tonle sap environmental management · 1 the mission comprised ms. neeta pokhrel, urban development...

Aide Memoire

South Asia Department Urban Development and Water Division

DRAFT AIDE MEMOÍRE

L2528-IND AND L2834-IND: NORTH EASTERN REGION CAPITAL CITIES DEVELOPMENT

INVESTMENT PROGRAM REVIEW MISSION

(12 – 19 November 2013)

I. INTRODUCTION

1. On 23 June 2009, ADB approved the Multitranche Financing Facility (MFF) for the North Eastern Region Capital Cities Development Investment Program (NERCCDIP) for an aggregate amount not exceeding $200 million. A framework financing agreement (FFA) for the MFF was signed by the Government of India and Asian Development Bank (ADB) on 14 May 2009. The first periodic financing request (PFR) for $30 million was approved on 1 July 2009 and the loan agreement was signed on 4 August 2009. The second PFR for $72 million was approved by ADB on 16 December 2011 and loan agreement was signed on 19 November 2012. 2. ADB fielded a review mission (the Mission) for the MFF and Loans 2834 and 2528 from 12 to 19 November 20131. The Mission met the Central Executing Agency, the Ministry of Urban Development (MOUD), State Investment Program Management and Implementation Units (SIPMIUs) of three2 states under NERCCDIP, consultants - Project Management and Monitoring Consultants (PMMC), Design and Supervision Management Consultants (DSMCs), Institutional Development Consultants (IDCs) - and key contractors working in these states. A wrap-up meeting was held on 19 November 2013 with the Joint Secretary (UD) of MOUD and Director (UD) of MOUD, and Director (ADB-I) of Department of Economic Affairs (DEA). A list of key persons met is included in Appendix 1.

II. SUMMARY OF PROJECT PROGRESS

A. Overall Physical Progress and Implementation Status

3. Procurement Status. All 12 contracts have been awarded under Project 1, and only 9 out of 32 contracts are left to be awarded under Project 2. Appendix 2 presents the current status of all contract packages in the updated the Procurement Plans, and Appendix 3 presents the action plan and timelines for completing the remaining procurement under Tranche 2, as agreed with the SIPMIUs, MOUD and the Mission. 4. Implementation Status and Output Summary. The overall physical progress and outputs achieved to date under Part A of Projects 1 and 2 is summarized in Appendix 4. For Part B, Project Management and Monitoring Consultants (PMMC) and 5 Design, Construction Supervision and Management Consultants (DSMCs) are engaged. Institutional development

1 The Mission comprised Ms. Neeta Pokhrel, Urban Development Specialist/Mission Leader, Mr. Edward Moises,

Project Analyst, Ms. Ninette Ramirez, Safeguards Specialist (Staff Consultant), Mr. Azizur Rahman, Gender Specialist (Staff Consultant), Mr. Pritam Kapur, PMMC Team Leader (Consultant), Mr. Karni Singh Rathore, North East Project Support Unit Team Leader (Consultant).

2 Sikkim, Meghalaya and Mizoram

owner

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activities in all states are ongoing - supported under Project 1 in Shillong and Agartala, and supported under Project 2 in Aizawl, Gangtok and Kohima, through the Institutional Development Consultants. Appendix 5 outlines the implementation status of the agreed reforms. While accounting reforms are either completed or close to completion in all 5 states, others are progressing well. B. Use of Loan Funds

5. Cumulative Contract Awards and Disbursement. As reflected in ADB’s mainframe, as of 6 November 2013, under Project 1, all 12 contracts have been awarded. Cumulative disbursements stand at $13.38 million (52%). Under Project 2, 23 out of 32 total contracts or around 90% of the committed funds have been awarded. However, cumulative disbursements under Project 2 stand very low at $2.6 (around 5%). The SIPMIUs confirmed that the following additional statement of expenditure (SoEs) have been sent to MOUD as of 10 November 2013. In addition, Kohima and Gangtok SIPMIUs will send an additional claim of around Rs. 7 Crores, collectively, by 22 November 2013 to MOUD. Aizawl and other SIPMIUs may send further claims incurred until 26 November 2013 to MOUD.

Table 1: Claims Submitted to MOUD until 10 November 2013 (Rs. Crores) SIPMIUs Claims in Rs.

under L2528 Claims in Rs. under L2834

Kohima 84, 27,936.00 1,65, 87,036.00 Gangtok 1,5041130.00 2,61,45,810.00 Aizwal 65,00,000.00 10,15,00,000.00

Agartala 54, 50,136.00 7, 77,98,445.00 Shillong 22,07,444.00 5,41,455.00

C. Performance in 2013

6. Projects’ performance to date against the 2013 targets is summarized Table 1, which is quite encouraging. Performance of the states varies. While Aizawl has exceeded the targets for both loans, Agartala and Kohima still need to make a big push in achieving their committed project performance targets. Kohima and Gangtok need to make the pending contractor payment within the week of 18 November 2013 and submit the SoEs for them to MOUD. Project implementation may strengthen significantly in all 5 states provided the key impediment - the seriously constrained fund flow - is immediately removed and maintained as such by both MOUD and the states.

Table 2: Performance against Committed Contract Awards and Disbursement Targets3 May 2013 – 10 November 2013 (Rs. Crores)

Agartala Aizawl Gangtok Kohima Shillong Tranche 1

Disbursement Target 1.36 1.22 6.50 16.68 2.50

Achievement 1.70 1.29 5.34 5.77 1.04

Tranche 2

Contract Award Target 2.80 102.6 43.77 0.00 1.98

Achievement 0.00 109.02 46.20 0.00 0.00

Disbursement Target 22.00 12.76 6.4 4.32 2.07 Achievement 11.30 13.49 3.54 3.51 0.23

3 These targets were committed by the States in May 2013 for May-Nov. 2013. Figures as of 10 Nov. 2013.

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III. KEY ISSUES

1. Contract Management and Contractor Concerns

7. Contract management, especially of works contracts, in all states needs to be immediately and significantly improved and made more effective. The Mission, as highlighted in earlier review missions, reiterated that SIPMIUs should not allow significant delays, such as 8-10 months as seen in the past, in contractor mobilization and overall project implementation delays by the contractor. All SIPMIUs, with the DSMC’s assistance, need to conduct thorough two weekly and monthly planning with each of their contractors scrutinizing their monthly work plan, critical path, manpower and equipment deployment schedule/plan, methodology and detailed work schedule. The Mission found that the pace of progress and level of planning still needs immediate strengthening in all states. Additionally, the Mission recommended that all SIPMIUs should continue the practice of inviting top-level representatives of their key contractors every three months to discuss issues and measures to expedite works faster. 8. The Mission also met with all key contractors currently working in these three states to follow up on the work progress commitments made by them, emphasize the need to expedite works speedily in order make up for lost time, hear their concerns and provided EMP implementation and safeguards compliance orientation workshop. The following key concerns/ issues were raised by the contractors:

Delays in payment

Delays in receiving designs/ drawings and site clearances

Delays in approval of designs and drawings submitted

Labour availability, restrictions

Currency fluctuation4

2. Consultant Management

9. All 5 DSMCs need to immediately reassess and supplement their contract management and construction supervision personnel in the field in order to improve planning, construction supervision and contract management on-site, which was found inadequate in all states. SIPMIUs and their respective DSMCs should collectively assess their remaining input, since all remaining designs will now be completed by early next year, including that of Tranche 3, in order to focus the resources on effective contract management and construction supervision in the field. After the design period is over in early 2014, all DSMCs need to provide full-time on-site personnel on the key contracts and minimize the fly-in-fly-out consultants. The following specific and key recommendations were made:

i. DSMC Gangtok: Team Leader acceptable to the SIPMIU to be fielded by 30 November 2013. Adequate full-time construction supervision engineers to be fielded for each of the major works contracts in order to conduct measurements and improve construction supervision and contract management.

ii. DSMC Shillong: Full-time solid waste management (SWM) specialist to be fielded immediately for the design and tender documents completion of phase 2 of Marten landfill site, closure and optimization of existing site, composting plant operationalization

4 In Aizawl, the STP contract did not allow for currency fluctuation compensation/adjustment, even though significant

equipment import was expected from the contractor. The Mission advised the SIPMIU to submit request on contract variation on this aspect.

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and preparation of comprehensive SWM medium and long-term measures for Shillong. Senior design engineer for sewerage will also be fielded to complete the DPR in time.

iii. DSMC Aizawl: The Mission raised serious concerns on the performance of and non-compliance by DSMC on safeguards documentation and actions required, which has resulted in all works in concerned packages being suspended by the Mission until preparatory actions and compliance check by ADB is completed. As most of the designs have been completed, and the remaining detailed design report for Tranche 3 will be completed by early 2014, the SIPMIU will pursue alternative ways to obtain construction supervision and contract management consulting support.

iv. PMMC: Once all the design is completed and vetted by MOUD, PMMC’s role will need to be changed also to providing more in-state quality control and monitoring, which needs more frequent visits by the PMMC team and close hand-holding . 3. Human Resources in SIPMIUs

10. While some strengthening of the SIPMIUs has been carried out since May 2013, both Gangtok and Aizawl SIPMIUs lack adequate human resources to expedite the rather large tranche 2 components/packages currently underway in these two states. In case of Gangtok, a dedicated senior water supply engineer, and an assistant and junior engineer for each of the three large contract packages under tranche 2 is immediately required. In case of Aizawl, senior executive level engineers for the three sectors being improved by the projects as well as capable environmental and social safeguards officers are immediately required. Both governments of Sikkim and Mizoram have committed to providing all additional staffing by 20 December 2013.

4. Environmental and Social Safeguards Compliance

11. The Mission shared its concerns and reiterated the immediate need to improve environmental and social safeguards compliance monitoring by the SIPMIUs and the DSMCs. Many actions remain pending on environmental and social safeguards compliance monitoring agreed during the review mission in September 2013, especially in Agartala, as shown in Table 3. It was agreed that Agartala and Kohima SIPMIU will send status update on these by 22 November 2013 and all pending reports/ revisions will be submitted by 15 December 2013.

Table 3: Summary of Outstanding Actions on Safeguards Compliance

Agreed Action Status

1. Submission of updated IEE for Agartala Tranche 1 water supply subproject

Not complied.

2. Submission of updated IEE for Kohima Tranche 1 water supply subproject

ADB comments sent 08-Oct-2013. Waiting for response/ revision.

3. Submission of updated IEE for Kohima Tranche 1 solid waste management subproject


4. Submission of social impact assessment and screening checklist for Agartala Tranche 2 water supply subproject (14 overhead tanks and 7 groundwater treatment plants)

Not complied.

5. Submission of social impact assessment and screening checklist for Kohima Tranche 1 water supply subproject (final locations of zonal tanks)


6. Submission of social impact assessment and screening checklist for Kohima Tranche 1 solid


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Agreed Action Status

waste management subproject (additional works) 7. Submission of semi-annual environmental and social monitoring reports including GAP implementation to ADB for review and disclosure

Agartala – not complied Kohima – Submitted. ADB comments sent 08-Oct-2013. Waiting for response/ revision.

8. Confirmation of establishment of grievance redress committee in Agartala by 30 September 2013.

Not complied.

9. Disclosure of relevant safeguards information in accessible places and in form and language(s) understandable to local people and other stakeholders.

Argatala – no response.

Kohima – completed.

10. Conduct fresh round of consultations in to raise public awareness of the Investment Program.

Argatala – no response.

Kohima – as per DSMC, proposal for funding pending at MoUD

12. Findings from Environment Compliance Review in the States Visited. Tranches 1 and 2 for the NERCCDIP are classified as Category B for Environment. The Mission reviewed subprojects for Gangtok, Shillong and Aizawl under the Investment Program. Environmental management plans were included in all civil work contract documents and monitoring of civil works is ongoing. All required environmental clearances are obtained. Semi-annual monitoring report covering January to June 2013 were submitted to ADB. IEEs and monitoring reports are disclosed at SIPMIUs websites.

In Gangtok, the Mission finds satisfactory EMP implementation and supervision in Tranche 1 works while Tranche 2 civil works are yet to be started, the Mission requested SIPMIU to secure and put up signages in all subproject sites.

In Shillong, the Mission requested SIPMIU to improve Tranche 1 civil works EMP implementation and supervision of workers’ health and safety. Tranche 2 civil works are yet to be started. It was agreed that SIPMIU will secure and put up signage at the worksites and submit the updated IEEs for proposed additional works under Tranches 1 and 2 by 30 November 2013.

In Aizawl, it was agreed that the SIPMIU will provide actions on implementation of post-construction mitigation measures as specified in Tranche 1 EMP and send updates to ADB by January 2014. SIPMIU agreed to secure and put up signage at the worksites and start consultations, information dissemination, and disclosure of relevant information in a form and language stakeholders can easily understand. SIPMIU agreed to hand over 5 toilet blocks’ sites to the contractor immediately and the remaining 5 by 15 December 2013. SIPMIU also agreed to improve Tranche 2 civil works EMP implementation and supervision of workers’ health and safety, and include actions in the environmental monitoring report covering July- December 2013 on implementation of pre-construction mitigation measures as specified in the Tranche 2 EMPs.

13. Involuntary Resettlement. Tranches 1 and 2 are classified as Category B for Involuntary Resettlement. The mission reviewed Tranches 1 and 2 subprojects for Gangtok, Shillong and Aizawl. Semi-annual environmental monitoring reports covering period January to June 2013 were submitted to ADB. Resettlement Plans (RP) and monitoring reports are

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disclosed in SIPMIUs’ websites. Grievance redress committees are formed and notified in each SIPMIU.

In Gangtok, the Mission finds no involuntary resettlement impacts in Tranche 1 works while Tranche 2 civil works are yet to be started, the Mission requested disclosure of relevant information to stakeholders and conduct fresh round of public consultations.

In Shillong, SIPMPIU agreed to submit social impact assessment and screening checklist for proposed additional works under Tranche 1 for solid waste management (SWM) subproject by 22 November 2013. The RP for Tranche 2 SWM, for Marten Phase 2, will be prepared and submitted, with assistance from DSMC by 20 December 2013. The RP should include potential impacts on rag pickers and scavengers in the existing dumpsite. It was also agreed to disclose relevant information in a form and language stakeholders can easily understand.

In Aizawl, the Mission requested SIPMIU to stop all works on the access road construction until RP has been submitted and approved by ADB, should the design changes be proposed. The Mission requested SIPMIU to follow the originally approved design as the chances of approval of the revised design are minimal. Similarly, no works should commence until the updated RP for sewerage and sanitation subproject, water supply subproject and the 10 toilet blocks are submitted and approved. The SIMPMIU may do so in a zone-wise manner. It needs to include construction work plan, access road to the sewage treatment plant and procedures for compensation and rehabilitation of eligible affected people for temporary impact compensation. SIMPIU agreed to submit them by 15 December 2013. It was agreed to disclose relevant information to stakeholders and conduct fresh round of public consultations. 5. GAP Implementation Status

14. The gender action plan (GAP) for NERCCDIP identifies activities committed by the states to increase women’s participation in project and services to be provided through the project. The Mission noted that while the three SIPMIUs visited are aware of their GAP commitments, however very little progress has been made in implementing these, and that no budget was earmarked for their implementation. The status of progress against target indicators identified in the GAP is as follows:

In Gangtok, the Mission noted that not much progress with respect to GAP activities has been made in Gangtok. A social scientist was engaged by the SIPMIU in July 2013 who is also responsible for implementation of GAP, however SIPMIU has no budget to implement the GAP activities. The Mission agreed to allocate a separate sub-budget head and PCSS number for implementation of GAP among others, and the SIPMIU agreed to start implementing it in a time-bound manner to make up for the lost time.

In Shilong, SIPMIU is implementing some of the GAP activities. The social safeguards specialist in SIPMIU, who works in consultation with community development specialist of DSMC, is responsible for implementing GAP activities. The Mission learnt that budget estimate to implement GAP activities was prepared and submitted by SIPMIU to MOUD in April 2013 and is still pending. The Mission requested SIPMIU to re-submit the budget requirements, combined with other activities as outlined in the next section, for approval to both MOUD and ADB.

In Aizawl, the Mission noted that SIPMIU and DSMC have separately engaged focal persons to implement GAP. Though the project has made some progress in implementing of GAP, covering areas where work is in progress, but progress is very slow and needs to be accelerated in the following: (i) exploratory study on possible

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livelihood opportunities from available recyclable materials and the market for possible products from these recycled materials; (ii) training programs on alternative livelihoods for women using recyclable materials ; (iii) demographic survey of the city, showing gender differential access to urban services, income / poverty levels; (iv) instituting geographic and sex-disaggregated project management information system; (v) on-the-job capacity-building activities for SIPMIU on gender-sensitive recruitment, management, procurement and contract management, project and performance monitoring, safeguard compliance, land acquisition, and preparation of feasibilities studies and detailed designs.

15. The Mission requested all SIPMIUs to reiterate to their contractors to ensure employment of women in the construction activities under NERCCDIP with implementation of “same pay for work of equal value‟. It was also emphasized to put in place gender inclusive monitoring mechanism and report GAP updates semi-annually as part of the social safeguards monitoring report. A GAP progress update format for Aizawl, Gangtok and Shillong was finalized with the SIPMIU and shared, attached in Appendix 6. The same will be provided to Agartala and Kohima by ADB’s Gender Specialist by 30 November 2013.

6. Budgeting for and Implementation of RP, EMP, GAP, CAPP, IEC and PR

16. The Mission found that most SIPMIUs have not planned and budgeted for implementation of the RP, EMP, GAP, CAPP, IEC and PR for NERCCDIP. It was agreed that all SIPMIUs will submit their 2-yearly budget estimates for the implementation of these to both MOUD and ADB by 15 December 2013, and a separate PCSS will be provided by ADB for the same.

7. Reporting

17. Status, issues and recommendations on reporting are as follows:

QPRs- 1st and 2nd quarters progress reports for 2013 have been submitted; 3rd quarter progress will be submitted by 30th November 2013; succeeding quarterly progress reports will be submitted within 30 days after the end of each quarter following the agreed format; and it was agreed to include SIPMIUs compliance with actions agreed in the review missions. The QPRs shall also indicate, among others, progress made and problems encountered during the quarter under review, steps taken or proposed to be taken to remedy these problems, and proposed program of activities and expected progress during the following quarter.

Safeguards monitoring reports including GAP implementation reporting –All states to send to ADB directly with copy to MOUD. ADB will provide guidance on standardisation. Safeguards monitoring reports must be sent electronically twice a year for environment and social safeguards, in a quality that can be publicly disclosed in ADB’s webpage on a timely manner. The dates agreed submission of environmental and social safeguards reports have been made to coincide with 2 QPR dates (on or before 31 October and on or before 31 May). GAP implementation status should be separately included, in the format provided in Appendix 6, as part of the safeguards monitoring reports.

SOE preparation –Quality of SoEs are still very low. DMSC experts need to continue assisting in SOE preparation and financial reporting by fielding adequate financial experts in the field, especially in Gangtok, Aizawl and Agartala.

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8. Customized Training on Submission of Withdrawal Applications/SOEs.

18. The Mission recommended that a customized training on submission of Withdrawal Applications/SOEs be carried out by ADB’s India Resident Mission staff for the SIPMIUs personnel preparing the withdrawal applications on how to improve quality of claims. The target date for the training was set on 15 December 2013. ADB will confirm the date and send invitations to SIPMIUs and MOUD staff.

9. Submission of Audited Project Financial Statements (APFS) for FY 2012/2013

17. Gangtok, Shillong, Aizawl SIPMIUs have already sent their APFS and audit certificates for FY2012-2013. Agartala and Kohima SIPMIUs are expected to submit their APFS to MOUD by 30 November 2013. MOUD will submit the consolidated APFS to ADB by 15 December 2013.

10. Parity and Usage of Project Implementation and Administration

18. A large disparity and need for clarity in the usage of Project Implementation and Administration budget was found in the states. While some states have very large P&IA costs and are using it for all purposes, other states are not utilizing it even for the purposes that it was intended. MOUD was requested to provide some clarity and guidance in ensuring the optimization of PI&A budgets with the SIPMIUs.

11. Reforms Compliance

19. The Mission reviewed the implementation of reforms in the three states visited and found that, while they are generally on track, and a lot of progress has been made in completing all preparatory steps, many high-level decisions on completing their implementation remain outstanding. By 15 December 2013 all SIPMIUs will, based on consultation with high level officials in each of the three states visited, send the exact summaries of decisions/ actions to be carried out in the next six months with regards to completing especially (i) the remaining agreed municipalization actions, (ii) implementation of property tax, (iii) implementation of user charges, and (iv) performance improvement of water service providers and regulation of services. The Mission was pleased to note that double entry accounting has been largely completed and operational in all states.

12. Surrendering Savings from Project 2, Loan 2834 and MFF Extension

20. MOUD and DEA, in consultation with the States, have already submitted a request to ADB for surrendering $12 million from Loan2834, which is being processed in ADB. 21. Similarly, MOUD, through the DEA, had requested an extension of the loan availability period under the Financing Framework Agreement (FFA) of this MFF from 30 June 2016 to June 2019. Request was also made to revise date of submission of last financing PFR to 31 December 2014. States had committed progress milestones from May 2013- November 2013 as conditions for processing such an extension so that all stakeholders are assured of improved pace of implementation and project performance. Since the States are making a concerted effort in improving performance and have come close to meeting their agreed targets, the Mission will recommend and process the MFF extension request to ADB

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management immediately upon its return to Manila. Government of Nagaland for Kohima works, Government of Tripura for Agartala works, and Government of Meghalaya for Shillong works need to still make a concerted effort immediately and over the six months to provide such an assurance that the states are committed and can deliver the future works in parallel. Inclusion of Tranche 3 works for these states may be re-discussed pursuant to assessing performance over the next three months of tranches 1 and 2.

13. Scope and Preparations for Tranche 3

22. The Mission agreed with the SIPMIUs and MOUD the following guiding principles and readiness criteria for Tranche 3:

All proposed subprojects must meet the subproject selection criteria outlined in Schedule 4 of the Financing Framework Agreement (FFA)

Contract packaging to be kept as less than 3 contract packages per state

DPRs for proposed subprojects to be submitted to MOUD by 1 February 2014

All tendering to be completed by October 2014

All works must be completed by December 2018.

23. The following overall tentative scope for Tranche 3 in the states visited was agreed:

Gangtok: 2 contract packages as follows (i) remaining water supply components, including strengthening of upstream supply and storage system, to achieve 24*7 water supply in Gangtok city, (ii) potentially sewerage in the city core areas currently uncovered.

Aizawl: 3 contract packages as follows (i) comprehensive SWM improvement package, (ii) remaining water supply components to achieve universal metering and non-revenue water minimization, (iii) rain water harvesting.

Shillong: 2 contract packages as follows (i) remaining investment in achieving comprehensive SWM improvement including support in composting plant, (ii) sewerage and 2.5 MLD STP in a pilot area, Zone 1a1.

24. Under Projects 1 and 2, most contract packages suffered significant delays in procurement5, repeated rebidding and low contractor participation. In order to learn lessons and avoid such a situation in Tranche 3, it was agreed to (i) carefully conduct contract packaging, minimizing contract packages to preferably two or maximum 3 per state, (ii) wider advertisements, organization / participation in business opportunity seminar and better dissemination of bid documents to prospective bidders through web, starting from March or April 2014, and adherence to the following agreements made during review mission for NERCCDIP in May 2013:

cost of the contract package should be assessed based on the current market rates, during bid evaluation (prior to opening of the price bids) and any revision in cost estimates, if required, should also be done prior to opening of financial bid;

all revisions in cost estimates must be approved by MOUD;

SIPMIUs and DSMCs must ensure that price assumptions for revision are supported by documents, if not of SOR;

5 For instance, large number of contract packages under Project 2 took more than 1.4 years to finalize from the start

of bidding.

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while preparing the price bid evaluation report, under the section “reasonableness of price of lowest evaluated bidder”, the price quoted by the lowest evaluated substantially responsive bidder should be compared with the engineer’s estimate, as well as the cost of the contract package based on the current market rates. The decision to award / request for negotiations / reject and request for rebid should be accordingly made by the IPEC, submitted to MOUD for vetting and then submitted to ADB for consideration. The entire bid evaluation process should be completed well within the bid validity period;

sufficient efforts must be exercised by all states in improving bidder participation.

IV. STATE-LEVEL FINDINGS AND ACTION PLANS

25. The Mission met with Chief Secretaries of Sikkim and Mizoram, Principal Urban Secretaries of all the three states visited, and Finance Secretaries of Sikkim and Mizoram to convey key concerns and issues faced by the project in their states. The following action plans were discussed, and all state-level commitments were provided by the high-level state officials met during the Mission. The key impediments/ non-compliance in fund release and acute staff shortage in SIPMIUs in both Sikkim and Mizoram were highlighted by the Mission, and the Chief Secretaries as well as the Finance Secretaries of both these states have provided absolute commitment to comply with the covenants at all times in future. All three states’ high level officials have also reiterated their commitment to spearhead and complete the remaining agreed institutional and financial reforms, as more than 4 years have already passed under NERCCDIP. The Mission also highlighted lack of adequate delegation of power and authority to the Project Directors at all times, which was found to be hampering project progress in a few states. The Mission urged all state governments, including that of Tripura and Nagaland, to ensure that this key commitment is revisited and ensured at all times.

A. Agreed Action Plan for Sikkim

b. Actions Resp Due Date 1 Release Rs. 3 Crores to SIPMIU to allow SIPMIU to pay the

contractors; FD to provide imprest amount and streamline internal procedures to ensure all funds received for the project are transferred to SIPMIU within 2 weeks

FD, GoS 18 November 2013

26 November

2013

2 Issue delegation of power and authority, vetted by the FD, to the PD

GoS 26 November 2013

3 Appoint all outstanding staff in SIPMIU GoS 15 December 2013

4 Provide all outstanding clearances for the three contracts under Tranche 2 to commence work in full speed

GoS, SIPMIU 30 November 2013

5 Clear all remaining advance and claims and submit SoE for the remaining claims to MOUD

SIPMIU 20 November 2013

7 Submit timelines for the pending decisions to be made from GoS to implement the remaining reforms, especially on municipalization, water supply and SWM reforms including metering, and property tax.

SIPMIU, GoS 30 November 2013

8 Submit 5 monthly (Nov 2013 - March 2014) action plan with milestones for implementing the remaining institutional and financial reforms

IDC and SIPMIU in consultation with GoS

30 November 2013

9 Constitute a reforms committee with all stakeholder departments

GoS 1 December 2013

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b. Actions Resp Due Date 10 Submit PR Plan from IDC (with budget implications and

timelines) for the project PR, community consultation, universal metering and achievement of 24*7 water supply from the IDC.

IDC 15 December 2013

11 Submit 2-yearly budget estimate to ADB for implementation of GAP, RP, PR, Consultation, EMP, etc, for creation of separate sub-budget and PCSS number


12 Submit ToR and draft EoI for NGO engagement SIPMIU with support from DSMC and IDC

1 December 2013

13 Provide all outstanding construction drawings, documents and designs to the three contractors under Tranche 2

DSMC 15 October 2013

14 PPMS – baseline data gaps and timelines in completing them - for both tranches and summary of tranche 1 outputs to be submitted

DSMC 1 December 2013

15 Submit of concept note of piloting 24*7 in the two water supply zones implemented under Tranche 1, identifying the gaps and measures required, along with preliminary cost estimates.

DSMC with PSU support

22 November 2013

16 Prepare and submit to ADB contract variation request for tranche 1 water supply contract for metering and additional works in achieving 24*7 piloting in the two zones

SIPMIU with help from DSMC and PSU

30 November 2013

17 Submission of preliminary design on achieving 24*7 water supply in all areas of Gangtok city

SIPMIU with help from DSMC

15 December 2013

18 Submit tender documents on meter purchase for Gangtok city for universal metering


7 December 2013

19 Submit contract variation requests to include house connections and meter installation in the two water supply contracts under Tranche 2


15 December 2013

18 DPR for Tranche 3 to focus on achieving 24*7 water supply in Gangtok. DPRs all everything proposed under Tranche 3 to be submitted to MOUD

SIPMIU (DSMC to prepare with help from PSU and submit to SIPMIU by 7 January 2014)

15 January 2014

19 Submit Gender Action Plan updates in the format provided SIPMIU with DSMC support

1 December 2013

20 Secure and provide signage on sites of tanks and reservoirs SIPMIU with help from DSMC and in coordination with 3 contractors

15 December 2013

21 Secure and provide signages\ at landfill site. Submit photo documentation of site preparation and consultations with affected rag-pickers

SIPMIU, to be assisted by DMSC, in coordination with GMC and

15 December 2013

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b. Actions Resp Due Date landfill contractor

22 Disclose relevant safeguards information in accessible places and in form and language(s) understandable to local people and other stakeholders.

SIPMIU with DSMC support

15 January 2013

B. Agreed Action Plan for Meghalaya

Actions Resp Due Date 1 Provide commitment letter to MOUD and ADB on SWM plans in

order to optimize Marten landfill site for at least 10 years, optimization of composting plant and other SWM measures

GoM 18 Nov 2013

2 Send request for contract variation for Phase I works at Marten landfill site to ADB


3 Immediately field a DSMC senior SWM specialist for conducting comprehensive review of SWM strategy forward, including DPR finalization for Phase 2 Marten landfill site, composting plant optimization and operations, comprehensive review of

DSMC 30 November 2013

4 FBER for the 2 bins packages to be sent to ADB SIPMIU 26 November 2013

5 Process the claim from Marten contractor under tranche 1 and submit the SoE for the same to MOUD


6 Provide 2-yearly budget estimate for implementation of GAP, RP, EMP, PR, Community Consultation, etc, to ADB for creation of separate sub-category and PCSS number


7 Submit timelines for the pending decisions to be made from GoM to implement the remaining reforms, especially on municipalization, water supply and SWM reforms including introduction of user charges and property tax.

SIPMIU, GoM 30 November 2013


IDC and SIPMIU in consultation with GoM

30 November 2013

9 Review the accounting software developed in other NERCCDIP cities, provide update on its appropriateness to MOUD and ADB, customize and implement in Shillong.

SIPMIU, IDC Finance Expert

30 December 2013

10 Submit updated IEEs, social impact assessment and screening checklist for Shillong proposed additional works for solid waste management subproject and RPs, as applicable and advised, for Shillong Tranches 1 and 2 solid waste management subprojects to ADB for review and disclosure as per ADB safeguards policy


Along with contract

variation for Tr 1, along

with DPR for Tr. 2.

11 Disclose relevant safeguards information in accessible places and in form and language(s) understandable to local people and other stakeholders.


15 January 2013

12 Submit revised DPR with revised cost estimates to MOUD for SWM improvement package to be funded under Tranche II, including Marten Phase II, other improvements in SWM management, improvements/needs in the composting plant

SIPMIU with support from DSMC

30 December 2013

13 Submit tender documents for above SIPMIU, with support from DSMC and PSU

15 January 2014

14 Submit DPRs for contract packages to be included in Tranche III SIPMIU 15 January

13

Actions Resp Due Date to MOUD for review and approval 2014

15 Submit tender documents for above SIPMIU with help from DSMC and PSU

30 January 2013

16 Submit Gender Action Plan updates (for Tranche 1 and 2) for the last six months, as part of the social safeguards report and using the format provided by the Mission.


2 December 2013

17 Secure and provide signages at landfill site. Submit photo documentation of site preparation and consultations with affected rag-pickers

SIPMIU, assisted by DMSC and in coordination with stakeholders and landfill contractor

15 December 2013

C. Agreed Action Plan for Mizoram

Actions Resp Due Date 1 Provide senior executive level engineers for all three sectors,

and provide safeguards as well as remaining field level engineers

GoM 15 December

2013 2 Assess, prepare cost estimates and contract variations for

ensuring metering and household connections under existing water supply and sewerage packages and submit to MOUD and ADB for review and approval. Changes in the IEE and other associated safeguards documents also need to be submitted for the same.

SIPMIU with support from DSMC and PSU

15 December

2013

3 Prepare ToR and tender documents for the new supervision consultants, post completion of all design under Tranche 3

SIPMIU with support from PSU

15 December

2013 4 Submit all safeguards compliance documents, after completing

surveys, to ADB for review and approval. No works to start prior to the approval of the same for the particular contract.

SIPMIU with support from DSMC

15 December

2013 5 Provide 2-yearly budget estimate for implementation of GAP,

RP, EMP, PR, Community Consultation, etc, to ADB for creation of separate sub-category and PCSS number

SIPMIU 30 November

2013 6 Submit timelines for the pending decisions to be made from

GoM to implement the remaining reforms, especially on municipalization, service delivery reforms, introduction of user charges and property tax.

SIPMIU, GoM 30 November

2013


IDC and SIPMIU in consultation with GoM

30 November

2013

8 Conduct ring-fencing of PHED operations and other data collection and reforms in PHED

SIPMIU with support from IDC

Starting 30 November

2013 9 Disclose relevant safeguards information in accessible places

and in form and language(s) understandable to local people and other stakeholders.


15 January 2013

10 Submit DPRs for contract packages to be included in Tranche III to MOUD for review and approval

SIPMIU 15 January 2014

11 Submit tender documents for above SIPMIU with help from DSMC and PSU

30 January 2013

14

Actions Resp Due Date 12 Submit Gender Action Plan updates (for Tranche 1 and 2) for the

last six months, as part of the social safeguards report and using the format provided by the Mission.


2 December

2013

13 Secure and provide signage at all project sites and conduct consultations.

SIPMIU, assisted by DMSC and in coordination with stakeholders and contractors

15 December

2013

V. SUMMARY, PROGRESS COMMITMENTS AND ACTION PLAN

1. Disbursement Commitments from the States

25. The States have provided the following disbursement targets for Dec. 2013 – June 2014. State government, MOUD and PSU will assist the SIPMIUs to closely monitor progress, conduct planning exercise with contractors and improve implementation speed over the next seven months.

Table 3: Disbursement Targets Committed from the States for December 2013 – June 2014 (Rs. Crores)

Agartala Aizawl Gangtok Kohima Shillong Tranche 1 2.58 1 2.79 7.33 2.50

Tranche 2 18.53 16.3 8.94 6.65 2.72

2. Status of Action Plan and Outstanding Actions from the Previous Review

Mission

Agreed Action Resp. Due Date Status 1 Release all outstanding claims

and release 10% advance on tranche 2 committed amount to all states

MOUD 5 Oct 2013

Released reimbursement of SOEs to the states until August 2013. 10% advance under Tranche 2 yet to be released.

2 Release all outstanding claims States 5 Oct 2013

All states released funds to SIPMIUs up to Sept. 2013. GoN to immediately release pending Rs. 4 Crores to SIPMIU for claims in Kohima.

3 Appoint all outstanding staff in SIPMIUs as identified in the AM

States 5 Nov 2013

Aizawl and Gangtok SIPMIUs need immediate additional staffing.

4 Appoint full-time dedicated finance officer in IPPC as per loan agreement

MOUD 15 Nov 2013

Request for engagement of individual consultants under ADB TA sent. ADB currently processing the request.

5 Submit all outstanding WAs, under both loans for all claimed amount to date, to CAAA

MOUD 5 Oct 2013

MOUD is currently preparing all remaining WAs, for claims received to date. MOUD will submit these claims to CAAA by 19 November 2013.

15

Agreed Action Resp. Due Date Status 6 Letter from DEA to be the sent

to MOUD and states on breach of loan agreement on fund flow

DEA 15 Oct 2013

Not yet sent.

7 State-level fund flow process shortened, guarantee of funds release to SIPMIUs within agreed time provided.

Each State Government

15 Nov 2013

All states have committed to releasing funds to project account within 30 days of receipt of fund. States must release funds within 2 weeks to adhere to 30 day covenant at all times.

8 Handover 8 water supply sites in Kohima to the contractor

PHED 30 Oct 2013

7 sites handed over and last site to be handed over by 30 November 2013.

9 Carry out actions on project implementation, staff recruitment, consultant management, reforms implementation and safeguards compliance improvements

SIPMIUMOUD and PSU

15 Nov 2013

Being implemented. High level contractor meeting to be conducted, for detailed planning of works and disbursements every three months, facilitated by the PSU and updates to be sent by PSU to ADB and others

VI. ACKNOWLEDGEMENTS

26. The Mission wishes to thank DEA, MOUD and state government officials and SIPMIUs of the three project states visited - Sikkim, Meghalaya and Mizoram - for their hospitality, assistance, time and insights provided. Findings and recommendations contained in this draft Aide Memoire were discussed at the wrap-up meeting at DEA, chaired by the Director (ADB-I) of DEA, and are subject to confirmation from higher authorities of both Government and ADB.

Neeta Pokhrel Urban Development Specialist

Asian Development Bank

16 Appendix 1

APPENDIX 1: LIST OF KEY PERSONS MET

Government of India 1. Ashok Singhvi Joint Secretary (UD), MOUD 2. Puneet Agarwal Director (ADB-I), DEA-MOF 3. Pramod Kumar Director UD, MOUD

Government of Sikkim

4. Smt. Rinchen Ongmu Chief Secretary 5. Mr. M.G. Kiran Principal Secretary, Finance 6. Mr. Tobjor Dorji Commissioner-cum-Secretary, UD 7. J.D. Bhutia Project Director, Gangtok SIPMIU

Government of Meghalaya

8. Mr. P. Naik Principal Secretary, UD 9. Mr. B. Dutta Project Director, Shillong SIPMIU

Government of Mizoram

10. Mrs. L.T. Tochhiong Chief Secretary 11. Mr. F. Vanlalruata, Secretary, Finance 12. Mr. R.L. Rinawma, IRS Principal Secretary, UD 13. Mr. Valbuanga Project Director, Aizawl SIPMIU

Government of Nagaland

14. Mr. Khupi Natso Project Director, Kohima SIPMIU

The Mission also contractors’ representatives, DSMCs and IDCs working under NERCCDIP in Gangtok, Aizawl and Shillong.

Appendix 2 17

APPENDIX 2: PROCUREMENT PLAN – TRANCHE 1

Project Name North Eastern Region Capital Cities Loan Number 2528 Development Investment Program Loan/Grant Amount US$ 200 million National Executing Agency: Ministry of Urban

Development State Executing Agency: State-level Urban Development Departments

Date of first Procurement Plan: May 2009 Date of this Procurement Plan 19 November 2013

Section 1: Process Thresholds, Review and 18 Month Procurement Plan

A. Project Procurement Thresholds Except as ADB may otherwise agree, the following process thresholds shall apply to procurement of goods and works.

Procurement of Goods and Works

Method Threshold

International Competitive Bidding for Works Equal or above US$5,000,000 International Competitive Bidding for Goods Equal or above US$1,000,000 National Competitive Bidding for Works Below US$ 5,000,000 National Competitive Bidding for Goods Below US$ 1,000,000 Shopping for Works Below US$ 100,000 Shopping for Goods Below US$ 100,000 List here any other methods of procurement Not applicable approved for use (see Section III of the

Procurement Guidelines)

B. ADB Prior or Post Review

Except as ADB may otherwise agree, the following prior or post review requirements apply to the various procurement and consultant recruitment methods used for the project. Procurement of Goods and Works Procurement Method Prior or Post Comments

ICB Works Prior ICB Goods Prior

NCB Works Prior

NCB Goods Prior

Shopping for Works Post

Shopping for Goods Post

List other methods of procurement Not applicable

Recruitment of Consulting Firms

Procurement Method Prior or Post Comments

Quality and Cost Based Selection (QCBS) Prior Value ≥ $100,000 Least Cost Selection (LCS) Prior Value < $100,000; NGOs may be

recruited to conduct surveys,

community awareness and

participation using this method.

Single Source Selection (SSS) Prior Not under PFR1

Recruitment of Individual Consultants

Individual Consultants Prior

18 Appendix 2

C. Consulting Services Contracts Estimated to Cost More Than US$ 100,000

The following table lists the consulting service contracts for which procurement activity

is either ongoing or expected to begin within the next 18 months. Contract Recruitment Advertisement International

General Value Method Date or National

Agartala

Package A1- $2.23 QCBS (80:20) Recruitment National Recruited by Tripura’s Agartala million completed UDD/SIPMIU DSMC

Package A2- $1.17 QCBS (80:20) Recruitment National Recruited by Tripura’s Agartala IDCs million completed UDD/SIPMIU

Aizawl

Package B1- $2.37 QCBS (80:20) Recruitment National Recruited by Mizoram’s Aizawl DSMC million completed UD&PA/SIPMIU

Gangtok

Package C1- $2.21 QCBS (80:20) Recruitment National Recruited by Sikkim’s

UDHD/SIPMIU Gangktok million completed

DSMC

Kohima

Package D1- $2.21 QCBS (80:20) Recruitment National Recruited by Nagaland’s Kohima DSMC million completed UDD/SIPMIU

Shillong

Package E1- $2.20 QCBS (80:20) Recruitment National Recruited by Shillong DSMC million completed Meghalaya’s

UAD/SIPMIU Package E2- $1.17 QCBS (80:20) Recruitment National Recruited by Shillong IDC million completed Meghalaya’s UAD/

SIPMIU MOUD

Package F- $0.47 QCBS (80:20) Recruitment National Recruited by MOUD/ IPCC PMCC million for PFR1 completed IPCC

Various survey packages

NGOs, surveys, $10,000– LCS N/A National Recruited by SIPMIUs independent $100,000

assessment, (estimated)

awareness

campaigns, etc.

Individual $0.45 Individual Feb 2013 National Chartered Accountant (9 Consultants – 3 million person-months); GIS Experts expert (12 person- (Shillong) months); Utility Expert

(18 person-months) CQS = Consultants Qualification Selection, DSMC = design and construction supervision and management consultant, ICB = international competitive bidding, IPCC = investment program coordination cell, LCS = least-cost selection, MOUD = Ministry of Urban Development, NCB = national competitive bidding, NGO = nongovernment organization, PMCC = program management and coordination consultant, QCBS = quality- and cost-based selection, S = shopping, SIPMIU = state investment program management and implementation unit, UAD = Urban Affairs Department, UDD = Urban Development Department, UDHD = Urban Development and Housing Department, UD&PA = Urban Development and Poverty Alleviation Department.

D. Goods and Works Contracts Proposed under PFR1

The following table lists goods and works contracts for which procurement activity is either ongoing or expected to commence within the next 18 months.

Appendix 2 19

LIST OF CONTRACT PACKAGES

S.No

Contract Packages Number of

Package

Total Cost in $

Million

Procure-ment

Method

Date of Advertise-

ment

Prior review

Required

Status/ Remarks

1 AGARTALA

Water Supply

a. Civil, Mechanical, Electrical Works

1.1 TW&IRP/WS/AGT/T1/NCB Replacement of 22 tube wells including construction of pump house, with supply & installation of electrical & mechanical equipment

1 0.53 NCB Dec-11 Y All 3 lots awarded. 1 lot completed. 2 lots in progress. 5 mos. Remaining to complete.

(3 lots)

1.2 Construction of Pump Houses (PHs) for 16 Tube Wells with Supply & Installation of Electrical Arrgmts. at Agartala City

1 0.31 NCB Aug-12 Y Awarded. 4 PHs completed. 16 PHs in progress. 5 mos. to complete.

b. Materials and Equipments

1.3 AGT/WS01/M/NCB/11/2 Procurement of MS ERW pipe for making strainer for the construction of tube well in Agartala

1 0.31 NCB Jan-11 Y Awarded. Supply of pipes completed

2 GANGTOK

Water Supply


2.1 WA1/GTK/T1/NCB Supplying and laying distribution system in Burtuk and Chandmari, construction of pump house, installing pump sets and allied works

1 2.97 NCB Mar-11 Y Awarded. Work completed. Commissioning in progress.

3 KOHIMA

Water Supply


3.1 Refurbishment of Kohima Water Supply Scheme

1 1.56 NCB Mar-11 Y Awarded. 9 Tanks almost comple. 5 tanks under progress. Work of

4 Tanks yet to start. Civil work of WTP

completed. 11 mos. to complete.

Solid Waste

3.2 Civil Works & Procurement of Equipment for Development of Sanitary Landfill, Compost Plant & Internal

1 7.98 NCB Aug-10 Y Awarded. 80% of sanitary landfill

completed. Office bldg. completed. 8 mos. to

complete

4 SHILLONG

SWM

4.1 Equipment, civil works, T&C, etc. for landfill site at Marten Mawlong, Shillong

1 0.56 NCB Mar-11 Y Awarded. Excavation work ongoing. 8 mos. to

complete

5 AIZAWL

Water Supply


5.1 Construction of 7 (replacement) ground- level RCC zonal tanks

1 0.09 NCB 2010 Y Awarded. Work completed

b. Materials and Equipments

20 Appendix 2

S.No

Contract Packages Number of

Package

Total Cost in $

Million

Procure-ment

Method

Date of Advertise-

ment

Prior review

Required

Status/ Remarks

5.2 Supply and installation of chlorinators 1 0.95 NCB 2010 Y Awarded. Completed

5.3 Supply, installation, and testing of 15,000 household meters

1 0.66 NCB 2010 Y Awarded. Completed

Appendix 2 21

PROCUREMENT PLAN FOR PROJECT 2

Basic Data Project Name: North Eastern Region Capital Cities Development Investment Program – Project 2 Country: India Executing Agency: The Ministry of Urban Development

The Urban Development Department of Tripura, The Urban Development Department Nagaland, The Urban Development and Poverty Alleviation Department for Mizoram, The Urban Affairs Department for Meghalaya, and The Urban Development and Housing Department for Sikkim

Loan Amount: US$72 million Loan (Grant) Number: 2834

Date of First Procurement Plan: 1 August 2011 Date of this Procurement Plan: 19 November 2013

B. Process Thresholds, Review, Procurement Plan

Project Procurement Thresholds

1. Except as the Asian Development Bank (ADB) may otherwise agree, the following process thresholds shall apply to procurement of goods and works. Procurement of Goods and Works

Method Threshold

International Competitive Bidding (ICB) for Works $5,000,000 and above

International Competitive Bidding for Goods $1,000,000 and above

National Competitive Bidding (NCB) for Works Below $5,000,000

National Competitive Bidding for Goods Below $1,000,000

Limited International Bidding (LIB) Below $1,000,000

Shopping for Works Below $100,000

Shopping for Goods Below $100,000

2. ADB Prior or Post Review

2. Except as ADB may otherwise agree, the following prior or post review requirements apply to the various procurement and consultant recruitment methods used for the project.

22 Appendix 2

Procurement Method Prior or Comments

Post

Procurement of Goods and Works ICB Works Prior

ICB Goods Prior

NCB Works Prior

NCB Goods Prior

Shopping for Works Post

Shopping for Goods Post Bidding documents approved in Tranche-1 will be used without ADB’s review when no significant change is made.

Recruitment of Consulting Firms

Quality- and Cost-Based Selection (QCBS) Prior

Quality-Based Selection (QBS) Prior

Other selection methods: Consultants Qualifications (CQS), Least- Prior Cost Selection (LCS), Fixed Budget (FBS), and Single Source (SSS)

Recruitment of Individual Consultants

Individual Consultants Prior ICB = international competitive bidding, NCB = national competitive bidding

3. Goods and Works Contracts

3. The following table lists goods and works contracts for which procurement activity is expected to commence within the next 18 months and all procurement is expected to be commenced during this period.

Appendix 2 23

Goods/ Works

Contract Procure Advertise-

Status/ Remarks Package No. General Description Value ment ment

($ million) Method Date

Agartala

W 4.48 ICB

Lot-1 and Lot-2 works

awarded on December-12.

Foundation work is ongoing.

10 mos. to complete.

AGT/WS09/ICB/11/7 Design, Supply and Construction of 14 Nos. of Over Head Service Reservoir (OHSR), other allied works in diff. locations of Central Zone and South Zone of Agartala City

Feb-12

AGT/WS/02,07,08,ICB/11/8

Procurement of Ground Water Treatment Plants, Design, Construction, Supply, Installation & Commissioning including Mechanical & Electrical equipment with Operation for one year in Agartala

W 5.33 ICB Feb-12 Work awarded in January 2013, work is under progress boundary wall of two sites completed. 20 mos. to complete.

AGT/WS10-1/ICB/11/4 Procurement of Ductile Iron Pipes for Laying

of Raising Mains in Agartala City, Tripura G 3.46 ICB Dec-11

Awarded. Supply completed

WS-06 Laying of 59 km of primary pipelines W 0.32 NCB Jun-12

Tender submission date is 28 November 2013, and contract is likely to be awarded by Feb-2014

AGT/WS10-3/ICB/11/9

Supply & Laying of Water Supply Distribution Pipelines and Allied Works in Agartala City (South)-Lots 1 & 2

W 8.40 ICB Feb-12 Work awarded in March-2013. Procurement of 5 Km of DI pipe line and 10Km HDPE completed. Laying started. 37 mos. to

complete

AGT/WS03/NCB/11/6 Providing, Installation, Testing and Commissioning of Bulk Flow Water Meter in Agartala Water Supply Project

G 0.29 NCB Dec-11 Awarded in August 2012. All material reached Agartala location identified and installation of meters will start. 3 mos. to complete.

Aizawl

GLR/WS/AIZ/T2/NCB-3

Construction of 3 Nos. of Ground Level Water Reservoirs

W 0.54 NCB Sep-11 Awarded. Work completed testing work is going on. 3 mos. to complete.

EM&S/WS/AIZ/T2/NCB-1

Supply, Installation Testing and Commissioning of 2 Sets of Booster Pumps at Aizawl

G 0.15 NCB Sep-11 Installation completed and ready for testing. 1 mo. to

complete.

24 Appendix 2

Goods/ Works



($ million) Method Date P&SN/WS/AIZ/T2/ICB-2

Rehabilitation & Extension of Water Distribution Networks and Feeder Mains

W 6.89 ICB Jun-12 Work has been awarded. Site mobilization work is in progress. 40 mos. to complete.

WM1/WS/AIZ/T2/ICB Purchase, installation of bulk and domestic water meters and UFW reduction program

G 1.48 ICB Dec-11 Awarded. Procurement of Meters completed installation work is ongoing. 5 mos. to

complete.

PS-1/ WS/ AIZ/T2/ICB Purchase of dedicated power supply system G 3.93

ICB Jul-12

Both packages Merge in to one. Work awarded. Site mobilization is in progress. 5 mos. to complete.

PS-2/ WS/ AIZ/T2/FA Installation of dedicated power supply system W 0.96

P&SN/SEW/AIZ/T2/NCB-5

Procurement of Primary and Secondary Sewerage Networks

W 4.68 NCB Feb-12 Work awarded. Site mobilization is in progress. 42 mos. to complete.

SCM/SEW/AIZ/T2/NCB-2

Supply, Installation and Commissioning of Cess Pool Cleaner

G 0.22 NCB Sep-11 Work awarded. Supply completed rectification work is under progress. 3 mos. to complete.

CT/SEW/AIZ/T2/NCB-4

Construction of 10 Nos. of Community Toilet at Aizawl, Mizoram

W 0.22 NCB Mar-12 Work awarded. Site mobilization is in progress. 10 mos. to complete.

STP/SEW/AIZ/T2/NCB-7 Construction of Sewerage Treatment Plant W 2.44 NCB Apr-12

Work awarded. Site mobilization is in progress.

28 mos. to complete. AR/ SEW/ AIZ/T2/NCB-6 Construction of Approach Road to Sewerage W 0.29 NCB Apr-12

Work awarded. Survey work completed. Work in progress. 4 mos. to

complete. Treatment Plant

Gangtok

GTK-WA-1 Improvement of existing water supply system by replacement & augmentation of the distribution network in Housing & Press Tank Zones; and 2 storage reservoirs

W 3.49 NCB Apr-12 Awarded as Lot 2 and site mobilization is under progress. 22 mos. to

complete

Appendix 2 25

Goods/ Works



($ million) Method Date GTK-WA-2 Improvement of existing water supply system W 3.96 NCB Apr-12 Awarded as Lot 1 and site

mobilization is under progress. 24 mos. to

complete

by replacement & augmentation of distribution

network for the remaining areas; including 5

storage reservoirs

GTK-WA-3 Providing 12000 consumer meters. G 0.95 NCB Dec-12 To be tendered by 30

December 2013

GTK-SWM-1 Providing primary Collection Vehicle, G 0.33 NCB Apr-12 Bidding ongoing Household Bins, Push Carts and Litter Bins

GTK-SWM-2 Construction of Solid Waste Landfill, Leachate Treatment Plant, and Associated Infrastructure Works for Gangtok, Sikkim

W 1.64 NCB Apr-12 Work awarded in September 2013. Mobilization in progress. 12 mos. to complete

GTK-SWM-3A Procurement of chain wheeled hydraulic Excavator

G 0.04 Shopping Jun-12 Awarded. Supply completed

GTK-SWM-3B Procurement of Secondary Collection G 0.32 NCB Jun-12 Under rebidding Vehicles, 1100 Liters Capacity Bins, Landfill

Vehicles & Equipment, Personal Protection

Equipment for Solid Waste Management

GTK-SWM-3A Procurement of Personal Protective Equipment

G 0.01 Shopping Dec-13 RFQ by December 2013

GTK-SWM-3A Procurement of Roller G 0.08 Shopping Dec-13 RFQ by December 2013

Kohima

KHM-WA2 Supplying and Laying of Distribution Network of 318 km Length in Kohima Municipal Area

W 10.84 ICB May-12 Work awarded. Site mobilization work is under progress. 14 mos. to

complete

KHM-WA-5 21 Bulk Water Meters and 20,000 Domestic Meters

G 0.95 NCB Dec-12 To be tendered by 30 December 2013

Shillong

NERCCDIP/TR- 02/SHG/SWM/01

Construction of Garage cum Workshop Shed and Staff Rest Room at Old Landfill site at Marten, Mawiong, Shillong

W 0.28 NCB Dec-11 80% completed. 6 mos. to

complete

26 Appendix 2

Goods/ Works



($ million) Method Date NERCCDIP/TR- 02/SHG/SWM/02

Procurement of Primary and Secondary Collection Vehicles and Workshop Machineries, Shillong

G 0.42 NCB Dec-11 Work awarded. In progress. 12 mos. to

complete

NERCCDIP/TR- Procurement of Different types of Bins and G 0.25 NCB Apr-12 FBER to be submitted by 26 November 2013

02/SHG/SWM/03-R1 Personnel Protective Equipment-Shillong

NERCCDIP/TR-02/SHG/SWM/*****

Construction of additional area of 8,500 sqm at old landfill site at Marten, and operationalization of other SWM improvement facilities and equipment

W 1.8 NCB Dec-11 Bidding documents being drafted. To be tendered by 15 December 2013

G = goods, O&M = operation & maintenance, ICB = Int’l competitive bidding, NCB = national competitive bidding, W = works, WTP = water treatment plant

4. Consulting Services Contracts

4. The following table lists consulting services contracts for which procurement activity is either ongoing or expected to commence within the next 18 months.

No. General Description

Contract Value

in million Recruitment

Method1

Advertisement Date

International or National Assignment Comments

1 Gangtok,

1.20 QCBS EOI requested

National Contract signed in Feb 2012.

Institutional Development 1 Jun 2010 Mobilization in March 2012.

Project Management and Extension or

SSS Jan 2012

Subject to MOUD’s performance

2 Monitoring Consultant for 0.60 National

assessment of the consultant recruited

MOUD under Tranche-1 and ADB’s approval.

3 Gangtok, 0.2 LCS/CQS EOI target by

December 2013 National For recruitment and mobilization by February 2013

Community Awareness and Participation NGO

4 Shillong

3 Individual Consultant National

DSC = design and supervision consultant, EOI = expression of interest, IPMC = investment program management consultant, QCBS = quality- and cost-based selection, LCS = Least Cost Selection. 1 QCBS was proposed with the quality: cost ratio of 80:20.

Appendix 3 27

APPENDIX 3: IMPLEMENTATION STATUS AND OUTPUT SUMMARY

Table 1: Implementation/ Physical and Financial Progress Status of Awarded Contracts –Tranche-1

Package No.

Brief Scope Amt.

(in Rs million)

Contract

Commence-ment Date

Schedule/ Extended

Completion Status

Physical Progress

(%)

Financial progress

Cumulative (Rs)

In % of Agreed

Contract Amount

T1-AGARTALA

AGT/WS-01/M/NCB/11/2

Procurement of ERW Pipes for Drilling of Tube wells

14.43 01-Nov-11 01-May-12 Work completed 100 1,44,30,680 100

WS-01R/1 Replacement of Tube-wells (06 nos), Lot-1

11.39 16-Nov-11 16-Nov-12 completed 100 84,000,00 100

WS-01(R3) Replacement of 16 Tube-wells (08 nos), Lot-2

8.3 29-Dec-12 03 Feb-14 6Nos completed 75 39,00,000 47

Replacement of 16 Tube-wells (08 nos), Lot-3

7.84 2-Jan-13 06-March-2014

4Nos completed 50 14,00000 18

WS-01(R3)CIV Construction of pump house for 16 Tube wells

16.4 14-06-2012 31-03-2014 Up to roof slab of 4 nos. completed

25 14,00000 8

T1-AIZAWLl

CHL/WS/AIZ/T1/NCB-1

Supply, Installation and Commissioning of 2 nos. of

Chlorinators

.534 25th Nov 2010 Completed completed 100 - 100

OHT/WS/AIZ/T1/NCB-3

Construction of 7 Ground Level RCC Zonal Tank and

Buildings

42.6 25th Nov 2010 Completed completed 100 - 100

WM1/WS/AIZ/T1/NCB-2

Supply, Installation, Testing and Commissioning of 15000

nos. of Water Meters

27,4 - Completed completed 100 - 100

T1-SHILLONG

28 Appendix 3

Package No.

Brief Scope Amt.

(in Rs million)

Contract

Commence-ment Date

Schedule/ Extended

Completion Status

Physical Progress

(%)

Financial progress

Cumulative (Rs)

In % of Agreed

Contract Amount

Tranche 1 - LF&R/SWM/SHI/T1/NCB-1

Development of Short term Sanitary Landfill Site- Civil Works & Procurement of

Bulldozer

28.23 March 2012 September 2013

(sep-2014)

Excavation work is under progress

38 94,96,337 33.63

T1-KOHIMA

KHM-WA1 Tranche-1

Construction of 18 RCC

ground level water tanks & Refurbishment of 7.5 mld capacity Water Treatment

Plant

76.39 14-Oct-2011 14-Apr-2013 (sep-2014)

9Tanks almost completed.5 tanks

are under progress. Work of

4 Tanks yet to start. Civil work of WTP completed.

58.59 3,64,000,00 49

KHM-SWM1 Tranche-1

Civil works and procurement

of equipment for development of sanitary land fill, compost

plant & internal access

391.10 14-Oct-2011 14-Oct-2013 (6-June-

2014)

Sanitary land fill 80%

completed.Infrastucture works

completed. Office work completed.

36.62 14,53.000,00

36.62

T1-GANGTOK

/WA1/GTK/T1/NCB

Supplying and Laying distribution system in Burtuk &

Chandmari, construction of pump house, installing pump

sets and allied works in Gangtok, Sikkim.-GTK-

WA1(NCB)

149.47 27th Sept 2011 December

2013 Physically work completed. only

commissioning is awaited

98 12,16,00,000 90

Appendix 3 29

Table 2: Implementation/ Physical and Financial Progress Status of Awarded Contracts –Tranche-2

Package No.

Brief Scope Amt.

(in Rs million)

Contract

Commence-ment Date

Schedule Completion /Extended

Completion

Status Physical Progress

(%)

Financial progress

Cumulative (Rs)

In % of %

Agreed Contract Amount

T2-AGARTALA

AGT/(WS-03)/NCB/11/6

Procurement and Installation of Bulk Flow Meter

8.8 06-Aug-12 05-Feb-14 All material reached Agartala location identified and installation of meters will start

shortly

45

17,00000 19

(WS-02,07 &08)/ICB/11/8

Construction of Ground Water Treatment Units

398.86 07-Jan-13 07-July-14(Expected

date completion-07-07-2016)

Process design of 2 Nos completed

and 2Nos structural design, boundary wall of

two sites completed.

Construction of aerators,

clarifuculator and receiving tank

started

6 3,66,00,000 9

AGT/(WS-09)/ICB/11/7

Construction of Service Reservoirs, 14 Nos ( Lot - 1)

155.2 04-Jan-13 05-Sep-2014 (05-Sep-

2014)

5 nos design completed and

approved. Foundation work started at one site

5 1,53,00,000 10

Construction of Service Reservoirs, 14 Nos ( Lot - 2)

134.5 31-Dect-12 30-June-2014

(05-sep-2016)

2 nos design completed and approved. Pile

Foundation work started at one site

6 1,35,00,000 10

30 Appendix 3

Package No.

Brief Scope Amt.

(in Rs million)

Contract

Commence-ment Date


Completion


(%)

Financial progress

Cumulative (Rs)

In % of %


AGT/WS-10/1/ICB/11/4

Procurement of DI Pipes for Laying of Rising Mains in

Agartala City

110.3 25-Jun-12 25-Jun-13 Supply completed 100 7,70,58,946 70

AGT/WS10-3/ICB/11/9

Laying of Distribution Network for South Zone of Agartala

378.08 Lot – 1 4-Mar-13&

Lot-2 6Mar-13

March-2014 (Dec-2016)

Procurement of 5 Km of DI pipe line and 10Km HDPE completed. Lying

started

10. 38,00000 1

T2-AIZAWL

EM&S/WS/AIZ/T2/NCB-1

Supply, Installation & Commissioning of Booster

Pumps

5.1 16th May 2012 August 2013 Installations

complete and ready for testing.

75.5 5064416

100

GLR/WS/AIZ/T2/NCB-3

Construction of Water Reservoirs

27.2 17th May 2012 December

2013 Except for external

plastering and other finishing

works, the main reservoirs work completed and

testing of Hydraulic is in progress and observations.

95.02 21323038

84.78

WM1/WS/AIZ/T2/ICB-1

Purchase & Installation of Bulk & Domestic Water Meters

63.88 21st September

2012 March 2014 20000 domestic

meters and 85 nos. bulk meters

100 48383568

77.77

Appendix 3 31

Package No.

Brief Scope Amt.

(in Rs million)

Contract

Commence-ment Date


Completion


(%)

Financial progress

Cumulative (Rs)

In % of %


supplied. Checking of

domestic meters by Legal

Metrology is being carried

out. SCM/SEW/AIZ/T

2/NCB-2 Supply, Installation &

Commissioning of Cess Pool Cleaner

8.8 18th May 2012 September

2013 Supplied.

Rectification work under progress

100 8756285

100

AR&LD/SEW/AIZ/T2/NCB-6

Site/Land Development & Approach Road to STP

13.8 23th October 2013

February 2014

Jungle clearing, site preparation, ground detailed

survey for approach road

completed.

15 1787596

15.74

CT/SEW/AIZ/T2/NCB-4

Community Toilet Blocks 17.2 29th June 2013 August 2014 Except for

obtaining clearance for permission to construct from

AMC, Contractor almost ready to

start work.

11 179800

11

32 Appendix 3

Package No.

Brief Scope Amt.

(in Rs million)

Contract

Commence-ment Date


Completion


(%)

Financial progress

Cumulative (Rs)

In % of %


STP/SEW/AIZ/T2/NCB-7

10 MLD Construction of Sewerage Treatment Plant

219.1 (Capital Cost)

+ 30.2

(O&M Cost)

1st August 2013

March-2016 Site mobilization 0 15454628

10

P&SN/WS/AIZ/T2/ICB-2

Feeder Mains Water Distribution

382.89 29th August 2013

February 2017

Detailed working survey and review

of design is in progress.

10 19144850

10

P&SN/SEW/AIZ/T2/NCB-5

Construction of Primary & Secondary Sewerage

Networks

309.03 4th Oct,2013 4

th April2016 Site mobilization 10 15454628

10

PS/WS/AIZ/T2/ICB-3

Purchase installation of power supply

1620.63 23.09.2013 23.09.2015 - 10 20160030

10

T2-SHILLONG

Tranche 2 - NERCCDIP/TR-02/SHG/SWM/01

Construction of Garage cum workshop and staff rest room

at Marten, Mawiong.

13.46 December 2012

June 2014 Site clearance is under progress

0% 0 0

Tranche 2 -NERCCDIP/TR-02/SHG/SWM-/02

Procurement of primary and secondary collection vehicles,

workshop machineries

13.67 July 2012 June 2013 (March-2014)

Supply work is under progress

80% 103360000.00 80

T2-KOHIMA

Appendix 3 33

Package No.

Brief Scope Amt.

(in Rs million)

Contract

Commence-ment Date


Completion


(%)

Financial progress

Cumulative (Rs)

In % of %


KHM- WA-2 Supplying and laying of distribution network of 318 km

length in KMC area.

353.8 17.02.2013 18.02.2015 Site clearance under progress

0 2,96,000,00.00

9.16

T2-GANGTOK

GTK-SWM-3A

Procurement of chain wheeled hydraulic excavator

0.04 Oct-12 Completed completed 100 .04 100

GTK-SWM-2 Construction of Solid Waste Landfill, Leach ate Treatment

Plant, and Associated Infrastructure Works for

Gangtok, Sikkim

120.34 SEP-13 Yet to start - - -

GTK-WA-1

De-bunching of Secondary Distribution System and

Extending Water Supply to Peripheral Areas with Allied

Works in Gangtok, Sikkim (Lot 1)

341.74 31st August 2013

August 2015 Work is yet to start 0 0 0

GTK-WA-2 De-bunching of Secondary Distribution System and

Extending Water Supply to Peripheral Areas with Allied

Works in Gangtok, Sikkim (Lot 2)

31st August 2013

August 2015 Work is yet to be started

0 0 0

34 Appendix 3

Table 3: Major Output Completion (for Tranche 1)

Agartala Aizawl Gangtok Kohima Shillong

Target Achieved Target Achieved Target Achieved Target Achieved Target Achieved

Water

Storage capacity (nos)

- - 7 7 1 1 18 9 - -

Network, km - - - - 46.2 43.1 - - - -

Treatment capacity (MLD)

- - - - - - 7.5 0 - -

Solid Waste Management

Sites (no) - - - - - - 1 0 1 0

Table 4: Major Output Completion (for Tranche 2)


Target Achieved Target Achieved Target Achieved Target Achieved Target Achieved Water

Storage reservoir (no)

14 0 3 3 5 0 - - - -

Network, km 291 0 76 0 118 0 318 0 - -


40 0 - - - - - - - -

Connections (no) -() - 12,500 0 12,000 0 14,000 () 0 - -

Sewerage

Network, km - - 46 0 - - - - - -


- - 10 0 - - - - - -

Solid Waste Management

Treatment capacity(MLD)

- - - - 18 0 - - expansion

0

Appendix 4 35

Appendix 4: Action Plan on Procurement of Remaining Contracts under Tranche 2

Goods/ Works

Contract Value

($ million)

Procure- ment

Method Expected

Award Date Status/ Remarks

Package No. General Description

Agartala

WS-06 Laying of 59 km of primary pipelines W 0.95 (0.32

in PP) NCB Feb-14

Tender submission- 28 Nov 2013. TBER to be submitted by 15 Dec 2013

Gangtok

GTK-WA-3 Providing 12000+ consumer meters. G 0.95 NCB

Feb-14 Draft tender documents to be submitted to ADB by 30

Nov 2013

GTK-SWM-1 Providing primary Collection Vehicle, Household Bins, Push Carts and Litter Bins G

0.51 (0.33 in PP) NCB

Dec-13 Bidding ongoing

GTK-SWM-3B Procurement of Secondary Collection G 0.32 NCB Jan-14

Under rebidding Vehicles, 1100 Liters Capacity Bins, Landfill Vehicles & Equipment, Personal Protection Equipment for Solid Waste Management

GTK-SWM-3A Procurement of Personal Protective Equipment

G 0.01 Shopping Jan-14 RFQ to be submitted to ADB by 1 December 2013

GTK-SWM-3A Procurement of Roller G 0.08 Shopping Jan-14 RFQ to be submitted to ADB by 1 December 2013

Kohima

KHM-WA-5 21 Bulk Water Meters and 20,000 Domestic Meters

G 0.95 NCB Feb-14 Draft tender documents to be submitted to ADB by 15

December 2013 Shillong

NERCCDIP/TR- 02/SHG/SWM/03-R1 Procurement of Different types of Bins and G 0.25 NCB Dec-13

FBER to be submitted to ADB by 25 November 2013

Personnel Protective Equipment-Shillong

NERCCDIP/TR-02/SHG/SWM/*****

Construction of Additional Area of 8,500 sqm at Old Landfill site at Marten, Mawiong, Shillong

W 1.8 NCB Apr-13 Draft bid documents to be submitted to ADB by 30 December 2013

36 Appendix 5

Appendix 5: Status on Reforms Implementation (In accordance with FFA Annex-I: Checklist for Urban, Institutional, Financial, Regulatory and Operational Reforms)

Reform Program Compliance Status


A Institutional

Implement 74th Constitutional Amendment ( CA) -Objectives: Implementing decentralization measures through establishing and strengthening elected ULBs.

1

within six months of loan effectiveness and submit

a plan approved by the State Empowered

Committee (SEC) containing (i) a situational

assessment of the capacities of the various

functional arms of the Urban Local Body (ULB) (ii)

a time bound ULB capacity development and

resource program and (iii) a time-bound action plan

for developing further functions in phased manner

to ULBs in line with 74th CAA and JNNURM.

Complied wl Partially complied To be complied

Partially

complied

2

Within six months of 1st tranche approval, develop

and submit to MOUD and ADB an action plan

approved by the SEC to gradually transfer to ULB

responsibility and resources for urban functions and

to build necessary capacities, including developing

administrative, organizational, operational and

financial system & staffing.

Plan for transfer of

Water function to

AMC prepared

and submitted to

Govt.

Partially

complied

The action plan to

gradually transfer to

ULB responsibility

and resources for

urban functions has

not been approved

To be Complied

To be

complied

3 Within one year of 1st tranche approval, develop

time-bound plan approved by the SEC to carefully

integrate the traditional system, e.g. panchayats.

Not complied Each of the

Ward Committee

has

representative

from local

councils

on going Not achievable

To be

complied.

Appendix 5 37

4

Within 3 years of 1st tranche approval and prior to

tranche 3 approval (expected end 2011), ALL States

must have (i) substantially developed functions to

their respective capital cities (for no less than those

sectors supported under the Investment Program

but also expected in other areas), (ii) adequately

staffed Within 3 years of 1st tranche approval and

prior to tranche 3 approval (expected end of 2011)

all states must have (i) Substantial engineering,

administrative and financial sections of the ULBs

and allocated sufficient budget to initiate activities in

newly established ULBs and ( iii) transferred assets

associated with these functions.

Partially complied

Partially complied ongoing Assets associated with the functions has not been transferred to AMC

Partial complied

Complied. ULB has not been constituted

38 Appendix 5

B Service Delivery

Reforms for Efficient and Financially Sustainable Service Providers

Agartala

Aizawl

Gangtok

Kohima

Shillong

5

Within One year of 1st tranche approval,

restructure PHED/KMC ( as per agreed

model) and create one single city ring

fenced area headed by a senior officer with

control over city water and sewerage

operations as well as separate accounting

and balance sheet.

On going Partially complied,. Proposal under

discussion. PHED

has not been

restructured Partial complied

Being complied

6

Issue order to use double entry

accounting, assets inventory and assets

management in the circle within three

years of 1st tranche approval and

implement within 1 year of WS subjects

approval (expected 2nd tranche). Implemented

Asset

Management

manual under

preparation, asset

identification is

going on. Double

entry accounting

system not

adopted

Under implement

action To be complied

Complied.

Handholding by

individual

consultant

7

Develop performance Improvement plans

within one year of approval of WSS sub-

projects and start implementing them.

Plan prepared

and submitted

Performance

improvement plan

of this authority is

under discussion

and would be

given final shape

after formation of

AWSSB

To be prepared To be

Complied

To be

implemented with

the help of

individual

consultant

Appendix 5 39

8

Within two years of 2nd tranche approval, commence implementation of selected options of financially self sustainable, efficient and commercially operated water and sewerage agency and start consultations with stakeholders including ADB on option available.

Being

implemented

Not due yet, but

ongoing. Relevant

bills are under

consideration. Not due yet. To be complied Not due yet

9

Within 1 year of 2nd tranche approval, and

based on the results of the PSP study,

conduct consultations and develop a plan

and proposals fort components with

potential for PSP.

Sanitry land fill

and compost

plant given on

PSP

PSP areas

covered under

interim report and

accepted. PSP in

SWM, markets,

slaughter house

are under study.

on going To be complied Not Complied

10

Within four years of tranche approval of

WS sub-projects, approve appropriate

arrangements /laws for regulating the

water service providers

To be complied To be complied. To be complied To be complied To be complied

B-I:Improved Operational Efficiency

Agartala

Aizawl

Gangtok

Kohima

Shillong

40 Appendix 5

11 Prior to loan effectiveness, issue

Government Order to implement a NRW

reduction program, as well as a bulk and

consumer metering program, and

commence implementation within 6

months of 1st tranche approval.

Partially

complied Partially complied On going Partially complied Partially

complied

B-II: Regulatory Compliance

Agartala

Aizawl

Gangtok

Kohima

Shillong

12 In state whole capital cities receive funds

from the MFF for subprojects in the

sewerage and sanitation sector, the state

will approve, within six months of tranche

approval (generally 3rd) regulation to (a)

enforce those households with access to a

sewerage pipeline to connect to the

sewerage system within one year of

network completion (b) enforce all

households not to discharge their sanitary

waste without treatment and maintain their

septic tanks in specified levels of efficiency

(c) require new buildings to obtain a

sanitary waste discharge permit and (d)

enforce generators of large quantities of

wastes such as industries not to discharge

their wastes without treatment and to

maintain their discharges at specified

levels of efficiency.

Not applicable Partially

complied

complied Not yet due Not yet due.

Appendix 5 41

13 In States whose cities receive funds from

the Facility for subprojects in the solid

waste management sector, the States will

approve, at the latest by the

commencement of civil works, regulations

regarding (a) the discharge of solid wastes (b) the separation of wastes and disposal of hazardous wastes (c) the

installation of improved procedures for

vehicle routing, asset control and staff

management and (d) establishment of

operations and maintenance procedures

for vehicles and other equipment (e) the

monitoring of waste collection and

treatment, revenue and costs staff costs

and other inputs.

To be complied Partially complied Shall be complied Partial complied Partially

complied

42 Appendix 5

C Financial

C-I: Municipal Financial Management

Agartala Aizawl Gangtok

Kohima Shillong

14 Within 2 years of 1st tranche approval for

Agartala and Shillong and within 2 years of

2nd tranche approval for Aizwal, Gangtok

and Kohima, capital cities will have

completed migration to an accrual based

double entry accounting system.

Implemented Partially complied Partially complied Partial complied Partially

complied.

C-2: Property Tax Improvements

Agartala

Aizawl

Gangtok

Kohima

Shillong

15

Within 18 months of 2nd tranche approval,

Aizwal, Gangtok and Kohima will have

introduced property tax, following the unit

area based and self assessment based

property tax system.

Property tax

rules and rates

submitted. State

Govt. to take a

final decision.

. Rules submitted to government for discussion. the unit area method of property tax has not been introduced

On-going Amendment in Act pending with state government

Property mapping

completed.

Training of staff

o n G I S

software/SAS

completed.

Individual

consultant for

handholding to

be engaged.

Conversion to

self assessment

system to be

done.

Appendix 5 43

16

Within 3 years of 1st tranche approval for

Agartala and Shillong and 3 years of 2nd

tranche approval for Aizwal, Gangtok and

Kohima Collection efficiency should be no

less than 60 % and 85% one year later.

Collecting efficiency is 70%

Not yet due Under

implementation

Not yet due Present

collection

efficiency over

70%.

C-III: Introduction and Rationalization of User Charges

Agartala

Aizawl

Gangtok

Kohima

Shillong

17

Within 1 year of 1st tranche approval,

develop (with guidance from

Supplementary Appendix M Plan) and

submit a Financial Action Plan to ensure

improved utility financial p e r f o r m a n c e .

Recommendati

ons submitted Draft report

submitted

To be Complied To be Complied

Will be

complied

with.

18

In line with JNNURM's MOA, within 1 year

of 3rd tranche approval, implement solid

waste collection charges to generate

sufficient revenues to meet 100% of the

cost that is incurred in undertaking O&M of

existing and project-created SWM assets

and services.

Not yet due Not yet due Not yet due Not yet due Not yet due

19

In line with JNNURM's MOA, within 1 year

of 3rd tranche approval, implement

volumetric water charges with regular

adjustments to tariffs to generate sufficient

revenues to meet 100% of the cost that is

incurred in undertaking O&M of existing

and project-created water and sewerage

assets.

Not yet due Not yet due Not yet due Not yet due Not yet due

44 Appendix 6

APPENDIX 6 - TEMPLATES FOR GENDER ACTION PLAN SEMI-ANNUAL PROGRESS UPDATES

GENDER ACTION PLAN – SEMI ANNUAL PROGRESS UPDATE NORTH EASTERN REGION CAPITAL CITIES DEVELOPMENT INVESTMENT PROGRAM – (LOAN 2528)

SIPMIU – Gangtok (SIKKIM) Reporting period – xx- xx

Activities Target Indicators Progress to date Issues/challenges

Outcome - Sustainable and increased access to better urban services in five program cities6

Conduct of 1 gender sensitization seminar for each that highlights gender issues in water supply, sanitation, solid waste and drainage, and the need for women‘s involvement in the implementation, O&M of these services

10 municipal council officials gender-sensitized Representatives of 5 women's NGOs, including self-help group gender-sensitized 20 community members (50% women), including from scheduled castes (SCs) and scheduled tribes (STs), where applicable, gender-sensitized State Investment Program Management and Implementation Unit (SIPMIU) staff of state executing agency gender-sensitized

Output (i) - Improved water supply and infrastructure

Provision of connections and meters to poor female-headed households (FHHs) in the city.

i. 1,000 FHHs provided with connections and water meters

ii. Employment of women in the construction of pipelines, plants, etc., with implementation of same pay for work of equal value‘

Output (ii) Improved sanitation infrastructure

Prioritize connections to sewerage system of poor female-headed households

Output (iii ) Improved solid waste management systems

i. Prioritize FHHs in the provision of household bins

i. 5,100 FHHs in the city provided with household bins

ii. Conduct of 1 consultation among community members (target: 50% women) including SCs and STs, and NGOs on the manner and schedule of trash collection

ii. 100 Women and men community members consulted.

iii. Conduct an exploratory study on possible iii. Study report produced

6 The five program cities are Agartala of Tripura, Aizawl of Mizoram, Shillong of Meghalaya, Kohima of Nagaland, and Gangtok of Sikkim.

Appendix 6 45


livelihood opportunities from available recyclable materials and the market for possible products from these recycled materials

iv. Conduct of 2 trainings on alternative livelihoods for women using recyclable materials (e.g., papier mache, etc.).

iv. 50 women community members trained on alternative livelihoods.

Output (iv) Strengthened project implementation capacity of executing agency

i. Conduct of demographic survey of program city, showing gender differential access to urban services, income / poverty levels, among other such indicators, specifically, between male- headed and female-headed households and among SCs and STs

i. At least 10% of the population of the city surveyed, with each sample comprising 50% women

ii. Instituting geographic and sex-disaggregated project management information system

ii. Project management information system in place with sex disaggregated data

iii. Conduct of on-the-job capacity-building activities for SIPMIU on gender-sensitive recruitment, management, procurement and contract management, project and performance monitoring, safeguard compliance, land acquisition, and preparation of feasibilities studies and detailed designs

iii. SIPMIU staff capacitated on gender- responsive project management

46 Appendix 6

GENDER ACTION PLAN – SEMI ANNUAL PROGRESS UPDATE NORTH EASTERN REGION CAPITAL CITIES DEVELOPMENT INVESTMENT PROGRAM – (LOAN 2834) Tranche 2

SIPMIU – Gangtok (SIKKIM) (Reporting period - July – September 2013)

To increase women‟s participation in project investments through training and awareness building, etc. The GAP will deliver outputs with gender aspects incorporated into the project implementation including improved water supply, sanitation, and solid waste management. Additional capacity development of the implementing agencies is provided to ensure gender awareness and monitoring of GAP targets.


Outcome - Improved access to selected urban services in 5 program cities 7

Conduct of 1 gender sensitization seminar that highlights gender issues in water supply, sanitation, solid waste and drainage, and the need for women‘s involvement in the implementation, O&M of these services

10 municipal council officials gender-sensitized Representatives of 5 women's NGOs, including self-help group gender-sensitized 20 community members (50% women), including from scheduled castes (SCs) and scheduled tribes (STs), where applicable gender-sensitized State Investment Program Management and Implementation Unit (SIPMIU) staff state executing agency gender-sensitized

Outputs (i) Constructed and rehabilitated water supply infrastructure

i. Provision of connections and meters to poor female-headed households (FHHs) in each program city;

ii. Employment of women in the construction of

pipelines, plants, etc., with implementation of „same pay for work of equal value‟

i. 300 FHHs provided with connections and water meters

ii. Priority consideration to women workers in Agartala employed in construction work of water supply facilities with equal pay. ‘

Output (ii) Constructed sanitation infrastructure


--

Appendix 6 47


Output (iii ) Constructed and installed SWM infrastructure management systems

ii. Prioritize FHHs in the provision of household bins

iii. 5,100 FHHs in Gangtok provided with household bins

iv. Conduct of 1 consultation, among community members (target: 50% women) including SCs and STs, and NGOs on the manner and schedule of trash collection

iv. 100 Women and men community members consulted.

v. Conduct an exploratory study on possible livelihood opportunities from available recyclable materials and the market for possible products from these recycled materials

v. Study report produced.

vi. Conduct of 2 trainings on alternative livelihoods for women using recyclable materials (e.g., papier mache, etc.) per program city

v. 50 women community members trained on alternative livelihoods.

Output (iv ) Strengthened local government for better financial management and sustainable service delivery

i. Conduct of 1 consultation per program city, among community members (target: 50% women) including SCs and STs, and NGOs on the manner and schedule of trash collection

ii. Conduct an exploratory study on possible livelihood opportunities from available recyclable materials and the market for possible products from these recycled materials

iii. Conduct of 2 trainings on alternative livelihoods for women using recyclable materials (e.g., papier mache, etc.) per program city

iv. Conduct of demographic survey of program city, showing gender differential access to urban services, income / poverty levels, among other such indicators, specifically,

i. 100 Women and men community members consulted per program city

ii. Study report produced iii. 50 women community members trained on

alternative livelihoods.

At least 10% of the population of the city surveyed, with each sample comprising 50% women

48 Appendix 6


between male- headed and female-headed households and among SCs and STs

v. Instituting geographic and sex-disaggregated project management information system

vi. Conduct of on-the-job capacity-building activities for SIPMIU on gender-sensitive recruitment, management, procurement and contract management, project and performance monitoring, safeguard compliance, land acquisition, and preparation of feasibilities studies and detailed designs

Project management information system in place with sex disaggregated data SIPMIU staff capacitated on gender- responsive project management

Appendix 6 49

GENDER ACTION PLAN – SEMI ANNUAL PROGRESS UPDATE SIPMIU – AIZWAL (MIZORAM)

NORTH EASTERN REGION CAPITAL CITIES DEVELOPMENT INVESTMENT PROGRAM – (LOAN 2528) – TRANCHE 1

(Reporting period - xx– xx 2013) Activities Target Indicators Progress to date Issues/challenges

Outcome - Sustainable and increased access to better urban services in five program cities


10 municipal council officials gender-sensitized Representatives of 5 women's NGOs, including self-help group gender-sensitized 20 community members (50% women), including from scheduled castes (SCs) and scheduled tribes (STs), where applicable gender-sensitized State Investment Program Management and Implementation Unit (SIPMIU) staff of the state executing agency gender-sensitized


Provision of connections and meters to poor female-headed households (FHHs).

iii. 500 FHHs provided with connections and water meters

iv. Employment of women in the construction of pipelines, plants, etc., with implementation of same pay for work of equal value‘



500 number of poor FHHs provided with sewerage connections


i. Conduct of 1 consultation among community members (target: 50% women) including SCs and STs, and NGOs on the manner and schedule of trash collection

i. 100 Women and men community members consulted.


ii. Study report produced

iii. Conduct of 2 trainings on alternative livelihoods for women using recyclable materials (e.g., papier mache, etc.) .

iii. 50 women community members trained on alternative livelihoods.

50 Appendix 6



ii. Conduct of demographic survey of the city, showing gender differential access to urban services, income / poverty levels, among other such indicators, specifically, between male- headed and female-headed households and among SCs and STs

iii. At least 10% of the population of the city surveyed, with each sample comprising 50% women

iv. Instituting geographic and sex-disaggregated project management information system

iv. Project management information system in place with sex disaggregated data

v. Conduct of on-the-job capacity-building activities for SIPMIU on gender-sensitive recruitment, management, procurement and contract management, project and performance monitoring, safeguard compliance, land acquisition, and preparation of feasibilities studies and detailed designs

iv. SIPMIU staff capacitated on gender- responsive project management

Appendix 6 51

GENDER ACTION PLAN – SEMI ANNUAL PROGRESS UPDATE NORTH EASTERN REGION CAPITAL CITIES DEVELOPMENT INVESTMENT PROGRAM – (LOAN 2834) Tranche 2

SIPMIU – AIZWAL (MIZORAM)

(Reporting period - July – September 2013) To increase women‟s participation in project investments through training and awareness building, etc. The GAP will deliver outputs with gender aspects incorporated into the project implementation including improved water supply, sanitation, and solid waste management. Additional capacity development of the implementing agencies is provided to ensure gender awareness and monitoring of GAP targets.


Outcome - Improved access to selected urban services in 5 program cities


10 municipal council officials of the city gender-sensitized Representatives of 5 women's NGOs, including self-help group per program city gender-sensitized 20 community members (50% women), including from scheduled castes (SCs) and scheduled tribes (STs), where applicable of the city gender-sensitized State Investment Program Management and Implementation Unit (SIPMIU) staff of the state executing agency gender-sensitized


iii. Provision of connections and meters to poor female-headed households (FHHs) .

iv. Employment of women in the construction of


iii. 500 FHHs provided with connections and water meters in the city.

iv. Priority consideration to women workers in Agartala employed in construction work of water supply facilities with equal pay. ‘



500 number of poor FHHs provided with sewerage connections


i. Conduct of 1 consultation per program city, among community members (target: 50% women) including SCs and STs, and


52 Appendix 6


NGOs on the manner and schedule of trash collection


ii. Study report produced.

iii. Conduct of 2 trainings on alternative livelihoods for women using recyclable materials (e.g., papier mache, etc.) per program city

iii. 50 women community members trained on alternative livelihoods.


vii. Conduct of 1 consultation of the city, among community members (target: 50% women) including SCs and STs, and NGOs on the manner and schedule of trash collection

viii. Conduct an exploratory study on possible livelihood opportunities from available recyclable materials and the market for possible products from these recycled materials

ix. Conduct of 2 trainings on alternative livelihoods for women using recyclable materials (e.g., papier mache, etc.)

x. Conduct of demographic survey of program

city, showing gender differential access to urban services, income / poverty levels, among other such indicators, specifically, between male- headed and female-headed households and among SCs and STs

xi. Instituting geographic and sex-disaggregated project management


ii. Study report produced. iii. 50 women community members trained on

alternative livelihoods. iv. At least 10% of the population of the city

surveyed, with each sample comprising 50% women

v. Project management information system in place with sex disaggregated data

Appendix 6 53


information system

xii. Conduct of on-the-job capacity-building

activities for SIPMIU on gender-sensitive recruitment, management, procurement and contract management, project and performance monitoring, safeguard compliance, land acquisition, and preparation of feasibilities studies and detailed designs

vi. SIPMIU staff capacitated on gender- responsive project management

54 Appendix 6

GENDER ACTION PLAN – SEMI ANNUAL PROGRESS UPDATE NORTH EASTERN REGION CAPITAL CITIES DEVELOPMENT INVESTMENT PROGRAM – (LOAN 2528)

SIPMIU - SHILONG (MEGHALAYA)

(Reporting period - July – September 2013) Activities Target Indicators Progress to date Issues/challenges

Outcome - Sustainable and increased access to better urban services in five program cities


10 municipal council officials gender-sensitized Representatives of 5 women's NGOs, including self-help group gender-sensitized 20 community members (50% women), including from scheduled castes (SCs) and scheduled tribes (STs), where applicable, gender-sensitized State Investment Program Management and Implementation Unit (SIPMIU) staff of state executing agency gender-sensitized


Provision of connections and meters to poor female-headed households (FHHs).

-- --

v. Employment of women in the construction of pipelines, plants, etc., with implementation of same pay for work of equal value‘



--


iii. Prioritize FHHs in the provision of household bins

v. 6,000 FHHs provided with household bins

vi. Conduct of 1 consultation per program city, among community members (target: 50% women) including SCs and STs, and NGOs on the manner and schedule of trash collection

vi. 100 Women and men community members consulted.

vii. Conduct an exploratory study on possible livelihood opportunities from available recyclable materials and the market for possible products from these recycled materials

vii. Study report produced

viii. Conduct of 2 trainings on alternative livelihoods for women using recyclable materials (e.g., papier mache, etc.)

vi. 50 women community members trained on alternative livelihoods.

Appendix 6 55



iii. Conduct of demographic survey of program city, showing gender differential access to urban services, income / poverty levels, among other such indicators, specifically, between male- headed and female-headed households and among SCs and STs

v. At least 10% of the population surveyed, with each sample comprising 50% women

vi. Instituting geographic and sex-disaggregated project management information system

vi. Project management information system in place with sex disaggregated data

vii. Conduct of on-the-job capacity-building activities for SIPMIU on gender-sensitive recruitment, management, procurement and contract management, project and performance monitoring, safeguard compliance, land acquisition, and preparation of feasibilities studies and detailed designs

v. SIPMIU staff capacitated on gender- responsive project management

56 Appendix 6

GENDER ACTION PLAN –SEMI ANNUAL PROGRESS UPDATE NORTH EASTERN REGION CAPITAL CITIES DEVELOPMENT INVESTMENT PROGRAM – (LOAN 2834) Tranche 2

SIPMIU - SHILONG (MEGHALAYA)

(Reporting period - July – September 2013)

To increase women‟s participation in project investments through training and awareness building, etc. The GAP will deliver outputs with gender aspects incorporated into the project implementation including improved water supply, sanitation, and solid waste management. Additional capacity development of the implementing agencies is provided to ensure gender awareness and monitoring of GAP targets.


Outcome - Improved access to selected urban services in 5 program cities 8


10 municipal council officials gender-sensitized Representatives of 5 women's NGOs, including self-help group gender-sensitized 20 community members (50% women), including from scheduled castes (SCs) and scheduled tribes (STs), where applicable gender-sensitized State Investment Program Management and Implementation Unit (SIPMIU) staff of the state executing agency gender-sensitized


I. Provision of connections and meters to poor female-headed households (FHHs) in each program city;

II. Employment of women in the construction of


--

II. Priority consideration to women workers in

Agartala employed in construction work of water supply facilities with equal pay. ‘

Appendix 6 57




-- --


iv. Prioritize FHHs in the provision of household bins

vii. 3,000 FHHs provided with household bins

viii. Conduct of 1 consultation per program city, among community members (target: 50% women) including SCs and STs, and NGOs on the manner and schedule of trash collection

viii. 100 Women and men community members consulted.

ix. Conduct an exploratory study on possible livelihood opportunities from available recyclable materials and the market for possible products from these recycled materials

ix. Study report produced

x. Conduct of 2 trainings on alternative livelihoods for women using recyclable materials (e.g., papier mache, etc.) per program city

vii. 50 women community members trained on alternative livelihoods.


xiii. Conduct of 1 consultation per program city, among community members (target: 50% women) including SCs and STs, and NGOs on the manner and schedule of trash collection

xiv. Conduct an exploratory study on possible livelihood opportunities from available recyclable materials and the market for possible products from these recycled materials

xv. Conduct of 2 trainings on alternative livelihoods for women using recyclable

iv. 100 Women and men community members consulted.

v. Study report produced

vi. 50 women community members trained on alternative livelihoods.

58 Appendix 6


materials (e.g., papier mache, etc.) per program city

xvi. Conduct of demographic survey of program city, showing gender differential access to urban services, income / poverty levels, among other such indicators, specifically, between male- headed and female-headed households and among SCs and STs

xvii. Instituting geographic and sex-disaggregated project management information system

xviii. Conduct of on-the-job capacity-building activities for SIPMIU on gender-sensitive recruitment, management, procurement and contract management, project and performance monitoring, safeguard compliance, land acquisition, and preparation of feasibilities studies and detailed designs

vii. At least 10% of the population of the city

surveyed, with each sample comprising 50% women

viii. Project management information system in place with sex disaggregated data.

ix. SIPMIU staff capacitated on gender- responsive project management

tonle sap environmental management · 1 the mission comprised ms. neeta pokhrel, urban development...

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