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Technical Assistance Report
Project Number: 51073-001 Transaction Technical Assistance (TRTA) October 2018
India: Preparing the Delhi–Meerut Regional Rapid
Transit System Project This document is being disclosed to the public in accordance with ADB’s Public Communications Policy 2011.
CURRENCY EQUIVALENTS (as of 4 October 2018)
Currency unit – Indian rupees (₹)
₹1.00 = $0.013522 $1.00 = ₹73.95150
ABBREVIATIONS ADB – Asian Development Bank NCR – National Capital Region km – kilometer TA – technical assistance
NOTES
(i) The fiscal year (FY) of the Government of India and its agencies ends on 31 March.
“FY” before a calendar year denotes the year in which the fiscal year ends, e.g., FY2018 ends on 31 March 2018.
(i) In this report, "$" refers to United States dollars.
Vice-President Wencai Zhang, Operations 1 Director General Hun Kim, South Asia Department (SARD) Director Ravi Peri, Transport and Communications Division, SARD Team leader Sharad Saxena, Principal Transport Specialist, SARD Team members Arun Bajaj, Senior Project Officer (Transport), SARD
Keerthi Kumar Challa, Associate Project Analyst, SARD Marie Kristine Estrella, Project Analyst, SARD Prabhjot Khan, Social Development Officer (Gender), SARD Laureen Laurito, Senior Social Development Officer, SARD
Steven Lewis-Workman, Senior Transport Specialist, Sustainable Development and Climate Change Department (SDCC) Cheska Llamas, Operations Assistant, SARD
Satomi Sakaguchi, Transport Specialist, SARD Yukiko Sakurai, Senior Financial Management Specialist, SARD Young Seo, Senior Counsel, Office of the General Counsel Francesco Tornieri, Principal Social Development Specialist (Gender and Development), SARD
Karma Yangzom, Senior Environment Specialist, SARD Nanyan Zhou, Young Professional, SARDa
Peer reviewer Ruediger Zander, Senior Railway Specialist, SDCC a Transferred to SDCC on 1 October 2018.
In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.
CONTENTS
Page
TRANSACTION TECHNICAL ASSISTANCE AT A GLANCE
TECHNICAL ASSISTANCE FOR PROJECT PREPARATION 1
I. THE ENSUING PROJECT 1
II. THE TECHNICAL ASSISTANCE 1
A. Justification 1 B. Outputs and Activities 1 C. Cost and Financing 2 D. Implementation Arrangements 3 APPENDIXES 1. Cost Estimates and Financing Plan 5 2. Terms of Reference for Consulting Services 6
3. Terms of Reference for Environment and Social Safeguards Experts 14
4. Procurement Plan 24
Project Classification Information Status: Complete
TRANSACTION TECHNICAL ASSISTANCE AT A GLANCE
Source: Asian Development BankThis document must only be generated in eOps. 18102018102929737760 Generated Date: 18-Oct-2018 11:56:44 AM
1. Basic Data Project Number: 51073-001Project Name Preparing the Delhi-Meerut Regional
Rapid Transit System ProjectDepartment/Division SARD/SATC
Nature of Activity Project Preparation Executing Agency Ministry of Housing and Urban Affairs
Modality Regular
Country India
2. Sector Subsector(s) ADB Financing ($ million)Transport Transport policies and institutional development 2.00
Total 2.00qq
3. Strategic Agenda Subcomponents Climate Change Information Inclusive economic growth (IEG)
Pillar 1: Economic opportunities, including jobs, created and expanded
Environmentally sustainable growth (ESG)
Urban environmental improvement
Climate Change impact on the Project Low
4. Drivers of Change Components Gender Equity and MainstreamingGovernance and capacity development(GCD)
Institutional development Some gender elements (SGE)
5. Poverty and SDG Targeting Location ImpactGeographic TargetingHousehold TargetingSDG Targeting
NoNoYes
Urban High
SDG Goals SDG9, SDG11Qq
6. Risk Categorization Complex Qq
7. Safeguard Categorization Safeguard Policy Statement does not applyqq
8. Financing
Modality and Sources Amount ($ million)
ADB 2.00 Transaction technical assistance: Technical Assistance Special Fund 2.00
Cofinancing 0.00 None 0.00
Counterpart 0.25 Government 0.25
Total 2.25
Currency of ADB Financing: USD
q
TECHNICAL ASSISTANCE FOR PROJECT PREPARATION
I. THE ENSUING PROJECT 1. The Government of India requested the assistance of the Asian Development Bank (ADB) to support the development of its regional rapid transit system network, particularly in the National Capital Region (NCR). The project aims to improve the efficiency and adequacy of the transport system in the region by addressing poor rail connectivity and lack of alternative transport modes. The project is designed to ease traffic congestion and promote socio-economic development to support the NCR’s growing urban population. The project is included in ADB’s country operations business plan 2019–2021.1 2. The project will finance a rail-based rapid transit system with a design speed of 180 km per hour (km/h) and an average speed of 100 km/h. It will be a double-line standard gauge, rapid railway system, built on elevated viaducts and going underground in heavily populated areas. It will connect Modipuram in Meerut to Sarai Kale Khan in Delhi. The viaduct will be built along the central median of the national highway connecting Delhi to Meerut, wherever feasible. The route length of the corridor is 82 km, with 68 km elevated and 14 km underground track. Once operational, it will be the fastest, most comfortable and safest mode of commuter transport in the NCR. Such seamless connectivity will reduce pollution and congestion in the NCR, thus driving balanced and sustainable urban development in the region. The ADB financing will be used to develop the Delhi–Meerut RRTS corridor. It will include civil works, alignment, formation, station buildings, multimodal hubs, depot and workshop, permanent way, traction and power supply, signaling and telecom and automatic fare collection system.2 The corridor will be developed in five overlapping stages: (i) construction of viaducts including stations for elevated sections; (ii) design and construction of tunnels for the underground sections; (iii) trackwork installation and traction overhead electrification; (iv) signaling and telecom works; and (v) electrical and mechanical works and architectural finishing work of stations. These stages will be funded by various ADB tranches, hence the MFF will follow a time-sliced–component approach.
II. THE TECHNICAL ASSISTANCE A. Justification 3. The transaction technical assistance (TA) will help the government prepare and design the MFF and develop the capacity of the executing and implementing agencies to implement the ensuing project. The implementing agency has been recently formed to deliver the regional rapid transit corridors. The Delhi–Meerut corridor will be their first project. They are also inexperienced regarding ADB procurement processes. Procurement training will be provided to the implementing agency to enhance capacity through the TRTA. B. Outputs and Activities 4. The major outputs and activities are summarized in Table A3.1.
1 ADB. 2018. Country Operations Business Plan: India, 2019–2021. Manila. Formerly Preparing Transport Sector
Projects I. 2 ADB financing will not include rolling stock.
2
Table A3.1: Summary of Major Outputs and Activities
Major Outputs Delivery Dates Key Activities with Milestones 1. Detailed project reports validated
December 2018 1.1. Assess the proposed design and scope, including alignment and use of ballast-less tracks, by December 2018 1.2. Conduct due diligence on the detailed project reports including design, engineering, and cost estimates by December 2018 1.3. Confirm initial environmental and social safeguards assessments by November 2018
2. Detailed scope, design, and arrangements for implementing the ensuing project finalized
August 2023 2.1 Assess the institutional and financial management capacity of the executing and implementing agencies by February 2019 2.2. Provide the economic and financial analyses by March 2019 2.3. Assist the implementing agency to comply with ADB and government policies on environment, social, and gender in a timely manner, including preparation of required documents by August 2023 2.4. Suggest contract packaging and procurement planning by March 2019 2.5. Assist the executing or implementing agency in preparing the procurement documents for the ensuing project by April 2019 2.6. Advise the executing or implementing agency regarding procurement and consultant recruitment for the tranches, as needed, by August 2023
3. Capacity of the executing and implementing agencies to successfully implement the project improved
August 2026 3.1. Analyze staff needs and develop a capacity development plan (including system requirements and adeptness with ADB policies and procedures on procurement, financial management, safeguards and others) by March 2020 3.2. Conduct identified training or capacity development activities by August 2026 3.3. Procure equipment or software, as required, by August 2025
4. Possible support to the NCR transport sector determined
April 2019 4.1. Provide an assessment of the transport sector and agreed project components by April 2019 4.2. Assess the feasibility of adopting a land value capture policy as a way for the region to sustain development efforts
Source: Asian Development Bank.
C. Cost and Financing 5. The TA is estimated to cost $2,250,000, of which $2,000,000 will be financed on a grant basis by ADB’s Technical Assistance Special Fund (TASF-other sources). The key expenditure items are listed in Appendix 1. The government will provide counterpart support in the form of
3
counterpart staff, office accommodation, office supplies, communication facilities, recruitment of environmental and social safeguards experts, and other in-kind contributions. The government has recruited environmental and social safeguards experts to prepare the various reports and documents according to ADB and government requirements.3 The government was informed that approval of the TA does not commit ADB to finance any ensuing project. D. Implementation Arrangements 6. ADB will administer the TA and be responsible for the selection, supervision, and evaluation of consultants. The consultants will be attached to the implementing agency and will work with the implementing agency to prepare the ensuing project. 7. The implementation arrangements are summarized in Table A3.2.
Table A3.2: Indicative Implementation Arrangements Aspects Arrangements Indicative implementation period November 2018–August 2026 Executing agency Ministry of Housing and Urban Affairs Implementing agency National Capital Region Transport Corporation Consultants To be selected and engaged by ADB
International firm: Quality- and cost-based selection (90:10)a
Railway operations; railway engineering
$1,439,720
Individual: Individual selection
13 international person-months and 25 national person-months
$363,648
Procurementb To be procured by consultants Request for quotations 5 contracts $37,000
Advance contracting To expedite the conduct of the TA, consultant selection will commence through advance contracting following PAI 2.04.
Disbursement The TA resources will be disbursed following ADB's Technical Assistance Disbursement Handbook (2010, as amended from time to time).
Asset turnover or disposal arrangement upon TA completion
All assets and equipment procured under the TA will be handed over to the executing agency after completion of TA activities.
ADB = Asian Development Bank; PAI = project administration instruction; TA = technical assistance. a Due to the specializations required. b Procurement Plan is in Appendix 4. Source: Asian Development Bank.
8. Consulting services. International consulting firms and individual consultants will be engaged to undertake this TA. As may be assessed during implementation, additional experts or firm may be recruited. As estimated, this TA will require inputs of 50 international and 65 national person-months, as summarized in Table A3.3. The transport economists are being recruited under a separate ADB TA. The government has recruited environmental and social safeguards experts to prepare the various reports and documents according to ADB and government requirements—ADB staff will validate their outputs. When needed, staff may be assisted by safeguards experts who may be recruited under another ADB TA or staff consulting budget. ADB
3 Terms of reference for environmental and social safeguards experts are in Appendix 3.
4
will engage the consultants following the ADB Procurement Policy (2017, as amended from time to time) and its associated project administration instructions and/or staff instructions. The Terms of Reference for Consulting Services are in Appendix 2.
Table A3.3: Summary of Consulting Services Requirement
Positions Person-months required
International National Consulting Firm Railway operations 25 30 Railway engineering 12 10 Individual Logistics expert 3 5 Transport economista 2 3 Procurement expert 4 6 Financial analysis and management expert 2 3 Public financial management expert 0 2 Environmental safeguards expertb 0 0 Climate change expert 0 2 Resettlement, social and gender expertb 0 0 Communications expert 2 4
Total 50 65 a Being recruited under TA9420-REG: Implementation of Sustainable Transport for All, administered by the ADB Sustainable Development and Climate Change Department.
b To be financed by the government. Further support may be provided by safeguards experts to be engaged under another ADB TA or staff consulting budget.
Source: Asian Development Bank.
9. ADB’s procurement. Procurement will follow the ADB Procurement Policy (2017, as amended from time to time) and the Procurement Regulations for ADB Borrowers (2017, as amended from time to time).
Appendix 1 5
COST ESTIMATES AND FINANCING PLAN ($'000)
Item Amount A. Asian Development Banka
1. Consultants a. Remuneration and per diem
i. International consultants 943.2 ii. National consultants 655.5
b. Out-of-pocket expenditures i. International and local travel 93.3 ii. Goods (rental and/or purchase) 25.0 iii. Surveys 25.0 iv. Training, seminars, and conferences 14.5 v. Reports and communications 26.9 vi. Miscellaneous administration and support costsb 20.0
2. Goods (rental or purchase) 12.0 3. Miscellaneous administration and support costsc 2.0 4. Contingencies 182.6
Total 2,000.0 Notes: 1. Numbers may not sum precisely due to rounding. 2. The technical assistance (TA) is estimated to cost $2,250,000, of which contributions from the Asian Development
Bank are presented in the table above. The government will provide counterpart support in the form of counterpart staff, office accommodation, office supplies, communication facilities, other in-kind contributions, and recruitment of safeguards experts. The value of government contribution is estimated to account for 12.5% of the total TA cost.
a Financed by the Asian Development Bank’s Technical Assistance Special Fund (TASF-other sources). b Goods (equipment) to be purchased under the TA include: computers, printer/scanner, wireless router and modem,
drones, and software. All purchased goods (equipment) will be turned over to the executing agency upon completion of the TA project.
c Miscellaneous administration and support costs include general operating costs, office supplies, translation and interpretation costs, as well as secretarial support.
Source: Asian Development Bank estimates.
6 Appendix 2
TERMS OF REFERENCE FOR CONSULTING SERVICES
TA51073-001-IND: Preparing the Delhi–Meerut Regional Rapid Transit System Project
A. Background
1. The Government of India requested the assistance of the Asian Development Bank (ADB) to support the development of its regional rapid transit system network, particularly in the National Capital Region (NCR). The project aims to improve the efficiency and adequacy of the transport system in the region by addressing poor rail connectivity and lack of alternative transport modes. The project is designed to ease traffic congestion and promote socio-economic development to support the NCR’s growing urban population. The project is included in ADB’s country operations business plan 2019–2021. 2. The project will finance rail track, signaling, electrical and mechanical works, station buildings and maintenance facilities for an 82-km long rail corridor. The project will also cover capacity and institutional development for setting up an operation and maintenance organization. These outputs will result in the following outcome: efficiency, safety and environmental sustainability of transport in the Delhi–Meerut corridor improved. The project will be aligned with the following impact: urban mobility in the NCR improved. B. The Transaction Technical Assistance
3. The main objective of the transaction technical assistance (TA) is to help the government prepare and design the MFF and to develop the capacity of the executing and implementing agencies to implement the ensuing project. 4. The major outputs of the TA are: (i) detailed project reports validated; (ii) detailed scope, design, and arrangements for implementing the ensuing project finalized; (iii) capacity of the executing and implementing agencies to successfully implement the project improved; and (iv) possible support to the NCR transport sector determined. 5. International consulting firms and individual consultants will be engaged under the TA. The firms will be recruited by open competitive bidding (international advertising), using quality-and-cost-based selection with a quality:cost ratio of 90:10. The shortlisted firms will be required to submit simplified technical proposals. ADB will engage the consultants following the ADB Procurement Policy (2017, as amended from time to time) and its associated project administration instructions and/or staff instructions. C. Major Tasks
6. The major activities to deliver the TA outputs are indicated in Table 1.
Appendix 2 7
Table 1: Summary of Major Outputs and Activities Major Outputs Key Activities with Milestones 1. Detailed project reports validated
1.1. Assess the proposed design and scope, including alignment and use of ballast-less tracks, by December 2018 1.2. Conduct due diligence on the detailed project reports including design, engineering, and cost estimates by December 2018 1.3. Confirm initial environmental and social safeguards assessments by November 2018
2. Detailed scope, design, and arrangements for implementing the ensuing project finalized
2.1. Assess the institutional and financial management capacity of the executing and implementing agencies by February 2019 2.2. Provide the economic and financial analyses by March 2019 2.3. Assist the implementing agency to comply with ADB and government policies on environment, social, and gender in a timely manner, including preparation of required documents by August 2023 2.4. Suggest contract packaging and procurement planning by March 2019 2.5. Assist the executing or implementing agency in preparing the procurement documents for the ensuing project by April 2019 2.6. Advise the executing or implementing agency regarding procurement and consultant recruitment for the tranches, as needed, by August 2023
3. Capacity of the executing and implementing agencies to successfully implement the project improved
3.1. Analyze staff needs and develop a capacity development plan (including system requirements and adeptness with ADB policies and procedures on procurement, financial management, safeguards and others) by March 2020 3.2. Conduct identified training or capacity development activities by August 2026 3.3. Procure equipment or software, as required, by August 2025
4. Possible support to the NCR transport sector determined
4.1. Provide an assessment of the transport sector and agreed project components by April 2019 4.2. Assess the feasibility of adopting a land value capture policy as a way for the region to sustain development efforts
Source: Asian Development Bank.
D. Staffing Requirements, Responsibilities, and Qualifications
7. ADB requires a minimum of 37 key international person-months and 40 national person-months under the consulting firms as indicated in Table 2. The shortlisted firms may propose additional experts according to their proposed approach and methodology.
8 Appendix 2
Table 2: Staffing Requirements, Responsibilities and Qualifications Expert (Input in person-month)
TA Output
Responsibility Qualification Requirement
International Firm Railway operations and maintenance (25 international, 30 national)
1, 3, 4 -Review and validate the designs of infrastructure and all available plans from an operations and maintenance perspective -Analyze rolling stock parameters, locations and accessibility of system components -Review energy cost of rolling stock and other components, and develop a plan to optimize energy use and maintenance costs -Assess all information available and develop other plans needed for efficient operation and maintenance -Examine last mile connectivity and examine value from experienced operators to provide the end-users perspective -Explore the option of handing over operations and maintenance to the private sector in future -Assess the capacity of the implementing agency to operationalize the project, draw up and implement a capacity development plan -Apply international best practices on operation and maintenance recommendations when feasible -Provide an assessment of the transport sector and agreed project components
The firm should have extensive involvement as shadow operator in international railway operations, in different aspects of operations and maintenance Railway operations engineer/Team Leader (international) -Civil engineer, with at least 15 years’ experience in railway operations -Involved in international railway projects Railway operations engineer (national) -Civil engineer, with at least 15 years’ experience in railway operations -Experience in international railway projects preferred Chief operations and maintenance expert (international) -Bachelor degree in operations or maintenance engineering or other related fields -With more than 20 years of relevant work experience including international projects Operations and maintenance expert (national) -Bachelor degree in operations or maintenance engineering or other related fields -With more than 10 years of relevant work experience
Railway engineering (12 international, 10 national)
2, 3 -Review and provide recommendations regarding the proposed design specifications for the use of ballast-less tracks for speeds of 180 km/h -Recommend the most suitable track structures for elevated and underground sections, depots, sidings, inspection bay lines and other sections -Review track alignment
Experience in similar railway projects in ADB developing member countries highly preferred The international firm and its experts should have extensive relevant work in providing detailed design consultancy services covering ballast-less railway tracks which have been constructed and operating well for more than 5 years.
Appendix 2 9
Expert (Input in person-month)
TA Output
Responsibility Qualification Requirement
-Review the structure of elevated viaducts in terms of rail structure and wheel interactions -Provide technical and managerial inputs—incorporating international best practices to the extent possible—to the planning, design and implementation arrangements for the ensuing project -Support capacity building, competency mapping, and develop training modules or programs for railway staff.
Railway engineer/Team leader (international) -Graduate in civil or railway engineering -With a master’s degree in structural or railway engineering -At least 20 years’ experience in the railway sector, including similar projects in ADB member countries Track design and/or track installation experts (international) -Graduate in civil or railway engineering -With a master’s degree in structural or railway engineering preferred -At least 15 years’ experience in the railway sector, including similar projects in ADB member countries Track installation and/or alignment experts (national) -Graduate in civil or railway engineering -At least 10 years’ experience in the railway sector, including similar projects in ADB member countries
Individual Logistics expert (3 international, 5 national)
2, 4 -Develop a plan for the cost effective and efficient use of (i) the track during lean periods for moving perishable goods; (ii) the space of the operation and maintenance depots for logistics operations, and (iii) the stabling yard in Delhi. This line has 2 depots, Dohai and Modipuram. -Analyze the value chain of identified commodities and determining viability of its transport through the rapid rail line -Assess the regulatory and statutory requirements to implement the plan -Identify the possible scope of logistics services and standard, and required infrastructure, equipment or rolling stock
International -A bachelor’s degree in supply chain management or other related fields -At least 10 years’ work experience in logistics management or coordination. -With relevant international experience in at least 5 similar projects. National -A bachelor’s degree in supply chain management or other related fields -At least 10 years’ work experience in logistics management or coordination
10 Appendix 2
Expert (Input in person-month)
TA Output
Responsibility Qualification Requirement
-Suggest a suitable business model and operating framework to implement the plan
Procurement expert (4 international, 6 national)
2 -Assess executing and implementing agencies’ capacity in carrying out procurement as per ADB’s procurement guidelines, incorporating elements of public–private partnership as required -Assist the executing and implementing agencies in advance procurement, which includes the preparation of procurement plan, procurement packaging, procurement documents, technical schedules, evaluation reports, etc., to attain a high level of readiness to bid -Deliver training and/or workshops on procurement to the executing and implementing agencies -If required, review the e-procurement system being followed in the state
International -A graduate in civil engineering -At least 12 years’ experience in procurement for infrastructure projects -With experience in international bidding and procurement for similar projects -Familiar with ADB procurement requirements National -A graduate in civil engineering -At least 12 years’ experience in procurement for infrastructure projects -With experience in international bidding and procurement for similar projects -Familiar with ADB procurement requirements
Financial analysis and management expert (2 international, 3 national)
2 -Undertake a governance (financial management, institutional) appraisal of the executing and implementing agencies and a fiscal assessment of the NCR using available data, and following ADB’s requirements -Conduct a financial management assessment of the executing and implementing agencies -Prepare cost estimates and a financing plan for project implementation -Prepare financial projections and conduct financial analysis to determine sustainability -Based on the assessment, recommend measures to strengthen specific areas
International -A chartered accountant (or holds an equivalent professional certificate) -At least 15 years’ international experience in financial management, audit, accounts, and financial due diligence for public sector institutions. -Familiar with ADB requirements on financial analysis and management National -A chartered accountant (or holds an equivalent professional certificate) -At least 15 years’ experience in financial management, audit, accounts, and financial due diligence for public sector institutions
Public financial management expert
4 -Determine the land and property rights legislations that apply in the project area and region-Assess the local land and property markets
-A graduate in public finance and management, economics or related fields
Appendix 2 11
Expert (Input in person-month)
TA Output
Responsibility Qualification Requirement
(2 national)
-Determine the appropriate land value capture tools -Assess the administrative capacity of the government agencies in charge of implementing the policy -Recommending a legal and policy framework to apply land value capture.
-A post-graduate degree or professional certification in the same field preferred -At least 15 years’ experience in public finance, including involvement on assessments on the viability of using land value capture tools and crafting the requisite policy framework to implement it in India -Practical knowledge of international best practice will be beneficial
Climate change expert (2 national)
2 -Conduct a climate risk screening and identify key climate risks for the project -Based on ongoing practices in India and the region and in discussion with the design engineers, recommend adaptation measures to be included in the project design to mitigate the identified risks -In consultation with the design engineers, estimate the incremental costs for adaptation measures included in the project -Prepare the climate change assessment report as required by ADB
-A master’s degree or equivalent in environmental engineering, meteorology and related fields -At least 8 years’ experience in designing and monitoring climate adaptation for infrastructure projects.
Communications expert (2 international, 4 national)
-Conduct audience mapping for the project -Develop an internal and external communications plan considering ADB external relations approach and government requirements -Prepare press releases and other information dissemination materials -Handle public relations and media events -Engage stakeholders and interest groups, when appropriate.
International -A graduate of public relations or other related fields -At least 10 years’ experience in crafting and implementing communications plans of international organizations or large-scale investment projects in India -Familiar with ADB external relations policy National -A graduate of public relations or other related fields -At least 10 years’ experience in crafting and implementing communications plans of large-scale investment projects in India -Knowledge of ADB external relations policy an advantage
12 Appendix 2
Expert (Input in person-month)
TA Output
Responsibility Qualification Requirement
Transport economist a (2 international, 3 national)
2 -Undertake economic and financial viability analysis of the proposed project. -Conduct the assessment in line with ADB’s Guidelines for the Economic Analysis of Projects (2017) by (i) constructing a traffic forecast with and without the project, (ii) reviewing macroeconomic and sector contexts, (iii) conducting demand analysis, (iv) identifying the project rationale and alternatives, (v) identifying and comparing project costs and benefits (including additional environmental and climate mitigation and adaptation benefits), (vi) assessing project sustainability, (vii) conducting sensitivity, risk, alternative and least cost analyses, and (viii) identifying indicators for project performance monitoring.
International -A civil engineer or economist with post-graduate qualifications in transportation or transportation economics -At least 15 years’ experience in the transport sector -With extensive relevant international experience in at least 5 projects National -A civil engineer or economist with post-graduate qualifications in transportation or transportation economics -At least 15 years’ experience in the transport sector
Environmental safeguards expert b
1, 2 -Assess the environmental impacts of the project and propose mitigation measures in compliance with Asian Development Bank’s (ADB) Safeguard Policy Statement (2009), and government guidelines, regulations, and policies -Based on the significance of the impacts, prepare environmental impact assessments (EIA for environment category A project) or initial environmental examination (IEE for environment category B project), including environmental management plans, as applicable, for the Delhi–Ghaziabad–Meerut RRTS corridor.
-A graduate in environmental engineering/ science/ management or related fields -With at least 8 years’ experience of having undertaken environmental assessment for infrastructure projects, and conversant with ADB’s requirements under Safeguards Policy Statement (2009), and related government policies, regulations and guidelines
Resettlement, social and gender expert b
1, 2 -Assess the site and prepare social safeguard planning documents, which may include resettlement framework, resettlement plan, land acquisition due diligence report, and indigenous peoples plan as required with 100% census of project-affected people -Identify and include gender-inclusive design features that would
-A graduate in sociology, or other related fields -With at least 8 years’ experience in dealing with rehabilitation and resettlement matters, working with social groups and communities, and livelihood aspects; and in working with gender, HIV/AIDS, trafficking, affordability, and labor issues
Appendix 2 13
Expert (Input in person-month)
TA Output
Responsibility Qualification Requirement
maximize gender benefits for the project, such as employment or livelihood opportunities, ways to enhance women’s mobility and access to social services and economic opportunities beyond road connection (e.g. affordable public transport services, women's safety and security) -Tasks will include (i) gathering baseline information, (ii) establishing the likely types of economic and social impacts on people, private land, traditional and customary rights, and others, and (iii) assessing the capacity of the executing and implementing agencies to implement, monitor and evaluate the required plans
-Familiar with ADB’s requirements under Safeguards Policy Statement (2009) and with ADB’s Poverty and Social Analysis Handbook for infrastructure projects, as well as government policies, regulations, and guidelines
a 1Being recruited under TA9420-REG: Implementation of Sustainable Transport for All, administered by the ADB Sustainable Development and Climate Change Department.
b 1To be financed by the government. ADB staff will validate their outputs—further support may be provided by safeguards experts to be engaged under another ADB TA or staff consulting budget.
Source: Asian Development Bank and National Capital Region Transport Corporation.
E. Deliverables
8. The reports, in the English language, will be submitted by the international consulting firms to the implementing agency and ADB in hard and soft copy.
Table 3: Report Requirements Description Submission Deadline Inception report November 2018 Report on validation of detailed project reports December 2018 Proposed scope and project design of ensuing project
March 2019
Capacity development plan March 2019 Draft logistics plan February 2019 Draft final report June 2019 Final report September 2019
Source: Asian Development Bank.
F. Counterpart Services and Facilities
9. The implementing agency will provide counterpart support in the form of counterpart staff, office accommodation, office supplies, communication facilities, other in-kind contributions, and recruitment of safeguards experts. They will also provide access to all the necessary data, reports, and other information required to perform the assigned tasks
14 Appendix 3
TERMS OF REFERENCE FOR ENVIRONMENT AND SOCIAL SAFEGUARDS EXPERTS
A. Environmental Safeguards Assessment 1. Scope of work. The environmental impact assessment (EIA) consultant will assess environmental impacts and propose mitigation measures in compliance with Asian Development Bank’s (ADB) Safeguard Policy Statement (2009), and government guidelines, regulations, and policies. The consultant will prepare EIA for environment category A projects or initial environmental examination (IEE) for environment category B projects, including environmental management plans, as applicable, for the Delhi–Ghaziabad–Meerut RRTS corridor. The consultant shall broadly perform the following activities. 2. In accordance with the government’s environmental policy and ADB’s Safeguard Policy Statement 2009, the consultant will review and confirm the environmental classification of the project and will confirm sections through protected areas such as national park (NP), wildlife sanctuary (WS), other sanctuary (S), and reserve forest (RF), if any. From the review, the consultant will complete the rapid environmental assessment (REA) checklist and prepare a brief project description including information on length of sections passing through NP, WS, S, or RF areas if any. If the project is classified A, the consultant will draft terms of reference for the EIA study, to be submitted to the ministry/agency concerned for approval, so required under the existing rules and regulations. After the approval of the TOR for the EIA study, the consultant will carry out the EIA study and prepare an EIA report. The IEE/EIA will be in accordance with the requirements of the government and as well as ADB’s Safeguards Policy Statement (SPS) 2009. 3. The environmental study should clearly identify and describe the area of impact, provide an assessment of potential impacts and mitigation measures and involve public consultations with affected people and other relevant stakeholders. It should include a comprehensive and practical environmental management plan (EMP) and clear institutional arrangements for the implementation and monitoring of the EMP. The EIA/IEE report including EMPs must be prepared and revised to incorporate feedback from all relevant stakeholders including the NCRTC, ADB, and affected persons. Prior to finalization, draft reports should be submitted to the NCRTC and ADB for review. 4. In preparing the IEE/EIA the following issues must be investigated:
a. Potential impacts on biodiversity including modified, natural, critical habitat and protected areas and necessary measures to minimize, mitigate and offset impacts;
b. Potential waste issues including hazardous materials and wastes and appropriate measures for their disposal, treatment and other forms of management;
c. Potential impacts of climate change and necessary adaptation steps to accommodate climate change impacts into the project design;
d. Greenhouse gas emissions and emissions savings with and without the project for project construction and operation stages;
e. Occupational Health Safety issues and measures for the construction workers as well as the local communities in and around the project site;
f. Potential impacts on physical and cultural resources and measures to avoid, minimize, or mitigate impacts; and
g. Grievance Redressal Mechanism to address concerns and grievances of the affected people in the course of the project cycle.
5. If the project is classified B, the consultant will undertake an IEE, study and prepare an IEE report, including an environment management plan (EMP). For category A projects, in
Appendix 3 15
addition to the requirements mentioned above, special emphasis must be given to induced/ cumulative impacts of the projects, various alternatives of the project and impacts associated with each alternative. A minimum of two public consultations must be carried out during the early stages of the project and after preparation of the first draft of the EIA. The findings of the EIA must be shared in a form or nature that is accessible and understandable by the affected persons or necessary recommendations and guidelines made for sharing such kind of information at a later stage. 6. If information is not clear on any potentially environmentally sensitive issue, further detailed studies will be necessary. For example, if a category B project involves a potential sensitive issue such as wildlife habitat fragmentation or air pollution, further studies must be carried out to confirm whether the project needs to be upgraded to category A or not. Similarly, if a project previously categorized A is later downgraded to category B, necessary information must be provided to justify the case. 7. Public consultation. Meaningful public consultation is an integral part of the assignment where all members of society (elderly, women, indigenous people, if any, etc.) will be encouraged to participate. Consultation will be carried out without any coercion. The consultant will document processes and outcomes, views of the people, issues raised and how they will or will not be addressed by the project. Proper records on the number of people consulted with breakdown of men and women will be maintained. Consultation sessions will be carried out with different stakeholder groups at the local, regional and district levels to incorporate the various environmental concerns and needs of the community in the project preparation and implementation. 8. Baseline. The consultant will assess baseline conditions to define characteristics of the existing natural environment including physical, biological and socio-economic environment. This baseline will form the benchmark against which project impact comparisons will be made. Data should be relevant to decisions about project location, design, operation, or mitigation and enhancement measures. The baseline environmental conditions will be based on primary and secondary data sources and cover both wet and dry seasons. The surveys will cover information on:
a. Physical environment: geology; topography, soils; climate and meteorology; ambient air quality; noise quality; surface and ground-water hydrology; existing sources of air emissions; existing receiving water quality, etc.
b. Biological environment: flora; fauna; rare or endangered species; sensitive habitats, including reserved forests, wildlife reserves and sanctuaries etc.
c. Socio-cultural environment: population; land use; planned development activities; community structure; employment; distribution of income, goods and services; recreation; public health; cultural properties; and tribal people and their usufruct rights, common property resources, etc.
d. Additional specialized surveys: such as bio-diversity assessment survey, or hydrological surveys, if required depending upon the context and complexity of the project setting.
e. Strip mapping: includes detailed inventory of all trees on the existing and proposed rights of way (RoW); common property resources along the RRTS corridor, facilities for public (including health, education, communication facilities, etc.)
f. Inventory of valued eco-sensitive locations: Site visits and investigations shall be made, and all the eco-sensitive locations shall be marked on the base maps to identify conflict points with preliminary designs. These shall be verified from
16 Appendix 3
authentic sources of information, such as from the revenue records, forest records, etc.
g. Baseline environmental monitoring for adequate number of samples, as established on a sampling network, so as to provide a representative sample of the entire project corridor, and the different characteristics (such as land use, or presence of sensitive receptors existing along the RRTS corridor).
h. Additional samples should be collected for sensitive environmental/ecological receptors, if any, such as to analyze and predict the possible impacts to a degree and precision of acceptable professional standards.
i. The consultant will carry out an assessment of the policy, regulatory and administrative framework at the national/ state level and applicable Asian Development Bank requirements, within which the EA is to be carried out. Assess the pertinent regulations and standards governing environmental quality; health and safety, protection of sensitive areas, protection of endangered species, land uses control, etc. at national, regional and local levels.
9. Assessment of impact. The consultant shall also perform following activities:
a. Assess potential impacts on physical, natural environment, as per baseline identification; predict and assess the project’s likely positive and negative impacts, direct and indirect impacts, and immediate and long-term impacts in quantitative terms; identify mitigation measures, and any residual negative impacts that cannot be mitigated; identify locations for environmental enhancement.
b. Determine impacts as per survey on sensitive receptors: for each of the sensitive environmental/ecological receptors, identified during environmental screening (or during the baseline environmental surveys), carry out detailed investigations for the impacts likely from the project.
c. Determine impacts as per survey on urban settlements and villages: noise, vibration, vehicle emissions and dust; safety, non-motorized transport, encroachments, severance and access, etc. This must include modelling of operation stage noise and vibration levels and impacts on sensitive receptors (hospitals, religious places, schools etc.) along the project alignment.
d. Determine impacts as per survey on agricultural areas: loss of top soil, embankment erosion, disturbance to surface water flows and to rice-fields and farms during construction; etc.
e. Determine impacts as per survey on natural habitats and other sensitive areas: critical natural habitats (such as conservation areas, sanctuaries, sacred groves, etc.) and migration routes; “induced development”; historic, cultural and religious buildings and sites; archaeological sites and tourism areas, etc.
f. Determine impacts as per survey on areas of environmental degradation: measures such as landscaping, planting, tree-planting earthworks to re-establish and/or enhance the environmental quality of areas within the ROW which have suffered degradation
g. Determine climate change risks and need for adapting the project design to address the risks including estimating the incremental costs for design changes if any
h. Determine climate mitigation impacts and benefits by quantifying greenhouse gas emissions and emission reductions from the project.
10. Preparation of environmental assessment report: An environment assessment report will be completed before final design and draft EMP (to be finalized along with final designs). The structure of the EIA/IEE report will be as follows:
Appendix 3 17
a. Executive summary: Concisely discuss significant findings and recommended actions.
b. Introduction: Provide a brief background of the project explaining the need and basis of the project including agreements, requests etc. between the Government of India and ADB.
c. Project description: Provide a brief description of the relevant components of the project and associated activities. Concisely describe the proposed project and its geographic, ecological, social, and temporal context. Indicate the need for any resettlement plan or indigenous peoples' development plan. Includes a map showing the project site and the project’s area of influence. An overview of the relevant policies, legal, and administrative framework, must be provided.
d. Description of environment: Existing physical, biological and socio-economic environment must be described with supporting maps and photographs.
e. Environmental impacts and mitigation measures: Must discuss in detail the key impacts within the different types of environment during pre-construction, construction and operation stage.
f. Analysis of alternatives: Must provide an analysis of various alternatives considered with respect to project location and technical design and the social, environmental, economic and technical implications of each alternative. (This chapter is required only for an EIA report).
g. Environmental management plan and grievance redress mechanism: Must provide information on mitigation and enhancement measures, time of implementation, responsible person/agency, budget required, institutional coordination mechanism, institutional capacity building and the environmental monitoring plan. Must also include the grievance redress mechanism that will be followed under the project.
h. Public consultation and information disclosure: Must cover details on public consultations carried out with various stakeholders during preparation of the environmental assessment report. Details on the feedback received, incorporations made in the project and information disclosed or shared through consultations, disclosure of report online etc. must be provided.
i. Conclusion: The overall environmental implication of the project must be summarized, and key issues identified and mitigation measures and recommendations proposed must be highlighted.
j. Appendices (i) List of EA report prepares – individuals and organizations. (ii) References – written materials both published and unpublished, used in
study preparation. (iii) Record of interagency and consultation meetings, including consultations
for obtaining the informed views of the affected people and local nongovernmental organizations (NGOs). The record specifies any means other than consultations surveys) that were used to obtain the views of affected groups and local NGOs.
(iv) Tables presenting the relevant data referred to or summarized in the main text.
(v) List of associated reports (e.g., resettlement plan or indigenous people’s development plan).
11. Preparation of environmental management plan. The EMP focuses on mitigation measures, enhancement plans, institutional strengthening, training, and monitoring. The emphasis on each of these areas depends on the needs in the specific project context, as identified by the EIA/IEE. This will be prepared as a self-contained document, for the contractor
18 Appendix 3
and is part of the contract documents. The consultant will identify and summarize all anticipated impacts (including those involving indigenous people or involuntary resettlement); provide technical details for each mitigation measure, together with designs, equipment descriptions, and operating procedures; estimate any potential environmental impacts of these measures’ and provide linkage with any other mitigation plans (e.g., for involuntary resettlement, indigenous peoples, or cultural property) required for the project. The EMP will:
a. Estimate capital and operating costs and a description of other inputs (such as training and institutional strengthening) needed to carry it out.
b. List environmental monitoring and evaluation parameters, and detailed specifications (methods, schedule, etc.) for performance/compliance monitoring during construction, and evaluation of the effectiveness of the environmental management measures during operation stage of the project.
c. Detail arrangements for monitoring implementation of mitigating measures and the impacts of the project during construction and operation and for the evaluation of environmental measures financed under the project.
d. List action to be taken and by whom in the event that the proposed mitigation measures fail, either partially or totally, to achieve the level of environmental protection expected.
e. Detail mitigation measures: Define appropriate mitigation and remediation measures; the specification and the bills of quantities of the various environmental design measures to enable the incorporation of the environmental provisions in the contract documents.
f. Provide enhancement plans: Include detailed designs/ drawings including specifications and bills of quantities for identified enhancement of specific locations. These cases will also require a plan for maintenance of the assets created / enhanced, in consultation with the community.
g. Develop an implementation schedule and supervision program with associated costs and contracting procedures for the execution of environmental mitigation and design works;
h. Provide recommendations for further studies on environmental issues which should be undertaken during project implementation.
12. Structure of environmental management plan a. Brief project description, summary of critical issues and impacts. b. Identified impacts and corresponding mitigation measures proposed—pre-
construction; construction and operation stages. c. Environmental Monitoring and Reporting Plan – performance indicators, air, water,
and noise levels, tree survival rate, soil contamination or any other as identified. d. Specifications for environment enhancements works. e. Trees, shrubs for plantation or other landscape measures. f. Engineering details and appropriate reference to engineering drawings where
necessary for: wells and hand pumps identified for re-location or enhancement; cultural properties re-location; water bodies for enhancement; proposed truck parking lay byes; major and minor junctions identified for enhancements; landscape plans.
g. Identified borrow areas, recommended quarry areas and proposed rehabilitation plans.
h. Noise mitigation plans. i. Costs of mitigation j. Institutional responsibility for implementation and duration /time frame.
Appendix 3 19
k. Reference to contract documents. Coordination with Engineering in preparation of bids, contract documents.
l. Bills of quantities to include EMP specifications. m. Budget.
13. Institutional strengthening. The consultant will carry out following activities:
a. Capacity assessment to identify training needs and propose a training plan. Identify institutional needs to implement environmental assessment recommendations.
b. Review the authority and capability of institutions at local, provincial/regional, and national levels and recommend steps to strengthen or expand them so that the management and monitoring plans in the environmental assessment can be implemented.
c. The recommendations may extend to new agency functions, inter-sector arrangements, management procedures and training, staffing, operation and maintenance training, budgeting, and financial support.
d. As part of the IEE/EIA study the institutional set up and capacity of the NCRTC must be assessed for adequacy in meeting the environment safeguard requirements of the National Government as well as ADB. Institutional and capacity needs if any must be identified and planned for with adequate budge provisions.
14. Follow-on public consultations. The Consultant will carry out follow-on public consultations at sensitive areas to disseminate the project design, EA and SA process followed, EMP, and RPs with the people in the project districts. 15. Assistance to the Authority. The consultant will furnish any relevant information required by the NCRTC for obtaining clearance from various state and central government agencies such as:
a. If required, to assist the NCRTC in the submission of application and required documents for the clearance of reserved forests to the Forest Departments, where necessary.
b. If required, to assist the NCRTC in the submission of forms and documents for obtaining environmental clearance for the project, where necessary.
c. If required, to assist the NCRTC in presentation to the relevant Wildlife Board or respective state/national authority in obtaining clearance for the section of the corridor passing through the wildlife reserves or sanctuaries, etc., where necessary.
d. Assistance to the NCRTC in submission for any other clearance requirements with respect to the environmental components relevant to the project.
20 Appendix 3
B. Social Safeguards Assessment 1. Scope of Work a. Social impacts will be assessed and mitigation measures will be proposed in compliance with ADB's Safeguard Policy Statement (2009), and government guidelines, regulations, and policies. The consultant will prepare relevant social safeguard planning documents which may include resettlement framework, resettlement plan, and land acquisition due diligence report. b. The main objectives of social analysis and design are to improve decision making and to ensure that the project corridor under consideration are socially sound, sustainable and contribute to the development of social development goals. The main objectives of social safeguards are to provide comprehensive mitigation measures to ensure that the affected and displaced persons are appropriately resettled and rehabilitated i.e. to improve their livelihoods and standards of living or at least to restore them, in real terms. The Social Impact Assessment involves undertaking full baseline information, in such a manner as to ensure compliance with National, State, and ADB social/ environmental guidelines and regulations. c. The consultant will prepare (i) involuntary resettlement screening and impact categorization checklists; (ii) resettlement plans and other resettlement planning documents in accordance with ADB's Safeguard Policy Statement (2009) and other related policies such as the Public Communications Policy (2011); (iii) indigenous peoples screening and impact categorization checklists if required; and (iv) indigenous peoples plans, if required, in accordance with ADB's Safeguard Policy Statement (2009), and other related policies such as the Public Communications Policy (2011). The consultant will engage local experts for conducting the census, data processing, etc. as required. 2. Resettlement Planning The Consultant will prepare the resettlement planning documents based on the following principles:
a. Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs;
b. Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons affected/displaced by the project to share in project benefits;
c. Affected/displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs;
d. Affected/Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. This will be inclusive of full replacement cost for losses of assets attributable directly to the project, assistance during relocation, residential, commercial sites agriculture sites, transitional and subsistence allowance;
e. Special provisions to improve the standard of living of the displaced poor and other vulnerable groups.
Appendix 3 21
3. The scope of work will broadly cover the following:
a. Based on the issues identified in the initial poverty and social analysis (IPSA), review and analyze relevant available data and reports, and undertake field visits to the proposed project sites.
b. Verify the legal boundaries of the ROW according to the revenue records. c. Establish the likely types of economic and social impact on people including on
private land, traditional and customary rights, lease land, common property resources, different usage of legal right of way;
d. Establish the cut-off date for entitlements for title and non-titleholders; e. Carry out market surveys to establish the likely monetary allowances for each
entitlement; f. Together with other team members, conduct interviews, focus group discussions
or other meetings with stakeholders to identify permanent and temporary socioeconomic impacts as a result of possible land acquisition, changes of land use, or restrictions of access to assets and common property resources.
g. Carry out meaningful consultations in field during the preparation of the project. Ensure that the consultations are undertaken in an atmosphere free of intimidation or coercion and are gender inclusive and responsive and tailored to the needs of the disadvantaged and vulnerable groups.
h. Based on this initial review of existing documentation and field investigations, prepare and submit involuntary resettlement screening and impact categorization forms for the project corridor to ADB and the NCRTC for review and comments.
i. If required, prepare a separate resettlement plan for the project corridor in accordance with applicable national and state laws and policies, ADB's Safeguard Policy Statement (2009). The scope and format of the required resettlement plans should be consistent with ADB's Involuntary Resettlement Safeguards, A Planning and Implementation Good Practice Sourcebook (2011).
j. RPs should be based on a complete enumeration (100% census) of all displaced people and their affected assets in accordance to final engineering design. RPs should also incorporate, where relevant, the findings of the socio economic survey.
k. Submit all draft final resettlement plans to ADB and the NCRTC for review and comments. Incorporate comments and finalize the resettlement plans accordingly, then resubmit the revised resettlement plans based on feasibility studies to ADB through the NCRTC.
l. Assess the capacity of Institutions to implement monitor and evaluate the rehabilitation and resettlement (R&R) program, and prepare a plan to fill capacity gaps, if any.
4. Output
Resettlement plans, including the R&R policy with entitlement matrix to provide different types of assistance to all categories of affected and displaced people with the monetary values wherever feasible. Documentation of public consultation on the entitlement matrix. This will also include the proposed institutional arrangement for implementation and grievances monitoring and evaluation.
5. Resettlement Plan
The resettlement plan is a core document for project preparation and shall be prepared with due care in accordance to ADB SPS 2009. The work will be carried out in coordination with the environment and technical team, as well as the detailed project report (DPR) consultants. Activities and records required will include the following:
22 Appendix 3
a. Detailed video recording of the entire stretch to prevent others from taking undue advantage;
b. Photograph the affected and displaced family and number each asset; c. Focus group discussion with different social groups including women on the
various design options and mechanisms established to minimize resettlement, to the extent possible, during project implementation;
d. Carry out socio-economic baseline survey of 100% affected people which will be inclusive of information on the various categories of total resource base (formal and informal – fishing, grazing, sharecroppers, and fuel fodder) of the people and the losses and other adverse impacts likely under the project. The losses shall be categorized according to types and will vary based on the local context. The information collected shall include but not be limited to:
(i) Land (private, traditional and customary ownership, lease) and other productive resources such as trees, wells, etc.
(ii) Structures, temporary or fixed; (iii) Public and common property resources such as temples, grazing land; (iv) Occupational pattern and income (formal and informal economic activities)
of both men and women; (v) Wage labor both men and women; (vi) Sharecroppers both men and women (formal and informal); (vii) Skills of both men and women; (viii) Demographic characteristics such as caste, tribe; (ix) Identification of vulnerable people such as scheduled caste, other
backward caste, tribe, landless, women, aged, below poverty line, disabled; (x) Standard of living including health status
e. Establish the status of the affected people of both men and women within the corridor of impact;
f. Carry out market survey and focus group consultation with different social groups including women to assess the replacement cost of assets and establish the methodology for assessment;
g. Prepare technical and economic feasible income generations schemes including skill upgrading plans based on market surveys and focus group consultations with different social groups including women;
h. Legal framework of private land, customary and traditional laws governing land tenure, leasehold and land acquisition, or transfer plans for the total project including for tree plantation, if any, according to the revenue records and acquisition for temporary purpose;
i. Finalize estimate of land required, if any, for resettlement and for economic rehabilitation.
j. Identify the land and prepare a plan for relocation in consultation with the project displaced people with different social groups including women and local administration;
k. Prepare a plan to ensure the host population will not be adversely impacted and plan for consultation on the impact on the resources, infrastructure with increase in population of the affected;
l. Provide an appropriate action plan for additional support for the vulnerable and prepare an indigenous people’s development plan, if necessary;
m. Impact on cultural property and prepare a plan for relocation and restoration in consultation with local groups;
Appendix 3 23
n. Rapid field assessment and consultation with users and inhabitants including women on the awareness of sexually transmitted diseases, sensitive locations, desk review of national and state programs and develop a feasible action plan for prevention of spread of HIV/AIDS;
o. Carry out public consultation with different project affected social groups about their options and rights pertaining to resettlement and consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives and at various administrative level, NGOs, District Administration and other stakeholders such as revenue department welfare ministry, etc., and provide a plan for continuous public consultation during implementations;
p. Identification of various formal and informal institutions that may provide support for the implementation of RP;
q. Propose the institutional arrangement for implementation of RP, addressing grievances; ensure gender sensitiveness and the roles and responsibilities;
r. Prepare implementation schedule that synchronizes with time frame of civil work that recognizes that no civil works will begin until people are fully compensated and adequately rehabilitated;
s. Develop a training program on R&R, based on the assessment of the capacity of the implementing agency;
t. Develop monitoring indicators for physical and financial progress, process monitoring and impact evaluation and indicators to ensure that child labor is not engaged in the project;
u. Develop terms of reference for NGOs, external evaluation consultants, and for any other study identified for impact evaluation;
v. Develop detailed budget based on the outcomes of the study; and w. Carry out follow-up consultation to share the final product of the project prepared
6. Indigenous People
a. Based on the review of existing documentation and field investigations, prepare and submit IP screening and impact categorization forms for the project to ADB and the NCRTC for review and comments.
b. If required, prepare a separate indigenous people plan for the project in accordance with ADB's Safeguard Policy Statement (2009). The scope and format of the required indigenous people plans should be consistent with ADB's requirements.
c. While preparing indigenous peoples plans, conduct (a) social impact assessment, (b) meaningful consultation and (c) ascertain consent of affected indigenous people communities. For items (b) and (c), proper recording and full documentations are required.
d. These indigenous people plans should also incorporate the findings of the resettlement census.
e. Submit all draft final indigenous people plans to ADB and the NCRTC for review and comments. Incorporate comments and finalize the IPPs accordingly, then re-submit the revised indigenous people plans based on feasibility studies to ADB through the NCRTC.
f. Conduct a workshop to provide guidance to the NCRTC on project-related involuntary resettlement and indigenous peoples issues and ADB’s involuntary resettlement and indigenous peoples policy procedural requirements during project preparation and implementation.
24 Appendix 4
PROCUREMENT PLAN
Basic Data
Project Name: Preparing the Delhi–Meerut Regional Rapid Transit System Project (formerly Preparing Transport Sector Projects I)
Project Number: 51073 Approval Number: tbd
Country: India Executing Agency: Ministry of Housing and Urban Affairs
Project Procurement Classification: N.A. Implementing Agency: National Capital Region Transport Corporation Procurement Risk: N.A.
Project Financing Amount: $ 2,000,000
Non-ADB Financing: $ 250,000 Project Closing Date: August 2023
Date of First Procurement Plan: tbd Date of this Procurement Plan: tbd
Procurement Plan Duration: 18 months Advance contracting: No eGP: Yes
A. Methods, Review and Procurement Plan
Except as the Asian Development Bank (ADB) may otherwise agree, the following methods shall apply to procurement of goods, works, and consulting services.
Procurement of Goods and Works
Method Applicability Comments
Request for Quotation Thresholds: Less than $100,000
Consulting Services Method Comments
B. List of Active Procurement Packages (Contracts) The following table lists goods, works, and consulting services contracts for which the procurement activity is either ongoing or expected to commence within the procurement plan duration.
Goods and Works
Package Number
General Description
Estimated Value
Procurement Method
Review Bidding
Procedure
Advertisement Date
Comments
TA-EQ1 Procurement of computers,
printer/scanner, wireless router and modem, drones, and
software
$37,000 Request for Quotation
N.A. N.A. Q1/2019
Consulting Services
Package Number
General Description
Estimated Value
Selection Method
Review Type of
Proposal Advertisement
Date Comments
Appendix 4 25
C. List of Indicative Packages (Contracts) Required under the Project The following table lists goods, works, and consulting services contracts for which the procurement activity is expected to commence beyond the procurement plan duration and over the life of the project (i.e., those expected beyond the current procurement plan duration).
Goods and Works
Package Number
General Description Estimated
Value Procurement
Method Review
Bidding Procedure
Comments
Consulting Services
Package Number
General Description Estimated
Value Selection Method
Review Type of
Proposal Comments
D. List of Awarded and Completed Contracts The following table lists the awarded contracts and completed contracts for goods, works, and consulting services.
Goods and Works Package Number
General Description
Contract Value
Date of ADB Approval of Contract Award
Date of Completion
Comments
Consulting Services Package Number
General Description
Contract Value
Date of ADB Approval of Contract Award
Date of Completion
Comments
E. Non-ADB Financing The following table lists goods, works, and consulting services contracts over the life of the project, financed by Non-ADB sources.
Goods and Works
General Description Estimated Value
(cumulative) Estimated Number
of Contracts Procurement
Method Comments
Consulting Services
General Description Estimated Value
(cumulative) Estimated Number
of Contracts Selection Method Comments
