request for proposal for process documentation of the

Request for Proposal

for

Process Documentation of the Partnership

Programme with the Government of Uttar Pradesh on

Solid Waste Management

Last date for Application: 13th September, 2021

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Background

Solid Waste is considered to be one of the most serious environmental and health challenge confronting

both rural and urban India. A typical reason for this is the prevalent attitude of communities, households

and institutions who generate the waste but take no responsibility for its management.

In response to the waste management challenge, ITC through its Social Investments Programme,

Mission Sunehra Kal has designed, and implemented the Decentralised Solid Waste Management

(DSWM) programme in several locations with the end objective of “minimal waste to landfill”. The

focus is on maximizing processing and recycling of waste at source by the generators themselves

through four models designed for large cities, towns, villages and temples and based on the principle of

“My Waste, My Responsibility”. A key differentiator is the goal of minimising waste to landfills rather

than the dominant but unsustainable model of collection and dumping of waste, even if it is at designated

sites. The approach targets:

Sustainable management of total waste – both bio-degradable and non-bio-degradable –

by making communities responsible for their waste at source;

Execution of projects in partnership with Municipal Corporations / Gram Panchayats to

leverage existing infrastructure / facilities including land, utilities and transportation;

Behaviour change through Information, Education, Communication (IEC) to drive source

segregation of waste at the household level;

Social and financial inclusion and HDI indicators of the rag-pickers and waste collectors,

and marginalized communities including women, involved in the project; and

Financial viability through revenue generation by household levy and sale of compost and

recyclables.

The SWM Programme is aligned to Sustainable Development Goals 6 (Clean Water & Sanitation),

SDG 11 (Sustainable Cities and Communities) and SDG 12 (Sustainable Consumption & Production),

as well as to the Government of India’s flagship Swachh Bharat Mission.

On successful demonstration of the decentralized SWM model of ITC MSK across 17 districts of 9

states in India, the Government of Uttar Pradesh expressed interest in partnering with ITC for

amplification of the programme across different districts of U.P.

In FY 2019-20, ITC Mission Sunehra Kal signed a MoU with the Urban Development Department

of Government of Uttar Pradesh for 3 years’ duration to build capacity of 652 Urban Local Bodies

(ULBs) of the state, to enable them to implement the community driven Decentralized Solid Waste

Management Programme. ITC will provide technical support to ULBs and will build capacity of

the officials of these ULBs in planning and implementation of the decentralised SWM programme.

The training will follow a cascading approach for which Super Trainers from ITC and NGO

partners will train Master Trainers of selected ULBs who will further train the rest of the ULBs’

officials.

This entire process will follow a systematic plan comprising multiple phases. The broadly defined

phases are:

1. Partnership Planning Phase

2. Programme Preparatory Phase

3. Training Phase

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4. Actualization at Field Level

5. Scale up of ITC MSK’s SWM Model

Objective of the Assignment

In this backdrop, ITC has planned to develop a detailed process document on the execution of this

partnership, which may act as a reference document to ITC and other organizations who plan

similar large scale partnerships in SWM or in any other areas in future. The agency is required to

develop a Document that clearly defines, documents and analyses ITC Mission Sunehra Kal’s Solid

Waste Management (SWM) Amplification Programme in Uttar Pradesh. The broadly defined

objectives of this assignment are to:

1. Document the processes that are adopted in this partnership with UP Government so that it

can be used elsewhere in future in such large scale partnerships for operational consistency.

2. Create this as a reference knowledge document for ITC MSK, for future use in amplification

programme.

3. Capture key learnings that have significant bearing on output and outcome.

4. Determine if the processes that are followed are efficient or can be eliminated or changed.

5. Use this document for improving processes adopted in amplification partnership.

Scope of Assignment

The agency will document and critically assess the processes involved and activities undertaken

in ITC MSK’s SWM Amplification Programme during its five phases (as stated above) and

document key learnings at each stage – what worked, what didn’t work, reasons of variance from

original plan, challenges faced in implementation, etc. Based on the analysis of these areas,

recommendations for improvements are to be made by the agency. Brief overview of what these

five phases will entail in terms of documentation and assessment activities to be undertaken by

the agency is detailed ahead. It may be noted that these activities are indicative and may vary as

the programme evolves. The agency engaged for this assignment will be responsible for

documentation of all activities and processes and critically analysing each of the activities and

making future recommendations.

Agencies are required to provide details of the key tasks for each activity listed below, outputs of

each task and its significance, based on their prior experience of similar process documentation

assignments.

1. Partnership Planning Phase:

Activities under Phase 1 Tentative tasks for the agency

1 ITC signed MoU with the

Government of Uttar Pradesh for

amplification of ITC’s

decentralised SWM model in 652

ULBs

Develop understanding on the evolution of the

MoU with focus on the development of the

concept, the advocacy method followed, the

features that appealed to the Government & the

manner in which the MoU and the partnership

project was co-created by ITC and the

government

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2 End objective & scope of the

partnership

Clearly highlight the long term, medium term and

short term objectives of the partnerships

3 Role & Responsibilities of each

partner

Document process of finalising the roles &

responsibilities of each partner (including

financial contribution by each partner if it forms

part of the MoU) i.e. ITC, Government of Uttar

Pradesh and partner NGO;

4 Develop Broad road map/ action

plan: identification of other

stakeholders, identification and

selection of ULBs, clustering of

identified ULBs and key drivers

for messaging

Documenting and critically analysing the process

adopted for developing action plan, identification

of stakeholders, identification & selection of ULBs

in different phases, etc.

2. Programme Preparatory Phase:


1 Project Management Committee:

formation and composition, roles

& responsibilities, review

mechanism, timelines, activities

planned & undertaken;

Documentation and analysis of processes

adopted for formation, assignment of roles &

responsibilities, development of review

mechanism, and understand if the laid down

process was followed, any deviation in the

processes, mid-course corrections if any with

identification of triggers for such changes, etc.

Capturing the processes, analysing it and making

future recommendations.

2 Preparation of Detailed Project

Report (DPR) by the

Implementing Agency in

collaboration with ITC MSK: steps

& approach, activities to be

undertaken, timelines &

milestones, etc.;


adopted in preparation of DPR, person/partner

responsible, timeliness of activities, etc.

Capturing the processes, analysing it and making


3 Developing of training modules Documentation and analysis of processes

adopted in developing training material, types of

IEC material developed, content of IEC materials,

how was its appropriateness and effectiveness

determined, etc.

4 Identification of Super Trainers Documentation and analysis of processes

adopted in identification of super trainers:

sources for obtaining STs, approach adopted,

criteria for selection, etc.

5 Training of the Super Trainers

(STs)


adopted in training of STs, highlighting best

practices - what worked, learnings & areas for

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improvement, analysing effectiveness of IEC

materials, etc.

Capturing the processes, variations, and

analysing it to make future recommendations.

6 Establishment of SWM Resource

Centre: Knowledge Resource

Centre


adopted in conceptualising and establishing the

KRC, its objective, purpose, expected outcomes,

physical attributes, and getting buy-in of the

government, Capturing the process and

variations from plan and analysing it to make


7 Baseline study initiation –

baseline study to map current

practices of waste management

and quantum of waste generated

will be carried out at the selected

ULBs in direct supervision of ITC

and the NGO partner. Apart from

this, ULB officials will be trained

on how to conduct such baselines

in SWM, which will form a

component of the cascading

training programme.

Capturing the process adopted in baseline study

initiation by different ULBs, variations observed

in processes trained on and actual processes

followed by ULBs, analysing processes and

making future recommendations.

8 Development of Evaluation

Mechanism: evaluation

parameters & indicators;

timelines; evaluation matrix;

frequency of data collection &

analysis, etc.

Documentation of process followed in

development of evaluation matric and critically

analysing its different components;

person/partner responsible, etc. and making

recommendations for future.

3. Training Phase:


1 Identification of ULB personnel

for training and selecting ULBs for

training in different phases –

Certain logics were used and

processes were designed in

finalising who among the cadres of

ULB officials will be trained as

master trainer and which will be

the ULBs that will be selected in

different phases of training. As per

the design of training cascade

planned, some of the ULBs after


adopted in identification of ULB personnel for

training, approach adopted, criteria for selection,

etc.

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training will be developed as

learning hub and officials from

these ULBs will act as master

trainers

2 Training of relevant ULB

personnel from selected 80 ULBs

of AMRUT and Namami Gange

cities


adopted in training of ULB Personnel,

effectiveness of training module, mode of

training, training method, training plan,

timelines, participants feedback etc. highlighting

best practices - what worked & areas for

improvement and making recommendations for

future.

3 Identification of Hub ULBs based

on the agreed Action Plan (MoU &

DPR) including Rapid Baseline

report; and

Documentation of processes adopted, variations

if any from the plan, critical analysis of the

activities and processes and make

recommendations.

4 Training of Master Trainers in

identified and selected Hub ULBs:

identification of Master Trainers,

training module, frequency of

training, effectiveness of IEC

material; feedback from

participants and way forward.


adopted in training of MTs in Hub ULBs,

effectiveness of training module, mode of

training, training method, timelines, periodicity,

participants’ feedback, etc. highlighting best

practices - what worked & areas for improvement

and making recommendations for future.

4. Actualization at Field Level:


1 Training cascade by Master

Trainers from 80 ULB to other

remaining ULB officials

responsible for waste

management. Once trained these

officials will form Mohalla

Committee,, train them as well as

to Waste Collectors in their

respective ULBs

Documenting and analysing training cascade

plans and processes, training module, training

methodology and frequency, training sessions,

feedbacks, etc. Capturing training effectiveness

and making recommendations, Learning

management system and its effectiveness

2 Post Training, roll out of the

community based decentralized

solid waste management

programme/activities including

infrastructure support & capacity

building;

Documenting and analysing processes adopted in

roll out of the community based decentralized

solid waste management programme.

Highlighting best practices and gaps and making

recommendations for future.

3 Supervision and monitoring of the

Hubs for successful

demonstration:.

Documenting and analysing processes adopted in

supervision and monitoring of the Hubs for

successful demonstration of the activities - steps

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taken, monitoring process & methodology,

stakeholder involved, course corrections made as

per original plan, etc. Highlighting best practices

and gaps and making recommendations for

future.

5. Scale up of ITC MSK SWM Model:


1 Implementation of Hub & Spoke

Model – out of the 80 ULBs which

are trained directly by ITC Super

trainer, 20 will be developed as

learning Hubs with handholding

support. These hubs will

demonstrate best practices and

will act as the proof of concept for

other ULBs. With this hub and

spoke model, decentralised SWM

programme will amplify to all

ULBs of UP

Documentation and analysis of the essential

elements of the model, approach and process of

cascading to other ULBs (Spokes) using the Hub

ULBs, best practices, gaps and recommendations

This will also include analysis of the plan for

cascading to other ULBs, identification of ULBs,

challenges faced, corrective actions taken, review

mechanism placed, monitoring of outcome, etc.

3 Plan to leverage Swachh

Sarvekshan and Swachh Ward

Pratispardha for digitalization

and Reward & recognition,

respectively.

Documentation and analysis of the plan and

activities undertaken for leveraging the two

schemes, outcome of the activities, etc. and

making recommendations.

Apart from what, why, where, who and how, at every stage, agency should also compare processes

that were designed v/s actually followed to understand the deviation in process, and record the

reasons of deviations and outcomes of such deviations compared to standard defined processes.

Delays, if any should also form part of the documentation activity with reasons. Also, learning at

every stage needs to be documented by the agency.

Broadly defined Key Tasks:

a. Detailed documentation of the entire implementation process for the entire duration of the

amplification programme, which is three years. However, duration will depend on timely

completion of activities. Therefore, agencies must take into account that their engagement

will be from initiation to completion of the programme deliverables, irrespective of the

tenure.

b. Critical analysis of each of the activities undertaken during the implementation of the

partnership in terms of effectiveness, efficiency, timeliness, etc. Suggesting ways of

improvement for future programmes.

c. Documentation of learnings at every stage of project life cycle so that it can be referred by

others implementing similar amplification projects.

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d. Documentation of Best Practices/Case Studies (drivers of success in the identified ULBs).

e. Primary data collection and analysis of data collected from ULB representatives, Ward

representatives & other government officials pertaining to their roles, responsibilities,

participation, etc. and for taking their feedback on different components/ activities of the

programme.

f. Documentation and analysis of the processes followed, challenges identified & faced,

solutions implemented, what worked and what didn’t, reasons for variance and

recommendations for effective implementation & way forward.

Methodology

Methodology will mainly include desk review and primary data collection.

I. Desk review

The agency will carry out a comprehensive desk review for developing an understanding

of ITC’s SWM programme & its amplification, approach, operational modalities, etc. The

agency should also compare it with similar programmes and other large-scale successful

amplification partnerships in development sector implemented by other organizations in

India. Based on the comparative analysis, suggestions and recommendations to improve

processes at every stage/phase of implementation should be made.

II. Primary Data Collection

a. Key Person Interview (KPI) with various stakeholders:

ITC Limited Team (HO level, Regional Manager, Programme Managers,

Programme Officer/Programme Executive);

Implementing NGOs

Other ITC Partners: Communication developing partner

Government Officials (ULB representatives, GoUP Project Nodal Officer, other

involved officials), including PMC members

Super Trainers and Master Trainers (MTs)

Mohalla Committee members, Households, Supervisors and Waste Collectors

involved in the programme

Any other identified key stakeholder

b. Capturing Real-Time Activities for each step i.e. planning, preparatory, training,

actualization and scale-up.

In view of the scope of work and deliverables, agencies are required to suggest appropriate

detailed methodology, implementation plan, agencies’ experience & expertise in similar

assignments, team deployed along with their experience (years) and expertise in similar

assignments and their role & responsibilities in the proposed assignment.

Timeline

The overall timeline for the entire assignment is 3 years; however, the timeline of the assignment

is based on the above mentioned 5 milestones/phases.

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S.

No. Task Timeline Note

1. Planning Phase 4- 5 months a) Desk Review

b) Key Interaction with ITC Team

2. Preparatory Phase 6-7 months a) Key Interaction with ITC Team at all levels;

b) Visit to the field to understand the

implementation Model

3. Training Phase During the

Training

a) Attending the training sessions;

b) Interaction with the involved stakeholders-

trainers & participants

4. Actualization at Field

Level

6-7 months a) Key Interaction with all Stakeholders;

b) Field visit to sample locations to capture

real time implementation process

5. Scale up to other

ULBs

To be decided

Outputs of the Assignment

Phase-wise, quarterly reports and yearly reports during the entire duration of the

programme for sharing of progress and feedback

Final report – compilation of all phases, documentation of processes, photographs, analysis

on different components of the programme and recommendations

The content and structure of the reports shall be decided at a later stage in consultation with ITC

MSK team.

Implementation Plan

The agency is required to propose a detailed implementation plan for the assignment with

activities to be carried out, time lines, outputs of each activity, etc. The implementation plan

proposed by the agency will be finalised at the time of inception in consultation with ITC MSK

team.

Team Composition

The agency is required to present the structure of the team proposed for the assignment with

snapshot on years of experience, areas of expertise, roles and responsibilities assigned to each

of the team members. Detailed CVs are to be attached as annexure.

Organizational Expertise

i. The agency should hold experience in carrying out similar assignments in process

documentation – concurrent and post completion documentation.

ii. Agency should highlight their experience in impact assessments, multi-stakeholder

engagements, large-scale capacity building programmes, consultations, etc.

iii. Agencies should highlight their experience in carrying out assignments in solid waste

management, WASH and public health

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iv. Agency and proposed team members should have experience in desk review and primary

data collection, documentation, collation, compilation and analysis.

v. The agency should deploy a gender balanced team, having experience and expertise in

carrying out assignments of similar nature with a team leader having rich desired

experience.

Expected Deliverables

I. Inception report to be shared within 15 days from the date of signing the contract in

consultation with ITC.

II. Periodical sharing and presentation of documentation reports on each phase of the

programme, along with analysis of design, implementation, execution of the programme,

etc., as discussed in preceding sections.

III. Draft documentation report to be shared covering all phases. Report to be finalized after

incorporating changes suggested by ITC.

IV. The final report will be submitted in 2 hard copies (A4 Size preferably with bond paper

and coloured prints) and soft copy in form of CDs/pen drives. The agency to deliver a final

presentation to ITC explaining the findings, recommendations and way forward based on

the documentation assignment.

V. The data and information collected during the assignment, including photographs, will be

the property of ITC Limited and the agency shall not use it in any form without the written

permission from a competent authority in ITC.

Payment Conditions

The payment of fees will be made on job completed basis of the agreed sum, subject to

achievement of mutually agreed progress milestone. The agency may submit its proposal on

terms and conditions for payment.

Rejection Clause

ITC reserves the right to accept or reject any and all proposals, to negotiate contract terms with

various proposers, and to waive requirements at its sole discretion.

ITC also reserves the right to reject the offer without assigning any reason if found that the party

has submitted false information or found to promote vendors.

Confidentiality Clause

The agency will abide by confidentiality and non-discloser agreement to ensure that no

information shared with the agency or collected by the agency during the assignment are treated

strictly as confidential and the agency will ensure that there is no breach of confidentiality. The

information will not be used by the agency for any purpose other than the activities and

deliverables under the assignment, nor will it be shared by the agency to any person or entity

outside ITC.

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Contact Details

For submission of RFP or any further queries all correspondence may be directed to:

[email protected]

mailto:[email protected]

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Annexure 1: Format for Submission of Proposal Plan

1. Agency Details

a) Name of agency, address, Web site address and telephone number.

b) Number of the principal office that will manage this project.

c) Brief background of the agency and history. Include years in the sector/business and

number of employees and details of projects handled.

d) Experience details highlighting the experience and expertise of the agency relevant to

the current assignment.

e) A copy of the agency’s most recent Annual Report or Financial Statement, and/or any

other documentation that demonstrates financial solvency to be attached as annexure.

f) Any additional information that agency considers to be relevant.

2. Technical Methodology

a. Detailed methodology for undertaking the assignment including technical aspects;

strategies; tools & techniques to be used for collecting, collating and analysing the data,

etc.

b. Agencies may add any additional relevant information in this format and under

methodology section.

3. Implementation Plan and Team Structure

a. Detailed implementation plan with all the phases, activities and timelines

b. Team structure and snapshot of experience, expertise, roles and responsibilities

assigned for the proposed assignment.

4. Please specify the primary Executive point of contact for the work stated in this RFP.

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Annexure 2: Format for Submission of Financial Estimate

Sl. No.

Particulars UoM Numbers Unit Cost

(Rs.) Total

Cost (Rs.)

1 Survey/Data Collection Charges Rs.

a. Key Informant Interviews Nos.

b. Focused Group Discussions Nos.

c. Consultations/Meetings* Nos.

d. Case Studies Nos.

e. Any Other…….. Nos.

2 Service Charges Rs.

a. Printing charges Rs.

b. Stationary, telephone, and other miscellaneous expenses

Rs.

c. Others……. Rs.

3 Professional Charges Rs.

a. Resource Type 1: Person-days

b. Resource Type 2: Person-days

c. Resource Type 3: Person-days

d. Resource Type 4: Person-days

e. Resource Type 5: Person-days

4 Estimate excluding travel (1+2+3)

Rs.

5 Travel Expenses Rs.

a. Outstation travel Person-days

b. Local Travel Person-days

c. Accommodation Nights

d. Food Days

Total Estimate with travel (4+5) (GST rates will be extra and applied as prevailing at the time of invoicing)

Rs.

Timeline Weeks

* Meetings and Consultations will be done with stakeholders for data collection and validation.

Note:

The agency will submit final bills as per the agreed unit rates as mentioned above.

In case of Travel, Boarding and Lodging Expenses, costs will be reimbursed based on

submission of actual bills. The upper limit for reimbursement to be restricted to the

budgeted limit mentioned in the estimate.

Taxes will be paid extra as applicable.

request for proposal for process documentation of the

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