Public Works Department,

Government of Uttarakhand

Uttarakhand State Road Investment Program (Project -3)

INVITATION FOR SUBMISSION OF EXPRESSION OF INTEREST FOR PROJECT MANAGEMENT CONSULTANT

Issued on: 03 June 2013

Employer: Public Works Department, Government of Uttarakhand

Represented by: Project Director, Project Management unit, ADB(Transport), Public Works Department, Dehradun (Uttarakhand)

Country: INDIA

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INVITATION FOR SUBMISSION OF EXPRESSION OF INTEREST FOR

PROJECT MANAGEMENT CONSULTANT Date: 03June 2013

ADB Loan No. and Title: Advance Action , Uttarakhand State Road Investment Program(USRIP) (Project -3)

1. India has applied for a loan from the Asian Development Bank (ADB) towards the cost of Uttarakhand State Road Investment Program (Project 3). Part of this loan will be used for eligible payments under the Consultancy named above.

2. Public Works Department, Government of Uttarakhand, the Implementing Agency is the “Employer”, invites “Expression of Interest‟ (EOI) from reputed International consultancy firms / organizations having extensive experience in Project Management and Design Consultancy of similar or multilateral funded projects for the work of

Assignment No Name of Assignment PWD/USRIP3/PMC Project Management Consultant

3. Short listed firms/organizations will be invited to submit their proposals and

implementation plans subsequently. Evaluation will be in accordance with “Guidelines on the Use of Consultants by Asian Development Bank and its Borrowers” agreed between the Government of Uttarakhand and Asian Development Bank.

4. Interested firms / organizations should submit their EOI at the address below, on or before 15:00 hrs on 10 July 2013. The EOI is required to be submitted in the standard formats stipulated for this purpose by ADB. The details /terms of reference (TOR) and format for submission of EOI are available at Consultant Selection Recruitment Notice (CSRN) of www.adb.org and http://pwd.uk.gov.in The format for EOI and TOR may be collected from address below during office hours.

5. The details of the package are

Start Date of Publication Deadline for Submitting EOI 05 June -2013 10 July-2013

Duration of Assignment (In Months) Tentative commencement date 30 15 January -2014

Anticipated completion date Types of Consultants 14 July -2016 Firms

Selection method Estimated Budget (USD) QUALITY COST BASED SELECTION

(QCBS-80:20) 2850000.00 (G.S. Bansal) Project Director, Project Management Unit, Asian Development Bank (Transport) Public Works Department, 21 Engineer’s Enclave GMS Road, Dehradun-248001(Uttarakhand,India) Phone no.0135-2722825 Fax no.0135-2722911 Email:pdpmupwdadb@gmail.com

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ASIAN DEVELOPMENT BANK

UTTARAKHAND STATE ROAD INVESTMENT PROGRAM (USRIP)

Terms of Reference for PROGRAM MANAGEMENT CONSULTANT A. BACKGROUND The Uttrakhand State Government is undertaking an a program of improving and transforming the existing Public Works Department into a modern and progressive road management oriented organization; an organization that will adopt and implement the best international practices to manage and operate the State’s road network. As part of this initiative the Asian Development Bank is assisting the PWD by financing the Uttarakhand State Road Investment Program (USRIP). This program is in multiple phases and is designed to reconstruct and improve the road network and give better connectivity and support to all areas of state. The ADB program has introduced the concept of Performance Based Maintenance Contracts (PBMC). Project 1, which contained 9 contract packages and began in 2008 is now largely in the PBMC phase. Project 2, which contained 20 contract packages and began in 2009, still is in the construction phase and approaching the maintenance phase. Project 3, which contains 18 separate contract packages, is in tendering stage. It is now being contemplated that PWD should be transformed into a modern, vibrant and technology oriented highway management agency, that is capable to face the challenge of maintaining the designed performance of the highway related assets owned by the state government using an effective and efficient management practices in the future. To give it that management oriented perspective alternative institutional strengthening and capacity building measures will have to be examined. In doing so ,feasibility of the establishment of Road Development Corporation (RDC) that will look after the state’s strategically important road assets and to develop these assets under a programmatic approach will be assessed. Further capacity building of the various players in the state’s road sector is also being considered to respond to the new arrangement. To achieve these objectives, it has been decided to engage a Program Management Consultant to support the management of Project 3 of the ADB financed USRIP and to provide assistance to assess possible creation of that new outfit or RDC which will take the mantle of being the champion for developing the state’s road sector into the next big league. Working largely within the Planning Unit, the PMC will be expected to move the PWD, into a modern progressive Client role. To achieve this important objective, the PMC should advise and guide the PWD to adopt good practices in road asset management and utilize a cross section of private sector public service partnerships to deliver the optimum level of service to road users throughout the state. The consultant will undertake a feasibility study for the creation of RDC and propose necessary institutional measures to give the RDC the character of an autonomous and modern highway agency. This may include examination of the need for new legislation on the lines of the Model Highway Bill and/or a PPP law. A consequence of the anticipated progressive move by PWD over to the Client focused role will require the PMC to investigate and initiate where practicable the development of Private Sector Partnerships (PSP’s), and the identification of potential PPP opportunities for the future road sector programs of the state. In this regard the PMC must examine all the recognized types of modern contracts that could be considered for maintaining the road network including but not limited to BOT, Annuity, MOT and DBFOT kind of arrangements.

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The PMC must also examine the possibilities and potential of adopting a Road Fund type of financing for the State to provide adequate financing for its road development aspirations and maintenance needs. For this the consultant will examine both the budget based financing instruments and off-budget financing mechanisms including alternative road sector revenue creation mechanisms. The Program Management Consultant will be working within the PWD and with the department’s counterparts who will be relocated from the Planning Unit in the PWD and undertake continuous counterpart and one-to-one training with the designated staff. The PMC shall report to the Engineer-in-Chief, Uttarakhand Public Works Department. A suitable accommodation, not less than 250 sqm near to the PWD Headquarters should be taken up by the consultant for providing services under this consulting assignment. The compatible software/programs needed for the job shall be provided by the Consultant as required with an emphasis on using proprietary software that is universally recognized. B. OBJECTIVES The general objectives of this consultancy are:

(i) To guide and help the PWD towards transforming the organization into a

progressive authority, one that adopts and utilizes international best practices for: road asset systems; network modeling; road business management models; and road safety initiatives, for all its road network management and operational activities;

(ii) To examine and explore the possibility of a lean and modern highway agency on the lines of an RDC in light of the current organizational structure and existing policy of GOUand recommend necessary capacity building measures.. This task also includes designing and developing of RDC’s business strategies and business planning models;

(iii) To guide the department into its future role of an ‘informed’ Client by directly identifying the kind of quality service provisions the organization must acquire in the future from its private sector partners in order to give value for money and customer satisfaction.

(iv) To explore alternative funding mechanisms for road maintenance under PBMC contracts including the involvement of private sector in maintenance activities, carrying out maintenance under area-based maintenance contracting, and exploring and assessing the possibility of an autonomous Road Fund dedicated to maintenance activities;

(v) To prepare a road sector Strategic Business Plan for the State and prioritized Annual Business Plans for road improvements projects, periodic maintenance and strengthening projects, and routine maintenance programs and dedicated road safety initiatives within a recognized RAMS; by carrying out a State-wide Road Condition Survey and Network Analysis (modeling with HDM4) on a network of approximately 25,400 kms of State Highways, Major District Roads, Other District Roads and strategic rural roads.

(vi) To prepare a Value Engineering Toolkit for the PWD that will enable them to demonstrate Value for Money for all their investment programs that result from the Annual Business Plans and to underpin all the departments funding requests – by carrying out a Cost/Benefit Analysis of USRIP Project 1 roads and establishing a baseline for identifying benefits of USRIP Project 3 roads - as a mentoring program to establish the process of Value for Money.

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(vii) To establish a Communication Strategy for the PWD in order to enable it to publicize and promote its road development and maintenance initiatives as intended through its Strategic and Annual Business Plans to the wider stakeholder community and undertake; as a primary level of survey to establish the necessary linkages with the wider road user community, a Road User Satisfaction Survey that covers the first two phases of the USRIP, as first initiative to determine expectations and concerns.

The main objectives outlined above are to be achieved by the Consultant through the tasks and assignments as contained in the Scope of Services as follows: - C. SCOPE OF SERVICES Specifically, PMC will (i) support operations of the Planning Cell and institutionalization and stabilization of management information and performance management system (MIPMS) already designed by IMC 2, (ii) facilitate the implementation of the human resources development policy and training of PWD staff as per the recommendations of IMC provided under their services relating to Projects 1 and 2; (iii) conduct road user satisfaction survey; (iv) conduct road condition survey; (v) conduct cost-benefit analysis; vi) conduct general oversight and independent analysis of the new system for the performance-based maintenance introduced under Project 3. PMC’s direct involvement in capacity building and institutional strengthening will include: (i) training of PWD staff in the areas of business process outsourcing, various public private participation schemes (e.g., DBFOT, BOT, etc) and related institutional setups (e.g., RDC, MAC), project management, planning, quality control, contract administration, safeguards, road safety and MIPMS, with the emphasis of the on-the-job training; and (ii) assessing capacities and benefits of establishing a RDC to absorb USRIP management structure, creating a framework, and facilitating the establishment of the RDC if feasible1. PMC will be more like a mentor embedded within the PMU/PWD carrying out the capacity building measures on a near continuous basis. PMC will coordinate regularly on the content and structure of training programs with PMU/PIUsbased on a capacity gaps assessment framework. The training programs may be customized to meet the specific requirements of the operating units rather than resorting to off-the-shelf training suites. Suitable self-assessment tools may be designed to conduct capacity gap analysis and training needs assessment. Coordination with the Project Performance Auditors will result in the most appropriate business processes reengineering framework for USRIP. PMC will take lead in creating such coordination platform where mutual exchange of views and recommendations will result in adoption of a framework most suited to the needs of USRIP and PWD. The Scope of Services is in three parts contained within distinct tasks as described here in: PMC will be required to perform the following different jobs outlined as Parts of the PMC consulting program- Part-I - To guide, support, assist and help in identifying the most appropriate institutional

framework for promoting a vibrant, dynamic and efficient road asset management system in the State of Uttarakhand. This will result in recommending the best legislative arrangement and the corresponding organizational structure best suited to meet the objectives. Establishment of RDC and Road Fund may be among the instrumentalities to be examined and explored. This Part of the job will commence from the starting date of the PMC consulting and last till its mid-point when all institutional and organizational framework will be ready and functioning. The PMC

1 Utilization of existing UIDC for the role of RDC may also be explored in consultation with the Government of

Uttarakhand.

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will assist in designing all the internal control mechanisms, governance systems, reporting and review methodologies, business planning tools, accounting & auditing

systems and coordination systems with the GOU for both RDC and Road Fund

Board. Part-II - To guide, support, assist and help the Planning Unit (PU) at the PWD Head

Quarters and work with PMU in monitoring of the USRIP both while the PMU is domiciled within PWD to exclusively manage the USRIP as described in the activities 1 to 13 of TASK 1 which will run for the entire project period of PMC consulting excepting that the new institutional and organizational set ups should be ready by the 15th month of the assignment.

Part-III - To carry out field surveys i.e. road condition surveys, road user satisfaction surveys

and cost benefit surveys including analysis of data as described under TASK 2, 3 & 4. This Part of the job will have to be completed in timeframes specifically defined at the time of Inception but not exceeding those recommended in the TOR/Scope of Work.

TASK 1. To undertake a Program Manager’s role in the PWD, working closely with nominated counterpart staff from the PWD – to demonstrate the identification and procurement of services that can best be outsourced to private sector partners in order to deliver road sector products and services, delivered to an agreed outcome and performance based objectivity and to assist the PMU in the administration of the USRIP. To explore and assess the feasibility of creating a RDC. Simultaneously to explore alternative means of financing road maintenance, which may include creation and establishment of Road Fund Board. TASK 2. To carry out a dedicated road Network Analysis exercise in accordance with recognized best practices for good road asset management modeling; comprising a detailed road condition survey, traffic study, road environment assessment exercise and road safety assessments and imbed all information in a Road Assets Management System Database for network management purposes. TASK 3. To complete a Cost Benefit Analysis of the Project 1 roads to show the benefits obtained, and additionally as a basis for providing a Value for Money operational toolkit that can be used for all future project preparation in the PWD; TASK 4. To establish a Communication Strategy for the PWD to utilize and undertake a survey of road user satisfaction and use the exercise to guide the department in forging links and undertaking dialogue with all the road stakeholders.. Each Task has distinct, separate, and detailed Activities. Some of the Activities have been listed under each Task but this is just the minimum expected from PMC. As the work progresses, more Activities may emerge which the PMC will be obliged to perform to achieve the objectives of the assignment.

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TASK 1

Activity 1: Provide overall project management services, technical guidance and

procurement support (i) Provide general project management, technical and procurement support to the

PMU staff to assist them in the effective management and monitoring of all Investment Program activities in accordance with all relevant requirements of ADB;

(ii) Assist the PWD in the identification, pre-qualification, and procurement of appropriate private sector partners for design and construction assignments, asset management contracts and performance monitoring contracts and assignments.

(iii) Utilize and tailor the MIPMS prepared previously, to become a comprehensive tool for management of all PWD activities with appropriate reports prepared and disseminated to all concerned bodies at appropriate levels of information release.

(iv) Guide the PMU in management of the new contract packages for asset management and the PBMC concept both for the USRIP and for the PWD annual maintenance management programs.

Activity 2: New Institutional Arrangements Identification and Implementation

(i) Assess the feasibility of establishing an RDC and further performing asset management functions in the State of Uttarakhand.

(ii) Study the current institutional framework comprising the legislative and policy arrangements and examine if any changes need to be made for creating an autonomous RDC.

(iii) In case an RDC framework is considered as feasible by GOU, design its operational framework, organizational structure, business planning processes, management directions and governance systems. Recommend appropriate financial and accounting management system in conformity with the existing legislative framework and directions from GOU.

(iv) In case RDC framework is not considered as feasible by GOU, engineer various business processes and strategic guidelines, including manuals of operations for the new institutional arrangement as approved by GOU..

(v) Assess the possibility of creating a Road Fund Board. If accepted by GOU, design connected legislative, policy and operational framework including internal control guidelines for the Road Fund.

(vi) Since this activity is a critical activity impinging upon GOU’s administrative decision-making, prepare high level presentations for top and senior officials of GOU on the concepts and designs prepared in this regard.

Activity 3: Baseline surveys as per Design and Monitoring Framework for the USRIP (i) Conduct baseline surveys as per the Design and Monitoring Framework for the

USRIP Project 3 in consultation with the Construction Supervision Consultants and DPR documents.

(ii) Conduct impact monitoring for the USRIP Project 1 and 2 as per the Design and Monitoring Framework for the Projects.

Activity 4: Development of Planning Capacity in the PWD through its Planning Unit (PU)

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(i) Prepare for PWD Standard Operating Guidelines for Planning in the road sector in line with best international practices; making full use of commercially developed and international systems for preparing and updating road development plans. The PWD standard operating guidelines should include procedures for MIPMS (Management Information and Project Management System) based business procedures.

(ii) Assist the PWD in delivering the Annual Training Program as per the Design and Monitoring Framework for the USRIP Project 3 in consultation with the senior PWD management.

(iii) Assist the PU to resource private sector partners to undertake the management of data, modeling and forecasting for the planning, programming and budgeting of PWD programs;

(iv) Through the extensive use of these private sector service providers, enable the PMU to make multiyear planning and programming road sector programs in accordance with best asset management principles and for the preparation of Strategic (10 year) and Annual Business Plans.

Activity 5: Standardize the procurement practices in the PWD

(i) Implementation of the e-procurement system for procurement of goods, civil works contracts and consultant selection.

(ii) Review the prevalent business processes in the PWD and suggest changes in the standard contract documents being used for small and large works.

(iii) Preparation of standard RFPs for consultant selection, bidding documents for Civil Works for national competitive bidding for the State PWD works in consultation with the Senior PWD Engineers.

Activity 6: Identify and Introduce Standard Commercial and Proprietary Systems for

managing and operating multi layer development programs. (i) Assimilate into the department, proprietary systems for managing a cross section of

improvement or maintenance programs; utilizing the internal manuals for multilateral development bank funded projects; using the ADB funded USRIP as a mentoring vehicle for assimilation.

(ii) Identify the necessary platform and software tools to domicile the PWD’s newly created Road Database and Asset Management System. Assist in procurement of such systems and provide data migration assistance after tying up with the vendors for the user training assistance.

(iii) Update the Standard Operations Manuals currently in use in the PWD by adopting best models from developed road sector societies in line with current road business management models that are considered international best practice.

(iv) Update Human Resource Development Policy for PWD Staff, and officers, as per the changing environment as the department moves towards a totally focused Client role that outsources road network management and operations and assist with Change Management of any initial reforms and restructuring that the department wishes to initiate.

(v) Facilitate Workshops to introduce the changes that can be anticipated as the PWD develops solely as a Client focused streamlined Authority with level of service commitments to road users.

Activity 7: Updating of Roads Master Plan and Selection of Projects for Development and

Maintenance Management (i) Guide the Planning Unit (PU) to carry out a full exercise of road network

prioritization: the prioritization exercise of road network prioritization to produce business plans in three distinct portfolios of works programs: new and improved

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roads; periodic maintenance and strengthening programs; and routine maintenance of existing assets.

(ii) Carry out a Network Analysis utilizing the data collected from the road condition survey; setting up a Databank of all road and bridge stocks in the State and providing a revised district-wise prioritization list of the sub-project roads based on a needs driven basis;

(iii) Assist PWD in preparing a list of sub-project roads to be included in a road improvement program in the forthcoming implementation tranche; prioritization of the program to be based on the planned output targets for that tranche and the available funding;

(iv) Assist Planning Unit (PU) to prepare an update of the Road Master Plan, taking into account also the overall investments being made by the PWD through its own annual maintenance and development or improvement programs.

Activity 8: Technical plus Safeguard Review of Sub-Projects related to Environmental

and Social Impact assessment issues (i) Review the environmental examinations carried out on the sub-project road

improvement by services providers to ensure: compliance with the terms of references; impact assessments according to ADB and GOI requirements; to ensure that adequate and appropriate mitigation and monitoring measures have been included for individual sub-projects; that appropriate measures have been included in the sub-project design and contract documents for minimizing and mitigating environmental impacts; and environmental clearance and permits have been identified.

(ii) Review the poverty and social impact assessments carried out on the sub-project road improvement works by PWD’s design consultants with references to ADB’s guidelines and GOI requirements; ensuring that adequate consultation has been carried out with local stakeholders.

(iii) Review the resettlement requirements for each sub-project road identified by PWD’s design consultants and review any resettlement plans/IDPs prepared by PWD’s design consultants (a) to assist PWD in preparation of resettlement plans and IDPs; and (b) to assess compliance with reference, to ADB and GOI requirements; and the agreed resettlement frame work and IPDP for the investment program.

(iv) Ensure the appointed Auditing services monitor and verify that the environmental management’s plans and resettlement plans are being implementation by the PIUs, construction supervision consultants and the contractors.

Activity 9: Economic Appraisal of Sub-Project in each Implementation Tranche.

(i) Prepare an economic appraisal of the sub-projects to be implemented in the forthcoming implementation tranche that is based on: (a) an update of current vehicle operating costs and time costs; (b) the cost estimates prepared by PWD’s design consultants; and (c) traffic forecasts prepared by PWD’s design consultants. This appraisal is to consider the individual sub-projects for that particular tranche;

(ii) Calculate the economic rates of return (EIRRs) and net present values (NPVs) for the individual sub-projects and the aggregated total of all sub-projects in that particular implementation tranche according to the ADB’s Guidelines for Economic Analysis of Projects. Sensitivity tests are to be carried out on the aggregated total of the sub-projects that examine the effects of variations in costs, traffic, vehicle operating costs and time savings;

(iii) Prepare a report on the economic appraisal that details and substantiates all input parameters and key assumptions, and gives a full description of the methodology used in the appraisal.

(iv) Initiate the concept of economic appraisal in PWD Projects where required.

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Activity 10: Assist PMU to Prepare Supporting Documentation for each MFF Project Loan

(i) Assist the PMU in preparing documentation to be submitted to ADB in connection with the application for each loan under the multi-tranche financing facility; scope of the road improvement works, costs, economic appraisal, environmental examination, social impact and resettlement impacts.

(ii) Help in monitoring benefits and assessing the accrued benefits of project implementation.

(iii) Assist the PMU in preparing Periodic Finance Request (PFR) report to be submitted to ADB in connection with application for each loan under the Multi-tranche Financing Facility (MFF).

Activity 11: Technical and Safeguarding Review of Sub-Project Designs

(i) Assist the PMU in carrying out a technical due-diligence review of the draft design preliminary and detailed project reports prepared by PWD’s design consultants. Assess; compliance with the requirements of the overall technical standard of the design work; compliance with the technical design standards; cost effectiveness of designs and applicability to the sub-project road conditions;

(ii) Prepare written comments on the technical and safeguarding reviews that identify any sub-standard aspects, correction required, omissions and other remedial measures to be carried out before approval can be granted by PWD. The Program Support Consultant would also be required to attend meetings with the design consultants to discuss the review comments.

Activity 12: Performance Based Maintenance

(i) Conduct a study on the feasibility of performance based maintenance using area based contracting considering the present state of road maintenance and the yearly funding available for road maintenance.

(ii) Finalize the contract documentation required for the performance-based maintenance to be adopted by PWD Uttarakhand for the regular/periodical maintenance of the state’s road network in the coming time. Particular attention should be paid to the Key Performance Indicators that are related to Level of Service criteria and the possibility to carry out the international models of Management Area Contracts at Circle or District level to make the works programs budget responsive; the Program management to be by the Superintending Engineer. To explore if Maintain Operate and Transfer (MOT) kind of concessions could be introduced on some sections of roads in Uttarakhand.

(iii) To assist in drafting the contract for recruitment of the Maintenance Supervision Consultants and to provide guidance to all the PWD staff that will be undertaking the Client role in the field and monitoring the progress of the PBMC program. Recruitment of Maintenance Supervision Consultants will have to be so times that the consultants are in position immediately on completion of the construction works.

(iv) Conduct independent site visits to monitor the performance of the PBMC in the USRIP Projects 1 and 2 and provide a detailed account of the standard of maintenance and upkeep of the road asset created under the loan. To supervise the operations under the Betterment Program initiated by PWD and to coordinate this function with the Project Performance Auditor.

Activity 13: Road Safety Audits

The Road Safety Expert will be responsible for conducting road safety audits of DPRs; ensuring road safety during construction; conducting post-construction road safety audits; and identifying causes of accidents occurred over the project implementation period and develop road safety countermeasures reducing risk of

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reoccurring. Road Safety Audits of DPRs will include, but not be limited to the following steps (a) conducting Pre-audit meetings with the client and DPR consultant to review project information and drawings; (b) conducting office safety review of DPRs combined with mandatory field visits to project roads conducted both during daytime and nighttime, together with representatives of local field offices of the client and other representatives (e.g., police) as appropriate; (c) conducting office road safety audit analysis and preparing concise Road Safety Audit Reports for each of corridors with the list of road safety issues identified, highway risk for each issue assessed, and specific countermeasures proposed to be incorporated into DPRs; (d) presenting RSA findings and recommendations to the client and DPR consultant; (e) checking revised DPRs to ensure that measures to address road safety issues as endorsed by the client are incorporated in DPRs; and (f) ensuring the implementation on the ground. RSA should be a practice-oriented exercise aiming at improvement of safety on the proposed roads. Also, it should not be a check of compliance with the design standards; rather, it should concentrate on identifying: • Elements of the road that may present a safety concern: to what extent,

to which road users, and under what circumstances, and • Opportunities existing to eliminate or mitigate identified safety concerns

Finalization of DPRs. After the presentations, PMC will finalize RSA reports and submit them to PMU for review, accepting/amending the recommendations, and directing DPR consultants on implementing the accepted RSA recommendations. Once changes in DPRs are completed, PMC will conduct a random spot check of the completed DPRs to make sure that RSA recommendations (as accepted by PMU) are fully implemented, and formally advise PMU on the result of the random check. Ensuring Road Safety during Construction will involve reviewing and approving road safety plan and traffic management plans prepared by the contractors and ensuring their strict compliance. The Road Safety Expert will review and approve the traffic management and safety plan and ensure compliance with IRC SP 55- 2001 and all other applicable road safety standards, guidelines and regulations, before Commencement of road Works. He will ensure adequacy of measures in contractor’s safety plan for the safety of pedestrians, 2-wheelers and slow moving traffic and ensure safety due to delineation of roadway at night. He will verify design of temporary diversions, adequacy of warning signs at construction zones, ensure adequacy of safety devices for workers at construction zone/plant sites and proper maintenance of the devices. Road Safety Expert will regularly inspect work zones under traffic, will be coordinating and controlling, through the Team Leader’s office, timely addressing of all road safety issues, and will be responsible for reporting and following up on construction/road safety issues/lapses as appropriate. Post-Construction Road Safety Audits will be conducted on links once they are fully open to traffic. Post-Construction road safety audits will observe firsthand roads under traffic and identify road safety issues, including those that might have not been obvious during previous road safety audits. Road Safety Expert will identify the list of road safety issues and recommendations to address them, submit them to the client for review and action, and ensure that recommendations as endorsed by the client are implemented on the ground. Accident Analysis and Mitigation: Road Safety Expert will also conduct analysis of road accidents occurred on project roads during project implementation, if any,

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identify causes, and recommend specific road safety countermeasures for review and endorsement by the client. RSA Training: PMC will conduct on the job training of PIUs, CSC and PMU on the RSAs and identify the need for further road safety audit training of PWD/PMU staff, including through reputable international courses. Recommendations for further training will be documented and submitted to PMU for review.

TASK 2

Carry out a road Network Survey and Analysis exercise in accordance with best practices for road asset management models; comprising a detailed road condition survey, traffic study, road environmental assessment exercise, and a review of road safety provisions for approximately 8,000 km of road. This Survey is expected to start with the date of commencement of the consultancy services and to be completed within 15 months.

(i) The Network Analysis to be carried out as follows:

A road data collection survey shall be undertaken at Circle Level; initially a pilot program to be undertaken in two Circles, one is the west and one in the east zones in order to allow a preliminary Circle level network analysis to be undertaken to determine works programs that are prioritized according to modeling. The road data collection shall be widened to include all Circles. The road survey condition survey will include collecting roughness data for State Highways, Major District Roads, Other District Roads and some priority Rural Roads of the road network. Surveys shall be conducted and entered into the client’s system as developed by IMC Consultants and in accordance with requirements of the RMMS for full scale data collection and according to the needs of the Roads Asset Management System adopted. The outcome from the analysis of the program will be the identification and size of different business plants for: road improvements; periodic maintenance; and routine maintenance programs. Establish a Databank containing all the details from the Network Analysis exercise and connect this to a road information system for the wider use of road stakeholder groups.

(ii) Common Specifications Before the start of the data collection assignment in the two pilot areas (Circle east and west), parameters of data quality shall have to be approved by the client. The consultants will be required to submit the desired quality of data as per international best practices. Data collection shall be taken up according to the requirement necessary for the appropriate decision making processes and program support required, i.e. high traffic intensity roads shall be surveyed in greater detail than the lower ones. The client is open to suggestions in this regard. The consultant is supposed to collect, prepare and present details as per prevalent practices. Review of all available reports and published information about the road network and the USRIP project roads is available at PWD offices across the state.

(iii) Applicable Standards and Codes of Practices

All activities related to the field studies, surveys and documentation shall be carried out as a minimum standard to the latest guidelines circulars of MORT&H and relevant publications of the Indian Reads Congress (IRC) and Bureau of Indian Standards (BIS). For aspects not

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covered by MORTH, IRC and BIS, International standard practices, such as British and American Standards may be adopted. The Consultants, upon award of the Contract, may finalize their proposals for value added details concerning road condition surveys and data analysis in consultation with the Client and reflect the same in the inception report.

(iv) Data Requirements: Road Condition Data to be collected

The road condition data to be collected should be as required to undertake a full modeling exercise and to enable the use and application of recognized computerized modeling techniques. The data has also to accommodate the data requirements of the Performance Based Contracting models being considered by the PWD and that will be used for the PBMC and the Road Asset Management System being established in the State. Additional data may be required by the Client in accordance with the requirements to establish a Level of Service Agreement that is under consideration for application within the State. Such data may include the need to collect and collate available records of road accidents, incidents and fatalities according to existing state records from different sources. A format for report on Road Condition Survey is available in the department. The PMC is expected to advise on modifying the available format or suggest another format. The final format/presentation style will be approved by Client when the consultant submits per use after needful studies/ consultants’ reports.

(v) Bridge Data Information Bridge Inventory - This includes all information’s regarding super structure (including railing and parapet) and sub-structure for major bridges (length more than 60 m). The start and end chainage of the bridge and details of the stream over which bridge is located. The data that is required for the Bridges should include a minimum of the following: 1- Bridge ID 7- HFL 2- Type of Bridge 8- Type of Foundation 3- Span arrangement 9- Type and condition of sub and superstructure 4- Total length 10- Comments about protection work and guide

bunds 5- Year of Construction 11- Condition and type of expansion joints/bearings 6- Name of stream/road/rail 12- Overall Bridge Condition There will be the requirement to not only record the condition of a Bridge but to also obtain for the data base photographs; this is in addition to using paper based inspection pro-forma. This allows a check to be carried out at the point of entry of the data into the Database to correlate the correct structure. It is a requirement of the data entry process that all defects that are observed are checked and correctly coded, and that additional photographs are available of any major defect showing the type, severity and extent. This process means that each inspection is audited as part of the overall process of data entry using a self-checking procedure that requires implementation in order to verify the accuracy and consistency of the inspection data.

(Vi) Road Conditions The PMC is also required to submit an analysis on different data to arrive at a conclusion concerning the existing condition of each road to be identified; the category of condition being chosen from one of the following categories-

• Good condition road • Average condition road • Bad condition road

The categorization will be based on numerical value weightage assigned to field data

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obtained during the survey. PMC will suggest the criteria for working out this categorization giving due consideration to all relevant factors of the region vis a vis practices adopted elsewhere for such works. Roads attaining more than 80% points may be kept in “Good” category road attaining 60 to 80% may be categorized as average and all roads attaining less than 60% as “Bad” roads. The categorization of criteria will have to be approved by the Client. In additions the PMC will also work out-

• Good condition Kilometerage. • Average condition Kilometerage. • Bad condition Kilometerage.

from the total Kilometerage surveyed in the State.

TASK 3

A cost benefit analysis of project-1 roads is required (Annexure 1). This Survey is expected to start with the Date of Commencement of the consultancy services and to be completed within 9 months. The by-product of this activity must be the delivery of a straightforward and readily applicable Value for Money (Value Engineering) Toolkit for the PWD to activate and utilize when seeking budgets and financing for annual and periodic road improvement and maintenance programs. Activity 1: Cost Benefit Analysis of Project-1 Roads The Consultant shall review the economic and financial cost/benefit analysis prepared during the project’s appraisal and prepare a consistent post-project analysis using actual values for comparison with appraisal estimates. Activity 2: Traffic Survey The consultant shall conduct the special road condition surveys and travel time surveys for each of the roads contract packages constructed under project-1. The traffic census should take place at appropriate locations of the roads, preferably the same locations selected for the project’s appraisal. This census should cover at least three days of traffic for 24 hours, continuously. The Consultant shall review data from traffic count surveys to assist with estimating the Annual Average Daily Traffic (AADT). The consultant shall review existing reports and other relevant documents and information for the road lengths, base conditions, travel time and the traffic. Activity 3: Cost/Benefit Analysis

(i) Costs In line with the economic and financial analysis at project appraisal, for each of the road sections financed by the project, the Consultant shall obtained the actual cost of civil works for road widening and strengthening; supervision; land acquisition, resettlement; and utility relocation. (ii) Benefits The benefits analyzed at the time of project appraisal were the reduction in vehicle operating costs and maintenance costs. The consultant shall determine the actual cost reductions for the ex-post analysis, detailed in the project’s background documents on the economic and financial analysis. PMU, PWD, Uttarakhand will provide these details as available. For the evaluation of benefits, the Consultant shall use HDM4. The benefits analyzed shall include the direct impact on all users of the facility. The consultant shall identify variance between the actual and estimated Economic Internal Rates of Return (EIRRs) and Financial Internal Rates of Return (FIRRs). The PM Consultants will also be required to carry out market surveys to collect secondary data; data required for HDM input.

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The consultant should submit the report with the results of the economic evaluation, the input data, and the HDM-4 workspace (files object.dat and objects.idx) that was used for the evaluation.

(iii) Conversion of Financial Costs to Economic Costs The Consultant shall use an appropriate factor for the conversion of financial costs to economic costs, to be discussed with the Task Manager.

The Road User Satisfaction Surveys This Survey is expected to be started 24 months after the Date of Commencement of the consultancy services and completed with in 9 months. These surveys are designed to help improve road transport outcomes in Uttarakhand by informing senior management in the Public works Department of stake holder’s perception of road attributes and government performance and thereby influencing future strategic and optional decisions. All citizens have an interest as tax-payers in the workings of the road network. Despite the significant direct impacts on the public from road management and optional policy, the level of effective dialogue between government departments responsible for roads and the road users has traditionally been very limited and informal. There is scant data from the field related to the level of satisfaction (or dissatisfaction) of the road users. Road agencies, internationally, are now placing more emphasis on meeting road user expectations and accordingly are trying to measure customer satisfaction over time. The PWD needs to pursue a similar approach. The Customer Satisfaction Survey These surveys will also be required to be repeated two more times; one at the end of construction of works under project-3 i.e. tranche - 3 and the other after the end of the ADB Loan to monitor the progress. But this exercise is limited to the corridors receiving new roads, therefore the intention is to use this specific survey and its protocols for establishing a set of permanent benchmarks and evolving engagement with road users and road user representative groups; this engagement is necessary to form and strengthen workable linkages of dialogue and information management. The Communication Strategy with appropriate policy on engagement with the public is a major contribution on policy for managing road infrastructure. The specific objectives of the surveys are to:

• Elicit views on public perceptions of current sector outcomes, PWD performance and government policies.

• Document the views in a comprehensible format suitable for comparison over time and • Present the findings of the survey to senior decision makers in GOU as per mechanism to

be approved by the Client. The consultant will undertake the following four Activities. The Consultant is encouraged to propose reasonable modification or additions to these tasks in their technical proposal. All interviews during survey work should be conducted in Hindi or English, as appropriate, but presented in English. Activity 1: Identification of other Existing Sources of Related Information

(i) The consultant will identify existing mechanisms for collecting information from the general public to determine if the protocols and mechanisms would allow the inclusion of road sector information gathering, especially with regard to determining public attitudes on road service delivery.

(ii) The consultant will extract and summarize relevant data and information from these existing surveys. Where necessary the consultant shall adapt/analyze the data to

TASK 4

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provide valuable information to the PWD on the future of road user attitudes. Activity 2: Road User Surveys Planning Piloting and Assimilation into a Wider

Communications’ Strategy for the Road Sector (i) The Consultants will develop the methodology and plan for the administration of the

survey. The methodology should seek to maximize the utility of the information gathered, the response rate of the user communities surveyed and the significance of the results.

The survey will consist of three parts:

• Measurement of customer satisfaction of road network outcomes or attributes through a set of a few major indicators, each with a number of sub-indicators;

• Measurement of customer perceptions of PWD performance through a set of a few major indicators (maximum 7), each with a number of sub indicators;

• Views on future policy priorities. (ii) The consultant will work with the client to develop suitable indicators and sub

indicators to meet the above needs as well as some simple policy topics for prioritization by respondents. The indicators and policy topics should be simple, unambiguous and measurable over time.

(iii) The PWD’s ‘Customer’ is clearly not a homogeneous group but made up of a

number of potential target groups, with many individuals being a member of two or more such groups (see Appendix “A”). The Consultant should seek to elicit views from as broad a cross section of such target groups as is reasonably practicable. However, it is understood that it not may be possible or sensible to conduct all three parts of the survey as described above to all target groups. The survey should accordingly include a simple profile of respondents.

(iv) The consultant shall conduct the survey at one hundred locations spread across the

State. Surveys shall be conducted during daylight hours and the consultants must take all reasonable precautions to ensure safety of road users and the survey staff during the survey. At a few selected, say 10 locations, the survey would be conducted during night hours with the full coordination and in accordance with all the relevant safety precautions fixed by local authorities. The survey locations shall be well spread throughout the state road network and should include the corridors upgraded/ rehabilitated in the past four to five years, being upgraded/ rehabilitated under various schemes of State Government; and corridors which are neither upgraded/ rehabilitated in the past five years, nor sanctioned for up gradation/

rehabilitation in any scheme, and also national Highways that are the responsibility of the National Highway Authority of India. The breakup may be as below:- a) National Highways 10 Locations b) Corridor covered under Asian Development Bank 40 Locations

funded Uttarakhand States Road Project c) Corridors upgraded/ rehabilitated or being upgraded/ 25 Locations

Rehabilitated under Central Road Fund/ State Sector/ Other State & Central Sponsored scheme

d) Corridors which are neither upgraded/ rehabilitated 25 Locations in last five years nor sanctioned for up gradation/ Rehabilitation under any scheme

The consultants shall define the survey sample size required to derive a representative survey result. The consultants will pilot the proposed survey

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mechanisms and research topics and indicators on a small sample of various target groups with a view to refining them, both before finalization and for use in the main survey stage. A short report on the outcome of this pilot and the changes necessary shall be prepared and discussed with the Client for a future time.

(v) The consultant will help the PWD to raise awareness of the survey through

preparing some modest summary materials for dissemination through formal media outlets (TV, radio, newspapers and journals) as well as through simple flyers or posters 20,000 Nos. (in Hindi & English) at road side amenities such as pedestrian flyovers, bus stops, truck parks, fuel stations, bicycle parks, road side dhabas and motor transport associations. This exercise would be done through workshops/seminars with the stakeholders in different parts of the state.

Activity 3: Presentations of Findings

(i) The consultant will present the survey findings to the senior management of the PWD and other relevant decision-makers in the GoU. The findings shall be presented both in a written report of no more than 25 slides, which shall use charts and diagrams wherever possible, and as a formal oral presentation. This report and presentation shall be structured so as to demonstrate the opportunities and priorities for improvements in service delivery. Reporting of data shall be carried out using statistical models for showing tendencies etc.

(ii) Data shall be made available to the Client in RDBMS (Related Database

Management System) format with a view of making data useful for any further work.

(iii) A Short glossy summary flyer of pamphlets 10,000 Nos. of folder type (four colors) for widespread dissemination is also to be produced.

(iv) The consultant will work with the Client’s staff to agree and implement mechanism

for dissemination of the information generated under the survey. Such mechanism might include presentations to professional associations, articles in the media, posters and flyers, 10,000 Nos. of folder type (four colors), and posting on the website.

Methodology for Surveys

The Consultant shall deploy suitable teams and equipment for the surveys. The consultant is to detail in their technical proposal the methodology they intend to employ for the survey. This should include:

• The proposed relationship with bodies representing road users, through whom the consultant may decide to operate in order to access the members of such bodies (see list given, in Appendix “A”)

• The proposed target groups, sampling sizes and the level of confidence these will provide,

• The proposed survey administration mechanism (e.g. focus groups, or postal, household, roadside or telephone interviews/questionnaires) and how these might vary for different target groups or different research needs or be combined to triangulate information and

• Work plan showing the sequence and the relationship between tasks and the duration of each task. It is envisaged that the study will not exceed nine months duration.

D. Staffing Inputs

The consulting services will be required to provide the following Experts for all three parts

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viz. Part-I, II & part-III (all Tasks 1 to 4) of the job. The main consideration in the formation of the PMC team is that each specialist should have a good knowledge of current international best practices and trends in the road and road transport sector, and through this knowledge the individual inputs of each specialization will both compliment and add value to each of the project’s components and tasks; to the overall betterment of the USRIP.

International Expert Position:

1. Team Leader cum Highway Planner with experience in highway construction, highway

maintenance and highway planning required on an intermittent basis at the Planning Unit. Qualification Requirements:

(a) A person essentially having Master’s in Highway/Transportation Engineering or equivalent qualification;

(b) Preferable having overall 20 years of experience in Highway Engineering projects comprising Project Planning, Long Term Planning and highway design with a significant amount of this time spent in Team Leader/Project Manager positions and managing multi discipline specializations in the road and road transport sector.

(c) Having experience in Master Plan Preparation, preparing guidelines for Highway planning and Annual Project Budgeting.

(d) Knowledge of MS Project Software or any other Project Management Software

2. Change Management Specialist with experience in Staffing Development and Transition Programs on an intermittent basis at the Planning Unit. Qualification Requirements:

(a) Essentially Graduate in Civil Engineering and preferably a Master in Business Administration and/or in Human Resources.

(b) Overall 10 years of experience in developing human resource strategies and policies for public, private or government sectors based on merit, cost effectiveness and the minimization of overheads and running costs.

(c) Experience of value engineering principles and methodologies applied to public sector services to determine cost effective alternative strategies and policies through PPP and partnering programs would be considered an advantage.

(d) Essential experience of identifying best practice international operating procedures for public sector engineering organizations and institutions for the highway sector, especially in the management and operation of Highway Projects, both construction and maintenance.

(e) Preferably, experience of developing a coordination mechanism within PWD to sustain the training program.

3. Highways Institutional Expert with experience in creating new institutions, designing their organizational and operational framework Qualification Requirements:

(a) Essentially a post graduate with qualifications in banking/finance/accounting or management.

(b) Overall 10 years of experience in working in the area of institutional strengthening and designing governance systems.

(c) Experience of identifying alternative strategies and policies for creating efficiency and new orientation in road agencies.

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(d) Preferably, experience of developing a coordination mechanism within state government and new organizations to sustain developmental programs.

(e) Knowledge of Fund Management will be an added advantage.

4. Legal advisor with experience in designing road related legislations and transport regulatory environments Qualification Requirements:

(a) Essentially a Graduate with an internationally accepted Law Degree. (b) Overall 15 years of experience in drafting legislations for road sector and transport

related areas. (c) Experience of framing legislations, regulatory environment and policies for

developing highway projects under PPP and partnering programs would be considered an advantage.

National Expert Positions:

1. Highway Engineer with experience in modern highway construction and highway maintenance programs required on an intermittent basis at the Planning Unit and PMU. Qualification Requirements:

(a) A person essentially having Master’s in Highway Engineering; (b) Preferably having overall 15 years of experience in Highway Engineering project

comprising highway design, highway construction and especially maintenance management experience.

(c) Having experience in the introduction and implementation of Road Asset Management Systems and the preparation of Strategic and Annual Business Plans for road improvements, periodic maintenance, routine maintenance and road safety improvements.

(d) Relevant experience in introducing privatization initiatives into the road management and operations sector especially with regard to the introduction of Performance Based Maintenance concept and minor BOT programs.

(e) Knowledge of the development of private sector initiatives and partnerships in the Highway Sector would be advantageous.

(f) Having Knowledge of MS Project Software or any other Project Management Software.

2. Road Financing Expert with experience in designing public-private partnership models of highway project development and designing road financing mechanisms including dedicated road funds. Qualification Requirements:

(a) A person essentially having post graduate degree in business/finance/banking/accounting or related subjects or equivalent;

(b) Preferably having overall 10 years of experience in PPP format of promotion of infrastructure projects of which at least three should be from the highway sector.

(c) Having experience in the preparation of Strategic and Annual Business Plans for road improvements, periodic maintenance, routine maintenance and road safety improvements.

(d) Relevant experience in introducing privatization initiatives into the road management and operations sector especially with regard to the introduction of Performance Based Maintenance concept and minor BOT programs.

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(e) Knowledge of the development of private sector initiatives and partnerships in the Highway Sector would be advantageous.

(f) Experience in road sector revenues analysis and identifying streams that may go to finance a Road Fund.

3. Legal Expert with experience in drafting legislations relating to highways and transport sectors. Qualification Requirements:

(a) A person essentially having Law degree; (b) Preferably having overall 10 years of experience in drafting legislations. (c) Having experience in drafting contracts for public-private partnerships. (d) Relevant experience in introducing privatization initiatives into the road

management and operations sector especially with regard to the introduction of minor BOT programs.

4. Procurement cum Contract Administration Expert who will be required on intermittent basis at Planning Unit and PMU - Qualification Requirements:

(a) Graduate degree in Civil Engineering and preferably a post graduate qualification in Contract Administration/Project Management.

(b) Preferably, over all 15 Years Experience in Procurement of goods and civil works, consultant selection, Contract Administration and Project Management.

(c) Preferably, 5 years experience of working with ADB/World Bank Procurement and Contract Administration Guidelines and at least 8 years of experience of working in consultancy firms.

(d) Knowledge of the procurement and assessment of Private/ Public Partnership arrangements and contracts would be considered an advantage.

(e) Conversant with the electronic procurement systems in use in India and internationally.

5. Transport Economist with experience in Highway Projects on Intermittent basis at the

Planning Unit and PMU – Qualification Requirements:

(a) Degree in Civil Engineering and Master’s in Transportation Engineering; (b) Preferably having overall 10 years of experience in Highway/Infrastructure projects

in related assignments. (c) Experience of Project Estimation and Economic Analysis of any Investment

Program. (d) Experience of off budget initiatives to reduce and streamline public sector financial

commitments; initiatives such as the development and implementation of Road Funds and the preparation of ‘Road User Pays’ policies would be considered an advantage.

6. Sociologist on intermitted basis at the Planning Unit and PMU.

Qualification Requirements:

(a) A persons having Master’s in Social Works or M.Sc./Ph.D. in Sociology or equivalent qualification;

(b) Preferably having overall 10 years of experience in Highway Engineering/ Transport/ Infrastructure projects in related assignments.

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(c) Experience in developing road stakeholder communication strategies and policies would be considered an advantage.

(d) Experience in surveys to support cross sector support programs would be considered an advantage.

7. Environmental Expert on intermittent basis at PMU. Qualification Requirements:

(a) A persons having Master’s in Environment al Engineering or MSc in environmental Science or equivalent qualification;

(b) Preferably having overall 10 years of experience in Highway Engineering/ Transportation/Infrastructure projects in related assignments.

8. Road Safety Audit Expert on intermittent basis at Planning Unit as well as PMU –

Qualification Requirements:

(a) Road Safety Expert/Auditor will be at least a Graduate in Civil Engineering and preferably with post graduate qualification in Traffic Management and Road Safety.

(b) S/He should have at least 8 years experience in road safety engineering, including conducting road safety audits on different types of roads, identification and treatment of black-sports, development and implementation of road safety programs, road safety monitoring and evolution. Completed road safety audit training will be an advantage.

(c) Must have demonstrated knowledge of engineering road safety measures proven effective in India, especially targeting vulnerable road users.

(d) Must have knowledge of proper placement and use of signs, pavement markings, roadside hardware, and human factors. Experience with road safety engineering on hilly roads will be an advantage.

(e) Must have all-round knowledge of environment of other aspects of road safety, e.g. road safety education, safe way to school programs, and involvement of NGOs.

9. I.T Expert on an intermittent basis at Planning Unit –

Qualification Requirements:

(a) Master’s in Computer Application (MCA) or equivalent. (b) Preferably having overall 15 years of experience in IT sector. (c) Experience in IT solutions related to Road/Highways sector shall be preferred. (d) Experience in preparing web-based MIS applications. (e) Knowledge of Database management Systems and programming languages.

Notes:

1. CVs of any Experts over the age of 65 years shall include an affidavit of good health certify that the Expert: (i) is presently in good physical and mental health condition, (ii) is physically fit to undertake assignment, and (iii) does not have any physical and/or mental disability that might impair the ability satisfactorily complete this assignment. The affidavit shall be signed by the Expert and countersigned a medical doctor and will contain assurances that the Expert is aware that long haul flights and prolonged stay at elevated places might cause aggravation of pre-existing cardiovascular diseases and/or other pathologies and that he/she has consulted his/her doctor for professional advice regarding his/her work on the assignment.

2. CV of any Expert who has retired from the Public Work Department within the last 2 calendar years is expected to retired from the PWD during currency of the Consultancy Services shall not be considered for evaluation.

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The duration of input of staff to be provided should be as below:- S.No. Position Clients office and sites

input in person-months 1 2 3

International Expert Positions 1- Team Leader cum Highway Planner 28 2- Change Management Specialist 8 3- Highway Institutional Expert 8 4- Legal Advisor 4 Total 48 National Expert Positions 1- Highway Engineer/Maintenance Specialist 28 2- Legal Expert 8 3- Road Financing Expert 8 4- Procurement cum Contract Administration Expert 16 5- Transport Economist 20 6- Sociologist 15 7- Environmental Expert 15 8- Road safety Expert 8 9- IT Expert 20 Total 138 Grand Total 186 E. Deliverables a) Inception Report To be presented within 6 weeks of the commencement of services. The report will be based on work and staffing schedules agreed during contract negotiations. It will include the review of the status of Planning Activities in the PWD and the overall situation of the business process, management system, MIPMS, Human Resources Strategy, road development plan and proposed actions needed and Consultant’s detailed strategy for the tasks in the assignment. The Report will detail the consultant’s approach to conducting a feasibility study for the creation of RDC and eventually transferring the entire USRIP operations to it. The report will also include the detailed work program and approach towards the assignment; b) Quarterly Reports The consultants shall furnish the ADB and the EA with quarterly progress reports on implementation progress including achievements and problems to be resolved. The quarterly reports shall include the monitoring reports on the PBMC in the USRIP Projects 1 and 2. c) Annual Report The consultant shall furnish to the ADB and the EA an annual report for each of the 3 years of the assignment. The report should elaborate on the progress on each of the activities in the assignment, the progress of the planning unit, training of the counterpart staff form

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the PWD to the PMC, other components elaborated in the Inception report and the status on the considered shift to the “Client Role”. d) Final Report on Surveys The final reports on surveys to be submitted in accordance with the timelines as below: Cost Benefit Survey: within 9 months of commencement of services Road Condition Survey: within 15 months of commencement of services Road User Satisfaction Survey: with in 24 months of commencement of services. e) Change Management Strategy Report A draft comprehensive report on the existing infrastructure and human resource, the management practices and operating systems in the PWD along with the change management strategy to be deployed to shift to the new proposed management forms must be submitted by the consultant within 12 months of commencement of the services. The consultant shall within the next 3 months after discussions with the client and the ADB finalize the report and submit Change Management Strategy Report with an elaborate implementation plan. The draft Change Management Report will include all recommended steps for creation of any alternative instrumentalities like the RDC and Road Fund Management Board, if feasible. It will also include all recommended new legislations/amendments in existing legislations for the Change Management, new and prospective policy regimes, administrative fiats necessary to facilitate the Change. All individual technical reports and working papers prepared for management discussions by various experts will form an integral part of this Report. f) Report on Area Management Contracting using PBMC A draft comprehensive status report on the maintenance of state road network by the PWD and the of the use of area based maintenance contracting using PBMC at a zonal or district level must be submitted by the consultant within 10 months of commencement of services. The consultant shall within the next 6 months after discussions with the client and the ADB finalize the report and submit the final report with an implementation strategy. g) Draft Final Report 60 days before completion of their services, the consultants shall prepare a draft final report covering all Tasks required in the Terms of Reference. h) Final Report 30 days after receiving comments from the EA and ADB the consultant shall submit a final report. The final report shall be submitted at the end of the assignment and shall include a detailed account of the activities required to be completed and the completed activities. The report shall also provide the status and long-term sustainability of the Planning Unit with the PWD staff. i) Inception Workshop The consultant shall conduct the Inception workshop one week before submission of the Inception Report. Inception Workshop shall discuss the assignment activities and the work program and also allow for the feedback of the PWD in preparing the final approach towards the assignment. j) Change Management Perspectives Seminar The consultant shall conduct this Seminar after a month of the submission of the Draft Change Management Strategy Report. The Consultant will make presentations on all aspects of Change envisaged in the Report. Senior functionaries from PWD, Ministry of Finance and Transport Department should be invited to attend the Seminar so that all decision-makers are made aware of the actions required at the government end to make the Change effective. k) Training/Presentation Workshops The Consultant will provide Mentoring and Assimilation sessions where needed, and seek feedback from the participants prior to the submission of the

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Report on Value Engineering Toolkit, Standard Procurement Documents, PWD Operations Guidelines, Guidelines on road Safety, Change Management Strategy and the Draft Final Report. l) PWD Operations Guidelines – Drawn from International Best Practice The Consultant shall endeavor to provide PWD with the updated Guidelines that exhibit best international practices (to allow the department to select and move forward towards policy statements and adoption as standard departmental procedures) within 12 months of the commencement of the services. The Draft Operations Guideline shall be submitted to the PWD and the ADB for review within 10 months of commencement of services. The PWD shall provide comments to the Draft document in the workshops and discussions that shall be documented by the consultant in monthly and quarterly progress reports. The Guideline will draw heavily on internationally accepted standard approaches to modern road asset management. m) Standard Procurement Document for PWD The consultant shall within 12 months of the commencement of the services provide the PWD with the documents as required in the assignment. n) Value Engineering Toolkit for PWD The consultant shall within 9 months of the commencement of the services provide the PWD with the Value Engineering Toolkit as required in the assignment. o) Guidelines on Road Safety The Consultant shall provide the PWD with the standard road safety requirements in the Hill Roads and Plain Roads for all categories (NH, SH, MDR, ODR and VR) as generally accepted by international safety agencies and authorities. The consultant shall also provide the PWD with the standard and accepted guidelines for conducting road safety audits and train the PWD Engineers for conducting safety audits; providing them with the right guidelines for highway design provisions for crash prevention and crash reduction. Reliance for these guidelines will primarily focus on internationally documentation on auditing and safety standards in order to allow private sector partners to assimilate conditions and designs to international standards. Review of Reports A review committee, consisting of the following officers of the Public Work Department will review all the reports of the consultants (inception, progress, intermediate and draft final) and suggest any modifications/changes considered necessary within 30 days of receipt. Engineer-In-Chief PWD Uttrakhand, Dehradun Chief Engineer (Planning) PWD Uttarakhand Dehradun Project Director PMU, PWD Dehradun Chief Engineer (Garhwal) PWD Uttrakhand Chief Engineer (Kumaon) PWD Uttrakhand F. Counterpart Services and Facilities PWD, the Executing Agency (EA) for the consulting services, shall provide all the necessary data/reports as available within the department. The PWD shall also provide the consultant with the necessary counterpart staff in the Planning Cell/Planning Unit. However, a close liaison with PMU/PWD would be required to obtain any other additional data and to work alongside other specialists from the PWD as considered necessary.

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Appendix “A” Potential Road Related Representation Bodies The potential road related representative bodies that could be involved in the surveys

1. Truck and tanker operators and drivers. 2. Inter-urban bus services operators and drivers. 3. Wagon, rickshaw, taxi and hired car operators and drivers. 4. Private car owner associations. 5. Household living adjacent to main roads. 6. Farmers/agricultural commodity producers. 7. Chambers of commerce, industrial manufacturers and traders. 8. Freight Forwarding/Shipping agents. 9. Insurance industry representatives. 10. Emergency Services representatives. 11. Vehicle, including bicycle, manufacturers association/ bodies and repair workshop

representatives. 12. NGOs involved with Social, Environmental issues related to roads plus vulnerable groups

such as the disabled. 13. Academia. 14. Journalists and Media representatives. 15. Automobile Associations. 16. Transport Department. 17. Traffic Police. 18. Hotel/Restaurants Association

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Appendix1-Standartd Format for EOI

Expression of Interest (EOI) Consulting Firms

Project Number Project Name Project Country

I. Consulting Firm Information CMS Number: Country of Incorporation:

Consultant Name: Acronym:

Associations (Joint Venture or Subconsultancy)

CMS Number

Consultant Acronym Country Joint

Venture EOI Submission Authorized By

Position

Present the rationale for and benefits of working in association with others rather than undertaking the assignment independently (as appropriate). Describe the proposed management and coordination approach of the association and the role of each firm. I confirm that:

Documentation regarding our corporate structure including beneficial ownership has been attached into ADB’s CMS.

Documentation regarding our Board of Directors has been attached into ADB’s CMS. A written agreement to associate for the purpose of this Expression of Interest has

been signed between the consortium partners.

ADB reserves the right to reject the proposal of an association if member(s) of the association is changed/dropped without valid reason after the association has been shortlisted. However, should valid reasons exist (e.g. associate partner was sanctioned by ADB or other MDBs, associate partner went out of business, etc.), satisfactory evidence in support of such reasons should be sent to ADB for consideration.

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II. Assignment Specific Qualifications and Experience

Your EOI shall demonstrate technical competence and geographical experience based on project references entered in Full registration under your CMS profile. We encourage you to update Project Information under your CMS registration prior to filling EOI. A. Technical Competence

Cross-referencing the selected from your CMS profile projects, highlight the technical qualifications of your entity/consortium in undertaking similar assignments.

Provide details of past experience working with similar project authorities.

B. Geographical Experience

Cross-referencing the selected from your CMS profile projects, present experience in similar geographic areas.

C. Management Competence (Please answer each question in one paragraph of 3-5 sentences)

1. Describe standard policies, procedures and practices that your entity has to assure quality interaction with clients and outputs. Please state if your company is ISO certified.

2. How will your firm/ consortium handle complaints concerning the performance of experts or quality of the reports submitted for this assignment? What internal controls are in place to address and resolve complaints?

3. How will you ensure the quality of your firm’s/ consortium’s performance over the life of

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this assignment?

4. Describe standard policies, procedures and practices that your firm has put in place to avoid changes/ replacements of personnel and to ensure the continuity of professional services once contracted.

5. Describe what social protection practices you have in place to safeguard the well-being of your proposed experts? Specifically describe arrangements you have in place for medical, accident and life insurance coverage during the assignment.

D. Other Information (maximum of 500 words)

E. Project References

Please select most relevant projects from your CMS Profile to demonstrate the firm’s technical qualifications and geographical experience.

Period Client Project Country Firm

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III. Comments on Terms of Reference

IV. Comments on Budget Adequacy

V. Additional Questions

VI. Key Considerations in approaching this assignment (no more than 9,000 characters summarizing approach and methodology)

VII. EOI Attachments

Title Type Description Category Last Updated By Last Updated

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VIII. Eligibility Declaration

We, the undersigned, certify to the best of our knowledge and belief:

We have read the advertisement, including the terms of reference (TOR), for this assignment. Neither the consulting firm nor its associate or any of its experts prepared the TOR for this activity. We confirm that the project references submitted as part of this EOI accurately reflect the experience of the specified firm/ consortium. We further confirm that, if any of our experts is engaged to prepare the TOR for any ensuing assignment resulting from our work product under this assignment, our firm and the expert(s) will be disqualified from short-listing and participation in the assignment.

All consulting entities and experts proposed in this EOI are eligible to participate in ADB-funded, -supported and –administered activities. The lead entity and associates are NOT currently sanctioned by the ADB or other MDB. Neither the consulting firm nor the associates has ever been convicted of an integrity-related offense or crime related to theft, corruption, fraud, collusion or coercion. We understand that it is our obligation to notify ADB should any member of the consortium become ineligible to work with ADB or other MDB or be convicted of an integrity-related offense or crime as described above. All proposed associate/s are registered in ADB’s Consultant Management System (CMS), and contact information contained in CMS is current. Associate/s, including all proposed consultants named in this EOI, have confirmed their interest in this activity in writing. Associate/s, including all proposed consultants named in this EOI, have confirmed their eligibility to participate in this activity in writing. Associate/s, including all proposed consultants named in this EOI, have authorized us in writing to represent them in expressing interest in this activity. None of the proposed consortium are subsidiaries of and/or dependent on the Executing or the Implementing Agency or individuals related to them. We understand that any misrepresentations that knowingly or recklessly mislead, or attempt to mislead may lead to the automatic rejection of the proposal or cancellation of the contract, if awarded, and may result in further remedial action, in accordance with ADB’s Anticorruption Policy.

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Eligible ADB Member Countries

List of Eligible Countries of the Asian Development Bank

Appendix 2

1. AFG Afghanistan 36. MON Mongolia 2. ARM Armenia 37. MYA Myanmar 3. AUS Australia 38. NAU Nauru, Republic of 4. AUT Austria 39. NEP Nepal 5. AZE Azerbaijan 40. NET Netherlands 6. BAN Bangladesh 41. NZL New Zealand 7. BEL Belgium 42. NOR Norway 8. BHU Bhutan 43. PAK Pakistan 9. BRU Brunei Darussalam 44. PAL Palau 10. CAM Cambodia 45. PNG Papua New Guinea 11. CAN Canada 46. PHI Philippines 12. PRC China, People‟s Republic of 47. POR Portugal 13. COO Cook Islands 48. SAM Samoa 14. DEN Denmark 49. SIN Singapore 15. FIJ Fiji Islands, Republic of 50. SOL Solomon Islands 16. FIN Finland 51. SPA Spain 17. FRA France 52. SRI Sri Lanka 18. GEO Georgia 53. SWE Sweden 19. GER Germany 54. SWI Switzerland 20. HKG Hong Kong, China 55. TAJ Tajikistan 21. IND India 56. TAP Taipei, China 22. INO Indonesia 57. THA Thailand 23. IRE Ireland 58. TIM Timor-Leste, Democratic

Republic of 24. ITA Italy 59. TON Tonga 25. JPN Japan 60. TUR Turkey 26. KAZ Kazakhstan 61. TKM Turkmenistan 27. KIR Kiribati 62. TUV Tuvalu 28. KOR Korea 63. UKG United Kingdom 29. KGZ Kyrgyz 64. USA United States of America 30. LAO Lao People‟s Democratic

Rep. 65. UZB Uzbekistan

31. LUX Luxembourg 66. VAN Vanuatu 32. MAL Malaysia 67. VIE Viet Nam 33. MLD Maldives 34. RMI Marshall Islands 35. FSM Micronesia, Federal States of