive Areas or ESAs (Dandi, Vedaranyam

and Vembanad). Work on identification of all

other ESAs started by April 2013.

Highly

Likely to be

achieved

Two Gujarat state and other

stakeholder’s capacity built

in implementing ICZM

approaches

Highly

Likely

The project and the ICZM agenda continue to

receive attention at the highest policy levels.

Very good results already achieved at the

village community level. Most pilot activities

progressing with excellent communication.

Highly

Likely to be

achieved

Three Odisha state and other



approaches

Highly

Likely

The project and the ICZM agenda continue to

receive attention at the highest policy levels. A

number of knowledge, capacity building and

communication activities initiated. Most pilot

investments progressing well.

Highly

Likely to be

achieved

Four West Bengal state and other



approaches

Highly

Likely

The project continues to receive attention at the

highest policy levels. Implementation

accelerated between 2012 and March 2013, but

has since shown downward trends. There is a

need to increase focus on the ICZM agenda.

Somewhat at

risk

Overall Building national capacity

for implementation of

comprehensive coastal zone

management approaches

Likely MOEF stewardship for the coastal zone and

marine area management has been good.

Overall interest from stakeholders including

civil society has been good.

Likely to be

achieved

D. Current Progress of Implementation

17. Following is a summary discussion on (i) actions taken by NPMU and SPMUs and the PEAs based on

agreements reached in February 2013 during the Fourth Implementation Support Mission; and (iii) the current

progress of implementation. For activity-wise details, see Annex 4.

18. Progress on Agreements during the Last Mission: Most of the actions agreed during the Fourth

Implementation Support Mission (January-February 2013) were targeted to be completed by either September

2013 or December 2013. Consequently a small number of actions were expected to be completed by May-

June 2013. Overall, the progress on the actions agreed during the last mission had been good, and even if

some actions are to be completed later, there are indications that actions are on schedule.

a. Disbursement related agreements. The following actions were taken:

i. The targets for awarding procurement by March 2013 were completed (albeit three contracts

were signed later than March 2013, awhile after the awards were made).

ii. The targets for awarding procurement, as agreed by September 2013 and December 2013 are

on schedule.



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iii. The NPMU and SPMUs had monitored intermediate steps (milestones) in the procurement

processes for each of the contracts.

iv. For the contracts that are already awarded, the NPMU and SPMUs had monitored the

completion of the contracts vis-à-vis the contract milestones, and had taken measures to

ensure that the implementation of these contracts did not slip further (even if no recovery

with respect to earlier slippage had been reported).

v. MoEF had ensured that there is no shortage of budget allocation for the project during

January-March 2013, and during April-June 2013.

b. Agreements on the planned knowledge program at NCSCM. As agreed, all research programs had

started by April 2013, and a few of these have already shown good progress. Associated agreements

(recruitment of the next larger batch of research staff; progress related to buildings, laboratories and

facilities) were also implemented. However, other than starting a dialogue with the Partnership for

Environmental Management in the Seas of East Asia (PEMSEA), no action has yet been taken to

formally partner with international research facilities.

c. Agreements related to the terms of reference for preparation of ICZM plans, and preparation of the

ICZM plans for the identified stretches. The NCSCM have already prepared draft guidelines, and the

Gujarat SPMU had prepared draft terms of reference. As agreed, these were presented to a range of

stakeholders. As agreed the third stakeholder discussion was organized in April 2013. The Gujarat

SPMU has recruited support consultants by June 2013, and other SPMUs are in the process of

procuring such consultants before December 2013.

d. Agreements related to implementation of the national and state level capacity building and training

plans. Although, the implementation of the capacity building and training plans has been slow, the

NPMU and the SPMUs had organized a few capacity building and training sessions, including where

international experts participated. However, the revision in the capacity building and training plans

had not been completed yet, and will take at least 3-4 months.

e. Agreements related to capacity augmentation at SICOM and other SPMUs: Processes are underway if

not complete at SICOM to (i) augment staff of the communication cell, (ii) installing an effective

performance management and human resources management process. However, no progress has been

made with respect to recruitment of a senior subject expert to work as the additional director to

support the National Project Director; or any formal step to provide the position of the National

Project Director sufficient tenure. Recruitment process for subject experts has been completed by

Gujarat SPMU, and is progressing well at SICOM. Odisha SPMU already had the requisite staff.

However, there has been substantial change in the West Bengal SPMU, where the staffing shortages

and lack of appropriate expertise have increased.

f. Agreements related to sustenance of the institutional arrangements beyond the duration of the project

need to be initiated. Although the SICOM, the NCSCM and the SPMUs had been created with a

larger agenda in mind, these entities remain project-based. The project agreements envisage that

SICOM will become the technical secretariat of the NCZMA, and likewise SPMUs are to become

technical secretariats of the respective SCZMAs. The NCSCM, created as part of the project, has a

larger role provided by the 2011 CRZ Notification. The Government of Odisha has already decided to

mandate the SPMU to be the technical secretariat of the SCZMA. However, there has not been any

noticeable progress on this for SICOM, NCSCM, Gujarat SPMU or West Bengal SPMU.

g. Agreements related to actions prior to the mid-term review. All such agreed actions were completed,

albeit with delays ranging from a few days to four weeks. These completed actions included: (i)

SPMUs and SICOM prepared mid-term evaluation reports, and which were consolidated by SICOM;

(ii) SICOM and SPMUs for the respective project components, prepared lists of proposed changes

such as a list of activities that should be dropped from the project in light of slow progress or if the

contribution of these activities to the project development objectives is not clear; and a realistic list of



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activities that could be considered for inclusion in the project; and these lists were discussed during

the MTR; (iii) SPMUs and SICOM prepared a report on the intermediate progress of procurement of

works, goods, services and community contracts those are scheduled to be awarded by June 2013 and

September 2013.

19. Component One - National ICZM Capacity Building:

a. Sub-component (1A) Hazard Mapping has progressed very well, and it appears that it be completed

in advance of estimated schedule. Analysis of tidal data for 21 major and about 150 minor ports was

completed, and the additional work of collecting primary data of astronomical tides from the agreed

49 additional places is nearing completion - some of this additional survey of astronomical tides will

be discontinued if found to be of marginal utility in improving the analysis of flood line – as per a

final decision from the Survey of India based (SOI). Aerial photography contract, covering about

78,000km2 of area was completed in December 2012; the variation in contract price was checked by

the PEA/SICOM, and approved by the World Bank; but final payments are delayed due to lack of

certification from the SOI. Contracts for digital photogrammetry have been awarded, and even if

there was an initial delay in mobilization by the contractors, work has now started; and the first output

is expected to be available in October 2013. There was delay with respect to erosion mapping due to

lack of staff recruitment at the NCSCM, and the delay in decisions related to procurement of time

series satellite imageries. These have now been resolved: NCSCM and the National remote Sensing

Corporation (NRSC) have signed an agreement to enable NCSCM to procure the required satellite

images; NCSCM has recruited additional staff for this assignment. SICOM and NCSCM have taken

steps to ensure the erosion maps are available in time, starting from October 2013, to match the

schedule of outputs from the photogrammetry contracts.

b. Sub-component (1B) Identification and mapping of three ecologically sensitive areas (ESAs) such as

Dandi in Gujarat and Vedaranyam in Tamil Nadu has been completed; mapping of the third, the

Vembanad Lake in Kerala has started. Some planned work and community participation activities at

Dandi and Vedaranyam is complete.

i. Consultants have been procured for preparation of integrated plan for the Dandi area after

protracted delay, and it will be important to monitor the next steps such that the plan

preparation is completed by September 2013, such that the selected activities based on the

plan could be procured before December 2013.

ii. Tasks for the Vedaranyam ESA is now progressing at an improved speed, and the PEA has

prepared a revised timeline to complete all tasks within the agreed three year period ending in

June 2014. The PEA has proposed expansion of the activities and consequent enhancement of

funding. The MTR mission agreed with the proposals provided the enhanced financing is

approved by the GC of SICOM.

iii. There was no clear progress with respect to the mapping of the Vembanad ESA since the

Fourth Implementation Support Mission, and the proposal from the Centre for Environment

and Earth Sciences, Thiruvananthapuram (CESS, one of the national partner institution of the

NCSCM) is yet not in a shape to be approved. Given this delay, it is apparent that (i) only

mapping will be completed during the remaining project period, and (ii) preparation of a

management plan and implementation of any part of the management plan will not be

possible within the remaining project period.

iv. The activities related to mapping ESAs for the entire country was delayed due to lack of

progress in recruitment at NCSCM. NCSCM has now recruited some staff and consultants.

Since the Fourth Implementation Support Mission, there has been some progress in finalizing

the scope of work and the methodology. A final schedule for delivery is yet to be finalized,

and it is unlikely that the work for the entire country will now be completed before mid-2014.

At the MTR, the following were agreed: (i) NCSCM will collect all secondary data and

complete a preliminary identification by September 2013, and use 1:50,000 scale GIS



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available with NCSCM to tentatively locate the ESAs, particularly which are not protected;

(ii) expert consultations will take place in September 2013 to finalize the scope of detailed

ground surveys; (iii) contracts will be signed by October 2013 with NGOs or another suitable

alternative agencies including a few of the national partner institutions of NCSCM if they

have the requisite qualification and resources to undertake the assignments; this will mean

that the procurement process using QBS should start in August 2013; (iv) all contracts will

aim to finish mapping by March 2014.

c. Sub-component (1C) the entire work of mapping of coastal sediment cells and sub-cells is

completed. This has been done ahead of schedule; and the remaining time until March 2014 is now

required to verify the results with engagement of the coastal states, undertake revision if necessary,

and to communicate the results among all stakeholders.

d. Sub-component (1D) National Center for Sustainable Coastal Management (NCSCM) has been

established, it already completed some significant activities, such as “national shoreline assessment”,

but more significant activities remain. After protracted delays (of nearly 18 months), major activities

have all started now.

i. All 35 staff recruited have joined and started working on the identified and approved

assignments. The remaining staff positions (23 of the 58 staff to be recruited in the first

batch) are being filled through a current process which promises being able to select another

10-15 staff positions by July 2013. For the positions for which suitable candidates could not

be identified, a newer recruitment process by procuring services of a recruitment consultant

has been agreed; and it is expected that suitable candidates for these positions could be

identified and recruited by August 2013 instead of June 2013.

ii. The 2012-14 research programs for NCSCM were earlier approved by the high powered

research steering committee; and the researches have started now (after a delay between 6-18

months due to slack of recruitment). In a few of these (such as an assessment of offshore

wind potential, or the spectral library for mangroves, corals and sea grasses), there is

substantial progress already. NCSCM had received interests from the 14 national partner

institutes for participation in the research program, and had a series of meetings with these

partner agencies. The scope of work by the four of these national partner agencies was

finalized in April 2013, but funds are yet to be transferred to these institutions to start the

work.

iii. Bidding documents are ready for the civil works for the NCSCM buildings and facilities.

Bids are being invited by end-July 2013. This has been delayed by more than 3 months

compared to the agreement during the Fourth Implementation Support Mission. However,

due to combining three bids into one (which took more time in the first bid, but saved time

for the next two planned bids) savings of about 2 months could be anticipated in construction.

iv. There was no progress related to setting up and operationalization of the National Centre for

Marine Biodiversity. SICOM would like to defer the decision to appoint the director of the

proposed NCMB until such time that the question of sustainability of SICOM and NCSCM is

sorted out, to avoid NCMB becoming a project activity without continuation after closure of

the project. During MTR, it was discussed that this sub-activity (added after project approval)

is best deleted from the scope of the project. A final decision from SICOM is expected after

the next meeting of it governing council (GC).

e. Sub-component (1E): while a capacity building plan was prepared, and is being implemented by

SICOM since 2011; it was not a comprehensive plan. Several discussions were held in 2012 to revise

the plan to make it comprehensive, and a full comprehensive capacity building plan for MOEF and all

coastal and marine area managers in the country was expected to be rolled out by March 2013, but is

further delayed. The overall delay is approaching 24 months in revising and finalization of the

comprehensive plan. Delay since the last mission was due to staff turnover in SICOM, and the work



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of completing the plan is now partly consequent on recruitment of the new staff. It is unlikely that the

comprehensive plan would be now finalized before December 2013, given the capacity constraint at

SICOM. Nonetheless, it will be untenable to delay the preparation and finalization of this plan beyond

December 2013. SICOM is urged to use alternative ways (consultants and contract staff) to complete

revision of the plan by September 2013. However, a number of small and discrete capacity building

activities, including a series of national capacity building workshops were organized during July 2012

– May 2013, each of which had participation from national and state governments and international

experts. The project, including several of its achievements, had been showcased during the

Conference of Parties to the Convention on Biodiversity at Hyderabad in October 2012; where the

project organized a highly successful side event with participation of senior policymakers, national

and international experts; and similarly at several international workshops organized in India. Until a

revised plan is prepared, the current plan activities will continue to be undertaken; and SICOM will

organize a series of workshops and trainings in collaboration with select national agencies and

institutions.

f. Sub-component (1F) Project management activities are now fully underway; additional staff had

been recruited in areas such as communication, marine biology, etc., and more experts are being

recruited. The Director (Finance), although responsible for other projects of MoEF, is providing

adequate and appropriate oversight and guidance. Since the Fourth Implementation Support Mission,

there has been a transition in project leadership. The mission acknowledged the contribution of the

previous National project Director (NPD) who over a period of one year brought the project back on

track. The mission also appreciated the work of the new NPD who has already initiated a number of

actions so ensure that the momentum created by the last NPD is not affected by the transition.

g. Substantial communication and stakeholder engagement activities were implemented in 2010 and

2011, but not during 2012; and such activities were restarted in 2013. The financial management cell

is already working adequately. The procurement and financial management support consultants

(PFMC), the internal auditors, and the external auditors were in place; and all audit reports had been

submitted in time. SICOM has renewed the contract of the internal auditors and the external auditors

for another year; and will take a decision of similar extension related to the PFMC, based on an

appraisal of their performance by June 2013. The procurement capacity was improved by addition of

a senior procurement staff as part of the PFMC; however, the procurement cell itself needs further

augmentation of staff and capacity for undertaking the larger work of advising the project states. The

communication and capacity building cell has not performed adequately yet, mainly due to staff

turnover and renewed staffing is needed. Due to staff turnover vacancies exist, and a few other

experts as agreed in the earlier mission have not been recruited. SICOM has initiated (i) a recruitment

process (through a service agency), and new staff are expected to come on board by September-

October 2013; (ii) procurement process for a human resources and staff performance tracking and

evaluation system. The real-time monitoring system has progressed, and system checks are underway,

before it can be formally launched by August-September 2013. Procurement of evaluation consultants

is delayed by more than 12 months now; and it will be crucial to procure such consultants, latest by

September 2013, such that the first third-party evaluation report is available before December 2013.

The MTR mission discussed the possibilities, and reiterated the agreements from the earlier mission

that either a quality based or single-source selection should be used to select an agency/institution of

repute to lend credibility to the third-party evaluation processes and reports.

20. Component Two – Piloting ICZM Approaches in Gujarat: Implementation of all planned activities, except

the marine resources conservation institute and oceanarium (MRCI), has started; and is satisfactory. The

project undertook efforts to minimize the impacts of the state election processes in 2012. Overall, almost all

procurement of works, goods and equipment has been awarded or the procurement process has been advanced

such that awards will be made in the next three months.

a. Sub-component (2A). A large number of stakeholder workshops and discussions have been organized

to scope the ICZM Plan. The procurement process for consultants to support preparation of the plan



10

has advanced, and the consultants are expected to be selected by September 2013 (although the

responsibility for preparation will remain with SPMU who is establishing a committee including

representation of the relevant departments of the state government to oversee and provide stage

approvals). This will meet the original schedule of initiating preparation of ICZM Plan in Year 3 of

the project.

b. Sub-component (2B) Capacity building activities are progressing satisfactorily. Several workshops

on issues such as sea turtle conservation, coastal water monitoring, oil-spill management; and a major

training on coastal zone management was completed. Three workshops with judges of district courts

from coastal districts were held until now. Substantial work was undertaken to organize the proposed

national level training involving High Courts of all 14 coastal states and union territories; which could

not be organized in 2013, but will now take place depending on the calendar of the judges of the

Supreme Court of India. The project has also organized an international workshop for mangrove

ecosystem involving 11 countries (Australia, Japan, Indonesia, Malaysia, Thailand, Myanmar,

Bangladesh, India, Sri Lanka, Oman and Brazil) which drafted an agenda for research and capacity

building to be implemented in collaboration with the International Society for Mangrove Ecosystems.

c. Sub-component (2C) Priority investments are progressing well, especially the livelihood

enhancement related activities; more than 9,165ha of mangrove have been planted; verification of the

areas planted was completed (over and above the 2,800ha planted in 2010-11 that had already been

verified earlier), and the survival rate has been found to be satisfactory. 20 villages have been

transformed into ‘solar villages’ (i.e., all household and community areas have solar energy

generation). Community mobilization work is now complete in 154 out of 163 villages. For

livelihood improvement pilot investments, community mobilization is completed in 154 villages, and

progressing well in the remaining villages; and 97 entry point activities, mostly small civil works,

have been completed or are near completion; and other 70 have been initiated. The work of sewerage

in Jamnagar is 43% and 63% complete with respect to the two contracts; both contracts will now

require time extension, and the SPMU and the Jamnagar Municipal Corporation are ensuring that

these contracts are completed within a reasonably extended time period. Award was completed for the

sewage treatment plant, and this has been a significant achievement (first technology neutral bid, and

the first 15 year DBO contract in India). Bidding process for the MRCI is expected to start around

October 2013. The state government has decided to have a higher capacity facility and has offered

complementary financing; and the MTR agreed that Bank will provide additional technical and

procurement advice on this activity during August-September 2013. For completing procurement of

goods, substantial progress had been made, but the bidding process was not successful for 5 large

packages of equipment, and the rebidding process has begun. The MTR mission discussed the issues

related to potential environmental impacts of the coral train (as part of the ecotourism activities within

the marine national park), and agreed that this sub-activity will now be dropped from the project (to

be confirmed by SICOM GC in August 2013).

d. Sub-component (2D) Project management activities, including financial management and

communication are progressing well. Contract period of the internal auditors was extended. SPMU

will possibly extend the contract of the PFMC (or a new procurement process will be initiated) before

December 2013.

21. Component Three - Piloting ICZM Approaches in Odisha: This component, overall, has also progressed

well, and the current achievements are highly satisfactory. Overall, all major procurement of works, goods

and equipment are awarded, and the few remaining ones are expected to be awarded in the next 2-3 months.

a. Sub-component (3A) Workshops and discussions, involving local, state, national and international

experts and stakeholders, have been organized to scope the ICZM Plan. The process of finalizing the

terms of reference for plan preparation has started in collaboration of the NCSCM and the Gujarat

SPMU. An US$3 million study related to the regional coastal processes was completed, and this is

being used as a basis for upcoming preparation of shoreline management in Odisha.



11

b. Sub-component (3B): The capacity building activities of the Chilika Development Authority are

progressing very well, where substantial recruitment of staff and procurement of equipment, hardware

and software have been completed; and studies related to micro-benthos, avifauna and macrophytes

have delivered the expected first/second year deliverables. The Odisha State Pollution Control Board

has prepared protocols for sea water monitoring and the monitoring work has started. Dense real-time

water quality monitoring was installed in the Chilika lagoon (first in Asia except Japan), and is

working adequately. The fisherpersons of Chilika have taken up the responsibility of safekeeping of

the monitoring system. The SPMU has created adequate additional infrastructure facilities, to be

effective in its work as the secretariat of the state coastal zone management authority as mandated by

the Government of Odisha. Work on preparation of ecosystem health report card for the Chilika

lagoon has been initiated (first in Asia), the first stakeholder workshop was held in February 2013,

and the first ecosystem report card has been prepared (now being disseminated).

c. Sub-component (3C) Priority investments are now progressing satisfactorily, especially the

livelihood enhancement related activities. The initial target of mangrove plantation was achieved, but

the activity is being expanded. The transaction advisory services on solid waste management work in

Paradip were completed, the issue of final transfer of land for the landfill site from the Paradip Port

Trust was resolved, and the bids for implementation of the works have now been invited. Odisha

State Disaster Management Authority progressed very well and contracts for all 14 cyclone shelters

have progressed satisfactorily, and all should be completed in the next few months. The major work

on geo-tube embankment was awarded (but contract signed with a delay of 3 months), and the

contractors have now started executing the work. Work on structural and chemical conservation of the

archaeological heritage buildings have started; the plans for peripheral development around only 4 of

the 7 properties has finalized; SPMU will finalize these remaining 3 plans such as to award the works

before December 2013. Livelihood activities, especially related to freshwater fish farming and coir

products have progressed very well, and community groups have started earning significantly from

these activities. Installation of solar dryers are now happening at full speed (since the delay of

contract signing due to internal departmental procedural issues, which was resolved by the

intervention of the Chief Secretary and the Finance Secretary). However, uncertainties continued with

respect to the ecotourism activities by the Wildlife Department since the Fourth Implementation

Support Mission, and the MTR agreed that parts of this sub-activity (costing about US$2 million) will

now be dropped from the project (to be confirmed by SICOM GC in August 2013).

d. Sub-component (3D) Project management activities, including financial management and especially

the communication and stakeholder engagement activities are progressing very well. There had been

some cases of staff turnover, and the SPMU has now been able to complete the required staffing.

However the issue that SPMU staff have not received any enhancement of salaries for two years now

has not been resolved, and the MTR advised that resolution of this will be important to ensure

continuity and for maintaining performance of staff. Contract period of the internal auditors was

extended, as their performance which was found satisfactory by the SPMU, and a similar extension of

the PFMC is expected soon.

22. Component Four - Piloting ICZM Approaches in West Bengal: This Component was back on schedule at

the time of the Fourth Implementation Support Mission; but has since suffered a loss of momentum. All major

contracts were awarded, except for those contracts dependent on completion of ongoing studies, which were

expected to be awarded by September 2013. However, abrupt changes in project leadership in February-April

2013 resulted in slowing some of the processes. Moreover, state level elections for local governments meant

that no procurement decision could be taken during June-July 2013. As a result, it is now unclear whether all

contracts will be awarded in September 2013 (as was expected earlier), or even by December 2013.

a. Sub-component (4A) Workshops and discussions have been organized during 2012 to scope the

ICZM Plan, and related studies on shoreline management and management of the Sundarban

estuaries and islands. A special 3 day workshop was organized to identify and learn from the

experience in Bangladesh involving experts from both India and Bangladesh. However, during the



12

last few months, no noticeable progress was made. It will be important for the SPMU to take

decisions regarding: (i) the process of plan preparation and approval; (ii) scoping of the plan; (iii)

terms of reference for supporting studies, so that the process for procurement of consultants to

support preparation of ICZM plan could be initiated in September 2013 and awarded in November

2013. This ICZM plan is an important deliverable for the project, and has the highest risk of failing to

deliver among all project activities.

b. Sub-component (4B) The capacity building activities of Calcutta University have further progressed

very well, where already world-class genomic research results are available (including 40,000 gene

sequences, with a large number already recognized by the international authority NCBI, USA). The

Calcutta University has proposed expansion of the work, which was agreed at the MTR (and will be

reflected at the upcoming revision of the procurement plan). The knowledge activities at the Institute

of Environmental Sciences and Wetland Management (IESWM) had progressed satisfactorily during

2012 when several expert committees were set up; however, there was no noticeable progress in

2013; and the plan for setting up of the climate profilers and tide gauges have been delayed (as a

result of transition at SPMU and IESWM). The SPMU had undertaken several campaigns, since

2011, of high quality and outreach, and especially during the build-up of the annual pilgrimage at

Sagar Island, where nearly a million pilgrims congregated in January 2013. However, such

communication activities also have slowed down. There has not been any recent progress on the

revision and/or implementation of the state level capacity building plan.

c. Sub-component (4C) Some of the priority investments have moved well. The work of electricity

distribution at the Sagar Island moved satisfactorily (a 4km transmission line over the wide river was

earlier completed); about 4,300 establishments have already been provided connections, and during

the annual pilgrimage electric supply in January replaced 22% of diesel generation (by providing

electric power to 5 of the 22 pilgrim’s accommodation zones). The entire work of providing 44,000

connections is expected to be completed by March 2014. Major contracts for storm water drainage,

sewerage and sewage treatment works was awarded. The works in the case of the storm water

drainage contract has progressed satisfactorily and remains ahead of the contract schedule. The

SPMU, the Digha-Shankarpur Development Authority (DSDA), the consultants and the contractors

will need to improve their advance works in light of the complexities met at worksites from presence

of previously unknown encumbrances. There has been not been sufficient progress in the sewerage

and sewage treatment plant contracts although the contractors have mobilized. SPMU and DSDA

needs to ensure that the contractors are delivering the outputs as contracted. Project management

consultants for the Digha beachfront development plan have prepared the final plans, and completed

necessary documents. A few of the bids related to beachfront development (thereafter were delayed

due to the state level local government elections) are ready to be bid out; and for the remaining the

bidding process is expected to begin before September 2013. The land issue related to the proposed

fish auction center (and its overall scope) has not been resolved, and during MTR it was decided that

(i) the responsibility of PEA will now be with the Fisheries Department instead of the Fisheries

Development Corporation which seems to lack the expertise; (ii) the SPMU and the Fisheries

Department will prepare a revised plan of action to initiate the entire range of work and capacity

building activities; (iii) if confusion persists and a revised plan with reasonable assurance of awarding

the contracts by December 2013 is not available, this activity will be dropped from the project during

the review by the GC of SICOM in August 2013. A separate project management consultant firm has

submitted draft plans for integrated ecotourism development in the Sagar Island, which requires

approval of the relevant government departments for moving to the stage of finalization. It is unlikely

that the resultant works could be awarded by September 2013 as per the earlier agreement, but SPMU

will strive to see that the award is completed by December 2013. Six NGOs were procured to support

livelihood activities at the Sagar Island; the SPMU and the partner NGOs together have undertaken

significant capacity building activities, a few works have started with the community groups, and all

remaining community contracts, targeted to directly benefit at least 15,000 households will be

awarded by December 2013. During MTR it was discussed and agreed that reaching the targeted



13

15,000 households is an essential part of the project; and the targets and scope of the livelihood

activities will not be reduced unless all other activities in the project is reduced proportionally. There

has not been any progress for comprehensive upgrade of the marine aquarium at Digha, and the work

has not been procured yet. Further, the activities related to the cyclone shelters, already delayed by

about 12 months have experienced further delays; and even if the soil testing and designing services

are expected to commence now (with additional delays), no progress was made in procurement of a

supervision consultant. Overall, works contracts for the cyclone shelters are not likely to be awarded

by December 2013; and in that case these will be dropped from the project.

d. Sub-component (4D) Project management activities related to financial management has been

appropriate and adequate. SPMU has now recruited procurement staff after several such past

recruitment processes failed. Contract periods of the internal auditors and the procurement and

financial management support consultants had been extended, as their performance was found

satisfactory by the SPMU. The communication and stakeholder engagement activities progressed

very well until the recent past. It will be important for the SPMU to restart the communication

activities and campaigns.

E. Status of Legal Covenants:

23. The Table below presents the compliance status related to the covenants applicable to project implementation.

Covenant Limit Due Date Status

Maintain NPMU and SPMU with suitably qualified

personnel and sufficient resources

Throughout

Project period

September 22,

2010

Complied.

Each PEA will maintain dedicated suitably

qualified personnel and sufficient resources

Throughout

Project period

March 21,

2011

Complied.

Each Project State will make adequate annual

budgetary allocations, and shall transfer 10% of the

estimated cost of the respective State Component to

the SPMU

First part of

each FY

November

2012 (FY13)

Complied.

Each Project State will establish and maintain a

State Level Steering Committee

Throughout

Project period

September 22,

2010

Complied.

NPMU and SPMUs shall maintain specific

dedicated cells as agreed; and will engage full-time

qualified procurement specialists and finance

professionals

Throughout

Project period

September 22,

2010

Complied except for staff

turnover issues which are

being addressed at

NPMU and SPMUs.

The NPMU will submit quarterly consolidated

IUFRs

45 days after

end of quarter

Each quarter Complied as per due

dates.

Internal Auditors (for NPMU and SPMUs);

External Auditors (by NPMU) will be in place

6 months from

start

March 21,

2011

Complied.

NPMU will submit annual audit reports for the

entire project

6 months from

close of FY

September 30,

2012

Complied.

NPMU and the SPMUs will establish,

operationalize and maintain computerized

accounting system

3 months from

start

December 21,

2011

Complied.

F. Environmental Management

24. The implementation plans for all activities included environment management measures; and monitoring

measures to ensure that the issues avoided during design do not recur. The monitoring and evaluation

processes for priority investments include plans third-party audits as relevant. The environment management

measures have been adequately budgeted and staffs have been designated to provide the required oversight.



14

The SPMUs and PEAs are continuing to ensure that regulatory clearance requirements, such as the CRZ

clearance are addressed adequately. The SPMUs have ensured that the relevant environmental management

and mitigation measures are effectively integrated in construction contracts or bidding documents such as

sewerage and sewage treatment works. The SPMUs are also ensuring that the solid waste management

activities at Paradeep and Digha, prepared through transaction advisory services; and the integrated plans

prepared by consultants at Digha, Sagar Island, and Dandi are fully complying with the country

environmental regulations as well as Bank’s safeguard policies. Annex 5 provides further details on current

status of environmental safeguards management for the project.

25. With regard to institutional capacity for environmental management, the NPMU and SPMUs continue to have

professionals with a good level of environment awareness and experience. Areas where improved focus will

be needed are: (A) in the Gujarat State Component (i) the supervision consultants on behalf of the Jamnagar

Municipal Corporation to enforce contract provisions for appropriate shoring and/or benching for excavations,

especially for deep trenches and improved debris management, (ii) SPMU to facilitate quick preparation of

documentation required for CRZ clearances for the marine Interpretation center at Mandavi and the marine

oceanarium at Dwaraka; (B) in the Odisha State Component (i) PEAs to document the status of

environmental management measures as part of quarterly progress reports; and (ii) the relevant PEAs to

increase the level of monitoring on construction sites to ensure effective construction site management; (C) in

the West Bengal State Component all PEAs to provide for effective supervision and submitting timely

monitoring reports with respect to the environmental management actions. In the National Component, it is

important to make the communication cell effective and implementing a package of activities for larger

stakeholders communicating the benefits and the processes of mapping the hazard line and the ESAs and their

intended use at policy and plan levels.

26. Some of the PEAs (or the newer staff of PEAs joining implementation) however are yet to be fully aware of

the precautionary environmental measures, mitigation and monitoring measures designed as an integral part

of the project activities. NPMU and SPMUs are currently taking initiatives to build awareness and capacity of

PEAs. The monitoring plan agreed earlier to be implemented during December 2012 is yet to be rolled out

and it was agreed during the MTR that this monitoring will be integrated with the proposed web-based real

time monitoring system (which is delayed from the initial expectation of being operationalized by April 2013,

and is now expected to be fully installed by September 2013).

G. Management of Social Issues and Impacts

27. In the National Component: The plan preparation works at Dandi ESA and the activities by MSSRF at

Vedaranyam are being implemented with adequate attention to the social issues. The scope of ICZM Plan that

is being finalized by the NCSCM has considered adequate ranges of social issues to be studied and included

in the plan preparation process, which itself is a revolving process of multi-stakeholder consultation. During

MTR it was agreed that SICOM will arrange an exposure visit to Nepal for social development staff of

SICOM, SPMUs and CBO representatives from all the three Project States. The social development staff and

the CBO representatives will interact with (i) forest user’s group in the Chitwan National Park; and (ii) the

CBOs formed under the Poverty Alleviation Fund project. The objective of exposure visit will be to

understand the mechanism and practices adopted by users’ groups and the CBOs for long term sustenance.

28. In the Gujarat State Component: The mission was pleased to note the progress made in implementation of

social aspects under the project. The GEC has completed inception meetings with all the targeted villages.

Baseline data has been completed for 154 villages out of total 166 identified villages. Community has been

trained in procurement and so far 136 community contracts have been procured. In order to mobilize

community for mangrove plantation and its maintenance, 40 eco development committees (EDCs) and 109

community based organizations (CBOs) have been formed in 149 villages covering 17,555 members. Project

has ensured that women constitute fifty percent of the total members of the CBO. For the livelihood

improvement pilot investments, community mobilization is completed in 149 villages, and progressing well in

the remaining villages. So far 97 entry point activities have been completed. Given the success of initial set of



15

entry point activities and based on the needs assessment, the number of entry point activities has been

increased in Jamnagar and Kachchh districts.

29. The community mobilization processes used by the GEC/SPMU has been very comprehensive. A group of

dedicated and committed field workers and project coordinators ensured inclusion of women and vulnerable

groups. The mission was pleased to note that field coordinators are emphasizing the value of literacy and have

taught women to write their names, built confidence that women can approach banks (mobile banks visits the

village) and operate bank accounts. Books of account are being maintained meticulously in each village and

discussions are also properly recorded as minutes of the meeting.

30. The mangrove plantation by the Gujarat Ecology Commission alone has already directly benefited over 1,200

persons and over 36,000 persons indirectly. Approximately 50 percent of the both direct and indirect

beneficiaries are women. Out of the targeted 480 SHGs (3 SHGs per village), 283 SHGs have been formed in

the project villages and another 20 SHGs are under the process of formation. Several capacity building

initiatives have been taken by SPMU including orientation/exposure visits for CBOs and eco-development

committees, and skill enhancement and administrative training for SHGs.

31. The SPMU hired the services of Aga Khan Rural Support Program (AKSRP) to assess the capacity building

needs and to prepare an action plan for capacity building for the CBOs promoted under the project. The

SPMU also hired Unnati, a non-governmental agency to train community members of the social audit

committees (SACs). Approximately 1,500 community members have been trained on management of

contract, quality and quantity monitoring.

32. Gujarat SPMU has tied up with State Legal Service Authority (SLASA) to implement the public grievance

mechanism under project. To create awareness and to disseminate information about the grievance redress

mechanism of the project among the judiciary of the state, public grievance workshops were organized in

Ahmedabad, Jamnagar and Surat in April-2011, September 2012 and December 2012, respectively. More

than 200 judicial first-class magistrate and district session judges have been trained.

33. No social safeguard issue has been identified in the investments in Gujarat. For the STP at Jamnagar, around

60 acres of land was acquired in 1988. Though all 25 landowners were paid compensation, they continued to

cultivate the land until April 2011. The community voluntarily moved out the site after their last crop harvest.

There is a temple at the far end of the site which will not be relocated. The project will also provide an access

road to the temple.

34. The SPMU now needs to expedite the implementation of the enhanced entry point activities. All such entry

point activities should be completed by June 2014. Vacant posts of project coordinators for livelihood

activities to be filled by September 2013. Additional attention is now needed on ensuring sustainability of

SHGs through market linkages; identification and adoption of well-defined and demand-driven trades; and

convergence with the government run schemes.

35. In the Orissa State Component: The Orissa SPMU has made a very good start and community mobilization

has been very effective. To involve civil society in successful implementation of the project, project organized

a day-long NGO consultation workshop. Substantial progress has been made in fisheries component of the

project where 637 SHGs have been formed and financial support has been extended to 411 SHGs to

implement alternate livelihood measures. Project has so far identified 119 sites for installation of solar driers

and department of fisheries has already taken advance possession of 94 such government sites. Activities

under fishery component have directly benefitted over 69,600 persons of which approximately 32 percent are

women. The PEA had identified 30 SHGs so far and has initiated skill training activities for coir products.

The progress of development of coir village however is extremely slow though lot of effort has been made to

enhance skill of crafts-persons and SHG members. Community in the village Gola has donated 0.8 decimal of

land for construction of the common facility center for coir activities; while the site for training and

production center and coir craft tourist village has been finalized. However, the Department of Forest and

Wildlife is very slow in implementing the community based nature tourism as a source of alternative

livelihood in order to reduce the pressure on forest and other natural resources. Recently land alienation was

approved and department has obtained advance possession of land at both Buxipalli and Koilipur. The land



16

identified is government land free of encroachment and other encumbrances. Though the community has been

informed of these initiatives, and even if community level workshops were organized at Prijipur and Chilika,

concrete actions yet to be finalized. For the improvement and conservation of historical sites, community

consultations have been carried out in each of the heritage sites including detailed consultation on the

enhanced scope of the peripheral development. Conservation of cultural and historical sites has already

directly benefitted 6,000 persons of which little over 2,000 are women. However, capacity building training

for 35 stone artisans and temple masons is yet to start.

36. It was agreed that project will develop micro plans to involve community for each of the identified

beneficiary villages under various community based ecotourism activities. The Odisha State Tourism

Development Corporation is yet to finalize a capacity building plan for communities of villages Barkul and

Tampara. Formation of CBOs for ecotourism activities around the Chilika and the Tampara lakes has been

delayed, and consequently the special training on ecotourism and hospitality management for the villagers of

the Tampara Lake also has been delayed. The participatory rural appraisals including household surveys and

the training need assessment has been completed in Pathara (Badakul) and Humara (Tampara) villages. The

mission was informed that the Kali Jai Temple is still owned by the erstwhile King. It was agreed that the

social mobilizer and the ecotourism facilitators will check the land ownership with revenue department. It was

agreed that if the land is found to be belonging to an individual, no project activity will be carried on the said

parcel of land.

37. The land identified for various activities are government land that is free of all encroachment and other

encumbrances other than land transferred for solid waste management in Paradip. The land provided for

Paradip solid waste management, belongs to IIDCO – another government agency. The SPMU has obtained

the revenue records of the land; and it was reported that the site has one temporary structure. It was agreed

that SPMU will verify the existence of such a structure; and if found, compensation or assistances will be

provided as per the agreed resettlement policy framework.

38. In the West Bengal State Component: The ecotourism project at the Sagar Island though has provision

community participation and formation of SHGs to handle every activity, no concrete discussion has been

started (although the plan preparation consultants undertook some stakeholder consultation – as part of data

collection). For the livelihood improvement activities in the Sagar Island, out of total 84 wards in 6 gram

panchayats, the partner NGOs have so far covered only 27 wards. So far 294 SHGs have been formed of

which 251 are all-women SHGs. These SHGs also include 241 members from climate refugee families.

Identification of entry point activities and other economic activities have been substantially delayed. Though

project has so far identified and approved only about 50 entry point activities, of which a further smaller 24

had been approved, and the remaining workload is large. Similarly, only 46 income enhancement plans had

been prepared, but only 26 have been submitted to SPMU for approval (and SPMU had approved none yet).

It was agreed that all community groups (SHGs or CBOs) will be formed, and community contract documents

will be signed by the December 2013; including that SPMU will sign community contract documents with the

330 community groups already formed by September 2013. It was also agreed that the partner NGOs will not

wait for all the groups to be formed to start implementation of the entry point activities. Revolving funds for

sustenance of community groups should also be disbursed by the end of December 2014, so that sustenance of

these groups beyond the project period is assured.

39. In Digha, the sites identified for on-site relocation of kiosks and vendors can accommodate 1882 vendors and

handicraft stalls, even if the total need is to provide for all 2550 such vendors. The DSDA has to identify

other site to accommodate the rest of the vendors and kiosks. Alternatively, none of the remaining kiosks will

be displaced (except that they may be requested to shift backwards from the edge of the roads). The kiosk

owners have positively responded to the consultation carried out by the DSDA and the plan preparation

consultants. The consultation process now has to be renewed by the DSDA to take written consent from each

of the kiosk owners. Consultation as per the resettlement policy framework also needs to be completed for the

proposed landfill site at Digha, before the bidding process begins. The DSDA has kept records of all third-

party damages (mostly boundary walls of private properties, public water supply pipes) caused by laying of

the drainage works (and potentially in the upcoming sewer works) in Digha. SPMU and DSDA agreed that all



17

such damages will be made good by the contractors, and the final payments will not be made unless DSDA

confirms that all damages have been repaired.

H. Procurement

40. There was satisfactory progress in hiring consultants, awarding major works and initiating goods

procurement. Since the last mission, most agreements to accelerate procurement have been complied with by

the NPMU and SPMUs. Exception to this were the one case of delay in bidding in the national component,

another case of delay between award and contract signing in Gujarat; two cases of delay in signing the award

in Odisha; and several cases of delay in West Bengal. However, the cases in the national component and in

Gujarat and Odisha have now been resolved. The agreements on augmentation of procurement capacity of

NPMU and SPMUs also have been complied with.

41. The MTR acknowledged the significance of the two earlier awards related to (i) architectural Design and

supervision consultancy for construction of the NCSCM building at Chennai – which was a major quality-

based selection based on a national competition; and (ii) setting up the sewage treatment facility at Jamnagar

using a DBO including operation and maintenance of a post-construction period of 15 years – the first such

contract in the Bank projects, and the first ‘technology-agnostic’ bid for sewage treatment plant in India. The

MTR suggested SICOM/SPMU to document the procurement processes for dissemination to wider public

agencies, as these processes could prove to be beneficial beyond the project.

42. The project has almost completed all major procurement. The remaining procurements are all post-review,

except one major works contract (marine oceanarium and research center to be developed on a public-private

partnership model, which is expected to be awarded by January 2014; the project financing is US$7 million

out of the expected total cost of the activity being as high as US$80 million). The notable achievements are

the following:

a. The total procurement (already awarded by June, 2013 or to be awarded before September 2013) is

worth INR 5190 million and INR 3160 million respectively, totaling INR 8350 million (US$ 185 m at

2010-11 prices), and is on schedule to meet the target value of US$ 187 m agreed in the Fourth

Implementation Support Mission (February 2013).

b. There has not been any significant change in the number of awards of community contracts since the

Fourth Implementation Support Mission. Nearly 1000 contracts in the project are community

contracts (packaged into 66 contract packages) – each small, but important. Albeit small, each

requires essential capacity building of community groups before contracts are signed. Nearly 300

such community contracts (value ~US$ 2 m) are already signed, and work under implementation;

while capacity building activities for the remaining 700 community groups are underway; and in

Gujarat and Odisha all are expected to be signed by September 2013. Most of the community

contracts not expected to be awarded before September 2013 will be in West Bengal, where the

SPMU will particularly ensure that all such community contracts are awarded before December 2013.

c. Of the 183 works contracts, 131 contracts (worth INR 556 crore) are already awarded (70 contracts

worth INR 340 crores) or will be awarded before September 2013 (61 contracts worth 216 crore). The

remaining ones – all small and post review contracts include a few ecotourism contracts in Odisha

and Gujarat; similar but larger number of contracts in West Bengal – all expected to be awarded by

December 2013. As indicated earlier, only one works contract for the MRCI in Gujarat cannot be

awarded before January 2014.

d. Of the 328 goods contracts, 217 contracts have been awarded (value INR 78 crore) and the remaining

62 contracts (worth INR 53 crore) will be awarded by September 2013 and 51 contracts (worth INR

95 crore) will be awarded by December 2013.

43. However, the progress of award so far is not sufficient to guarantee continued improved disbursement. Most

of the community contracts are yet to be awarded, and all such contracts should be awarded before September



18

2013 (December 2103 in the case of West Bengal with respect to the livelihood improvement community

contracts in the Sagar Island).

a. Very close attention needed to ensure that the 173 contract packages (including about 19 community

contract packages, 61 works contracts, 62 contracts for goods and equipment, and 31 consultancies –

together totaling INR 316 crore) proposed to be awarded before September 2013 does not suffer any

slippage.

b. Similarly, a total of 153 contract packages (totaling INR 297 crore, 17 community contract packages,

51 works contracts, 51 contracts for goods and equipment, and 34 consultancies) are proposed to be

awarded during September-December 2013. It will be crucial to manage timely award of these, too.

44. The Mission noted that the entire remaining procurement for the project has been scheduled to be completed

by December 2013, before the close of the FY 2013-14. However, there is a need to monitor the procurement

closely to ensure that not only there is no slippage in the planned activities, but contract milestones are also to

be closely monitored from now. These will ensure sufficient time being available for delivery of the

contracted goods, works and services before the closing date of the project.

45. The Procurement Thresholds for the Project was defined in the Procurement Manual for the India ICZM

Project dated April 29, 2010. Subsequently, the Procurement Thresholds were revised during the Third

Implementation Support Mission and became effective from August 26, 2012. During the MTR Mission, the

National and State Project Management Units (NPMU and SPMUs) and the World Bank Team discussed and

agreed on the need to revise the Procurement Thresholds further such that implementation of the project

activities is hastened and consequently the disbursement performance. Based on the discussions and

agreements, the Procurement Thresholds were revised effective June 13, 2013 (see Table A8.1, Annex 8 for

details).

46. The Procurement Plan and Schedule for the project (revised dated May 9, 2013, and approved by World Bank

dated May 27, 2013) was last revised in April 2013 and approved by the Bank. During the MTR mission, a

number of cases were discussed and agreed with respect to (i) reducing scope of some activities, thereby

deleting contracts, (ii) expanding scope of a number of activities, thereby adding new contracts, and (iii)

revising the procurement method for a large number of goods and equipment. These were agreed in principle,

and will be included in the Procurement Plan after approval by the GC of SICOM. A revised Procurement

Plan, showing the changes approved by SICOM will be shared with the Bank for approval by early September

2013. Once approved by the Bank, the updated/revised Procurement Plan will be duly disclosed. Disclosure

of procurement information has remained satisfactory since improvement noticed during November-

December 2011.

47. A revision of the Procurement Manual for the Project dated April 29, 2010 is currently in progress, mainly to

reflect the application of Bank Procurement Guidelines 2011, in specific to reflect the agreement during the

Fourth Implementation Support Mission to use force account procurement of satellite images, and the

agreement during MTR with respect to the revised procurement thresholds. The revised Procurement Manual

will stand modified with respect to the above changes in Procurement Thresholds effective June 13, 2013; and

as such should be reflected in the upcoming revisions of the Procurement Plan and the Procurement Manual.

The prior review thresholds will continue to be reviewed (based on the actual progress and improvements

noted as implementation of the project also progresses) to ensure procurement management is carried out

appropriately.

48. The agreed details with respect to procurement management are in Annex 8, and supplementary disbursement

related details as well as information on the progress made in procurement during July 2012 and March 2013

are available in Annex 9.



19

I. Financial Management

49. The overall accounting systems in SICOM and the project states of Gujarat, Odisha and West Bengal are

working well. Actions agreed in the last implementation review mission have been completed by SPMUs and

NPMU. Except for West Bengal SPMU, where there is a partial compliance to the budget legal covenant (i.e.

budget has been allocated, but funds were not transferred due to availability of earlier year’s cash balance

available with these entities), all other financial covenants have been met by the project. The MTR mission

appreciated that SICOM and the SPMUs are unlikely to get further releases from finance departments due to

low spending and non-submission of utilization certificates against the earlier budget released; and the only

option for them is to improve expenditure and disbursement situations.

50. SICOM has conducted finance and procurement workshop for all PEAs. The mission encourages SICOM to

periodically carry out such workshops. In Gujarat, an amount of INR 1.62 crore is pending with CBOs as

advances, and the mission requested the GEC to review each such case individually, and take steps to get the

utilization certificates against the advances. The GEC has agreed to complete this exercise by September 2013

end (but it is expected that an additional amount of advances that will be released against progress of work

and receipt of utilization certificates will remain to be utilized and accounted in the next quarters. In Odisha

and in West Bengal, the accounts for vendors are maintained through cost centers, which are not providing

accurate party-wise reports. The MTR mission suggested all SPMUs to maintain separate ledger accounts for

large contractual payments so that TALLY can provide party wise ledger accounts. The SPMUs will continue

to monitor bank guarantees (BGs) for all contracts; with an updated list of BGs available with the SPMU to

ensure that all BGs remain valid and properly regulated. Staffing at the SICOM, the SOI, the NCSCM, and at

all the SPMUs are as per agreed staffing pattern. Training for PEAs is being conducted by the NPMU and the

SPMUs continuously. In West Bengal, vacancies are there in 3 PEAs, and although candidates were selected

for these positions, the SPMU is requested to ensure that such staff are in place shortly.

51. Internal audit reports were prepared and submitted timely. Audit committee meetings are happening on a

yearly basis. The mission requested NPMU and SPMUs to organize the audit committees meetings at least on

a half yearly basis to review and discuss the reports, and take cognizance of the compliance for issues

highlighted. The scope of the work of the internal auditors in all 3 SPMUs has now been expended to cover

payments and contract management with respect to community contracts, as applicable. The external audit

reports for FY10-11 and FY 11-12 was completed and shared with the Bank in time. SICOM informed that

the audit for FY12-13 is already under progress, and the final audit report is expected to be shared with the

Bank well in advance of the due date of September 2013. See Annex 7 for detailed discussions on financial

management processes and systems in the project.

J. Lessons Learnt during implementation of the Project

52. Use of social mobilizers and social mobilization: Social mobilization using PRA tools as a primary step of

community development under ICZMP allowed the community to think and understand their situation and

helped them to organize and initiate action to create village level asset. Through mobilization, community

organized themselves to take action collectively by developing their own plan and strategy rather than being

imposed from outside which was quite evident in the village meetings. It helped the community to make

informed decisions, reach sustainable solutions, and achieve better results faster, while at the same time

enhancing their solidarity and capacity to undertake development initiatives.

53. Entry point activities: Entry Point Activities (EPA) as part of community mobilization process helped project

to get maximum participation of the community members. Though EPAs implemented in the project are not

capital intensive, it brought entire villages on a common platform. Identification of EPA through a series of



20

formal and informal discussion in groups and through village meeting facilitated to get maximum

participation of villagers at planning as well as at the implementation stage. The fact that EPAs have been

identified through consensus proves that decisions taken were not influenced by influential groups in the

village. This also encouraged the community to come up with contribution in physical and financial form. All

the EPAs have been representative, simple and cost effective.

54. Gender representation in CBOs: Formation of CBOs and at least 50% representation of women in the group

and several self – help group (SHGs) allowed women from the same socioeconomic background to come

together for the purpose of solving their common economic problems. These CBOs and SHGs in the project

have resulted in a powerful vehicle for the poor in their socioeconomic development and a key strategy for

simultaneously addressing both poverty alleviation and women’s empowerment. Discussion with several

women groups in the villages revealed that gender representation in CBOs and women SHGs have helped

women to move from marginal positions within the household decision-making process and from exclusion

within community, to one of greater centrality and inclusion of voice.

55. Other lessons that could be subject to further analysis include: (a) it is important to have a mechanism of

regular review at the highest level in the state if multiple departments are involved in implementation, and a

mere process of guidance and approval is not sufficient; (b) exciting knowledge activities create non-trivial

cohesion among multiple implementing departments, who otherwise have no incentive to collaborate with

each other; (c) it is useful to take advantage of six-monthly implementation review missions to forge cross-

learning; (d) repeated and extensive exposure to international practices, even if all not applicable in the

context of the project area, are useful in creating improved circumstances to implement difficult activities; (e)

integrated, multi-department components (or sub-components) have the same chances of being effectively

implemented when compared to single-sector project components (or sub-components). Analysis of these,

and further other lessons, will be part of the scope of work of the independent evaluation consultants, with an

aim to use these lessons in the remaining duration of the project, and in the wider programs of the project

implementation agencies.

K. Agreed Next Steps and Mission

56. The next implementation support mission will be held in November-December 2013. It is proposed that it will

be a joint mission, with official from SICOM and each of the Project States participating in site visits and

discussions in other Project States and for the national component. It is expected that the evaluation

consultants (expected to be procured by September 2013) will also form part of the mission team.

57. Following is a list of major agreed actions required from the national and the state project management units

(or the MOEF and the State Governments, as applicable) to be undertaken and completed within the next six

months. A number of other issues were discussed and actions agreed during the MTR mission. See Annex 10

for a full list of all agreed actions.

Main Issues Agreements on Next Step Responsibility Due Date

Ov

era

ll P

roje

ct

Slow Disbursement: Current

disbursement remains lower than

originally anticipated (US$39 m

compared to US$80 anticipated at

approval of the project). Although

disbursement in FY13 (US$21m)

has been an improvement, this is

yet not able to bridge the

disbursement lag created due to

earlier slow implementation.

Project to implement the current annual plan for

FY13-14 for an expenditure of INR 480 crores. The

desired and minimum disbursement estimate for

FY14 is US$ 57m and US$ 45m respectively.

MOEF/SICOM GC needs to facilitate sufficient

budget release.

SICOM and

All SPMUs

Quarterly-

December

30, 2013

Monitoring and ensuring that all agreed procurement

actions are completed as per the procurement

schedule agreed in February 2013; including close

monitoring of intermediate steps for procurement.

SICOM and

All SPMUs

Monthly -

September

30, 2013



21


Co

mp

on

ent

1:

Na

tio

na

l C

om

po

nen

t

Capacity of the SICOM: Several

positions at SICOM remain vacant;

and there is need for additional

capacity. The most important

issues are: (i) absence of the

additional project director, and the

head of HR and administration, (ii)

non-performance of the

communication unit, and (iv) lack

of an HR appraisal system.

An additional project director should be appointed to

support the National Project Director.

SICOM August

31, 2013

A senior officer/professional to be recruited to head

the administration and HR function.

SICOM August

31, 2013

HR systems including performance appraisal

processes should be established.

SICOM September

30, 2013

The entire communication cell is defunct. At least 2

more staff including a head of communication cell

should be appointed.

SICOM August

31, 2013

Monitoring and evaluation processes need augmentation.

Recruitment of a suitable

evaluation team is delayed, and

must be completed.

Full operation a full-fledged web-based project

monitoring system (after testing is complete in July

2013). All PEAs and SPMUs to be provided hands

on training on this.

SICOM August

31, 2013

Procurement of the Evaluation Consultants to be

completed by August 2013 (the first Evaluation

Report should be available by December 2013).

SICOM August

31, 2013

Co

mp

on

ent

2:

Gu

jara

t S

tate

Co

mp

on

ent

Slow Expenditure; completing

procurement; and efficient

contract management: Current

expenditure remains lower than

originally anticipated (INR 64

crore compared to INR 225 crore

anticipated at approval of the

project). The planned expenditure

in FY13-14 is INR 112 crore. This

needs to be ensured.

Contract management needs to be

strengthened in light of delay in the

contracts for sewerage.

[Same as agreed in February 2013] Monitoring and

ensuring that the planned procurement including

award of community contracts (with cumulative

targets of awards worth US$73m by September

2013, and US$90m by January 2014).

SPMU and all

PEAs

Monthly –

December

31, 2013

Finalize bidding documents (with expert inputs as

needed) and organize prospective bidders' meet for

the MRCI

SPMU August

31, 2013

Discussion with all PEAs to improve contract

management (especially when large works contracts

are involved), and preparing a plan to avoid time and

cost overrun.

SPMU

(and PEAs)

September

30, 2013

ICZM Plan: Draft ToRs are

available. Support consultants are

being selected (and will be in place

by July 2013). The plan

preparation process now needs to

be accelerated.

Support consultants will be selected and be in place. SPMU September

30, 2013

With help from the support consultants, a detailed

schedule of plan preparation (including stakeholder

engagement and specific studies) will be prepared

and shared.

SPMU September

30, 2013

Co

mp

on

ent

3:

Od

ish

a S

tate

Co

mp

on

ent Slow Expenditure; completing











strengthened to avoid future

delays.




targets of awards worth US$51m by September 2013

and US$52m by December 2013).

SPMU and all

PEAs

Monthly –

December

31, 2013




cost overrun.

SPMU

(and PEAs)

September

30, 2013

Prepare monthly expenditure projections for FY13-

14, and submit to SICOM to accelerate the process

of transfer of funds to SPMU.

SPMU August

31, 2013


available. Scope of work for

preparation of shoreline

A detailed schedule of plan preparation (including

stakeholder engagement and specific studies) will be

prepared and shared.

SPMU September

30, 2013



22


management plans has been

prepared. The plan preparation

process now needs to be

accelerated.

Procurement of specialized consultants, if planned

should be initiated.

SPMU October

31, 2013

Co

mp

on

ent

4:

Wes

t B

eng

al

Sta

te C

om

po

nen

t











A major concern is the relative

lack of completion of procurement.

The current award is worth $28

million, while about $35m is yet to

be awarded. Potential further

procurement delays need to be

proactively avoided. It will be a

challenge to complete the

scheduled procurement by

September and December2013.



contracts for sewerage, drainage

and electricity distribution.




targets of awards worth US$53m by September 2013

and US$61m by December 2013).

SPMU and all

PEAs

Monthly –

December

31, 2013

Whenever the progress of procurement is not

sufficient to achieve the target above, all

procurement will be cancelled and the activities

dropped from the project. This is especially with

respect to the activities where large procurement is

remaining. The PEAs involved specifically are the

Department of Disaster Management, Department of

Fisheries (or the Fisheries Development

Corporation), the ZSI, the Sundarban Infrastructure

Development Corporation.

SPMU (and

PEAs)

September

2013 and

December

2013

Prepare monthly expenditure projections for FY13-

14, and submit to SICOM to accelerate the process

of transfer of funds to SPMU.

SPMU August

31, 2013




cost overrun.

SPMU

(and PEAs)

September

30, 2013

ICZM Plan: The plan preparation

process now needs to be initiated.




SPMU September

30, 2013

Procurement of specialized consultants, if planned

should be initiated.

SPMU October

31, 2013

58. The following annexes are part of this aide memoire.

Annex 1 - List of Officials and Resource Persons met during the Mission

Annex 2 - Results Framework: Update at MTR

Annex 3 - Governance and Accountability Action Plan: Update at MTR

Annex 4 - Activity-wise Summary of Progress and Agreed next Steps

Annex 5 - Management of Environmental Issues and Processes

Annex 6 - Management of Social Safeguards and Social Development Processes

Annex 7 - Financial Management Systems and Performance

Annex 8 - Procurement Management Systems and Performance

Annex 9 - Disbursement Performance and Procurement Schedule

Annex 10 - Detailed List of Actions Agreed at the Mid-Term Review

Annex 11 - Activity-wise Progress of reaching Beneficiaries in the Project

Annex 1

List of Officials and Resource Persons met during the Mission

23

Government of India and Stakeholders for the National Component

1. Dr. V. Rajagopalan, Secretary, Ministry of Environment and Forests

2. Dr. Harapanahalli, National Project Director, SICOM

3. Mr. Vivek Wadekar, National Project Director, SICOM

4. Mr. Pushkal Upadhyay, Finance Director, SICOM

5. Mr. Akash Sharma, SICOM

6. Ms. Anjali Samal, SICOM

7. Mr. V S Krishnan, SICOM

8. Mr. Sumeet Singh, Team Leader, PFM Support Consultant, SICOM

9. Mr. Rajshehkar, Project director, Survey of India

10. Mr. R. M. Tripathi, Additional Surveyor General of India (Tech), Survey of India

11. Mr. S. K. Sinha, Deputy Surveyor General of India

12. Prof. R. Ramesh, Director, NCSCM

13. Dr. Purvaja Ramachandran, Division Chair (Futuristic Research) NCSCM

14. Dr. Ajay Parida, MS Swaminathan Research Foundation

15. Dr. V. Selvam, Director, MS Swaminathan Research Foundation

16. Dr. Sophia, MS Swaminathan Research Foundation

Government of Gujarat and Stakeholders in Gujarat

1. Mr. A. K. Das, Principal Secretary, Forest & Environment Department

2. Mr. A. K. Verma, Member Secretary GEC, State Project Director, SPMU

3. Mr. Anupam, Commissioner, Jamnagar Municipal Corporation

4. Mr. Nischal Joshi, Head of Operation, Gujarat Ecology Commission

5. Mr. D. K. Sharma, Chief Conservator of Forest, Kutch Forest Circle

6. Mr. R. D. Kamboj, Chief Conservator of Forest, Marine National Park, Jamnagar

7. Mr. Lomesh Bhrambhatt, Field Manager, Gujarat Ecology Commission

8. Mr. Ishwar Desai, Social Scientist, Gujarat Ecology Commission

9. Ms. Krupa Jha, Botanist, Gujarat Ecology Commission

10. Mr. Ankur Patel, Botanist, Gujarat Ecology Commission

11. Mr. Rohit Pansare, Environmental Planner, Gujarat Ecology Commission

12. Mr. Manish Dohre, Manger Projects, Gujarat Ecology Commission

13. Mr. Mr. B.J.Vasavda, Procurement Consultant, Gujarat Ecology Commission

14. Mr. S.P.Patel, Dy Director, Gujarat Ecological Education & Research (GEER) Foundation

15. Mr. Dishant Parasharya, Project Coordinator-Coral & Coral Reef, GEER Foundation

16. Dr. Harshad Salvi, Scientist, Gujarat Ecological Education & Research (GEER) Foundation

17. Mr. K.C. Mistry, Nodal Officer, Senior Scientist, Gujarat Pollution Control Board (GPCB)

18. Mr. Ajay Patel, Project Manager, BISAG

19. Mr. Jaydeep Singh, Project Scientist, BISAG

20. Mr. Sumit Prajapati, Project Scientist, BISAG

21. Mr. Bhagitath Kansara, Project Scientist, BISAG


Annex 1 to Aide Mémoire: Mid-Term Review Mission, May-June 2013

24

Government of Odisha and Stakeholders in Odisha

1. Mr. J.K Mahapatra , Development Commissioner and Additional Chief Secretary (Finance), Govt of Odisha

2. Mr. R.K Sharma, Commissioner cum Secretary, Forest & Environment Dept, Govt. of Odisha

3. Dr. Ajit Kumar Pattnaik, Project Director, ICZMP- Odisha

4. Mr B.K Samal, APD (F & A), ICZMP- Odisha

5. Mr. Manoj Mohanty, Procurement Officer, ICZMP- Odisha

6. Mr. Dinakar, APD (Operations), ICZMP- Odisha

7. Mr B.K Samal, APD (F & A), ICZMP- Odisha

8. Mr. Chitta Ranjan Mishra, Addl. Chief Executive, Chilika Development Authority

9. Dr. D.K. Rout, Nodal Officer, OSPCB

10. Mr J.K. Das, Sr. DMBD-II, OTDC

11. Mr. B.K. Das, Additional Director, DH & CI

12. Mr. P.K. Nanda, Coir Supervisor, DH&CI

13. Mr J.K. Tripathy, Executive Engineer, Aul Embankment Division ,Water Resources Dept,

14. Mr. A.C. Naik, Addl. Director, Fisheries& ARD Dept, Govt. of Odisha

15. Mr. S.K. Das, Nodal Officer Culture Department, GoO

16. Mr B.K. Das, Nodal Officer, DH & CI, GoO

17. Dr. R.K. Nayak, Executive Officer, Paradeep Municipality

18. Mr.P.K. Swain, CWLD, Balugaon

19. Dr. A.K. Sahu, Ecologist, ICZMP, Odisha

20. Dr. Debasish Roy, Sr. Scientist, Forest & Env, Dept., GoO

21. Dr. Mamata Mishra, RD Expert, ICZMP, Odisha

22. Dr. N.C. Biswal, Fishery Specialist, ICZMP, Odisha

23. Dr. S.S. Pati, STA, OSPCB

24. Ms Manaswini Mishra, Documentation Officer, ICZMP, Odisha

25. Mr. Biswajit Sahoo, Communication Officer, ICZMP, Odisha

26. Mr. Binayak Padhy, MIS Expert, ICZMP, Odisha

27. Ms Swapnadatta Mohanty, Architect, M/s. Nesters

28. Mr. Narayan Tripathy, Architect, M/s. Nesters

29. Mr.Deepak Panda, Architects’ Studio

Government of West Bengal and Stakeholders in West Bengal 1. Mr. Trilochan Singh, Additional Chief Secretary, Environment Department

2. Dr. Subrat Mukherjee, State Project Director

3. Mr. Soumen Pal, Digha Sankarpur Development Authority

4. Mr. A.K.Ghosh, WBSEDCL

5. Mr. B. Chakraborti, WBSEDCL

6. Mr. Chayan Sur, SPMU

7. Mr. Selvin, SPMU

8. Dr. Maitree Bhattacharyya, Associate Professor & Nodal Officer, Kolkata University

9. Dr. Prasanna Yennawar, MARL, ZSI, Digha

10. Dr. Anil Mahapatra, Marine Aquarium & Regional Centre, Digha, Zoological Survey of India

11. Mr. N. Sanjeev Kumar, Public Health Engineering Directorate

12. Mr. Subir Kumar Ghosh, Public Health Engineering Directorate

13. Mr. D.J.Chakraborty, Chief Engineer, Sunderban Development Board

14. Mr. Amit Choudhury, Joint Secretary, Department of Disaster Management



25

15. Ms. Arpita Chakraborty, Project Scientist, Kolkata University

16. Mr. Pijush Basak, Project Scientist, Kolkata University

17. Mr. Arindam Mondal, Project Scientist, Kolkata University

18. Mr. Amit Bera, Project Scientist, Kolkata University

19. Mr. D.K.Bhagat, Manager, FQA, WBSEDCL

20. Dr. Dipankar Roy, Tagore Society for Rural Development

21. Mr. Alak Haldar, Chief Administrative Officer, IESWM

22. Mr. Anil Kumar Mondal, Tagore Society for Rural Development

23. Mr. P.K.Pal, West Bengal Forest Department, Purba Medinipur Forest Division

Annex 2 Results Framework: Update at MTR

26

1. Following is an update on the current progress, as per information available by May 2013, with respect to the (i) Project Outcome Indicators, and (ii)

Intermediate Outcome Indicators. Note that an independent evaluation report is not yet available; and the current progress is based on monitoring reports from

the implementing agencies. Summary of the update is reflected in Section C, paragraphs 4-15 of the Aide Memoire.

2. Most of the indicators, as per the project’s result framework are composite indicators. Therefore, progress is to be counted when all parts of the composite

indicators are completed. As an example, for Outcome Indicator 3 (see below), even if a pilot activity is completed, progress will be counted if such activity is

completed demonstrating cross-sectoral and spatial integration. Partial completion is explained as “remarks”.

Project Outcome Indicators / Intermediate

Outcome Indicators (as per Project

Appraisal Document)

Baseline Target Values Current

Progress

Remarks on / Explanation of Current Progress

YR1 YR2 YR3 YR4 YR5

Ov

era

ll P

roje

ct O

utc

om

e In

dic

ato

rs

1. Existence of an appropriate national

institutional structure for guiding and

coordinating implementation of ICZM

approaches5

Not

Applicable

- - 1 1 1 1 NCZMA is established and functioning. SCZMAs

are functioning in all states. NCSCM is established

and functioning. CZM Board proposed by MOEF

was not approved by the GOI, and the related

functions remains with MOEF (which is a CRZ

Division working with SICOM and NCSCM).

2. “Knowledge Benchmarks” are shown

to be of high value to end users of

knowledge services (provided by the

National Center for Sustainable Coastal

Management and related network)6

Baseline to

be

established

in YR1

- 2 - 6 10 2 Baseline yet to be defined and developed. Based on

tentative benchmarks (as per PAD), improvements

are apparent in the following: (i) publications in peer

reviewed journals, (ii) trained and qualified

practitioners, (iii) number of reports from monitoring

and evaluation coastal zone management, and best

practice reports, (iv) national policy-making based on

in-country knowledge products (shoreline change

assessment). As end-user satisfaction survey results

are not available; progress is counted at 50% of

above.

5 A series of Institutional Benchmarks (IB) was defined at appraisal (listed in the Annex 3A of Project Appraisal Document); but to be refined by the evaluation consultants.

6 Ten Knowledge Benchmarks (KB) were to be identified and baseline developed in Year 1 by the evaluation consultants. Tentative methods of measurement were listed in

the Annex 3B of Project Appraisal Document.



27



Appraisal Document)


Progress


YR1 YR2 YR3 YR4 YR5

3. Number of pilot ICZM activities

demonstrating cross-sectoral and spatial

integration completed (cumulative)

0 - 0 2 5 8 2 Of the three near completed activities: (i) mangrove

plantation in Gujarat in the Mari National Park and

the Kachchh Forest Circle, (ii) mangrove plantation

in Odisha in the Bhitarkanika range, and (iii) the

cyclone shelters in Odisha – only the mangrove

plantation works have the scale to demonstrate

spatial planning and substantial inter-agency

coordination.

4. Number of other ICZM Plans initiated

to replicate the lessons learnt

(cumulative)

Not

Applicable

- - 1 2 3 2 MOEF has initiated preparation of ICZM Plans

(called Integrated Island Development Plans) for (i)

all of the Lakshadweep Islands – where consultants

already completed the first set of deliverables, and

(ii) all 38 inhabited islands of the Andaman and

Nicobar Islands – where NCSCM has started the

required initial surveys. All plans are being prepared

using the ICZM Planning Guidelines. Procurement of

consultants is yet to take place in Tamil Nadu and

Puduchchery – therefore, these are not counted.

Na

tio

na

l C

om

po

nen

t 1. Institutional development plan for

MoEF for coordination and

implementation of ICZM approaches

prepared and approved

Not

Applicable

1 - - - 1 Although a plan was prepared and approved (SICOM

and NCSCM were established as part of that plan), it

requires augmentation to streamline CRZ functions

of MoEF with mandates of SICOM and NCSCM.

2. Percentage of staffing at MoEF

completed as per institutional

development plan7

10 20 40 70 75 80 71 SICOM appointed 12 professionals (of the target of

18) of whom 4 positions are vacant due to staff

turnover. NCSCM has now 37 staff (of 45planned).

Together 45 out of 63 planned staff is in place.

7 MoEF staffing indicators were targeted to a maximum of 80 percent to accommodate potential vacancies in existing or new posts. In initial years targets were considerably

lower (20 percent and 40 percent) to reflect likely existence of an unfilled staffing structure as qualified people are recruited or trained using standard Government

procedures.



28



Appraisal Document)


Progress


YR1 YR2 YR3 YR4 YR5

3. Percentage of planned funds

disbursed for planned ICZM knowledge

activities by the National Center for

Sustainable Coastal Management

Not

Applicable8

10 20 50 80 100 19 NCSCM was expected to spend INR 35.5 crore in

Year 3, revised later to INR 19.1 crore as per the

annual plan. The actual expenditure in Year 3 is IN

6.81 crore (19% of original target and 35% of revised

target).

4. Cumulative percentage planned funds

utilized as per the national level training

plan

Not

Applicable

10 40 70 90 100 23 Actual cumulative expenditure for implementing the

national training plan was INR236 lakh against a

planned project expenditure of INR 1000 lakh. This

estimate does not cover additional expenditure on

regular workshops, and work of the NCSCM.

5. Kilometer of mainland coastline for

which coastal sediment cell, hazard line

and ecologically sensitive areas are

mapped and delineated9

0 100 1000 2500 5500 - 2145

(based on

composite

per cent

completion)

0

(absolute

finished

output)

Progress of mapping of (i) sediment cell is 100%, (ii)

ecologically sensitive areas is 0%, (iii) hazard line is

56% - consisting of aerial photography (100%),

photogrammetry (2%), flood line mapping (100%),

and erosion mapping (25% considering the

completion of such mapping at a scale of 1;50,000).

Overall progress of mapping, as average is 52%.

Delineation on ground is yet to start, so only 75% of

mapping is considered the total composite

achievement. In absolute terms, not a single stretch of

coast is there where all three mapping (sediment cell,

hazard line, ESA) are complete.

8 National Institute Indicators were targeted for 80 percent just after mid-project. An initial target of 10 percent in Year 1 reflected an expectation that initiation of

knowledge activities (consequent to rapid recruitment and mobilization) was possible.

9 Definitions of Hazard Line and Ecologically Sensitive Areas (ESAs) were as defined through project activities in Component One. PEA is obliged to provide 100 km of

initial mapping of hazard line as a key deliverable for MoEF review. Subsequent targets in effect reflected three pilot states were mapped by project mid-term and all country

mapped by year 4. The demarcation on ground will continue and be completed by the end of the Project.



29



Appraisal Document)


Progress


YR1 YR2 YR3 YR4 YR5

Gu

jara

t S

tate

Co

mp

on

ent

1. ICZM plan for Gulf of Kachchh

prepared using the designed

participatory process, and approved

0

-

-

-

1

-

0

Plan preparation process has started. ICZM planning

guidelines are available now. Support consultants are

being procured (with specific ToRs).

2. Percentage planned funds disbursed

for implementation of the Gujarat state

ICZM capacity building plan

Not

Applicable

30 50 75 80 90 65 State capacity building activities progressing well.

3. Cumulative number of pilot

investments planned, implemented as

per the planned ICZM approach, and

efficiently functioning (7 investments)

0 - 0 2 3 5 1 Mangrove plantation in the Marine National Park and

Kachchh Forest Circle is complete. Livelihood

improvement at more than 150 villages; and

sewerage at Jamnagar progressing well.

4. Stakeholder workshops organized to

agree on the incorporation of lessons

learnt from evaluation of

implementation of the pilot investments

Not

Applicable

- 1 2 3 4 2 Altogether 11 national and state level workshops

organized. However, only 2 of these covered lessons

learnt and implementation of coastal zone

conservation agenda.

Od

ish

a S

tate

Co

mp

on

ent

1. ICZM plan for Paradip-Dhamra and

Gopalpur-Chilika prepared using the

designed participatory process, and

approved

0

-

-

-

1

-

0

Plan preparation process has started. Detailed scope

of the shoreline management plan agreed. As base

data, regional coastal process study completed.


for implementation of the Orissa state

ICZM capacity building plan

Not

Applicable

30 50 75 80 90 90 Of the planned expenditure of INR 83.05lakhs, actual

expenditure has been INR 65.47lakhs and an

additional INR 9.42 lakh from ICZM sub-head.





0 - 0 2 4 6 1 Other than mangrove plantation in Bhitarkanika, the

cyclone shelters are substantially completed although

communities have not taken over the assets created.

Three other pilot investments (fisheries-based

livelihood, shoreline protection at village Pentha,

conservation of heritage properties) progressing well.





Not

Applicable

- 1 2 3 4 2 Altogether 9 state and national level workshops were

organized. Two were for investment planning and

implementation; one for ICZM planning, and one for

discussing shoreline management plan. However, in

absence of lessons learnt from pilot investments, only

50% is counted.



30



Appraisal Document)


Progress


YR1 YR2 YR3 YR4 YR5

Wes

t B

eng

al

Sta

te C

om

po

nen

t

1. ICZM plan for the West Bengal Coast

prepared using the designed

participatory process, and approved

0

-

-

-

1

-

0

Plan preparation process yet to start. Slower than

expected progress in the last 6 months.


for implementation of the West Bengal

state ICZM capacity building plan

Not

Applicable

30 50 75 80 90 27 Progress is very slow. Further deceleration was

apparent in the last 6 months. There is a need to

revise the State capacity building plan.





0 - 0 2 4 6 0 None completed, although the electricity distribution

pilot in Sagar Island is progressing well.





Not

Applicable

- 1 2 3 4 3 Although one national level and two state level

workshops were organized earlier, no stakeholder

workshop could be organized in 2013 as the progress

of implementation of the pilot investments is slow,

and no clear lesson is available.

Annex 3

Governance & Accountability Action Plan: Update at MTR

31

1. The following is an update on the status of implementation of the Governance and Accountability Action Plan (GAAP) for the Project. Overall, the

implementation of the GAAP has been adequate.

Risk

Description

Mitigation Steps

Agency

Responsible

Specific Milestones

Achieved by

Appraisal

Specific Milestones for

Implementation Period

Status of Compliance and

Achievement at MTR

1. Implementation arrangements

Lack of clarity

on roles and

responsibilities

between NPMU

and SPMUs

leading to

problems of

coordination and

failure to meet

an ‘integrated’

approach to

coastal zone

management

NPMU serves as the coordinating body between

different SPMUs.

NPMU NPMU already

functional

Monitor regularly approval of

annual action plans, budgets,

and advance fund flow from

NPMU to SPMU

Fully implemented. Annual plans,

budgets and fund flow are monitored

regularly. Roles and responsibilities of NPMU and SPMUs

are described in respective MoA, and also

described in the PIP

NPMU/

SPMUs

MOUs developed and

signed

NPMU monitors and evaluates (M&E)

intermediate outputs of SPMUs each year;

findings are used to reallocate state funding from

non-performing to performing states

NPMU M&E findings on

intermediate outputs of

SPMUs made available and

used for budget reallocation

Fully implemented through monitoring

of the budget and usage. Generally, such

monitoring is done every quarter.

NPMU develops an overall project report, states

prepare state project reports; PIP links all

activities and outcomes across states into an

integrated project implementation plan; PIP also

specifies agreements on tasks to be achieved,

timeframe for achieving them and roles and

responsibilities of each state

NPMU PIP and national and

state reports prepared

with details on roles

and responsibilities,

timeframe for each

sub-project

-

Lack of clarity

on roles and

responsibilities

between

SPMUs, PEAs

and institutions

other than the

PEAs (state

departments of

planning,

municipal

offices and other

local bodies).

SPMUs serve as coordinating bodies between

PEAs and other state departments (municipalities,

gram panchayats and other local bodies)

SPMUs SPMUs created; MoA

and bylaws prepared

-

MOUs are put in place between SPMUs and PEAs

for efficient implementation

SPMUs/PEAs MOUs developed and signed Fully implemented. No exception. All

PEAs signed the MOU as the first step

of implementation.

SPMUs monitor and evaluate (M&E) intermediate

outputs of PEAs each year; findings are used to

reallocate funding from non-performing sub-

projects to performing sub-projects

SPMUs M&E findings on

intermediate outputs of PEAs

available, used for budget

reallocation

Fully implemented. Monitoring results

are available for each PEA; and the

annual plan is based on such monitoring

results.

M&E findings feed into corrective measures that

are re-evaluated for at least the second, third and

fourth year of the project

SPMUs Key monitoring

indicators, institutional

responsibilities

identified and agreed

Corrective measures

undertaken and re-evaluated

for four years into the project

Fully implemented. The State Steering

Committees have considered corrective

measures, at least once per year.

Consultations are held with all PEAs and other

local institutions while preparing ICZMPs

SPMUs Consultations held,

documented and disclosed on

project website(s)

Not yet due. However, consultations are

planned, so is disclosure.



32

Risk

Description

Mitigation Steps

Agency

Responsible

Specific Milestones

Achieved by

Appraisal




Achievement at MTR

SPMU develops a state project report, PEAs

prepare DPRs for their respective activity; State

project report and PIP link all activities and

outcomes across states into an integrated project

implementation plan; PIP also specifies

agreements on tasks to be achieved, timeframe for

achieving them and roles and responsibilities of

each PEA.

SPMUs PIP, state reports and

the DPRs prepared

with details on roles

and responsibilities,

timeframe for each

sub-project, etc.

-

SPMUs prepare PERT charts mapping progress

on processes and outcomes across PEAs

SPMUs PERT charts prepared

by SPMUs

-

Coordination between SPMUs, PEAs and other

state departments is institutionalized through a

Steering Committee in each state; committee

includes representatives from various PEAs who

take up issues related to coordination between

different departments and address them.

SPMUs Steering Committees

formed

Steering Committees meet at

least once in three months

Implemented partially (or as best as

possible). Given that Steering

Committees consist of very high ranking

officials, meeting more than one or two

in a year is not possible.

NPMU sponsors specific studies on sub-projects;

SPMUs agree to take corrective measures based

on study findings

NPMU Studies commissioned; results

documented and corrective

actions undertaken by SPMUs

Fully implemented, as per the evaluation

studies undertaken (by NPMU and

SPMUs). Bureaucratic

hurdles delay

the project

Societies are set up at the national and state levels

to facilitate transfer of funds and overall

administration of the project

NPMU/

SPMUs

Societies established

and operationalized

Effective functioning of

societies to be monitored

Fully implemented. Effective

functioning of SICOM and the State

societies are monitored regularly by the

respective governing councils. Powers, roles and responsibilities of societies are

adequately described in PIP/PM/FM/MoUs

NPMU/

SPMUs

PIP/PM//FM/MoUs

discuss power and

roles of societies

Effective functioning of

societies to be monitored

Fully implemented. As above.

Efficiency and effectiveness of fund flow is

reviewed by project management team during

supervisions

NPMU/

SPMUs

Supervision missions (World

Bank) review fund flow;

observations noted in aide-

memoire

Fully implemented. World Bank team

reviewing efficiency and effectiveness

of fund flow; and observations e noted

in aide memoire. Low

implementation

capacity of staff

Training plans/programs are developed for

building capacity of staff in specific technical

areas

SPMUs Training and capacity

building plans

developed

Regular monitoring of the

implementation of these plans

Fully implemented. Regularly

monitored. Additional training provided

as required to staff. HR constraints

(delays in

recruitment,

induction and

placement of

staff; pressures

and interference

in appointments)

Staffing plan is developed for systematic and

timely recruitment of staff (both full-time and

part time); plan is agreed upon before appraisal;

key people are recruited before negotiations

NPMU/

SPMUs

Staffing plan

developed and agreed

upon before appraisal

Monitoring availability and

continuity of key staff

Fully implemented. Regularly

monitored.

Selection and appointment process is made

transparent through development of a

comprehensive HR management manual (this is

already part of society rules)

NPMU/

SPMUs

PIP covers process of

transparent and

accountable

recruitment of both

-



33

Risk

Description

Mitigation Steps

Agency

Responsible

Specific Milestones

Achieved by

Appraisal




Achievement at MTR

full-time and part-time

staff; their job

description;

compensation offered;

contract policy;

training and capacity

building systems; and

sample contracts

All selections and appointments are disclosed on

project website(s)

NPMU/

SPMUs

Project website(s)

created

Project websites give details

on all recent selections/

appointments

Fully implemented. No exception.

Induction and placement plans are developed for

immediate establishment of project offices

NPMU/

SPMUs

Project offices already

established. PD to be

appointed by

Negotiation

Monitoring availability and

continuity of key staff

Fully implemented. However, this has

not helped the issue of high turnover of

staff.

For specific high turnover posts, time-based

consultancy contracts are used

NPMU/

SPMUs

Contracts in place for

high turnover posts

Time based consultancy

clause ensured in contracts for

high turnover posts

Fully implemented. For all identified

high turnover positions, time-based firm

consultancy is used. Poor operations

and maintenance

of assets

proposed as

pilot

investments

Each DPR includes an O&M plan; cost estimates

include O&M resources

SPMUs DPRs include O&M

plans; cost estimates

factor in O&M

resources

-

State governments assume full financing for 100

percent O&M after installation; resources are

allocated for community maintenance fund; where

public assets are transferred to CBOs on

performance based renewable maintenance

contracts, CBO members are trained on O&M.

SPMUs State governments

allocate resources to

bear post -installation

O&M costs; agree to

do so in the legal

document

Monitoring O&M

performance of completed

facilities.

Not yet due. However, this will be duly

monitored when facilities and assets are

completed.

For community level assets to be created,

resources allocated in DPRs for maintenance fund

SPMUs Resources allocated

for O&M in DPR

Regular monitoring of

creation and sufficiency of

maintenance funds created.

Fully implemented. This is part of all

community contract documents signed

with community groups. Some public assets are transferred to CBOs or

panchayats on maintenance contracts, renewable

at performance against standards

SPMUs CBOs formed for O&M;

performance-based O&M

contracts in place for CBOs

Fully implemented. This is part of all

relevant community contract documents.

Training and capacity building for O&M is

undertaken for CBO members

SPMUs Capacity building of CBOs

undertaken

Fully implemented. The capacity

building activities had been excellent. Site selection for

ICZMPs

influenced by

elites and vested

interests

The sites for ICZMPs have already been agreed

upon at the PCN stage. Boundaries for

investments will be determined on a scientific

basis (coastal sediment + panchayats through

which hazard line passes)

SPMU None Coordinate with completion

of the hazard line and ESA

mapping.

Fully implemented. Plan boundaries for

ICZM plans will be determined by

hazard line, ESA maps, and sediment

cells.



34

Risk

Description

Mitigation Steps

Agency

Responsible

Specific Milestones

Achieved by

Appraisal




Achievement at MTR

Site selection for

pilot

investments

influenced by

elites and vested

interests

Pre-determined criteria (specified in PIP) are used

to select sites

NPMU/

SPMUs

Site-selection criteria

specified in PIP

-

Criteria for selection are publicized at appropriate

levels (gram panchayat samitis or at the block

level)

SPMUs Selection criteria advertised at

GP using appropriate/

vernacular media

Fully implemented. Also disclosed at

websites.

Changes in site selection criteria are endorsed by

steering committees

SPMUs Minutes of steering committee

recorded, noting endorsement

of changes to criteria

Fully implemented. All minutes are

recorded and disclosed. No change has

taken place yet. Changes to site-selection criteria are re-publicized

at appropriate levels (gram panchayat samitis or

at the block level)

SPMUs New criteria advertised at GP

using locally appropriate,

vernacular media

Implemented. No such case has been

found yet.

2. Transparency and accountability (civic oversight)

Lack of citizen

voice in

formulation of

ICZMPs

TORs for ICZM Plans include (a) stakeholder

analysis; and (b) results from consultations (at

least 5-6 rounds) with each stakeholder group

SPMUs Several stakeholder

consultations

organized at the design

stage

-

ICZMPs are endorsed by the respective Gram

Sabhas (where relevant)

SPMUs Endorsements received from

Gramsabhas (where relevant)

Not yet due. Only after draft ICZM plan

is available (in Year 4 or 5). All consultations/endorsements, along with

actions taken or proposed, are documented,

reported and disclosed in local vernacular media

at relevant levels (village/town/block/district)

SPMUs Results from

consultations/endorsement

documented and publicly

disseminated

Not yet due. Only after draft ICZM plan

is available (in Year 4 or 5).

Lack of citizen

voice in

implementing

pilot

investments

Local stakeholders (communities, civil society

etc) and are consulted to acquire their informed

consent while preparing and implementing pilot

investment

SPMUs Several stakeholder

consultations organized at the

design and implementation

stage

Fully implemented. Each pilot activity

continues to engage in stakeholder

consultations.

All consultations are documented, reported and

disclosed with actions taken or proposed in local

vernacular media as relevant at state/district level

SPMUs Results from consultations

documented and disclosed

publicly

Fully implemented. All consultation

records are disclosed publicly.

Community based organizations (CBOs) are

formed for implementing sub-projects (as and

where applicable)

SPMUs CBOs formed for

implementation (as and where

applicable)

Fully implemented. CBOs formed and

are part of implementation wherever

possible. No work possible by CBOs is

executed by contracts. Quarterly updates are provided on progress of

pilot investments in local newspapers and

websites

SPMUs Quarterly updates published

in local newspapers/other

media

Partially implemented. Quarterly

updates are prepared and disclosed. But

not in newspapers due to the high cost of

such publication, which is not seen

rational. As such, MTR team agreed that

newspapers could be replaced by use of

(i) websites and (ii) village billboards.



35

Risk

Description

Mitigation Steps

Agency

Responsible

Specific Milestones

Achieved by

Appraisal




Achievement at MTR

Cooption of

project benefits

by local elites

List of beneficiaries is developed as per criteria

mentioned in the PIP/COM

SPMUs Beneficiary selection

criteria specified in

PIP

-

Draft beneficiary lists are reviewed and monitored

by GPs/CBOs at the local level

SPMUs Lists displayed at GPs Fully implemented. All lists of

beneficiaries displayed at village level. List of beneficiaries is finalized following

endorsement by the Gram Sabha and is signed by

project officer

SPMUs Final list of beneficiaries

endorsed by the Gram Sabha

Fully implemented. All lists of

beneficiaries endorsed by village

panchayat or Gram Sabha. Final list of beneficiaries (signed by project

officer) is displayed on project websites and also

at all concerned gram panchayats and is

maintained/replaced every 3 months for the entire

duration of the project

SPMUs Final list of beneficiaries

displayed on project websites

and at GPs throughout the

duration of the project

Fully implemented. All lists of

beneficiaries displayed at village level,

and also available at the project’s

websites.

Inadequate

disclosure

measures

An independent website is being designed for the

project to disseminate information. The project

will also be subject to all provisions outlined in

the RTI Act.

Websites designed Websites functioning as

intended. Monitor compliance

to RTI Act

Fully implemented. Websites

functioning adequately. RTI compliance

is being monitored regularly.

Project communication strategy is

institutionalized

NPMU/

SPMUs

Communication

strategy partially

developed

Communication plan

implemented

Partly or fully implemented, depending

on the progress of work.

Project information officers (PIOs) are designated

at all levels (as mandated under the RTI Act) and

trained

NPMU/

SPMUs

PIOs appointed PIOs trained Fully implemented. All PIOs have been

trained.

Locally appropriate awareness building and

disclosure processes like bulletin boards, local

information nodes and translation of project

materials in local vernaculars are planned and

elaborated in the Communication Plan

SPMUs Communication plan

prepared

Communication plan

implemented using locally

appropriate methods

Fully implemented. Communication

plan is implemented in all 3 project

states using locally appropriate methods

(and tools such as fair, folk music,

theatre, other symbols). Disclosure and accountability at the community

level is ensured through other tools such as social

audits (facilitated by M&E consultants); pre and

post project indicators (e.g. satellite images of

mangrove sites pre and post plantation; mid-term

and end-term project evaluation)

NPMU/

SPMUs

M&E done through third party

consultants; social audits,

regular M&E of the project;

corrective measures

undertaken by NPMU/SPMUs

Fully implemented, except that a third-

party evaluation has not yet taken place

(and is expected only by end of this

year). Social audits, financial audits and

other monitoring is implemented

satisfactorily. Poor monitoring

of project

progress

Processes are concurrently monitored by project

officials (e.g. a separate finance person in the

field) and key experts as and when required (i.e.

process monitoring is institutionalized)

SPMUs Process monitoring system

developed and operationalized

Fully implemented. As a proposed

enhancement, a web-based real time

monitoring system is being developed.



36

Risk

Description

Mitigation Steps

Agency

Responsible

Specific Milestones

Achieved by

Appraisal




Achievement at MTR

Technical monitoring: Work standards are

detailed; quality assurance consultants and

auditors engaged, as required:

QA Consultants (for large contracts)

M&E and Social Audit; Environment Audit;

Action taken reports – periodic review included in

QPRs, Annual ATR – submitted for review of

steering committee along with clearance of AAP

NPMU/

SPMUs

These monitoring,

M&E, Quality

Assurance, Social

Audit arrangements

agreed; reflected in

project budget.

Quality assurance consultants

and auditors appointed; M&E

consultant reports submitted;

findings reflected in quarterly

progress reports and annual

ATRs submitted

Nearly fully implemented. Quality

assurance consultants and auditors have

been appointed. Monitoring reports

submitted and findings are reflected in

quarterly progress reports and ATRs.

But appointment of evaluation

consultants (part of the original M&E

consultants) has been delayed. Independent ‘community relation’ monitoring:

Independent consultants from civil society are

appointed by SPMUs. Appointed consultants

specialize in the field of social audit or

community participation, and monitor project

processes on a day-to-day basis and whether they

include/address community concerns

SPMUs These are agreed and

reflected in project

budget.

Social audit and community

relations’ consultants

appointed; findings reflected

in quarterly progress reports

and annual ATRs

Fully implemented. Social audit

committees and community relations’

professionals have been appointed. The

field level findings are reflected in

quarterly progress reports and ATRs, as

well as reflected in the implementation

of the project.

3. Grievance redress and dispute resolution

Weak grievance

and complaint

handling system

Grievance redress systems are established both at

the NPMU and SPMU level

NPMU/

SPMUs Grievance redress

system agreed

Grievance redress system

operationalized

Fully implemented, since the start of

implementation. Procedures for users’ access to register complaints

at national/state levels through various mediums

such as a dedicated, toll free phone, web based

complaints and written complaints -- are

published and notified

NPMU/

SPMUs Dedicated toll-free telephone

line installed; complaints

page in website functioning.

Fully implemented. Dedicated toll-free

telephone lines were installed from the

start of the implementation period. The

complaints pages in the project websites

are functioning. One dedicated staff is appointed in each grievance

redress cell to register complaints; if absent

responsibilities are undertaken by another staff

NPMU/

SPMUs Staff appointed and/or

designated for registering

complaints

Fully implemented. Staffs of the

communication cell have dedicated

responsibility for registering complaints. A time bound system is established for grievance

redress – complaints within 10 days; finalize

meeting with relevant project staff within 15 days

NPMU/

SPMUs Grievance redress

system agreed

Monitor time taken for

addressing grievances

Fully implemented. The project is

complying (and monitoring) with the

timelines for addressing grievance. Open days are organized for the public at the

NPMU/SPMU level on a fixed date of each month

(say first Tuesday of each month)

NPMU/

SPMUs Open days organized every

month.

Implemented. This was announced.

However, given the low number of

grievances, meetings are seldom held. Regular progress reviews are conducted during

M&E/supervision missions (reviews cover how

complaints have been handled and what actions

have been taken); action taken reports are filed as

part of QPRs

NPMU/

SPMUs M&E report/QPRs contain a

section on number of

complaints received; their

nature; and actions taken to

redress

Fully implemented. QPRs and

monitoring reports have reported on this.

However, given the low number of

grievances, this is not yet a major

portion of the reports. Documentation division commissions a

computerized database on complaint received and

action taken

NPMU/

SPMUs Computerized system for

database functional

Implemented. Odisha uses software

based system; others use standard

databases. Possible now to integrate

with upcoming real-time monitoring.



37

Risk

Description

Mitigation Steps

Agency

Responsible

Specific Milestones

Achieved by

Appraisal




Achievement at MTR

All guidelines and documents including bidding

instructions to include details of complaint

management systems

NPMU/

SPMUs

Templates for bidding

instructions include details on

complaint management

Fully implemented. Also all project

websites have specific pages/sections for

procurement related grievances.

4. Procurement Low

procurement

capacity

Project provides for dedicated procurement

consultant at the central and state level to deal

with procurement

NPMU/

SPMUs Procurement

consultant hired

-

Training is provided to all project procurement

staff on World Bank procurement procedures

NPMU/

SPMUs Training of 5-8 days duration

completed

Fully implemented. In fact, the training

had exceeded the 5-8 days target. Inconsistent

procurement

procedures

A Procurement manual is developed that meets

Bank requirements, with standard bidding

documents, evaluation templates etc. to be used

across the project

NPMU Procurement manual

developed

Manual updated and modified,

as needed

Fully implemented. Procurement manual

adopted in 2010 is being used. A

revision is expected now reflecting

agreement on using the January 2011

Bank procurement guidelines. Appropriate thresholds are agreed with Project for

various methods to be used

NPMU/

SPMUs Throughout the project Fully implemented. Appropriate

thresholds are being agreed with Bank.

Internal procurement is reviewed by the

consultant /Procurement specialist and Bank prior

review

NPMU/

SPMU Throughout the project Fully implemented. Internal

procurement is reviewed by independent

auditors; Bank prior review, and Bank

organized post reviews.

Lack of

transparency in

procurement

decisions

Record keeping is made mandatory through

maintaining data and records for all contracts at

state and district level (including thorough

computerization of procurement data).

SPMUs Throughout the project Fully implemented. Record keeping is

adequate. Weakness in record keeping is

being monitored by internal audit, and

inadequacies continuously addressed.

All tender notices, bid documents, status of

contracts, are disclosed on the project website and

local print media at the national and state levels,

every quarter

NPMU/

SPMUs

Tenders and award notices

published in local print media

and project website every

quarter

Fully implemented. Tenders are

published in local print media as per

Procurement Manual, and award notices

on the project websites (no exception). Lists of contracts, procurement plan, EOI , RFP,

Bid documents etc. are compiled and made

available on the project website

Throughout the project Fully implemented. These are all

available on the project websites.

Social oversight is built in through requirement of

approval of all micro plans by and suo moto

disclosure of contract award data and material

procurement data, including cost of procurement,

and labor employment at the place of work

SPMUs Social audits are organized

throughout the project;

SPMUs use findings for

corrective measures.

Fully implemented. Social audits are

being organized in all community

procurements. Findings of social audit,

if any, are used for corrective measures.

All suo moto disclosure taking place. To ensure reasonable price and support

community level procurement, SPMUs undertake

periodic market surveys and provide standard

specifications and indicative price ranges for the

common user items to be purchased by the

SPMUs Project cost estimates

are based on current

market price

Schedule of rates updated and

finalized once every year

Not implemented fully. Although the

NPMU and SPMUs are trying to use

current market price for cost estimates,

this has proved difficult. The schedule

rates are not within the jurisdiction of



38

Risk

Description

Mitigation Steps

Agency

Responsible

Specific Milestones

Achieved by

Appraisal




Achievement at MTR

community for reference. the SPMU/NPMU and the PEAs, and

cannot be revised by them. Wherever

states are revising the schedule of rates,

the revised schedule is used. Bank has

encouraged the NPMU/SPMUs to have

alternative ways of estimating current

market price (to avoid complication due

to high bid price variation in accepting

bids), but SPMUs/NPMU had limited

success in this. Therefore, many bid

evaluation reports are taking longer than

expected to be accepted by respective

governments, before any such contract

award can take place. Poor quality of

physical assets

constructed

Regular supervision by PEAs / SPMUs. Project

provides for third party quality assurance, where

required

SPMUs /

PEAs

Arrangements agreed,

and reflected in project

budget

Continuity of PEA

supervision and third party

audits, as relevant

Fully implemented. Project provided for

third party quality assurance, in all cases

where required. Post review and verification of physical assets is

done by internal auditors

Internal quality audits

organized every year

Fully implemented. Post review and

verification of physical assets is done by

internal auditors. Asset register is

maintained and monitored.

5. Financial Management

Fund flow and

disbursement

The project will avail funds through budget

releases which will be reimbursed by the Bank on

the basis of quarterly IUFRs. Subsequent

disbursement by Bank adjust for disallowances, if

any, by independent third-party audit.

Bank/ GoI/

NPMU

Fund flow

arrangements finalized

Regular internal and

independent third party audit

conducted

Fully implemented. Internal and external

audits (both by independent third-party

qualified audit firms) being conducted

regularly. All audit reports had been

submitted on time. Weak FM

capacity

Project FM capacity will be strengthened through

outsourcing to experienced CA firm/ individuals

at NPMU and SPMU levels. Implementing

agencies will earmark adequate FM personnel

(own/ hired) for the project who will be trained in

project FM practices by SPMU on a regular basis.

NPMU/

SPMU/ PEAs

FM personnel

(individuals/ firms)

earmarked at entity

levels

Availability and continuity of

FM staff to be monitored

Fully implemented. FM staff and

consultants have been procured and all

such staff continued.

Weak FM

systems

Project FM controls and procedures will be

documented in a project FM manual covering the

project FM structure, roles and responsibilities;

budget preparation; accounting, payment controls

and procedures (including certification of work

prior to payments); periodic reporting on the

project with formats etc. NPMU/ SPMU train

project FM staff, ensure quality assurance.

NPMU/

SPMU

Project FM manual

ready and training

schedule approved/

training commenced.

Training conducted; Internal

audits; Audit Committee

functioning adequately.

Fully implemented. FM training has

been conducted including orientation

training for new staff (repeated as

required) and refresher training. Audit

committees have functioned adequately.



39

Risk

Description

Mitigation Steps

Agency

Responsible

Specific Milestones

Achieved by

Appraisal




Achievement at MTR

Weak internal

controls

Delegation of powers for the project and the

various entities will be laid down.

NPMU/ SPMU will appoint experienced CA firms

as internal auditors for the project. The internal

auditors and the TOR for the internal audit will be

approved by the Bank.

Internal audit manuals will be developed for the

project which will lay down audit coverage, audit

instructions, reporting formats and follow up on

action taken on the internal audit observations.

Internal audit will be quarterly and consolidated

internal audit reports for the project with status of

action taken will be shared with the Bank.

NPMU/

SPMUs

Internal audit manual

ready; internal audit

ToR approved by

Bank; project

delegation of power is

ready.

Quarterly internal audit

carried out; Audit Committee

monitors this regularly;

Action Taken report prepared

and attached with next quarter

QPR.

Implemented. Quarterly internal audits

have taken place regularly, and except in

the first year of the project, the internal

audit reports were submitted in time

without delay. However, it has not been

possible for the SPU/NPMU audit

committees to meet every quarter (nor

does it possible that such audit

committees can meet more than twice a

year). Therefore, action taken reports

from audit committees had not been

prepared every quarter. Nonetheless, the

quarterly internal audit reports and the

findings have been taken note of by the

State/National project directors, and

interim actions taken even if the audit

committees could not meet. All such

interim actions brought to the notice of

the audit committees at the next

meeting. Delayed

statutory audits

Annual project audit by experienced CA firm will

be carried out during the currency of the project

and consolidated report submitted to the Bank by

September 30 each year. NPMU will appoint

experienced CA firm as project auditor to carry

out annual project audits. The project auditor and

the TOR for the project audit will be approved by

the Bank.

NPMU Project audit ToR

prepared and approved

by Bank

Review of Audit Reports by

SPMU/NPMU. Submitted to

Bank by September 30 of

each year. Submitted to next

annual action plan meeting at

MoEF/State SCs

Fully implemented. All audit reports

were completed in time, and submitted

to Bank on time.

Lack of

community

capacity to

account for and

manage project

funds

Communities will be rated on their readiness to

receive funds based on achievement of milestones

like opening of bank account, regular book-

keeping etc; appropriate training programs will be

undertaken to enhance financial skills

SPMUs/PEAs Accounting and

reporting procedures

prepared and finalized;

Training and support

plan by PEAs ready

and reflected in project

cost

Communities rated on their

readiness to receive funds;

appropriate training programs

undertaken; PEA staff

available continuously

Fully implemented. Community groups

are strengthened before any money is

released. All appropriate accounting and

fund management training is given.

Dedicated PEA and SMU staff available

to help and facilitate. All community

group accounts are now covered by

internal audit.

Annex 4

Activity-wise Summary and Agreed Next Steps

40

1. Following is a description of the status of project activities (organized by project components and sub-components) and agreed next steps for each

of those. A concise summary of the following is in Section D, paragraphs 19-22 of the main text of the Aide Memoire.

COMPONENT ONE: NATIONAL I.C.Z.M. CAPACITY BUILDING

Activity Targets Progress & Status

(May 2013)

Major Issues (May 2013) Agreed Next Steps & Bank

Recommendations

[1A]

Hazard line

Mapping (Flood

Level Estimate;

Erosion

Estimate; Digital

Terrain – Aerial

Photography and

Photogrammetry;

Ground

Marking)

1. Flood level estimate for the

entire mainland coast (with tidal

analysis at 21 major ports and

149 minor ports).

2. Aerial photography of 60,000

square km of coastal area.

3. Photogrammetry to create digital

terrain model.

4. Erosion estimates for the entire

mainland coast.

5. Analysis for hazard line.

6. Ground marking (or alternate).

1. Flood Level Estimate: A

Revised Draft Report on Flood

Level Estimate was prepared by

November 2011. Data for all 20

primary ports agreed earlier and

for the Port of Bhavnagar; and

for about 150 minor ports has

been analyzed. In 2012,

additional work of

measurement of astronomic

tides in 49 additional locations

started. The finer level of work

of determining levels for each

500m transect to be using in the

photogrammetry work is

underway and should be

completed by August 2012. The

quality assurance by SOI has

been as per agreement.

2. Aerial photography of 78,000

square km is complete. Gaps or

blurred data were identified in a

few locations (say, about 500

square km) and will be redone

by contractors within the DLP.

3. Photogrammetry contracts had

1. Flood Level Estimate: Given

that additional measurement

of astronomical tides may not

result in any significant

change in the flood levels, the

SOI needs to restrict the scope

of those measurements.

Further, the benchmark data

established by SOI in this

project has not yet been

available to the Project stats

after repeated discussions.

2. Aerial photography: None,

except that (i) the payment to

the contractors against the last

bill is pending for a

substantial time in absence of

certification by SOI; (ii) SOI

and SICOM/MOEF needs to

agree on the process of

handing over a copy of the

photographs to NCSCM or

MOEF.

3. Photogrammetry:

Mobilization of the

photogrammetry contractors

1. Flood Level Estimate: (a) SOI will re-

examine the utility of continuing with

further measurement of astronomical

tides, and complete all such work by

September 2013; (b) SOI will submit the

final report on the Flood Level analysis

by September 2013; (c) in the final

report, SOI will add the latest IPCC

estimate for SLR; (d) the report, being

one of the most important reports for the

country shall be edited and presented in

such ways that it can be readily

published. Most importantly, SOI needs

to share the benchmark data with the

Project States; and such data sharing

should be completed by August 2013.

2. Aerial photography: (i) SOI will ensure

that the gaps of data are covered by the

contractors during the DLP; (ii) SOI and

SICOM will release the pending

payment of the contractors without

further delay; (iii) SOI and

NCSCM/SICOM needs to agree

formally how data from aerial

photography will be shared with

NCSCM by August 2013.



41


(May 2013)


Recommendations

been signed. Contractors have

established studios at Bengaluru,

Hyderbad and Delhi. Security

clearances for the contractors’

crew are now available. All

mobilization is expected to be

completed in July 2013, and the

first set of photogrammetry

outputs expected by October

2013.

4. Shoreline change and erosion

maps for the entire mainland

coast have been completed by

NCSCM (at a scale of 1:50,000).

As an input to shoreline change

assessment at a scale of 1:5,000

(or Erosion maps), satellite

images to be used have been

identified. Agreement with the

NRSC has been finalized/ signed

for procurement of satellite

images for last 30 years. Bank

agreed with this procurement

using FA for an amount nearly

US$4 million.

5. Ground marking: Not yet due

(unless hazard maps are

finalized). Several ideas

including replacing some of the

ground markers and using an

alternative of village kiosk had

been discussed. This sub-activity

will now probably start in late

2014, and the final ideas will

need to be concretized by mid-

2014.

was delayed.

4. Shoreline Change Maps:

States such as Maharashtra,

Karnataka have not yet

accepted the shoreline change

maps.

5. Erosion Maps: NCSCM is yet

to procure satellite images

from NRSC. Also it is not

clear whether NCSCM will be

able to provide adequate

resources to start producing

the deliverables by October

2013 as agreed earlier.

6. Ground marking: Nil

7. [Additional Work] Marine

Bathymetry: Discussions

underway with NHO. It is not

clear how much data is

available (especially for the

depth up to 20m which is

more important from the

environment conservation

point of view).

8. [Additional Work] LiDAR

maps for the A&N Island

groups and the Lakshadweep

Islands. No clear roadmap has

yet been agreed among all

responsible agencies – MOEF,

DST, SICOM and SOI.

3. Photogrammetry: SOI should ensure

that the photogrammetry contractors

adhere to the contract timelines.

4. Shoreline Change Maps: NCSCM will

follow-up with the remaining states,

such as Maharashtra, Karnataka, where

the state has not yet accepted the

shoreline change maps. Once accepted

by the states, these maps will also be

publicly disclosed, completing this part

of the activity.

5. Erosion Estimate: (a) NCSCM should

procure the satellite images from NRSC

as per the agreed MoU by August 2013;

(b) SICOM should facilitate this

procurement by quickly transferring the

required amount to NRSC or NCSCM

as required; (c) NCSCM should prepare

a timeline for deliverables and share this

with SOI by September 2013 to

facilitate the photogrammetry work; (d)

NCSCM should try to deliver the first

set of erosion maps by October 2013; (e)

SICOM will constitute an expert

committee by September 2013 to finally

approve the erosion estimates; (e)

SICOM, NCSCM and SOI should

define the way the procured maps will

be used by all government and public

institutions in India.

9. Ground marking: Nil

6. [Additional Work] Marine Bathymetry:

NCSCM will procure all available

hydrographic/ bathymetry maps from

NHO by September 2013. A gap

analysis will be completed by October



42


(May 2013)


Recommendations

6. [Additional Work] Marine

Bathymetry: Discussions held

with the NHO, but not much

progress yet.

7. [Additional Work] LiDAR maps

for the A&N Island groups and

the Lakshadweep Islands.

Several discussions were held to

finalize the plan and methods.

The emerging idea is to limit the

scope to a small pilot (costing

about $1 million) rather than

spending larger money given

that efficacy of the technology is

yet to be evaluated. Shape files

for the Andaman and Nicobar

Islands (land area about 9,000

square kilometer has been

prepared.

2013, and a decision to undertake more

work if required will be taken by

November 2013.

7. [Additional Work] LiDAR maps for the

A&N Island groups and the

Lakshadweep Islands. SOI and SICOM

will agree on the final plan by August

2013, and if required, the bidding

process for LiDAR mapping will be

initiated by October 2013 at the latest.

[1B]

Mapping

Ecologically

Sensitive Areas

(ESAs)

1. Mapping all ESAs (outside the

areas already protected, and

including the CVCA described

in the CRZ Notification 2011)

in the country.

2. [Additional work] Preparing

management plan for Dandi

ESA


management plan for

Vedaranyam ESA


management plan for Vembanad

ESA

1. Mapping all ESAs. This was

delayed due to late

operationalization of the

NCSCM. Now, the scope of

work has been prepared. No

work has yet started on

comprehensive guidelines for

preparation of integrated plans

for the ESAs, although the

Dandi ESA notification is an

adequate starting point.

2. [Additional work] Dandi ESA:

The Dandi areas (6 villages)

were notified to be an ESA to

be protected and developed

using ICZM principles.

Consultants have started the

1. Mapping all ESAs. Given that

the work has been delayed, it

is evident that NCSCM alone

cannot complete the work in a

reasonable period.

2. [Additional work] Dandi: (i)

Given that procurement of the

consultants were delayed,

there is chance that

consultants might also delay

the final/intermediate outputs

which will affect the

implementation of the

activity; (ii) if the plan is

delayed, there will be very

small window to procure the

contracts to implement the

1. Mapping all ESAs. (i) NCSCM will

identify all candidate ESAs from

secondary sources by October 2013; (ii)

NCSCM will organize a national

workshop to finalize the scope of work

for mapping ESAs by October 2013;

(iii) NCSCM will procure services of

institutions and national partner

knowledge institutions with an aim to

deliver the complete work by April

2014, and such procurement will be

completed by December 2013.

2. [Additional work] Dandi: (a) given that

procurement of the consultants were

delayed, the GEC and the SICOM will

ensure that the consultants do not slip at

all in preparation of the plan; (b) all



43


(May 2013)


Recommendations

process of plan preparation

(after the procurement of the

consultants was delayed by a

year). Meanwhile, priority

actions such as mangrove

plantation, water body

restoration, solar lighting, solid

waste management, etc., were

undertaken working through

CBOs. Several meetings of the

Steering Committee for Dandi

ESA were organized. Rapid

rural appraisal (a very

satisfactory exercise per Bank

review) was completed, a small

survey about home-stay tourism

is completed; and some training

on maintenance of solar street

lights had been organized.

3. [Additional work] Vedaranyam

ESA: Mapping and

identification is complete.

Rapid rural appraisal is also

complete. Site office

established, site staff appointed.

MSSRF has already

implemented a number of

agreed activities, focusing on

composite mangrove,

halophytes and related capacity

building of communities, and

some of these are expected to be

completed by December 2013.

Plan preparation is progressing

slowly.

4. [Additional work] Vembanad

ESA: MOEF and the State

plan; (c) the solid waste

management activity currently

undertaken by GEC is

incomplete in absence of a

final disposal arrangement; (d)

GEC and the Gujarat

Vidyapeeth may need

additional staff to supervise

the work of the consultants;

(e) one or two adjoining

villages are demanding to be

included in the ESA.

3. [Additional work]

Vedaranyam: A majority of

the tasks have experienced

some delays; a few were

modified to suit the site and

community requirements.

Preparation of the long-term

plan needs to be accelerated.

The financing requirements

for the priority tasks have

increased.

4. [Additional work] Vembanad

ESA: The actual mapping and

the integrated area

development plan proposals

are yet to be developed.

Although discussions are

going on, no formal progress

in identification of national

and international experts. The

proposal for tasks was not yet

approved.

planned activities should be procured by

December 2013 as far as possible; (c)

solid waste management through CBOs

should be expanded to include disposal

(and no incinerator should be installed)

as part of the integrated plan activities;

(d) staffing by GEC and Gujarat

Vidyapeeth should be completed by

December 2013; (e) MOEF will need to

finalize a view on the demand from

other villages to be included in the

ESA.

3. [Additional work] Vedaranyam: (a)

MSSRF will ensure that the scheduled

tasks are completed as per the revised

agreements reached during the MTR;

(b) MSSRF has to ensure that the

preparation of the integrated long-term

plan is completed by mid-2014, (c)

SICOM needs to agree on the additional

financing requirement by August 2013.

4. [Additional work] Vembanad ESA: (i)

in light of the current delays, SICOM

might consider limiting the work on

Vembanad up to planning, and

dissimilar to the other two ESAs, will

drop any proposal for implementation

of the plan.



44


(May 2013)


Recommendations

Government have agreed to

declare Vembanad in Kerala as

an ESA. SICOM has recruited

two individual professional staff

on contract. A detailed proposal

for work over the next 2-3 years

was prepared.

[1C]

Coastal

Sediment cell

mapping

1. Mapping of the coastal sediment

cells and sub-cells for the entire

country.

2. Inclusion of the concept of

sediment cells and sub-cells in

the guidelines for preparation of

ICZM plans.

1. NCSCM has completed the

works of mapping the coastal

sediment cells and sub-cells.

NCSCM also undertaken

additional work of mapping

“management units of 10-

20km”, which is partly

completed.

2. The concept of sediment cells

and sub-cells has been

incorporated in the draft

guidelines for preparation of

ICZM plans.

1. The delineation of the sub-

cells has not been agreed with

all relevant state authorities.

2. The work is not yet well

publicized.

3. There is no need to delineate

“management units”, as the

cells and sub-cells are to be

considered the management

units for (i) preparation of

ICZM plans, and (ii) to

consider impacts of

development on the shoreline

over a long natural boundary.

Shorter units at 10 or 20km

defeat the purpose of

integrated plans.

1. NCSCM will (i) prepare a final report

on the mapping of coastal sediment cells

and sub-cells after consultation with all

states by November 2013; (ii)

communicate the report to all relevant

state and national authorities by

December 2013, so that ICZM plan

preparation could start by January 2014

in all places.

2. NCSCM will discontinue the work on

the 10-20km long “management units”

or any other sub-division of sediment

sub-cells.

[1D]

National Centre

for Sustainable

Coastal

Management

(NCSCM)

1. Establishing NCSCM.

2. Operationalization of NCSCM.

3. In-house research programs.

4. Research program with partner

institutions.

5. Establishing laboratory and

facilities for NCSCM.

1. Establishing NCSCM: MOEF

and Anna University signed an

MOU. The Senate of the Anna

University has approved

transfer of the land to NCSCM.

Land is under possession of

NCSCM. NCSCM has been

established as a society under

the Tamil Nadu Societies

registration Act. Director has

been appointed. GC and a high

powered research steering

1. Establishing NCSCM:

Although NCSCM has been

established and has been

given formal mandates under

the CRZ Notification 2011,

staff positions at NCSCM

needs to be made permanent.

2. Operationalization of

NCSCM: Although the

recruitment of the first batch

of staff means all planned

research work could start

1. Establishing NCSCM SICOM will

finalize the proposals to make the

positions at NCSCM (similar to

SICOM) permanent; and such a formal

decision from the appropriate levels

(including the Ministry of Finance,

Department of Expenditure) should be

available by December 2014,

sufficiently ahead of closure of the

project.

2. Operationalization of NCSCM: (i) the

recruitment process for the second batch



45


(May 2013)


Recommendations

committee (HPSC) constituted.

2. Operationalization of NCSCM:

The GC of NCSCM has

approved the program and first

batch of recruitment of 58 staff.

35 staff had been appointed,

after a year-long delay, and they

all joined by May 2013. Further

recruitment of staff is currently

progressing well. The next

batch of recruitment of nearly

100 staff positions delayed as

instructed by GC until

laboratories and facilities are

ready. Administrative and

financial management processes

set up. Overall, this is complete.

3. In-house research programs:

The HPSC has approved the in-

house research programs; and

accordingly, after a delay of a

year due to lack of recruitment,

all have been initiated. Now on

track. Proposals for research

program for the upcoming year

are ready.

Expert Committee chaired by

Dr. Muthunayagam has

submitted the final report

SICOM and MoEF on the needs

and opportunities to protect

critical coastal infrastructure,

such as the nuclear power plants

from tsunami events.


institutions: National partner

institutions have been selected.

now, it will be counter-

productive to delay the

recruitment process for the

second batch of staff (given

that the recruitment of first

batch took more than 1.5

years). Further, some

positions of “Division Chairs”

could not be filled by the first

recruitment process.

3. In-house research programs:

(i) it is important to agree on

a schedule of deliverables for

the approved research

program; (ii) prepare further

outlines of research to be

submitted for HPSC approval;

(iii) addition of a research on

the sustainable commercial

production of sea weeds in

the country.

4. Research program with

partner institutions: Due to

delay in formalizing

agreements, transfer of funds

to the 4 national partner

institutes is delayed. There is

also lack of clarity about the

research program of the other

10 national partner institutes.


facilities for NCSCM: (i)

given the initial delay, it is

unlikely that the buildings

will be ready by March 2014

as originally planned; (ii)

further delay in initiating

of staff for NCSCM should be initiated

before December 2013; (ii) the

remaining “Division Chairs” and other

important staff should be recruited

before October 2013, through an HR

services agency.

3. In-house research programs: (i)

NCSCM shall publish an Annual Report

and describe in that the target and actual

dates of completion research milestones

for each research; (ii) each division of

NCSCM will prepare, after relevant

nation-wide expert consultation, prepare

further outlines of research to be

submitted for HPSC approval by

February 2014; (iii) NCSCM had

organized scoping workshops for the

research on the sustainable commercial

production of sea weeds in the country,

and will share the timelines and initial

findings with the Bank and SICOM by

September 2013.


institutions: NCSCM will transfer funds

to the 4 national partner institutes,

where the research program is already

approved by HPSC by April 2013; and

advice the partner institutions to

complete the planned work as

scheduled. (ii) NCSCM will encourage

research proposals in the selected areas

from the other 10 national partner

institutes, and submit these for HPSC

approval by December 2013.

5. Establishing laboratory and facilities for

NCSCM: (i) bids for the building works

will be invited in July 2013 with an aim



46


(May 2013)


Recommendations

Of the 14 such institutions,

Odisha and Gujarat states have

requested replacements, and

these were agreed by NCSCM.

HPSC has approved research

program of 4 such national

partner institutions.


facilities for NCSCM:

Architects have been selected

through a national architectural

competition; and have prepared

detailed designs. The bid

documents are ready for the

buildings. Until the buildings

are ready, Anna University has

agreed to allow the NCSCM to

function from 3 of its buildings.

NCSCM has refurbished these

buildings, procured the first set

of goods and equipment needed,

and are working from there.

procurement of equipment

may hamper the research

works even when the building

is ready.

to award the contract in August 2013,

and completing the works by July 2014;

(ii) bids for all equipment to be

procured, under different packages will

be invited by September 2013, with an

aim for awarding by December 2013,

and delivery by June 2014.

[1E]

Centre for

Marine

Biodiversity

1. [Additional work]

Establishment and

operationalization of NCMB.

2. The overall objective of the

NCMB has been agreed by

SICOM and MOEF.

1. SICOM prepared a draft report

on the on the program and the

scope of work for the NCMB.

2. Discussions happened with

private sector industries to

provide untied finance for

NCMB, but such discussion was

not concluded.

3. Site has been confirmed by the

Government of Gujarat.

1. No clarity on the scope and

content of NCMB. The draft

report prepared by SICOM on

the program and the scope of

work for the NCMB has not

yet been approved by GC of

SICOM.

2. No progress on the design

brief for NCMB (so as to club

this facility with the MRCI in

the Gujarat State Component).

3. Expert Committee Report on

priority research needs of the

country is yet to be finalized.

1. The MTR recommended that the

activity of NCMB may be dropped from

the project, in view of the initial delays.

2. However, if MOEF decides to go ahead

with the idea of NCMB, such a decision

needs to be made by September/October

2013, and procurement processes

should be completed by December

2013.



47


(May 2013)


Recommendations

[1F]

Capacity

building of

MOEF

1. Preparation of a Training Plan.

2. Implementation of planned

training programs.

3. Recognizing SICOM as the

technical secretariat of

NCZMA.

1. Preparation of a Training Plan:

A training plan was prepared.


training programs: As per the

training plan, 7 national level

training programs had been

organized. Additional specific

trainings organized in selected

areas (procurement, financial

management).



NCZMA: MOEF had mandated

SICOM to (i) implement all

ICZM activities of the MOEF,

and (ii) implement all MOEF

activities related to

conservation of marine

biodiversity.

1. Preparation of a Training

Plan: The current training

plan does not cover all

relevant stakeholders. Also,

mode of delivery beyond

immediate future is not

finalized. Further, the current

plan does not include specific

agreed international exposure

and long-duration training.


training programs: Larger

agreements with training

institutions are required, to

better plan and implement the

training programs, rather than

one-off training sessions.



NCZMA: (i) A formal

executive order is needed to

declare SICOM as the


NCZMA, (ii) SICOM does

not have adequate staff and

expertise to work as the


NCZMA; (iii) SICOM staff

positions need to be made

permanent.

1. Preparation of a Training Plan: SICOM

will revise the Training Plan, and get

GC approval by March 2014.

2. Hand over the job of development of

training modules and refresher courses

to NCSCM (and in turn to the partner

institutes of NCSCM).

3. Implementation of planned training

programs: (i) Pending revision of the

Training Plan, the currently planned

training sessions will be organized; (ii)

larger agreements with training

institutions such as ASCI and NIDM

will be developed by December 2013.

4. Recognizing SICOM as the technical

secretariat of NCZMA: (i) SICOM will

restart the proposal for a formal

executive order to declare SICOM as

the technical secretariat of NCZMA by

March 2014; (ii) SICOM will recruit

additional staff and expertise to work as

the technical secretariat of NCZMA by

June 2014; (iii) SICOM will restart the

proposal for making staff positions

permanent, place it before the GC by

March 2014; and achieve all other

required approvals, such as from the

Ministry of Finance, Department of

Expenditure by September 2014.

[1G]

Project

Management

1. Mandating SICOM to

implement the project.

2. Establishing office and other

resources to manage the project.

3. Recruiting and retaining staff to

manage the project and in

particular, the National

1. Mandate: MOEF had mandated

SICOM to (i) implement the

project, (ii) implement all ICZM

activities of the MOEF, and (iii)

implement all MOEF activities

related to conservation of marine

biodiversity. Delegation of

1. Mandate: Nil.

2. Resources: The SICOM office

space is limited and will be

unable to accommodate newer

staff when recruitment is

completed.

3. Staff: Fresh recruitment

1. Mandate: Nil.

2. Resources: The SICOM will procure

additional office space by October

2013.

3. Staff: SICOM will ensure that the

current recruitment process through the

HR services agency is completed by



48


(May 2013)


Recommendations

Component of the project.

4. Establish systems for HR,

financial management,

procurement management,

communications, grievance

redress, etc., to manage the

project effectively.

5. Monitor progress of project

effectively.

6. Evaluation of outcomes.

powers is adequate (even if

further increase is possibly

needed).

2. Resources: SICOM office

established; the minimum office

infrastructure has been created.

3. Staff: Recruitment of nearly 20

staff completed, but due to high

turnover, not more than 10 are

available at any point of time.

Repeated attempts failed to

identify any candidate for the

position of Additional Project

Director.

4. Systems: Annual Action Plans

for all (2011-12, 12-13, 13-14)

were prepared adequately

(although annual plans for 2011-

12 and 2012-13 suffered

implementation delays). The

Financial Management Cell and

the systems of internal audits,

external audits, fund

management, etc., are working

very well. The procurement cell

and systems need improvement

(barely sufficient for the national

component, but it has failed to

guide the state components). The

communication cell has been

functioning much below

expectation due to staff turnover

issues that has not been resolved

for long. The current HR system

is basically a minimalistic

personnel management system.

5. All legal covenants (as recorded

process is under progress, but

needs to be accelerated.

Important issues are: (i)

absence of an additional

project director, after repeated

agreements; (ii) additional

staff required for the

procurement cell, and

improvement in work of the

procurement cell; (iii)

additional staff required for the

communications cells; (iv)

additional contract staff

required for supporting (a) a

profiling of coastal

communities and their culture

and built spaces, (b)

conservation of cultural

aspects of coastal communities

including community eco-

museums, (c) strategic

thinking about housing for

traditional communities on the

coast, etc.

4. Systems: (i) The procurement

cell and systems need

improvement to be able to

guide the project states, and to

standardize procurement

documents and processes, (ii)

a full-fledged HR system

including a full-fledged staff

performance management

system is required to be

installed; (iii) the

communication cell and the

systems including the

September 2013. MOEF will ensure

that an additional project director, with

technical qualification and expertise on

coastal zone management is available to

SICOM by September 2013.

4. Systems: (i) SICOM will prepare and

implement a plan for improvement of

the procurement cell and systems by

December 2013; (ii) SICOM will install

a full-fledged HR system including a

full-fledged staff performance

management system by September

2013; (iii) SICOM will ensure that the

website, the newsletters and all other

proactive communication tools are

restarted by October 2013.

5. Monitoring: SICOM installation of the

in-house comprehensive real-time

monitoring system by August 2013 that

should be able to generate the

monitoring reports and alerts

automatically (so that high workload

for this is reduced).

6. Evaluation: SICOM will procure by

September 2013, an established

institution of repute to start evaluation,

such that the first evaluation report is

available by December 2013.

IMPORTANT: Please note the specific

agreements related to the further

improvements required in Disbursement,

the Procurement and the Financial

Management Systems described in detail

in Annex 9, Annex 7 and Annex 8

respectively. These are important to attain

satisfactory rating at the time of the next



49


(May 2013)


Recommendations

in the PAD) had been complied

with within time.

6. Monitoring: Monitoring has been

adequate, but improvement

possible. Substantial progress

has been made in designing a

real-time monitoring system.

7. Evaluation: This has been unduly

delayed, although the scope has

been prepared. Therefore, a

third-party view on the progress

of achieving outcomes is not

available (but acutely required,

as the internal monitoring

systems are not able to judge

improvement in nation-wide

institutional development and

increase in knowledge.

websites, the newsletters and

all other proactive

communication tools need a

restart.

5. Monitoring: Real-time

monitoring for the entire

project is needed.

6. Evaluation: An established

institution of repute needs to

be procured to start evaluation,

such that the first evaluation

report is available by

December 2013.

Implementation Support Mission

(November-December 2013).



50

COMPONENT TWO: PILOTING I.C.Z.M. APPROACHES IN GUJARAT


(May 2013)


Recommendations

[2A]

ICZM Plan

1. ICZM plan with a 20-30 year

horizon prepared and approved

2. The plan preparation includes

revolving stakeholder

consultations (10 stakeholder

workshops, 2 state level

workshops and 200 village

meetings)

3. Associated knowledge activities

1. ICZM Plan preparation: ToR prepared for support consultants. RFP invited for support consultants.

2. Consultations: 337 Gramsabhas, 140 PRA exercises completed. Expert consultations were organized. One multi-stakeholder workshop organized.

3. Associated knowledge activities: 12 Knowledge benchmark studies (sea turtle habitat, seaweeds diversity, health of sea and coastal water, protocol on coastal water monitoring, atlases for mangroves, coral, saltpan, and aquaculture) completed.

1. ICZM Plan preparation: Nil, except that plan preparation in earnest should begin as soon as possible.

2. Consultations: Nil. 3. Associated knowledge

activities: Nil.

1. ICZM Plan preparation: (i) Support consultants to be in place by September 2013; (ii) Plan approval committee nominated and declared; (iii) support consultants to finalize the stakeholder consultation plans by December 2013, and implement such consultation starting in January 2014.

2. Consultations: The plan for revolving consultants will include all stakeholders including traditional coastal communities, industry and government agencies. Draft issues papers will be prepared by the support consultants for each consultation session.

3. Associated knowledge activities: Nil.

[2B1] Capacity building of Gujarat Pollution Control Board

1. Monitoring and analysis of coastal water quality and pollution

2. Procurement and use of state-of-art laboratory and monitoring instruments

3. Monitoring data to be publicly disclosed.

1. Monitoring & analyses: Baseline data for 2 years already collected. 18 sites identified to collect data on physical-chemical parameter of GoK. Protocol for coastal water monitoring developed. Monitoring of the 18 sites has started. Some analyses started.

2. Laboratory augmentation: Procurement of 13 out of 23 instruments and laboratory upgrade completed. Bids to be re-invited for remaining 10 instruments.

1. Monitoring & analyses: Nil. 2. Laboratory augmentation:

Procurement using ICB and NCB were not successful.

3. Public disclosure: Nil.

1. Monitoring & analyses: Protocol for coastal water monitoring needs to be peer reviewed and adopted formally by GSPCB. Targets and scope of analyses to be finalized by early 2014.

2. Laboratory augmentation: Procurement of the remaining instruments may be tried using national shopping, as far as allowed by the revised procurement thresholds; and all completed by September 2013.

3. Public disclosure: GSPCB to prepare draft formats for disclosure of all data to be collected, and all analysis



51


(May 2013)


Recommendations

3. Public disclosure: Baseline data for health of coastal water of GoK published on SPMU and GPCB websites

to be made; and use these to make wider disclosure in GSPCB website starting early 2014.

[2B2] Capacity building of Gujarat Environment and Ecology Research Foundation

1. Biophysical monitoring of sea water and sea pollution

2. Augmentation of laboratories: Expansion of laboratory at Gandhinagar, and establishment of 5 field stations

3. Research on coral transplantation: Successful coral transplantation models tested and developed for a total of 200 square m

4. Capacity building of staff: 2 International exposure visits and 10 underwater diving trainings

1. Environment monitoring: Compilation report with baseline data and protocol for mapping of bio-physical parameters published

2. Biophysical monitoring of sea water and sea pollution. Protocol developed for marine flora and fauna. Monitoring started.

3. Augmentation of laboratories: Procurement for research center and 2 of the 5 field stations and 70% of scientific instruments completed. Award made for procurement of boats

4. Research on coral transplantation: 15 square m coral transplantation completed with local species with 70%-80% survival rate. 2 transplantation models developed.

1. Biophysical monitoring of sea water and sea pollution. Disclosure formats are not ready. Data needs verification with GSPCB monitoring data.

2. Augmentation of laboratories: 46 new scientific instruments proposed

3. Research on coral transplantation: Corals from Lakshadweep and Gulf of Mannar will not be obtained due to restrictions in those places. Target of area and number of models to needs reduction.

4. Capacity building of staff: International exposure visits not yet scheduled. 19 additional staff required.

1. Biophysical monitoring of sea water and sea pollution. Monitoring locations, protocols, analyses to be done in collaboration with GSPCB, starting from September 2013.

2. Augmentation of laboratories: Procurement of all works and goods to be completed by September/December 2013.

3. Research on coral transplantation: MTR agreed for the reduction in targets of area and number of models. All models to be completed and knowledge transferred to MNP by March 2014.

4. Capacity building of staff: Staffing proposals agreed by MTR. Recruitment process to be completed for the additional staff and the vacant positions by September 2013. By December 2013, final proposals from GEER to be shared with SPMU for national and international exposure visits.

[2B3] Capacity building of Bhaskaracharya Institute of Space Application and Geo-Informatics

1. Preparation of detailed GIS maps for the coastal and marine areas of the GoK: land use mapping including ground verification.

1. Large scale land use maps with overlays of HTL, LTL, infrastructure, demography, socio-economic aspects developed. DEM/DTM created using satellite stereo images. Thematic atlases prepared. GIS based system developed

1. Nil. 1. BISAG should share all maps with

SPMU, so that SPMU support

consultants can use these for

preparation of ICZM plan. Sharing

should be completed by October 2013.



52


(May 2013)


Recommendations

to support CRZ planning, management, regulation and decision making. Capacity building activities are in progress.

[2B4] Capacity building activities by the Forest & Environment Department

1. Preparation of capacity building plan covering all stakeholders in the state

2. Implementation of the capacity building and training programs including stakeholder consultation workshops (18), training sessions (16) and exposure visits (13)

3. Implementation of communication program

1. GoG has mandated the SPMU (on behalf of the Forest & Environment Department) to organize capacity building programs for all stakeholders in the state relevant to the coastal and marine area management program.

2. Capacity building plan: A plan was prepared and being implemented. In 2013, an expert committee appointed by GoG has suggested revisions as per the current needs and priorities. This includes a training plan for community, managers of the coastal areas; and includes training at national and international levels.

3. Capacity building and training: 12 stakeholder consultation workshops, 21 trainings and 7 exposure visits organized. More planned.

4. Communication program: Major campaigns have been launched including mangrove yatra in 180 villages; cycle rallies; large-scale celebration of the World Women’s Day

1. Capacity building plan: The international training and exposure plans must be detailed out.

2. Capacity building and training: Nil.

3. Communication program: Nil.

1. Capacity building plan: MTR suggested that Gujarat SPMU prepares and agrees with a GoG approved institution to provide services to organize national and international exposure visits and training. Such a strategy should be integral part of the capacity building plan.

2. Capacity building and training: As described above, SPMU will prepare a schedule of intended national and international exposure visits and training in discussion with all PEAs; (ii) seek to get the service provider agency in place by December 2013; (iii) start implementing the national and international exposure and training program from early 2014.

3. Communication program: Nil. However, the current initiatives must continue. Further, the communication campaign should slowly be geared up to support the ICZM plan preparation process.



53


(May 2013)


Recommendations

and the World Environment Day; public radio programs; mass and social media campaigns; using state transport corporation buses to carry hoarding; creative design and artists’ workshops.

[2C1A] Marine Oceanarium at Dwaraka

1. Construction and operation of the marine oceanarium on a PPP basis

1. Land selected. CRZ mapping done for the site. Approval of GoG obtained on draft REoI and to be published in June 2013.

1. Technical specifications yet

to be finalized. Bid document

yet to be finalized.

4. SPMU, as directed by the

GoG, proposed a higher level

facility (fifth generation) with

GoG taking additional

financing responsibilities.

The project financing needs

to increase to INR 80 crore.

1. World Bank agreed to provide

additional advice on the bid documents

by August 2013.

4. SPMU to organize potential bidders’

conference in September-October

2013.

5. SPMU to organize and finalize in

discussion with the Forest Department

and the Tourism Department an

approval committee who will provide

approvals for different stages of the

work.

6. MTR mission agreed to the

enhancement of potential project

financing to INR 80 crore.

[2C1B] Mangrove and shelterbelt plantation by Gujarat Ecology Commission and the Kachchh Forest Circle

1. 10,000 ha of mangrove plantation and 1,500ha of shelterbelt plantation through community participation

2. Capacity building of CBOs. 3. Awareness campaigns. 4. Wildlife protection:

Establishment of marine interpretation center at Mandvi, establishment of hatchery and protection of sea turtles

1. Mangrove and shelterbelt plantation: 8,400 ha of mangrove plantation completed (3,000 ha by GEC) and verified; 1500ha of shelterbelt plantation completed – both with community participation.

2. Capacity building of CBOs: Completed.

3. Wildlife protection: Hatchery established. Thousands of turtles saved, hatched and released in the sea.

1. Mangrove and shelterbelt plantation: Nil.

2. Capacity building of CBOs: Nil.

3. Wildlife protection: Nil.

1. Mangrove and shelterbelt plantation: MTR discussed and reiterated earlier agreement to expand mangrove and shelterbelt plantation targets. MTR agreed that mangrove and shelterbelt plantation can be extended to the Saurashtra coast and the Gulf of Khambat if more suitable areas for plantation are readily available there.

2. Capacity building of CBOs: Nil. For all new plantation areas, same model and processes to be continued.

3. Wildlife protection: Procurement of



54


(May 2013)


Recommendations

works for the interpretation center to be completed by September 2013.

[2C1C] Mangrove and shelterbelt plantation by Marine National Park & Sanctuary (MNP)

1. Mangrove plantation: 6,100ha of mangrove plantation

2. Wildlife protection: Establishment of marine interpretation center at Narara, establishment of hatchery and protection of sea turtles

1. Mangrove plantation: 2,765 ha of mangrove plantation completed

2. Wildlife protection: Workshops on sea turtle conservation and hatchery management organized – one with MNP and another with Turtle Action group. Field hatcheries developed near Dwaraka and a total of 15,000 turtles saved, hatched and released in the sea. Bid documents ready for the marine interpretation center, Narara.

1. Mangrove plantation: As use of force account is restricted, suitable plantation areas within MNP cannot be planted. In that event the target needs to be reduced by 1,200 ha.


1. Mangrove plantation. MTR urged MNP to identify suitable area to be planted. MNP indicated at least 6,000 ha is available if use of force account is permitted. MTR agreed that (i) MNP will prepare a report on the status of earlier plantation in 2010-12 using force account including the description of the current survival and quality of those plantation, (ii) SPMU will verify at site the status of those plantation, and (iii) if found to be satisfactory, will take up plantation using force account for an additional area of 4,000ha. If force account is used, the revised total target should be 8,000ha instead of 6,100 ha.


[2C1D] Coral reef generation by the Marine National park (MNP)

1. 1,700 square m of coral transplanted within MNP

1. Coral nursery already developed in collaboration with ZSI. In absence of models from GEER foundation, alternative models tested and found successful. Pre-plantation works completed. 300 square m of transplantation is expected to be completed in 2014

1. Given the lack of live corals to be transplanted; MNP proposed targets to be reduced to 1,000 square m.

1. MTR urged MNP to seek opportunities to meet the target. However, if it becomes evident that a the current target is unviable due to impacts on live corals of GoK, then a reduction 1,000 square m is appropriate. A final decision of MNP and SPMU is expected by August 2013.

[2C2A]: [Additional Activity] Preparation of oil spill

1. Preparation of Level II and Level III oil spill management plans in agreement with all stakeholders.

1. Bidding process undertaken failed to identify a qualified and responsive consultant. Rebidding has been initiated.

1. Nil. 1. Selection of consultants should be completed by September 2014.



55


(May 2013)


Recommendations

management plan for the GoK – Gujarat Maritime Board

[2C2B] Environmental sanitation of Jamnagar city - Jamnagar Municipal Corporation

1. Construction of 70 MLD sewage treatment plant

2. Laying of sewerage network and sewage collecting system

3. Renovation of pumping stations

1. Sewage treatment plant: A contract for 70 MLD sewage treatment plant with associated facilities for a 15 years DBO period awarded.

2. Sewerage network and sewage collecting system: Two contracts were awarded. Contract packages I and II are 44% and 64% complete – while these were expected to be completed by June 2013. Two rounds of bid for a contract for ancillary pipeline failed.

3. Pumping stations: Works awarded, wet well and pump house completed, and progress on schedule. Contract awarded for deep suction machine; all supplies are on schedule.

1. Sewage treatment plant: Nil.

2. Sewerage network and sewage collecting system: Both sewerage contracts are delayed. Extension to be granted as reasoned by JMC and SPMU. Some third-part damages to public infrastructure have happened (and contractors have proposed compensation for this). Further, it was noticed that JMC has also taken up a large program for street improvement or overlays, and newly laid streets are being dug to lay sewerage. Rebidding of the ancillary pipeline is delayed due to failure to approve a higher estimate linking to market conditions. Given the recent inclusion of JADA area in the Jamnagar municipal limits, this area is proposed to be included as a new sewerage package (or by expansion of zone L works).

3. Pumping stations: Procurement of DG sets pending.

1. Sewage treatment plant: Contractors should be encouraged to complete the construction work ahead of the contract schedule.

2. Sewerage network and sewage collecting system: Contracts for sewerage packages I and II should be extended based on a revised agreed schedule ensuring completion within the extension period. Under the contracts, it is the responsibility of the contractors to make good any third-party damage; and JMC is advised to ensure all damages are rectified satisfactorily before the final payments are made. Rebid for ancillary pipelines must be advertised in August 2013. Work of the PMC is not satisfactory, and the JMC is advised to ensure that the PMC is discharging its duty efficiently and all PMC resources are available at site. The MTR agreed to include the JADA area under the project, either in an expansion of the current contract or through a new contract (to be awarded by December 2013) subject to the following: (i) SPMU and SICOM agreement, (ii) reconciliation with the city master plan. JMC is requested to schedule the street overlay program such that it is



56


(May 2013)


Recommendations

synchronized with laying with sewers.

3. Pumping stations: JMC to ensure that contracts do not experience slack; and the deep suction machine is supplied as per schedule.

4. For all of above: SMPU with help from JMC and their PMC should develop process documentation of the works. JMC should undertake, starting from now, a household connection drive such that the planned volume of sewage reach the STP, and JMC does not have future financial burden in the event of not being able to ensure the guaranteed flow to the STP.

[2C3A]

Eco-tourism and related livelihood improvement activities by the Marine National Park

1. Development of coral trail 2. Development of mangrove

canopy walk

1. Coral trail: To be deleted to avoid any potential damage to corals by construction and operation of the trail.

2. Mangrove trail: Design of mangrove canopy walk is in finalization stage.

1. Coral trail: A preliminary environmental examination done; and this examination suggest that the coral trail should be deleted to avoid any potential damage to corals by construction and operation of the trail.

2. Mangrove trail: The bidding has been delayed.

1. Coral trail: MTR agreed to delete the sub-activity based on the recommendation from MNP and SPMU that the alternatives available to construct of the trail may cause damage to live corals, which must be avoided.

2. Mangrove trail: Award bid(s) by September 2013.

[2C3B] Livelihood improvement activities by the Gujarat Ecology Commission

1. Establishing 480 Viable CBOs (110), SHGs (303), EDCs (56) for managing mangrove resources (with capacity building, trainings and exposure visits for stakeholders)

2. Entry point activities in 166 villages

1. CBOs/SHGs/EDCs: 104 CBOs, 40 EDCs and 303 SHGs established, with focus on women. 13 trainings (to 1,486 members) of social audit committees. Community procurement manual developed and used.

2. Entry-pint activities: 154 PRA

1. CBOs/SHGs/EDCs: The

remaining 33 CBOs/SHGs/

EDCs need legal registration,

which was delayed.

2. Entry-pint activities: There is a need to rename and expand the EPAs, as per identified and prioritized in the PRA exercises.

3. Awareness, convergence

1. CBOs/SHGs/EDCs: Registration needs to be immediately expedited; and all completed by September 2013, so that all community contracts could be signed in October 2013.

2. Entry-pint activities: The proposals for (i) renaming EPA to a more adequate title, such as the “livelihood



57


(May 2013)


Recommendations

3. Awareness campaign and strengthening convergence and linkages for all the CBOs/SHGs/EDCs.

exercises completed, 136 community contracts made, and 97 EPA completed. 8 villages completed 100% sanitation; 2 villages provided 100% solar energy; and so on. Success stories documented.

3. Awareness, convergence and linkages: Progressing as planned.

and linkages: After one round of exposure visits within the state and a small exposure to other states, further exposure visits did not take place.

support activities”, and (ii) expanding the scope of the EPAs – were examined by the MTR; and both are agreed in principle, subject to confirmation by SPMU and SICOM.

3. Awareness, convergence and linkages: With respect to exposure visits, SPMU/GEC needs to (i) restart the state and national level visits and training; (ii) in collaboration of SICOM, take a representative group of the CBOs/SHGs to Nepal this year.

[2D] Project management

1. Mandating SPMU to implement

the project.




manage the project.








effectively.

1. Mandate: GOG had mandated

SPMU to (i) implement the

project, and (ii) organize

capacity building program for

the state.

2. Resources: SPMU office

established; the required office


3. Staff: Recruitment of almost all

staff completed, but due to

turnover, 5 positions were

vacant. Recent recruitment

process has been successful.


for all (2011-12, 12-13, 13-14)


(although annual plans for

2011-12 and 2012-13 suffered




Tally ERP version 9.3, fund

management, are working well.

The procurement cell needs

augmentation (as performance

1. Mandate: Nil.

2. Resources: Nil.

3. Staff: Fresh recruitment

process was successful, but

selected candidates yet to

join.

4. Systems: (i) PFMC needs to

perform better; (ii) a full-

fledged HR system including

a full-fledged staff

performance management

system is required to be

installed.



project is needed.

1. Mandate: Nil.

2. Resources: Nil.

3. Staff: SPMU will ensure that the

selected staff join immediately, and go

through an orientation of the project

quickly.

4. Systems: (i) SPMU will discuss and

agree with the PFMC ways to improve

their service, and PFMC will

implement the agreement by August

2013. (ii) SICOM is preparing a full-

fledged HR system including a full-

fledged staff performance management

system by September 2013; SPMU will

adopt it, with required modification in

October-November 2013.

5. Monitoring: SICOM is installing the

comprehensive real-time monitoring

system (testing by August 2013, and

installation by September 2013).

SPMU will collaborate with SICOM to

use this effectively.

6. SPMU to ensure, in collaboration of

PEAs a better quality assurance of all

the works and community contracts.



58


(May 2013)


Recommendations

of PFMC had been less than

satisfactory). The


functioning in an excellent

manner. The grievance redress

system is functioning

effectively. The current HR

system is basically a

minimalistic personnel

management system.



with within time.

6. Monitoring: Monitoring has

been adequate, but

improvement possible. Steering

committee meeting regularly.

7. The communication cell, although performing excellently, should consider a more comprehensive and integrated communications agenda/plan in support of the larger objective of preparation and adoption of ICZM plan.



improvements required in Disbursement,

the Procurement and the Financial

Management Systems described in detail

in Annex 9, Annex 7 and Annex 8

respectively. These are important to

attain satisfactory rating at the time of the

next Implementation Support Mission

(November-December 2013).



59

COMPONENT TWO: PILOTING I.C.Z.M. APPROACHES IN ODISHA


(May 2013)


Recommendations

[3A]

ICZM Plan



for two stretches Gopalpur-

Chilika, and Paradip-Dhamra






meetings)


1. ICZM Plan preparation: Draft

scope of work finalized; ToR

for support consultants yet to be

finalized, and RFP to be

invited. Steering committee

constituted to monitor the

progress of ICZM Planning

under the chairmanship of Chief

Secretary.

2. Consultations: 3 multi-

stakeholder consultative

workshops organized to initiate

the process.

3. Associated knowledge

activities: The regional coastal

process study completed in

April 2013 for the entire coast

of Odisha

1. ICZM Plan preparation: ToR

and RFP for support

consultants yet to be finalized

(although the technical

studies are mostly done).

2. Consultations: Nil.


activities: Nil.

1. ICZM Plan preparation: (i) Support

consultants to be in place by November

2013; (ii) support consultants to

finalize the stakeholder consultation

plans by December 2013, and

implement such consultation starting in

January 2014.

2. Consultations: The plan for revolving

consultants will include all

stakeholders including traditional

coastal communities, industry and

government agencies. Draft issues

papers will be prepared by the support

consultants for each consultation

session.

3. Associated knowledge activities: Nil.

[3B1]

Capacity

building for

Odisha State

Pollution Control

Board (OSPCB)

1. Monitoring and analysis of

coastal water quality and

pollution

2. Construction and operation of

ISO & LEED certified Green

CMCE Facility at Paradip

3. Procurement and use of state of

art laboratory and monitoring

instruments (laboratory at

Bhubaneswar, CMCE Paradip)

4. Development and public

disclosure of a consistent time

series data on seawater health

monitoring

1. Monitoring & analyses: Draft

Monitoring protocol prepared

and monitoring initiated from

25th May 2013. Rebidding

process initiated for

procurement of the coastal

monitoring vessel.

2. CMCE facility at Paradip:

Construction in progress and on

schedule; roof slab casting at

first floor completed by May

2013. Processes completed for

registration for LEED

platinum/gold certification.

3. Laboratory augmentation:

(Re)Bids received for

1. Monitoring & analyses:

SPMU and OSPCB to ensure

that the bid evaluation for the

monitoring vessels is done

using the quickest possible

time.

2. CMCE facility at Paradip:

Not yet registered for

obtaining LEED certification.

3. Laboratory augmentation:

Procurement using ICB and

NCB were not successful

earlier, and may not be fully

successful this time also.

4. Public disclosure: Nil.

1. Monitoring & analyses: Protocol for

coastal water monitoring needs to be

peer reviewed and adopted formally by

OSPCB (cross-checked with Gujarat

SPCB). Targets and scope of analyses

to be finalized by early 2014. Until the

monitoring vessel is available for use,

OSPCB should hire a vessel to start the

monitoring.

2. CMCE facility at Paradip: (i) SPMU to

encourage the appointed consultants to

obtain registration for LEED

certification at the earliest.

3. Laboratory augmentation: Procurement

of the remaining instruments may be

tried using national shopping, as far as



60


(May 2013)


Recommendations

procurement of instruments/

equipment. Bid evaluation in

progress. 4 scientists recruited

to work at the CMCE.

4. Public disclosure: not yet

started. Monitoring has started

only in May 2013.

allowed by the revised procurement

thresholds; and all completed by

October 2013.

4. Public disclosure: OSPCB to prepare

draft formats for disclosure of all data

to be collected, and all analysis to be

made; and use these to make wider

disclosure in the OSPCB and ICZM

websites starting early 2014.

[3B2]

Capacity

building of

Chilika

Development

Authority (CDA)

1. Augmentation of WRTC and

Scientists’ hostel, Chandraput

2. Recruitment of research staff

3. Enhancement of knowledge

base through studies on water

quality assessment, birds,

microbial flora, Macrophytes,

benthic communities, faunal

diversity and Fisheries

resources

1. WRTC & Scientists Hostel:

contract awarded and work

under progress for renovation of

WRTC. Procurement for

instruments for WRTC (several

packages, two phases)

completed. Installation of real-

time water quality monitoring

sensors at strategic 10 locations

in Chilika completed.

2. Staff: All planned staff

recruited and are working.

3. Research studies: (i) study of

macrophytes and lake ecology,

(ii) general floristic surveys in

selected regions, plant

specimens collected, identified

and preserved as herbarium

specimens; (iii) quantitative

ecological studies of terrestrial

vegetation of different places;

(iv) shoreline vegetation

analyses at six sites; (v) study

of avifauna and water bird

including ringing of 778 birds

of 37 species; (vi) monitoring

of benthic fauna, aquatic flora

and physical-chemical

1. WRTC & Scientists Hostel:

work of the expansion of the

scientists’ hostel yet to start.

2. Staff: Nil.

3. Research studies: a planned

study of the macro-fauna of

the Chilika lagoon should not

be taken up, as the GoI has

provided parallel financing

and mandate to ZSI.

1. WRTC & Scientists Hostel: works of

the expansion of the scientists’ hostel

should be taken up as a priority and

procurement to be completed by

October 2013. CDA is encouraged to

take over an unfinished building of the

Department of Water Resources and

use it for additional laboratory and

interpretation center purposes

(however, all procurement for

remodeling the building should be

completed by December 2013)

2. Staff: Nil.

3. Research studies: MTR agreed to drop

the study on the macro-fauna as

parallel financing is available to ZSI.



61


(May 2013)


Recommendations

parameters; (vii) fish ecology

and diversity study - all in

progress, and as per schedule.

Several research papers

published in refereed journals.

[3B3]

Regional Coastal

Process Studies

1. RCPS: Collection and

processing of primary and

secondary data on coastal

processes for the entire Odisha

Coast and conceptual modeling

2. Providing outputs in such

formats that are readily useful

for the shoreline management

plan (which is a sub-plan of

ICZM plan).

3. Capacity augmentation of

ORSAC and SPMU to handle

the data.

1. RCPS: Successfully completed

the huge consultancy. Progress

was periodically reviewed by an

eminent panel of nation-wide

experts.

2. Outputs: Consultants are

undertaking analyses of data

and preparing outputs in various

formats. On schedule.

3. Capacity augmentation: SPMU

has already created the

hardware and software to host

the huge database.

1. RCPS: Nil.

2. Outputs: Nil.

3. Capacity augmentation:

Considering wider

application of the huge

database, it is important to

use a specialized state

agency, ORSAC also to hold

and disseminate the data.

ORSAC has not yet

submitted a proposal.

1. RCPS: (i) SPMU should make a

process documentation of the RCPS for

the benfit of other states; (ii)

consultants should be encouraged by

SPMU to make a proposal for lowest

cost maintenance and update of the

data.

2. Outputs: Nil.

3. Capacity augmentation: SPMU might

re-assess if the GIS capability at

SPMU/SCZMA is sufficient to host

and use the data. If required, SPMU

must, before December 2013 award

contracts for augmentation of its GIS

facility. SPMU should encourage

ORSAC to submit a proposal before

September 2013.

[3C1A]

Protection of

Olive Ridley

Turtles & other

Aquatic Wildlife

by Wildlife

Wing (Forest and

Environment

Department)

1. Establishment and operation of

wildlife protection squads and

basic infrastructure (camps,

monitoring center) for the

protection squads

2. Establishment of wildlife

infrastructure facilities

(interpretation center, hostel for

scientists, hatchery and rearing

complex, laboratory)

3. Capacity building, and

awareness programs

1. Wildlife protection squads and

infrastructure: Protection

squads established and

operating in the rivers and

creeks of Bhitarkanika.

Permanent camps established at

Chinchiri and Dobandhi – with

works there near final. At 3

other places the works have

been initiated.

2. Wildlife infrastructure facilities:

Construction of the hatchery

and rearing complex for

crocodiles, and the laboratory

facility at Dangamal – all are

1. Wildlife protection squads

and infrastructure: The

seagoing vessels will be

rebid; protection squads do

not have all required gears.

Training of the community

members to be coopted for

protection squad assignment

yet not taken up.

2. Wildlife infrastructure

facilities: Not clear whether

there is adequate staff for

running these facilities

created. Research works for

the developing the content of

1. Wildlife protection squads and

infrastructure: The remaining

infrastructure for the protection squads

should be completed this year. PEA

will prepare a plan for training of the

community members (on boat

operating, diving and initial wildlife

rescue operations), submit this to

SPMU, and start implementing this

plan of training by January 2014.

2. Wildlife infrastructure facilities: PEA

will provide details of working,

operation and staffing for the hatchery,

rearing complex and laboratory by

September 2013. Contracts for works



62


(May 2013)


Recommendations

nearly completed. Some staff in

place for running these

efficiently. For the coastal

aquatic wildlife monitoring

center with ancillary facilities at

Chakradharpur, the bid

documents are ready and

awards are expected by

September 2013. Bidding

processes completed for the

researchers’ hotel at Gupti.

3. Capacity building and

awareness programs: research

staff recruited. Annual marine

protection program for Olive

Ridley turtles organized in two

years. Organized multi-

stakeholder involvement and

participation in protection of

marine wildlife.

the interpretation centers is

very slow.

3. Capacity building and

awareness programs: the

research program is not yet

final; the research outputs and

schedules are delayed. There

is yet no annual plan for

awareness campaign.

and goods for the coastal aquatic

wildlife monitoring center with

ancillary facilities at Chakradharpur,

interpretation center at Koilipur, and

the researchers’ hotel at Gupti should

be awarded by September 2013.

Researchers recruited should be given

adequate resources but definitive

schedules for delivering research

outputs so that these could be used in

the interpretation centers.

3. Capacity building and awareness

programs: PEA will share with SPMU

all plans for capacity building and

awareness campaign, with details and

schedule of delivery. Once agreed,

these will be implemented starting

early 2014.

[3C1B]

Conservation of

archaeological

and cultural

heritage

1. Conservation of 8

cultural/archaeological heritage

assets, and improvement of the

periphery aiming at local

ecotourism employment

generation.

2. Capacity building of 35 stone

artisans and temple masons.

1. Conservation of heritage assets:

Works on 7 sites are

progressing. Stone dressing at

the Pidha –Jagmohan

completed; stone carving and

designing progressing at the

Bhabakundaleswar Temple,

Manikpatna; resetting and stone

dressing progressing at the

Ganjam Fort; deplastering

progressing at the Hari

Haradev Temple, Nairi; site

cleaning completed at the

British Cemetery, Ganjam;

deplastering of the temple

kitchen progressing at the

Jagannath temple at Pentha;

1. Conservation of heritage

assets: PEA and SPMU

proposed that the 8th

property

(the Old Building at Jamboo)

be dropped from the project,

as after conservation it might

not be put to beneficial use.

However, dropping this may

attract some risk as the local

communities and state level

policy-makers have been

excited about conservation of

this property.

In one or two properties, the

peripheral development

proposals include

construction over sand dunes.

1. Conservation of heritage assets: The

PEA and SPMU will discuss and take a

final decision in August 2013 the case

of the Old Building at Jamboo; and

assess the risk of dropping it. World

Bank has in-principle agreement to

reduce the scope work at this place (as

sustainability is questionable) and limit

the tasks. The PEA will submit a

detailed schedule of completion of

intermediate and final works for all

sites to SPMU/World Bank by

September 2013. The detailed

schedules will show how the structural

conservation for properties will be

completed by December 2013 (April

2014 for the Bhabakundaleshwar



63


(May 2013)


Recommendations

deplastering of Jagmohan is in

progress at the Baliharchandi

temple. Work has been initiated

at the Bateswar temple,

Kantiagarh. Procurement of

conservation materials

completed for Harhardev,

Jagannath, Bateswar and Bali

Harchandi temples.

2. Capacity building of artisans

and masons: master crafts

persons identified; state level

workshop completed in 2011,

and focus group discussions

organized.

Some of the peripheral

development plans proposed

by PEA are excessive

intervention and the cost is

beyond apparent benefits

from ecotourism

development. Operation and

management plan not

prepared.

Comprehensive heritage site

and ecotourism management

plan for the Ganjam Fort and

the Cemetery not yet

prepared.

2. Capacity building of artisans

and masons: Actual capacity

building and training has not

started.

temple and Ganjam fort); and how all

peripheral works will be completed in

June 2014. PEA will prepare

comprehensive heritage site and

ecotourism management plan for each

site (including the operation and

maintenance plan and resource

requirement and revenue to be

generated), and the final scope of the

peripheral development works should

be decided by the plans. SPMU will

also facilitate by appointing an expert

to advice on the issues about

construction over the sand dunes.

SPMU will also help by helping

content and communication materials

(boards, signage, brochure), and

preparation of documentation of the

works done (to be available by March

2014). MoU with community groups

responsible for management of all 7

heritage sites to be signed by

September 2013 and sites handed over

to them by June 2014.

2. Capacity building of artisans and

masons: Organize all capacity building

training for master crafts persons (start

January 2014) by June 2014. PEA to

decide if the target is to be expanded.

The current target of 35 is too small.

Training materials to be collated and

formally organized by December 2013.

PEA will inform by December 2014 if

more work is needed on the manual on

stone conservation (and additional

expert input may be recruited) by

March 2014.



64


(May 2013)


Recommendations

[3C1C]

Shoreline

protection at

Pentha village

by the Water

Resources

Department

1. Laying of 650m of geo textile

tubes at Pentha

2. Construction of 3km concrete

paved approach road; and a

godown-cum-office at Pentha

3. 77,000 square m of shelterbelt

plantation

1. Geo-tube embankment:

Redesign, site reinvestigation

completed. Works awarded.

2. Office and approach road:

Construction completed.

3. Shelterbelt plantation: Not yet

started (can start only after geo-

tube is laid)

1. Geo-tube embankment: No

issues now, although the start

was delayed.

2. Office and approach road:

Nil.

3. Shelterbelt plantation: No

clear plan and schedules

agreed with Department of

Forest for the works.

1. Geo-tube embankment: SPMU and

PEA will ensure that the work is

completed on schedule.

2. Office and approach road: Nil.

3. Shelterbelt plantation: The SPMU and

PEA will ensure that the Department of

Forest has a planting plan, planting

schedule ready by January 2014, raise

adequate nursery by April 2014, and

ensure that all plantation is completed

in the first pre-monsoon planting

season of 2014.

[3C1D]

Mangrove

plantation by

Forest and

Environment

Department [and

by SPMU

through NGOs]

1. Mangrove plantation: 138ha of

mangrove or mangrove

associates along river banks and

creeks; and 30ha of mangrove

or mangrove associates in

village forest areas or private

lands 32 EDCs.

2. Creation of a gene bank of

mangroves and mangrove

associates

3. Creation of a Herbarium and its

maintenance

4. [Additional work] Mangrove

plantation: SPMU engaged

NGOs to plant 3,000ha of

mangrove through CBOs.

1. Mangrove plantation: Land

identification (138ha + 30ha)

completed. Fencing and

plantation ongoing on 65ha of

riverbank land. 21 EDCs have

planted 19ha with 10,000 and

20,550 saplings of mangroves

and mangrove associated

supplied by PEA.

2. Gene Bank: 5 parcels of land,

10ha each, identified (3 in

Kanika, and 1 each in

Sasanpeta and Mahakalpada

ranges). Work plan being

prepared.

3. Herbarium: Procurement of

material in progress.


plantation: NGOs engaged by

SPMU identified 100ha of land

for mangrove plantation (760ha

in Berhampur and 240ha

Kendrapara districts), and are

training the CBOs. The actual

plantation work is in progress.

1. Mangrove plantation: It is not

clear why the PEA is moving

slowly, and whether the

entire work will be completed

in 2013.

2. Gene Bank: Work is slow.

Not adequate knowledge has

been developed or shared.

3. Herbarium: No clear

understanding of the

knowledge work done until

now.


plantation: SPMU and NGOs

will need to agree on a

revised target, if the target is

beyond the capacity of the

NGOs.

1. Mangrove plantation: SPMU will

ensure that the entire work by the PEA

is completed in the 2013 planting

season. PEA will prepare a report by

December 2013 on the process and

achievement of plantation giving

evidence of the works completed.

Based on this report, a view will be

taken if works need to continue to

complete the target.

2. Gene Bank: PEA will prepare and

share a final plan by October 2013, and

prepare a schedule of the knowledge

works to be delivered.

3. Herbarium: PEA will ensure that it is

completed in 2013.


plantation: SPMU and NGOs will

ensure that 1,000ha is planted in 2013.



65


(May 2013)


Recommendations

[3C2A]:

Environmental

sanitation of

coastal town of

Paradip by

Paradip

Municipal

Corporation

1. Establishment of an integrated

solid waste management system

(SWM) for the town

2. Augmentation of capacity of the

Municipal Corporation for

managing the SWM.

1. SWM: 50 acre Landfill site

identified and transferred (after

a yearlong delay). Transaction

advisory due diligence,

environmental screening and

assessment completed. EIA

initiated. Bid for integrated

SWM ready.

2. Capacity building: project

engineer and other supporting

staff provided to the nodal

officer. However, as the SWM

is designed as 15 years DBO

contract, the major

responsibilities are transferred

to the operator. Capacity

building to focus on monitoring

and contract management.

1. SWM: Work delayed, and no

further slippage should be

there. No-objection from

OSPCB yet not there.

2. Capacity building: Further

training with focus on

responsibilities of the

Municipal Corporation with

respect to the DBO contract

to be undertaken.

1. SWM: Award of work should be

completed by October 2013. Landfill

site clearance from the OSPCB to be

achieved before award in October

2013. The PEA and SPMU will ensure

that the required CRZ clearance and

consent to establish from OSPCB are in

place before works starts at the landfill

site.

2. Capacity building: PEA and SPMU to

finalize a training plan. The MTR also

advised that PEA recruits an

experienced contract staff to oversee

the work of the DBO contractor in the

initial months of construction.

[3C3A]

Provision of

cyclone shelters

by Disaster

Management

Authority

1. Construction of 14 cyclone

shelters in Kendrapara,

Ganjam and Puri districts

2. Capacity building of local

communities to manage and

maintain cyclone shelters

1. Cyclone Shelters: Construction

of 13 cyclone shelters has

progressed satisfactorily; and is

to be completed in 2013. For

one shelter at Petchela, the

contract was awarded late by

May 2013, and this is xpected

to be completed by mid-2014.

2. Capacity building: Cyclone

shelter maintenance and

management committees and

village level task force formed

at all 14 sites. Awareness

campaign carried out and full

capacity building activities are

progressing at all sites.

1. Cyclone Shelters:

Construction quality is not

adequate in some places.

2. Capacity building: Nil.

1. Cyclone Shelters: OSDMA will use the

quality assurance consultants from a

parallel NCRMP project to cover the

14 cyclone shelters in ICZM project;

and the resultant incremental cost will

be financed by SPMU. OSDMA will

also ensure that all shelters are

completed in time as per schedule

presented and agreed at the MTR.

2. Capacity building: Each cyclone shelter

will be handed over to the CSMMCs

within a month of completion of

construction; and all relevant capacity

augmentation activities should be

completed before that.

[3C3B]

Support to

fishing

1. Establishment and capacity

building of 40 coir SHGs

2. Construction of coir production

1. Establishment of SHGs: 40

SHGs identified, training

completed in 27 SHGs (who

1. Establishment of SHGs:

Although the SHGs have

started production, and is

1. Establishment of SHGs: PEA will

prepare a plan for improving the

sustainability of the coir SHGs by



66


(May 2013)


Recommendations

communities in

developing

small-scale

industrial and

marketing

activities by the

EP&M, Office of

the Director of

Industries

units at villages

3. Establishment of coir tourism

and livelihood centers

(including training-cum-

production center) and coir craft

tourist villages

have started production),

advanced substantially for 3

SHGs, and initiated for the

remaining 10 SHGs. SHG

members participated in local

and national fairs. Trainers and

29 SHG leaders trained.

Exposure visit to Kerala

organized. Work on market

linkages progressing slowly.

2. Coir production units: At

village Gola, a parcel of 8

decimal land has been donated

by the community. Designs

prepared, but bid yet to be

advertised. At other villages,

land is not suitable (and TPCs

could replace the need for

production units).

3. Coir tourism villages (including

TPCs): Government land

allocated for establishment of a

coir tourism and livelihood

center (including TPC) at

village Chaudabatia. Adjacent

villages to be established as coir

craft tourism villages. A

consulting firm engaged to

prepare the site level master

plans.

marketing some of their

products, the sustenance of

this business is doubtful

without implementation of a

full-fledged marketing

business plan. Earlier

consulting services for

development of business plan

found unsatisfactory to the

PEA.

2. Coir production units: The

current delay of nearly 18

months needs to be

recovered.

3. Coir tourism villages

(including TPCs): PEA has

shown low enthusiasm for

integrated (ecotourism + coir

craft) solutions, and intends

to restrict the work to TPC

only.

January 2014; and if required (in

absence of a clear agreement on

implementation of a profitable business

plan) will prepare and implement an

exit strategy by April 2014.

2. Coir production units: Work at village

Gola, should be awarded by September

2014; and all associated community

agreements should be in place that (i)

all equipment is in place, and (ii) the

community takes over as soon as the

construction is completed. The MTR

also agreed that no other production

center will be pursued by the PEA (as

that defeats the purpose of the

integrated TPCs).

3. Coir tourism villages (including TPCs):

The MTR agreed that (i) wherever

further work is done, only integrated

coir tourism villages (including coir

craft tourist centers, tourist facilities,

and training-cum-production centers)

will be undertaken; (ii) no stand-alone

TPCs will be financed by the project.

[3C3C]

Livelihood

improvement

support by the

Fisheries

Department

1. Establishing and capacity

building of 637 SHGs

2. Infrastructure for value addition

to fishery processes

3. Capacity building of the fisher

communities

1. SHGs: Identification and initial

capacity building of 637 SHGs

completed. Technical skill

training was provided to 423

SHGs at training organized at

village level, 154 organized at

state level and 167 SHGs

1. SHGs: Nil. However, the

target could be near 1,000ha

(suggested by State) rather

than 600.

2. Infrastructure for value

addition: Although the work

is progressing, the

1. SHGs: MTR agreed that (i) PEA will

focus and complete the works with the

currently contracted 637 SHGs, (ii) and

expand the activity to reach the target

of 1,000 SHGs; (iii) corresponding

expansion of support will be planned

for the expanded number of SHGs.



67


(May 2013)


Recommendations

organized at national level.

2. Infrastructure for value

addition: Financial support

provided to 411 SHGs for

implementing alternate

livelihood activities (132 for

pisciculture; 85 for integrated

dairy and poultry; 119 for solar

drier-based hygienic and value

added products, and 75 for

other allied process activities).

3. Capacity building: CSO

Consultation workshop with

150 representatives from 97

NGOs organized; 4 NGO

engaged for implementation of

project activities; awareness

and sensitization organized in

80 villages.

community contracts need to

be monitored to ensure that

all communities complete

their work by 2014, and

demonstrate that financial

support provided to them is

utilized as intended for every.

3. Capacity building: Not clear

if each of SHG/CBO has

developed capacities to take

over, operate and manage the

assets in a sustainable

manner.

2. Infrastructure for value addition: PEA

will ensure that the remaining 226

SHGs (637 total SHGs minus 411

SHGs who already received the first

tranche) will receive the first tranche of

financing by September 2013. All

equipment provided by PEA to the

communities, such as solar driers, will

be in place without delay. PEA will

ensure that (i) work by each SHG is as

per planned in the signed community

contracts, (ii) the utilization certificates

are received and next tranche of

financing is released to the SHGs in

time, (iii) for the expanded SHGs, all

agreements are made and community

contracts signed by December 2014.

3. Capacity building: The PEA, the

SPMU and the partner NGOs should

ensure that all SHGs/CBOs have

developed capacity for sustainable

operation and management; and

prepare a status report by March 2014.

All assets to be transferred to the SHGs

by April 2014 (for the first bunch of

637 SHGs).

[3C3D]

Biodiversity and

sensitive habitat

based livelihood

improvement by

the Forest

Department

1. Conservation of Hukitola

building and island area

development

2. Enhancement of public

facilities at Gahirmata and

Bhitarkanika sanctuaries

3. Ecotourism infrastructure at

Babubali, Purunabandha,

Barunei

4. Upgradation of existing forest

camp infrastructure at Chilika

1. Hukitola building and island

conservation: Installation of

floating jetty completed;

management plan, drawings,

designs and estimate being

finalized.

2. Public facilities at Gahirmata

and Bhitarkanika sanctuaries:

No specific progress yet.

3. Ecotourism at Babubali,

Purunabandha, Barunei:


conservation: Most activities

delayed, operation plans not

finalized.

2. Public facilities at Gahirmata

and Bhitarkanika sanctuaries:

Lack of any progress.


Purunabandha, Barunei:

Most activities delayed,

operation plans not finalized..


conservation: MTR agreed that if (i)

acceptable operation plan is prepared

by the PEA by September 2013, and

(ii) if all awards cannot be made in

October 2013, this will be dropped

from the project.

2. Public facilities at Gahirmata and

Bhitarkanika sanctuaries: MTR agreed

that if (i) acceptable operation plan is

prepared by the PEA by September



68


(May 2013)


Recommendations

5. Development of ecotourism

complex and at Koilipur and

New Buxipalli

6. Augmentation of Central and

Field Units for monitoring.

7. Supplementing the capacity of

tourist and monitoring boats

installation of floating jetty at

Purunabandha completed.

Plans and designs for other

places being finalized.

4. Chilika forest camp

infrastructure: CRZ clearance

received for 5 sites for

strengthening of camp

infrastructure. Two rounds of

bidding failed.

5. Ecotourism complex and at

Koilipur and New Buxipalli:

land obtained. Designs and

drawings are being finalized.

6. Central and field units for

monitoring: No specific

progress.

7. Tourist and monitoring boats:

Contracts awarded for

procurement of tourist boats.

4. Chilika forest camp

infrastructure: Lack of

progress given that two

rounds of bidding failed to

get responsive bids.

5. Ecotourism complex and at

Koilipur and New Buxipalli:

All activities delayed,

operation plans not finalized.

6. Central and field units for

monitoring: Lack of any

progress.

7. Tourist and monitoring boats:

Operation plans not finalized

yet.

2013, and (ii) if all awards cannot be

made in October 2013, this will be

dropped from the project.


Purunabandha, Barunei: MTR agreed

that if (i) acceptable operation plan is

prepared by the PEA by September

2013, and (ii) if all awards cannot be

made in October 2013, this will be


4. Chilika forest camp infrastructure: PEA

and SPMU will now try to use

shopping, as per the revised

procurement thresholds to procure all

works and goods required. An

acceptable operation plan will also be

prepared by September 2014..

5. Ecotourism complex and at Koilipur

and New Buxipalli: MTR agreed with

SPMU recommendation to drop all

activities at New Baxipalli as it is

unlikely that CRZ clearance will be

achieved. With respect to activities at

Koilipur, the MTR agreed that if (i)

acceptable operation plan is prepared

by the PEA by September 2013, and

(ii) if all awards cannot be made in

October 2013, this will be dropped

from the project..

6. Central and field units for monitoring:

SPMU and PEAs will ensure that the

planned activities are completed by

March 2014, and the required trainings

will start from April 2014.

7. Tourist and monitoring boats: SPMU

and PEA will prepare a plan to hand

over the assets to the community



69


(May 2013)


Recommendations

groups within 1 month of receiving

delivery of the contracted boats. SPMU

will also verify that the community

groups have adequate capacity to

operate and manage the assets in a

sustainable manner. Such a verification

report should be available twice; within

January 2014, and within 2 months of

delivery and handing over the assets to

the community groups.

[3C3E]

Support to fisher

people groups in

developing

small-scale

tourism activities

by the Tourism

Department

1. Development of tourism

facilities at Barkul, Sipakuda,

Satapada, and Rambha

2. Development of ecotourism

complex and facilities at

Gabakunda, Mirjapur,

Gangadharpur, Kalijai and

Tampara

1. Tourism facilities at 4 sites:

Overall work on phase I of

Barkul complex 90%

completed; embankment of the

water sports complex

strengthened, construction of

the amusement park facilities,

using bamboo completed,

contracts for equipment and

electrification awarded. Bidding

process for phase II initiated.

Progress is slow at other sites.

2. Ecotourism complexes at 5

sites: Master plans for the sites

are near final. Construction

work progressing at

Banamalipur-Patna. Contracts

for speed boats, jet ski and

paddle boats awarded. Bidding

initiated for 50 solar powered

boats. Rebidding is in progress

for pontoon jetty and aluminum

gangways for different sites.

1. Tourism facilities at 4 sites:

Progress is slow at sites other

than Barkul phase I.

2. Ecotourism complexes at 5

sites: Progress is slow for all

sites; and community

agreements have not been

signed yet.

1. Tourism facilities at 4 sites: SPMU and

PEA will ensure that (i) all master

plans are ready by September 2013,

and (ii) all works and goods will be

awarded by December 2014.

2. Ecotourism complexes at 5 sites: MTR

agreed that at the Tampara site, PEA

may drop sub-activities of eco-park,

jetty, public convenience, parking on

the NH side, floating restaurant and

floating cottages as it is unlikely that

land will be available any time soon.

For all other sub-activities, SPMU and

PEA will ensure that (i) all master

plans are ready by September 2013,

and (ii) all works and goods will be

awarded by December 2014.

[3D]

Project

management


the project.



1. Mandate: GoO had mandated

SPMU to implement the

project.


1. Mandate: Nil.

2. Resources: Nil.

3. Staff: Given that (due to

procedural issues) SPMU

1. Mandate: Nil.

2. Resources: Nil.

3. Staff: SPMU will prepare a proposal

for releasing increment of staff salary



70


(May 2013)


Recommendations


manage the project.








effectively.



3. Staff: Recruitment of staff

completed, but due to turnover,

a few positions were vacant and

new staff being recruited.


for all (2011-12, 12-13, 13-14)



2011-12 and 2012-13 suffered






The procurement cell is also

functioning adequately. The



manner. The grievance redress

system is functioning




management system.



with, within time.


been adequate, but



staff have not received

enhancement of salary for

two years now, there is a high

risk of staff turnover. Earlier

SPMU proposal for

increment in salary did not

receive GoO approval.

4. Systems: A full-fledged HR

system including a full-

fledged staff performance

management system is

required to be installed.



project is needed.

(including its application retroactively)

and seek approval from the Steering

Committee. A report on this will be

shared with SICOM and Bank by

October 2014.

4. Systems: SICOM is preparing a full-





October-November 2013.










7. The communication cell, although

performing excellently, should consider

a more comprehensive and integrated

communications agenda/plan in

support of the larger objective of

preparation and adoption of ICZM

plan.

IMPORTANT: Please note the

specific agreements related to the

further improvements required in

Disbursement, the Procurement and the

Financial Management Systems

described in detail in Annex 9, Annex 7

and Annex 8 respectively. These are

important to attain satisfactory rating at

the time of the next Implementation

Support Mission (Nov-Dec 2013).



71

COMPONENT TWO: PILOTING I.C.Z.M. APPROACHES IN WEST BENGAL


(May 2013)


Recommendations

[4A]

ICZM Plan



for at least one sediment sub-

cell in West Bengal






meetings)


1. ICZM Plan preparation: Draft

scope of work yet to be

finalized; ToR for support

consultants yet to be finalized,

and RFP to be invited.

2. Consultations: 3 multi-

stakeholder consultative

workshops organized to initiate

the process.


activities: Discrete studies were

completed with respect to

behaviour model for shoreline

in Digha sector; village level

database of Sagar Island, HD

model for Matla estuary.

Village level digitization for

Namkhana and Kakdwip;

baseline data collection on

physical- chemical parameters

of coastal waters in Digha are

progressing (albeit slowly).

1. ICZM Plan preparation: ToR

and RFP for support

consultants yet to be finalized

(and background studies to be

completed). No steering

committee constituted to

monitor the progress of

ICZM Planning.

2. Consultations: Stakeholder

identification to be launched.


activities: Substantial

knowledge gaps exist.

1. ICZM Plan preparation: (i) Support

consultants to be in place by November

2013; (ii) support consultants to

finalize the stakeholder consultation

plans by December 2013, and

implement such consultation starting in

January 2014; (iii) SPMU and Steering

Committee to nominate by October

2014, a monitoring committee headed

by Chief Secretary to advise the ICZM

Planning process.

2. Consultations: The plan for revolving

consultants will include all

stakeholders including traditional

coastal communities, industry and

government agencies. Draft issues

papers will be prepared by the support

consultants for each consultation

session.

3. Associated knowledge activities: As

the substantial knowledge gaps have

not been addressed by the current work

by SPMU/IESWM, the ToR for the

support consultants to include

collecting and assessing the minimum

information that is required.

[4B1]

Capacity

Building of

Biochemistry

Department,

Calcutta

University

1. Establishment of an advanced

center at the University for

microbial research

2. Cataloguing and dissemination

of microbial diversity in

Sundarban

1. Establishing the microbial

research center: The center was

established and functioning. All

equipment procured and used. 1

project scientist, 2 senior

research fellows, 4 junior

research fellows employed. All

responsibilities for operation,

1. Establishing the microbial

research center: Additional

instruments, fellowships and

incremental operating cost

required to expand the

activities.

2. Studies & analyses: The

current progress is very

1. Establishing the microbial research

center: The MTR confirmed the

agreement of October 2012 to expand

the program by addition of instruments,

fellowships and incremental operating

costs. SPMU to include these in the

revised Procurement Plan in August

2013.



72


(May 2013)


Recommendations

upkeep and long-term

sustenance confirmed by the

University.

2. Studies & analyses: DNA

sequences of more than 40,000

microbes identified; sequencing

of 363 non-culturable bacteria

accredited at the NCBI, USA. 2

publications in peer reviewed

journals. Workshop organized

on next-generation

pyrosequencing approach.

satisfactory, and should be

scaled up.

2. Studies & analyses: MTR agreed that

additional resources are required to

better the already substantial progress.

MTR encouraged the CU team to

prepare a plan for additional research to

come out with industrial applications

and patents thereof.

[4B2]

Capacity

Building for

Institute of

Environmental

Studies and

Wetland

Management

(IESWM)

1. Upgrading the existing remote

sensing, GIS and water

chemistry laboratories;

procurement of instruments and

software for climate change

studies; mobile laboratories for

water sample analysis.

Appropriate staffing.

2. Capacity building through

training on new software; 1

exchange program with IIT-

Chennai and 2 oversees training

programs on climate change.

3. Establishment of the

Sundarabans Interpretation

Centre at Rangabelia (through

TSRDC)

1. IESWM laboratories and

facilities: a few scientific

instruments and software for the

remote sensing and GIS labs,

the water chemistry

laboratories. Larger

procurement for instruments

delayed (after bids were

received in February 2013).

Several staff recruited.

2. Capacity building. Some

training organized for the small

number of software purchased.

Larger training program yet to

be rolled out.

3. Sundarban Interpretation

Centre: no progress, although

very detailed discussions

continued.

1. IESWM laboratories and

facilities: Current IESWM

leadership uncertain about the

need and future operational

responsibilities; very long

delay in procurement and bid

evaluation; plans for staff

research program (in support

of ICZM planning)

abandoned for about 3

months now.

2. Capacity building. Larger

training program yet to be

rolled out.

3. Sundarban Interpretation

Centre: SPMU indicated that

the GoWB recommended this

sub-activity to be dropped.

1. IESWM laboratories and facilities: the

MTR discussed the proposal from

SPMU to reduce/drop the activity, but

agreed that (i) the capacity building of

IESWM is an essential part of the

project, and cannot be dropped without

dropping/reducing other activities of

the project; (ii) GoWB, SPMU and

IESWM will need to reconfirm by

October 2014 the commitments of the

State Government to maintain assets

created by the project; (iii) all pending

procurement should be awarded

without further delay.

2. Capacity building. Larger training

program yet to be implemented starting

January 2014.

3. Sundarban Interpretation Centre: MTR

agreed that this sub-activity be dropped

from the project.

[4C1A]

Mangrove

Plantation by

Forest

Department

1. Regeneration of 200ha of

mangrove and coastal bio-

shield in Purba Medinipur

range. [Additional target 345

ha; total now 545ha]

1. Mangrove and coastal bio-

shield: 40ha of plantation (20ha

of mangrove and 20ha of strip

plantation) completed. 7

community contracts signed

1. Mangrove and coastal bio-

shield: (i) The work is

already delayed and no

further slack available; (ii) no

clear agreement with

4. Mangrove and coastal bio-shield: (i)

SPMU and PEA to ensure that 465ha

under the 7 signed community

contracts are planted in the upcoming

planting season of 2013; (ii) for each



73


(May 2013)


Recommendations

2. Wildlife protection in Purba

Medinipur range

3. Awareness and extension

activities (including 15 and 2

training program at village and

district levels, 5 workshops

each at village and district

levels, and 4 exposure visits)

covering 465ha, where work is

progressing. Farm forestry

works initiated.

2. Wildlife protection: 1 anti-

poaching vehicle and 3 motor

bikes procured; all being used;

a large number of wildlife

rescued and protected already.


activities: Several trainings

initiated, such as on community

farm forestry, bank linkages,

accounting, use of GPS. 1

exposure visit to Gujarat

organized.

communities on entry-point

activities, although several

discussions were organized;

(iii) farm forestry needs to be

expanded to cover the entire

area of project villages, and

not limited to the area

between the sea and the

village hutments.

2. Wildlife protection: No clear

documentation of the

protection activities and the

result.


activities: Nil.

community contract, the agreed entry-

point activities to be financed, and if

required the community contracts

should be amended or supplementary

contracts signed; (iii) PEA will agree

with communities to cover the entire

village area for farm forestry, and if

required the community contracts

should be amended or supplementary

contracts signed; (iii) SPMU and PEA

may consider engaging a few retired

forest officials to work with the

community groups to build their

capacity on accounting and reporting.

5. Wildlife protection: PEA will prepare a

clear documentation of the protection

activities and the results by March

2014.

6. Awareness and extension activities:

PEA and SPMU will agree on a

schedule of awareness activities, by

December 2014, and implement.

[4C1B]

Rehabilitation of

Marine

Aquarium at

Digha by the

Zoological

Survey of India

1. Training Program on ICZM (10

annual training events)

2. Upgrading the marine aquarium

1. ICZM training: 2 major training

programs conducted

government officials and local

stakeholders.

2. Marine aquarium: With some

initial refurbishment, the

aquarium has started

functioning. The bidding for

designing, production and

execution of works is delayed

by a year now.

1. ICZM training: efficacy and

usefulness of training is not

clear.

2. Marine aquarium: (i)

Substantial delay; (ii) the

operational and financial

sustainability of the planned

improved facility doubtful.

1. ICZM training: (i) ZSI will prepare a

program for tracking behavior change

among the trainees by March 2014, and

(ii) make the required changes in

training module so as to be able to

track behavior changes, and focus on

conservation of the “Schedule I”

animals by fisherpersons; (iii) after the

next training session, ZSI will

undertake follow-up surveys of the

trainees to track behavior changes.

2. Marine aquarium: (i) ZSI will formally

accept, with authorization as required,

to levy appropriate entry charges from

tourists so as to be able to generate



74


(May 2013)


Recommendations

resources required to maintain the

improved facility, and ensure that the

arrangement is agreeable to SPMU,

SICOM and World Bank; (ii) SPMU

will award the contract for designing,

production and execution of works

latest by October 2014; (iii) in the

event any of the above two are not met,

this activity will be dropped from the

project.

[4C2A]

Sewerage system

and

environmental

sanitation of

Digha by the

PHED

1. Construction of sewerage for

Digha, a 6.7mld sewage

treatment plant, allied works,

and O&M

2. Construction of office,

laboratory and allied works

1. Sewerage and STP: Contract for

both sewerage and STP

awarded. There is delay from

contractors in starting the

works. Contractors’ surveys and

soil investigation reports await

approval by PHED.

2. Office and laboratories: Bid

documents awaiting approval

from PHED.

1. Sewerage and STP: (i)

Contract for both sewerage

and STP is at risk of delay,

(ii) PHED approval process

slow, (iii) not clear if

permission from the Forest

Department is needed for

disposal of treated

wastewater; and, (iv) no

progress in restoration of the

pumping stations.

2. Office and laboratories: Bid

process long delayed.

1. Sewerage and STP: (i) PEA will ensure

that the contracts are implemented

timely; all contract drawing to be

issued well in time; contractors should

be given clear instruction on schedule

of laying of sewers; (ii) PHED should

clarify authorization to the nodal

officer to approve all technical details

in a time bound manner, say 7 days; if

required, the PHED should engage an

expert to provide technical advice to

the nodal officer; (iii) SPMU to ensure

that a permission from the Forest

Department is available for spreading

treated wastewater in the forest land by

December 2013; (iv) all required

refurbishment of the pumping stations

should start by January 2014; (v) MTR

agreed that a proposal from the

contractor to provide HDP pipes of

appropriate specification at the same

price quoted in the contract for pipes of

apparently lower specification can be

considered, if found suitable by PHED.

2. Office and laboratories: PHED should

ensure that the works are awarded by

September 2014. Otherwise, SPMU is



75


(May 2013)


Recommendations

advised to drop this sub-activity.

[4C2B]

Cleaning and

improvement of

Digha beach

1. Integrated beach front area

development including

cleaning, sanitation, beach

beautification, livelihood

generation, in-situ rehabilitation

of hawkers

1. Planning integrated beachfront

development: The plan for

integrated beachfront

development has been prepared

(and approved at all appropriate

levels). Site specific sub-plans

are under discussion and

finalization. CRZ clearance

obtained for two priority sites.

Consultation and agreement

with stakeholders, especially

the hawkers’ union had

progressed satisfactorily.

2. Development works: (i)

Contracts awarded for beach

lighting and installation of

benches is incomplete due to

breach of agreements (supply of

inferior materials) contractors.

Several contract packages are

ready in design, but bidding

process was delayed. For area

level landscaping, designs of

several packages are being

finalized.

3. Planning integrated

beachfront development: (i)

Agreement with stakeholders,

especially the hawkers’ union

and the hotel association to

be signed yet; (ii) the

identified in-situ

rehabilitation sites can hold

about 1800 hawkers, and the

remaining 600 hawkers from

the approach roads cannot be

accommodated in these sites;

(iii) all site plans not yet

cleared by the Department;

(iv) CRZ clearance to be

obtained for all sites; (v) cost

of overall integrated

development is higher than

estimated originally.

1. Development works: (i)

Contracts for beach lighting

and installation of benches is

in dispute; (ii) bidding is

delayed by 3-6 months.

1. Planning integrated beachfront

development: (i) DSDA will sign

agreement with the hawkers’ union

specifying acceptable respective

responsibilities; (ii) DSDA will identify

additional sites for the remaining 600

hawkers and agree with them for

relocation, otherwise all hawkers will

be allowed to remain in place, or shift

away from the roads laterally; any

displacement will be considered in

application of the resettlement and

rehabilitation framework; (iii) SPMU

and DSDA will ensure that all site

plans are cleared by the Department in

August 2013; (iv) SPMU and DSDA

will ensure that all CRZ clearance are

obtained for all sites before bid process

for each site is initiated; (v) MTR

agreed that within reasonable limits,

the costs could be higher for the entire

development, works should not be

reduced unless costs are prohibitive;

and SPMU should ensure all costs

agreed between SPMU and SICOM is

reflected in the revised procurement

plan.

2. Development works: (i) DSDA should

initiate appropriate action to terminate

the contract for beach lighting and

installation of benches; (ii) all contracts

for the entire package of work should

be awarded by October 2014.

[4C2C]

Solid Waste

Management

1. Integrated solid waste

management at Digha including

collection, disposal and

1. SWM: The transaction advisory

is progressing (but was initially

delayed).

1. SWM: Transaction advisory

services delayed. Not clear

when this will be ready for

1. SWM: (i) Transaction advisory

services should complete the technical

due diligence by August 2013,



76


(May 2013)


Recommendations

System at Digha treatment.

2.

2. Landfill site: Landfill site

identified and is in possession.

The issue of agricultural

encroachment on the proposed

site not yet resolved fully.

bidding. The current

assessment has several

weakness (in respect of the

estimate of generation of

solid waste now and in

future; insufficient processing

capacity; only a 10 year life

considered; lack of

alternatives for handling and

recycling; excessive O&M

burden on municipality;

inadequate revenue

generation for operator).

2. Landfill site: The villagers

around the proposed landfill

site are worried about odor.

Agricultural encroachment

on the site to be resettled

with application of the

resettlement and

rehabilitation framework

(and especially focusing on

two BPL families who

reportedly depend on the

encroachment)

specifically addressing all the current

weaknesses in the report; (ii) SPMU

and DSDA to ensure that the bid

process is initiated in September 2013

and awarded in December 2013.

2. Landfill site: DSDA to ensure that (i)

villagers around the landfill site are

exposed to the best cases of landfill

site around the country, and agree to

the residual level of odor that comes

even after the best known technology

is chosen; (ii) SPMU and DSDA will

ensure that all agricultural

encroachment issues are resolved in

accordance with the resettlement and

rehabilitation framework (and

especially focusing on the BPL

families who might depend on the

encroachment); and a report in this

regard should be completed and

shared with World Bank by

September 2013.

[4C2D]

Drainage System

at Digha

1. Construction of storm water

drainage system in Digha

1. Drainage: Contract awarded,

current progress of work is

slightly more than 10% (4.421

km of a total of 41 km drains

have been constructed).

1. Drainage: The contract is

progressing slowly, due to (i)

areas free of encumbrance is

not handed over to

contractors in time – due to

inability to shift

encroachment on the road

right of way; (ii) directions to

contractors are not clear; (iii)

underground utilities,

especially water supply lines,

where damages are to be

1. Drainage: PHED (and their project

management consultants) and DSDA

need to ensure that: (i) DSDA and

PHED give the contractors a clear

advance schedule of opening works in

different streets; handover the entire

drainage right of way on the streets to

the contractors by December 2014; and

ensure that all such right of way is free

of encumbrance including

encroachments which should be shifted

out of the right of way, even if



77


(May 2013)


Recommendations

avoided is not known in

absence of as-built drawings

for those utilities; (iv) issues

arising out of faulty

construction of boundary

walls of private properties

without proper footing on

loose sandy soil, which get

damaged even if the drainage

works are designed to be

away from those walls; (v)

recent installation of street

lights on the proposed

alignment of drainage works,

which will now potentially

make streets unavailable for

laying of drainage; (vi)

potential conflicts between

the alignments of sewers

under the parallel contract

and the drainage.

temporarily; (ii) PHED to ensure that

contractors open and close work in any

particular street within the agreed

timeframe, as informed to the residents;

(iii) PHED and PMC to ensure that

additional and sufficient number of test

boring is done, instead of the current

practice of 2 or 3 such test bores per

street, to understand the alignment of

underground utilities, especially water

supply lines, where damages are to be

avoided, and direct the contractors to

change street level alignments of

drainage works accordingly; (iv) all

damages to third-party properties to be

made good by contractors under the

conditions of contract before the final

payment is made, and as per confirmed

by the SPMU; (v) DSDA to ensure that

no more street lights or any other

unplanned construction is permitted on

the proposed alignment of drainage or

sewer works; (vi) PHED to resolve,

street by street, the potential conflicts

of alignments between the proposed

drainage and the proposed sewer pipes;

both contractors will provide a list of

potential conflicts of alignment to the

PMC/PHED by August 2013, and

PHED will reconcile working details of

alignments of both contracts by

September 2013.

[4C2E]

Fish auction

centre at Digha

by the Fisheries

Development

1. Improvement of the Fish

Auction Centre with state of the

art facilities to meet export

standards and certification

2. Capacity building of the fisher-

1. Revised plan and designs:

Major differences persist on the

scope of work, (i) where the

PEA continues to focus on

construction of a building; (ii) a

1. Revised plan and designs: (i)

The PEA is an organization

staffed only with engineers

and not a single fisheries

specialist, and therefore do

1. Revised plan and designs: (i) MTR

agreed with SPMU that the Fisheries

Department who have the necessary

expertise on fisheries, with the District

Fisheries Officer at Purba Medinipur



78


(May 2013)


Recommendations

Corporation 9to

be done by the

Department of

Fisheries, as

proposed by

SPMU]

persons cooperative to operate

and maintain the improved

facility and for protection of

Schedule I marine fauna.

comprehensive plan is yet not

prepared.

2. Works: The bidding process

had to be cancelled when it was

realized that the land earmarked

is smaller than the built-up area

proposed. PEA proposed a

smaller building, which was not

acceptable as it does not serve

the purpose of the activity. For

more than a year, the land

alienation proposal is not

resolved, although reportedly

available.

3. Capacity building: The PEA has

not progressed sufficiently on

this. The ideas of the fisher-

persons’ cooperative remains

different from the PEA. There

has not been any discussion on

the responsibilities and

processes to prevent harm to

protected marine fauna.

not appreciate the need for

facilities and services that are

required for improved

services; (ii) the issues of

capacity building of the

fisherpersons’ cooperative

and handling over to them the

operation and maintenance of

the facilities escapes the

PEA, and therefore a

comprehensive plan is not

likely to be prepared by the

PEA.

2. Works: The PEA (i) keeps on

insisting that a smaller

building is possible to be

constructed without justifying

why such a small building is

required or is sufficient; (ii)

has now discovered that the

100MT cold storage and the

20 MT flake ice plant are not

required, as these have been

constructed in 2010-11 in

nearby places; (iii) no

progress is made on planning

for the entire processing

chain starting from fish

landing to the final loading

for transportation to markets.

3. Capacity building: No

progress on (i) agreements on

the scope of the plan and

designs; (ii) mutual

responsibilities and

obligations, (iii)

environmental outcomes that

as the nodal officer will replace the

Fisheries Development Department as

the PEA; (ii) the new PEA will prepare

a plan, by September 2013, for the

entire facility incorporating the

following important issues: (a)

improvement is needed in the entire

end-to-end process from fish landing to

eventual offloading to markets; (b) the

focus should be on environmental

improvement at each step of the

processes, including at the current site

for auction and transportation; (c) filth,

dirt and unhygienic conditions at the

entire site will need to be addressed;

(d) process improvement will consider

all opportunities of wastage and rot of

fish; (e) the new PEA will ensure that

all actions will be taken to achieve

relevant marine stewardship council

certificate; (f) all assets will be

transferred to the fisherpersons’

cooperative, under clear community

contract agreement; (g) agreement will

describe the environmental due

diligence, protection of Schedule I

marine fauna, incorporation of gender

issues, and operation and maintenance

management responsibilities of the

fisherpersons’ cooperative.

2. Works: The new PEA (i) will prepare

bid documents of all works and

installations by October 2013, in such

ways that contracts are awarded by

December 2013.

3. Capacity building: The new PEA and

SPMU will ensure that by December



79


(May 2013)


Recommendations

will be ensured – between

the PEA and the

fisherpersons’ cooperative.

2013 a plan for communication and

capacity building is agreed with the

fisherpersons’ cooperative, such that (i)

these are part of the community

contract agreement to be signed

between the PEA and the

fisherpersons’ cooperative in

December 2013, (ii) the plan is

implemented by respective parties of

agreement starting from January 2014,

and (iii) an evaluation of the

implementation of the capacity

building plan is prepared by a third-

party expert in September 2014.

[4C2F]

Distribution of

grid electricity in

Sagar Island by

the State

Electricity

Distribution

Company Ltd

1. Providing power distribution

system to connect all

households and establishment

(about 30,000 connections) in

Sagar Island. [Includes 42km

trunk HT lines, 448km spur HT

lines, and 443km 3-phase LT

lines, 621 DTRs, 20,870 poles)

2. Community engagement for

asset management and tariff

recovery.

3. Awareness campaign for

responsible use of electric

power.

1. Transmission: the transmission

Works are complete including

construction of transmission

lines over the 4km wide river.

2. Distribution system: Contracts

awarded and made substantial

progress. 3374 connections

were given, some diesel

generation during the annual

fair in January 2013 replaced by

distributed power. 17,614 poles

were transported to Sagar Island

of which 12,596 have been

erected; 18km of HT conductor

route length has been

completed.

3. Community engagement:

WBSEDCL has not yet

progressed sufficiently on this.

4. Awareness campaign: SPMU

has launched an excellent

communication campaign,

which slowed down since

1. Transmission: Nil.

2. Distribution system: (i)

Current estimate is that the

contract will be completed in

January 2014, but might slip

if contract issues are not

resolved by September 2013;

(ii) there is a claim of high

physical variation that needs

to be resolved; (iii) there are

reports of unauthorized

connections which are

already stressing the limited

number of transformers

installed as of now; (iv) not

clear whether all diesel

generation will be replaced

during the upcoming fair and

pilgrimage in January 2014.

3. Community engagement: In

absence of the clear

agreement and involvement

with community groups, it is

1. Transmission: Nil.

2. Distribution system: (i) WBSEDCL to

take all appropriate actions to ensure

that the contract progresses as per the

current estimates, and all works are

completed by January 2014; (ii)

WBSEDCL to provide to the World

Bank by August 2013, all required

documentation and certification

including internal final approval for

physical variation for all items of work,

so that World Bank can review and

clear the proposal for physical

variation; (iii) WBSEDCL to organize

meetings with local community leaders

and elected representatives to agree on

the actions that are needed to safeguard

the recently installed transformers; and

to prevent unauthorized connections

(such as informing those drawing

power from such connection as to when

their own premises will be connected,

as per the schedule of the contract); (iv)



80


(May 2013)


Recommendations

February 2013. not clear when and how much

recovery of tariff will take

place; and how all assets will

be looked after.

4. Awareness campaign:

Slowing down of the

communication campaign by

SPMU (to ensure that energy

efficient gadgets are bought

and used by the

communities).

WBSEDCL to inform, by October

2013, the PHE and the District

Administration that all power during

January 2014 for the Sagar mela will

be supplied by WBSEDCL, and that

the PHE and the District

Administration should not organize any

diesel generation.

3. Community engagement: (i)

WBSEDCL to start implementing the

agreed arrangements for tariff

collection through community groups;

(ii) sign agreements with all of them as

per WBSEDCL procedures by

December 2013; (iii) agree, by

December 2013, with the village

panchayats, a protocol of safekeeping

of the distribution infrastructure.

4. Awareness campaign: (i) SPMU will

restart the communication campaign by

September 2014; (ii) SPMU will

complete an assessment of the use of

energy-efficient gadgets and fixtures by

March 2014; (iii) SPMU will complete

an assessment of induced development

by December 2013.

[4C3A]

CBO

coordinated

livelihood

improvement for

Sagar Island

communities

1. Livelihood improvement

(including market access and

financial sustenance) for 15,000

BPL families in Sagar Island.

This includes formation and

strengthening of 1,200 CBOs

and 6 GP level federations;

sustainable economic activities

for minimum 330 CBOs; entry

point activities focusing on

enabling infrastructure and

1. CBO mobilization: 6 NGOs

procured to work as partner

NGOs, and given responsibility

for one panchayat each. NGOs

have 294 CBOs already

focusing on inclusion of 3741

women; conducted 13 TOT

sessions training 397

community members who in

turn trained 3309 persons from

the target communities.

1. CBO mobilization: The

process of mobilization is

slow due to (i) SPMU not

providing operational

flexibility to the 6 partner

NGOs; (ii) NGOs unable to

continue mobilization in

absence of actual financing

for CBO works; (iii) interim

SPMU thinking of reduction

of the target groups; (iv) the

1. During MTR, the SPMU proposed a

substantial reduction of the target of

improving livelihood of 15,000 BPL

households. The MTR discussed, and

agreed that such a reduction is not

possible, as (i) the livelihood

improvement component is an essential

thrust of the project and the GOI

program of coastal zone management;

(ii) the community consultations and

campaigns in last 2 years have built



81


(May 2013)


Recommendations

special/innovative activities for

larger entrepreneurship

development).

2. Entry-point activities: EPAs

have been initiated in a few

cases (covering works such as

installation of tube wells, pond

excavation, rural road, and pay

and use toilets).

3. Livelihood activities: 20

community contracts were

signed and work initiated.

local banks not providing

facilities appropriate for the

CBOs to open and run

accounts.

2. Entry-point activities: Very

slow progress: (i) NGOs have

not been able to prepare a

large number of proposals,

and (ii) SPMU has not

cleared most of the proposals

submitted by NGOs.

3. Livelihood activities: Very

slow progress due to (i)

SPMU delaying the template

community contract

document by referring to the

government for legal vetting,

which was not required; (ii)

lack of expertise among

NGOs to clearly identify

market demand and propose

activities for market linkages;

(iii) inability of the SPMU to

procure experts to advise on

market demand and market

linkage; (iv) lack of ideas

among SPMU and NGOs on

how to prepare a business

plan for the CBO activities.

high hopes among the community and

community leadership, and any

reduction of target will have backlash;

and (iii) reduction is only possible

along with proportionate reduction in

the scope of the entire project in West

Bengal. Consequently all agreed to

retain the target and scope of the

activity as designed.

2. CBO mobilization: SPMU will ensure

that (i) the 6 partner NGOs are given

operational flexibility, and the

reimbursement bills of the NGOs are to

be settled as per units of work

completed and their input should not be

measured by SPMU – all similar to any

other consultancy contracts; (ii) all

proposals for EPAs and community

contracts are to be cleared by SPMU

within 15 days of submission of such

proposals by NGOs – with

modification as required to comply

with the project objectives that SPMU

upholds; (iv) using alternative banks to

transfer funds to CBO accounts as

recommended by NGOs.

3. Entry-point activities: SPMU should

ensure that: (i) NGOs plan and deliver

an adequate large number of proposals,

and (ii) SPMU should clear these

proposals submitted by NGOs, within 7

days, provided that the NGOs have

certified that (a) no EPA suggested

falls in the negative list prepared by

SPMU, (b) cost estimates are realistic,

and will be disclosed publicly; (c) the

EPA does not displace any other



82


(May 2013)


Recommendations

financing from regular government

programs; (iii) EPAs will be part of the

community contract documents.

4. Livelihood activities: SPMU will

ensure that: (i) the template community

contract document is cleared and

available to NGOs in August 2013; (ii)

SPMU will engage individual experts

to work with NGOs to assess market

demand and advice on market linkages,

and to prepare business plans focusing

on financial sustainability for each

proposal of the CBOs; (iii) each

community contract will cover all

aspects – actions that are finalized for

financing, actions that will be finalized

and the process of finalization, and the

EPAs, so that there is no need for

signing repeated contracts with the

CBOs; (iv) all community contracts

covering the entire target groups will

be signed by December 2013.

[4C3B]

Sundarban

Affairs

Department-

Other

Ecotourism

Activity at Sagar

Island

1. Plan and designs for ecotourism

infrastructure

2. Construction of the tourism

facilities, public infrastructure

3. Implementation of

environmental infrastructure

and programs at the seafront

4. Capacity building of

communities

1. Plan and designs: Consultants

engaged; consultants prepared

draft plan document (not yet

approved by the SIDCL and

SPMU).

2. Ecotourism facilities: No work

started (cannot be procured

until designs are completed and

approved)

3. Environmental infrastructure:

No work started (cannot be

procured until designs are

completed and approved)

4. Capacity building: Community

groups to take over the

1. Plan and designs: (i) No

clarity about who will review

and approve the plan; the

PEA does not have the

capacity; (ii) District

Administration and PHE who

are responsible for most of

the current activities have not

been appropriately consulted;

(iii) in the current draft, some

issues have not been clearly

addressed: (a) future O&M

need and sustainability; (b)

community engagement and

employment generation; (iii)

1. Plan and designs: (i) SPMU and PEA

should convene, by August 2013, a

committee including local leaders,

PHED and the District Administration

to review and clear the draft plan; (ii)

consultants to clearly focus on

environmental outcomes in finalizing

the plan, by September 2013, including

100% sanitation during peak and off-

peak seasons, proper drainage,

aesthetics of the seafront by resolving

the issue of hundreds of electric poles,

and comprehensive solid waste

management including ways of

prevention of generation of solid



83


(May 2013)


Recommendations

operation and maintenance of

the assets created not identified

yet; and clear understanding on

the mutual responsibilities

between community groups and

the PEA.

aesthetic issues related to

scores of electric poles on the

seafront; (iv) low-cost

management of peak and off-

peak sanitation.

2. Ecotourism facilities: (i)

Delayed, and it is not clear

when bids will be ready; (ii)

it is not clear how much work

will be done through

community contracts; (iii) it

is not clear which facilities

cannot be maintained by

communities, and need to be

transferred to the village

panchayat.

3. Environmental infrastructure:

(i) Delayed, and it is not clear

when bids will be ready; (ii)

it is not clear how much work

will be done through

community contracts; (iii) it

is not clear how communities

will be able to maintain the

improved environmental

conditions – needs a revenue

generation plan; and how

much responsibility will be

on the temple trust, and

relevant government

departments – need clear

agreement with them.

4. Capacity building: (i)

Community groups to take

over the operation and

maintenance of the assets

created should be identified;

wastes; (iii) consultants should ensure,

and PEA and SPMU to confirm, by

October 2013, that in the final plan (a)

almost all works proposed could be

managed by the local community

groups; (b) all future O&M needs are

identified, and a revenue generation

plan is there for the communities to

create local employment and to carry

out appropriate O&M; (c) schedule of

community engagement transferring

the assets to the community groups;

(iv) SPMU and PEA needs to identify

all community groups, organize them,

and build their capacity to take over the

assets and the O&M responsibilities.

2. Ecotourism facilities: (i) SPMU and

PEA should ensure that all bid

documents are ready by October 2013,

advertised, and all contracts are

awarded by December 2013 including

all community contracts; (ii) where

facilities need to be transferred to the

village panchayat, PEA will ensure that

a clear agreement with the panchayat is

available by November 2013.

3. Environmental infrastructure: (i)

SPMU and PEA should ensure that all

bid documents are ready by October

2013, advertised, and all contracts are

awarded by December 2013 including

all community contracts; (ii) where

facilities or the O&M responsibilities

need to be transferred to the temple

trust, and relevant government

departments, PEA will ensure that a

clear agreement with each of these



84


(May 2013)


Recommendations

and clear understanding on

the mutual responsibilities

between community groups

and the PEA.

entities is in place by November 2013.

4. Capacity building: (i) PEA and SPMU

needs to ensure that all community

groups to take over the assets are

identified by October 2013, a capacity

building plan for them is prepared by

January 2014, and all such community

groups are strengthened adequately to

take over the assets by June 2014.

[4C3C]

Construction of

25 Multipurpose

Cyclone Shelters

by DMD

1. Construction of 25

multipurpose cyclone shelters

in the South 24 Parganas

District

1. Designs of the MPCSs:

Contracts for (i) soil testing

awarded after a delay of nearly

5 months, and (ii) architectural

and structural designs yet to be

awarded after a delay of nearly

6 months, since agreement of

February 2013.

2. Construction: (i) Sites selected;

(ii) bid documents are not there

yet pending completion of the

consultancies; (iii) short-list

prepared for supervision

consultancy.

3. Equipment: the PEA completed

an exposure visit to Odisha to

understand the needs, but has

not yet prepared the plan.

4. Community mobilization and

training: The PEA completed an

exposure visit to Odisha to

understand the needs, but has

not yet prepared the plan.

1. Designs of the MPCSs: There

has been delay (which was

avoidable) in awarding

consultancies, and the slow

progress of consultancies

may result in a situation

where bid documents are not

ready by September 2013.

2. Construction: (i) bid

documents may not be ready

in appropriate time to

complete procurement by

December 2013; (iii)

potential delay in selecting

supervision consultancy.

3. Equipment: the PEA has not

yet identified what equipment

needs to be supplied to each

MPCSs.

4. Community mobilization and

training: Community groups

have not been organized to be

responsible for management

of the MPCSs.

1. Designs of the MPCSs: PEA and

SPMU should ensure that the outputs

from the consultancies are ready by

August 2013, such that bid documents

are ready by September 2013. In the

event such bid documents are not ready

by September 2013, this activity will

be dropped from the project.

2. Construction: PEA will ensure that all

bid documents are ready in September

2013, and all works contracts are

awarded by December 2013. The

consultancy for supervision should be

awarded by November 2013, so that

they are mobilized before the

contractors are in place. If any of the

contracts are not awarded by December

2013, such contracts will be dropped

from the project.

3. Equipment: (i) The PEA, by August

2013, should prepare a list of

equipment to be supplied to each

MPCSs, and prepare technical

specifications; (ii) contract for

supplying and installation of these

equipment will be awarded by January

2014, when its clear which MPCSs are

being built; (iii) SPMU will include



85


(May 2013)


Recommendations

these equipment in the revised

procurement plan in August 2013.

4. Community mobilization and training:

PEA will (i) undertake all stakeholder

consultation by September 2013, (ii)

help organizing the selection of the

village level management committee

by October 2013; (iii) sign agreement

with the village level management

committee by December 2013 before

contracts for works are awarded; where

the agreement clearly describes the

mutual responsibilities.

[3D]

Project

management


the project.




manage the project.








effectively.

1. Mandate: The GoWB had

mandated SPMU to (i)

implement the project.




3. Staff: Recruitment of 2/3rd

staff

completed, remaining positions

were vacant. Recent recruitment

process has been successful to

select a procurement officer.

Project leadership in transition

for about 5 months now. The

position of Additional Project

Director is vacant for 3 months

now, and needs to be filled with

a senior government official

with qualification/experience in

coastal zone management.


for all (2011-12, 12-13, 13-14)



2011-12 and 2012-13 suffered

1. Mandate: Nil.

2. Resources: Nil.

3. Staff: 13 positions remain

vacant. The current staffing is

not adequate for taking up the

ICZM plan and associated

activities. Additional Project

Director needs to be

nominated.

4. Systems: (i) a full-fledged

HR system including a full-

fledged staff performance

management system is

required to be installed; (ii)

the current project leadership

need to recognize past

agreements and need to show

results based on the past

agreements.

Monitoring: Real-time


project is needed.

1. Mandate: Nil.

2. Resources: Nil.

3. Staff: SPMU will ensure (i) that the

selected staff join immediately, and go

through an orientation of the project

quickly; (ii) a new recruitment drive

will be taken up to fill the 13 remaining

positions (and if required be filled

through consultancy contracts).

4. Systems: (i) SICOM is preparing a full-





October-November 2013; (ii) current

project leadership will ensure

continuity of decision-making, and will

not subject any past agreements and

approvals to any de novo internal

approval.







86


(May 2013)


Recommendations






The procurement cell needs

augmentation (although PFMC

is working adequately). The



manner (with excellent use of

social media and other

participatory platforms),

although slowed down in the

last few months. The grievance

redress system is functioning




management system.



with within time, except partial

compliance to budget covenant.


been adequate, but








7. The communication cell, although

performing excellently, should consider

a more comprehensive and integrated

communications agenda/plan in

support of the larger objective of

preparation and adoption of ICZM

plan.



improvements required in

Disbursement, the Procurement and the

Financial Management Systems –

described in detail in Annex 9, Annex 7

and Annex 8 respectively. These are

important to attain satisfactory rating at

the time of the next Implementation

Support Mission (November-December

2013)

Annex 5

Management of Environmental Issues and Processes

87

1. Overall: The project is following the prevention principles built in its design to ensure long-term

conservation of coastal and marine resources and at long term sustainability. Implementation plans for all

activities include environment management measures; monitoring measures to ensure that the issues

avoided during design do not indeed occur. All the environment management measures are being

adequately integrated as part of priority investments and are adequately budgeted and the staffing has

been designated to provide the required oversight. The three tier grievance redress system has been

established in the SPMUs in Gujarat, Odisha and West Bengal. Regulatory clearances, such as the CRZ

clearance, state pollution control board consents, etc., where relevant, at different stages are being

ensured.

2. Activities being planned by the PEAs ensure that there is no conversion or degradation of natural habitats

(whether protected or not), land clearing, replacement of natural vegetation; no permanent or temporary

flooding of natural habitats; no drainage, dredging, filling or channelization of wetlands. In this regard,

specific precaution has been taken in the plantation of mangroves which progressed well in Gujarat. Any

possibilities of introduction of invasive exotic species have been avoided. Community management

approaches are being ensured for all mangrove and shelterbelt plantations (efforts are being made to adopt

these approaches even in cases where Force Account is used). All SPMUs and PEAs have ensured that

mangrove plantation is done on "revenue land" and/or "forest land" with a total avoidance of any private

land; no synthetic or chemical pesticide or herbicide is used in any plantation or de-weeding or clearing

operations.

3. The project is being implemented by professionals of NPMU and SPMUs with a good level of

environment awareness and experience. However, not all the staffs of the NPMU, SPMUs and the PEAs

are fully aware of the precautionary needs of this Project, and about the environmental avoidance,

mitigation or monitoring processes agreed for this Project. Efforts are underway for (a) preparation of an

activity-wise detailed chart summarizing all actions proposed in the environmental management plan for

the Project, and disseminated to all staff of NPMU, SPMU and PEAs; and (b) an orientation cum training

program for all such staff is proposed. The Quarterly Project Report starting from for the period of

January – March 2013 and the Mid-Term Evaluation Reports from SICOM and the three SPMUs

provided the description of the efforts relating to environmental and social management. Based on these

updates, the environmental monitoring plan is being mainstreamed into the web-based monitoring system

(which has been delayed by about 6 months now).

4. National Component: The National Component involves two major types of activities: (i) knowledge

outputs such as mapping, delineation of Hazard Line, ESAs, and Sediment Cells; and (ii) physical

investments such as mangrove plantations implemented by MSSRF, construction of the National Center

for Sustainable Coastal Management, etc.

5. With respect to delineation of hazard line and ESAs, it is important to communicate the benefits of these

activities, and the processes and safeguards involved in the mapping to the coastal communities. It is

recommended that a suitable communication package be prepared and implemented by the SICOM

communication cell (which will require capacity augmentation of the cell itself).

6. Further, the creation of new ESAs might impact access of local communities dependent on the ESAs for

resources and livelihood. The impacts of delineating ESAs be studied and documented thoroughly by

NCSCM.

7. In addition, lessons learned if any during the implementation of coastal protection measures also need to

be documented to aid future projects.



88

8. With respect to physical investments, mangrove plantations undertaken by MSSRF are implemented

using appropriate environmental practices, such as minimizing and mitigating impacts on the site

selected, choosing appropriate and non-invasive species and transporting saplings without disrupting

access to the site and without deteriorating the site characteristics.

9. The NCSCM building at Chennai has been designed to be a green building (platinum standard) and the

building design incorporates the existing vegetation on-site into the plan.

10. Six villages around Dandi in Gujarat have been notified as an Ecologically Sensitive Area, based on

resolutions adopted in full meetings of the village panchayats, and in agreement between the State and the

central Government. Conservation of environmental resources, minimization of pollution, and an aim to

reduce carbon emission from these villages are in-built in the integrated area planning process that is

being taken up. Similar stakeholder consultation and participation as well as environmental conservation

agenda is in-built in the process of notifying Vedaranyam in Tamil Nadu as an ecologically sensitive area;

and the proposal for notifying Vembanad in Kerala as such.

11. NPMU and PEAs are recommended to continue monitoring all the national components and document

secondary impacts of the activities wherever evident.

12. In Gujarat, the SPMU and PEAs have included environment management and monitoring measures as

part of the implementation plans for all activities. Specific precautions have been taken in the case of

mangrove plantations to avoid introduction of invasive exotic species, to control de-weeding operations

and to prevent the use of synthetic chemical weedicides. Community management approaches are being

ensured for all mangrove and shelterbelt plantations and it has also been ensured that the land used for the

plantations are entirely government or revenue land and not private land.

13. The sewerage contracts include site specific environment management measures to prevent construction

related air, water or soil pollution. Necessary environmental management provisions are adequately

integrated as part of the Jamnagar sewage treatment plant (STP) bid documents including: (a) effluent

discharge standards for disposal of treated wastewater, (b) environmental regulatory clearance

requirements such as consent to establish and consent to operate, and any compliance with consent

conditions; (c) measures to minimize construction stage temporary impacts, and (d) environmental

enhancement measures such as landscaping and green belt development. During the bidding stage, it was

also noted that the new access to the proposed STP site requires construction of a bridge across the

Rangamati Stream. While this construction activity does not require regulatory clearance, there could be

temporary environmental impacts and in view of this, the STP bid document was appropriately updated to

integrate additional measures to minimize environmental impacts.

14. As part of the capacity building and community mobilization activities organized by SPMUs and PEAs,

continued effort is being placed on ensuring that all aspects of the entry point activities and the larger

livelihood enhancement activities are in line with the environmental conservation and pollution

prevention goals of the project. The SPMUs reported continued progress in planning to improve the

overall village environment and Gujarat SPMU has achieved 100% sanitation in the villages of Khara

Bezra, Surajbari, Sugad, Hamiramora, Rampur, Mota Ambala, Vibhapurpar, Dhuvas and Sikka. The

mission noted the continued effort on social mobilization of CBOs/SHGs as undertaken by the SPMU.

15. In Odisha, the environmental management measures are practiced as appropriate, for each of the priority

investments. In the case of the Coir Tourism and Livelihood Center at Chaudabatia, the government land

acquired requires “consent to establish” from the OPCB and the process to obtain the consent has been

initiated. Coir activities at the proposed facility will follow environmentally friendly methods such as

mechanical retting, mechanical dyeing and use of approved dyes. In addition, coir training programs will

educate the community in coir waste management and pith recycling.



89

16. A parcel of 138 acres of land has been identified for mangrove plantation of which 65 acres is currently

being planted and fenced. Fencing for the rest of the land is in process and plantation will begin in the

next season (July to Sep 2013). With regards to environmental management of the plantation activities

appropriate mitigation measures are being adopted as per the EMP and directives of forest act. Only local

species of mangroves are being used for the plantation and the capacity of the species to adapt to saline

environments was also considered during species selection.

17. The OSDMA Multipurpose cyclone centers are under construction and the CRZ clearances have been

obtained for all 11 sites. All cyclone centers have been located within existing schools or colleges hence

there are no impacts to ecologically sensitive receptors, cultural properties or pasturelands. Further public

accessibility is improved around the cyclone shelter sites. Construction safety measures such as wearing

personal protective equipment and field safety practices are followed adequately.

18. The CRZ clearance required for the lab construction at Paradeep (for strengthening pollution monitoring

capacity by OSPCB) has been obtained under the new definition or revised scope of the laboratory as the

Centre for Management of Coastal Ecosystem. SPMU and SICOM will reengage in a discussion with the

NCZMA to restore the originally intended use of the facilities as a lobaratory (permitting use of chemicals

for testing). The activity includes detailed mitigation measures: a sewage treatment plant is included in

the design; solid waste management is covered by Paradeep Municipal Corporation; and the facility is

designed as a green building with adequate provision of energy saving mechanisms. The monitoring

protocol for the facility is being followed adequately.

19. CRZ clearances were required for 3 sites for the activities proposed under conservation of archaeological

heritage by the Cultural Department. Based on a new GO issued by MoEF stating that CRZ clearances are

not required for the renovation of cultural sites, it is possible that the 3 pending CRZ clearances are no

longer required. As part of the environmental enhancement measures illumination has been cut down and

plantation barriers have been suggested to reduce impacts of lighting on the movement of the Olive

Ridley Turtles around the renovation sites. Wearing proper protective gear and providing appropriate

sanitation facilities for the construction laborers was found to an issue, and the PEA agreed to enforce the

rules at all sites.

20. CRZ clearance has been obtained for the construction of Geo Tubes at village Pentha, for the Researchers

Hostel at Gupti and for 5 sites along Chilika Coast for strengthening of camp infrastructure. With respect

to the water sports complex at Barkul, construction of environmentally friendly bamboo structures for the

Tourist Guide Centre has been initiated.

21. With regard to Paradeep Integrated Solid Waste Management, the MTR mission reiterated findings from

the Fourth Implementation Support mission, viz., the ongoing design of SW treatment and disposal

facility integrates necessary environmental management measures including: (a) protection of shallow

water table; (b) perimeter embankment to protect the treatment and disposal site from flooding and

contamination of surface water; (c) leachate containment, treatment, and recirculation; and (d) thick

perimeter green belt development. Further, a detailed EA is being prepared which will be submitted for

state level regulatory clearance including necessary CRZ clearance. SPMU and Paradeep Municipality

will also carry out public disclosure of EA.

22. In West Bengal, construction of the surface drains in Digha under DSDA had been initiated and 3.5km

out of the 45 km drainage network has been constructed. Several challenges including utility conflicts,

access issues and encroachments on the drain alignments have slowed down the pace of the activity. The

contractor has been directed to continue effective construction site management even where the

construction has stopped temporarily. The mission urged the DSDA to monitor the contractor’s

construction site management practices and ensure that appropriate safety measures and the practice of

wearing personal protective equipment are followed. Some of the environmental mitigation measures

followed on-site include provision of all-weather shelter and appropriate sanitation facilities, provision of



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fire extinguishers, safe drinking water for the labour camps, first aid facility and dust control through

water sprinkling - are adequate but need to be continued.

23. The sewerage activity in Digha that proposes to use treated water from the STP for plantation, has

considered environmental factors such as sand boiling and seepage during design. The contractors will

perform necessary soil tests and survey of STP sites before executing the physical work.

24. Household Electrification in Sagar Island by WBSEDCL is expected to lead to a reduction in the number

of diesel generator sets and kerosene lamps in the households, which in turn will lead to reduced

emissions and reduced levels of noise. During project implementation and while erecting electric poles, it

is being ensured that existing vegetation is not damaged and no tree is being trimmed. Fire extinguishers

and personal protective equipment have been provided to ensure worker safety. All material to be stored

in the open or dusty location has been covered with suitable weather proof and flame proof material

wherever applicable.

25. At the proposed fish auction centre at Digha, appropriate waste water management has been considered in

the design of the auction centre. Proper underground drainage with hume pipe has been considered within

the auction centre and disinfecting areas have been proposed at three entrances. Public utilities have been

considered in a separate space away from the auction hall with proper septic tank and soak pit.

Contamination free water pipeline and an iron elimination plant have also been considered. For waste

water management, drainage water as well as liquid waste from the auction places will be treated in a bio-

pond and chlorination chamber before final discharge. A quality control lab will be constructed to monitor

the parameters of effluent water. However, the works have not yet started, and the designs of this facility

may undergo some changes, where it will be important not to delete any of the environmental mitigation

measures. SMPU will clearly document that changes in design has not reduced any environmental

standards of performance.

26. Adequate environmental management measures have been followed in the design of the Integrated Solid

Waste Management project at Digha-Shankarpur. Environmental considerations include: following

appropriate site selection procedures, limiting excavations to shallow depths of 4-5m to avoid ground

water contamination and including recycling practices for sustainable waste processing. In order to ensure

effective implementation of environmental management measures during implementation, performance

standards for the SWM system components have been included in the bid-documents and penalties will

be levied for non-adherence to the performance standards.

27. Overall Agreed Actions. The project is being implemented by professionals of NPMU and SPMUs with

a good level of environment awareness and experience. However, the suggested efforts during the last

mission to train all the PEA, SPMUs, and NPMU staff on environmental precautionary measures is

ongoing and yet to be completed. It was agreed that the SMPUs will develop: (a) an activity-wise chart on

key environmental actions to be taken up and associated monitoring requirements; and (b) continuation of

ongoing orientation program for all staff, especially from PEAs.

28. While the efforts are ongoing for automation of monitoring and reporting through a web-based

application, the EMP implementation status reporting shall be continued to be an integral part of the

Quarterly Progress Reports.

29. As several activities in the project include construction components it is agreed that the construction sites

be monitored adequately by PEAs (and/or the supervision consultants on their behalf), SPMU and NPMU

at the frequencies identified through the environmental monitoring protocol. Documentation of field

monitoring should be maintained and the reports generated should be shared with SPMU and NPMU. The

monitoring should ensure that the contractors address the following items:

a. Noise pollution, air pollution, water pollution and soil pollution resulting from temporary

construction activities,



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b. Display of grievance redress contact information on-site, if already not provided,

c. Absolutely minimum impacts to existing site vegetation,

d. No use of pesticides, herbicides and other chemicals, unless specifically cleared by SPMU/

NPMU,

e. Appropriate construction site waste management,

f. Appropriate erosion and sediment control measures including stockpile management,

g. Appropriate construction site management measures to avoid waterlogging potentially leading to

public health impacts,

h. Appropriate health and safety measures, ensuring workers are equipped with safety gears and are

using these all the time while at the construction sites,

i. Appropriate signage at the construction sites, if not already provided adequately, and,

j. Adequate warnings to the local communities during excavation and other earth moving activities.

Annex 6

Management of Social Safeguards and Social Development Processes

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National Component

1. ICZM Plan: The NCSCM has prepared draft guidelines for preparation of ICZM plans describing a 5-

stage process, and will finalize the guidelines after rounds of stakeholder consultation (expected around

September-October 2013). Once finalized, these guidelines will be used for preparation of ICZM plans in

the Project States (and elsewhere in India). The draft guidelines incorporate revolving multi-stakeholder

consultation processes, an assessment of stakeholders (from an aim to determine who will be positively

affected and who could potentially be negatively affected). The draft guidelines propose that all

stakeholders among the coastal communities who could be negatively affected be consulted, in particular,

during preparation of the sub-plans. It was agreed during the MTR that NCSCM will consider specifying

a process step during the 4th stage (Plan Integration Stage) where a social impact assessment of each of

the sub-plans will be undertaken, and the final integrated plan will consolidate not only the Sub-Plans but

also the actions required to mitigate all negative social impacts.

2. Integrated Plan for Dandi ESA. The scope of work for the consultants engaged for preparation of the

integrated plan includes assessment of social impacts, designing of methods and activities to avoid,

minimize, and mitigate any social impact identified, and a revolving process of community consultation.

3. Vedraanyam ESA: A number of small, discrete but interconnected tasks are under implementation. For

restoration of water bodies and rainwater harvesting, 3 ponds and 18 community wells have been taken up

for restoration, de-silting and rainwater harvesting to provide irrigation for 2 villages serving 300 acres of

cultivable land. The project will augment drinking water facility in 2 villages serving 260 households

especially during summer by harvesting rainwater in wells and piped supply. The communities contribute

through shramdaan (voluntary labour). Villagers at Kovilthavu are contributing Rs.200,000 towards 3

kilometers of pipeline. Nine village level Institutions (VLI) have been formed with 50% women members

and the other 3 VLIs are being formalized. PRAs and Socio-economic surveys have been completed for 6

villages, and thematic PRAs completed in 4 villages. In 9 villages, micro level planning has been

completed with need assessment and identification of issues. Health checkup and medical camps were

conducted in 3 villages and another 15 villages will be covered under the mobile health care facilities.

One Village Resource Centre (VRC) at block level and 4 Village Knowledge Centers (VKCs) at village

level have been established covering 14 villages catering to the information needs of farmers, fisher folk,

children and others. A total of 67 solar lights have been installed in 6 villages. Overall, all works are

satisfactory, even if there is a need to accelerate implementation.

4. Overall exposure on community-based activities for long-term sustenance: During MTR it was agreed

that NPMU will arrange for exposure visit to Nepal for social development staff of NPMU and SPMUs

and CBO representatives from all the three states. The social development staff and CBO representatives

will interact with (i) forest user’s group in the Chitwan National Park; and (ii) CBOs formed under World

Bank funded Poverty Alleviation Fund project. The objective of exposure visit is to understand the

mechanism and practice adopted by users groups and CBOs for long term sustenance.

Gujarat State Component

5. Coverage: A total of 166 villages across 14 blocks (taluka) of five districts are to be covered under

various components of the project. All these villages are within a distance of 5 km from the coast. Over

70% of the villages entirely depend on coastal resources and in the remaining 30%, agriculture and

animal husbandry is the main occupation. All these villages have not only been adversely affected by



93

coastal disasters, they also lack basic infrastructure. These were selected based on criteria adopted during

the preparation phase of the project, and no departure took place in the selection criteria.

6. Staffing: Apart from a social scientist in SPMU, three project coordinators (located in Jamnagar,

Gandhigram and Naliya), two field assistants and 31 field level workers have been hired. The field

workers are primarily responsible for mobilization of the community and collection of household data,

whereas qualitative data through PRA exercise is collected by the project coordinators. The field workers

are stationed in the villages and each of them covers 5 to 7 villages. All the three project coordinators are

women, and over one third of the field workers are also women. All project coordinators and nearly all

field workers have prior experience of working either in government projects/programs or in the NGO

sector. The mission was informed that two project coordinators have left; and the SPMU is identifying

suitable candidate among the social mobilizers / field level workers to promote them to be project

coordinators.

7. Baseline information and community mobilization: GEC has completed inception meetings with

villagers, community leaders, Panchayati Raj Institutions (PRIs) and caste representatives through gram

sabha (village meetings), focused group discussions (FGDs), one to one interaction with villagers,

occupation wise and community wise interactions, etc. GEC had also completed secondary data collection

of all coastal villages. Capacity building of the community is underway that includes information

dissemination about the project, orientation, relevance of the project and importance of participation of

the community in the project components.

8. So far, PRA exercises for collection of baseline data has been completed for 154 villages out of total 166

identified villages. Communities have been trained in procurement processes, and so far 136 community

contracts have been procured. To mobilize the community for mangrove plantation and its maintenance,

40 eco-development committees10 (EDCs) and 109 community based organizations (CBOs) have been

formed in 149 villages covering 17,555 members. These CBOs have been formed based on Government

Resolution (GR) number GEC-102012-420-E dated March 22, 2012 issued by Forests and Environment

Department, Govt. of Gujarat. The GR ensures that women constitute fifty percent of the total members

of each of the CBOs. The project has made effort to include all social and economic groups in the CBOs.

Both husband and wife from each of the households are members in the CBOs. The executive bodies of

the CBOs have adequate representation of socially and economically marginalized community members.

Memorandum of Understanding has been signed with 139 CBOs for mangrove plantation and protection

works.

9. For livelihood improvement pilot investments, community mobilization was completed in 149 villages,

and progressing well in the remaining villages. So far 97 entry point activities (EPAs) have been

completed. In order to identify EPA, social mobilizers carried out need assessment and gap analysis using

PRA tools. The needs are prioritized through community consultations at the village levels. Efforts are

made to reach consensus at the village level on the selection of entry point activities. Various types of

EPAs carried out so far includes (i) rainwater harvesting structures; (ii) groundwater recharging

structures; (iii) stall-feeding and promotion activities; (iv) construction of salinity prevention structures;

(v) fodder and fuelwood development and shelterbelt plantations; (vi) construction of cyclone-cum-

multipurpose building; (vii) access road; etc. These activities are leading to the improvement of the

community livelihood. In addition, various convergence with other department are also being attempted

10 EDCs have been formed in villages located within the National Park, Wildlife Sanctuary and Reserved Forests.



94

to improve livelihood of the communities. Village Khara Beraja of Jamnagar has been converted as

100% sanitized village and this initiative has been extended in 7 more villages. Two villages have been

provided solar power as an alternative energy source at the household levels. The Mangrove plantation

and shelterbelt plantation activities are providing additional direct income to the communities. The

mangrove plantation has directly benefited over 1,200 persons and over 36,000 persons indirectly.

Approximately 50 percent of the both direct and indirect beneficiaries are women. Given the positive

response towards EPAs and based on need assessment, number of EPAs has been increased in Jamnagar

and Kachchh. The community mobilization processes followed by the GEC/ SPMU (aide by the work of

the group of dedicated and committed field workers and project coordinators) have been very

comprehensive and has promoted inclusive participation of women and vulnerable groups.

10. Of the targeted 480 SHGs (3 SHGs per village), 283 SHGs have been formed in the project villages and

another 20 SHGs are under the process of formation. These groups mainly consists of women members,

but a few “all-male” SHGs have also been formed. One of the women is the signatory in the CBO account

that helps women in the SHGs to take decisions. Two women workshops were conducted to sensitize

them with respect to conservation of coastal resources, and to alert them with respect to the empowering

processes selected by the project.

11. Awareness program and consultations: The SPMU has carried out several activities in these villages for

creating awareness towards mangroves by organizing street plays, health camps, veterinary camps,

special day celebrations such as the Ozone Day, the International Women’s Day, the Earth Day, the

Environment Day, etc. The SPMU also conducted a mangrove yatra covering 158 villages. Public

consultations with coastal communities were conducted through 337 gram sabha meetings, 140 PRA

exercises and FGDs. To build capacity of women of coastal areas in coastal zone management, two

workshops for women were organized on occasion of World Women Day. Trainings have been organized

for the district level officers including district collectors and other key officers of the state government on

implementation of CRZ notification 2011 as well as management of the coastal areas.

12. Capacity Building: Several capacity building initiatives have been taken by SPMU including orientation/

exposure visits for CBOs and EDCs; and skill enhancement and administrative training for the CBOs and

the SHGs. Notable among the different workshops, is a solar training workshop that was organized to

train around 300 village youths in maintenance of solar appliances installed by the project and converging

government programs.

13. The SPMU hired the services of Aga Khan Rural Support Program (AKSRP) to assess the capacity

building needs and to prepare an action plan for capacity building for the CBOs promoted under the

project. AKRSP in its study covered 120 CBOs and focused on both (i) functional capacity to engage

stakeholders in order to collaborate with GEC and other government departments and technical

organizations; and (ii) technical capacity associated with particular areas of expertise and practice in

specific sector or theme. The assessment showed that project has good rapport with the community at the

ground level, and the community has genuine concern for the coastal resources. The assessment

concluded that: (i) in each block, 2-3 villages were doing exceptionally good work; and the need is to

support them to become model villages; (ii) there is diversity in socio-economic situations within clusters

– the project teams need to understand this, and prepare plan for each segment, start economic activities

for the different segments or focus on one or two segments across the coast; (iii) the project teams are

largely doing mobilization and the focus is activity orientated, there is a need to get to the depth of the

program and for creation self-dependency within CBOs; (iv) a long-term vision for the program/coastal

resources need to be developed at the CBO level; (v) further work is required to create better technical

capacity, which is currently low, at the CBO levels, (vi) there are many villages in Kutch with good

SHGs, yuvak mandal (youth groups) and trusts who should be linked to the CBOs. Based on the

assessment a further list of actions have been agreed by the SPMU that includes improved information



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dissemination; skill upgrading; resource mobilization; knowledge sharing; technology and linkages – at

community; facilitator and institutional levels.

14. Social audit and training on social audit: The SPMU hired Unnati (a non-governmental agency) to train

community members of social audit committees (SACs). Approximately 1,500 community members have

been trained on management of contract and in quality and quantity monitoring. The training included (i)

general understanding of the key components of public program detailing the creation of public services

and infrastructure; use of public resources; community’s participation in project design, implementation

and monitoring; social equality and environmental and social sustainability; (ii) role of community in

social accountability; and (iii) process, tools and techniques of social audit. The training program

emphasized on objective and need of social audit, empowerment of community to ask questions about the

project, need of conducting verification by community and how to articulate issues in the village meeting.

GEC prepared case studies based on their experiences in the field while implementing the project, and

formats for analyzing key data. The case studies were distributed among the participants. This exercise

gave an insight to the community regarding the analysis of data related to progress of project

implementation and how that needs to be placed in the village meeting in a simple manner to facilitate the

process of social audit. Overall, social audits in the project activities are going well.

15. Monitoring of project implementation: A four level monitoring mechanism has been established. Apart

from the regular monitoring by the PEAs, SPMU and NPMU, participatory monitoring by community

based organization has been introduced as the fourth level of monitoring. Each CBO monitors at least two

other CBOs. The SPMU has also engaged MSSRF, Chennai for monitoring of the mangrove plantation

carried out under the project. MSSRF has submitted the report on monitoring of first year plantation,

where the plantation and the survival had been found to be satisfactory.

16. Grievance redress: A toll free dedicated telephone line has been installed at SPMU. A caller can register

grievance/feedback between 10am to 5pm every day. The response is provided to the caller by the

competent authority within an agreed fixed time frame. A theme based interactive and informative

website has been designed, which apart from disseminating project information, also serves as one of the

channels for grievance redress. In each village wherever activities have been initiated, two information

boards have been put up displaying the toll free number of the SPMU and telephone number of PEA

contacts. In any case, field workers are the first layer of contact for any grievance that a community

member wants to register.

17. The Gujarat SPMU has tied up with State Legal Service Authority (SLASA), Ahmedabad to implement

the public grievance mechanism under the project. To create awareness and to disseminate information

about the grievance redress mechanism of the project among the judiciary of the state, public grievance

workshops were organized in Ahmedabad, Jamnagar and Surat in April 2011, September 2012 and

December 2012 respectively. The workshops helped in orienting the judicial officers on (i) the ICZM

project; (ii) grievance redress mechanism of the project; and to enlist their participation in the project.

The workshops were also attended by large number of legal officers, including district magistrates and the

High Court judges. One of the workshops included a trip to the corals at Narara to educate the legal

community about the sensitive issues related to natural resources along the coast, and the population that

depend on these. More than 200 judicial first-class magistrates and district session judges have been

trained.

18. Safeguard issues: No social safeguard issue has been identified in the investments in Gujarat. SPMU has

started a 70mld sewerage treatment plant in Jamnagar. Around 60 acres of land was acquired in 1988.

Though all 25 land owners were paid compensation then, they were allowed to continue cultivation of the

land until April 2011. The community members involved in such cultivation had voluntarily moved out

the site after their last harvest. There is a temple at the far end of the site which will not be affected (but

the project is ensuring that the access road to the temple remains fair and open round the year).



96

19. Field visit during the mission: The mission visited two villages where the project mobilized communities

to have household toilets. The mission was pleased to note that toilets were functional and being properly

used. Everyone in the village has put in their own share of money to construct the household toilets.

Household toilets have not only made the village hygienic, it has also resulted in creating awareness

among the community on sanitation and brought in a sense of dignity among the village women. The

mission also visited a village where the MNP distributed solar cookers free of cost to the community

women. Solar cookers will help save time for women that can be used for more productive use.

20. Discussion with the field coordinators: The mission was pleased to note that field coordinators are

emphasizing the value of literacy and have taught women to write their names, built confidence among

women so that they can approach banks (mobile banks visit the village) and operate bank accounts. Books

of account are being maintained meticulously in each village and the discussions are also being properly

recorded as minutes of the meeting.

Orissa State Component

21. Staffing: the SPMU has appointed a Rural Development Expert who works across the components. For

community mobilization, 20 community mobilizers have been hired to work on 127 villages. Each

community mobilizer covers 10 to 12 villages. To coordinate and to provide guidance to the community

mobilizers, SPMU has also hired 6 field coordinators. The community mobilizers at the village level are

responsible for mobilization of the community, collection of household data, quality control of household

data and for briefing of community mobilizers for quantitative data collection process. The qualitative

data through PRA exercises are collected by the field coordinators. The SPMU has also hired four fishery

coordinators to provide technical help to SHGs involved in livelihood enhancement activities. These

fishery coordinators are assisted by 3 NGOs to facilitate the alternate livelihood activities taken up by the

SHGs. Further, 3 NGOs were contracted to support implementation of the coir-based livelihood activities

in three blocks of the Puri district. The SPMU has also selected 2 local NGOs to take up community-

based mangrove plantation.

22. Alternative livelihood for fisher persons: The PEA (Department of Fisheries) with support from the

SPMU has covered all the 80 targeted villages thereby identifying and building capacity of 637 SHGs.

Village level awareness and capacity building programs have been organized in all targeted villages.

Training for improvement of technical skills has been completed for 423 SHGs (by conducting village

level trainings) and for 167 SHGs through national level training. More than 150 SHGs have participated

in exposure visits at the state level, and 167 SHGs participated in national level exposure visits. The

mission was pleased to note that office bearers of the SHGs are literate in most of the cases. Financial

support has been extended to 411 SHGs to implement alternative livelihood activities that include

pisciculture, dairy and poultry, dry fish processing, and small-scale value addition to fisheries products,

etc. Fishery-based livelihood activities have already directly benefitted over 69,600 persons of which

approximately 32 percent are women.

23. In the stretch of Gopalpur and Chilika, production of hygienic dry fish has been selected as a priority by

the communities over other pisciculture activities, due to non-availability of land. To maintain the quality

of the products (leading to increased access to markets and enhanced income) the project is providing 150

solar driers to SHGs engaged in the dry fish business. So far, 119 sites have been identified for

installation of solar driers. Department of fisheries has already taken advance possession of 94

government sites suitable for installation of driers.

24. To involve civil societies in successful implementation of the project, project organized several NGO

consultation workshops. In the last state level workshop, approximately 150 representatives from 97

NGOs/CBOs of 6 coastal districts participated.



97

25. Coir-based livelihood and coir-based community tourism: The PEA (MSME Department) is developing

alternative livelihood options for fishermen through coir-based products. The PEA has engaged 3 cluster

managers, and an orientation program was organized to orient and enhance their skill. The PEA had

identified 30 SHGs so far, and has completed skill training activities. The progress of the proposed “coir

tourism village” has been very slow though lot of effort has been made to enhance skill of crafts-persons

and SHG members. To enhance the skills of master craftsmen (MCM) and craftswomen, a training-of-

trainers workshop was organized in Puri district. Other trainings included (i) a two day workshop for

group leaders of 13 SHGs; (ii) a four-day training on accounts management for 13 SHGs; and (iii) an

exposure visit of 9 SHG members to Kerala. So far, 29 master crafts-persons had been identified to train

the SHGs, and 13 of them have already been engaged. The villagers at Gola have donated 0.8 decimal of

land for construction of the common facility centre (CFC). Site for the training and production center

(TPC) and coir craft village complex (CCVC) have been finalized. The TPC will come up in village

Chaudabatia where 2.7 acres of government land has been alienated. This land is free of any

encroachment or encumbrances. The CCVC will be built at Sirpur/Arjunsinghpur where the villagers are

already involved in production and trading of coir products.

26. Community-based nature tourism: The PEA (Department of Forest and Wildlife) is promoting

community based nature tourism as an alternative livelihood. Although there has been substantial

progress with respect to protection of wildlife by this PEA, there has not been substantial progress on the

livelihood related activities. Government land has been identified at various locations to set up

surveillance camps, camp sites, tourist complexes, monitoring and interpretation centers. Recently land

alienation was approved and department has obtained advance possession of land at villages Buxipalli and

Koilipur. The land identified is government land free of any encroachment and encumbrances. Though

the community has been informed of these initiatives and community level workshops were also

conducted at Prijipur and Chilika, detailed discussions and other modalities are yet to be finalized. PRA

exercises have been conducted at Mangrove Forest Division, Chilika Wildlife Division and Berhampur

Division for facilitating community involvement in protection and development through plantation of

mangrove in restricted areas. Mangrove awareness campaigns were conducted in the schools and at the

local community levels in Kendrapara, Khurda and Ganjam districts to create awareness among local

community for conservation and extension of mangrove plantation.

27. Conservation of cultural heritage: Department of Culture is the PEA responsible for improvement and

conservation of seven heritage historical sites in the project. Community consultations have been carried

out in each heritage site that will be conserved and improved under the project. The SPMU along with the

PEA has consulted villagers in preparing peripheral development plan of each of the site. Conservation of

cultural and historical sites has already directly benefitted 6,000 persons of over 2,000 are women.

However, capacity building of 35 stone artisans and temple masons is yet to start. It was agreed that

project will develop micro plans to involve community for each of the identified beneficiary villages

under various eco/community-based tourism initiatives.

28. Support to fisher groups for small scale community-based tourism: The Odisha State Tourism

Development Corporation (the PEA) is preparing a capacity building plan for communities of villages

Barkul and Tampara. However, the formation of CBOs for ecotourism activities around the Chilika and

Tampara lakes has been considerably delayed; and consequently the special training on ecotourism and

hospitality management for the villagers of the Tampara Lake too has been delayed. PRA exercises

including household surveys and identification of trades for training has been completed in two villages -

Pathara (Badakul) and Humara (Tampara). The communities have decided to form committees to decide

on the role and responsibilities of the community members and for preparation of business plans. These

committees will be supported by the social mobilizer and the eco-tourism facilitator.

29. The enhancement of the Kali Jai temple will provide benefits to the local boat association, but not to the

Pathara village which is the entry for the Kali Jai temple. The villagers at Pathara requested for entry



98

level activities (a gate at the village entrance, renovation of village pond, and a toilet complex outside the

OTDC campus that can be managed by the community). The mission was informed that the Kali Jai

temple is still owned by the erstwhile “king”. It was agreed that the social mobilizer and the ecotourism

facilitators will check the current status of land ownership with the Revenue Department. The mission

suggested the PEA to ensure that in case it is found that the land belongs to a private individual, no

project activity should be carried on this land.

30. Awareness generation on mangroves: To generate awareness in the local community, the SPMU

implemented a plan covering school students (of grade 5 to 10), EDCs and CBOs. The SPMU conducted

exposure visits to mangrove areas for school students from four districts and four forest divisions. They

also arranged for essay, quiz and painting completions. Overall 5,000 students, 27 master trainers and 4

DFOs participated in these activities. The activities were conducted in coordination with the Department

of School and Mass Education and the Department of Forest and Wildlife. In this program, there were

two knowledge partners - Center for Environment Studies and Center for Environment Education; and

two NGO partners - APOWA and Pallishree.

31. Grievance redress: The SPMU has a specific communication cell to register complaints using various

mediums such as toll free telephone line, web based complaints, written complaints, etc. To redress the

complaints, SPMU has put up a separate page on its website. The decision taken on each of the grievances

registered are updated in this webpage. This system is working very efficiently.

32. Safeguard issues: The land provided for Paradip solid waste management belonged to a state agency -

IIDCO. The SPMU has also obtained the past revenue records of this parcel of land. It was reported that

the site has one temporary structure (although during site visits no such structure was noticed). It was

agreed that the SPMU will verify the existence of such a structure, and relocation process if such a

structure existed (subject to the cut-off date of June 2010) will be carried out as per the agreed

resettlement policy framework. The land alienation process for biodiversity-based ecotourism by the

Wildlife Department in Debendranarayanpur and Jainagar were still not completed; and the MTR

decided that these will be excluded from the project. All other land identified for various project activities

are government land that are free of all encroachment and other encumbrances.

West Bengal State Component

33. Staffing: The SPMU has hired one social development expert and two livelihood experts. Unlike Gujarat

and Odisha, West Bengal has hired the services of six partner NGOs to implement the livelihood

component. Each partner NGO is working in one gram panchayat (GPs) and thus six GPs out of total 9

GPs are currently covered under the project in Sagar block; and the remaining will be allotted to the

partner NGOs depending on the rate of successful implementation of activities in the allotted 6 GPs. At

MTR, it was also agreed that the SPMU will hire four additional field workers to be located in Sagar to

support the partner NGOs.

34. Livelihood promotion activities: In East Medinipur, mangrove plantation has been completed at

Gangarachar, Nandigram; Khadirabad Char, Khejuri; Badalpur, Contai with local community’s

participation; and further work is planed now.

35. The ecotourism activities at Sagar Island had provisions for community participation and formation of

SHGs to handle every activity, yet no formal discussion has started (except that the consultants hired for

preparation of integrated ecotourism plan have conducted several rounds of community consultation).

36. Of the total 84 wards in 6 GPs, NGOs have so far covered 27 wards. Nearly 3,000 persons participated in

30 panchayat level meetings conducted by the NGOs. So far 129 PRA exercises have been conducted

where over 4,300 persons participated to identify 3,968 poor and destitute households. So far, 294 SHGs

have been formed of which 251 are all-women SHGs. Of the total 4,338 members, 3,831 are women and



99

1,686 belong to socially marginalized groups (including 241 from climate refugee families). However, the

pace of work is slow, and in the last six months, only 6 gram sabha meetings (covering a population of

2,000) have been conducted.

37. The project has so far conducted 7 exposure visits for the SHG members. A total of 13 training of trainers

sessions have been conducted benefitting 337 participants. About 240 SHG members participated in 14

orientation sessions organized by the project.

38. Entry point activities and other economic activities have been substantially delayed. Though the partner

NGOs have so far identified and approved over 50 EPAs, only 24 proposals have been prepared (through

PRA exercises), and none received approval yet from the SPMU to be implemented. Similarly, the partner

NGOs have prepared 46 income enhancement plans but submitted only 26 so far to the SPMU for

approval, and the SPMU has, so far, approved none. This is an absolutely unacceptable level of progress,

and the MTR recommended that the SPMU and the partner NGOs to speed up the processes such that

community contracts with all target CBOs/SHGs or common purpose groups are signed during the period

August-December 2013.

39. There are two different set of activities that the partner NGOs need to carry out: (i) entry point activities;

and (ii) group-specific economic activities. Each NGO has to form 180 groups (since 330 groups have

already been formed, additional groups to be formed is 130); and during the formation of groups they will

also identify the EPAs. All groups will be formed by the end of December 2013 and contracts for all

EPAs will also be signed. It was agreed that NGOs will not wait for all the groups to be formed to start

implementation of EPAs wherever the particular groups are ready. Revolving funds for sustenance of

groups should be disbursed by December 2014. It was also agreed that SPMU will start signing contract

with 330 groups that has already been formed.

40. Safeguard issues: No private land acquisition is there for any of the sub projects, and government land is

used at various locations. It was reiterated that in case social impacts are identified for any investment,

resettlement plans will be prepared in line with the agreed resettlement policy framework of the project.

In spite of earlier agreements, only a survey was undertaken for the proposed site for solid waste landfill

at Digha, but a resettlement plan was not prepared. It was agreed that DSDA will hold consultations with

the community to come out with a plan using the provision of the RPF. The mission found that private

properties (mainly boundary walls) and water supply lines have been damaged in the process of laying

drainage works at Digha. It was agreed that contractor will repair the damage at the earliest or else cost of

repair will be recovered from the contractor.

41. In Digha, the resettlement site identified for relocation of kiosks can only accommodate 620 stalls and

another 100 handicraft stalls. DSDA has to identify another resettlement site to accommodate rest of the

shops (approximately 1750). The kiosk owners have positively responded to the consultation carried out

by DSDA. The consultation process now has to be renewed by DSDA to take written consent from each

of the kiosk owner.

42. Sites for 25 cyclone shelters have been identified by Department of Disaster Management. None of these

sites are on private land and all are free of encroachment and other encumbrances.

Annex 7

Financial Management Systems and Performance

100

Overall

1. The overall accounting systems in SICOM, West Bengal and Orissa are working well. All SPMUs have

received the budgeted amounts from the respective project states for the last financial year. This year,

budget provision has been made for all SPMUs except in West Bengal. Except Orissa, none of the

SPMUs have received the budget amounts leading to partial compliance to the budget legal covenant11

(i.e. budget has been allocated, but funds were not transferred due to low level expenditure and earlier

year’s cash balance available with the entities). All other financial covenants have been met by the

project. The mission appreciated that SICOM and the SPMUs are unlikely to get further releases from

finance departments due to low spending and non-submission of utilization certificates against the earlier

budget released; and the only option for them is to improve expenditure and disbursement situations.

Based on the above, the rating for financial management in the project is retained as Moderately

Satisfactory (MS).

2. The following are the summary of discussions on financial management across SICOM and the SPMUs.

Budget

3. SICOM: The GOI and the Planning Commission agreed for a budget provision of Rs.480 crore for FY13-

14, but the MOEF has provided only a budget allocation of Rs.125 crore for FY 13-14 (and suggested that

the remaining may be budgeted during the process of Revised Budget Estimates, during November-

December 2013 depending on actual expenditure), out of which no amount has yet been drawn. The

cumulative expenditure incurred in the national component up to 30th April 2013 is Rs.48.25 crore.

Funds to SPMUs need to be transferred based on usage and annual work plan.

4. Gujarat: The State provided a budget allocation of Rs.11 crore for FY 13-14, out of which no amount has

yet been drawn. No money has been received from NPMU for the current financial year. Cumulatively,

Rs.67.25 crores has been spent till 30th April 2013.

5. Orissa: The State provided a budget allocation of Rs.2.95 crore for FY 13-14, and this amount has been

received by the SPMU. No money has been received from NPMU for the current financial year. The

cumulative project expenditure as on 30th April 2013 is Rs.46.49 crore.

6. West Bengal: For the current year no provision has been made by the State. State indicated that excess

amounts were released during the previous years which are yet to the spent by the project. Amounts

related to previous financial years have been received by the SPMU. No money has been received from

NPMU for the current financial year. The total cumulative expenditure as on 30th April 2013 is Rs.24.29

crore.

11 The covenant requires budgetary allocation of 10% of the cost of the Annual Plan, as well as transfer of such amounts to the

SPMU.



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Disbursements

7. The disbursement as per the Bank records is XDR 25 million including designated advances (DA). The

overall disbursement percentage is 17% (including DA). Disbursements are on the slower side as

compared to the projections.

(XDR Million) Component Allocated (XDR m) Disbursed (XDR m) Balance (XDR m) Disbursement %

A 44.14 5.13 39.01 12%

B 38.13 6.27 31.855 16%

C 25.36 4.14 21.215 16%

D 38.55 2.54 36.01 7%

PPF advance 0.73 0.73 0 100%

DA 6.30 -6.30

Total 146.90 25.03 121.87 17%

8. The overall sources and uses for the project are exhibited in the table given below as on February 2013.

(Rs. Crore)

Sources NPMU Gujarat Orissa West Bengal Total

1. Received from GOI 279 - - - 279

2. Received from SICOM -206.18 77.93 65.98 62.27 -

3. Received from State Govt. 0 16.99 15.16 13.23 45.38

4. Interest on Bank deposit & other received 1.39 3.35 8.41 2.12 15.27

Total 74.21 98.27 89.55 77.62 339.65

Uses

5. Expenditure FY 2010-11 2.51 11.76 2.07 2.98 19.32

6. Expenditure FY 2011-12 7.05 19.94 11.45 6.44 44.88

7. Expenditure FY 2012-13 37.75 34.53 31.15 14.49 117.92

8. Expenditure FY 2013-14 0.94 1.02 1.82 0.38 4.16

Cumulative Expenditure 48.25 67.25 46.49 24.29 186.28

Mobilization advance 1.56 3.63 0.16 5.46 10.81

Balance in Bank account NPMU/SPMU 12.15 18.6 27.73 46.3 104.78

Balance in Bank account PEA's 15.35 5.3 13.39 1.57 35.61

Other advances -3.1 3.49 1.78 0 2.17

Total 74.21 98.27 89.55 77.62 339.65

Accounting system

a) National Component: The SICOM has installed and operationalized a TALLY accounting system. The

financial reports are being generated based on TALLY records. The SOI, the MSSRF and the NCSCM

have also implemented TALLY accounting system. The project accounts have been updated till 30th April

2013. SICOM has conducted a finance and procurement workshop for all PEAs. The mission encourages

SICOM to periodically carry out such workshops.

b) Gujarat State Component: TALLY has been installed and operationalized in the SPMU and in all PEAs;

and are up to date. Transactions for the new PEA (the Kachchh Forest Circle) has been corrected and

brought up to date. As of date an amount of Rs. 1.62 crore is pending with CBOs as advances, and the

mission requested the SPMU to review each such case individually, and take steps to get the utilization

certificates against the advances. The SPMU has agreed to complete this exercise by September 2013 end

(but it is expected that an additional amount of advances that will be released against progress of work



102

and receipt of utilization certificates will remain to be utilized and accounted in the next quarters. The

mission suggested the SPMU to maintain separate ledger accounts for large contractual payments so that

TALLY can provide party wise ledger accounts. SPMU will continue to monitor bank guarantees (BGs)

for all contracts; with an updated list of BGs available with the SPMU, so that it could be ensured that all

BGs remain valid and properly regulated.

c) Orissa State Component: TALLY has been installed and operationalized in the SPMU and in all the

PEAs; and are up to date. Synchronization of TALLY module has been completed in 9 PEAs, while in

one PEA (OSDMA) the accounts are maintained in SPMU. The project accounts have been updated till

30th April 2013. The accounts for vendors are maintained through cost centers, which are not providing

accurate party-wise reports. The mission suggested the SPMU to maintain separate ledger accounts for

large contractual payments so that TALLY can provide party wise ledger accounts. SPMU will continue

to monitor bank guarantees (BGs) for all contracts; with an updated list of BGs available with the SPMU,

so that it could be ensured that all BGs remain valid and properly regulated.

d) West Bengal State Component: The SPMU and all the PEAs have installed and operationalized TALLY

accounting system. TALLY training has been provided to all the PEAs. The project accounts have been

updated till 30th April 2013. The accounts for vendors are maintained through cost centers, which are not

providing accurate party-wise reports. The mission suggested the SPMU to maintain separate ledger

accounts for large contractual payments so that TALLY can provide party wise ledger accounts. SPMU

will continue to monitor bank guarantees (BGs) for all contracts; with an updated list of BGs available

with the SPMU, so that it could be ensured that all BGs remain valid and properly regulated. The issue

noted in the Fourth Implementation Support mission regarding delay in payments due to issues in

preparation of the measurement books and approval of bills for payments for the DSDA activities has

been resolved. The measurement books are now written by the project management consultants, but are

countersigned by the DSDA engineer/officer to remain as a valid government records.

Staffing

9. National Component: Staffing at the SICOM and the SOI are as per agreed staffing pattern. The NCSCM

has now recruited a finance manager in addition to the earlier recruited part-time consultant to maintain

accounts; and has completed selection process for two more accounts officers, who are expected to be on

board before August 2013.

10. Gujarat State Component: The SPMU has appointed a retired government staff as manager accounts and

hired one CA for the post of accounts officer. They are supported by a commerce graduate who works in

the rank of accounts assistant. The staffing is complete as per the agreed staffing plan. Training has been

conducted in May 2012; however further handholding trainings for PEAs should be delivered / conducted

by the SPMU continuously.

11. Orissa State Component: Staffing at the SPMU level is adequate. Staffing at PEAs has been completed

except OSDMA which is being handled by the existing scientific staff and is up to date. The project has

imparted training for the PEAs and similar training should be conducted by the SPMU continuously.

12. West Bengal State Component: The SPMU has hired one CWA as a finance officer and has appointed

two commerce graduates. The SPMU has also recruited staff for the PEAs. Training for PEAs is being

conducted by the SPMU continuously. Recent vacancies have arisen in the Forest Department and the

Fisheries Development Corporation due to resignation of staff; and in the case of SIDCL, an accounting

staff is yet to be appointed due to slow start of work. Staff have been selected for these positions, and are

expected to be in place shortly.

13. The SICOM and the SPMUs should provide another refresher training to the PEAs before September

2013.



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Internal audit

14. The internal audit contracts were renewed for the FY 2013-14.

15. Gujarat State Component: Earlier reports were shared with the mission and these reports have been

submitted timely. Audit committee meetings are happening on a yearly basis. The last meeting was

conducted in December 2012. The mission requested SPMU audit committees meetings to be conducted

at least on a half yearly basis to review and discuss the report, and take cognizance of the compliance for

issues highlighted at the earliest. The scope of the work of the internal auditors has now been expanded to

cover payments and contract management with respect to community contracts, as applicable.

16. Orissa State Component: The mission observed that internal audit reports in case of the Orissa-SPMU

were not as per the contract timelines. The mission reiterated the importance of having timely internal

audit and reviewing reports for corrective action to be taken. Audit committee meetings are happening on

a yearly basis. The mission requested SPMU audit committees meetings to be conducted at least on a half

yearly basis to review and discuss the report and take cognizance of the compliance for issues highlighted

can be done at the earliest. The scope of the work of the internal auditors has now been expanded to cover

payments and contract management with respect to community contracts, as applicable.

17. West Bengal State Component: The reports were shared with the mission and these reports have been

submitted timely. Audit committee meetings are happening on a yearly basis. The last meeting was

conducted in September 2012. The mission requested SPMU audit committees meetings to be conducted

at least on a half yearly basis to review and discuss the report and take cognizance of the compliance for

issues highlighted at the earliest. The scope of the work of the internal auditors has now been expended to

cover payments and contract management with respect to community contracts, as applicable.

18. Overall: Internal audit compliance needs to be strengthened by increasing the frequency of the internal

audit committee meetings, and by preparing and circulating (among all persons at SICOM, PMU and

PEAs involved in implementation of the project) the main issues noted by the internal audit reports with

an advice against recurrence. The SICOM and each of the SPMUs should have record of issues identified

and the actions taken to address these issues. The mission requested the SICOM to design a format to

capture both qualitative and quantitative issues and monitor them on a regular basis.

External audit:

19. The audit reports for FY10-11 and FY 11-12 was completed and shared with the Bank in time.

20. SICOM informed that the audit for FY12-13 is already under progress, and the final audit report is

expected to be shared with the Bank well in advance of the due date of September 2013.

21. The SICOM has already extended the contract of the current external auditor to enable them to complete

audit of all accounts for Y12-13. The SICOM needs to start the process of hiring an external auditor for

the next FY and this process needs to be concluded before December 2013.

Other FM Issues:

22. Procurement and Financial Management Support Consultancies (PFMCs): The PFM Support consultancy

contracts are due for renewal this year. The NPMU/SPMUs are requested to assess the four contracts and

inform the Bank on the performance as well as whether they intend to extend the contracts of the current

consultants. This decision needs to be taken before September 2013. If in any of the contracts, the NPMU

or the SPMU decides that a new consultant needs to be appointed, then the process needs to be started and

completed before December 31, 2013.



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23. SICOM has indicated a possibility that it might propose addition of two new PEAs (National Informatics

Centre and Science and Technology Park, Pune) to undertake expanded mandate of using the information

collected, especially the geo-informatics information for multi-stakeholder use. Gujarat had earlier

proposed that the Tourism Corporation of Gujarat Limited would be given the responsibility of managing

the marine oceanarium and research center. West Bengal had discussed during the MTR for designating

the State Fisheries Department as the PEA replacing the State Fisheries Development Corporation. For

these and any new PEA to be added at the SICOM/SPMU levels, an assessment of financial management

capabilities will need to be carried out; and the agreed actions will need to be discussed and agreed with

such agencies. For such new PEAs, bank accounts will need to be created, agreed staffing will need to be

in place, and TALLY accounting system will need to be set up. For each of such new PEAs and their

respective activities, the cost table and the activities should be approved by the Bank. Till the time the

cost tables are completed and agreed, the project is advised not to claim expenditure incurred by these

agencies.

24. Entity audit backlog for PEAs: The entity internal audit for Jamnagar Municipal Corporation has been

completed till 2011-12. The entity statutory audit for Odisha State Pollution Control Board has been

completed for financial years 2009-10, 2010-11 and 2011-12.

25. Cross learning: The MTR mission suggested further visit of each SPMU accounting team to SICOM and

other SPMUs for cross learning as well as training. The mission also suggested that the SICOM should

conduct workshops for SPMUs as well as PEAs to support cross learning in the accounting and financial

management of the project.

26. Working of the NCSCM Consortium Institutes: The NCSCM will be working in consortium with 14

universities-consortium partners (UCPs). There has been progress in agreements among the NCSCM and

the UCPs with respect to the specific issues of fund flow and management those were discussed during

the Fourth Implementation Support Mission.

27. The mission understands that an MOU would be signed between each of these UCP and NCSCM. In

terms of expenditure, the mission understands that assets (except for those procured using shopping

method, such as computers and laboratory consumables) would be purchased by NCSCM and then

transferred to these UCP if required. Payments for IOC, small purchases using shopping procedures, and

salaries of researchers would be transferred by NCSCM to these UCP who will make the payments. As

the total amount for each UCP would be limited for IOC and salaries, a simplified accounting system was

agreed which will be used by NCSCM and the UCPs.

Agreed Actions

28. The following actions were agreed.

N Action to be taken By Whom By When

1. Staffing to be completed NCSCM September 2013

2. Adequate Funds to be transferred to SPMU from

respective State budget and from SICOM

SICOM, Gujarat and Bengal December 2013

3. Accounts and finance workshop for PEAs and

SPMUs

SICOM and all SPMUs Continuous-

every 6 months

4. Cross learning event SICOM and all SPMUs September 2013

5. Selection of new External Auditors firm SICOM December 2013

6. Renewal/ new contracts for PFM Consultants SICOM/All SPMUs December 2013

Annex 8

Procurement Management Systems and Performance

105

1. General: The NPMU and SPMUs have concluded contracts for several packages (of a total value of

around US$100 million, over and above the US$40 million worth of contracts awarded by June 2012)

between July 2012 and March 2013, and initiated procurement for several other packages (with estimated

value of about US$50 million) to be awarded by June 2013. There is satisfactory progress in hiring

consultants, awarding major works and initiating goods procurement. However, given the numbers,

variety and newness of a number of activities in the Project, the procurement risk is “Substantial”.

2. Since the last mission, all agreements of July 2012 (reiterated in December 2012 in discussion with DEA)

to accelerate procurement has been complied with by the NPMU and SPMUs. The agreement in July

2012 (reiterated in December 2012) was that at progress of award (of contracts) should at least be 81% by

number and 73% by value of the original Procurement Plan (which contains all major works, goods and

services, but does not contain the community contracts). The Project has achieved both targets. If the

community contracts are added, the project has exceeded the “number” targets. The agreements on

augmentation of procurement capacity of NPMU and SPMUs also have been complied with.

3. Procurement Manual: The Project is using and complying with the Procurement Manual of the project

dated April 29, 2010; and no revision has been made yet in the Procurement Manual. During MTR, it was

discussed that the Procurement Manual will be revised incorporating (i) the use of 2011 World Bank

guidelines instead of the earlier guidelines; (ii) revisions in the procurement thresholds and the prior

review thresholds, (ii) procedures for expenditures related to incremental operating costs as per State and

GOI norms and standards, where the World bank has no particular view as long as GOI and/or State

Government standards and norms are complied with; (iv) procedures for dealing with bid premium, where

again the World Bank has no particular view as long as project implementation is not hampered or

delayed. The revised Procurement Manual is expected to be submitted to the Bank for clearance by

August/September 2013.

4. Procurement Plan: The NPMU and the SPMUs shared the updated/revised Procurement Plans (PPs) on

May 09, 2013 and as such was accepted by the Bank on May 27, 2013. During the MTR, a detailed list of

sub-activities and tasks were discussed with views to (i) reduction in scope of these tasks and sub-

activities, (ii) deletion of some tasks and sub-activities, especially in Odisha due to land availability

issues, (iii) expansion of a few tasks and sub-activities in Gujarat and Odisha, and (iv) addition of a few

tasks in the national component. All were agreed (see Annex 11 for details) in principle, but a final

agreement will be taken after formal approval of the SICOM GC and the SPMUs, which is expected by

August/September 2013. The current Procurement Plan will need revisions to reflect such changes, and

will be prepared/updated and submitted to the Bank for clearance by September 2013.

5. During the MTR, at the request of the SICOM and the SPMUs, Bank considered and agreed to the

revision of procurement thresholds and the thresholds of prior review. These are effective from June 13,

2013, and will be reflected as such in the upcoming revision of the Procurement Plan. Similarly,

purchases of satellite images from the National Remote Sensing Agency (NRSA) was agreed amending

the restriction on purchases from NRSA as per the determination of ineligible expenditures as per

paragraph 13, Annex 8 of the Project Appraisal Document. This agreement is effective March 2013 (and

does not cover any such purchases from NRSA and similar organizations before March 2013) along with

the agreement to the use of the 2011 World Bank Guidelines for Procurement for the entire Project; and

will as such also be reflected in the upcoming revision of the Procurement Plan.

6. Once reviewed and agreed by the World Bank, the NPMU and SPMUs should publish the revised

Procurement Plans in their respective websites replacing their older version and the Bank will also

simultaneously publish it on its website. The mission advised the NPMU and the SPMUs to closely

monitor the procurement activities so that there is no slippage with respect to the updated Procurement

Plan as agreed with the Bank.



106

7. Procurement Thresholds: The Procurement Thresholds for the Project was defined in the Procurement

Manual for the India ICZM Project dated April 29, 2010. Subsequently, the Procurement Thresholds were

revised during the Third Implementation Support Mission and became effective from August 26, 2012.

8. During the ongoing Mid-Term Review Mission, the National and State Project Management Units

(NPMU and SPMUs) and the World Bank Team discussed and agreed on the need to revise the

Procurement Thresholds further such that implementation of the project activities is hastened and

consequently the disbursement performance. Based on the discussions and agreements, the revised

Procurement Thresholds, as shown in Table A8.1 are effective dated June 13, 2013.

9. The Procurement Plan and Schedule for the India ICZM Project (revised dated May 9, 2013, and

approved by World Bank dated May 27, 2013) and the Procurement Manual for the Project dated April

29, 2010 stand modified with respect to the above changes in Procurement Thresholds effective June 13,

2013; and as such should be reflected in the upcoming revisions of the Procurement Plan and the

Procurement Manual. The prior review thresholds will continue to be reviewed (based on the actual

progress and improvements noted as implementation of the project also progresses) to ensure

procurement management is carried out appropriately.

Table A8.1: Revised Procurement Thresholds for India ICZM Project (Effective June 13, 2013) 10.

Category Method Value threshold

for applicability

Prior Review

Threshold

Remarks

Goods and

Equipment

ICB >$ 3 million >$ 1 million -

NCB <$ 3 million and

>$ 100,000

>$ 1 million -

Shopping by SPMU/NPMU

<$ 100,000 and >$ 30,000

NA No prior review needed as the upper limit is

$100,000 for using shopping by SPMU or NPMU.

Shopping by

PEAs

<$ 30,000 NA No prior review needed as the upper limit is

$30,000 for using shopping by PEAs.

LIB or Direct Contracting (DC)

No threshold >$ 20,000 All cases subject to applicable conditions. All

cases of DC for amounts above $20,000 will need prior review by Bank.

Works;

Supply and

Installation

ICB >$ 20 Million >$ 10 million -

NCB <$20 Million and >$100,000

>$ 10 million -

Shopping by SPMU/NPMU

<$ 100,000 and >$ 50,000

NA No prior review needed as the upper limit is

$100,000 for using shopping by SPMU or NPMU.

Shopping by PEAs

<$ 50,000 NA No prior review needed as the upper limit is $50,000 for using shopping by PEAs.

Force Account No Threshold - Only with prior agreement with the World Bank.

Direct Contracting (DC)

No Threshold >$ 50,000 All cases subject to applicable conditions. All

cases of DC for amounts above $50,000 will need prior review by Bank.

Services QCBS or QBS or FBS or LCS

No Threshold >$ 600,000 Terms of Reference (ToR) of all consultancies

for an amount above US$20,000 will need to be cleared with the World Bank.

Short list of consultants for services, <$800,000

per contract may comprise entirely of national

consultants.

CQS <$ 100,000 NA

Individual Consultants

No Threshold >$ 50,000

Single Source Selection (SSS)

No threshold. >$ 20,000 All cases subject to applicable conditions. ToR

for all assignments using SSS, irrespective of

value, will need to be cleared with the World

Bank.



107

11. All contracts not subjected to prior review will continue to be subjected to post review on an annual basis

by the World Bank. Any contract that does not follow the agreed methods or standard bidding procedures

or standard bidding documents or are unique in its nature will also be subjected to prior review by the

World Bank, irrespective of the value. Such contracts will continue to be identified as prior review in the

Procurement Plan.

12. Procurement disclosure management: Disclosure of procurement information has remained satisfactory

since improvement noticed in November-December 2011. The MTR mission reiterated appreciation of

the efforts of the Odisha SPMU in creating the best procurement webpage among the 4 implementing

agencies; and the efforts in West Bengal to match it. The summary is given below; the table shows the

current status compared to status in July 2012 (in brackets):

Table A8.2: Disclosure of Procurement Information in the Project

Disclosure Agreed in the Project website NPMU

(SICOM)

SPMU,

Gujarat

SPMU,

Odisha

SPMU,

W. Bengal

Procurement plan and updates Yes (Yes) Yes (Yes) Yes (Yes) Yes (Yes)

Specification for goods and equipment as soon as these

are prepared

Yes (Yes) Yes (Yes) Yes (Yes) Yes (Yes)

Invitation for bids for goods and works for all ICB and

NCB contracts


Request for expression of interest for selection/hiring of

consulting services


Contract awards of goods and works procured following

ICB/NCB procedures


List of contracts/purchase orders using shopping

procedure on a quarterly basis


Short list of consultants Yes (Yes) Yes (Yes) Yes (Yes) Yes (Yes)

Contract award of all consultancy services Yes (Yes) Yes (Yes) Yes (Yes) Yes (Yes)

Brief description of activity and amount sanctioned for

CBOs using community contracting method

No (NA) Yes (Yes) Yes (Yes) Yes (NA)

Brief description of activity, amount sanctioned and

details of expenditure using force account

No (NA) Yes (No) Yes (Yes) NA (NA)

List of contracts following DC or CQS or SSS on a

quarterly basis

No (NA) Yes (Yes) Yes (Yes) Yes (Yes)

Action taken report on the complaints received on a half

yearly basis

No (NA) Yes (Yes) Yes (Yes) Yes (Yes)

13. It could be seen that there is scope for improvement in disclosure of the procurement information at

SICOM or the National Component as a whole. The issue is in fact regarding the lack of effective

operation of the SICOM website, and the lack of capacity of the SICOM communications cell. The

mandatory requirements are being fulfilled by posting the bid advertisement in the MOEF website (and in

the NCSCM website for NCSCM related activities), but larger disclosure requirements, such as for

community contracts and for quarterly disclosure, etc., are not being done regularly. It is important that

SICOM quickly improves the capacity of its communications cell and the SICOM webpage be improved

(if necessary through a new contract).

14. Procurement staffing. Even if procurement and award of contracts had been slower than expected, the

quality of procurement functions and systems had been fairly satisfactory. The NPMU and SPMUs have

sufficient procurement personnel to support implementation of the Project. Overall staffing for

procurement functions is adequate. However, it is worth noting that NPMU Procurement Cell has been

unable to provide guidance and strategic advice to the Project States (and restricted itself to review

functions only), and further capacity augmentation at NPMU is in order to be able to match future



108

demand for procurement system improvement (for the overall SICOM/MOEF program, beyond the

project).

Table A8.3: Availability of Procurement Personnel in the Project

Implementing

Agency

Head of

Procurement

Full-time

Staff

Advisor

/ Expert

Staff supplied

by PFMC

Remarks

NPMU

(SICOM)

The Finance

Director (acting)

1 - 2 full time +

1 part time

Additionally, NCSCM now has 3

full-time procurement staff

SPMU

Gujarat

Additional

Project Director

1 1 2 full time +

1 part time

One senior expert is engaged to

review all major procurement

SPMU Odisha Additional

Project Director

(Administration)

1 - 2 full time +

1 part time -

SPMU West

Bengal

Director

(Administration)

1 (recently

recruited)

- 2 full time +

1 part time Recruitment of procurement

officer was delayed as a suitable

candidate could not be found by 3

earlier rounds of recruitment

drive.

15. Results of Procurement Post-Review for the Year 2012-13. As per processes agreed, the Bank, through

a consultants firm, conducted post review of procurement in the Project covering 2010-2011, which was

reported in 2012. Similarly, the Bank contracted M/s Global Procurement Consultants Ltd to undertake

post procurement review on contracts awarded in the Project between July 1, 2011 and June 30, 2012. Of

the total of 308 contracts executed during this period (and not prior reviewed by the Bank), 47 contracts

representing 15% of the total number of contracts were post-reviewed. This list included 7 contracts in the

Gujarat State Component (of the total of 44 contracts executed during the post-review period), 26

contracts (of a total of 173) in the Odisha State Component, 9 contracts (of a total of 58) in the West

Bengal State Component, and 5 contracts (of the total of 33) from the National Component.

16. Even though the Project followed the Procurement Manual (and consequently the Bank’s Guidelines) and

the Procurement Plan most of the time, the post-review revealed a few instances of deviations. The MTR

mission discussed these cases with the Project directors and the staff of the NPMU/SPMUs.

Table A8.4: Findings of the Post-Review of Procurements during July 2011 – June 2012

N Post-Review Findings Project’s Comments Remarks / Agreements

1 Four instances were

noted of award of

contract after the expiry

of the bid validity

period.

Confirmed. These were cases of

procurement using shopping

method, where the bid validity

is short.

Bid evaluation and contract award should be

completed within the initial bid validity

period. In exceptional circumstances, an

extension to the bid validity may be

requested from the bidders prior to the

expiry of the initial bid validity. Contracts

not awarded within 56 days after the expiry

of the initial bid validity period could attract

additional cost to the employer.

2 One instance was noted

of less than three

quotations obtained for

procurement within

Shopping threshold

Confirmed. If the project is unable to obtain at least 3

quotations, it shall provide the Bank with

reasons and justifications why no other

competitive method could be considered and

obtain the Bank’s No-Objection before

proceeding on the basis of the only

responses already received.



109

N Post-Review Findings Project’s Comments Remarks / Agreements

3 One instance was noted

of price negotiations

held with the bidder /

supplier

Confirmed. This was a case of

interpretation by the PEA, who

persuaded a L2 bidder to supply

an additional unit of supply by

matching the price quoted by L1

bidder who supplied one unit

but could not supply the

required additional unit.

Price negotiations in the procurement of

goods and works are prohibited in Bank-

financed projects.

4 Instances were noted of

Performance Security

validity was not

extended to cover the

delay in work execution

or for the stipulated

period

Confirmed. These were for

small contracts (mainly using

shopping) where extension of

performance security was seen

to be difficult by PEAs or not

important enough given the

small size of remaining works.

Enforcement of breach of contract by the

contractor or supplier could be legally

difficult.

5 Delay in payment According to the SPMUs/PEAs,

no delay occurred unless there

were issues with the bills.

A delay in payment could disturb

contractor/supplier’s cash-flow, leading to

interest on delayed payment, and

abandonment of contract.

17. The attention of the NPMU/SPMU and PEAs was drawn to the provisions of the Procurement manual of

the Project with respect to these findings. The MTR mission indicated that some of these cases are

deviations enough for ‘mis-procurement’ and indicated that a repeat of these in future will lead to the

declaration of mis-procurement.

18. Current Status of completion of procurement: The progress of procurement made so far, expected

level of procurement till September 2013 and December 2013 as per the current Procurement Plan - unit

wise as also category wise (i.e. separately for goods, works, community contracts, and consulting

services) is described in Table A10.2 (see Annex 10).

19. The project has almost completed all major procurement. The remaining procurements are all post-

review, except one major works contract (marine oceanarium and research center to be developed on a

public-private partnership model, which is expected to be awarded by January 2014 if not by December

2013; the project financing allocated is US$7 million out of the expected total cost of the activity being as

high as US$80 million12

).

a. The total contracts already awarded by May 31, 2013 or to be awarded before September 2013

are worth US$ 195 million (equivalent to 74% of the total worth of procurement in the project).

Additional efforts will be required to award the remaining 150 contracts (22% by number) by

December 2013 (except the large works contract for the marine oceanrium in Gujarat possibly

cannot be awarded before January 2014, and a few consultancies).

b. There are nearly 1000 community contracts (packaged into 65 packages as per the current

procurement plan) – each small but important. The SPMUs, especially in West Bengal should

particularly ensure that all such community contracts are awarded before December 2013.

12 The estimate is not yet final; and it is possible that the estimated cost will be lower. Bank is ready to consider a prior review

threshold of US$40 million in this case, provided it is bid using international competitive bidding.



110

20. During the MTR, the SICOM and the SPMUs all reiterated the agreement that (i) all procurement will be

completed before December 2013, and (ii) the only exceptions to the agreement to complete procurement

before December 2013 are the specific consultancies related to ICZM plans and (yet undefined) specific

expert studies as required, and the marine oceanarium and research center in Gujarat.

21. However, there is a need to monitor the procurement closely to ensure that not only there is no slippage in

the planned activities, but contract milestones are also to be closely monitored from now. These will

ensure sufficient time being available for delivery of the contracted goods, works and services before the

closing date of the project.

22. Quarterly targets for Procurement: Based on the updated Procurement Plan, the NPMU and SPMUs

have projected the schedule for awarding contracts for goods, works and consulting services till

December 2014. Actual progress in each of the quarters should be closely monitored by the NPMU and

SPMUs and also shared with the Bank, indicating simultaneously the corrective steps being taken, if

necessary, to pull up the arrears in the following quarter(s).

23. The Table A8.5 below summarizes the status of procurement as of May 2013, and the award of contracts

planned between now and December 2013. Note that this table also reflects the revisions that have taken

place since February 2013, and the total number of procurements including community contracts is now

781 instead of 1589 shown in February 2013 (due to clubbing of several community contracts in larger

packages, even if the scope of the community contracts remain the same).

Table A8.5: Summary of Procurement Status (As of May 31, 2013)

Type of

Procurement

Packages

(Revised)

Procurement for

Project Life

Contracts Already

Awarded

(June 2013)

Contracts to be

awarded by

September 2013

Contracts to be

awarded by

December 2013

No. INR Lakh No. INR Lakh No. INR Lakh No. INR Lakh

Overall

Project

Total 706 117,264.7 376 51,944.3 173 31,678.1 153 29,735.5

Goods 328 22,064.9 217 7,807.1 62 5,385.6 51 9,528.2

Works; S & I 183 72,489.7 70 34,025.0 61 21,637.8 51 10,299.1

Consultancies 129 14,514.1 60 5,480.2 31 2,767.9 34 6,168.6

Comm. Contract 66 10,258.6 29 4,632.1 19 1,886.9 17 3,739.6

Component

1 (National)

Total 139 28,019.3 54 9,707.5 41 6,798.7 44 11,513.1

Goods 60 7,310.2 28 850.5 24 2,379.2 8 4,080.5

Works; S & I 29 4,643.6 11 7,588.6 7 3,215.0 11 3,840.0

Consultancies 32 5,038.0 9 1,027.4 8 1,123.0 15 2,887.6

Comm. Contract 18 1,027.5 6 241.0 2 81.5 10 705.0

Component

2 (Gujarat)

Total 175 35,974.8 129 20,222.4 27 4,978.1 18 5,878.2

Goods 98 5,681.5 90 2,877.8 3 160.0 5 2,609.0

Works; S & I 34 25,872.8 15 13,371.3 13 3,467.8 5 2,179.2

Consultancies 26 2,160.1 13 719.5 8 880.0 5 491.0

Comm. Contract 17 2,260.3 11 3,253.8 3 470.3 3 599.0

Component

3 (Odisha)

Total 267 24,539.8 146 9,976.2 46 7,698.4 75 7,567.1

Goods 115 7,542.3 70 3,407.7 16 2,178.8 29 2,599.5

Works; S & I 92 11,422.8 40 3,449.1 22 4,678.6 30 3,334.0

Consultancies 46 3,990.9 29 2,632.2 5 169.9 12 1,208.0

Comm. Contract 14 1,583.8 7 487.1 3 671.2 4 425.6

Component

4 (West

Bengal)

Total 125 28,730.8 47 12,038.2 59 12,203.0 16 4,777.0

Goods 55 1,530.9 29 671.0 19 667.6 9 239.2

Works; S & I 28 20,550.6 4 9,616.0 19 10,276.4 5 945.9

Consultancies 25 3,325.0 9 1,101.0 10 595.0 2 1,582.0

Comm. Contract 17 3,324.3 5 650.3 11 664.0 0 2,010.0



111

24. List of Key Actions to be taken in next 6 months: Procurement in the next 6 months or until December

2013 is critical to the success of the project. Given that the progress of award so far is not sufficient to

guarantee continued improved disbursement, and some contracts during March-June 2013 has suffered

delay, no further slippage is acceptable. Most of the community contracts are yet to be awarded, and all

such contracts should be awarded before September 2013 (December 2103 in the case of West Bengal

concerning the livelihood improvement community contracts in the Sagar Island).

25. More specifically, each of the implementing agencies and the associated PEAs will need to monitor and

take corrective actions so as to be able to ensure there is no slippage (from the following targets, which

are the same targets agreed during the Fourth Implementation Support Mission in February 2013):

a. For Component 1, SICOM should ensure that the planned procurement including award of community

contracts are completed in time with the following cumulative targets:

i. Total cumulative awards worth INR 67.98 crore by September 2013

ii. Total cumulative awards worth INR 115.13 crore by December 2013

b. For Component 2, Gujarat SPMU should ensure that the planned procurement including award of

community contracts are completed in time with the following cumulative targets:


ii. Total cumulative awards worth INR 58.78 crore by January 2014

c. For Component 3, Odisha SPMU should ensure that the planned procurement including award of



ii. Total cumulative awards worth INR 75.67 crore by December 2013

d. For Component 4, West Bengal SPMU should ensure that the planned procurement including award of



ii. Total cumulative awards worth INR 47.7 crore by December 2013.

Annex 9

Disbursement Performance & Procurement Schedule

112

Disbursement

1. Disbursement has been slow; but picking up. Disbursement in the Project has been slow (although by

other measures the project is achieving the intended outcomes). The original disbursement estimates was

3%, 14% and 17% in FY11, FY12 and FY13, totaling 36% or US$80m by end of FY13. The actual

disbursement was 18% by the end of Q4:FY13, and will reach 21% by Q1:FY14. Overall, the shortfall in

disbursement is 16% or US$38 m. However, in FY13, there were signs of a turnaround. The disbursement

in FY13 was more than the combined disbursement in FY11 and FY12.

2. Overall strategy for improved disbursement. As discussed with DEA/CMU in a tripartite review

meeting (TRPM) in November 2011, as reiterated thereafter in several TRPMs, none of the project

activities are at risk, all are under implementation albeit delayed; and therefore, there are two choices for

the project – (i) to revise the disbursement estimate: which is a cosmetic procedure, appearing to be doing

fairly well while not improving implementation performance at all; or (ii) to keep the original

disbursement estimates unchanged and strive to achieve the original disbursement profile. The Project

chose the second option, DEA concurred.

3. Disbursement performance was affected by a variety of issues, some not anticipated. The usually

anticipated reasons included: (i) newness of the activities – a large share of the project activities are new

to India, and uncertainties regarding technical specifications for works and goods meant the bid process

was prolonged; (ii) the agenda of the project regarding integration among sector departments; (iii) due to

involvement of the multiple sector departments, the need for steering committee, headed by chief

secretaries, for approval of bid processes and contracts. However, there were other events not anticipated

at the start of the project: (a) the two periods of lull during September 2010-March 2012 and February-

May 2012, together constituting about 10 months of lag in project implementation; (b) frequent changes

in project leadership, at all levels (national, state, executing agencies); (c) the lack of decision-making in

West Bengal, well before and after the elections, spanning July 2011 to March 2012, and since February

2013; (d) the multiple cases of re-bidding; and (e) depreciation of Indian Rupee by about 35% since

approval of the project.

4. No new barrier came to light since June 2012; and lessons learnt appear to have helped in project

implementation (especially in procurement) since then. The new issues that came to light were quickly

identified and analyzed; and remedial measures agreed (except in the case of West Bengal in the recent

months). Starting June 2012, all remedial measures have been put in place effectively. There were

agreements about accelerating disbursement in June 2012 and, again in December 2012. Since June 2012,

the Aide Memoire of the implementation support mission contains separate annexes on Disbursement,

describing in detail agreed actions to push it up.

5. In FY13, there had been good progress in procurement (award). The project has almost completed all

major procurement. The remaining procurements are all post-review, except 1 major work (on PPP,

<US$7 m Bank financing, although the cost of the activity could be about US$80 m, expected award

January 2014) and a few consultancies. However, a large number of small-value contracts still remains to

be bid out or awarded, and the upcoming two quarters (September 2013 and December 2013) are

important milestones to complete procurement of all contracts in the project.

6. Earlier agreements for improving disbursement (July and December 2012) have been met. The

agreement in July 2012 (reiterated in December 2012) was that at progress of award (of contracts) by

March 2013 should at least be 81% by number and 73% by value of the original Procurement Plan (which

contains all major works, goods and services, but does not contain the community contracts). The Project



113

has achieved both targets. As a result, disbursement performance has improved. At the start of the FY,

the estimate for FY13 disbursement was US$ 20 m. The total disbursement in FY13 was slightly above

US$20 million.

7. Given the improved project implementation performance in the last 12 months (since July 2012), it is

expected that disbursement performance will further improve in FY14. Committed expenditures in

contracts where there is overall assurance about milestones alone will be sufficient to meet the average

disbursement needs, unless there is slack in contract management.

8. Given that 30 months remain in the project (and 34 months for disbursement), the average disbursement

required from now on is US$ 4.7 m/month (or US$13.5 m/Quarter). This is expected to be achieved in Q1

of FY14. The NPMU and SPMUs together have prepared an Annual Plan for FY14 to spend a sum of

INR 480 crore. During the MTR, this estimate was carefully examined. The following are worth noting

from the MTR assessment of the projected expenditure:

a. The start of the year disbursement estimate for FY14 is US$ 45 m (conservative), US$ 55 m

(average) and US$68 million (optimistic).

b. At the end of Q4-FY14, cumulative disbursement is expected to be near US$100 m, lower than

the original estimate of US$127 m. However, in INR terms, the cumulative expenditure will be

equal to the original estimate of expenditure/disbursement.

c. The overall strategy agreed in DEA/TRPM – that the project should strive to catch up with the

original estimated disbursement is possible to be achieved by Q4-FY14, but is more likely to be

achieved by Q1-FY15. The current disbursement lag is 10 months. By the end of FY14, this lag

should be lower than 6 months, and will remain so throughout the remaining project period.

9. However, it will take sustained efforts to close the disbursement lag. Going by current progress, the

disbursement lag will be zero only by end Q4-FY15, which is too far in the future and needs to be

accelerated.

10. All awards to be targeted before December 2013. The SICOM, the SPMUs and the World Bank agreed

that for almost all contracts, procurement schedule needs to be tightened such that all these contracts can

be awarded by December 2013. The World Bank also opined that no contract award should be allowed

after December 2013 (if the award is delayed as such, it is inconceivable how the works will be

completed, and the outcomes will be achieved during the project implementation period). The detailed

procurement targets are given in Annex 5. The SICOM and the SPMUs will organize monthly review

meetings to see all procurements planned to be awarded by December 2013 are proceeding well.

Projected Disbursement Performance

11. Current Disbursement Lag is near 9 months; similar to the situation during the last implementation review

mission in February 2013. During the last mission, the expectation was that disbursement will be back on

track by December 2013, and this estimate (February 2013) was as presented below.

Table A9.1: Disbursement Estimates in the Fourth Implementation Support Mission (February 2013)

Originally Estimated Disbursement

(USD m)

Up to FY13-Q4 FY14-Q1 FY14-Q2 FY14-Q3 FY14-Q4

80.4 21.3 11.8 4.6 9.1

Expected Expenditure

(INR Cr) – as per the

Fourth Implementation

Support Mission,

February 2013

Total (INR Cr) 249 105 112 122 143

Gujarat 63 22 24 29 13

Odisha 74 36 25 20 21

West Bengal 56 16 21 25 32

National 56 30 40 46 76

Expected Disbursement (USD m) 42 15 16 17 20

Anticipated Disbursement Lag (USD m) - 39.65 - 46.1 - 42.2 - 29.4 - 18.2

Anticipated Disbursement Lag (months) 9 months 10 months 9 months 6 months 3 months



114

12. The expected disbursement was met for the last two quarters of FY13 (but not for the entire FY13).

During the MTR mission, an additional examination of the expected disbursement profile was

undertaken. The optimistic scenario remains as above (where the lower than projected disbursement in

Q1-FY14 could be covered by improved performance during the next 3 quarters). However, it appears

that a slightly lower estimate of disbursement will actually take place. The reasons include (i) impacts of

changes in project management in the national Component, and more importantly in the West Bengal

State Component; (ii) newer impacts of currency fluctuation since February 2013, where disbursement in

terms of US Dollars has lagged expenditure in terms of Indian Rupees. This, more conservative estimate

is presented below. For details, see Table A9.5.

Table A9.2: Disbursement Estimates in the MTR Mission (Conservative Scenario)

Originally Estimated Disbursement (USD m)

Up to FY13 FY14-Q1 FY14-Q2 FY14-Q3 FY14-Q4

80.40 21.38 11.87 4.55 9.10

Expected

Expenditure (INR

Cr) – Confirmed in

the MTR Mission

Total (INR Cr) 186.27 24.51 101.27 121.29 93.30

National 50.51 5.19 21.71 23.47 18.05

Gujarat 64.97 6.59 27.12 34.35 26.43

Odisha 46.49 6.18 21.25 3216 24.76

West Bengal 24.27 6.55 31.19 31.18 24.09

Disbursement (USD m) Actual & Expected 40.87 3.20 7.05 15.76 18.36

Disbursement Lag (USD m) Actual & Expected - 39.53 - 59.05 - 63.87 - 52.66 - 43.40

Disbursement Lag (month) Actual & Expected 9 months 13 months 14 months 11 months 9 months

13. Even if this conservative level of expenditure (and consequent disbursement) materializes, the project will

catch up the original estimate of disbursement by March 2014 (at least in Indian Rupee terms, even if not

in US Dollars). However, this will need greater performance of the NPMU, the SPMUs and the PEAs.

Issue of Savings due to currency fluctuation

14. Disbursement had been low primarily because of slow project implementation (no concrete progress

between two periods of September 2010 and March 2011; and February-May 2012). However, a

contributing reason, even if not a primary reason, is the currency fluctuation. The original disbursement

estimates were prepared considering US$1 will be equivalent to INR 44.37 in 2010 and INR 46.33 in

2013. The actual equivalence had been between INR 50 to 58 (and INR 60 now in July 2013). If the

currency remained stable, disbursement would be US$ 47 m (22%) instead of US$ 38 m (17%) by March

2013 – a relative difference of almost 20%.

15. On the issue of allocating the savings, the task team has had discussion at state and GOI levels during

January 2013. Follow up discussions on this occurred during the MTR mission. The SICOM and the

SPMUs in Gujarat and Odisha proposed a revision in the overall allocation for the project owing to the

following: (i) a number of activities and sub-activities experienced increase in cost due to high bid

premium where procurement is already concluded, and similar bid premium is expected in the contracts

yet to be awarded; (ii) a number of sub-activities and tasks are proposed for expansion given the demand

and necessity for these. The Bank team is agreeable to all such proposals provided these are agreed by the

SICOM GC and the respective Project States. A formal decision on this is expected by August 2013 or

latest before the time of revised budget estimates for FY14 by GOI (November 2013). It is expected that

savings will be allocated to different project activities including those which has experienced price

escalation.



115

Table A9.3: Disbursement Performance –February 2013

Disbursement by Quarter Cumulative Disbursement

Quarter Original(US$) By FY

(US$ m) REVISED

FY Projection

Actual(US$) By FY

(US$ m)

Original (US$ m)

ACTUAL (US$ m)

Forecast (Original)

Forecast (Revised)

ACTUAL

Q2-FY-2011 - - 11,007,229

- 11.01 - - -

Q3-FY-2011 2,580,000 - - 2.58 11.01 1.16% - 4.96%

Q4-FY-2011 5,150,000 7.73 - 15.0 1,590,444 12.60 7.73 12.60 3.48% - 5.68%

Q1-FY-2012 11,590,000 - 979,809 19.32 13.58 8.70% - 6.12%

Q2-FY-2012 6,430,000 - 847,033 25.75 14.42 11.60% - 6.50%

Q3-FY-2012 4,040,000 - 2,011,457 29.79 16.44 13.42% - 7.40%

Q4-FY-2012 8,080,000 30.14 - 10.0 1,498,108 5.34 37.87 17.93 17.06% - 8.08%

Q1-FY-2013 18,180,000 - 2,809,068 56.05 20.74 25.25% - 9.35%

Q2-FY-2013 10,100,000 - 3,603,366 66.15 24.35 29.80% - 10.97%

Q3-FY-2013 4,750,000 - 8,833,616

70.90 33.18 31.94% - 14.95%

Q4-FY-2013 9,500,000 42.53 - 20.0 5,552,275 20.80 80.40 38.73 36.22% - 17.45%

Q1-FY-2014 21,380,000 - 2,129,328 101.78 40.87 45.86% - 18.41%

Q2-FY-2014 11,870,000 - Further $4 m expected Q1

113.65 51.20% -

Q3-FY-2014 4,550,000 -

118.20 53.25% -

Q4-FY-2014 9,100,000 46.90 - 55.0

127.30 97.75 57.35% - 44.04%

Q1-FY-2015 20,480,000 -

147.78 66.58% -

Q2-FY-2015 11,370,000 -

159.15 71.70% -

Q3-FY-2015 4,550,000 -

163.70 73.75% -

Q4-FY-2015 9,100,000 45.50 - 65.0

172.80 162.75 77.85% -

Q1-FY-2016 20,480,000 -

193.28 87.08% -

Q2-FY-2016 11,370,000 -

204.65 92.20% -

Q3-FY-2016 5,190,000 -

209.84 94.54% -

Q4-FY-2016 12,120,000 49.16 -

221.96 100.00% -

TOTAL 221,960,000 221.96 40,861,733

221.96 33.25 100.00% 100.00% 14.98%



116

Table A9.4: Progress on Procurement – as of May 31, 2013

Type of Procurement Packages

Original Total w/o Community Contracts

Revised Total including Community

Contracts

Award by Q4-FY13

Additional Targeted by Q1-FY14



N ($m) N ($m) N ($m) N ($m) N ($m) N ($m)

Overall Project

Total 557 188.75 706 260.59 376 115.43 173 70.40 106 71.02 13 35.56

Goods & Equipment 261 34.76 328 49.03 217 17.35 62 11.97 38 20.38 6 17.78

Works; S & I; CC 170 127.92 183 161.09 70 75.61 61 48.08 36 23.04 5 -

Consultancies 126 26.07 129 32.25 60 12.18 31 6.15 25 17.62 1 17.78

Comm. Contracts - - 66 18.21 29 10.29 19 4.19 7 9.98 1 -

Component 1 (National)

Total 112 56.41 139 62.27 54 21.57 41 15.11 11 25.58 - -

Goods & Equipment 49 11.95 60 16.24 28 1.89 24 5.29 3 9.07 - -

Works; S & I; CC 26 34.82 29 32.54 11 16.86 7 7.14 2 8.53 - -

Consultancies 37 9.64 32 11.20 9 2.28 8 2.50 6 6.42 - -

Comm. Contracts - - 18 2.28 6 0.54 2 0.18 - 1.57 - -

Component 2 (Gujarat)

Total 102 44.31 175 79.94 129 44.94 27 11.06 14 18.00 13 35.56

Goods & Equipment 58 8.79 98 12.63 90 6.40 3 0.36 4 5.00 6 17.78

Works; S & I; CC 21 29.08 34 57.50 15 29.71 13 7.71 2 5.00 5 -

Consultancies 23 6.44 26 4.80 13 1.60 8 1.96 5 5.00 1 17.78

Comm. Contracts - - 17 5.02 11 7.23 3 1.05 3 3.00 1 -

Component 3 (Odisha)

Total 234 34.22 267 54.53 146 22.17 46 17.11 75 16.82 - -

Goods & Equipment 101 10.94 115 16.76 70 7.57 16 4.84 29 5.78 - -

Works; S & I; CC 95 17.95 92 25.38 40 7.66 22 10.40 30 7.41 - -

Consultancies 38 5.33 46 8.87 29 5.85 5 0.38 12 2.68 - -

Comm. Contracts - - 14 3.52 7 1.08 3 1.49 4 0.95 - -

Component 4 (West Bengal)

Total 109 53.81 125 63.85 47 26.75 59 27.12 6 10.62 - -

Goods & Equipment 53 3.08 55 3.40 29 1.49 19 1.48 2 0.53 - -

Works; S & I; CC 28 46.07 28 45.67 4 21.37 19 22.84 2 2.10 - -

Consultancies 28 4.66 25 7.39 9 2.45 10 1.32 2 3.52 - -

Comm. Contracts - - 17 7.39 5 1.45 11 1.48 - 4.47 - -



117

Table A9.5: Expenditure & Disbursement Projections

Component Expenditure Head

Estimated

Contract

Amount as

per PP

Contracted

Amount for

actual

contracts

awarded

Difference

of Contract

Price and

Estimates

Estimated

Cost of

Contracts

to be

awarded

Actual for

Awarded +

Estimates

for Other

Contracts

Payments

Made up to

31st March

2013

Total

expenditure

to be

incurred

after March

2013

National

Works 15,581.08 7,664.13 -8.59 7,672.72 15,572.49 3,057.13 12,515.36

Goods 7,400.23 754.69 -38.12 792.81 7,362.11 461.54 6,900.57

Consultancy 5,038.03 679.92 -271.48 951.40 4,766.55 102.01 4,664.54

Delivery Linked IOC - - - - 10,177.16 1,141.90 9,035.26

Project Management IOC - - - - 2,863.62 405.45 2,458.17

Total 28,019.34 9,098.74 -318.19 9,416.93 40,741.93 5,168.03 35,573.90

Gujarat

Works 28,133.16 15,934.71 3,293.06 12,641.65 31,426.22 3,640.67 27,785.55

Goods 5,681.51 2,923.70 1,693.28 1,230.42 7,371.79 704.18 6,640.51

Consultancy 2,160.14 719.54 -5.07 724.61 2,155.07 515.24 1,639.83

Delivery Linked IOC - - - - - - -

Project Management IOC - - - - - - -

Total 35,974.81 19,577.95 4,981.27 14,596.68 40,953.08 4,860.09 36,065.89

Odisha

Works 12,398.11 323.11 22.29 300.82 12,420.40 1,176.11 10,924.29

Goods 8,140.76 3,081.07 154.00 2,927.07 8,294.76 1,235.27 7,057.49

Consultancy 3,990.92 2,479.25 24.58 2,454.67 4,010.50 1,333.74 2,676.76

Delivery Linked IOC - - - - 2,126.45 260.09 1,866.36

Project Management IOC - - - - 2,089.28 461.69 1,627.59

Total 24,529.79 5,883.43 200.87 5,682.56 28,941.39 4,466.90 24,152.49

West

Bengal

Works 25,000.50 9,675.74 -988.58 10,664.32 24,074.66 1,083.49 22,991.17

Goods 1,530.93 813.25 74.13 739.12 1,559.66 632.80 926.86

Consultancy 3,125.03 1,252.60 172.57 1,080.03 3,227.60 260.20 2,967.40

Delivery Linked IOC - - - - - 548.20 1,704.88

Project Management IOC - - - - - 412.06 1,600.56

Total 29,656.46 11,741.59 -741.88 12,483.47 28,861.92 2,936.74 30,113.91

Overall

Project

Works 81,112.85 33,597.69 2,318.18 31,279.51 83,493.77 8,957.40 74,216.37

Goods 22,753.43 7,572.71 1,883.29 5,689.42 24,588.32 3,033.79 21,525.43

Consultancy 14,314.12 5,131.31 -79.40 5,210.71 14,159.72 2,211.19 11,948.53

Delivery Linked IOC - - - - 12,303.61 1,950.19 12,606.50

Project Management IOC - - - - 4,952.90 1,279.20 5,686.32

Total 118,180.40 46,301.71 4,122.07 42,179.64 139,498.32 17,431.76 125,906.19

Disbursement Scenarios

(Definitions)

Best Case -

No slippage from procurement schedule for all contracts, and all contracts milestones

Second Best -

Some slippage from procurement schedule, but no slippage on contract milestones

Most Probable -

Substantial slippages on procurement schedule, some recovered through improved contract management

Low Case -

Substantial slippages on procurement schedule; low recovery through contract management

Lowest Deemed Case -

Substantial slippages on procurement schedule, and very low recovery through contract management



118

(Continued/Page 2) Table A9.5: Expenditure & Disbursement Projection


Total

expenditure

to be

incurred

after March

2013

Q4-FY13 Up to

FY13 Q1-FY14 Q2-FY14 Q3-FY14 Q4-FY14 FY14

National

Works 12,515.36 139.03 3,196.16 465.07 697.01 1,318.18 1,556.80 4,037.06

Goods 6,900.57 196.44 657.98 139.85 1,195.88 614.10 2,179.43 4,129.26

Consultancy 4,664.54 18.52 120.53 72.01 140.31 562.87 1,128.47 1,903.66

Delivery Linked IOC 9,035.26 249.96 1,391.86 749.87 749.87 749.87 795.98 3,045.59

Project Management IOC 2,458.17 68.84 474.29 206.53 206.53 206.53 217.42 837.01

Total 35,573.90 672.79 5,840.82 1,633.34 2,989.61 3,451.54 5,878.10 13,952.59

Gujarat

Works 27,785.55 345.68 3,986.35 1,177.24 2,441.39 5,198.48 4,897.38 13,714.51

Goods 6,640.51 26.47 730.65 238.19 2,845.73 2,714.44 14.68 5,813.04

Consultancy 1,639.83 - 515.24 72.02 310.55 540.14 265.85 1,188.56

Delivery Linked IOC - - - - - - - -

Project Management IOC - - - - - - - -

Total 36,065.89 372.14 5,232.23 1,487.46 5,597.67 8,453.06 5,177.91 20,716.11

Odisha

Works 10,924.29 218.15 1,394.26 724.96 1,228.71 1,861.92 1,661.20 5,476.79

Goods 7,057.49 72.81 1,308.08 423.55 914.79 2,787.55 733.58 4,859.46

Consultancy 2,676.76 140.08 1,473.82 437.55 383.01 261.97 519.60 1,602.14

Delivery Linked IOC 1,866.36 44.54 304.63 133.63 133.63 133.63 149.25 550.14


Total 24,152.49 431.04 4,897.94 1,586.06 2,526.51 4,911.44 2,914.38 11,938.39

West

Bengal

Works 22,991.17 472.44 1,555.93 1,617.98 3,228.30 5,445.73 4,679.11 14,971.11

Goods 926.86 4.47 637.27 50.11 547.46 87.70 42.36 727.63

Consultancy 2,967.40 33.37 293.57 100.11 139.56 168.38 386.98 795.03



Total 30,113.91 510.28 3,447.02 1,999.06 4,146.19 5,932.67 5,354.70 17,432.63

Overall

Project

Works 74,216.37 1,175.30 10,132.70 3,985.25 7,595.41 13,824.31 12,794.49 38,199.47

Goods 21,525.43 300.18 3,333.97 851.71 5,503.86 6,203.78 2,970.05 15,529.39

Consultancy 11,948.53 191.97 2,403.16 681.70 973.43 1,533.36 2,300.90 5,489.39

Delivery Linked IOC 12,606.50 334.20 2,284.39 1,002.60 1,002.60 1,002.60 1,072.27 4,080.07

Project Management IOC 5,686.32 153.72 1,432.92 461.16 461.16 461.16 478.76 1,862.23

Total 125,906.19 1,986.25 19,418.02 6,705.92 15,259.97 22,748.72 19,325.09 64,039.71


(in US Dollars)

Best

Case 4.12 38.74 4.12 8.68 28.52 24.97 79.99

Second

Best 4.12 38.74 3.92 8.49 20.49 27.20 60.10

Most

Probable 4.12 38.74 3.51 8.22 19.79 25.77 57.29

Low

Case 4.12 38.74 3.20 7.43 18.40 22.77 51.79

Lowest

Case 4.12 38.74 3.20 7.05 15.76 18.36 44.37



119



Total

expenditure

to be

incurred

after March

2013

Up to

FY13 FY14 Q1-FY15 Q2-FY15 Q3-FY15 Q4-FY15 FY15

National

Works 12,515.36 3,196.16 4,037.06 1,693.10 1,643.12 1,552.09 1,242.97 6,131.28

Goods 6,900.57 657.98 4,129.26 1,755.82 83.98 174.86 560.21 2,574.87

Consultancy 4,664.54 120.53 1,903.66 1,063.55 962.05 709.48 7.28 2,742.37

Delivery Linked IOC 9,035.26 1,391.86 3,045.59 888.18 888.18 888.18 868.02 3,532.56


Total 35,573.90 5,840.82 13,952.59 5,639.86 3,816.54 3,563.82 2,912.98 15,933.19

Gujarat

Works 27,785.55 3,986.35 13,714.51 3,436.57 2,744.26 2,306.84 2,160.36 10,648.04

Goods 6,640.51 730.65 5,813.04 801.00 - - - 801.00

Consultancy 1,639.83 515.24 1,188.56 194.55 127.14 50.41 26.70 398.80



Total 36,065.89 5,232.23 20,716.11 4,432.12 2,871.41 2,357.25 2,187.06 11,847.84

Odisha

Works 10,924.29 1,394.26 5,476.79 1,491.14 1,386.58 1,201.13 650.16 4,729.01

Goods 7,057.49 1,308.08 4,859.46 1,168.50 138.51 787.55 3.07 2,097.62

Consultancy 2,676.76 1,473.82 1,602.14 452.43 295.50 61.86 51.06 860.85



Total 24,152.49 4,897.94 11,938.39 3,112.07 1,820.58 2,050.53 704.29 7,687.48

West

Bengal

Works 22,991.17 1,555.93 14,971.11 2,735.85 2,249.34 1,257.98 528.15 6,771.33

Goods 926.86 637.27 727.63 89.83 42.37 62.57 - 194.77

Consultancy 2,967.40 293.57 795.03 384.16 382.53 316.70 293.78 1,377.17



Total 30,113.91 3,447.02 17,432.63 3,486.89 2,951.29 1,914.30 1,148.16 9,500.63

Overall

Project

Works 74,216.37 10,132.70 38,199.47 9,356.67 8,023.30 6,318.04 4,581.65 28,279.66

Goods 21,525.43 3,333.97 15,529.39 3,815.14 264.85 1,024.97 563.28 5,668.25

Consultancy 11,948.53 2,403.16 5,489.39 2,094.68 1,767.23 1,138.45 378.83 5,379.19

Delivery Linked IOC 12,606.50 2,284.39 4,080.07 1,211.60 1,211.60 1,211.60 1,224.37 4,859.18

Project Management IOC 5,686.32 1,432.92 1,862.23 513.97 513.97 513.97 541.07 2,082.97

Total 125,906.19 19,418.02 64,039.71 16,670.93 11,459.82 9,885.90 6,952.49 44,969.14


(in US Dollars)

Best

Case 38.74 79.99 22.18 14.84 12.80 9.00 58.82

Second

Best 38.74 60.10 24.37 23.33 20.10 14.71 82.51

Most

Probable 38.74 57.29 20.58 19.91 17.57 12.76 70.81

Low

Case 38.74 51.79 16.26 17.76 16.40 11.96 62.38

Lowest

Case 38.74 44.37 12.56 15.87 15.32 11.22 54.97



120



Total

expenditure

to be

incurred

after March

2013

Up to

FY13 FY14 FY15 Q1-FY16 Q2-FY16

Q3-FY16

and Q4-

FY16

FY16

National

Works 12,515.36 3,196.16 4,037.06 6,131.28 828.00 828.00 552.00 2,207.99

Goods 6,900.57 657.98 4,129.26 2,574.87 - - - -

Consultancy 4,664.54 120.53 1,903.66 2,742.37 - - - -

Delivery Linked IOC 9,035.26 1,391.86 3,045.59 3,532.56 827.68 827.68 551.79 2,207.15


Total 35,573.90 5,840.82 13,952.59 15,933.19 1,880.75 1,880.75 1,253.83 5,015.33

Gujarat

Works 27,785.55 3,986.35 13,714.51 10,648.04 2,033.60 1,034.50 9.23 3,077.33

Goods 6,640.51 730.65 5,813.04 801.00 - - - -

Consultancy 1,639.83 515.24 1,188.56 398.80 23.58 17.33 11.56 52.47



Total 36,065.89 5,232.23 20,716.11 11,847.84 2,057.18 1,051.83 20.79 3,129.80

Odisha

Works 10,924.29 1,394.26 5,476.79 4,729.01 240.40 169.87 90.06 500.33

Goods 7,057.49 1,308.08 4,859.46 2,097.62 27.60 - - 27.60

Consultancy 2,676.76 1,473.82 1,602.14 860.85 39.30 21.13 13.27 73.69



Total 24,152.49 4,897.94 11,938.39 7,687.48 307.30 191.00 103.33 601.63

West

Bengal

Works 22,991.17 1,555.93 14,971.11 6,771.33 291.11 291.11 194.07 776.29

Goods 926.86 637.27 727.63 194.77 - - - -

Consultancy 2,967.40 293.57 795.03 1,377.17 293.78 282.99 185.06 761.83



Total 30,113.91 3,447.02 17,432.63 9,500.63 1,009.49 998.69 662.19 2,670.37

Overall

Project

Works 74,216.37 10,132.70 38,199.47 28,279.66 3,393.10 2,323.48 845.36 6,561.94

Goods 21,525.43 3,333.97 15,529.39 5,668.25 27.60 - - 27.60

Consultancy 11,948.53 2,403.16 5,489.39 5,379.19 356.66 321.45 209.88 887.99

Delivery Linked IOC 12,606.50 2,284.39 4,080.07 4,859.18 1,249.89 1,249.89 833.26 3,333.04

Project Management IOC 5,686.32 1,432.92 1,862.23 2,082.97 595.27 595.27 396.85 1,587.40

Total 125,906.19 19,418.02 64,039.71 44,969.14 5,254.71 4,122.28 2,040.14 11,417.13


(in US Dollars)

Best

Case 38.74 79.99 58.82 6.80 5.34 -14.60 -2.46

Second

Best 38.74 60.10 82.51 11.17 8.78 -26.21 -6.25

Most

Probable 38.74 57.29 70.81 9.71 7.57 -9.02 8.26

Low

Case 38.74 51.79 62.38 9.05 7.05 6.09 22.18

Lowest

Case 38.74 44.37 54.97 8.41 6.60 22.00 37.01

Annex 10

Detailed List of Agreed Actions at MTR

121

1. The main text of the Aide Memoire presents (in Section K, paragraph 53-54) presents the major agreements.

However, during the MTR, several other smaller agreements were reached. All these agreements (major or

minor) are described below.

2. A further detailed list of agreements has been described in Annex 4 (Activity-wise Summary of Progress). All

PEAs are especially requested to prepare an action taken report with respect to these detailed actions listed in

Annex 4, and include as such in the Quarterly Progress Reports due for the periods ending September 2013

and December 2013.

Table A10.1. Agreements on the Overall Project (All Components)

Issues Agreements on Next Step Responsibility Due Date

Implementation Delays: Several

activities in the Project were

delayed compared to original

schedule.

All activities (even with the past

delay) could still be completed by

December 2014, or latest by March

2015. There is a clear need to

maintain recent improvement in

project performance.

Mid-Term Evaluation Reports from SICOM and SPMUs

suggested a few small deletion of activities, without

affecting the Project Objectives and targets for

beneficiaries. All were agreed by the World Bank.

SICOM GC to formally endorse these.

MoEF/ GC of

SICOM.

August

31, 2013

The above deletions (or reduction of scope of activities)

will be reflected in the Revised Procurement Plan.

SICOM and all

SPMUs

September

30, 2013

No procurement award will be made in the project after

December 2013 (except for the MRCI works in Gujarat,

and several agreed consultancies/studies).

SICOM and all

SPMUs

Monthly -

December

30, 2013

Focus on timely completion of contracts already awarded

(worth US$ 140 m), and ensure that no slippage in

contract progress happens.

SICOM, all

SPMUs, all

PEAs

Monthly -

March 31,

2014

Slow Disbursement: Current

disbursement remains lower than

originally anticipated (US$39 m

compared to US$80 anticipated at

approval of the project). Although

disbursement in FY13 (US$21m)

has been an improvement, this is

yet not able to bridge the

disbursement lag created due to

earlier slow implementation.

Project should aim to implement without any delay the

current annual plan for FY13-14 which envisages an

expenditure of INR 480 crores. The desired and

minimum disbursement estimate for FY14 is US$ 57m

and US$ 45m respectively.

SICOM and

All SPMUs

Quarterly-

December

30, 2013

Monitoring and ensuring that all agreed procurement

actions are completed as per the procurement schedule

agreed in February 2013; including close monitoring of

intermediate steps for procurement.

SICOM and

All SPMUs

Monthly -

September

30, 2013

World Bank to revise and communicate the Value

thresholds and prior-review thresholds for procurement of

works, goods and services.

World Bank June 15,

2013.

Done.

Price and Physical variation: The

initial estimates of physical and

price variation were $6.24m and

$20.87m respectively. The

procurement plan items alone have

experienced price variation of

$23m by March 2013. Current

physical variation is $ 6m. These

already use the planned

contingencies (in INR). Further

physical variations have been

proposed.

Additional list of physical variation, indicating the order

of priorities will be prepared and submitted for SICOM

GC and State Government approval.

SICOM /

SPMUs

August

15, 2013

The project was planned for US$285.67 m (with World

Bank reimbursing US$222 m @77.7%). Based on the

currency rate fluctuation, additional physical variations

proposed by the 3 SPMUs and SICOM up to an amount

of INR 360 crore can be added within the project size

(US$285.67m).

MOEF /

SICOM GC

August

31, 2013

MOEF/SICOM GC shall review and approve the list of

additional physical variation, based on information

provided by SICOM and the 3 SPMUs.



122


Once approved by SICOM GC, the additional items

should be reflected in the next revision of the

Procurement Plan, and submitted to Bank for no-

objection.

SICOM September

30, 2013

Need to reaffirm objectives of

the project among all PEAs.

Many PEA officials are not aware

of the purpose and objectives of

the project (possibly owing to staff

turnover issues); and are

implementing the project activities

in routine sector-specific manner.

SICOM to take lead and organize orientation of all new

staff of PEAs. SICOM should depute a team consisting of

communication specialists and subject specialists to

organize monthly review meetings and quarterly

orientation sessions with all PEAs.

SICOM

(Communicati

on Cell)

Monthly -

December

31, 2013

Additional round of dissemination of project objectives,

scope of the project including the very important

“integration objectives”.

All SPMUs September

30, 2013

Table A10.2. Additional Specific Agreements on Component 1 (National Component)


Budget and annual plan of

expenditure in FY13-14. The

current budget allocation is only

INR 125 crores although the

planned expenditure is INR 480

crores. The current contract

commitments cannot be serviced.

MOEF/SICOM GC needs to facilitate sufficient budget

release to SICOM (including for onward fund flow to

SPMUs). The current plan for seeking additional budget

at RE stage (November 2013) is not sufficient. The

current budget is sufficient to pay for contracts up to

September 2013, and additional budget is required

starting from September 2013.

SICOM GC /

MOEF

August

31, 2013

November

30, 2013

Completing the Mid-Term

Evaluation Report(s). There is a

delay in preparing and sharing the

MTE Report for the national

component and for the project as a

whole.

SICOM will prepare and share with World Bank, the

Mid-Term Evaluation report for Component 1.

SICOM June 2013.

Done.

Review comments on SICOM’s mid-term evaluation

report will be shared with SICOM. [Within 7 days from

receiving the Report from SICOM.]

World Bank June 27,

2013.

Done.

Based on Mid-Term Evaluation Reports for all 4

components of the Project, a consolidated overall mid-

term evaluation report will be prepared and shared with

the World Bank (and also on the websites of the 4

implementing agencies).

SICOM July 10,

2013.

Done.

Capacity of the SICOM: Several

positions at SICOM remain vacant;

and there is need for additional

capacity. The most important

issues are: (i) absence of an

additional project director, (ii)

absence of the head of HR and

administration functions, (iii) non-

performance of the communication

unit, (iv) lack of an HR appraisal

system, and (v) additional

requirement of subject specialists.

An additional project director should be appointed to

support the National Project Director. This has already

been much delayed in spite of repeated agreements.

SICOM August

31, 2013

A senior officer/professional to be recruited to head the

administration and HR function (potentially through the

HR services agency).

SICOM August

31, 2013

HR systems including performance appraisal processes

should be established. For this, SICOM will hire HR

consultants’ services.

SICOM September

30, 2013

The entire communication cell is defunct. At least 2 more

staff including a head of communication cell should be

appointed (through the HR services agency).

SICOM August

31, 2013

Additional professional staff, if approved by SICOM GC

to be recruited (through the HR services agency).

SICOM September

30, 2013



123


ICZM Plan process guidelines:

The draft guidelines need to be

finalized, and communicated to the

states.

NCSCM has undertaken substantial efforts in recent

months to prepare the guidelines. NCSCM to finalize the

guidelines, including incorporating World Bank

comments related to (i) inserting assessment of the

environmental and social impacts of the plan itself, and

(ii) generation of resources and money for conservation

of the ecological resources.

NCSCM August

31, 2013.

Expert Panel on ICZM

Planning: While preparation and

adoption of ICZM Plans is the

work of the State Governments,

there is a need to engage

internationally renowned experts

(other than who are already

engaged) to advise the officials of

the States with case studies of

successful implementation

elsewhere in the World.

NCSCM will identify a list of international experts along

with a list of the best known success stories of adoption

and implementation of the ICZM approaches. In

discussion with SICOM, a panel of experts will be

contracted to advise the state teams engaged in

preparation and adoption of ICZM plans.

NCSCM December

31, 2013

Terms of reference for the expert advisory panel will be

prepared, and will include provision of expert support to

MOEF on a variety of CRZ cases.

NCSCM November

30, 2013

Mapping of ESAs: NCSCM has

started the work in May 2013 as

agreed, with an aim to deliver the

outputs starting from September

2013, but completion schedule is

not clear.

NCSCM should prepare and implement a schedule for

completing the ESA mapping works for the entire

country, including procurement of consultants

(institutions and NGOs).

NCSCM August

31, 2013

Implementation delays related to

research by partner institutions of

NCSCM. As an added activity,

given the need and interest in the

country, NCSCM will need to

undertake additional research on

the environmental/ecological

impacts from large-scale sea weed

cultivation.

NCSCM has reviewed, appraised and agreed to the

research proposals from 4 partner institutions.

Transferring the first tranche funds for these should be

completed without any further delay (also ensuring that

these partner institutions implement all agreed financial

management norms and standards).

NCSCM and

National

Partner

Institutions of

NCSCM

August

31, 2013

The remaining planned research activities (over and

above the current research activities) of NCSCM by itself

and through national partner institutions will start

immediately, so that the first tranche of funds could be

transferred to these partner institutions.

NCSCM August

31, 2013

NCSCM will prepare a plan and schedule for assessing

impacts of sea weed cultivation; and share with SICOM

and the World Bank.

NCSCM August

31, 2013

Implementation progress of

MSSRF has not been adequate and

needs closer monitoring.

MSSRF has prepared a revised plan showing the

expected dates of completion for each of the tasks and

sub-tasks. This needs to be closely monitored to ensure

that no further delay takes place.

MSSRF and

SICOM

Monthly –

up to

December

31, 2013

Implementation progress of the

Dandi ESA (by GEC) needs to be

closely monitored to avoid any

delay including in the outputs of

the consultants preparing the plan.

The consultants need to be supported and encouraged to

deliver outputs of high quality in time. Otherwise, it will

be impossible to undertake the planned activities during

the remaining project period.

SICOM with

GEC

Monthly –

up to

September

30, 2013

As far as possible, procurements (based on the plan to be

agreed among all stakeholders) to be initiated before

December 2013.

GEC December

31, 2013



124


National Capacity Building Plan:

Although discrete capacity

building activities and training

programs are being organized,

there is a need to revise and

prepare a full-fledged National

Capacity Building Plan and

implement it.

SICOM should prepare a comprehensive national

capacity building plan, by revision of the current plan and

covering all national and state government officials who

are involved in management of the coastal and marine

areas.

SICOM August

31, 2013

If needed for the above, SICOM should engage expert

consultants.

SICOM August

31, 2013

For implementation of the revised national capacity

building plan, SICOM will engage a consultancy firm or

institution on a long-term basis. This will be over and

above engagement of the NCSCM partner institutions for

organizing training and workshops (which are part of the

plan).

SICOM August

31, 2013

Monitoring and evaluation processes need augmentation.

Recruitment of a suitable

evaluation team is delayed, and

must be completed.

SICOM will continue regular project monitoring

activities including verification of progress of

implementation at sub-project sites;

SICOM Monthly –

December

31, 2013

Full operation of a comprehensive web-based project

monitoring system (after testing is complete in August

2013). All PEAs and SPMUs to be provided hands on

training on this.

SICOM September

30, 2013

Procurement of the Evaluation Consultants to be

completed by September 2013 (the first Evaluation

Report should be available by December 2013).

SICOM September

30, 2013

Table A10.3. Additional Specific Agreements on Component 2 (Gujarat State Component)


Finalizing the mid-term

evaluation reports. Draft reports

have been prepared, and need to be

finalized incorporating suggestions

from the World Bank.

Finalizing the mid-term evaluation report (including the

list of activities that should be considered for dropping or

reduction in scope).

SPMU June 30,

2013.

Done.

A generic template for proposing activities to be

expanded or included in the Project should be prepared

and shared with the SPMU.

World Bank June 15,

2013.

Done.

Preparing a list of activities, in order of priorities of the

Governments, that should be considered for expansion or

inclusion in the project.

SPMU July 15,

2013.

Done.

Reports from individual PEAs to be revised and finalized

(including details of community contracts).

PEAs with

SPMU support

August

15, 2013











ensuring that the planned procurement including award of

community contracts (with cumulative targets of awards

worth US$54m by May 2013, US$73m by September

2013, and US$90m by December 2013/ January 2014).

SPMU and all

PEAs

Monthly –

December

31, 2013

SPMU will ensure that all procurements are completed by

December 2013, and except for the case of the Marine

Oceanrium and the specialized consultancies, no

procurement will happen after December 2013.

SPMU Monthly –

up to

December

31, 2013



125



Except for the marine oceanarium

and the agreed special

consultancies later, all major

procurement ($70m) is completed

by June 2013.



contracts for sewerage.

[Same as agreed in February 2013] Finalize bidding

documents (with expert inputs as needed) and organize

prospective bidders' meet for the MRCI

SPMU September

30, 2013


management (especially when large works contracts are

involved), and preparing a plan to avoid time and cost

overrun.

SPMU

(and PEAs)

September

30, 2013

Prepare monthly expenditure projections for FY13-14,

and submit to SICOM to accelerate the process of

transfer of funds to SPMU.

SPMU August

31, 2013


available. Support consultants are

being selected (and will be in place

by July 2013). The plan

preparation process now needs to

be accelerated.

Support consultants will be selected and be in place. SPMU September

30, 2013

With help from the support consultants, a detailed

schedule of plan preparation (including stakeholder

engagement and specific studies) will be prepared and

shared.

SPMU October

30, 2013

Additional target for mangrove

plantation. The concerned PEAs

have already progressed very well

in terms of achieving the current

target of 16,500ha. An additional

target of 10,000ha can be achieved.

SPMU will discuss with the relevant agencies the plans

for planting additional areas. The World Bank had

already agreed to the proposal from SPMU to include

areas in the Gulf of Khambat and on the Suarashtra coast

to be considered for this purpose, using community

engagement and community contract processes similar to

what has been adopted for the Gulf of Kachchh.

SPMU August

31, 2013

SPMU will formally allocate works to PEAs for

achieving additional targets in the Gulf of Khambat and

on the Suarashtra coast.

SPMU September

30, 2013

MNP will prepare an evaluation report of mangrove

plantation (result, processes, and adherence to cost

norms) undertaken using force account.

MNP and

SPMU

August

31, 2013

Based on the review of the evaluation report from MNP,

World Bank will agree to cover an additional 3,000ha of

mangrove plantation within the MNP where remoteness

prevents community contracting.

World Bank September

15, 2013

SPMU capacity needs

augmentation. Several positions

remain vacant due to staff turnover

and related issues.

SPMU will revise the salary package to be offered for

each staff/consultant position to reflect the market better.

SPMU August

31, 2013

SPMU will send a list of positions to be recruited through

the SICOM appointed HR service consultants, if needed.

SPMU August

31, 2013

The proposed HR and performance appraisal system of

SICOM will be replicated for the SPMU.

SPMU October

31, 2013

Post-review of procurements during FY12-13 has pointed out

certain systematic issues which

need to be addressed, especially at

the PEA level.

World Bank will share detailed findings of the post-

review process for procurements that took place in FY12-

13.

World Bank June 20,

2013.

Done.

SPMU will respond to the findings, and as applicable

strengthen the procurement processes at SPMU and at

PEAs.

SPMU August

31, 2013



126

Table A10.4. Additional Specific Agreements on Component 3 (Odisha State Component)








list of activities that should be considered for dropping or

reduction in scope).

SPMU June 30,

2013.

Done.




World Bank June 15,

2013.

Done.




SPMU July 15,

2013.

Done.



PEAs with

SPMU support

August

15, 2013











Almost all major procurement

($44m) is complete, except a case

of rebidding for sea vessel.


strengthened to avoid future

delays.




worth US$34m by March 2013, US$50m by June 2013,

US$51m by September 2013 and US$52m by December

2013).

SPMU and all

PEAs

Monthly –

December

31, 2013

SPMU will ensure that all procurements are completed by

December 2013, and no procurement will happen after

December 2013.

SPMU Monthly –

December

31, 2013


management (especially when large works contracts are

involved), and preparing a plan to avoid time and cost

overrun.

SPMU

(and PEAs)

September

30, 2013




SPMU August

31, 2013

In view of repeated cases of unreasonable delay in

awarding contracts after bid evaluation –SPMU should

prepare a clear communication for PEAs (referring to the

MoU between SPMU and PEAs), to be sent by the

Steering Committee.

SPMU &

SPMU SC

August

31, 2013


available. Scope of work for

preparation of shoreline

management plans has been

prepared. The plan preparation

process now needs to be

accelerated.




SPMU September

30, 2013

Procurement of specialized consultants, if planned should

be initiated.

SPMU October

31, 2013




the PEA level.



13.

World Bank June 20,

2013.

Done.



PEAs.

SPMU August

31, 2013

There had been a case of “price negotiation” and there are

associated issues involved in this case. SPMU will

respond specifically along with PEAs as to why this

should not be treated as a case of mis-procurement.

SPMU with

Wildlife

Department

(PEA)

August

31, 2013



127

Table A10.5. Additional Specific Agreements on Component 4 (West Bengal State Component)








list of activities that was agreed during the MTR

discussions to be considered for dropping or reduction in

scope).

SPMU April 30,

2013.

Done.




World Bank June 15,

2013.

Done.




SPMU July 15,

2013.

Done.



PEAs with

SPMU support

August

15, 2013











A major concern is the relative

lack of completion of procurement.

The current award is worth $28

million, while about $35m is yet to

be awarded. Potential further

procurement delays need to be

proactively avoided. It will be a

challenge to complete the

scheduled procurement by

September and December2013.



contracts for sewerage, drainage

and electricity distribution.




worth US$28m by March 2013, US$38m by June 2013,

US$53m by September 2013 and US$61m by December

2013).

SPMU and all

PEAs

Monthly –

December

31, 2013

Finalize bidding documents, agree on the sustainability

model, and initiate bidding process for the ZSI museum.

SPMU August

31, 2013

Finalize the design and soil testing arrangements for the

cyclone shelters, such that the requisite works could be

completed by July 31, 2013 (see below).

SPMU

(and PEA)

August

15, 2013

Advertise bids for the works of the 25 cyclone shelters by

September 30, 213.

SPMU September

30, 2013

SPMU will inform the World Bank if the above is

achievable, otherwise these cyclone shelters will be


SPMU August

31, 2013

SPMU would confirm that the pending cases of bid

evaluation and award for equipment for IESWM were

completed in time.

SPMU August

31, 2013

The designs, scope of work, and sustainability plans for

the Fish Auction Centre at Digha Mohana will be

finalized reflecting the need to achieve certification

standards for all aspects of handling, storage, auction and

transport of fish (and not only the auction hall) in final

agreement with the Fisheries Department and the

Fisherpersons’ Cooperative.

SPMU,

Fisheries

Department

September

30, 2013

World Bank already agreed during MTR that the

Fisheries Department (or any other suitable agency of the

State Government) can be nominated as PEA in place of

the Fisheries Development Corporation. SPMU will need

to send a communication to Bank formally attaching

details of the relevant financial management

arrangements.

SPMU,

Fisheries

Department

September

30, 2013



128


An agreement will be signed among SPMU, the PEA (the

Fisheries Department) and the Fisheries Cooperative

describing the objectives of attaining environmental

certification for the entire facility, environmental goals,

respective responsibilities and arrangements for

implementation, operation and maintenance (after these

are agreed by SICOM and the World Bank)

SPMU,

Fisheries

Department

August

15, 2013

Based on agreeable plans and agreements above (to be

reviewed and confirmed by World Bank), the bids for

works contracts should be advertised without delay.

SPMU,

Fisheries

Department

August

31, 2013

SPMU will inform the World Bank if the above is

achievable, otherwise the Fish Auction Centre will be


SPMU August

31, 2013

SPMU will reconfirm the targets for livelihood activities

in Sagar Island; and prepare (with support from the

partner NGOs) a schedule and plan for completing CBO

contracts (tripartite contracts) with all CBOs (covering at

least 15,000 households) by December 2013.

SPMU August

31, 2013

Damages to private and public assets created (even if

unavoidable) by the drainage contracts need to be

repaired and reinstated. SPMU will instruct the PEA to

this effect.

SPMU June 15,

2013.

Done.




SPMU August

31, 2013

ICZM Plan: The plan preparation

process now needs to be initiated.




SPMU September

30, 2013

Procurement of specialized consultants, if planned should

be initiated.

SPMU October

31, 2013




the PEA level.



13.

World Bank June 20,

2013.

Done.



PEAs.

SPMU August

31, 2013

SPMU capacity needs

augmentation. Several positions

remain vacant due to staff turnover

and related issues.

SPMU will revise the salary package to be offered for

each staff/consultant position to reflect the market better.

SPMU August

31, 2013

SPMU will send a list of positions to be recruited through

the SICOM appointed HR service consultants.

SPMU August

31, 2013

The proposed HR and performance appraisal system of

SICOM will be replicated for the SPMU.

SPMU October

31, 2013

Annex 11

Activity-wise Progress of reaching Beneficiaries in the Project

129

1. The project has a target to directly benefit 1.1 million people, of which 50% are women. Target for benefits

induced by knowledge activities are much higher – 7.65 million directly, and 35 million people indirectly.

2. At MTR, it was not possible to provide an estimate of recipients of benefits from knowledge activities

(primarily due to absence of an evaluation), although by inference the reach may already be substantial.

3. The following is a summary of direct beneficiaries of the project. The overall progress is 560,283 persons of

which 229,691 are women (41%). The project has already reached 51% of the targeted direct beneficiaries.

4. Note that the following estimate in table A11.1: (i) is based on progress mid-term evaluation reports

submitted by the implementing agencies and the PEAs; (ii) but the does not include where clear numbers are

not available, or where the numbers need verification in the opinion of the MTR team.

Table A11.1: Activity-wise Summary of Beneficiaries in the Project at MTR

Co

mp

on

ent

Su

b-

Co

mp

on

ent

Act

ivit

y

Sub-Activity

Direct Beneficiaries

Target Achievement

Remarks

Total Women Total Women

1 A 1 A: Levelling surveys 0 0 Data to be verified

B: Aerial Photography Data to be verified

C: Shoreline Change maps Data to be verified

D: Collation of satellite imageries Data to be verified

E: Detailed erosion mapping Data to be verified

0 0

1 A 2 A: Tidal data surveys for major

and minor ports

0 0 Data to be verified

B: Astronomical tide surveys at

intermediate minor ports

Data to be verified

C: Final analyses Data to be verified

0 0

1 A 3 A: Photogrammetry and DEM 0 0 Data to be verified B: Hazard Line Data to be verified C: Ground marking Hazard Lines Data to be verified

0 0

Sub-Component 1A – Sub-Total 0 0

1 B 1 A: Identification of ESAs 0 0 Data to be verified

B: Ground surveys/verification Data to be verified

C: Analysis, mapping 0 0 Data to be verified

1 B 2 A: Planning and management of

Dandi ESA

3,937 1969 - 41 SHGs formed with 15

members with a family size of

5.5 each. 125 locals given solar

training. 60 households

connected to water pipe. Data

includes other activities

B: Planning and management of

Vedaranyam ESA

3180 1546

C: Planning and management of

Vembanad ESA

- -

7,117 3,515

Sub-Component 1B – Sub-Total 7,117 3,515



130

Co

mp

on

ent

Su

b-

Co

mp

on

ent

Act

ivit

y

Sub-Activity


Target Achievement

Remarks


1 C 1 Mapping of coastal sediment cells

and sub-cells

435 130

435 130

Sub-Component 1C – Sub-Total 435 130

1 D 1 Establishment and Operation of

NCSCM

500 165

500 165

1

D 2 A: Research program entirely by

NCSCM

1757 553

B: Research Program of NCSCM

with Calcutta University

0 0

C: Research Program of NCSCM

with KIIT

0 0

D: Research Program of NCSCM

with Andhra University

0 0

E: Research Program of NCSCM

with MSSRF

0 0

F: Research Program of NCSCM

with Anna University

0 0

G: Research Program of NCSCM

with CESS

0 0

H: Research Program of NCSCM

with Karnataka Fisheries

University

0 0

1D2I: Research Program of

NCSCM with Goa University

0 0

J: Research Program of NCSCM

with Mumbai University

0 0

K: Research Program of NCSCM

with Gujarat Vidyapeeth

0 0

L: Research Program of NCSCM

with CEPT University

0 0

1757 553

Sub-Component 1D – Sub-Total 2257 718

1 E 1 A: National Capacity Building

Plan

19 2

19 2

Sub-Component 1E – Sub-Total 19 2

Component 1 - Total 9,828 4,365

2 A 1 ICZM Plan 0 0

0 0


2 B 1 Capacity building of Gujarat

Pollution Control Board

3 0

2 Capacity building of Gujarat

Environment and Ecology

Research Foundation

24 7

3 Capacity building of

Bhaskaracharya Institute of Space

Application and Geo-Informatics

11 3

38 10

Sub-Component 2B – Sub-Total 38 10



131

Co

mp

on

ent

Su

b-

Co

mp

on

ent

Act

ivit

y

Sub-Activity


Target Achievement

Remarks


2 C 1 A: Marine Oceanarium at

Dwarka, by the Forest and

Environment Department

0 0

B: Mangrove plantation by

Gujarat Ecology Commission

1220

604

C: Mangrove and shelterbelt

plantation by Kachchh Circle

D: Mangrove and shelterbelt

plantation by Marine National

Park & Sanctuary (MNPS)

E: Coral reef generation by the

Forest and Environment

Department


1220 604

2 C 2 A: Preparation and

implementation of oil spill

management plan for the Gulf of

Kachchh – Gujarat Maritime

Board

0 0

B: Environmental sanitation of

Jamnagar city, by the Jamnagar

Municipal Corporation

291,119 145,560 - Assuming 55% of population

benefitted based on the physical

progress on ground

291,119 145,560

2 C 3 A: Eco-tourism and related

livelihood improvement activities

by the Marine National Park

0 0

B: Livelihood improvement

activities by the Gujarat Ecology

Commission

23,952 11,976 - 283 SHGs formed each with 15

members and with a household

size of 5.5 each. Data includes

community mobilisers, staff

23,952 11,976

Sub-Component 2C – Sub-Total 316,291 158,140

Component 2 - Total 316,329 158,150

3 A 1 A: ICZM Plan 2,502,272

(revised:

3,150,338)

1,250,654

(revised:

1,574,687)

0 0 3.

25,02,272 1,250,654 0 0

Sub-Component 3A – Sub-Total 25,02,272 1,250,654 0 0

3 B 1 Capacity building for Odisha

State Pollution Control Board

(OSPCB)

260

(revised:

159)

148

(revised:

23)

19

8 - 12 staff employed out of 50

assuming out of which 30% are

women. 7 out of 37 short term

engagement generated by

construction of green building

out of which 2 are women

260 148 19 8

2 Capacity building of Chilika

Development Authority (CDA)

1,039

(revised:

20,016)

113

(revised:

10,004)

10,012 5003 - 12 (planned 16) research

persons trained out of which

25% (3) are women. Assuming

50% of 20,000 (population of

fisher folk in Chilika are

benefitted through increased

better conservation and



132

Co

mp

on

ent

Su

b-

Co

mp

on

ent

Act

ivit

y

Sub-Activity


Target Achievement

Remarks


management of resources. Out

of which 50% are women.

1,039 113 10,012 5003

3 Regional Coastal Process Studies

(Activity)

187

(revised:

45)

71

(revised:

14)

45 14

187 71 45 14

Sub-Component 3B – Sub-Total 100,076 5025

3 C

1 A: Protection of Olive Ridley

Turtles & other Aquatic Wildlife

by Chilika Development

Authority

257 79

B: Conservation of archaeological

and cultural heritage

6,000 2000

C: Shoreline protection at Pentha

village by the Water Resources

Department

25

0

D: Mangrove plantation by Forest

and Environment Department

662 320

E: Mangrove plantation by

Community Groups


6,944 2,399

3 C 2 Environmental sanitation of

coastal town of Paradip by

Paradip Municipal Corporation

30

5

30 5

3

C 3 A: Provision of cyclone shelters

by Disaster Management

Authority

10357 4900 - Capacity building of local

community and short term

laborers employed for

construction

B: Support to fishing

communities in developing small-

scale industrial and marketing

activities by the EP&M, Office of

the Director of Industries

2,555 1,278 - 30 SHG’s formed and with 15


5.5 each. Data includes

community mobilisers and

trainers

C: Livelihood improvement

support by the Fisheries

Department

69,600 34,800 - 637 SHG’s formed with 15


5.5 each. Data includes

community mobilisers and short

term laborers

D: Biodiversity and sensitive

habitat based livelihood

improvement by Forest

Department

12 3

E: Support to fisher people

groups in developing small-scale

tourism activities by the Tourism

Department


82,524 40,981


Component 3 –-Total 189,574 46,006



133

Co

mp

on

ent

Su

b-

Co

mp

on

ent

Act

ivit

y

Sub-Activity


Target Achievement

Remarks


4 A 1 ICZM Plan 0 0

0 0


4 B 1 Capacity Building of Bio-

Chemistry Department, Kolkata

University

20 7

20 7

2 Capacity Building for IESWM 10 1

10 1

Sub-Component 4B – Sub-Total 30 8

4 C 1 A: Mangrove plantation by Forest

Department

5082 2237 - 924 members in 7 SHGs. 8% of

the SHG members are women

B: Rehabilitation of Marine

Aquarium at Digha by the ZSI

150 26 - 4 trainings organized

5232 2263

4 C 2 A: Sewerage system and

environmental sanitation of

Digha by the PHED

20 0

B: Cleaning and improvement of

Digha beach

15 4

C: Solid Waste Management

System at Digha

20 2

D: Drainage System at Digha 658 256 - Assuming the percentage

benefit of 13% of the population

(based on the progress of work

on the ground)

E: Fish auction center at Digha

by the Fisheries Development

Corporation

0 0

F: Distribution of grid electricity

in Sagar Island by the SEDCL

16,670 8285

17,383 8,547

4 C 3 CBO coordinated livelihood

improvement and market access

for Sagar Island

21,872 10,354 - 3968 SHG members with a

family size of 5.5 each

- Out of 294 SHGs, 251 are

women SHGs and assuming

with a female representation of

2.75 in the family

- Data includes community

mobilizers

Sundarban Affairs Department-

Environmental Improvement of

Sagar

0 0

Sundarban Affairs Department-

Other Ecotourism Activity at

Sagar Island

15 3

Construction of multipurpose

cyclone shelter by DMD

20 5

21,907 10,362


Component 4 – Total 44,552 21,180

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