Project Number: 51375-001 Loan Number: XXXX September 2019

India: Public–Private Partnership in Madhya

Pradesh Road Sector Project

Project Administration Manual

ABBREVIATIONS

BOT – build–operate–transfer EMP – environmental management plan EMoP – environmental monitoring plan EPC – engineering, procurement, and construction GAP – gender action plan GOMP – Government of Madhya Pradesh HAM – hybrid–annuity model IEE – initial environmental examination km – kilometer MPRDC – Madhya Pradesh Road Development Corporation PPP – public–private partnership SOE – statement of expenditures SPS – Safeguard Policy Statement

CONTENTS

I. PROJECT DESCRIPTION 1

II. IMPLEMENTATION PLANS 3

Project Readiness Activities 3 Overall Project Implementation Plan 4

III. PROJECT MANAGEMENT ARRANGEMENTS 5

Project Implementation Organizations: Roles and Responsibilities 5 Key Persons Involved in Implementation 6 Project Organization Structure 7

IV. COSTS AND FINANCING 8

A. Cost Estimates Preparation and Revisions 9 B. Key Assumptions 9 C. Detailed Cost Estimates by Expenditure Category 10 D. Allocation and Withdrawal of Loan Proceeds 10 E. Detailed Cost Estimates by Financier 11 F. Detailed Cost Estimates by Outputs 12 G. Detailed Cost Estimates by Year 13 H. Contract and Disbursement S-Curve 14 I. Fund Flow Diagram 15

V. FINANCIAL MANAGEMENT ASSESSMENT 16

Financial Management Assessment 16 Disbursement 19 Accounting 20 Auditing and Public Disclosure 21

VI. PROCUREMENT AND CONSULTING SERVICES 22

A. Advance Contracting and Retroactive Financing 22 B. Procurement of Goods, Works, and Consulting Services 23 C. Procurement Plan 23 D. Consultant’s Terms of Reference 23

VII. SAFEGUARDS 24

Environmental Safeguards 24 Involuntary Resettlement 26 Indigenous Peoples 28 HIV/AIDS and Human Trafficking 28

VIII. GENDER AND SOCIAL DIMENSIONS 29

Gender 29 Health and Labor 32

IX. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND COMMUNICATION 32

A. Project Design and Monitoring Framework 32 B. Monitoring 34

Evaluation 35 Reporting 35 Stakeholder Communication Strategy 36

X. ANTICORRUPTION POLICY 37

XI. ACCOUNTABILITY MECHANISM 37

XII. RECORD OF CHANGES TO THE PROJECT ADMINISTRATION MANUAL 38

APPENDIXES Appendix 1: Procurement Plan

Appendix 2: Terms of Reference for Independent Engineer (Packages A–E)

Appendix 3: Outline Terms of Reference for Consulting Services E-Maintenance Asset Management System

Appendix 4: Outline Terms of Reference – Consultants for Capacity and Institutional Strengthening of Private Partners Toward Sustained Gender Parity

Appendix 5: Outline Terms of Reference for Strengthening Capacity of Engineers in MPRDC, IE, and Concessionaires on Implementation of Road Projects on Hybrid–Annuity Model Contract

Appendix 6: Gender Action Plan Monitoring Matrix

Appendix 7: Selection Criteria for Subprojects

Appendix 8: Agreed Terms of Reference for Audit of ADB-Assisted Projects by the Comptroller and Auditor General of India

Project Administration Manual Purpose and Process

1. The project administration manual (PAM) describes the essential administrative and management requirements to implement the project on time, within budget, and in accordance with the policies and procedures of the government and the Asian Development Bank (ADB). The PAM should include references to all available templates and instructions either through linkages to relevant URLs or directly incorporated in the PAM.

2. The Government of Madhya Pradesh acting through the Madhya Pradesh Road Development Corporation (MPRDC) is wholly responsible for the implementation of ADB-financed projects, as agreed jointly between the borrower and ADB, and in accordance with the policies and procedures of the government and ADB. ADB staff is responsible for supporting implementation including compliance by the Government of Madhya Pradesh and the MPRDC of their obligations and responsibilities for project implementation in accordance with ADB’s policies and procedures.

3. At loan negotiations, the borrower and ADB have agreed to the PAM and ensured consistency with the loan agreement. Such agreement is reflected in the minutes of the loan negotiations. In the event of any discrepancy or contradiction between the PAM and the loan agreement, the provisions of the loan agreement shall prevail.

4. After ADB Board approval of the project’s report and recommendations of the President (RRP),

changes in implementation arrangements are subject to agreement and approval pursuant to relevant government and ADB administrative procedures (including the Project Administration Instructions) and upon such approval, they will be subsequently incorporated in the PAM.

I. PROJECT DESCRIPTION 1. The Public–Private Partnership in Madhya Pradesh Road Sector Project will rehabilitate and upgrade about 1,600 kilometers (km) of state highways and major district roads (MDR) in Madhya Pradesh and improve transport connectivity in line with the state’s road development plan for 2013–2033.1 The project will involve upgrading newly declared state highways and MDRs to two-lane width. The project will also improve road maintenance and the asset management system of the Madhya Pradesh Road Development Corporation (MPRDC). The project will be implemented under the hybrid–annuity model (HAM), which is a form of public–private partnership (PPP).2 2. State context. Madhya Pradesh is the second largest state in India with an area of about 308,000 square kilometers and is the fifth most populous state with a population of 73 million.3 Agriculture is the main economic sector of the state, with about 72% of the population living in rural areas. From 2011 to 2018, the state’s economy experienced growth at an average of 8% attributed to various industrial developments and policy measures, such as the development of industrial nodes on the Delhi–Mumbai Industrial Corridor, and other industrial areas and growth centers.4 Despite recent economic growth, Madhya Pradesh is still among the poorer states in the country. Its per capita income (at constant prices) is about 63% of the national average and about 32% of the state’s population lives below the poverty line.5 The large size of the state, dependence on agriculture, and dispersed industrial development make transport infrastructure, particularly roads, a critical necessity. 3. Road infrastructure in Madhya Pradesh. As of 2018, the state has a road network of about 63,637 km. About 7,806 km are national highways, 11,060 km are state highways, 22,412 km are MDRs, and the balance are other district roads and village roads.6 The current road capacity is unable to cope with increasing vehicle ownership, with the number of registered vehicles growing at an average annual rate of 10.3% since 2006 and which reached 11.14 million in 2016.7 Some locations are also subject to frequent flooding during monsoon season, which accelerates road surface deterioration, limits access to goods and services, and compromises road safety.

4. Road sector strategy. The Government of Madhya Pradesh (GOMP), in its road sector masterplan for 2013–2033, sets a vision to connect all regional and district headquarters by two-lane roads and to connect all the villages by all-weather motorable roads (footnote 1). This vision is likewise aligned with the agenda of the Government of India to develop the road network of

1 Madhya Pradesh Road Development Corporation. 2013. Development Plan for State Roads in Madhya Pradesh

2013–2033. Bhopal. 2 22ADB. 2017. Country Operations Business Plan: India, 2018–2020. Manila. The title indicated in the COBP is “Madhya

Pradesh Roads Project VI” but a more specific title has been assigned indicating modality. 3 Open Government Platform of India. https://data.gov.in. 4 Sources: Department of Industry Policy and Investment Promotion, GOMP; 4India Brand Equity Foundation, and

Madhya Pradesh Trade and Investment Facilitation Corporation. The Government of Madhya Pradesh has seven growth centers at Bhopal, Gwalior, Indore, Jabalpur, Rewa, Sagar, and Ujjain. These growth centers are known as Madhya Pradesh Audyogik Kendra Vikas Nigam Limited (AKVN). There are 19 industrial development parks, 129 industrial areas, 8 integrated development centers, and other industrial zones being developed around these city clusters.

5 5Reserve Bank of India. 2019. Handbook of Statistics on Indian States 2018–2019. Mumbai. 6 Government of Madhya Pradesh, Public Works Department. Road Length of PWD (accessed 16 May 2018). 7 Government of India, Ministry of Road Transport and Highways. 2018. Road Transport Yearbook (2015–2016). New

Delhi.

2

states to enhance connectivity, road safety, and quality.8 State highways and MDRs form a key link between rural roads and national highways and are critical for rural and peri-urban connectivity. Developing this road network by increasing capacity and building all-weather roads will improve road conditions and road safety, and will foster inclusiveness by enabling better access to markets and basic services. To create a more efficient network of roads and to better link national and state highways to towns and rural areas, the GOMP recently reclassified 3,774 km of MDRs and other district roads to state highways and 4,211 km of other district roads and village roads to MDRs. These newly declared state highways and MDRs need to increase their level of capacity and service, and for this purpose, must be rehabilitated and upgraded to two-lane width.

5. ADB’s engagement with the road sector in Madhya Pradesh. Since 2002, the Asian Development Bank (ADB) has provided the government with five loans to develop the state’s road network.9 Three project loans for state highways and one for MDRs have been completed, and one project loan for MDRs is ongoing. As part of this engagement, ADB worked with the GOMP in forming the Madhya Pradesh Road Development Corporation (MPRDC), which has become a leading organization of its nature in the country. Attached technical assistance has not only built institutional capacity, but also initiated an accident response system and is piloting an accident insurance scheme. In the five prior loans, about 7,300 km of roads have been developed, which however represent only 11% of the total length of roads in the state. Through the proposed project, PPP arrangements will be infused through the hybrid–annuity contract model to bring in private sector efficiencies for sustainable asset creation and maintenance. 6. Use of hybrid–annuity model. The model was introduced by the government in January 2016 to revive private sector investments in road infrastructure projects. The HAM is a mix of the engineering, procurement, and construction (EPC) model and the build–operate–transfer (BOT) annuity model. Under the EPC model, the government or its agency pays the contractors to construct roads. The contractor has no role in the road’s ownership, toll collection, or maintenance, which are all borne by the government. Under the BOT annuity model, private contractors or concessionaires have an active role—they build, finance, operate, and maintain the road and receive fixed payments from the government over a specified number of years, typically 10–15 years. At the end of the concession agreement, the contractor transfers the asset back to the government without any additional remuneration. For this project, the government or its agency will release 60% of the total project cost during construction, which will be paid to the concessionaire in tranches linked to completion milestones. The remaining 40% is arranged by the concessionaire, usually 20%–25% raised in the form of equity, and the remaining raised as debt. Once the project is completed, the government will pay the concessionaire’s share of the total project cost in fixed annuity payments over the next 10 years. The proposed project will be designed to minimize land acquisition, and the use of HAM eliminates the financial viability risk of uncertain traffic growth from the private sector, which will attract their participation in the project. The proposed project will be the first HAM project by the MPRDC. 7. Alignment with ADB’s Strategy 2030. The project is consistent with the operational priorities of ADB’s Strategy 2030: (i) reducing poverty and inequality, (ii) accelerating progress in gender equality, (iii) tackling climate change, and (iv) promoting rural development. The project is also consistent with the strategic pillar set out in the country partnership strategy for India, 2018–2022 to provide inclusive access to infrastructure networks and services, in line with the

8 Government of India, National Institution for Transforming India Aayog. 2018. Strategy for New India @75. New Delhi. 9 Prior loans are detailed in the sector assessment (accessible from the list of linked documents in Appendix 2 of the

RRP).

government’s plan to revitalize PPPs by strengthening PPP institutions and promoting improved contractual modalities. 8. Impact and outcome. The project will be aligned with the following impact: mobility and connectivity in India improved (footnote 9). The outcome will be road transport efficiency and safety within Madhya Pradesh improved.10 9. Outputs. The project outputs will be (i) state highways upgraded to two-lane and all-weather roads, (ii) single-lane major district roads upgraded to two-lane and all-weather roads, and (iii) capacity for hybrid–annuity model implementation and road asset maintenance and management improved.

II. IMPLEMENTATION PLANS

Project Readiness Activities

Table 1: Project Readiness Activities Milestone Timeline Responsible Agency

Concept clearance September 2018 ADB

Start of retroactive financing perioda September 2018 ADB, MPRDC

Start of advance contracting September 2018 ADB, MPRDC

Establish project implementation

arrangements

October 2018 ADB, MPRDC

Loan fact-finding March 2019 ADB, MPRDC

Management review meeting July 2019 ADB

Loan negotiations September 2019 ADB, MPRDC, DEA

Board consideration October 2019 ADB

Loan signing December 2019 ADB, DEA

Loan effectiveness January 2020 ADB ADB = Asian Development Bank, DEA = Department of Economic Affairs, MPRDC = Madhya Pradesh Road Development Corporation. a Subject to ADB Board approval and loan signing. Source: Asian Development Bank.

10 The design and monitoring framework is in Section IX.A of this project administration manual.

4

Overall Project Implementation Plan

Table 2: Project Implementation Plan

Indicative Activities 2018 2019 2020 2021 2022 2023 2024

Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2

A. Design and Monitoring Framework

Output 1: State highways upgraded to two-lane and all-weather roads

1.1 Award and mobilize construction supervision consultant (independent engineer)

1.2 Award all contracts commencing from Q3 2019 and complete construction

Output 2. Single-lane major district roads upgraded to two-lane and all-weather roads

2.1 Award and mobilize construction supervision consultant (independent engineer)

2.2 Award all contracts commencing from Q3 2019 and complete construction

Output 3. Capacity for hybrid–annuity model implementation, and road asset maintenance and management improved

3.1 E-maintenance system for state highways and major district roads developed

3.2 Road construction completed and road maintenance by concessionaire starts

3.3 Gender parity index prepared, and findings disseminated

B. Project Management Activities

Establish project implementation units

Complete resettlement plan activities

Counterpart funds available by Q2 2019

Train 100% of project staff (PIUs and PMU) on GAP provisions and ADB’s requirements on GAP implementation, monitoring, and reporting

ADB = Asian Development Bank, GAP = gender action plan, PIU = project implementation unit, PMU = project management unit, Q = quarter. Source: Asian Development Bank.

5

III. PROJECT MANAGEMENT ARRANGEMENTS

Project Implementation Organizations: Roles And Responsibilities

Table 3: Implementation Roles and Responsibilities Project Implementation Organizations Management Roles and Responsibilities Executing agency Government of Madhya Pradesh acting through the Madhya Pradesh Road Development Corporation

• Overall coordination of project implementation • Oversight and monitoring of project implementation including

adequacy of overall project funding • Selection of subprojects • Consultant recruitment and procurement of works • Day-to-day project management • Ensuring compliance with safeguard requirements • Implementation of safeguard activities • Implementation of gender action plan • Project accounts management—establish and maintain project

accounts, prepare and submit withdrawal applications, administer statement of expenditures, and maintain supporting documents and records

• Preparation and submission of project progress reports and other requirements

• Maintenance of complete loan financial records

Asian Development Bank Monitoring and review of overall project implementation in consultation with the executing agency, including the following: • Project implementation schedule • Actions required on environment and safeguards due diligence

and monitoring, as applicable • Timeliness of budgetary allocations and counterpart funding • Project expenditures • Progress with procurement and disbursement • Statement of expenditures when applicable • Compliance with loan covenants

Source: Asian Development Bank.

Key Persons Involved in Implementation Executing Agency Madhya Pradesh Road Development Corporation

Malay Srivastava Managing Director 45-A Arera Hills, Bhopal, 462011 Madhya Pradesh, India Telephone: +91 755 2765217 Email: mdmprdc@mp.nic.in

Ashutosh Mishra Chief Engineer Telephone: +91 755 2597249 Email: building-mprdc@mp.gov.in

Asian Development Bank Transport and Communications Division (SATC), South Asia Department (SARD)

Ravi Peri Director Telephone: +632 632 1771 Email: rperi@adb.org

Mission Leader Kai Wei Yeo Transport Specialist Telephone: +632 632 4254 Email: kyeo@adb.org

Project Organization Structure 10. The organization chart shows the reporting lines and essential internal structures of key staff involved in project implementation.

Figure 1: Organizational Structure of the Executing Agency

Source: Asian Development Bank.

Managing Director

Chief General Manager

General

Manager (Finance)

Chief Accounts Officer

Chief Accountant

Company Secretary

Deputy General Manager

Environmental Expert

Social Safeguard Expert

Engineer-in-Chief

Chief Engineer

(Build–Operate–Transfer)

General Manager

Deputy General Manager

Assistant General Manager

Manager

IV. COSTS AND FINANCING

11. The project is estimated to cost $904 million, including 10 years of operation and maintenance obligation during the concession period (Table 4). 12. ADB will finance part of the civil works and consulting services, as well as taxes, as relevant. The project will be implemented over a 4.5-year period, commencing in December 2019. As the concessionaire will only be paid 60% of the project cost during construction, private sector investment will be required to cover the remaining construction cost and the initial years of operation and maintenance.

Table 4: Summary Cost Estimates ($ million)

Item Amounta A. Base Costb 1. State highways upgraded to two-lane and all-weather roads 289.50 2. Single-lane major district roads upgraded to two-lane and all-weather roads 490.00 3. Capacity for hybrid–annuity model implementation, and road asset maintenance

and management improved 6.00 Subtotal (A) 785.50 B. Contingenciesc 71.00 C. Financial Charges During Implementationd 47.50 Total (A+B+C) 904.00 a Includes taxes and duties of $68.89 million to be financed from government resources by cash contribution and

the Asian Development Bank (ADB). Such amount does not represent an excessive share of the project cost. The amount of taxes and duties to be financed by ADB (i) are within the reasonable threshold identified during the country partnership strategy preparation process, (ii) represent only 7.6% of the investment plan, and (iii) apply only to ADB-financed expenditures. The financing of the taxes and duties is considered material and relevant to the success of the project.

b In mid-2019 prices as of March. c Physical contingencies computed at 5% for civil works. Price contingencies computed at average of 5% on local

currency costs. d Includes interest and commitment charges. Interest during construction for the ordinary capital resources loan has

been computed at the 5-year forward London interbank offered rate plus an effective contractual spread of 0.5% and maturity premium of 0.1%. Commitment charges for the OCR loan are 0.15% per year to be charged on the undisbursed loan amount.

Source: Asian Development Bank estimates.

13. The government has requested a regular loan of $490 million from ADB’s ordinary capital resources to help finance the project. The loan will have a 25-year term, including a grace period of 5 years; an annual interest rate determined in accordance with ADB’s London interbank offered rate (LIBOR)-based lending facility; a commitment charge of 0.15% per year; and such other terms and conditions set forth in the draft loan and project agreements. Based on the straight-line method, the average maturity is 15.25 years, and the maturity premium payable to ADB is 0.10% per year.11

Modality. The project will be supported through a sector lending modality, which is particularly well suited since (i) the project will finance small subprojects, i.e., state highways and MDRs distributed throughout the state; (ii) Madhya Pradesh has a sector development plan in place; (iii) the MPRDC has the requisite institutional capacity to implement the sector plan and prepare individual road packages; and (iv) the MPRDC has substantive experience in

11 Loan tenure and repayment period to be confirmed by the government.

procurement of contractors and implementation of ADB loans.12 Sector policies are expected to be improved through the project. The roads selected in this project are based on (i) sector development plan priorities, (ii) development priorities of the government, and (iii) the readiness to implement. Under the sector loan, the approval of non-sample subprojects will be based on satisfactory technical, economic, social, and environmental assessment compliance, with eligibility criteria agreed between the MPRDC and ADB, and based on the respective criteria set out for the sample roads. The selection criteria for subprojects are described in Appendix 7 of the PAM. The GOMP is preparing the next phase of their road development program using the HAM contract model consisting of approximately 800 km of newly declared MDRs to be processed in 2020–2021.

The summary financing plan is in Table 5.

Table 5: Summary Financing Plan

Source Amount ($ million)

Share of Total (%)

Asian Development Bank Ordinary capital resources (regular loan) 490.0 54.2

Government of Madhya Pradesha 128.0 14.2 Private Sectorb 286.0 31.6

Total 904.0 100.0 a Land acquisition, resettlement and rehabilitation, and utility shifting b Private sector investments would be underpinned by appropriate support from the Government of Madhya Pradesh. Source: Asian Development Bank estimates.

Climate finance. Climate adaptation is estimated to cost $137 million and ADB will

finance 60% of adaptation costs.

A. Cost Estimates Preparation and Revisions

The Madhya Pradesh Road Development Corporation prepared the cost estimates. B. Key Assumptions

The following key assumptions underpin the cost estimates and financing plan:

(i) Exchange rate: ₹68.99 = $1.00 (as of 5 April 2019) (ii) Price contingencies based on expected cumulative inflation over the

implementation period are as follows:

Table 6: Escalation Rates for Price Contingency Calculation Item 2019 2020 2021 2022 Average Domestic rate of price inflation 5.0% 5.0% 5.0% 5.0% 5.0%

Source: Economic Research and Regional Cooperation Department, Asian Development Bank.

12 Madhya Pradesh Road Development Corporation. 2013. Development Plan for State Roads in Madhya Pradesh

2013–2033. Bhopal; ADB. India: Madhya Pradesh State Roads Sector Development Program (Project Loan) (Loan 1959); ADB. India: Madhya Pradesh State Roads Sector Project II (Loan 2330); ADB. India: Madhya Pradesh State Roads Project-III (Loan 2736); ADB. India: Madhya Pradesh District Connectivity Sector Project (Loan 3189); ADB. India: Madhya Pradesh District Roads II Sector Project (Loan 3437).

C. Detailed Cost Estimates by Expenditure Category

Table 7: Detailed Cost Estimates by Expenditure Category

Component Total Cost ($ million) % of Total

A. Base Cost 1. Land acquisition, resettlement and rehabilitation 37.70 4.17 2. Civil works 715.00 79.09 3. Road maintenance, hybrid–annuity model

implementation capacity and asset management 6.00 0.66

4. Consulting services 12.50 1.38 5. Project management 14.30 1.58 Subtotal Base Cost 785.50 86.90

B. Contingencies 1. Physical 36.00 3.98 2. Price 35.00 3.87 Subtotal Contingencies 71.00 7.85

C. Financing charges 1. Interest during construction 45.00 4.98 2. Commitment charges 2.50 0.28 Subtotal Financing Charges 47.50 5.25 Total Project Cost

(Base Cost + Contingencies + Financing Charges) 904.00 100.00

Notes: a Numbers may not sum precisely because of rounding. b Minor environmental monitoring and implementation of resettlement plan and gender action plan costs are covered

in component A. Source: Asian Development Bank.

D. Allocation and Withdrawal of Loan Proceeds

Table 8: Allocation and Withdrawal of Loan Proceeds

SI No. Item Amount Allocated

($ million) % of ADB Financing from

the Loan Account 1. Works 428.90 100% of total expenditure

claimed 2. Consulting services 18.50 100% of total expenditure

claimed 3. Unallocated 42.60

Total 490.00

ADB = Asian Development Bank. Source: Asian Development Bank.

11

E. Detailed Cost Estimates by Financier

Table 9: Detailed Cost Estimates by Financier ($ million)

Component ADB GOMP Private Sector Total

% Amount % Amount % Amount Amount A. Land acquisition, resettlement and

rehabilitation 0.0 0.00 100.0 37.70 0.0 0.00 37.70 B. Civil works 60.0 429.00 0.0 0.00 40.0 286.00 715.00 1. State highways upgraded to 2-lane roadsa 60.0 162.00 0.0 0.00 40.0 108.00 270.00 2. Major district roads upgraded to 2-lane

roadsa 60.0 267.00 0.0 0.00 40.0 178.00 445.00 C. Road asset maintenance, management and

hybrid–annuity model implementation 100.0 6.00 0.0 0.00 0.0 0.00 6.00 D. Consulting services 100.0 12.50 0.0 0.00 0.0 0.00 12.50 E. Project management 0.0 0.00 100.0 14.30 0.0 0.00 14.30

Subtotal A–E 56.97 447.50 6.67 52.00 36.41 286.00 785.50 F. Contingencies

1. Physical 60.0 21.60 40.0 14.40 0.0 0.00 36.00 2. Price 60.0 21.00 40.0 14.00 0.0 0.00 35.00

Subtotal Contingencies 60.0 42.60 40.0 28.40 0.0 0.00 71.00 G. Financing charges

1. Interest during construction 0.0 0.00 100.0 45.00 0.0 0.00 45.00 2. Commitment charges 0.0 0.00 100.0 2.50 0.0 0.00 2.50

Subtotal Financing Charges 0.0 0.00 100.0 47.50 0.0 0.00 47.50

Total Project Cost 54.2 490.00 14.2 128.00 31.6 286.00 904.00 ADB = Asian Development Bank, GOMP = Government of Madhya Pradesh. Notes: 1. Numbers may not sum precisely because of rounding. 2. Minor environmental monitoring and implementation of resettlement plan and gender action plan costs are covered in component A. a Includes taxes and duties of $68.89 million to be financed from government resources by cash contribution and ADB. Such amount does not represent an

excessive share of the project cost. The amount of taxes and duties to be financed by ADB (i) are within the reasonable threshold identified during the country partnership strategy preparation process, (ii) represent only 7.6% of the investment plan, and (iii) apply only to ADB-financed expenditures. The financing of the taxes and duties is considered material and relevant to the success of the project.

Source: Asian Development Bank.

F. Detailed Cost Estimates by Outputs

Table 10: Detailed Cost Estimates by Outputs ($ million)

Component

Output 1: State highways

upgraded

Output 2: Major district roads

upgraded

Output 3: Capacity for hybrid–

annuity model implementation, road

asset maintenance and management improved

Amount % of Cost Category Amount

% of Cost Category Amount

% of Cost Category

Total Cost

A. Base Cost

1. Land acquisition, resettlement and rehabilitation

9.43 25.0 28.28 75.0 0.00 0.0 37.7

2. Civil works 270.00 37.8 445.00 62.2 0.00 0.0 715.00

3. Road maintenance, hybrid–annuity model implementation and asset management

0.00 0.0 0.00 0.0 6.00 100.0 6.00

4. Consulting services 4.72 37.8 7.78 62.2 0.00 0.0 12.50

5. Project management 5.40 37.8 8.90 62.2 0.00 0.0 14.30

Subtotal Base Cost 289.55 36.6 489.95 62.0 6.00 0.8 785.50

B. Contingencies

1. Physical 13.59 37.8 22.41 62.2 0.00 0.0 36.00

2. Price 13.22 37.8 21.78 62.2 0.00 0.0 35.00

Subtotal Contingencies 26.81 37.8 44.19 62.2 0.00 0.0 71.00

C. Financing charges

1. Interest during construction 16.99 37.8 28.01 62.2 0.00 0.0 45.00

2. Commitment charges 0.94 37.8 1.56 62.2 0.00 0.0 2.50

Subtotal Financing Charges 17.94 37.8 29.56 62.2 0.00 0.0 47.50

Total Project Cost

(Base Cost + Contingencies + Financing Charges) 334.29 37.0 563.71 62.4 6.00 0.7 904.00

Notes: 1. Numbers may not sum precisely because of rounding. 2. Minor environmental monitoring and implementation of resettlement plan and gender action plan costs are covered in component A. Source: Asian Development Bank.

13

G. Detailed Cost Estimates by Year

Table 11: Detailed Cost Estimates per Year ($ million)

Component 2019 2020 2021 2022 2023 Total Cost

A. Base Cost

1. Land acquisition, resettlement and rehabilitation 13.20 13.20 11.31 0.00 0.00 37.70

2. Civil works 28.60 157.30 257.40 193.05 78.65 715.00

3. Road maintenance, hybrid–annuity model implementation and asset management 0.60 1.20 1.50 1.50 1.20 6.00

4. Consulting services 1.25 2.50 3.13 3.13 2.50 12.50

5. Project management 1.43 2.86 3.58 3.58 2.86 14.30

Subtotal Base Cost 45.08 177.06 276.91 201.25 85.21 785.50

B. Contingencies

1. Physical 3.60 5.40 7.20 9.00 10.80 36.00

2. Price 3.55 5.25 7.00 8.75 10.50 35.00

Subtotal Contingencies 7.10 10.65 14.20 17.75 21.30 71.00

C. Financing charges

1. Interest during construction 0.18 2.38 7.73 13.74 20.97 45.00

2. Commitment charges 0.35 0.59 0.35 0.13 1.07 2.50

Subtotal Financing Charges 0.53 2.98 8.09 13.86 22.04 47.50

Total Project Cost (Base Cost + Contingencies + Financing Charges)

52.71 190.68 299.20 232.87 128.55 904.00

Notes: a Numbers may not sum precisely because of rounding. b Minor environmental monitoring and implementation of resettlement plan and gender action plan costs are covered in component A. Source: Asian Development Bank.

H. Contract and Disbursement S-Curve

0

100

200

300

400

500

600

Am

ou

nt

($ m

illio

n)

Figure 2: Contract Award and Disbursement Projections

CA = contract award, Disb = disbursement, Q = quarter. Source: Asian Development Bank.

I. Fund Flow Diagram

The Government of Madhya Pradesh will furnish the MPRDC with sufficient budget for payments to the consultants and contractors based on submitted invoices. The MPRDC will then submit claims to the borrower, which will then submit to ADB. ADB will pay the borrower out of the loan, and the borrower will provide additional central assistance to the Government of Madhya Pradesh. The following diagram shows how the funds will flow from ADB and the borrower.

Figure 3: Fund Flow Diagram

Funds Flow Documents Flow

ADB = Asian Development Bank, CAAA = Controller of Aid Accounts and Audit, GOI = Government of India, GOMP = Government of Madhya Pradesh, INR = Indian rupees, MPRDC = Madhya Pradesh Road Development Corporation, PWD = Public Works Department. Source: Asian Development Bank.

ADB

Budget

Allo

catio

n

Department of Finance GOMP

Withdrawal Application

Ministry of Finance

Withdra

wal A

pplic

atio

n

Request fo

r F

und

ADB

Government of India

Government of Madhya Pradesh

MPRDC

CAAA

India Resident Mission

Controller

GOI Bank Account

PWD of GOMP

Civil works and other expenses

Rele

ase o

f fu

nds b

y P

WD

quart

erly

Vouchers

/Bill

s

Pa

ym

en

ts

Project Bank Account

(INR)

Ste

p 4

Ste

p 3

Ste

p 2

S

tep

1

V. FINANCIAL MANAGEMENT ASSESSMENT

Financial Management Assessment

The financial management assessment (FMA) was conducted in December 2018 in accordance with ADB’s Guidelines for the Financial Management and Analysis of Projects and Financial Due Diligence: A Methodology Note, and Technical Guidance Notes.13 The FMA considered the capacity of the existing agency, the Madhya Pradesh Road Development Corporation, a registered company of GOMP, including fund-flow arrangements, governance, staffing, budgeting, accounting and financial reporting systems, internal control procedures, financial information systems, and internal and external auditing arrangements.

The executing agency has satisfactory financial management capability to (i) record the required financial transactions, (ii) provide regular and reliable financial statements, (iii) provide reliable monitoring reports, and (iv) safeguard the financial assets. The executing agency also has the capacity to handle the proposed project. The minimum required policies and procedures are in place. The statutory audit of the executing agency and the project is currently carried out by the chartered accountants appointed by the Comptroller and Auditor General (CAG) of India. The executing agency is currently meeting ADB’s minimum financial management requirements for executing and implementing agencies with the recommended mitigation measures: (i) ensuring the retention of the contractual finance and accounts staff until the end of the project, (ii) enhancing annual and quarterly financial reporting, and (iii) ensuring regular training for the project’s financial management staff on ADB’s financial management procedures and requirements. The MPRDC has improved its financial management capacity compared with the FMA period during April 2016 in terms of overseeing regular fund flow to the project as well as trained staff. However, the submission of the MPRDC’s audited entity financial statements for fiscal year 2018 was delayed by more than 6 months compared to previous years, and this is an area that may need to be monitored in the future.

As part of the risk analysis for the project, inherent risk was assessed as low, and control risk was assessed as moderate.

Risk analysis. During the implementation phase, the MPRDC might face some risks that can generally be divided in two main categories: (i) country level, and (ii) organization/project level. Financial management risks shall need to be considered and updated throughout the life of the project. Risk mitigation measures shall also be updated accordingly. The risk assessment and risk mitigation measures are listed in Table 12.

13 ADB. 2005. Financial Management and Analysis of Projects. Manila.

http://www.adb.org/Documents/Guidelines/Financial/default.asp; ADB. 2009. Financial Due Diligence: A Methodology Note. Manila. http://www.adb.org/documents/financial-due-diligence-methodology-note; and ADB. 2015. Financial Management Technical Guidance Note. Manila. https://www.adb.org/sites/default/files/page/82468/financial-management-assessment.pdf.

Table 12: Financial Management and Internal Control Risk Assessment

Risk

Ris

k

Asse

ssm

en

t

Risk Description Mitigation Measures or Action Plans Inherent Risk 1. Country-specific risks

L No country-specific risks to this project

Not applicable.

2. Entity-specific risks L Experience of the executing agency in implementing the project

The MPRDC has implemented four ADB-funded projects in the past and is currently implementing one ADB-assisted project. The proposed project is the sixth one to be implemented with ADB funds.

3. Project-specific risks L No project- specific risks in this project

Not applicable.

Overall Inherent Risk L Control Risk 1. Executing agency L The MPRDC is

proposed to manage and implement the project

The executing agency and the implementing agency for the project is the MPRDC, a government company registered on 24 July 2004 under the Indian Companies Act. The MPRDC has implemented four ADB-funded projects and is implementing one ongoing ADB-assisted project. The executing agency has significant experience in ADB project implementation. Organizational capacity augmentation with experienced staff will further strengthen support for the existing organizational structure.

2. Fund flow L Timely release of counterpart funds to the project

ADB disbursement will follow the reimbursement procedure. Timely availability of counterpart funds will be ensured by the executing agency as per the proposed fund-flow arrangements. No systematic issues related to funds have been reported by the MPRDC during the implementation of earlier projects.

3. Staffing L Turnaround of dedicated finance and accounting staff for MPRDC

Dedicated finance and accounting staff are now in place at the MPRDC. Nine out of 11 staff in the finance and accounts wing are on contract basis. They are very experienced in ADB-funded projects and the MPRDC will maintain the current staff strength until the end of the project to promote smooth project implementation. In addition, training in ADB procedures is to be provided on a regular basis to ensure full compliance with ADB’s requirements.

4. Accounting policies and procedures

L There are no accounting policy risks to this project

The MPRDC follows the accrual basis accounting system. Financial statements are prepared to comply with the Generally Accepted Accounting Principles in India (Indian GAAP) including the Accounting Standards notified by the ICAI under the relevant provisions of the Companies Act 2013. The accounting software will be adjusted to separately account for the proposed project.

Risk

Ris

k

Asse

ssm

en

t

Risk Description Mitigation Measures or Action Plans 5. Internal audit L No risks identified with

regards to internal audit

The MPRDC outsourced the internal audit to a chartered accountant firm. The internal auditor conducts the internal audit on quarterly basis. Their reports are being reviewed and recommendations, if any, are adhered to. Internal auditors shall include project activities within their audit scope over the project implementation period.

6. External audit M No management letter submitted to ADB in the past year, and delay in submission of the 2017–2018 audited entity financial statement

The statutory audit is carried out by the chartered accountant selected from the panel approved by the CAG. Delays in approval and submission of the AEFS must be avoided and, consequently, the MPRDC must ensure that the AEFS is prepared and approved within the statutory schedule and submitted to ADB within 1 month after the MPRDC’s approval of the AEFS. As part of the annual audit of the project financial statements, the auditor is required to prepare a management letter, which is to be submitted to ADB together with the audit report.

7. Reporting and monitoring

M Some additional information required in the quarterly and annual financial reports submitted to ADB

There is a reporting system in the MPRDC that includes the physical and financial progress of each project. Additional financial management and/or financial information will be included in the quarterly progress reports and annual project financial statements.

8. Information systems M Optimal use of technology in the finance and accounts wing of the MPRDC for the preparation of accounts and reporting requirements

The MPRDC uses Tally-ERP software to record the accounting transactions. There is scope for improvement in implementing all functionality available in the software by customizing it to the requirements.

Overall Control Risk M H – High, S – Substantial, M – Moderate, L – Low. ADB = Asian Development Bank, AEFS = annual entity financial statements, CAG = Comptroller and Auditor General of India, ERP = enterprise resource planning, GAAP = Generally Accepted Accounting Principles, ICAI = Institute of Chartered Accountants of India, MPRDC = Madhya Pradesh Road Development Corporation. Source: Asian Development Bank.

It is concluded that (i) the overall pre-mitigation financial management risk of the MPRDC

is moderate, (ii) the overall post-mitigation financial management risk of the MPRDC is low, and (iii) the MPRDC has sufficient capacity to administer statement of expenditure (SOE) procedures under the proposed fund-flow scheme. The Madhya Pradesh Public Works Department and the MPRDC have agreed to implement an action plan with key measures to address the deficiencies. The financial management action plan presented in Table 13 summarizes the key risks, activities for mitigation, staff and/or personnel responsible, and agreed completion dates.

Table 13: Financial Management Action Plan Key Risks and Agreed Action Responsibility Timeframe

1. Maintain the strength of financial staff until the end of the project.

MPRDC Throughout the life of the project

2. Training in ADB procedures is to be ensured on a regular basis to enhance the staff’s financial management understanding of ADB’s policies and requirements.

ADB Throughout the life of the project

3. Include additional financial management information in the quarterly progress reports as agreed with ADB (e.g., sources and uses of funds, financial vs. physical progress, disbursement reports, status of audit recommendations, loan covenants, and financial management action plan, etc.).

MPRDC 45 days after the end of each quarter Throughout the life of the project

4. Include additional disclosures in the notes of the annual project financial statements to ensure full reconciliation between project financial statements and ADB disbursement records.

MPRDC Throughout the life of the project

5. Engage with the auditor to ensure the project is included in the auditor’s workplan and that the audit report, including the management letter, is submitted to ADB within 6 months after the end of the fiscal year.

MPRDC By loan effectiveness

6. Ensure that the audited entity financial statements are prepared and approved according to statutory requirements and submitted to ADB annually within 1 month after their approval.

MPRDC Throughout the life of the project

7. Internal auditors shall include project activities within their audit scope, over the project implementation period.

MPRDC Throughout the life of the project

ADB = Asian Development Bank, MPRDC = Madhya Pradesh Road Development Corporation. Source: Asian Development Bank.

Financial management risks and risk-mitigation measures should be reviewed and

updated throughout the life of the project. For effective implementation of the project, it is required to follow up and review with the MPRDC the implementation status of the recommendations on financial management. ADB missions will review the status on a semi-annual basis and suggest remedial measures, as appropriate.

Disbursement

1. Disbursement Arrangements for ADB Funds

The loan proceeds will be disbursed in accordance with ADB’s Loan Disbursement Handbook (2017, as amended from time to time), and detailed arrangements agreed upon between the government and ADB.14 Online training for project staff on disbursement policies and procedures is available.15 Project staff are encouraged to avail of this training to help ensure efficient disbursement and fiduciary control.

14 The handbook is available electronically from the ADB website: https://www.adb.org/documents/loan-

disbursement-handbook. 15 Disbursement eLearning: http://wqr4.adb.org/disbursement_elearning.

Statement of expenditure procedure. The SOE procedure may be used for reimbursement of eligible expenditures. Supporting documents and records for the expenditures claimed under the SOE should be maintained and made readily available for review by ADB’s disbursement and review missions, upon ADB’s request for submission of supporting documents on a sampling basis, and for independent audit.16

Neither ADB’s advance fund nor direct payment procedures will be used for the project.

Before the submission of the first withdrawal application, the MPRDC, through GOMP, should submit to ADB sufficient evidence of the authority of the person(s) who will sign the withdrawal applications on behalf of the borrower, together with the authenticated specimen signatures of each authorized person. The minimum value per withdrawal application is set in accordance with ADB’s Loan Disbursement Handbook (2017, as amended from time to time). Individual payments below this amount should generally be paid by the MPRDC and subsequently claimed to ADB through reimbursement. ADB reserves the right not to accept withdrawal applications below the minimum amount. The use of the Client Portal for Disbursements for submission of withdrawal applications to ADB will be considered mandatory.

2. Disbursement Arrangements for Counterpart Fund

The MPRDC will be responsible for (i) preparing disbursement projections, (ii) requesting budgetary allocations for counterpart funds, (iii) collecting supporting documents, and (iv) preparing and sending withdrawal applications to ADB.

Withdrawal applications and supporting documents will demonstrate, among other things, that the goods and/or services were produced in or from ADB member countries and are eligible for ADB financing.

All disbursements under government financing will be carried out in accordance with the regulations of the Government of India and the Government of Madhya Pradesh, and accounting principles acceptable to ADB.

Accounting

The MPRDC will maintain separate project financial statements and records by funding source for all expenditures incurred on the project following the cash-based accounting system that follows government’s financial regulations. The MPRDC will prepare project financial statements in accordance with accounting principles and practices prescribed by the government’s accounting laws and regulations that are consistent with international accounting principles and practices.17

Template financial statements provided in the Standardized Terms of Reference for the audit of ADB-assisted projects, agreed with the Comptroller and Auditor General of India, the Department of Economic Affairs, and ADB, can be referred to as a guide for preparing financial statements, as relevant with necessary modifications. Accordingly, the expected disclosures in the project financial statements will include at least the following:

16 SOE forms are available in Appendix 7B and 7D of ADB’s Loan Disbursement Handbook (2017, as amended from

time to time). 17 Government laws and regulations and following Indian Generally Accepted Accounting Principles.

(i) statement of cash receipts (by financing source) and payments (by expenditure category) for the current reporting period, past reporting period, and cumulative to date;

(ii) statement of expenditure by category and financier for the year/period end; (iii) statement of disbursement, disclosing all funds claimed from ADB by disbursement

method, total expenditure claimed for the current reporting period, past reporting period, and cumulative to date. The notes of the financial statements should include a detailed list of all withdrawal applications submitted to ADB, and the amounts paid by ADB as follows: (a) withdrawal application number, (b) the amount claimed and currency, (c) date submitted, and (d) disbursement method and the amount disbursed by ADB;

(iv) disbursement claimed under SOE procedure for the reporting period; (v) statement of appropriation vs. actual expenditures. Any significant variances must

be duly explained; (vi) expenditure by output/components for the current reporting period, past reporting

period, and cumulative to date; and (vii) notes of the financial statements disclosing the used accounting standards and

policies and other relevant information and explanations.

Moreover, the MPRDC will ensure that the following financial information are included in the quarterly progress reports to be submitted to ADB within 45 days after the end of the quarter:

(i) statement of sources and uses of funds by expenditure category; (ii) cash payments by component and/or output; (iii) financial vs. physical progress report (cumulative since the start of the project and

for the fiscal year); (iv) expenditure forecast for the next 6 months; (v) list of signed contracts; and (vi) follow-up status on the (a) Financial Management Action plan, (b) compliance with

financial loan covenants, (c) past external and internal audit observations related to the project, and (d) agreed actions from review missions.

Auditing and Public Disclosure

The MPRDC will cause the detailed consolidated project financial statements to be audited

in accordance with the government’s audit regulations by an auditor appointed by the Controller and Auditor General, which is acceptable to ADB. The audited financial statements and the management letter will be submitted in the English language to ADB within 6 months of the end of the fiscal year by the executing agency. In case the auditor does not issue a management letter, the auditor must certify that no internal control issues were identified as part of the audit.

The audited entity financial statements of the MPRDC, together with the auditor’s report and management letter, will be submitted in English to ADB within 1 month after their approval by relevant authorities.

The audit report for the project financial statements will include a management letter and auditor’s opinions, which cover (i) whether the project financial statements present an accurate and fair view or are presented fairly, in all material respects, in accordance with the applicable financial reporting standards; (ii) whether the proceeds of the loan were used only for the purpose(s) of the project; and (iii) whether the borrower or executing agency was in compliance with the financial covenants contained in the legal agreements (where applicable).

The government and the MPRDC have been made aware of ADB’s approach to delayed submission, and the requirements for satisfactory and acceptable quality of the audited project financial statements.18 ADB reserves the right to require a change in the auditor (in a manner consistent with the constitution of the borrower), or for additional support to be provided to the auditor, if the audits required are not conducted in a manner satisfactory to ADB, or if the audits are substantially delayed. ADB reserves the right to verify the project's financial accounts to confirm that the share of ADB’s financing is used in accordance with ADB’s policies and procedures.

Compliance with financial reporting and auditing requirements will be monitored by review missions and during normal program supervision, and followed up regularly with all concerned, including the external auditor.

Public disclosure of the audited project financial statements, including the auditor’s opinion

on the project financial statements, will be guided by ADB’s Access to Information Policy.19 After the review, ADB will disclose the audited project financial statements and the opinion of the auditors on the project financial statements no later than 14 days of ADB’s confirmation of their acceptability by posting them on ADB’s website. The management letter, additional auditor’s opinions, and audited entity financial statements will not be disclosed.20

Internal audit continues to be undertaken by the MPRDC and internal auditors shall also

include project activities within their audit scope, over the project implementation period.

VI. PROCUREMENT AND CONSULTING SERVICES

A. Advance Contracting and Retroactive Financing

All advance contracting and retroactive financing will be undertaken in conformity with ADB Procurement Policy (2017, as amended from time to time) and Procurement Regulations for ADB Borrowers (2017, as amended from time to time). The issuance of invitations to bid under advance contracting and retroactive financing will be subject to ADB approval. The borrower and the MPRDC have been advised that approval of advance contracting and retroactive financing does not commit ADB to finance the project.

Advance contracting. Activities to be concluded in advance include the procurement of 32 civil work contracts and the recruitment of five independent engineer consulting firms.

18 ADB’s approach and procedures regarding delayed submission of audited project financial statements:

(i) When audited project financial statements are not received by the due date, ADB will write to the executing agency advising that (a) the audit documents are overdue; and (b) if they are not received within the next 6 months, requests for new contract awards and disbursement such as new replenishment of advance accounts, processing of new reimbursement, and issuance of new commitment letters will not be processed.

(ii) When audited project financial statements are not received within 6 months after the due date, ADB will withhold processing of requests for new contract awards and disbursement such as new replenishment of advance accounts, processing of new reimbursement, and issuance of new commitment letters. ADB will (a) inform the executing agency of ADB’s actions; and (b) advise that the loan may be suspended if the audit documents are not received within the next 6 months.

(iii) When audited project financial statements are not received within 12 months after the due date, ADB may suspend the loan.

19 ADB. Access to Information Policy. 20 This type of information would generally fall under public communications policy exceptions to disclosure. ADB. 2018.

Access to Information Policy. Paragraphs 17(iv) and/or 17(v).

Retroactive financing. Withdrawals from the loan account may be made to finance eligible expenditures incurred under the project before the effective date, but not earlier than 12 months before the date of the loan agreement for this project, in connection with items to be retroactively financed, subject to a maximum amount equivalent to 20% of the loan amount.

B. Procurement of Goods, Works, and Consulting Services

All procurement including consulting services to be financed by ADB will follow the ADB Procurement Policy (2017, as amended from time to time) and Procurement Regulations for ADB Borrowers (2017, as amended from time to time).

Under open competitive bidding with national advertisement, before the start of any procurement, ADB and the government will review the public procurement laws of the central and state governments to ensure consistency with ADB’s Procurement Regulations for ADB Borrowers (2017, as amended from time to time).

An 18-month procurement plan indicating threshold and review procedures, goods, works, consulting service contract packages, and open competitive bidding with national advertisement guidelines is in Appendix 1.

All consultants will be recruited according to ADB’s Procurement Regulations for ADB Borrowers (2017, as amended from time to time).21

An estimated 8,217 person-months of consulting services (15 person-months for international consultants, 8,202 person-months for national consultants) are required for construction supervision and institutional capacity. Consulting firms will be engaged using the quality- and cost-based selection method with a standard quality–cost ratio of 80:20.

C. Procurement Plan

The procurement plan is in Appendix 1 and describes all procurement of works and consulting services. D. Consultant’s Terms of Reference

The outline terms of reference for all consultant contracts are provided in Appendices 2, 3, 4, and 5. E. Project Procurement Risk Assessment

The project procurement risk assessment was prepared in accordance with ADB’s Guide on Assessing Procurement Risks and Determining Project Procurement Classification in August 2015. Preparation activities included reviewing documents, assessing ADB’s and the MPRDC’s ongoing procurement experience, and undertaking interviews with the Procurement Department of the MPRDC.

The project procurement risk is rated high. MPRDC has substantive prior experience with ADB procurement from five previous loans, including large contracts using international

21 Checklists for actions required to contract consultants by method available in ADB’s Handbook on Project

Implementation at https://www.adb.org/documents/handbook-project-implementation.

advertisement, and in the procurement of PPP contracts via BOT and EPC contracts. Contracts for this project have been bundled into packages to attract qualified contractors and business opportunity seminars were conducted, which had received good responses from potential bidders. However, since the private sector’s interest and financing appetite are beyond the MPRDC’s control, the risk after mitigation is retained as high.

F. E-Procurement

This project will use the Government eProcurement System of the National Informatics Centre (GePNIC) system, which is a central public procurement portal developed, hosted, monitored, and supported by the National Informatics Centre of the Government of India. The electronic procurement system has been assessed and approved by ADB’s Procurement, Portfolio and Financial Management Department for use in ADB-financed projects on 21 February 2019.

VII. SAFEGUARDS

Prohibited investment activities. Pursuant to ADB’s Safeguard Policy Statement (SPS) (2009), ADB funds may not be applied to the activities described on the ADB Prohibited Investment Activities List set forth in Appendix 5 of ADB’s SPS.

Environmental Safeguards

The project is classified as B for environment. The scope of work includes rehabilitation and upgrading of state highways and major district roads. There is adequate right-of-way available for all sample subprojects and impacts are localized, temporary, and can be easily mitigated. No long-term and irreversible impacts are anticipated.

Two initial environmental examinations (IEE) with subproject-specific environmental management plans (EMPs) have been prepared for Batch 1 roads, which include the eight sample subprojects and 11 non-sample subprojects.22 As required for sector projects, an environmental assessment and review framework (EARF) has been prepared to provide guidance on the environmental safeguard requirements for non-sample subprojects that will be finalized after project approval. The framework subscribes to both the Government of India’s environmental assessment guidelines and ADB’s SPS. No category A subprojects will be financed under the project.

All the requisite permits and clearances and no-objection letters must be secured by the MPRDC prior to commencing construction works. The contractor likewise must secure permits for the operation of hot mix plants, equipment and machinery, quarries, borrow areas, groundwater, and other applicable permits before construction starts.

Contract documents will include the subproject-specific environmental management plan. The EMP details the specific activities for each phase of the subproject (pre-construction, construction, and operation), predicted impacts that will be generated, recommended mitigation and enhancement measures, supervision and monitoring responsibilities, and the timeline and budget to implement the plan. The environmental monitoring plan (EMoP) will be used to monitor

22 Each IEE covers groups of roads that are located within the same geographic region. Based on this and advanced

availability of information for some non-sample roads, it was possible to prepare the IEE covering some non-sample roads in addition to the sample roads.

various environmental quality parameters and to verify the effectiveness of EMP implementation. The EMoP consists of monitoring the quality of air, water, and noise through onsite monitoring or laboratory tests. The EMoP also monitors the physical environment of subprojects such as soil erosion, cutting and planting of vegetation, and disposal of solid wastes. It also monitors impacts on occupational and community health and safety. Air, water, and noise quality testing will be done by independent laboratories outsourced by the contractor. Physical monitoring activities, on the other hand, will be done by the independent engineer. The MPRDC will be responsible for vegetation planting and maintenance by either including the activities in construction activities or through government agencies responsible for tree plantation and maintenance.

The responsibilities of different parties and agencies in the implementation of

environmental safeguards include the following:

Madhya Pradesh Road Development Corporation: Ensure compliance of the project with the ADB SPS (2009) and the Government of India’s environmental laws and regulations. Ensure compliance of all environmental safeguard requirements as stated in the EARF, IEE, EMP, and loan agreement for the project. Submit annual monitoring reports for all subprojects on the implementation of EMPs to ADB for disclosure on the ADB website.

Environment expert, Environment and Social Cell, MPRDC: Ensure the

implementation and monitoring of IEE and EMP requirements for each subproject. Ensure the EARF is complied with during the preparation and finalization of all non-sample subprojects that will be identified during project implementation. Review and approve the annual monitoring reports on the implementation of EMPs for all subprojects submitted by the construction supervision consultants and further submit these to ADB for disclosure on the ADB website.

Project implementation unit (division offices in the MPRDC): Ensure the

project complies with the Government of India’s laws and regulations and the ADB SPS (2009), as well as all environmental safeguard requirements in the EARF, IEE, and EMP. Ensure that all necessary regulatory clearances will be obtained prior to commencement of any civil works. Ensure that construction workers have a safe and healthy working environment in accordance with the World Bank Environmental, Health, and Safety guidelines relating to occupational health and safety. Ensure the timely submission to the MPRDC of the annual monitoring reports for all subprojects on the implementation of EMPs, and for further submission to ADB for disclosure on the ADB website.

Construction supervision consultant (Independent engineer): Provide

necessary technical advice and support to the project implementation unit (PIU) and/or contractor to secure clearances from relevant government agencies. Ensure that contractors understand their responsibilities to mitigate environmental problems associated with their construction activities. Conduct regular onsite monitoring to ensure proper implementation of the EMP and EMoP. Prepare annual monitoring reports for all subprojects on the implementation of EMPs for submission to the PIU and MPRDC and for further submission to ADB for disclosure on the ADB website.

Contractor: Implement all mitigation measures as given in the EMP in the contract

documents. Implement the EMoP and contract a third party monitoring laboratory

for monitoring of air and water quality and noise levels. Obtain the necessary environmental permission or no-objection certificate, etc. from relevant agencies as specified by the IEE and EMP for project road works, quarries, borrow areas, hot mix plant, etc. prior to commencement of civil works contracts. Ensure compliance with environmental statutory requirements and contractual obligations.

Involuntary Resettlement

The project is categorized B per the ADB SPS (2009). A resettlement framework has been

prepared for the sector project in accordance with (i) the Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013 (Land Acquisition Act, 2013); (ii) state laws and regulations; and (iii) the ADB SPS (2009). The resettlement framework guides the screening and planning for all subprojects that have resettlement impacts. Displaced persons (titleholders and non-titleholders) will be compensated at replacement cost and the rates for different categories of loss and special assistance are detailed in the resettlement framework. The project was developed with a view to avoid land acquisition and involuntary resettlement by adopting the most feasible technical design. The proposed improvement of roads will all occur within the existing right-of-way. The sample subprojects are representative of the kinds of impact likely to be encountered in non-sample roads. No category A subprojects will be financed under the project.

For the eight sample subprojects, meaningful consultation and information disclosure were undertaken during preparation. No land acquisition is envisaged. A resettlement plan has been prepared for each of the sample subprojects. The MPRDC will implement resettlement and rehabilitation measures as provided in the resettlement plans. For non-sample subprojects with resettlement impacts, resettlement plans will be prepared in accordance with the provisions made in the resettlement framework.

For non-sample roads, and if any changes or additional land requirements or involuntary

resettlement impacts are identified during implementation for any subproject, a resettlement plan or due diligence report will be prepared or updated. ADB’s prior approval will be obtained before awarding of civil works contracts or before further implementation of the relevant section of the subprojects.

The MPRDC will (i) carry out meaningful consultation with project affected persons during

the entire project; (ii) implement the subprojects in accordance with the resettlement framework and resettlement plans prepared; (iii) ensure that all displaced persons are paid compensation and assistance prior to displacement; (iv) ensure that the land is made free of encumbrances and obstructions from the related section required to be handed over to the civil works contractor and prior to commencement of construction thereof in accordance with the work schedule under the related civil works contract; (v) establish an efficient grievance redress mechanism to assist affected persons to resolve grievances and complaints, if any, in a timely manner; and (vi) provide semi-annual progress reports to ADB.

Resettlement plans and their implementation will be monitored internally by the MPRDC

and the independent engineers engaged by the MPRDC.

The roles and responsibilities of various agencies that will be involved in the resettlement planning process and implementation of resettlement activities are summarized in Table 14.

Table 14: Agencies Responsible for Resettlement Implementation Key Agency Responsibility

Executing agency: Government of Madhya Pradesh through the Madhya Pradesh Road Development Corporation

• Make the final decision on roads to be included under the sector loan. • Assume overall responsibility for subproject design, feasibility,

construction, operation, and guidance of the PIU. • Ensure that sufficient funds are available to properly implement all

agreed social safeguard measures. • Ensure that all subprojects comply with the provisions of the ADB

SPS (2009) and the Government of India’s policies and regulations. • Submit semi-annual safeguards monitoring reports to ADB. • Submit quarterly gender action plan progress reports to ADB.

Project implementation unit (i) District Level • Supervise resettlement plan implementation. • Ensure the establishment of the GRC at the district level for grievance

redress with assistance from DPR consultants.

(ii) Field Level • Supervise disclosure of project information in public spaces and

through relevant media. • Disseminate project information to the community in coordination with

DPR consultants. • Facilitate the socioeconomic survey and census. • Facilitate consultation by the civil works contractor with the

community throughout project implementation. • Implement the resettlement plan. • Supervise the mitigation measures during implementation and its

progress.

• Conduct internal monitoring and prepare reports. DPR consultants • Undertake consultations involving the community and displaced

persons. • Conduct baseline socioeconomic survey. • Conduct census of displaced persons and prepare inventory of loss. • Complete the screening checklist. • Prepare the resettlement plan if involuntary resettlement safeguards

are triggered as per the ADB SPS (2009). • Prepare due diligence report if there is no land acquisition.

• Encourage the community and/or displaced persons to be proactive during the project implementation.

Independent engineer • Assist the PIU in the preparation of the resettlement plan and the due diligence report as per the ADB SPS (2009).

• Assist the PIU in resettlement plan implementation. • Provide technical support and advice for addressing complaints and

grievances and participate in resolving issues as a member of the GRC.

• Provide technical advice and on-the-job training to the contractors as necessary.

• Prepare semi-annual monitoring reports based on the monitoring checklists and submit these to the PIU for further submission to ADB.

Contractor • Consult the community and the PIU regarding the location of construction camps.

• Sign agreements with titleholders for temporary use of land and restore the land to equal or better condition upon project completion.

Key Agency Responsibility

• Commence construction only when the alignment is free of encumbrance.

• Respond in a timely fashion to recommendations from GRCs. ADB • Review the due diligence and/or the resettlement plan and endorse or

modify the project classification. • Review planning documents and disclose the draft and final reports

on the ADB website, as required. • Monitor implementation through review missions. • Provide assistance to the executing and implementing agencies of

subprojects, if required, to help carry out their responsibilities and for building capacity for safeguard compliance.

• Monitor overall project compliance to the ADB SPS (2009). ADB = Asian Development Bank, DPR = detailed project report, GRC = Grievance redress committee, PIU = project implementation unit, SPS = Safeguard Policy Statement. Source: Asian Development Bank.

Indigenous Peoples

The project is categorized B as per the ADB SPS (2009). An indigenous peoples planning

framework (IPPF) has been prepared to guide the screening and preparation of planning documents for non-sample subprojects. Subprojects with significant impacts and categorized A in accordance with the ADB SPS (2009) on indigenous peoples will not be financed. In accordance with the framework, if any impacts on indigenous people are identified in the subsequent subprojects, the executing agency will prepare an indigenous peoples plan and submit it to ADB for approval before the award of the related civil works contract and see to its implementation before the commencement of the relevant section of the civil works contract, as applicable.

HIV/AIDS and Human Trafficking

The MPRDC will ensure that all civil works contractors will carry out awareness programs for workers on the risks of sexually transmitted diseases, sexual harassment, exploitation and abuse (SHEA), and human trafficking, and disseminate information at worksites on the risks of sexually transmitted diseases as part of occupational health and safety measures for those employed during construction. Contracts for all project roads will include specific clauses on these undertakings, and compliance will be strictly monitored by the MPRDC with the support of independent engineers during project implementation.

In project affected villages, the contractor will conduct separate awareness programs on HIV/AIDS, human trafficking, and SHEA on a semi-annual basis for men and women to address specific needs and questions from each group. The independent engineer’s gender expert will advise on content of the awareness program, and monitor and report on the status of implementation, including sex-disaggregated data on participants. The executing agency and implementing agency staff, consultants, and contractors will be oriented on SHEA. Health camps will raise awareness of community members (women, children, and adolescents) on gender-based violence, SHEA risks and mitigation, and legal rights.

VIII. GENDER AND SOCIAL DIMENSIONS

Gender

The project is classified as effective gender mainstreaming. A gender action plan (GAP) is prepared for the project and includes 21 activities with measurable indicators (Table 15). The gender assessment during the project preparatory stage guided the GAP design that follows a multipronged approach to gender mainstreaming. The GAP activities will (i) enhance women’s economic and human development opportunities; (ii) build institutional gender capacities; (iii) promote gender responsive infrastructure design features and awareness on pro-women schemes; (iv) create spaces for women’s participation in decision-making and leadership; and (v) raise awareness on SHEA, breast and cervical cancer symptoms, and risk factors by organizing special health camps for women. The GAP integrates a component on capacity and institutional strengthening of private partners (independent engineers) toward sustained gender parity, with an objective to promote gender equality at the workplace leading to strong and sustainable institutional gender policies and practices. The sustained gender parity component will include a budget of $0.3 million and will be implemented through a consulting firm. The MPRDC, with support from the gender consultants, will be responsible for GAP implementation, enforcement, and monitoring. The MPRDC will nominate a dedicated staff as gender focal point to oversee and monitor GAP implementation.

Table 15: Gender Action Plan Activity Indicator and Targets Responsibility Timeline

Output 1: State highways upgraded to two-lane and all-weather roads

1.1. State highways upgraded infrastructure incorporates EWCD-friendly design and safety measures

1. About 750 km of state highways upgraded with EWCD-friendly featuresa and road safety measuresb at appropriate locations (2018 baseline: 0)

MPRDC, Independent engineers

Year 1–4

1.2. EWCD-friendly bus shelters constructed in state highwaysc

2. About 350 bus shelters constructed in state highways MPRDC, Independent engineers

Year 1–4

1.3. Solar light provision included in bus shelters close to educational and health facilities on a pilot basis

3. 30% of bus shelters identified and fitted with solar lights MPRDC, Independent engineers

Year 1–4

1.4. Information on women-specific schemes, women empowerment, and helpline numbers included in bus shelters

4. 100% bus shelters display information on women-focused and poverty alleviation schemes and helpline numbersd

MPRDC, Independent engineers

Year 3-4

1.5. Health camps organized at different habitations alongside the highway with representation of women community members

5. 15 health camps organized for community members (minimum 30 attendees per health camp with at least 40% women)e 6. 2 health camps for women on breast and cervical cancer awareness (Target: 100% women)

MPRDC, Independent engineers

Year 1–2

1.6. Road safety awareness campaigns planned for schools and college students

7. 75 campaigns organized for at least 30 persons per campaign (target: 40% women)

MPRDC, Independent engineers

Year 1–2

1.7. Contractors encouraged to engage female workforce in construction across skilled and unskilled categories

8. Contactors provided with an advisory on enhancing female workforce participation and maintaining sex-disaggregated data on construction workers

MPRDC, Independent engineers

Year 1–4

Output 2. Single-lane major district roads upgraded to intermediate-lane and all-weather roads

2.1. Major district roads upgraded, infrastructures incorporate EWCD-friendly design and safety measures

9. About 850 km of major district roads upgraded with EWCD-friendlya and road safety featuresb at appropriate locations (2018 baseline: 0)

MPRDC, Independent engineers

Year 1–4

2.2. EWCD-friendly bus shelters constructed on district roadsc

10. About 420 bus shelters constructed on district roads MPRDC, Independent engineers

Year 1–4

2.3. Solar light provision included in bus shelters close to educational and health facilities on a pilot basis

11. 30% of bus shelters identified and fitted with solar lights MPRDC, Independent engineers

Year 1–4

2.4. Information on women-specific schemes, women empowerment, and helpline numbers included in bus shelters

12. 100% bus shelters display information on women- focused and poverty alleviation schemes and helpline numbersd

MPRDC, Independent engineers

Year 3-4

2.5. Health camps organized at different habitations alongside the district roads with equal representation of women community members

13. 15 health camps organized for villagers (minimum 30 attendees per health camp with at least 40% women)e 14. 3 health camps for women on breast and cervical cancer awareness (Target: 100% women)

MPRDC, Independent engineers

Year 1–2

2.6. Road safety awareness campaigns planned for schools and college students

15. 75 campaigns organized for at least 30 persons per campaign (target: 40% women)

MPRDC, Independent engineers

Year 1–2

Activity Indicator and Targets Responsibility Timeline

Output 3. Capacity for hybrid–annuity model implementation, road asset maintenance and management improved 3.1. Strengthen gender parity in private partners’ institutional and operational strategies

16. 50% of private partners show improvement in the gender parity indexf

MPRDC, Consultant for institutional

strengthening for private partners

Year 1–4

3.2. Gender capacity trainings organized for private partners

17. 10 trainings organized (2 each) for 5 independent engineers (2018 baseline: 0)

Year 1–4

3.3. HAM contracts reviewed and recommendations on relevant gender-specific provisions provided

18. 32 HAM contracts with relevant gender-specific provisions signedg (2018 baseline: 0)

MPRDC Year 1–4

3.4. Organize technical and management capacity building trainings for MPRDC staff

19. At least 300 staff reported increased knowledge in technical and management capacity of road sector (Target: at least 15% eligible women staff)h (2018 baseline: 0)

MPRDC Year 1–4

3.5. Organize gender trainings and GAP orientation for MPRDC and PIU staff

20. One training organized each year (4 trainings) (2018 baseline: 0)

MPRDC, Gender specialist consultant

Year 1–4

3.6. MPRDC oversees implementation, enforcement, and monitoring of GAP

21. GAP progress monitored regularly and reported every quarter with project quarterly progress reports 22. Gender focal point in MPRDC nominated 23. Gender specialist consultant recruited

MPRDC, Gender specialist consultant

Year 1–4

3.7. Project PMIS includes gender-specific information and sex disaggregated data, as relevant

24. Sex-disaggregated data on staff, consultants, construction workforce participation, social forestry labor, and project related trainings are maintained and updated regularly

MPRDC, Gender specialist consultant

Year 1–4

3.8. Women self-help groups and Mahatma Gandhi National Rural Employment Guarantee Act job card holders (women) engaged in social forestry (sapling plantations)

25. 195,000 saplings planted (Target: 30% women self-help group members)

MPRDC, Independent engineers

Year 1–4

EWCD = elderly–women–children–differently abled, HAM = hybrid–annuity model, GAP = gender action plan, km = kilometer, MPRDC = Madhya Pradesh Road Development Corporation, PIU = project implementation unit, PMIS = project management information system. a EWCD-friendly features include well-marked crossings, safety signage, and pedestrian walkways. b Road safety features include geometric improvement, introduction of safety and crash barriers, drainage improvement, rigid pavement in urban areas to reduce

likelihood of potholes, and proper pavement markings. C A study on Women's Safety in Public Transport, A Pilot Initiative in Bhopal (Madhya Pradesh), points that lack of bus shelter is one of the biggest problems

highlighted by women commuters. The survey of the routes showed that more than 50% of the designated stops did not provide a bus shelter. The study findings indicate that lack of shelters (i) makes it especially difficult for women passengers since they travel more frequently with packages or with dependents than men, and (ii) makes women avoid using public transport services since it is not able to provide safety and comfort. The bus shelter guidelines include lighting as an important component for women’s safe mobility and public transport usage.

d The Information, Education and Communication (IEC) developed by the Women and Child, Rural Development and Panchayati Raj Departments will be displayed. e Health camps will include an awareness component on gender-based violence, sexual harassment, exploitation, and abuse (SHEA). f Gender Parity Index will be prepared for five independent engineers. The component will include a package of interventions to strengthen institutional gender

mainstreaming capacities and to promote gender equality measures in private partners’ human resource policies and operations. The component will also strengthen institutional policies on prevention of sexual harassment and abuse at the workplace.

g Gender-specific provisions will include but not be limited to compliance on labor laws related to children and women; HIV and SHEA trainings; sex-disaggregated data on workforce participation for unskilled, semi-skilled, skilled categories and site supervisors, and engaging women self-help groups in social forestry.

h The staff sex ratio during project preparation was 6%. Equal opportunity will be extended to all eligible female staff, based on the staff composition when training is organized. Staff and training data will be maintained and published in a sex-disaggregated manner.

Source: Asian Development Bank.

Health and Labor

The MPRDC will ensure that specific clauses will be included in bidding documents to see to it that civil works contractors (i) comply with all applicable labor laws, regulations, health, safety, welfare, sanitation, working conditions; do not employ child labor for construction and maintenance activities; and provide appropriate facilities for women and children at construction campsites; (ii) prioritize employment of project displaced persons; (iii) prioritize employment of women from project affected areas wherever possible; (iv) do not differentiate wages between men and women for work of equal value; and (v) carry out HIV/AIDS and SHEA awareness programs for labor and disseminate information at work sites on the risks of sexually transmitted diseases and HIV/AIDS as part of health and safety measures for those employed during construction. Such contracts shall also include clauses for termination in case of any breach of the stated provisions by the contractors. The MPRDC shall cooperate with the Labor Department to monitor the implementation of the clauses. The independent engineer consultants will monitor the implementation and provide data on women and project displaced persons who are employed.

IX. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND COMMUNICATION

A. Project Design and Monitoring Framework

Table 16: Design and Monitoring Framework of the Project

Impact the Project is Aligned with:

Mobility and connectivity in India improved (Strategy for New India @ 75)a

Results Chain Performance Indicators with

Targets and Baselines Data Sources and

Reporting Mechanisms Risks Outcome By 2025: Road transport efficiency and safety in Madhya Pradesh improved

a. Vehicle-km on project roads increased to 9.0 million (2018 baseline: 6.5 million vehicle-km) (RFI A) b. Average travel time on project roads reduced by 20% (2018 baseline: 2.2 minutes/km) c. Vehicle operating cost (economic) on the project roads reduced by 20% for cars and trucks (2018 baseline: ₹6.8/km for cars and ₹20.9/km for medium trucks) d. Reported serious and fatal accidents on the project roads reduced by 20% (2018 baseline: 111 in a year)

a–c. MPRDC’s post-implementation measurement d. Data from police stations nearest to the project roads

Significant road damage from extreme weather events beyond projections may affect road use.

33

Results Chain Performance Indicators with

Targets and Baselines Data Sources and

Reporting Mechanisms Risks Outputs By 2024: 1. State highways upgraded to two-lane and all-weather roads

1a. At least 750 km of state highways upgraded with EWCD-friendly featuresb and road safety measuresc at appropriate locations (2018 baseline: 0) (RFI B) 1b. At least 450 community members participated in health camps, with at least 40% womene (2018 baseline: 0)

1a–b. MPRDC progress reports (independent engineers)

Increased domestic demand for skilled staff beyond projections leads to high turnover in key MPRDC staff during implementation.

2. Single-lane major district roads upgraded to two-lane and all-weather roads

By 2024: 2a. At least 850 km of major district roads upgraded with EWCD-friendlyb road safety featuresc at appropriate locations (2018 baseline: 0) (RFI C) 2b. At least 450 community members participated in health camps, with at least 40% womene (2018 baseline: 0)

2a–b. MPRDC progress reports (independent engineers)

Economic downturn might disrupt PPP financing arrangements.

3. Capacity for HAM implementation, and road asset maintenance and management improved

By 2024: 3a. At least 32 HAM contracts administered (2018 baseline: 0) 3b. Road asset inventory conducted and e-maintenance system for major district roads and state highways operationalized (2018 baseline: not applicable) 3c. 50% of private partners show improvement in the gender parity index f (2018 baseline: 0) 3d. At least 300 staff, of whom at least 15% are women, reported increased knowledge in HAM implementation and project financing options for roadsg (2018 baseline: 0)

3a. Awarded HAM contracts 3b. MPRDC progress reports 3c. GAP quarterly report 3d. MPRDC training reports

Key Activities with Milestones 1. State highways upgraded to two-lane and all-weather roads 1.1 Award and mobilize construction supervision consultant (independent engineer) by Q4 2019 1.2 Award all contracts commencing from Q4 2019 and complete construction by Q4 2023

2. Single-lane major district roads upgraded to two-lane and all-weather roads 2.1 Award and mobilize construction supervision consultant (independent engineer) by Q4 2019 2.2 Award all contracts commencing from Q4 2019 and complete construction by Q4 2023 3. Capacity for HAM implementation, and road asset maintenance and management improved 3.1 Develop e-maintenance system for state highways and major district roads by Q1 2024 3.2 Complete road construction and start road maintenance by the concessionaire by Q1 2024 3.3 Prepare gender parity index and disseminate findings by Q1 2024 Project Management Activities Establish PIUs by Q1 2019 Complete resettlement plan by Q4 2019 Make counterpart funds available by Q2 2019 Ensure adequate mechanism for oversight of GAP implementation in place at the MPRDC and PIUs Submit quarterly monitoring reports on GAP Train 100% of PIU and PMU staff on GAP provisions and ADB requirements on GAP implementation, monitoring, and reporting by Q4 2021

Inputs ADB: $490 million (loan) Government: $128 million Private sector: $286 million Assumptions for Partner Financing Not Applicable ADB = Asian Development Bank; EWCD = elderly, women, children, disabled; GAP = gender action plan; HAM = hybrid–annuity model; km = kilometer; MPRDC = Madhya Pradesh Road Development Corporation; PIU = project implementation unit; PMU = project management unit; PPP = public–private partnership; Q = quarter; RFI = results framework indicators; SHG = self-help group. Contribution to the ADB Results Framework: RFI A: Use of roads built or upgraded. Target: 9 million average daily vehicle-kilometers in the first full year of operation. RFI B: Roads built or upgraded – state highways. Target: 750 kilometers. RFI C: Roads built or upgraded – major district roads. Target: 850 kilometers. a National Institution for Transforming India Aayog. 2018. Strategy for New India @ 75. New Delhi. b EWCD-friendly features include well-marked crossings, safety signage, and pedestrian walkways. c Road safety features include geometric improvement, introduction of safety and crash barriers, drainage

improvement, rigid pavement in urban areas to reduce likelihood of potholes, and proper pavement markings. d Information, education, and communication developed by the women and child, rural development, and panchayati

raj departments will be displayed. e Health camps will include an awareness component on gender-based violence, sexual harassment, exploitation, and

abuse. f The gender parity index will be prepared for five independent engineering firms. The component will include a

package of interventions to strengthen institutional gender mainstreaming capacities and promote gender equality measures in private partners’ human resources policies and operations. It will also strengthen institutional policies on the prevention of sexual harassment and abuse in the workplace.

g Women comprised 6% of staff during project preparation. Equal opportunity will be extended to all eligible female staff, based on the staff composition when training is organized. Staff and training data will be maintained and published in a sex-disaggregated manner.

Source: ADB.

B. Monitoring

Project performance monitoring. The achievement of the project performance targets will be assessed following the design and monitoring framework. The MPRDC through the independent engineers will establish a project performance management system. A project completion report will be submitted within 6 months of physical completion or at such later date as ADB may agree, providing detailed evaluation of the progress of implementation, costs, consultant performance, social and economic impacts, and other details requested by ADB.

35

Compliance monitoring. Compliance with covenants will be monitored through ADB's

project administration missions, including the (i) project inception mission to discuss and confirm the timetable for compliance with the loan covenants; (ii) the project review missions to review the borrower's compliance with particular loan covenants and, where there is any noncompliance or delay, discuss proposed remedial measures with the government; and (iii) the midterm review mission to assess whether covenants are still relevant or need to be changed or waived due to changing circumstances.

Safeguards monitoring. The Environment and Social Cell in the MPRDC will be responsible for overall internal monitoring and evaluation of the project progress for social safeguards. If there is involuntary resettlement, the internal monitor will monitor and verify resettlement plan implementation to determine whether resettlement goals have been achieved and livelihood and living standards have been restored, and provide recommendations for improvement. Monitoring will also ensure the recording of displaced persons’ views on resettlement issues such as displaced persons’ understanding of entitlement policies, options, and alternatives; site conditions; compensation valuation and disbursement; grievance redress procedures; and staff competencies. The monitoring reports will be sent to ADB twice a year. If significant non-compliance issues are identified, the MPRDC is required to prepare a corrective action plan to address such issues. The MPRDC will document monitoring results, identify the necessary corrective actions, and reflect them in a corrective action plan. The MPRDC, in each quarter, will study the compliance with the action plan developed in the previous quarter. Compliance with loan covenants will be screened by the MPRDC.

Gender action plan monitoring. The MPRDC will be responsible for GAP monitoring,

and regular orientations (once a year as a minimum) will be provided to staff and contractors. GAP implementation progress will be reported every quarter, in accordance with the agreed GAP monitoring matrix and submitted to ADB as part of quarterly progress reports. The agreed GAP implementation monitoring matrix is in Appendix 6.

Evaluation

As necessary, special loan administration missions and a midterm review mission will be fielded, under which any changes in scope or implementation arrangement may be required to ensure achievement of project objectives. The MPRDC will monitor project implementation in accordance with the schedule and time-bound milestones, and keep ADB informed of any significant deviations that may result in the milestones not being met.

Reporting

The MPRDC will provide ADB with (i) quarterly progress reports in a format consistent

with ADB’s project performance reporting system; (ii) consolidated annual reports including (a) progress achieved by output as measured through the indicator’s performance targets, (b) key implementation issues and solutions, (c) updated procurement plan, and (d) updated implementation plan for the next 12 months; and (iii) a project completion report within 6 months of physical completion of the project. To ensure that projects will continue to be both viable and sustainable, project accounts and the executing agency audited financial statement, together with the associated auditor’s report, should be adequately reviewed.

Stakeholder Communication Strategy

Salient information regarding the project, including scope, general progress status, beneficiaries, invitations for bid and consultant recruitment notices, will be provided to the general public. The information will be made available and updated through the official website of the MPRDC. The safeguard documents, i.e., the initial environmental examination including the environmental management plan, resettlement plans, indigenous peoples plan (if any), will be posted on ADB’s website. The MPRDC will provide relevant information, including those in paragraph 69, in a timely manner, in an accessible place, and in a form and in languages understandable to the displaced people and other stakeholders. If the displaced people are illiterate, other appropriate communication methods will have to be used.

The documentary requirements of ADB’s communication strategy are summarized below.

Table 17: Documents for Disclosure

Project Document Means of

Communications Timing Frequency Audience Project data sheet (PDS)

ADB website Initial PDS no later than 30 calendar days from approval of the concept paper; yearly updates afterwards

General public

Design and monitoring framework (DMF)

ADB website Draft DMF after fact-finding mission

General public

Initial environmental examination

ADB and MPRDC websites

Post fact-finding mission General public, project-affected people in particular

Resettlement plan ADB and MPRDC websites, and directly to affected persons and other stakeholders

Post fact-finding mission General public, project-affected people in particular

Summary poverty reduction and social strategy

ADB website Post fact-finding mission General public, project-affected people in particular

Legal agreements ADB website No later than 14 days from Board approval of the project

General public

Project administration manual

ADB website Upon loan approval General public

Gender action plan ADB website Upon loan approval General public Social and environment monitoring reports

ADB website Semi-annually for the social monitoring report and annually for the environment monitoring report

General public

ADB = Asian Development Bank, MPRDC = Madhya Pradesh Road Development Corporation. Source: Asian Development Bank.

The MPRDC’s website will provide updated, detailed information on project implementation. For example, it will include procurement-related information such as the list of participating bidders, name of the winning bidder, basic details on bidding procedures adopted, amount of contract awarded, and the list of goods and/or services procured.

37

X. ANTICORRUPTION POLICY

The Government of India, the State Government of Madhya Pradesh, the Madhya Pradesh Road Development Corporation, and other implementing agencies are advised of ADB’s Anticorruption Policy (1998, as amended to date). Consistent with its commitment to good governance, accountability, and transparency, implementation of the project shall adhere to ADB’s Anticorruption Policy. ADB reserves the right to review and examine, directly or through its agents, any alleged corrupt, fraudulent, collusive, or coercive practices relating to the project. In this regard, investigation of government officials would be requested by ADB to be undertaken by the government.

To support these efforts, relevant provisions of ADB’s Anticorruption Policy are included in the loan regulations, agreements, and the bidding documents. In particular, all contracts financed by ADB shall include provisions specifying the right of ADB to audit and examine the records and accounts of the state, the executing agency and implementing agencies, and all contractors, suppliers, consultants, and other service providers as they relate to the project. Individuals/entities on ADB’s Anticorruption debarment list are ineligible to participate in ADB-financed activity and may not be awarded any contract under the project. 23

ADB’s Anticorruption Policy designates the Office of Anticorruption and Integrity as the point of contact to report allegations of fraud or corruption among ADB-financed projects or its staff. It is responsible for all matters related to allegations of fraud and corruption. For a more detailed explanation, refer to the Anticorruption Policy and Procedures. Anyone coming across evidence of corruption associated with the project may contact the Anticorruption Unit by telephone, facsimile, mail, or email at the following numbers/addresses:

• Email: integrity@adb.org or anticorruption@adb.org • Phone: +63 2 632 5004 • Fax: +63 2 636 2152 • Mail (Please mark correspondence Strictly Confidential):

Office of Anticorruption and Integrity Asian Development Bank 6 ADB Avenue, Mandaluyong City 1550 Metro Manila, Philippines

XI. ACCOUNTABILITY MECHANISM

People who are, or may in the future be, adversely affected by the project may submit complaints to ADB’s Accountability Mechanism. The Accountability Mechanism provides an independent forum and process whereby people adversely affected by ADB-assisted projects can voice, and seek a resolution of their problems, as well as report alleged violations of ADB’s operational policies and procedures. Before submitting a complaint to the Accountability Mechanism, affected people should make an effort in good faith to solve their problems by working with the concerned ADB operations department. Only after doing that, and if they are still dissatisfied, should they approach the Accountability Mechanism.24

23 Governance and Anticorruption Action Plan II Guidelines. http://www.adb.org/Documents/Guidelines/GACAP-II-

Guidelines.pdf. See also Sourcebook: Diagnostics to Assist Preparation of Governance Risk Assessments. http://www.adb.org/documents/books/Diagnostics-to-Assist-Preparation-of-GRAs/default.asp.

24 Accountability Mechanism. http://www.adb.org/Accountability-Mechanism/default.asp.

XII. RECORD OF CHANGES TO THE PROJECT ADMINISTRATION MANUAL

All revisions and updates during the course of implementation should be retained in this section to provide a chronological history of changes to implemented arrangements recorded in the PAM, including revision to contract awards and disbursement s-curves.

Table 18: Summary of Changes to the Project Administration Manual Revision No. Date Description of Revisions

1

2 Source: Asian Development Bank.

39 Appendix 1

PROCUREMENT PLAN

Basic Data

Project Name: Public–Private Partnership in Madhya Pradesh Road Sector Project Project Number: 51375-001 Approval Number: Country: India Executing Agency: Government of Madhya Pradesh Project Procurement Classification: Category B Implementing Agency:

Madhya Pradesh Road Development Corporation Ltd. Project Procurement Risk: Medium Project Financing Amount: $904,000,000 ADB Financing: $490,000,000 Cofinancing (ADB Administered): Non-ADB Financing: $414,000,000

Project Closing Date: 30 September 2024

Date of First Procurement Plan: 14 January 2019 Date of this Procurement Plan: 14 January 2019

Procurement Plan Duration (in months): 18 Advance Contracting: Yes

e-GP: Yes https://mptenders.gov.in

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 Comments

Open Competitive Bidding (OCB) for Works

Consulting Services Method Comments

Quality- and Cost-Based Selection for Consulting Firm 80:20 quality to cost ratio Competitive for Individual Consultant

B. Lists 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 (in US$)

Procurement Method

Review Bidding

Procedure

Advertisement Date

(quarter/year) Comments

Pkg-01 Bhabra–Kattiwada–Kheda Road & Bhabra–Udaigarh Road (61.80 km) [Re-bid 01]

19,504,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document:

40 Appendix 1

Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-02 Udaigarh–Bori Road, Tanda–Bori Road & Tanda–Balwadi Road (54.65 km) [Re-bid 01]

18,284,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-03 Jobat–Nanpur Road (69.00 km) [Re-bid 01]

16,574,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-04 Alirajpu–Mathwad Road (57.00 km) [Re-bid 01]

18,313,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works

Appendix 1 41

e-GP: Yes Comments: MORTH Ham bidding document

Pkg-05 Badwani–Badhan–Ambapani–Sindhi–Khodar–Silawad Road & Dhavabawdi–Balkua–Lonsara–Borlay Road (25.20 km) [Re-bid 01]

12,693,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-06 Satan–Amarpatan Road (SH-13) (29.30 km) [Re-bid 01]

10,097,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-07 Sirmour–Keonti Road & Rewa–Beeda–Semariya Road up to Godha Junction (SH-9) (50.20 km) [Re-bid 01]

12,436,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works

42 Appendix 1

e-GP: Yes Comments: MORTH Ham bidding document

Pkg-08 Khanuakhas–Langhadol–Bindul–Gopad River Bridge to CG Border (Kamarji–Janakpur Road), Waidhan–Telai–SIngrouliya–Makrohar–Badgad–Viharpur up to Chhattisgarh Border (77.00 km) [Re-bid 01]

20,024,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-09 Langhatola–Patna–Karpa–Sarai–Ahirgaon–Kelamania Road (52.60 km) [Re-bid 01]

18,354,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-10 Pawai–Mohindra–Semaria Road (38.00 km) [Re-bid 01]

10,688,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes

Appendix 1 43

Comments: MORTH Ham bidding document

Pkg-11 Badvar–Tamra–Sitapur–Mauganj Road & Raipur–Karchuliyan to Supiya–Bhaluha–Mahsaon Road (57.35 km) [Re-bid 01]

18,397,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-13 Beohari–Bansukli–Sidhi Road (46.40 km) [Re-bid 01]

11,451,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-14 Aaron via Vidoriya–Raghogarh & Ashoknagar–Aaron Road (up to Sindh River) (74.00 km) [Re-bid 01]

15,773,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes

44 Appendix 1

Comments: MORTH Ham bidding document

Pkg-15 Mohna–Patai Road, Chitauli–Ranighati Road, & Bhitarwar–Karera Road (35.00 km) [Re-bid 01]

11,854,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-16 Aavan Road Maksudangadh to Janjali (39.40 km) [Re-bid 01]

10,170,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-17 Neemdana–Hirdagarh–Navegaon–Nidrai–Bordehi Road & Tamiya–Junnardeo Road (68.40 km) [Re-bid 01]

28,628,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments:

Appendix 1 45

MORTH Ham bidding document

Pkg-18 Sahajpur–Ghatkhedi–Salabaru–Pratapgarh, Ghatkedi–Pipaliya Road & Salabaru–Gutori–Deori–Gorakhpur–Ghalawan–Sadrai–Hirapur–Kakraghat Road (87.30 km) [Re-bid 01]

25,433,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-19 Maharastra Border–Kukru–Khamla–Bhaisdehi (30.00 km) [Re-bid 01]

9,721,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-22 Sagar–Rehli (SH-15) (42.20 km) [Re-bid 01]

11,134,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham

46 Appendix 1

bidding document Pkg-23 Baihar–-Lamta

Road (52.20 km) [Re-bid 01]

4,771,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-26 Porsa–Mehgaon–Mau–Sevda and Jamna–Bilav Roads (989.40 km) [Re-bid 01]

27,161,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-27 Pahadgad–Sahasram via Maran–Kanhar (up to Khurjan Road), Noorabad–Pachavali Road to Sanichra Road, & Nepri to Brijgadi via Kishangad–Kukroli Road, & Kailaras to Jaura via Pahadgad–Manpur–Nirar–Pagara Road (122.50 km) [Re-bid 01]

34,471,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Appendix 1 47

Pkg-28 Vijaypur–Mohna Road to Sahasram & Badhoda to Masavani Road

15,000,000.00

OCB Prior 1S2E Q1 / 2020 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-29 Village Piparsama of Shivpur–Tongra Road to Vilaua Road (70.50 km)

25,880,000.00

OCB Prior 1S2E Q1 / 2020 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-30 Kolar Road Km 0 to Km 14 & Toomda–Patania–Barkheda Saalam Road (26.80 km)

18,430,000.00

OCB Prior 1S2E Q1 / 2020 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-31 Kandela– 26,780,000.00 OCB Prior 1S2E Q1 / 2020 Advertising:

48 Appendix 1

Sohanpur–Kerpani–Rehma–PipaliyaBichouli–Nayagaon-Amoda to Gehuras, Silwani–Sultanganj–Jaisinghnagar on Siyarmau to Pipaliyakala–Paapda–Mawai–Kajela–Ghoulpur–Uchehra–Jamunia to Silwani Gairatganj, Silwani–Batera SH-15 of NH-12 (91.20 km)

National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-32 NH-86 (Ex) Vidisha–Sagar to Bahadurpur–Bhabhukaabari–Jhiriabaramadgadi–Khajuria Baramadgadi–Padaria–Mahuna–Berkhedibaramadgadi–Chandoria–Maanpur–Dhindrouli–Jhiriamandir–Hinoutiapachori–Neelkanthmandir to Garhi Ahmadpur & Garhi–Ahmadpur (67.30 km)

24,710,000.00

OCB Prior 1S2E Q1 / 2020 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-35 Amrawad–Bharkchh Road & Obedullaganj–Magarpunch–Ashapuri–Bhojpur Road & Chiklod-Raisen Road

20,700,000.00

OCB Prior 1S1E Q1 / 2020 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes

Appendix 1 49

Comments: MORTH Ham bidding document

Pkg-36 Chandla–Bachoun Road & Bameetha (NH-75)–Rajnagar Road (25.60 km)

22,940,000.00

OCB Prior 1S2E Q1 / 2020 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-38 Sahajpur–Tendukheda Road & Taradehi–Maharajpur Road (30.20 km)

20,260,000.00

OCB Prior 1S2E Q1 / 2020 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Pkg-50 Semri–Sangakheda Road & Sonasawri–Sanwalkheda Road (25.30 km) [Re-bid 01]

6,577,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes

50 Appendix 1

Comments: MORTH Ham bidding document

Pkg-52 Siddikaganj–Hatpipaliya Road, Bhaukhedi–Amlaha–Dhamanda Road & Toomda–Patania–Barkheda Saalam Road (51.60 km) [Re-bid 01]

13,076,000.00

OCB Prior 1S2E Q1 / 2019 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works e-GP: Yes Comments: MORTH Ham bidding document

Consulting Services Package Number

General Description

Estimated Value (in US$)

Selection Method Review Type of

Proposal Advertisement

Date (quarter/year)

Comments

Pkg-A Independent Engineer for Civil Works Packages [Pkg-14, Pkg-15, Pkg-16, Pkg-26, Pkg-27, Pkg-28, Pkg-29 & Pkg-30]

2,600,000.00 QCBS Prior FTP

Q3 / 2018 Type: Firm Assignment: International Quality-Cost Ratio: 80:20 Advance Contracting: Yes e-GP: No

Pkg-B Independent Engineer for Civil Work Packages [Pkg-6, Pkg-7, Pkg-8, Pkg-9, Pkg-10, Pkg-11 & Pkg-13]

2,390,000.00 QCBS Prior FTP

Q3 / 2018 Type: Firm Assignment: International Quality-Cost Ratio: 80:20 Advance Contracting: Yes e-GP: No

Pkg-C Independent Engineer for Civil Work Packages [Pkg-17, Pkg-19, Pkg-23, Pkg-35, Pkg-50 & Pkg-52]

2,130,000.00 QCBS Prior FTP

Q3 / 2018 Type: Firm Assignment: International Quality-Cost Ratio: 80:20 Advance Contracting: Yes

Appendix 1 51

e-GP: No

Pkg-D Independent Engineer for Civil Work Packages [Pkg-18, Pkg-22, Pkg-31, Pkg-32, Pkg-36 & Pkg-38]

2,120,000.00 QCBS Prior FTP

Q3 / 2018 Type: Firm Assignment: International Quality-Cost Ratio: 80:20 Advance Contracting: Yes e-GP: No

Pkg-E Independent Engineer for Civil Work Packages [Pkg-1, Pkg-2, Pkg-3, Pkg-4 & Pkg-5]

2,010,000.00 QCBS Prior FTP

Q3 / 2018 Type: Firm Assignment: International Quality-Cost Ratio: 80:20 Advance Contracting: Yes e-GP: No

Gender Parity

Consultants for Capacity and Institutional Strengthening of Private Partners toward Sustained Gender Parity

300,000 QCBS Prior STP Q1/ 2020 Type: Firm Assignment: International Quality-Cost Ratio: 80:20 Advance Contracting: No e-GP: No

e-GP = electronic government procurement, FTP = full technical proposal, OCB = open competitive bidding, Pkg = package, QCBS = quality- and cost-based selection, STP = simplified technical proposal.

C. List of Indicative Packages (Contracts) Required Under the Project The following table lists goods, works, and consulting services contracts for which 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

None

52 Appendix 1

Consulting Services

Package Number

General Description

Estimated Value

($) Selection Method Review Type of

Proposal Comments

Capacity Development and Training

Training to strengthen capacity of engineers in MPRDC, IE, and concessionaires on implementation of road projects

1,000,000 QCBS Prior STP

E-maintenance Asset Management

Development of E-maintenance asset management software

4,700,000 QCBS Prior FTP

Appendix 2 53

TERMS OF REFERENCE FOR INDEPENDENT ENGINEER (PACKAGES A TO E)

I. Background

The Government of Madhya Pradesh has applied for a loan from the ordinary capital resource of the Asian Development Bank towards the cost of Public-Private Partnership for Madhya Pradesh Road Sector Project (PPPMPRSP) with the primary objective of improvement of State Highways and Major District Roads under performance based deferred payment “HAM” Contracts.

Madhya Pradesh Road Development Corporation Ltd. (MPRDC), a company fully owned by Govt. of Madhya Pradesh has been entrusted with the responsibility of Widening and Re-construction of State Highways and Major District Roads (MDRs) under PPPMPRSP. These Terms of Reference for the Independent Engineer (“IE”) relate to the HAM Contract Agreement (“CA”) of the PPPMPRSP. The CA will be awarded competitively by the Madhya Pradesh Road Development Corporation Limited, Bhopal, hereinafter referred to as MPRDC or the Authority (“Authority’’) to the lowest evaluated bidder (subsequently referred to as “Contractor”), in accordance with the “Asian Development Bank Procurement Policy (2017, as amended from time to time) and Procurement Regulations for ADB Borrowers (2017, as amended from time to time)”. The term the “Authority” which expression shall, unless repugnant to the context or meaning thereof, include its administrators, successors and assigns. The term ‘’Contractor’’ refers collectively to any subcontractors, suppliers, designers, consultants, etc. employed by the Contractor in fulfillment of its obligations provided under the CA. The IE will also be selected competitively in accordance with the “Asian Development Bank Procurement Policy (2017, as amended from time to time) and Procurement Regulations for ADB Borrowers (2017, as amended from time to time)”.

The Consultants shall be engaged under five packages namely Package - A, Package - B, Package - C, Package – D, and Package - E.

Package – "A" consist 8 Civil Work Contracts. This Package involves Widening and Reconstruction of about 505.60 Km of selected State Highway / Major District Roads in Madhya Pradesh. The input of National Experts (including non-key experts) is estimated to be 1656 person-months. The estimated cost is about US$ 2.60 Million for this consultancy package.

Package – "B" consist 7 Civil Work Contracts. This Package involves Widening and Reconstruction of about 351.35 Km of selected State Highway / Major District Roads in Madhya Pradesh. The input of National Experts (including non-key experts) is estimated to be 1482 person-months. The estimated cost is about US$ 2.39 Million for this consultancy package.

Package – "C" consist 6 Civil Work Contracts. This Package involves Widening and Reconstruction of about 283.90 Km of selected State Highway / Major District Roads in Madhya Pradesh. The input of National Experts (including non-key experts) is estimated to be 1308 person-months. The estimated cost is about US$ 2.13 Million for this consultancy package

Package – "D" consist 6 Civil Work Contracts. This Package involves Widening and Reconstruction of about 276.90 Km of selected State Highway / Major District Roads in Madhya Pradesh. The input of National Experts (including non-key experts) is estimated to be 1308 person-months. The estimated cost is about US$ 2.12 Million for this consultancy package.

54 Appendix 2

Package – "E" consist 5 Civil Work Contracts. This Package involves Widening and Reconstruction of about 220.25 Km of selected State Highway / Major District Roads in Madhya Pradesh. The input of National Experts (including non-key experts) is estimated to be 1278 person-months. The estimated cost is about US$ 2.01 Million for this consultancy package.

The Independent Engineer will be appointed for a period of around 30* months under the provisions of this contract.

*3 months development period + 24 months Construction period+ 3 months O&M period.

II. Objectives of the Assignment

MPRDC invites Expression of Interest (EOI) for all the packages simultaneously from eligible consulting firms for the said assignment. Only the firm of ADB member countries are eligible for submitting the expression of interest. A firm can apply for more than 1(one) consultancy package, but the firm ( in case of JV, Lead Partner shall be the firm) will be awarded only 1 (one) consultancy package. Accordingly the financial proposals of the qualified consultants shall be opened in the following order after acceptance/ rejection of previous opened package(s) .

• First - Package-A • Second - Package-B • Third - Package-C • Fourth - Package-D • Fifth - Package-E

This Term of Reference is issued for package-A (Packages B to E are similar)

• To ensure high quality designs and construction of all works; project management. Timely implementation, compliance with the gender action plan and safeguards requirements of the contract and ADB’s Safeguards Policy Statements (2009), and generally meeting all contract requirements as per good engineering practice, CA, which conforms with applicable standards and technical specifications;

• To train and build capacity in the Authority’s staff and designated Contractor’s staff;

IE's Pkg.

Civil Pkg.

District Categ- ory

Road Name Length (In Km)

Pkg. Length (In Km)

Estimated Duration of the Services

of IE

A

Pkg-1

Alirajpur New SH

Bhabra-Kattiwada-Kheda road

36.80 61.80

30 months

Alirajpur New SH

Bhabra-Udaigarh road 25.00

Pkg-2

Alirajpur New SH

Udaigarh-Bori road 18.95

54.65 Dhar New

SH Tanda-Bori road 14.70

Dhar New SH

Tanda-Balwadi road 21.00

Pkg-3

Alirajpur Ex. MDR

Jobat-Nanpur road 21.60 21.60

Pkg-4 Alirajpur Ex.

MDR Alirajpur-Mathwad road 57.00 57.00

Appendix 2 55

IE's Pkg.

Civil Pkg.

District Categ- ory

Road Name Length (In Km)

Pkg. Length (In Km)

Estimated Duration of the Services

of IE

Pkg-5 Badwani

New MDR

Badwani-Badhan-Ambapani-Sindhi-Khodar-Silawad road

14.40 25.20

Badwani Ex.

MDR Dhavabawdi-Balkua-Lonsara-Borlay road

10.80

Pkg-40

Neemuch New MDR

Lodkiya-Antri Mata-Aamleekheda-Bhadvamataji-Sarvaniya-Maharaj Javad-Athana-Ghaani-Sarod-Chadaul length 82.00 km

82.00 82.00

Pkg-41

Ujjain New MDR

Bichdodh-Kaludhedi-Jagodi-Kheda Khajuriya-Nipaniya-Sakariya-Malya Road

93.00 93.00

Pkg-44

Ratlam New MDR

Mawta-Kalukeda-Dondhar-Mahu-Neemuch Marg to Ringnod via Javra-Aagar- Road upto Hatpipaliya to Khjuriya-Baraoda

69.20 69.20

III. Scope of Services, Tasks, Components and Expected Deliverables

1. Scope and Standards of Performance

These Terms of Reference for the Independent Engineer (“IE”) relate to the HAM Contract Agreement (“CA”) of the PPPMPRSP. The CA will be awarded competitively by the Madhya Pradesh Road Development Corporation Limited, Bhopal, hereinafter referred to as -MPRDCL or the Authority (“Authority’’) to the lowest evaluated bidder (subsequently referred to as “Contractor”), in accordance with the “Asian Development Bank Procurement Guidelines (April 2015) as amended from time to time”. The term the “Authority” which expression shall, unless repugnant to the context or meaning thereof, include its administrators, successors and assigns. The term ‘’Contractor’’ refers collectively to any subcontractors, suppliers, designers, consultants, etc. employed by the Contractor in fulfillment of its obligations provided under the CA. The IE will be selected competitively in accordance with the “Guidelines for Recruitment of Consultants (2013) as amended from time to time”.

In taking actions and making decisions, the IE shall be guided by professional values of project management, encompassing responsibility, respect, fairness and honesty. The IE shall exercise its responsibility by taking ownership for decisions made, actions taken and the consequences that may result. The IE’s decisions and actions shall be based on the best interests of the parties to the CA, as well as public safety and social and environment safeguards. If necessary, the IE shall be ready to take ownership for errors and omissions, promptly communicate them to the affected parties and make corrections. The IE shall be fully familiar with and uphold the agreed policies, rules and the respective rights and obligations of the Authority and the Contractor under the CA. The IE shall demonstrate respect by listening to and understanding the views of others, negotiating in good faith and not acting in an abusive and arbitrary manner. It shall always remain the duty of the I.E. to apply fairness through conduct

56 Appendix 2

which is conducive to consistent impartiality and objectivity. Transparency, truthfulness and avoidance and/ or disclosure of real or potential conflicts of interest shall complement the IE’s reputation for honesty. 2. General Duties and Functions

The IE shall be responsible for the review of designs prepared by the HAM Contractor , including drawings and specifications, superintendence of the HAM Contractor ’s performance under the CA, progress monitoring, technical and quality control, evaluations of construction, certification and completion of the works by the HAM Contractor, and duties related to taking over and the defects liability period. The IE shall be present at all times during the day-to-day implementation of the Design and Construction Periods and as required for the fulfilment of its assignment during the Operation and Maintenance Period. Having been appointed by the Authority, in consultation with the HAM Contractor , and delegated specific authorities in the CA, the IE shall be fully responsible for superintendence of the HAM Contractor ’s performance in all phases of the CA. The IE shall at all times, be adequately staffed, in terms of numbers and professional skills, to carry out its responsibilities with the competence and diligence required for this assignment.

The Independent Engineer may organize his staff and activities as it wants, provided that it satisfies the requirements of these TOR and the contract between the Authority and the HAM Contractor . A list of essential “Key Personnel” is given in subsequent sections of these terms of reference. In addition, indicative list of Non-Key (support) staff is also given for guidance. IE should provide for adequate Non-Key (support) staff including administrative, accounts, and service staff to address the requirements of a project of this nature in an efficient and effective manner.

The IE shall exercise the authority delegated to it by the Authority, within the parameters

established in the CA. The following is a summary of the delegated authorities, roles and functions of the IE:

(i) Review of the Drawings (working and as-built), Specifications and related Documents including detailed engineering and design documents, design and construction progress reports prepared by the HAM Contractor;

(ii) Assist in the preparation and implementation of safeguard documents so that these are in line with ADB requirements;

(iii) Review, inspection, and superintendence of the Construction Works including environmental management plan, resettlement action and Social safeguard plan, traffic management program, work zone safety plan and other special management programs as set forth in the CA; work with the HAM Contractor to ensure timely and on budget execution of the road works;

(iv) Ensure the HAM Contractor ’s fulfillment of his/her quality assurance plan by visual observation, random measurements and laboratory tests. Conducting tests and inspections on completion of construction and issuing Completion/ Provisional Completion Certificate as set forth in the CA;

(v) Co-ordination with stakeholders including, performing related duties and functions, as necessary for the HAM Contractor’ssuccessful and timely completion of the Highway Project under the CA.

Appendix 2 57

(vi) Certification of payments;

(vii) Review, inspection and superintendence of O&M as set forth in the CA;

(viii) Contract administration;

(ix) Review, inspection and monitoring of divestment requirements as set forth in the CA;

(x) Assisting the Parties to the CA in resolving disputes, differences or controversies in accordance with the applicable provisions of the CA and Dispute Resolution Clause of the CA;

(xi) Determining the costs of any works or services and/or their reasonableness, as required under the CA;

(xii) Determining the period or any extension thereof, for performing any duty or obligation as required under the CA;

(xiii) Reporting progress of the works on a monthly basis;

(xiv) Cooperating with the Third-Party Quality Monitoring Team appointed by the Authority to carry out its tasks.

(xv) Undertaking all other duties and functions in accordance with the CA

Delegation of IE Duties: The IE may from time to time, assign duties and further delegate authority to Key Personnel and may also revoke such assignments and delegations. These assignments, delegations and revocations shall not take effect until they have been duly notified to the Authority and the HAM Contractor. Each Key expert shall only be authorized to issue instructions to the HAM Contractor to the extent defined in the notice of delegation. Any approval, instruction, notice, request or similar act by Key Personnel, in accordance with this delegation, shall have the same effect as though the act had been an act of the IE. The IE will appoint the “Senior Highway Engineer”, to act as Team Leader (TL) as mentioned in the contract documents, and who will reside full-time at the project site. TL will interact with the designated Authority’s representative of the Authority. The Team leadershall delegate some of his/her authority to other key experts, who will act as "the IE’s Representative" in the construction site supervision teams. Each supervision team will be composed of several professionals. The IE shall define in its technical proposal the number of supervision teams and the overall supervision approach for the project. The proposals shall describe how the IE will establish a mechanism, which will ensure coordination of the supervision teams, so that each team is all times fully aware of the remedies to problems used by the other teams. This will ensure that the full experience of the IE can be applied in all works.

The IE shall arrange training for the Authority’s staff (about 20 persons) including field visits to the on-going works under IE’s supervision to improve their ability to supervise and manage the road and bridge works and the environmental impacts of construction. The training module shall be finalized in consultation with the client.

The IE shall support implementation of gender action plan, and specifically (i) support gender parity index study for IEs; (ii) involve at least 30% women self-help groups for social forestry (afforestation); (iii) ensure at least 40% participation of women in road safety awareness campaigns and health camps; (iv) organize special health camps for women on breast and

58 Appendix 2

cervical cancer; (v) ensure that at least 30% of bus shelters identified that are close to educational institutes, health centers and market spaces, are fitted with solar lights; (vi) 100% bus shelters include information on women specific schemes, women empowerment and helpline numbers; and (vii) orient contractor to maintain and report sex disaggregated data on construction workers.

Training Structure

The training programme shall comprise both class-room and on-the-job training. The proposal shall contain a detailed training programme that is considered to be beneficial for developing capacity within MPRDCL staff (and some designated Contractor’s Staff). An outline of the training is provided below. However, the outline of the training is only a minimum requirement. IE can further develop on the outline to develop a robust programme. The cost and expenses in relation to the training arrangements including venue arrangement, lunch/dinner, projector/sound/AV systems, stay for trainees shall be borne by the IE. For classroom training purposes, the location of the training shall be Bangalore. For Class room trainings the trainees through their offices will meet the expenditure of travel, transportation & boarding charges. The IE will meet the expenditure of training venue , resource persons, training material etc., required for conducting the training. In case of all the job training, the cost of transportation for the trainees from base location to training location will be borne by the trainees themselves and IE will meet boarding, lodging & food, local transportation to site etc.

Kindly note that the timelines for trainings shall be finialised in agreement with MPRDCL, however the IE shall ensure that the first round of trainings is scheduled immediately post Financial Closure and the next refresher session shall be held with 3 months of commencement date.

Part 1: Classroom training

Details of Training Sl. No.

Module Details Objective Target skillset to be developed

Time duration

1 Operational Assessment & Contract Management

• Introduction • Objectives • Introduction to Conditions of

contract • Role of HAM Contractor,

Independent Engineer and Employer

• Contract management in PPPs

• Introduction to Performance Indicators

• Analysing performance against KPIs

• Contract management • Value Testing methods • Review • Tutorial

The objective of the module is to provide the concerned personnel with the knowledge of contract management and roles to be played by each party. The focus should be on what are the detailed roles; specific tool/ formats used in monitoring of contract (PPPMPRSP monitoring during both construction and O&M period); escalation triggers in case of non-performance; issues in contract management, etc. Also, international

The training will enable personnel to appreciate the role of contract management in PPPs and have an understanding of “how” part of contract management.

2 trainings of 1 day each (may be organized at a time in agreement with MPRDCL)

Appendix 2 59

best practices like value testing in operation period shall also be introduced.

2 PEM Module 3 – Project Management

• Introduction • Objectives • Principles of Project

Management • Principles of Good

Governance in PPPs • Introduction to project

management tools • Demonstration of Microsoft

Project, Primavera • Stakeholder Management • Conclusion • Review • Tutorial

The objective of the module will be to provide overview of project management and governance in PPPs. The module shall also introduce relationship and trust-based approaches in governance.

The training shall enable the personnel to appreciate the role of project management and governance in successful delivery of a PPP project.

1 day (may be organized at a time in agreement with MPRDCL)

Part 2: On-the-job training

MPRDCL shall identify trainees to work along-side Independent Engineer for a period of 5 days. The Independent Engineer shall develop an on-the-training programme for the trainees in discussion with MPRDCL and synchronised with the class-room training modules. The Independent Engineer shall review the trainees on their performance in on-the-job training and shall provide MPRDCL an understanding on what improvements are required for each trainee and in what direction.

Authority to Amend the CA: The IE shall have no authority to amend, suspend or terminate the CA with regard to the HAM Contractor’s rights and obligations, without written instructions from the Authority.

Meetings with Authority: The IE shall interact with the Authority’s designated officers and staff on a regular basis and attend the Authority’s monthly meeting to review the HAM Contractor’s progress during the preceding month. The IE shall make available its assistants and other key staff, as required for these monthly meetings. The issues discussed between the IE and the Authority shall be recorded in the minutes of the meeting and remain on the agenda of subsequent meetings, until they are fully resolved.

The IE shall chair monthly meetings with the HAM Contractor. During these meetings, formal minutes will be taken by the IE and distributed to the HAM Contractor and Authority.

Meetings with Asian Development Bank: The IE shall be available to attend meetings with Asian Development Bank missions during their visits to the Authority and on field trips.

Management Information Systems: The IE shall make use of Management Information Systems (MIS) in carrying out its assignment and provide read-only remote access to its MIS records and reports to the Authority and the HAM Contractor. Confidential records and reports shall be exempted from this requirement for remote access to the IE’s MIS.

60 Appendix 2

Record of Digitized Inventory, Drawings and Specifications and Other Documents: Upon completion of its assignment, the IE shall obtain, sort and prepare a digitized inventory of all Drawings, Specifications, other Documents, test reports, certificates and similar records related the pursuit of the CA. The IE’s digitized inventory shall be turned over to the Authority for safekeeping.

Maintain the Deviation Report and send it monthly to the Authority and the HAM Contractor in a format as prescribed by Authority.

Maintain digital color photographs throughout the duration of the Contract for photographic record (available for inspection) of monthly progress at set locations, especially of any construction of technical or contractual interest. Each photograph should be captioned with: reference number, time, date, precise location, subject, and points of particular note. All digital data with captions should be stored on a digital record system;

The IE shall keep a daily log of the progress and issues on the construction sites.

The IE shall update all records that it collects on MPRDCL MIS.

3. Duties and Functions during the Development Period

Review of Designs, Drawings, Specifications and Construction Methodology: During the Development Period, the IE shall undertake a detailed review of the construction methodology together with Drawings, quality assurance procedures, the procurement, engineering construction time schedule and deviation in designs drawings and specification, if any, to be furnished by the HAM Contractor along with supporting data, including the geo-technical and hydrological investigations, characteristics of materials from borrow areas and quarry sites, mix designs, traffic operations and safety arrangements, traffic surveys, topographical/subsurface surveys and review of supplemental EIA/EMP for possible impact owing to design changes. This review shall verify that the safety measures specified in the CA are included in the detailed designs. The IE shall complete such review and send its comments/observations with particular reference to their conformity or otherwise with the Scope of the Project and the Specifications and Standards defined in CA, to the Authority and the HAM Contractor within 15 (fifteen) days of receipt of such Drawings and Specifications. In particular, such comments/ observations shall specify the conformity or otherwise of such Drawings and Specifications with the CA.

After reconciling further comments received from the Authority and the HAM Contractor with its own, the IE shall make a final determination of its findings and advise the HAM Contractor accordingly. Subsequently, the IE shall review any modified Drawings, Specifications or supporting Documents sent to it by the HAM Contractor and shall give its clearance or observations if any within 7 (seven) days of receiving such modified Drawings, Specifications or Documents.

Construction Safety and Environmental Management: The IE shall review the HAM

Contractor ’s Construction Zone Safety Checklist and Environment Management Plan (EMP) in accordance with the relevant requirements of the CA and furnish its comments thereon to the Authority and the HAM Contractor within 7 (seven) days of receiving such Checklist and EMP. The IE shall subsequently monitor the HAM Contractor’s compliance with the Traffic Management Plan, Construction Zone Safety Checklist, Environmental Management Plan, Social Safeguard Plan and if necessary, enforce the relevant provisions of the CA in this regard. In particular, the IE will confirm that the HAM Contractor’s management plan complies with the conditions of the

Appendix 2 61

EIA Clearance granted by the SEIAA or the NEIAA, as the case may be. In case of divergence of the plan from the conditions of the said Clearance, the IE shall bring the same to the attention of the Authority and the HAM Contractor.

Review of the HAM Contractor’s Quality Assurance Procedures: The IE shall periodically review the HAM Contractor’s quality assurance procedures and furnish its comments to the Authority and the HAM Contractor within 15 (fifteen) days of receipt thereof. The IE shall subsequently monitor the HAM Contractor’s compliance with the quality assurance procedures.

Review of Project Agreements: Upon reference by the Authority, the Independent

Engineer shall review and comment on the EPC Contract or any other contract for construction, operation and maintenance of the Project Highway, proposals from the HAM Contractor or agreements entered by the HAM Contractor with any contractors on such works and furnish its comments within 7 (seven) days from receipt of such reference from the Authority.

Conducting Joint Measurements and reviewing costing proposed by HAM Contractor as and when required as per the provisions of HAM contract agreement including but not limited to aspects like change of scope, utility shifting, etc.

4. Duties and Functions during the Construction Period:

Review of Drawings and Specifications: In respect of the Drawings, documents and report on compliance with Safety Requirements received by the Independent Engineer for its review and comments during the Construction Period, the provisions of Paragraph 3.1 shall apply, mutatis mutandis.

Quality and Safety Assurance: The duties and functions of the IE during the Construction Period shall be all- encompassing, including superintendence of the HAM Contractor ’s performance of the Works on a day-to-day basis, particularly with regard to the deployment of labor, materials, equipment & standards of materials & workmanship and safety arrangements and environmental management in accordance with the EMP at the site. The IE shall have no authority to relieve the HAM Contractor of any of their duties under the CA or to impose additional obligations. The IE shall ensure the Resettlement Action and Social Safeguard Plan is implemented as designed and update the mitigation measures if required.

Quality Testing: The IE shall provide sufficient staff to carry out inspections and tests in the field to the extent of a minimum of 25% of the 100 % HAM Contractor ’s Requests for Inspection (RFI) pertaining to various items of works. The 25 % of representative RFIs have to be selected in such a way by the IE that, those RFIs will fairly represent the quality and quantity of work being carried out. The IE shall either issue written clearances or require the HAM Contractor , within 7 (seven) days of such inspections, to rectify and remedy identified defects or deficiencies. Furthermore, with regard to pavement sub-base and bituminous courses, the IE shall field-check 100% of RFIs. The inspection procedures to be observed by the IE, the HAM Contractor , and the Authority shall be governed by the corresponding CA requirements. The inspections, submission of such inspection reports and clearance of RFI by the IE shall not relieve or absolve the HAM Contractor of its obligations and liability. IE shall also have access to the HAM Contractor ’s laboratory facilities for independent testing of materials. It may be noted that the IE shall have to additionally input and update the collected data on MPRDCL MIS.

Inspection Report: At least, once a month, the IE shall summarize such inspections in its Inspection Report and submit to the Authority and the HAM Contractor setting forth an overview

62 Appendix 2

of the status, progress, quality and safety of construction including the work methodology adopted, the materials used and their sources, including development and rehabilitation and conformity of construction works with the scope of project and specification standards.

Rectification of Defects and Deficiency: In the event that the HAM Contractor is required to carry out any remedial works for removal or rectification of any defects or deficiencies, the IE shall require the HAM Contractor to prove through appropriate tests that such remedial works have brought the Works into conformity with the CA. The IE shall take all necessary measures to achieve closure of non-conformances through the HAM Contractor’s actions in the shortest possible time, but in no case later than Provisional Completion. The IE shall maintain complete records of all remedial works from their identification to rectification.

Review of Achievement of Milestones Prescribed: In the event that the HAM Contractor fails to achieve any of the CA Milestones, the IE shall undertake a review of the progress of construction and identify the causes of delays, if any. If the IE determines that the rate of progress of the Works is not likely to achieve the CA Milestones, including the Construction Completion Date, it shall notify and require the HAM Contractor to indicate within 15 (fifteen) days of its notice to the HAM Contractor , the steps proposed to be taken to expedite progress, and the period within which the CA Milestones, including the Construction Completion Date shall be achieved. This notice to the HAM Contractor shall be copied to the Authority. Upon receipt of the HAM Contractor ’s response, the IE shall review the steps proposed by the HAM Contractor and send its final determination concerning the likely achievement of the CA Milestones to the HAM Contractor and the Authority.

Review and Monitoring of Safety Arrangement and Suspension of Works on Safety Reasons: If at any time during the Construction Period, the IE determines that the HAM Contractor has not made adequate arrangements for the safety of workers and users in the zone of construction or that any work is being carried out in a manner that threatens the safety of the workers and the users, it shall notify the HAM Contractor forthwith and may further recommend to the Authority that the whole or part of the Works be suspended for ensuring safety thereof. The Authority’s notice of suspension for reasons of safety shall be promptly communicated to the HAM Contractor and the IE. The suspension may be lifted by Authority only upon the IE’s determination and follow-up inspection that the conditions which caused the suspension have been removed or remedied sufficiently. In emergency cases the IE will take such actions and steps to ensure the safety pending clearance from the authority.

Review and Monitoring of Environmental Arrangement and Suspension Of Works on Environmental Reasons: If at any time during the construction period, the IE determines that the environmental management measures are inadequate and can cause harm to the environment beyond permissible limits laid down in the EMP or the Clearance issued for the project, it shall notify the HAM Contractor forthwith and may recommend to the Authority that whole or part of the Work be suspended. The Authority’s notice of suspension for reasons of higher than allowable risk to the environment shall be promptly communicated to the HAM Contractor and the IE. The suspension may be lifted by Authority only upon the IE’s determination and follow-up inspection that the conditions which caused the suspension have been removed or remedied sufficiently. In emergency cases the IE will take such actions and steps to ensure avoidance or at least minimization of damage to the environment, pending clearance from the Authority.

Extension of Time Determination: If the Works are suspended by the Authority for reasons not attributable to the HAM Contractor , the IE shall determine any extension of dates set

Appendix 2 63

forth in the Construction Completion Schedule and compensation, if any, to which the HAM Contractor may be reasonably entitled. The IE shall notify Authority of its determination and the Authority shall extend the Construction Completion Schedule accordingly through notice to the HAM Contractor . When the reasons for the suspension have subsided and the Works can be resumed, the Authority shall lift the suspension though follow-up notice to the HAM Contractor , in coordination with the IE.

Tests to Be Carried Out: The IE shall require the HAM Contractor to carry out, or cause to be carried out, all Tests specified in the related schedules of the CA, from time to time and in accordance with Good Industry Practice for quality assurance. The HAM Contractor shall carry out these tests in accordance with the instructions of the IE and furnish the test results to the IE. In the event that the results of any tests establish any defects or deficiencies in the Works, the IE shall require the HAM Contractor to carry out remedial measures and furnish a report to the IE in this regard. These IE’s functions related to tests shall be carried out and communicated to the Authority and the HAM Contractor in conformance with the related provisions of the CA.

Certification of Lump Sum Payments: The HAM Contractor shall submit requests for Lump Sum Payments to the IE, in accordance with the applicable requirements of the CA and the IE shall make fair and reasonable assessments of such payment requests and the associated documentation submitted by the HAM Contractor . The IE shall verify and certify the amount claimed in the HAM Contractor ’s invoice, along with the necessary adjustments and recommend to the Authority for payment as provided in CA. The IE’s recommendations with regard to the HAM Contractor ’s payment requests shall reach the Authority within 14 days from the date of such claim by the HAM Contractor after satisfactory fulfillment of conditions prescribed in the CA.

Review of Progress Reports: The IE shall review the monthly progress report furnished by the HAM Contractor and provide its comments to the Authority and the HAM Contractor within 7 (seven) days of receipt of such report. The IE shall provide its concurrence in the HAM Contractor ’s monthly progress report or its reservations, as the case may be, to the HAM Contractor and copy this communication to the Authority. If necessary, the IE shall require the HAM Contractor to submit additional information related to the monthly progress report.

Issue of Completion and Provisional Completion Certificate: Upon completion of the Works, as notified by the HAM Contractor and the successful completion all inspections and tests required by the CA, the IE shall issue to the HAM Contractor and the Authority the Completion Certificate set forth in the CA. At the Request of the HAM Contractor , the IE may issue instead, the Provisional Certificate, also set forth in the CA. The Provisional Certificate may be used, when the Project Highway can be safely and reliably placed in commercial operation, even though certain parts of the Works are not yet fully completed. In such event, the IE shall append to its Provisional Certificate, a list of outstanding items and their agreed completion dates. This list, which is referred to in the CA as Punch List, shall be signed jointly by the HAM Contractor and the IE. In cases where certain parts of the Works are not yet completed due to delays in completion attributable to the Authority, the IE shall not withhold the Provisional Certificate.

Review of As Built Drawings: Within 90 (ninety) days of the Project Completion Date, the IE shall require the HAM Contractor to furnish the as-Built drawings in a manner acceptable to the Authority. The IE shall review the ‘As Built’ drawings for each component of the works prepared by the HAM Contractor and determine their acceptability under the terms of the CA. The IE shall communicate its determination to the Authority and the HAM Contractor . Additionally, within 90 days of each Project Milestones, the IE shall require the HAM Contractor to furnish the as-Built drawings in a manner acceptable to the Authority. The IE shall review the ‘As Built’

64 Appendix 2

drawings for each component of the works prepared by the HAM Contractor and determine their acceptability under the terms of the CA. The IE shall communicate its determination to the Authority and the HAM Contractor within 60 days of receipt of drawings.

Maintenance Manual: Not later than 180 (one hundred and eighty) days prior to the

completion of works, the IE shall require the HAM Contractor to submit a repair and maintenance manual (the “Maintenance Manual”) for the regular and preventive maintenance of the Project Highway in conformity with the Maintenance Requirements, Safety Requirements and Good Industry Practice. The Independent Engineer shall aid and advise the HAM Contractor in preparing the Maintenance Manual.

Determination of Costs: Upon reference from the Authority, the Independent Engineer shall make a fair and reasonable assessment of the costs of providing information, works and services as set forth in Article 16 and certify the reasonableness of such costs for payment by the Authority to the HAM Contractor .

5. Duties and Functions during the Operation Period

Review of Drawings, Documents, Reports, Etc.: In respect of drawings, documents and report on compliance with Safety Requirements received by the IE for its review and comments during the operation period, the provisions in Para 3 shall apply mutatis mutandis.

Review of Annual Maintenance Program: The IE shall review the annual Maintenance Programme furnished by the HAM Contractor in conformance with the CA and convey its comments to the HAM Contractor within 15 (fifteen) days of its receipt with particular reference to its conformity with the Maintenance Requirements, Maintenance Manual and Safety Requirements as well as relevant provisions of the EMP for the Operation Phase, with copies to the Authority. In case of reservations with the initial annual Maintenance Programme, the IE shall subsequently review the HAM Contractor ’s follow-up response and communicate its final determination regarding the conformance of the annual Maintenance Programme with the CA to the HAM Contractor , copied to the Authority.

Monthly Progress Report During O&M Period: The IE shall review the monthly progress report on Operation and Maintenance furnished by the HAM Contractor and provide its comments to the HAM Contractor within 7 (seven) days of its receipt, copied to the Authority. In case of reservations with the initial monthly progress report on Operations and Maintenance, the IE shall subsequently review the HAM Contractor ’s follow-up response and communicate its final determination regarding the conformance of the progress on Operations and Maintenance with the CA and the Maintenance Manual to the HAM Contractor , copied to the Authority.

Monitoring of Maintenance Works: During the Operation Period, the IE shall inspect the Project Highway once every month, preferably following receipt of the HAM Contractor ’ s monthly progress report on Operations and Maintenance. The IE shall provide the Authority and the HAM Contractor with its O&M Inspection Report within 7 (seven) days of its monthly inspection. The IE’s O&M Inspection Report shall cover an overview of the status, timeliness and quality of the HAM Contractor ’s performance of the Operations and Maintenance requirements in conformance with the CA and the Maintenance Manual. The IE’s Inspection Report shall specify the remedial actions that are being taken or have been agreed but not yet taken by the HAM Contractor with regard to reported lapses, defects, deficiencies, etc. The IE’ s Inspection Report may also specify deadlines for remedial actions and additional tests and traffic survey to be carried out by the HAM Contractor for the purpose of assuring that the Project Highway remains in the condition that

Appendix 2 65

underlies the Operations and Maintenance obligations of the HAM Contractor in the CA. The IE may inspect the project highway more than once in a month, if any lapses, defects or deficiencies require such inspections.

Closure of Lanes: The IE shall examine requests submitted by the HAM Contractor for closure of lanes of the carriageway for maintenance and repair purposes, as well as related modifications of the Highway. Within 3 (three) days of receiving such requests, the IE shall determine the reasonableness of the HAM Contractor ’s request, including provisions for minimizing traffic disruptions, ascertain the views of the Authority on closures and disruptions and notify the HAM Contractor, copied to the Authority. In case of reservations with the HAM Contractor ’s request, the IE shall subsequently review the HAM Contractor ’s revised request and communicate its final determination regarding the reasonableness of the revised request to the HAM Contractor , copied to the Authority.

Annuity Payments: The HAM Contractor shall submit requests for Annuity Payments to the IE, in accordance with the applicable requirements of the CA and the IE shall make fair and reasonable assessments of such payment requests, including any bonus or reduction in Annuity based on the monthly progress report on Operations and Maintenance. The IE shall adjust the HAM Contractor ’s invoice, as necessary and forward it with the associated documentation to the Authority for payment. While forwarding the invoice to the Authority, the IE may recommend payment in full or part thereof. The IE’s recommendation shall reach the Authority within 15 days prior to the relevant Annuity Payment Date.

Repair/Rectification: In respect of any defect or deficiency referred to in Paragraph 3 of Schedule-K, the Independent Engineer shall, in conformity with Good Industry Practice, specify the permissible limit of deviation or deterioration with reference to the Specifications and Standards and shall also specify the time limit for repair or rectification of any deviation or deterioration beyond the permissible limit.

Delay Damages: The Independent Engineer shall determine if any delay has occurred in completion of repair or remedial works in accordance with the Agreement, and shall also determine the Damages, if any, payable by the HAM Contractor to the Authority for such delay.

Periodic Maintenance: The Independent Engineer shall determine the Major

Maintenance Completion Schedule and shall also issue a Periodic Maintenance Completion Certificate upon completion and inspection of Major Maintenance work, as specified under and in accordance with the provisions in the CA.

The Independent Engineer shall monitor and review the curing of defects and deficiencies by the HAM Contractor as set forth in Clause 19.4.

The Independent Engineer shall undertake traffic survey, as and when required by the Authority, under and in accordance with Article 20.7 and Schedule-T.

The IE shall initiate necessary action to undertake the maintenance obligations of the HAM Contractor at risk and cost of the HAM Contractor in the event of its failure to carryout O & M, as per the provisions in the CA.

The IE shall review the accident record of the highway and suggest remedial measures.

66 Appendix 2

The IE shall submit the monthly progress report on O & M covering the maintenance requirements provided in CA. 6. Duties and Functions related to Divestment Requirements

Not earlier than 90 (ninety) days before Termination of the CA but not later than 15 (fifteen) days before the effective date of such Termination and the initiation of the HAM Contractor ’s Divestment Requirements, the IE shall verify, after giving notice to the HAM Contractor of the time, date and venue of such verification, compliance by the HAM Contractor with the Maintenance Requirements, and if required, cause appropriate tests to be carried out at the HAM Contractor ’s costs for this purpose. If the IE determines that the status of the Highway requires repairs and other rectifications, in order to meet the Divestment Requirements, the IE shall assess the amount to be set aside for these repairs and rectifications and communicate its determination forthwith to the Authority and the HAM Contractor . The source of funds to cover the amount to be set aside and the method of retention shall be agreed between the Authority and the HAM Contractor, based on the IE’s determination.

The Independent Engineer shall ensure that all materials, tools, plant, equipment, facilities, etc, which have to be handed over to the Authority upon termination of HAM contract. These are properly dismantled, packed, stored and maintained until the official handing over to the Authority as provided in the CA;

The Independent Engineer shall inspect the Project Highway once in every 15 (fifteen)

days during a period of 120 (one twenty) days after Termination for determining the liability of the HAM Contractor under Article 39, in respect of the defects or deficiencies specified therein. If any such defect or deficiency is found by the Independent Engineer, it shall make a report in reasonable detail and send it forthwith to the Authority and the HAM Contractor. 7. Determination of Costs and Time

The Independent Engineer shall determine the costs, and/or their reasonableness, that are required to be determined by it under the CA. 8. Duties and Functions related to Dispute Resolution

In the event of any disagreement between the HAM Contractor and the Authority regarding any provision of the CA or issues of Good Industry Practice, the IE shall determine and communicate to them its independent interpretation of such provisions and issues and the parties shall take the IE’s interpretation into account in settling their disagreement.

When called upon by either the HAM Contractor or the Authority or both to mediate and assist them in arriving at an amicable settlement of any dispute under the CA, the IE shall make itself available and use its best efforts to accommodate their mediation request and reach an amicable settlement.

If a dispute arises between the HAM Contractor and the Authority in connection with any certificate, determination, instruction, opinion or valuation of the IE, either of them may refer the dispute to the Dispute Review Board, as provided in the CA. In such event, the IE shall cooperate with requests from the Dispute Review Board for additional information and meetings. The party referring the dispute to the Dispute Review Board shall notify the other party and the IE. 9. Miscellaneous

Appendix 2 67

A copy of all communications, comments, instructions, Drawings or Documents sent by

the Independent Engineer to the HAM Contractor pursuant to this TOR, and a copy of all the test results with comments of the Independent Engineer thereon shall be furnished by the Independent Engineer to the Authority forthwith.

The Independent Engineer shall obtain, and the HAM Contractor shall furnish in two copies thereof, all communications and reports required to be submitted, under this Agreement, by the HAM Contractor to the Independent Engineer, whereupon the Independent Engineer shall send one of the copies to the Authority along with its comments thereon.

The Independent Engineer shall retain at least one copy each of all Drawings and Documents received by it, including ‘as-built’ Drawings, and keep them in its safe custody.

Upon completion of its assignment hereunder, the Independent Engineer shall duly classify and list all Drawings, Documents, results of tests and other relevant records, and hand them over to the Authority or such other person as the Authority may specify, and obtain written receipt thereof. Two copies of the said documents shall also be furnished in micro film form or in such other medium as may be acceptable to the Authority.

The IE shall assist the Authority and the HAM Contractor in utility shifting, land acquisition and rehabilitation &resettlement issues which will affect the progress of works.

The IE shall assist the Authority during the Dispute Board meetings, Arbitration proceedings and any other hearing held by the statutory/legal body.

The IE will ensure effective coordination with the railways supervising staff during the construction of ROB/RUB and advise the Authority regarding the status of ROB/RUB construction.

IV. Team Composition and Qualification Requirements25

A. Key Experts whose CV will be valuated:

Sr. No.

Key Position Number of

Persons-month

Man Months Man Months

Total Man

Month Development Construction Operations

KEY EXPERTS (National)

1 Team Leader cum Resident Engineer cum Senior Highway Engineer.

1 3 24 3 30 30

2 Resident Engineer cum Senior Highway Engineer-1 1 3 24 3 30 30

3 Resident Engineer cum Senior Highway Engineer-2 1 3 24 3 30 30

4 Resident Engineer cum Senior Highway Engineer-3 1 3 24 3 30 30

5 Resident Engineer cum Senior Highway Engineer-4 1 3 24 3 30 30

25 To vary based on project nature and size

68 Appendix 2

Sr. No.

Key Position Number of

Persons-month

Man Months Man Months

Total Man

Month Development Construction Operations

6 Resident Engineer cum Senior Highway Engineer-5 1 3 24 3 30 30

7 Resident Engineer cum Senior Highway Engineer-6

1 3 24 3 30 30

8 Resident Engineer cum Senior Highway Engineer-7

1 3 24 3 30 30

9 Resident Engineer cum Senior Highway Engineer-8

1 3 24 3 30 30

10 Senior Bridge / Structural Engineer-1

1 3 24 3 30 30

11 Senior Bridge / Structural Engineer-2

1 3 24 3 30 30

12 Senior Quality cum Material Expert-1

1 3 24 3 30 30

13 Senior Quality cum Material Expert-2

1 3 24 3 30 30

14 Traffic & Road Safety Expert 1 3 24 3 30 30

Sub-Total Man Month 420

K-1 Team Leader cum Resident Engineer cum Senior Highway Engineer

K-2 Resident Engineer cum Senior Highway Engineer

K-3 Senior Bridge / Structural Engineer

K-4 Senior Quality cum Material Expert

K-5 Traffic and Road Safety Expert

B. Non-Key Expert requirement should be assessed by the bidder based on scope

of work. Such CVs will not be evaluated but CV should be submitted for approval of the client before mobilization:-

Sr. No.

Key Position Number of

Persons-month

Man Months Man Months

Total Man

Month

Development Construction Operations

NON-KEY EXPERTS

•Survey Engineer cum Quantity Surveyor-1

1 3 24 3 30 30

•Survey Engineer cum Quantity Surveyor-2

1 3 24 3 30 30

•Survey Engineer cum Quantity Surveyor-3

1 3 24 3 30 30

•Survey Engineer cum Quantity Surveyor-4

1 3 24 3 30 30

•Survey Engineer cum Quantity Surveyor-5

1 3 24 3 30 30

•Survey Engineer cum Quantity Surveyor-6

1 3 24 3 30 30

•Survey Engineer cum Quantity Surveyor-7

1 3 24 3 30 30

Appendix 2 69

Sr. No.

Key Position Number of

Persons-month

Man Months Man Months

Total Man

Month

Development Construction Operations

•Survey Engineer cum Quantity Surveyor-8

1 3 24 3 30 30

•Asstt. Highway Engineer-1

1 3 24 3 30 30

•Asstt. Highway Engineer-2

1 3 24 3 30 30

•Asstt. Highway Engineer-3

1 3 24 3 30 30

•Asstt. Highway Engineer-4

1 3 24 3 30 30

•Asstt. Highway Engineer-5

1 3 24 3 30 30

•Asstt. Highway Engineer-6

1 3 24 3 30 30

•Asstt. Highway Engineer-7

1 3 24 3 30 30

•Asstt. Highway Engineer-8

1 3 24 3 30 30

•CAD Expert 1 3 9 0 12 12

•Asst. Bridge / Structural Engineer-1

1 3 24 3 30 30

•Asst. Bridge / Structural Engineer-2

1 3 24 3 30 30

•Asst. Bridge / Structural Engineer-3

1 3 24 3 30 30

•Asst. Bridge / Structural Engineer-4

1 3 24 3 30 30

•Asst. Bridge / Structural Engineer-5

1 3 24 3 30 30

•Asst. Bridge / Structural Engineer-6

1 3 24 3 30 30

•Asst. Bridge / Structural Engineer-7

1 3 24 3 30 30

•Asst. Bridge / Structural Engineer-8

1 3 24 3 30 30

•Environmental cum Safety cum Social and gender Expert

1 3 24 3 30 30

•Asst. Quality Cum Material Engineer-1

1 3 24 3 30 30

•Asst. Quality Cum Material Engineer-2

1 3 24 3 30 30

•Asst. Quality Cum Material Engineer-3

1 3 24 3 30 30

•Asst. Quality Cum Material Engineer-4

1 3 24 3 30 30

•Asst. Quality Cum Material Engineer-5

1 3 24 3 30 30

•Asst. Quality Cum Material Engineer-6

1 3 24 3 30 30

•Asst. Quality Cum Material Engineer-7

1 3 24 3 30 30

•Asst. Quality Cum Material Engineer-8

1 3 24 3 30 30

70 Appendix 2

Sr. No.

Key Position Number of

Persons-month

Man Months Man Months

Total Man

Month

Development Construction Operations

•Electrical Engineer 1 3 9 0 12 12

•Laboratory Technician-1 1 0 24 0 24 24

•Laboratory Technician-2 1 0 24 0 24 24

•Laboratory Technician-3 1 0 24 0 24 24

•Laboratory Technician-4 1 0 24 0 24 24

•Laboratory Technician-5 1 0 24 0 24 24

•Laboratory Technician-6 1 0 24 0 24 24

•Laboratory Technician-7 1 0 24 0 24 24

•Laboratory Technician-8 1 0 24 0 24 24

• Sub-Total Man Month 1206

1. Survey Engineer cum Quantity Surveyor 2. Assistant Highway Engineers 3. CAD Expert 4. Assistant Bridge /Structural Engineer 5. Environmental cum Safety cum Social Expert 6. Assistant Quality cum Material Engineer 7. Electrical Engineer 8. Laboratory Technician

Note: The above categories are indicative, and the IE may decide upon the requirement based on the scope of work. The other inputs like support staff such as administrative, accounts, and assistants shall also be provided by the IE, of an acceptable type, and commensurate with the roles and responsibilities of each position to efficiently and effectively perform the services.

C. Qualification Requirements of Key Experts

(i) Team Leader cum Senior Highway Engineer

This is the senior most position and the expert engaged as the team leader shall be responsible for reviewing the entire Project preparation and implementation activities of the HAM Contractor. The expert shall check all the Designs being prepared by the HAM Contractor, ensure execution of works on site as per specification and standards, and continuously interact with the Authority and the Contractor. The expert shall undertake Project site visits and shall guide, supervise, coordinate and monitor the work of other experts in his team as well as those of the Contractor. The expert is responsible for day to day supervision of works for implementing the project in accordance of HAM contract agreement and report non compliances to both HAM Contractor and Authority. Responsible for certifying the payments and help in resolving the disputes between HAM

Appendix 2 71

Contractor and Authority. The candidate should have a proven record of supervising, organizing and managing of Project preparation and construction of highway projects of large magnitudes, as defined below, financed by international lending agencies and others. Knowledge of Project management shall be an added advantage. Qualifications and experience: • Desirable: Graduate degree in civil engineering from a recognized university • Preferable: Postgraduate degree in highway or transportation engineering from a

recognized university • Desirable: total professional experience of 20 years • Includes at least 2 years of experience in highway development in EPC, annuity, or

PPP projects • He/she should have handled the assignment as Team Leader/ Deputy Team Leader

or similar capacity of at least two construction supervision consultancy works and two Independent Engineer consultancy works of highways of EPC, Annuity, or PPP projects involving 300 lane-kilometers or projects costing more than Rs.8950 million

• His/her experience should include atleast 3 years on similar projects in developing countries, including in Asia.

• Experience in preparation of DPRs of highway projects. • Knowledge of international “best practices” in latest conditions of contract,

construction, contract management and modern highway construction technology • Experience in operation and maintenance of major highway projects • Experience in contract dispute management • He/she should also be familiar with implementation aspects of safety, environmental

management plans, social safeguard plans. • Experience in multilateral/bilateral agency aided projects will be given higher

preference. • Project experience less than 1 year in any project will not be considered in determining

the experience in the number of projects.

(ii) Resident Engineer cum Senior Highway Engineer The expert shall check all the Designs being prepared by the HAM Contractor , ensure execution of works on site as per specification and standards, and continuously interact with the Authority and the Contractor. The expert shall undertake Project site visits and shall guide, supervise, coordinate and monitor the work of other experts in his team as well as those of the Contractor. The expert is responsible for day to day supervision of works for implementing the project in accordance of HAM contract agreement and report non compliances to both HAM Contractor and Authority. The candidate should have a proven record of supervising, organizing and managing of Project preparation and construction of highway projects of large magnitudes, as defined below, financed by international lending agencies and others. Knowledge of Project management shall be an added advantage.

Qualifications and experience: • Desirable: Graduate degree in civil engineering from a recognized university • Preferable: Postgraduate degree in highway or transportation engineering from a

recognized university • Desirable: total Professional Experience of 15 years.

72 Appendix 2

• Includes at least 2 years of experience in highway development in EPC, annuity, or PPP projects

• He/she should have handled the assignment as Team Leader/ Deputy Team Leader or similar capacity of at least one construction supervision consultancy works and one Independent Engineer consultancy works of highways of EPC, Annuity, or PPP projects involving 300 lane-kilometers or projects costing more than Rs.8950 million

• His/her experience should include atleast 3 years on similar projects in developing countries, including in Asia.

• Experience in preparation of DPRs of highway projects. • Knowledge of international “best practices” in latest conditions of contract,

construction, contract management and modern highway construction technology • Experience in operation and maintenance of major highway projects • Experience in contract dispute management • He/she should also be familiar with implementation aspects of safety, environmental

management plans, social safeguard plans. • Experience in multilateral/bilateral agency aided projects will be given higher

preference. • Project experience less than 1 year in any project will not be considered in determining

the experience in the number of projects.

(iii) Senior Bridge / Structural Design Engineer The Senior Bridge Design Engineer/ Senior Structural Engineer 1 shall be responsible for checking the designs of bridges, Culverts, ROBs, interchanges and any other structure to be constructed in the Project highway, guiding the field supervision teams in checking of reinforcement/cable laying operations, rectifying any apparent mistakes in respect of them, checking and controlling the proper mix designs, checking the adequacy of proper form-work, laying/compacting of concrete including curing operations. For this purpose, The expert will work in close coordination with the Senior Material Expert and the Contract Management Specialist to effectively control the quality of execution. The expert will be responsible for minor modifications in design of bridges/culverts, wherever required during execution. The expert shall also review the rehabilitation measures to be proposed by the HAM Contractor for existing structures based on site condition and structural requirement basis. His/her expertise shall include computer aided design methods for Civil/Structural Engineering with particular reference to Structural design. Qualifications and experience: • Desirable: Postgraduate degree in Structural Engineering from a recognized university • Desirable: Professional Experience of 10 years. • At least 8years experience in similar capacity of Senior Bridge Design Engineer /

Senior Structural Engineer for design of major highway bridges. • Experience of designing of 4 major Highway Bridges or flyovers having length more

than 200m. • He/she should have at least 4 years experience in rehabilitation/repair/ maintenance

of bridges. • Experience in innovative methods of construction of Bridges (Pre-cast Segmental,

Cantilever Construction, Cable Stayed Bridge, Suspension bridges etc.), bridge Design methods and standards, bridge Design with use of Computer aided software, technical specifications and statistical Quality Control/Assurance procedures for construction of different component of bridges.

Appendix 2 73

• His/her experience as Senior Bridge Design Engineer / Senior Structural Engineer on a construction project in developing countries will be an added qualification.

(iv) Senior Quality cum Material Expert

The Senior Quality/Material Expert is responsible to monitor and supervise works for compliance to quality standards and report noncompliance to the TL if any. The expert shall establish the standards and procedures for monitoring of quality works. The expert shall review the test results of bore holes, quarry and borrow area material to find out their strength characteristics and suitability for using them in construction. The expert shall inspect the HAM Contractor ’s field laboratories to ensure that they are adequately equipped and capable of performing all the specified testing requirements of the contract. The expert shall look into the quality assurance aspect of the construction works and supervise the setting-up of the various HAM Contractor ’s rock crushers and bituminous mixing plants to ensure that the specified requirements for such equipment are fully met. Qualifications and experience: • Desirable: Graduate in civil engineering from a recognized university • Preferable: Postgraduate degree Engineering from a recognized University in

Geotechnical Engineering / Foundation Engineering / Soil Mechanics. • Desirable: Total Professional Experience of 15 years. • At least 5 years as Senior Quality/ Material Expert or in similar capacity in Construction

Supervision consultancy works or Independent Engineer Works of major highway projects.

• Experience as Senior Quality/ Material Expert or in similar capacity in handling of at least 2 similar highway projects.

• He/she should have exposure quality assurance programs in highway projects using modern technology

• The candidate should have demonstrated capability of supervising the setting up, organization and layout of the various HAM Contractor field laboratories, monitoring the mobilization of the testing equipment to ensure that the laboratories are adequately equipped and capable of performing all the specified testing requirements of the contracts, and supervising the setting up of the various HAM Contractor rock crushers and bituminous mixing plants to ensure that the specified requirements for such equipment are fully met. The candidate should have at least three years of experience in flexible pavement and bituminous mix designs.

• The candidate must be familiar with properties of road construction materials, technical specifications and procedures of material tests and testing equipment and should have past experience in working on road projects running on expansive soils.

• Experience as a Senior Quality/ Material Expert in EPC, Annuity, or PPP projects is preferred.

• Project experience less than 1 year in any project will not be considered in determining the experience in the number of projects.

(v) Traffic Cum Road Safety Expert The Traffic & Safety Expert shall review and check the traffic analysis, projection, and assignment exercises to be carried out by the Contractor. The expert shall also review/design of intersections and interchanges, scheme for traffic management during construction period. The expert shall also study and comment on safety audit report/ traffic

74 Appendix 2

management & Safety plans prepared by the HAM Contractor. The expert shall review and approve all the safety measures taken by the HAM Contractor during the execution period at site. Conformity to the safety requirement as per HAM Contract Agreement requirements and shall be checked and approved. This shall cover all the temporary structures, Overhead Launching Girders, Cranes, Transverse Gantries, equipment at Pre-casting Yard and at site, Jack Pushing operations of underpasses and level of awareness/training of site staff of Contractor. The expert will be also responsible for reviewing all temporary works / staging along with the structural / bridge engineer from the safety point of view. The safety Expert will guide the field supervision teams and the HAM Contractor ’s site officers in complying with adequate construction safety standards in worksites, plant sites and quarry locations (if quarries are independently operated by the HAM Contractor s) and will undertake hands-on-training programs and conduct mock safety drills as required from time to time. The expert will be coordinating and controlling, through the Team Leader’s office, all construction safety issues with the road safety consultant deployed by the authority and will be responsible for reporting and following up on construction safety issues / lapses as appropriate. The expert shall also look into the various accidents and other insurance converges taken by the Contractor. The expert shall report non compliances to TL immediately for taking immediate contractual remedies. Qualifications and experience: • Desirable: Postgraduate degree from a recognized University in Traffic /Transportation

Engineering/Transport Planning. • Desirable: Total Professional Experience of 15 years. • At least 5years experience shall be as Traffic & Safety expert on Major Highway of

similar nature. • Worked as Traffic & Transport expert in at least two similar projects in similar capacity. • Experience in Road Safety Audit of at least 2 highway projects of similar complexity of

projects having a minimum 150 lane kms including at least 1 project at design stage. • International Exposure in the field of Road Safety Management Plan and experience

in working with external aided projects is preferred • Experience of Road Safety Aspects and traffic management during various phases i.e.

pre-construction, design/development/ construction stage, safety audit & studies of Highway Projects.

• Experience as a Traffic and Transportation Expert in EPC, Annuity, or PPP project and experience in external aided project is preferred.

• Project experience less than 1 year in any project will not be considered in determining the experience in the number of projects.

To ensure high standard of services all the key experts are required to get registered themselves on Ministry of Road Transport & Highway, Govt. of India's portal INFRACON web portal http://infracon.nic.in/.

V. Qualification Requirements of Non-Key Experts 1 Survey Engineer cum

Quantity Engineer • The candidate should be Graduate in civil engineering from a

recognized university • At least 6 years’ experience in the field of surveying out of which 3

years should be for highway projects. • He/she should have involved in at least 1 similar highway projects. • Firm may deploy Survey Engineer with diploma in Civil

Engineering/Survey having at least 10 years’ experience in the field of surveying out of which at least 5 years should be in highway

Appendix 2 75

projects and they should have also dealt with at least 1 project of similar nature.

• This position requires thorough understanding of modern computer-based method of surveying with total station digital level etc.

• Should have handled at least 2 major highway projects of similar size and complexity.

• Project experience less than 1 year in any project will not be considered in determining the experience in the number of projects.

2 Assistant Highway Engineer

• Graduate in civil engineering from a recognized university • Professional Experience of 6 years in supervision of Highway

Projects. • Should have handled at least 1 major 2/4/6 laning projects of similar

size and complexity • Experience of Highway Project on EPC, Annuity, or PPP Mode • Experience in Externally Aided projects is desirable. • Project experience less than 1 year in any project will not be

considered in determining the experience in the number of projects. 3 CAD Expert • Graduate/Diploma in Civil Engineering from a recognized University

having experience in computer related design method for highway engineering.

• Professional Experience of 6 years in CAD or similar design software.

• Should have worked on at least 2 major highway projects of similar size and complexity.

• Project experience less than 1 year in any project will not be considered in determining the experience in the number of projects.

4 Environmental cum Safety cum and gender Social Expert

• Graduate in Environmental Engineering or related sciences from a recognized university

• Professional Experience of 6 years in Environmental aspects of Highway projects e.g. Environmental Impact Assessment, etc.

• Experience in implementation of EMP in externally aided highway projects is essential.

• Experience in Road Safety Audit of at least 2 nos. highway / expressway project of similar complexity of projects having a minimum 150 lane kms or equivalent including 1 nos. at design stage.

• Exposure in the field of Road Safety Management Plan and experience in working with external aided projects is preferred

• Experience of Road Safety Aspects during various phases i.e. pre-construction, design/development/ construction stage, safety audit & studies of Highway Projects.

• 2-3 years’ experience in social mobilization, labor law compliance (female workforce) monitoring and gender trainings.

• At least five-year experience in handling land acquisition and resettlement implementation under externally funded projects.

• Project experience less than 1 year in any project will not be considered in determining the experience in the number of projects.

5 Assistant Bridge / Structural Engineer

• Graduate in civil engineering from a recognized university • Professional Experience of 6 years in Bridge Design. • 2 years out of total 6 years experience in similar capacity for design

of major highway bridges. • Experience of designing of 2 major Highway Bridges. • Design experience of major highway bridge of length 200 m or more.

(Excluding approaches).

76 Appendix 2

• Project experience less than 1 year in any project will not be considered in determining the experience in the number of projects.

6 Assistant Quality cum Material Engineer

• Graduate in civil engineering from a recognized university • Professional Experience of 6 years. • Experience of at least 2 years as Quality/ Material Expert or in

similar capacity in Construction / Construction Supervision /major highway projects. Experience in latest quality management techniques in highway projects using modern technology

• Experience as Quality/ Material Expert or in similar capacity in handling of at least 2similar highway projects of similar size and capacity.

• Project experience less than 1 year in any project will not be considered in determining the experience in the number of projects.

7 Electrical Engineer • The candidate should be Graduate in Electrical Engineering from a recognized university

• At least 10 years’ experience in the field out of which 5 years should be for highway projects.

• He/she should have involved in at least 3 similar highway projects. 8 Laboratory

Technicians • The candidate should be Graduate in Science from a recognized

University or Diploma in Civil Engineering. • At least 2 years’ experience in the field out of which 1 years should

be for highway projects.

VI. Reporting Requirements and Time Schedule of Deliverables

Sr. No.

Activity/ Output

Timeframe for Delivery

Key Expert Man-months proposed for Input Copies

Development Construction Operations 1 Inception

Report 3 weeks of mobilization

8 5

2 Monthly Technical Report

7th of Each Month 3 92 - 5

3 Quarterly Report

15th of each quarter Month

2 46 6 5

4 Additional Technical Report

Periodically as applicable 8 30 - 5

5 Draft Completion Report

3 weeks of completion of construction

- - 4 5

6 Monthly Progress Report (O&M)

Monthly during operations period - - 7 5

7 Closure Report On completion of HAM Contract

- - 4 5

Total 21 168 21

A. Inception Reports (5 copies)

The Inception Report shall outline how the IE will implement the project. It shall illustrate the planning that the IE has done for the assignment, staffing and comments as deemed appropriate. The Authority will comment on the Report. The Inception Report must be submitted within three (3) weeks after mobilization and should also describe the final format the IE propose to use for the Monthly Technical Reports.

Appendix 2 77

B. Monthly Technical Reports (5 copies) The IE shall no later than the 7th of each month, deliver a brief progress report summarizing the work accomplished by each of the supervision teams for the preceding month. The Monthly Technical Report shall report on the health and safety, physical progress, status of payment of the contractor's monthly payment certificates, all claims for cost or time extensions, and actions required by the Authority to permit unconstrained works implementation. It shall include problems encountered and recommended solutions and a summary of the log from the meetings with the HAM Contractor . The draft outline for the monthly report is below. (i) Health and safety in the work sites (the HAM Contractor must keep a log of

accidents by category) (ii) Physical progress vis-à-vis the planned progress, including time and costs; Also,

weekly progress log and issues on the construction sites; (iii) Explanations for variances to the above; (iv) Expenditures vis-à-vis the cash flow forecast and budget; Further IE shall prepare

a detailed report on draw down of equity and debt from the Escrow Account. (v) Explanations for variances to the above; (vi) Status of HAM Contractor claims and disputes, including HAM Contractor claims

for time extension and compensation, Variation order (Change of Scope) proposed and approved.

(vii) Human resources (disaggregated by sex), mechanical equipment and materials; (viii) Testing and quality control and inspections carried; (ix) Stakeholder issues; (x) Environmental management plan; (xi) Summary of problems encountered (administrative, technical, financial, etc.) and

actions already taken or expected to be taken by the IE, or requested from the HAM Contractor to overcome these problems;

(xii) Other relevant material and discussions, and (xiii) Annexes: The Deviation Report, and other supporting information as necessary (xiv) Summary of existing encumbrances like trees, electrical poles, water lines,

underground utilities, public buildings etc. The time programme commensurate with HAM Contractor work programme to relocate these encumbrances.

(xv) Status of land acquisition, resettlement and rehabilitation. (xvi) Data on workforce participation (sex disaggregated) for unskilled, semi-skilled,

skilled and site supervisors; (xvii) Compliance reports on labor laws, specifically female workforce compliance and

HIV trainings

C. Quarterly Reports (5 copies) The IE will prepare a report summarizing all supervision activities at the end of each quarter no later than the 15th of each quarter month. It should have roughly the same format as the monthly report, supplemented by the Third-party Quality Monitoring team’s key findings and the IE’s responses to them. The IE’s quarterly report needs to contain quarterly cash flow projections in a format acceptable to the Authority (MPRDC). It should also identify updated budget estimates for all outstanding work. The Quarterly Report shall also include the matrix of the HAM Contractor ’s deviation report and results on the quality assurance program, showing both the recent performance and overall trends. The IE shall submit a draft format for this report in the inception report. The IE shall prepare a separate (i) annual Environmental Monitoring and Supervision Report, which includes changes in the environmental parameters supported by laboratory

78 Appendix 2

tests result as set out in the Environmental Management Plan (EMP); and (ii) semi-annual social monitoring report. The report shall also quantify and assess the efficacy of the environmental and social impact mitigation measures and recommendation of the best practices.

D. Additional Technical Reports (5 copies) The IE shall prepare design reviews and other technical reports during the project from time to time. In particular technical reports are necessary for each major design change from the (preliminary engineering design. Approvals prior to the issuance of substantial changes need to be included.

E. Draft Completion Report (5 copies) The IE will prepare the Draft Completion Report within 3 weeks of the completion of the construction works and issue of completion certificate in terms of provisions of CA clause 14.2. The Draft Completion Report will provide an overview of the project and whether the project has been successful. The Report will include, but not limited to:- (a) Overall review of the project, including safety and health data during project execution; (b) Project timeline for completion; physical progress vs. the original program; (c) Project costs vs. the original budget; (d) Key issues in the design and explanations for variances to the preliminary design; (e) Description of additional work, and claims and their disposition (f) The final Quality Deviation Matrix (g) Other information that is requested by the Authority during project implementation. (h) The Third-party Quality Monitoring team’sFinal Report as an Annex (i) The IE will also consolidate all forms of communications between the Project

stakeholders and shall submit the same to the Authority segregated on a monthly basis

F. Monthly Progress Report during Operation and Maintenance Period - (5 copies) The IE shall submit the monthly progress report on O & M covering compliances against the maintenance requirements as provided under Schedule K and as per other relevant sections of the CA. • Closure Report - Project Hand-Back Report – (5 copies)

The IE will prepare the Project Hand-Back Report within 3 weeks of the completion of the HAM contract period. The Project Hand-Back Report will provide an overview of the project and whether the project has been successful. The Report will include, but not limited to:- (a) Overall review of the project, including safety and health data during project execution; (b) Description of additional work, and claims and their disposition (c) Other information that is requested by the Authority during project implementation. (d) The IE will also consolidate all forms of communications between the Project

stakeholders and shall submit the same to the Authority segregated on a monthly basis (e) compliance by the HAM Contractor with the Maintenance Requirements (f) hand back of all materials, tools, plant, equipment, facilities, etc, pertaining to the

project highway that shall be handed over to the Authority by the HAM Contractor (g) report on any liabilities or defects or deficiencies pertaining to the project highway A review committee comprising of the following officers of the MPRDCL will be reviewing all the reports submitted by the IE and will provide comments if any within 15 days: 1. The Chief Engineer -MPRDCL 2. The General Manager -MPRDCL 3. The Divisional Manager -MPRDCL

Appendix 2 79

VII. Client’s Input and Counterpart Personnel

a. Services, Facilities and property to be made available to the IE by the Client.

(a) Data and Services i) The entire copies of Contract Package HAM Contract Agreements including bidding

documents will be made available to the IE. ii) Necessary letters, which will be required for Visas of foreign personnel and

procuring other services by the IE for performing project services. (b) Accommodation, communication, Field Equipment and Vehicles

The IE will be responsible for making his own arrangements for all his accommodation (including the office of the Team Leader and associated staff stationed in Bhopal and his site staff). The IE should also make his own arrangements for office furniture, equipment, stationeries, photocopiers, communication facilities like telephones, web connections, facsimiles, etc. including maintenance thereof and vehicles for transportation of office staff/ field staff etc. (including operation, maintenance, insurances and repairs thereof). The IE shall also be making his own arrangement for field equipment’s e.g. measurement tape, depth gauges, thermometers, auto levels, total station etc. for the purpose of all kind of measurement & verification of HAM Contractor data. (c) Laboratory facilities Access will be provided to the HAM Contractor established quality control laboratory. The HAM Contractor will establish and maintain laboratory including testing equipment, water supply, electricity and cooling/heating equipment, which shall be made available for use by the IE. Maintenance of the laboratory by the HAM Contractor shall include the cost of electricity, water and all consumable for testing. The HAM Contractor will be responsible for carrying out tests for quality of soils/materials, etc. The IE shall be required to monitor lab testing and to carry out test checks as necessary to verify compliance with the HAM Contract Agreement.

VIII. Performance Clause

Independent Engineers shall be expected to fully comply with all the provisions of the 'Terms of Reference’, and shall be fully responsible for supervising the Designs, Construction and maintenance and operation of the facility takes place in accordance with the provisions of the HAM Contract Agreement and other schedules. Any failure of the Independent Engineer in notifying to Authority and the HAM Contractor on non-compliance of the provisions of the HAM Contract Agreement and other schedules by the HAM Contractor, non-adherence to the provision of ToR and non-adherence to the time schedule prescribed under ToR shall amount to non-performance.

IX. Replacement of Key Expert

After award of the contract for Consultancy Services, the Client expects all the proposed key experts to be available during implementation of the Contract as per the agreed staffing schedule. The Client will not consider substitutions during contract implementation except under exceptional circumstances. In case of such replacements, the Consultant will ensure that there is a reasonable overlap between the staff to be replaced and the replacement wherever feasible/possible. Replacement of Key Experts beyond an upper

80 Appendix 2

limit of 25% man-month of total Key Experts shall invite penalty except if replacement asked by the Client under sub-clause 32.1 and 32.2 of Section 8 Conditions of Contract. A deduction of 10% of current remuneration of the Key Expert shall be made for each replacement beyond 25% of man month limit for total Key Experts.

X. Performance Security

Consultant shall be required to submit acceptable Bank Guarantee for an amount equal to 10% Contract Value, as Performance Security, valid up to a time period of 36 months from the date of signing of agreement. The format of the Bank Guarantee(s) shall be got approved by the consultant from Employer. The Bank Guarantee(s) shall be released after satisfactory completion of the assignment.

Appendix 3 81

OUTLINE TERMS OF REFERENCE FOR CONSULTING SERVICES E-MAINTENANCE ASSET MANAGEMENT SYSTEM

A. Background and Objectives

1. The Madhya Pradesh Road Development Corporation Ltd. (MPRDC), a company fully owned by the Government of Madhya Pradesh, has been entrusted with the responsibility of the widening and reconstruction of state highways and major district roads (MDRs) under the Public–Private Partnership for Madhya Pradesh Road Sector Project. 2. To strengthen the MPRDC’s asset management and maintenance of the road network, the MPRDC intends to develop an electronic maintenance asset management system for state highways and MDRs. The system will include a web-based system and geographic information system (GIS) software to enable MPRDC maintenance engineers to record the asset details, location, types of defects, or maintenance required for roads and to possibly take pictures of the road defects to ensure these are rectified on time. The system will also include an online module on the MPRDC’s website so that the public can inform the MPRDC of road defects for necessary action. The e-maintenance system, especially with the public feedback module, will enable closer monitoring of road conditions and timely repair of deteriorating roads.

3. These terms of reference define the services of a consulting firm that will be engaged to assist the MPRDC in the development of the e-maintenance asset management system. The project is being considered for financing by the Asian Development Bank (ADB). B. Scope of Services

4. The scope of services is described below.

Task 1 Develop a software for MPRDC maintenance engineers to record the location, types of defects or maintenance required, and possibly to take pictures of the defect to enable proper reporting and tracking to ensure road problems are rectified on time. The software development will need to take into account the following: (i) user management to identify the role and services of users involved

in the system; (ii) data management to regularly update packages and road data to

ensure the functionality of the system at departmental and user levels;

(iii) web/mobile interface to take inputs by application users; (iv) data flow functionalities to forward the inputs to the appropriate

authority; (v) verification for reporting types of defects; (vi) assignment of work to the concerned authority; and (vii) timely submission of rectification report of assigned work, and

satisfactory report by the concerned authority Task 2 Develop an online module on the MPRDC’s website so that the public can

inform the MPRDC of road defects for necessary action. Basic features are as follows: (i) web and/or mobile interface for citizens to report the road defects; (ii) allotment of unique tracking number for every grievance and to

82 Appendix 3

follow up the status of the grievance; (iii) SMS and email alert for the public; (iv) one dashboard for the departmental user with the functionality of

seeking and forwarding the information to the concerned officer; and

(v) after completion of grievance filing, automatically send a report to the complainant.

C. Implementation Arrangements

5. The consulting services will be implemented by an international consulting firm. An association with a suitable domestic consultant is encouraged to complement the international consulting firm’s local knowledge and experience. The consulting services will be carried out for about 9 calendar months. The inputs of international and national experts are summarized in Table A3.1.

Table A3.1: Summary of Experts Required

Area of Expertise Duration

(Person-months) A. International

1. Road asset maintenance specialist (team leader) 9.0 2. Information and communication technology specialist 6.0

Subtotal (A) 15.0 B. National

1. Road asset maintenance specialist 9.0 2. Software engineer 6.0 3. Website designer 2.0

Subtotal (B)a 17.0 Total (A+B) 32.0

a Excluding sub-professional support staff (to be included in FIN-4 Breakdown of Other Expenses): Office Secretary (9 person-months) and Office Cleaner (9 person-months). Curriculum vitae of subprofessional staff are not required in the proposal.

Source: Asian Development Bank.

D. Reports, Deliverables, and Time Schedule

6. The consultant will submit the reports and deliverables listed in Table A3.2 in English. Four copies of the report to the government and two copies to ADB will be required. The deliverables must satisfy international best practices and be acceptable to both the MPRDC and ADB.

Table A3.2: Reporting Requirements

Description and/or Technical Accomplishments Submission Deadline

(Months after commencement)

Inception report 1.5

Draft maintenance software and online module 7.0

Final maintenance software and online module 9.0 Source: Asian Development Bank. E. Data, Local Services, Personnel, and Facilities to be Provided

7. The consultant will be provided with the following:

(i) Office space may be provided by the MPRDC except information and

Appendix 3 83

communication technology hardware. (ii) All required data will be provided by the MPRDC to the appointed consultant. (iii) The MPRDC will appoint a nodal officer as counterpart staff while the software is

being developed by the appointed consultant. The MPRDC will also assign one independent engineer with the project.

F. Experts’ Input

8. Proposing entities will determine the number and the nature of experts they will require to achieve the objectives of the contract, in accordance with their proposed approach and methodology. However, ADB requires a minimum of two key international experts and one key national expert, as listed in Table A3.1 and paragraphs 9–11.

International experts: 15 person-months National expert: 17 person-months

9. Team leader/Road asset maintenance specialist (International). 15 years of general experience and 10 years of specific experience (similar to the assignment), with a degree in a relevant field, postgraduate degree is preferred. Working experience in the South Asian Association for Regional Cooperation (SAARC) region would be preferable.

10. Information and communication technology specialist (International). 15 years of general experience and 10 years of specific experience (similar to the assignment), with a degree in a relevant field, postgraduate degree is preferred. The specialist should have expertise in the development of system architecture and road asset management. Working experience in the SAARC region would be preferable. 11. Road asset maintenance specialist (National). 10 years of general experience and 5 years of specific experience (similar to the assignment), with a degree in a relevant field, postgraduate degree is preferred.

84 Appendix 4

OUTLINE TERMS OF REFERENCE CONSULTANTS FOR CAPACITY AND INSTITUTIONAL STRENGTHENING OF PRIVATE

PARTNERS TOWARDS SUSTAINED GENDER PARITY

1. Background of the project. The Madhya Pradesh Road Development Corporation Ltd. (MPRDC), a company fully owned by the Government of Madhya Pradesh, will be implementing the Public–Private Partnership for Madhya Pradesh Road Sector Project to widen and reconstruct state highways and major district roads (MDRs) and newly declared state highways to provide reliable road transport services in the state. The project is categorized effective gender mainstreaming and will implement a gender action plan (GAP). The project is being considered for financing by the Asian Development Bank (ADB). 2. Objective of the assignment. The consultants’ scope of service will include, but not be limited to, implementation, monitoring, and reporting of the GAP and initiatives planned to strengthen gender parity in private partners’ institutional and operational strategies. The initiatives will include a mix of research activities and trainings. The consultants will work under the overall guidance, supervision, and direction of the MPRDC. The consultants will mobilize a team leader and an analyst responsible for implementation of activities, monitoring, and reporting for institutional strengthening, and a gender specialist (to be located in MPRDC) who will exclusively provide monitoring and reporting support to the MPRDC for GAP implementation. To enable seamless coordination, the consultants will prepare workplans with timelines in close coordination with the MPRDC and ADB. The workplan, along with a detailed inception report, will be submitted to the MPRDC and ADB for review and approval. The proposed consultancy is in line with the Interdepartmental Cooperation Matrix for Gender Operational Plan, 2030 that states the importance of engaging governments and private sector clients or borrowers and developing their gender mainstreaming capacity and gender equality policy at the workplace. The activities will help (i) promote gender equality measures within the private partners’ human resource policies and operations, and (ii) strengthen institutional gender mainstreaming capacities to promote gender equality policy at the workplace. 3. Key tasks. The scope of services will include, but not necessarily be limited to, the following:

(i) Gender parity index (GPI). Activities will include drafting suitable methodology for calculating the GPI across the six independent engineering services contracted for project implementation. The methodology will be guided by the GPI toolkit to evaluate gender diversity and empowerment of women in the formal sector in India.1 A baseline questionnaire will be developed, approved, and administered across the six private partners. The data will be analyzed and the report shared with the MPRDC and ADB. An end-line questionnaire will also be administered at the end of the assignment to assess the changes in gender parity and documentation of good practices.

(ii) Dissemination workshops. Two dissemination workshops will be organized to share findings of the baseline and end-line questionnaires.

(iii) Capacity development. The activities under the initiative will include development of customized training modules and capacity development trainings for the

1 FICCI Ladies Organisation, Federation of Indian Chamber of Commerce and Industry (FICCI). 2017. Gender parity

index: A toolkit to evaluate gender diversity and empowerment of women in the formal sector in India.

Appendix 4 85

independent engineering services to strengthen institutional gender mainstreaming capacities to promote gender equality policies at the workplace.

(iv) Best performer rating. The dissemination workshop on the findings and good practices will include best performer rating and recognition by the executing agency and ADB.

(v) Support in implementation of GAP. Technical support will be provided to the MPRDC in the overall implementation of the GAP and the design and monitoring framework, including assisting the MPRDC to prepare and submit quarterly monitoring reports on GAP implementation in line with ADB reporting requirements.

4. Reporting requirements. All progress reports will be written in English and copies will each be submitted to the executing agency and ADB. The progress reports should cover the status of achievement of activities at each stage of implementation. The following reports will be submitted in a timely manner:

Table A4.1: Reporting Requirements Report Deadline and Frequency

A. Administrative Reports 1. Inception report, including work plan,

implementation framework, monitoring formats, and timelines

March 2020 (within 2 months after mobilization)

2. Revised final inception report

May 2020 (2 weeks after receiving comments from the EA and ADB)

3. Monthly progress updates Every month after inception report is finalized 4. Quarterly progress reports Every quarter starting third quarter of 2020 5. Gender action plan progress reports for MPRDC Every quarter 6. Draft final report December 2022 7. Final report January 2023 B. Technical Reports 1. Baseline survey findings December 2020 2. Dissemination workshop report (baseline) February 2021 3. Training modules and approved training calendar April 2021 4. Brief training reports End of each training

(2 trainings with 6 private partners will be planned)

5. End-line survey findings November 2022 6. Dissemination workshop report (end line) December 2022

ADB = Asian Development Bank, EA = executing agency, MPRDC = Madhya Pradesh Road Development Corporation. Source: ADB.

5. Key personnel:

(i) Team leader: Minimum requirement of master’s degree in sociology, social work, psychology or economics. Has 6 years of experience and 3 years of demonstrable experience in gender mainstreaming program management, trainings, and research. Responsible for overall implementation, coordination, monitoring, and reporting and will ensure that all activities are implemented within the budget and without time overruns.

(ii) Analyst: Minimum requirement of bachelor’s degree in statistics, mathematics or similar. Has 6 years of experience as a monitoring expert in data analyses and

86 Appendix 4

report writing. (iii) Gender specialist: Minimum requirement of master’s degree in sociology, social

work, psychology or economics. Has 6 years of experience in working with local communities in Madhya Pradesh or adjacent states. Should be familiar with the local language, and with women’s empowerment and community development livelihood programs. Familiarity with gender equality and women’s empowerment issues in the transport sector is desirable. The gender specialist will be located in the MPRDC and will work in close coordination with the team leader and independent engineers.

6. Estimated person-months. A total of 36 person-months of consultant services will be provided.

Appendix 5 87

OUTLINE TERMS OF REFERENCE FOR STRENGTHENING CAPACITY OF ENGINEERS IN MPRDC, IE, AND CONCESSIONAIRES ON IMPLEMENTATION OF ROAD PROJECTS ON

HYBRID–ANNUITY MODEL CONTRACT A. Background and Objectives

1. The Madhya Pradesh Road Development Corporation Ltd. (MPRDC), a company fully owned by the Government of Madhya Pradesh, has been entrusted with the responsibility of the widening and reconstruction of state highways and major district roads under the Public–Private Partnership for Madhya Pradesh Road Sector Project.

2. The hybrid–annuity model (HAM) is the latest trend in road sector projects. This mode is a hybrid of cash contract (engineering, procurement, and construction) and annuity contract (build–operate–transfer) in which the authority makes certain cash payments during the construction period, which is 2 years, and makes the remaining payment through biannual annuities during the operation and maintenance periods, which is 10 years in this case. 3. Since the MPRDC is implementing for the first time in the state of Madhya Pradesh a project using the HAM and this is a new type of contract, there is little or no exposure to this model. Therefore, to strengthen the institutional capacity of the MPRDC, the independent engineer, and concessionaire’s engineers, a training program is essential for the efficient implementation of the loan project on the HAM contract. This training program will improve management skills and hassle-free execution of the HAM contract by exposing trainees to the intricacies of hybrid documents and the latest standard specifications, material testing techniques, and reporting practices. B. Objectives of the Assignment

(i) To develop the content and guidelines for training of engineers, including a 5-day

training module, in consultation with the executing agency and in accordance with latest training practices and good industry practice.

(ii) To provide training to the engineers to strengthen their capacity on skills for efficient and hassle-free implementation of HAM projects.

(iii) To develop skills for material testing, design procedures for job mixes, design methodology for structures, design methodology for highways and quality control, etc.

C. Vendor’s Responsibilities

(i) Develop a course outline and contents of a 5-day training program in line with the

approved training modules on contract management (HAM), practical laboratory material testing for ISO-certified laboratory, exposure to software (RDMS, AutoCAD, STAAD-Pro, SAP, MATLAB, MXROAD, Civil-3D, etc.) at a computer laboratory, and exposure to the relevant latest standards of specification design procedures for job mixes, design methodology for structures, design methodology for highways and quality control, etc.

(ii) Prepare PowerPoint (PPT) presentations and necessary handouts for the participants on the basis of the approved training manual.

(iii) Deliver a 5-day training program for 40 participants in nine batches in coordination with the MPRDC.

(iv) Prepare a training delivery schedule with full itinerary of the events.

88 Appendix 5

(v) Select resource persons to deliver training sessions in consultation with the MPRDC.

(vi) Organize the training venue, accommodation for participants, material testing laboratory, computer laboratory, refreshments, lunch/dinner, training materials, and other necessary arrangements for the participants in the training in India in collaboration with the MPRDC.

(vii) Disburse travel allowance, daily allowances, and fees of the resource persons. (viii) Prepare and submit the training reports for each program and a compilation report

of nine training programs with photographs and videos of the participants. The training reports should include sex-disaggregated information on the number of participants.

(ix) Submit the final training documents (manual, PPT slides, group work exercises, etc.) and documentation, including other inputs, to the MPRDC.

D. Outputs and Deliverables

(i) Prepare and submit a course outline, course contents, PPT, handouts, and training

delivery schedule for training of engineers as per responsibility C.(i–iv). (ii) Submit a report on the delivery of nine batches of training programs and train 360

participants in accordance with the responsibilities under C.(v–vii). (iii) Conduct pre- and post-evaluation of each training. (iv) Submit an output-based progress report for each training program and a final

report of all training programs, including a list of trainees (disaggregated by sex) with full contact details, profile photographs, and videos of individual participants. Provide inputs to the MPRDC.

E. Assignment Period

4. The training service provider shall consult and coordinate with the nodal officer of the MPRDC to accomplish the assignment successfully. The service provider needs to report on the progress of the assigned task routinely. 5. The duration of the assignment will be 6 months, and is expected to start on 1 January 2020.

Table A5.1: Training Assignment and Timeline SI Assignment Completion Timeline 1 Development of training materials, including content/

guidelines in English for training of engineers, presentations and handouts, planning for the sessions, etc.

Commencement + 43 days

2 Conduct nine batches of training programs for at least 360 participants

Item 1 completion + 100 days

3 Reporting requirements: individual training reports and a compiled report with participants’ photographs, videos, list of trainees with complete contact address, pre- and post-evaluation of the training, etc.

Item 2 completion + 9 days

4 Completion of documentation including inputs to the MPRDC Item 3 completion + 30 days MPRDC = Madhya Pradesh Road Development Corporation. Source: Asian Development Bank.

Appendix 5 89

F. Reporting and Documentation 6. The training service provider will maintain a proper documentation process of the training and assess/evaluate the quality of the training through a standard template. In addition, the contracted training service provider will regularly update the MPRDC with training related data and inputs to prove completion and achievement of training deliverables. G. Eligibility Criteria

• Facilities to conduct training and for the intended number of participants • Experience during last 3 years in conducting similar training sessions

H. Team Composition and Qualification Requirements

7. Key experts whose curriculum vitae (CV) will be evaluated include the following:

Table A5.2: Key National Expert Positions and Working Days

Sr. No.

Key Position Person-month

No. of Working Days No. of Days

Total No. of Days

Development of Module

Operation

1 Course Director 1 43 100 143 143 Subtotal Working Days 143

1 Faculty - 1 1 43 100 143 143

2 Faculty - 2 1 43 100 143 143 3 Faculty - 3 1 43 100 143 143 4 Faculty - 4 1 43 100 143 143 Subtotal Working Days 572

8. Non-key expert requirements should be assessed by the bidder based on the scope of work. The CVs of non-key experts will not be evaluated but these should be submitted to the client for approval before mobilization.

Table A5.3: Non-Key National Expert Position and Working Days

Sr. No.

Key Position Person-month

No. of Working Days No. of Days

Total No. of Days

Development of Module

Operation

1 Assistant Course Director - 1 1 43 100 143 143 Subtotal Working Days 143

Note: The above categories are indicative, and the service provider may decide upon the requirement based on the scope of work. Other inputs such as support staff for administrative, accounts, and assistants will also be provided by the service provider, of an acceptable type, and commensurate with the roles and responsibilities of each position to efficiently and effectively perform the services. Source: Asian Development Bank.

I. Qualification Requirements of Key Experts

(i) Course director. This is the senior most position and the expert engaged as the Course Director shall be responsible for preparation of the training module and reviewing the entire project preparation and implementation activities of the training. The expert shall ensure execution of training on-site as per specification and standards, and continuously interact with the authority. The expert shall undertake training site visits and shall guide, supervise, coordinate, and monitor

90 Appendix 5

the training of faculty in his/her team as well as those of the service provider. The expert is responsible for day-to-day supervision of works for implementing the project in accordance with the hybrid–annuity model (HAM) contract agreement and report non-compliances to both the HAM contractor and authority. He/she is responsible for certifying the payments and help resolve disputes between the HAM contractor and authority. The candidate should have a proven record of supervising, organizing, and managing of project preparation and construction of highway projects of large magnitudes, as defined below, financed by international lending agencies and others. Knowledge of project management shall be an added advantage.

Qualifications and experience: • Desirable: Graduate degree in civil engineering from a recognized university • Preferable: Postgraduate degree in highway or transportation engineering

from a recognized university • Desirable: Total professional experience of 20 years • Includes at least 10 years of experience in providing training on contract

management, supervision, quality control of road projects • He/she should have experience as team leader/deputy team leader or

similar capacity in at least two construction supervision consultancy works and two independent engineer consultancy works of highways for engineering, procurement, and construction (EPC), annuity, or public–private partnership (PPP) projects involving 300 lane-kilometers or projects costing more than INR8,950 million

• His/her experience should include at least 2 years on similar position. • Experience in execution of highway projects, bridge projects, etc. • Knowledge of international “best practices” in latest conditions of contract,

construction, contract management, and modern highway construction technology

• Experience in operation and maintenance of major highway projects • Experience in contract dispute management • Familiarity with implementation aspects of safety, environmental

management plans, social safeguard plans • Experience in multilateral/bilateral agency aided projects will be given higher

preference. • Project experience less than 1 year in any project will not be considered in

determining the experience in the number of projects.

(ii) Faculty experts. The experts shall be involved in the development of the training module and ensure imparting training in classroom/computer and material labs as per specifications and standards, and continuously interact with the authority and the service provider. The experts shall guide, supervise, coordinate, and monitor development of training/execution of the training programs of his/her team as well as those of the service provider. The candidate should have a proven record of supervising, organizing, and managing training programs of road projects. Knowledge of project and contract management shall be an added advantage.

Qualifications and experience: • Desirable: Graduate degree in civil engineering from a recognized university

Appendix 5 91

• Preferable: Postgraduate degree in highway or transportation/structural engineering from a recognized university

• Desirable: Total professional experience of 20 years • Includes at least 2 years of experience in highway development in EPC,

annuity, or PPP projects • He/she should have handled similar assignments as training faculty or

similar capacity of at least 10 years. • Experience in preparation of detailed project reports (DPR) of highway

projects • Knowledge of international “best practices” in latest conditions of contract,

construction, contract management, and modern highway construction technology

• Experience in operation and maintenance of major highway projects • Experience in contract dispute management • Familiarity with implementation aspects of safety, environmental

management plans, social safeguard plans • Experience in multilateral/bilateral agency aided projects will be given higher

preference. J. Qualification Requirements of Non-Key Experts

(i) Assistant course director

Qualifications and experience: • Desirable: Graduate degree in civil engineering from a recognized university • Preferable: Postgraduate degree in highway or transportation/structural

engineering from a recognized university • Desirable: Total professional experience of 10 years • Includes at least 2 years of experience in highway development in EPC,

annuity, or PPP projects • He/she should have handled similar assignments as training faculty or

similar capacity of at least 5 years. • Experience in preparation of DPRs of highway projects • Knowledge of international “best practices” in latest conditions of contract,

construction, contract management, and modern highway construction technology

• Experience in operation and maintenance of major highway projects • Experience in contract dispute management • Familiarity with implementation aspects of safety, environmental

management plans, social safeguard plans • Experience in multilateral/bilateral agency aided projects will be given higher

preference.

92 Appendix 6

GENDER ACTION PLAN MONITORING MATRIX

Indicators, Baseline, Targets, Time Frame, and Responsibility

Progress to Date Issues and Challenges

(Please include reasons why an activity was not fully

implemented, or if targets fall short, or reasons for delay,

etc.)

Progress for the Reporting Period (MM/YYYY to MM/YYYY)

(This should include information on progress for the current quarter—qualitative

and quantitative updates [sex-disaggregated data])

Cumulative Progress (MM/YYYY to MM/YYYY)

(This should include information on progress [qualitative and quantitative

updates including sex-disaggregated data] from the start of the project to the previous

quarter’s progress report.) Output 1: State highways upgraded to two-lane and all-weather roads Activity 1.1. State highway upgraded infrastructure incorporate EWCD-friendly design and safety measures About 750 km of state highways upgraded with EWCD-friendly features and road safety measures at appropriate locations (2018 baseline: 0)

Activity 1.2. EWCD-friendly bus shelters constructed in state highways About 350 bus shelters constructed in state highways

Activity 1.3. Solar light provision included in bus shelters close to educational and health facilities on a pilot basis 30% of bus shelters identified and fitted with solar lights

Activity 1.4. Information on women-specific schemes, women empowerment, and helpline numbers included in bus shelters 100% bus shelters display information on women-focused and poverty alleviation schemes and helpline numbers1

Activity 1.5. Health camps organized at different habitations alongside the highway with representation of women community members 15 health camps organized for community members (minimum 30 attendees per health camp with at least 40% women)2

2 health camps organized for women on breast and cervical cancer awareness (Target: 100% women)

Activity 1.6. Road safety awareness campaigns planned for schools and college students 75 campaigns organized for at least 30 persons per campaign (Target: 40% women)

Activity 1.7. Contractors encouraged to engage female workforce in construction across skilled and unskilled categories Contactor provided with an advisory on enhancing female workforce participation and

1 The information, education, and communication (IEC) developed by the women and child, rural development, and panchayati raj departments will be displayed. 2 Health camps will include an awareness component on gender-based violence, sexual harassment, exploitation and abuse (SHEA).

Appendix 6 93

maintaining sex-disaggregated data on construction workers Output 2: Single-lane major district roads upgraded to two-lane and all-weather roads Activity 2.1. District roads upgraded infrastructure incorporate EWCD-friendly design and safety measures About 850 km of major district roads upgraded with EWCD-friendly and road safety features at appropriate locations (2018 baseline: 0)

Activity 2.2. EWCD-friendly bus shelters constructed in district roads

About 420 bus shelters constructed in district roads

Activity 2.3. Solar light provision included in bus shelters close to educational and health facilities on a pilot basis 30% of bus shelters identified and fitted with solar lights

Activity 2.4. Information on women-specific schemes, women empowerment, and helpline numbers included in bus shelters 100% bus shelters display information on women-focused and poverty alleviation schemes and helpline numbers3

Activity 2.5. Health camps organized at different habitations alongside the district roads with equal representation of women community members 15 health camps organized for community members (minimum 30 attendees per health camp with at least 40% women)4

3 health camps for women on breast and cervical cancer awareness (Target: 100% women)

Activity 2.6. Road safety awareness campaigns planned for schools and college students 75 campaigns organized for at least 30 persons per campaign (Target: 40% women)

Output 3: Capacity for hybrid–annuity model implementation, road asset maintenance and management improved Activity 3.1. Strengthen gender parity in private partners’ institutional and operational strategies 50% of private partners show improvement in the gender parity index5 (2018 baseline: 0)

Activity 3.2. Gender capacity trainings organized for private partners 10 trainings organized (2 each) for 5 independent engineers (2018 baseline: 0)

3 The IEC developed by the women and child, rural development and panchayati raj departments will be displayed. 4 Health camps will include an awareness component on gender-based violence, sexual harassment, exploitation and abuse (SHEA). 5 Gender Parity Index will be prepared for five independent engineers. The component will include a package of interventions to strengthen institutional gender

mainstreaming capacities and to promote gender equality measures in private partners’ human resource policies and operations. It will also strengthen institutional policies on prevention of sexual harassment and abuse at the workplace.

94 Appendix 6

Activity 3.3. HAM contracts reviewed and recommendations on relevant gender-specific provisions provided 35 HAM contracts with relevant gender specific provisions signed6 (2018 baseline: 0)

Activity 3.4. Organize technical and management capacity building trainings for MPRDC staff At least 352 staff reported increased knowledge in technical and management capacity of the road sector (Target: 100% eligible women staff) (2018 baseline: 0)

Activity 3.5. Organize gender trainings and GAP orientation for MPRDC and PIU staff One training organized each year (4 trainings) (2018 baseline: 0)

Activity 3.6. MPRDC oversees implementation, enforcement, and monitoring of GAP GAP progress monitored regularly and reported every quarter with the project QPRs

Gender Focal Point in MPRDC nominated Gender Specialist Consultant recruited Activity 3.7. Project PMIS includes gender-specific information and sex-disaggregated data, as relevant Sex-disaggregated data on staff, consultants, construction workforce participation, social forestry labor, and project related trainings are maintained and updated regularly

Activity 3.8. Women SHG groups and Mahatma Gandhi National Rural Employment Guarantee Act (MGNREGA) job card holders (women) engaged in social forestry (sapling plantations) 195,000 saplings planted (Target: 30% women SHG members)

EWCD = elderly, women, children, differently abled, GAP = gender action plan, HAM = hybrid–annuity model, km = kilometer, MPRDC = Madhya Pradesh Road Development Corporation, PIU = project implementation unit, PMIS = project management information system, QPR = quarterly progress report, SHG = self-help group.

Comments/ Remarks:

Prepared by:_________________________________

Approved by: ________________________________

Date: ______________________________________

6 Gender specific provisions will include, but not be limited to, compliance on labor laws related to children and women; HIV and SHEA trainings; sex-disaggregated

data on workforce participation for unskilled, semi-skilled, skilled categories and site supervisors, and engaging women self-help groups in social forestry.

Appendix 8 95

SELECTION CRITERIA FOR SUBPROJECTS

A. Subproject Selection Criteria 1. Unless modified or amended in the loan or project agreements, the Public–Private Partnership in Madhya Pradesh Road Sector Project will utilize the following subproject selection criteria and approval process. 2. A subproject will be eligible for financing under the project if it meets the following requisites:

(i) It will improve existing or newly declared state highways or major district roads (MDR) identified by the Government of Madhya Pradesh (GOMP) as part of the road network implemented by the Madhya Pradesh Road Development Corporation (MPRDC).

(ii) It is the technically feasible least-cost option and a detailed project report prepared

supports such feasibility of improving the road to (at least) two-lane configuration. (iii) An economic analysis of the subproject prepared in accordance with the Asian

Development Bank (ADB) Guidelines for the Economic Analysis of Project shows that the estimated economic internal rate of return will be at least 9%.

(iv) Environmental safeguards. A subproject categorized as A in accordance with

the ADB Safeguard Policy Statement (SPS) (2009) will not be considered under the project. The subproject has been screened for its environmental impacts in compliance with the requirements of the Government of India and the ADB SPS (2009). An initial environmental examination, including the environmental management plan, has been prepared for each subproject following the environmental assessment and review procedures as specified in the environmental assessment review framework agreed between the GOMP and ADB.

(v) Social safeguards. A subproject categorized as A in accordance with the ADB

SPS (2009) will not be considered under the project. The subproject will minimize land acquisition. If land acquisition or involuntary resettlement is required for a subproject, a resettlement plan will be prepared in accordance with applicable national and state laws and regulations, the ADB SPS (2009), and the agreed resettlement framework.

(vi) Indigenous peoples safeguards. A subproject with significant impact that is

categorized as A in accordance with the ADB SPS (2009) will not be considered under the project. If any indigenous peoples/scheduled tribes are likely to be affected by a subproject, an indigenous peoples plan (IPP) will be prepared in accordance with the agreed indigenous peoples planning framework (IPPF) and the ADB SPS (2009).

(vii) Sufficient counterpart funding has been allocated to implement the subproject

timely and efficiently in accordance with the overall implementation schedule.

96 Appendix 7

(viii) For each subproject, all necessary government approvals will have been or will be obtained, as applicable.

B. Approval Process 3. A subproject to be eligible for financing will conform to the following:

(i) The MPRDC will select a possible subproject from priority roads identified by the GOMP to be implemented by the MPRDC. The MPRDC will then conduct a feasibility study for the subproject, including its cost estimate and technical and economic analysis. The MPRDC will fill out a checklist for (a) involuntary resettlement, (b) indigenous people, and (c) environmental screening.

(ii) The MPRDC will submit (a) project selection and prioritization reports, and (b) the

above checklists to ADB for further review to obtain necessary guidance with regard to the extent of relevant analysis, assessment, or plans.

(iii) ADB will review the reports submitted by the MPRDC. If ADB finds that a proposed

subproject is not likely to satisfy the eligibility criteria and/or the agreed procedures, ADB will advise the MPRDC either (a) to modify the subproject proposal in a manner that will make it eligible for approval, or (b) to reject the subproject. If a subproject is rejected, the MPRDC may propose a replacement subproject. If ADB finds that the proposed subproject is likely to satisfy the eligibility criteria and procedures, ADB will advise whether (a) based on the resettlement checklist, a resettlement plan is required, and (b) based on the indigenous people checklist, an IPP is required. An initial environmental examination (IEE), including an environmental management plan (EMP), is required for all subprojects.

(iv) Following the review described in (iii) by the MPRDC and/or ADB, the MPRDC will

develop a resettlement plan (if required) and IPP (if required), and undertake an IEE, including an EMP, with the support of the current technical assistance consultants.

(v) Where applicable, the MPRDC will disclose the resettlement plan and IPP, and

make it available to the displaced persons. (vi) The MPRDC will appropriately disclose the IEE. (vii) The reports of the preliminary design and other design work will be submitted by

the MPRDC following examples provided by ADB based on the appraisal of the sample subproject.

(viii) The MPRDC will send the relevant safeguard planning documents (resettlement

plan, IPP, and IEE including EMP) to ADB for final review and approval. 4. After reviewing the appraisal reports and relevant safeguard documents, if ADB finds that the proposed subproject does satisfy the eligibility criteria and procedures, ADB will approve the subproject. If ADB finds that the proposed subproject does not satisfy the eligibility criteria and procedures, or does not comply with ADB’s SPS, ADB may (i) advise the MPRDC on remedial actions to be taken for the proposed subproject in order for it to comply, or (ii) reject the subproject.