PROJECT OPERATIONAL MANUAL
FOR
INDIA
CAPACITY BUILDING FOR INDUSTRIAL POLLUTION
MANAGEMENT PROJECT
October 2010
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ABBREVIATIONS AND ACRONYMS
APPCB
CBIPMP
CPCB
ECAC
ESA
ESMF
GPN
ICB
ICR
IUFR
KIE
KMC
LIU
NPRPS
NCB
NMK
PAD
PDO
PIU
PMC
POC
POC
PAO
PQRA
SPCBs
SSRA
SoE
TOR
TEP
WBPCB
Andhra Pradesh Pollution Control Board
Capacity Building for Industrial Pollution Management Project
Central Pollution Control Board
Environmental Compliance Assistance Centers
Environmental and Social Assessment
Environment and Social Management Framework
General Procurement Notice
International Competitive Bidding
Implementation Completion Report
Interim Unaudited Financial Report
Katedan Industrial Area
Kolkata Municipal Corporation
Local Implementation Unit
National Plan for Rehabilitation of Polluted Sites
National Competitive Bidding
Noor Mohammad Kunta Lake
Project Appraisal Document
Project Development Objective
Project Implementation Unit
Program Management Consultants
Project Oversight Committee
Project Oversight Committee
Pay and Accounts Officer
Preliminary Quantitative Risk Assessment
State Pollution Control Boards
Site Specific Risk Assessment
Statement of Expenditure
Terms of Reference
Technical Evaluation Panel
West Bengal pollution Control Board
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TABLE OF CONTENTS
SECTION I
SECTION II
SECTION III
SECTION IV
SECTION V
SECTION VI
SECTION VII
SECTION VIII
SECTION IX
ANNEXES
Annex I
Project Operations Manual
Project Description
Ministry of Environment and Forests
Andhra Pradesh Pollution Control Board
West Bengal Pollution Control Board
Environment and Social Management Framework
Procurement Procedures
Financial Management
Monitoring and Evaluation Framework
Governance Accountability Action Plan
5
6-9
10-19
20-28
29-38
39-43
44-60
61-69
70-74
75-80
Results Framework
81-86
Annex II
Format for Annual Work Plan Proposal of SPCBs
87
Annex III
Format for Annual Work Plan Proposal of MOEF
88
Annex IV
89
Annex V
Format for Quarterly Interim Unaudited Financial
Reports
Form of Utilisation Certificate
Annex VI
Indicative Chart of Accounts
91 -92
Annex VII
MOEF Project Management: Job Descriptions and
Procedures
93-94
Annex VIII
Terms of Reference: FM at MOEF
95-96
Terms of Reference: External Financial Audit of Project
Financial Statements
97-98
Annex IX
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90
PROJECT OPERATIONS MANUAL
1. Environmental sustainability is likely to be the next greatest challenge on India’s
development path, adding to the list of priority needs to reduce disparity, eliminate
poverty and promote social cohesion. Experts also believe that manufacturing sector will
play an important role in future economic growth, where cleaner production and
minimizing waste are likely to define the sustainability of industrial growth. With regards
to hazardous waste management, illegal and clandestine dumping of industrial waste is a
common practice in many states. While a large number of chemically contaminated sites
exist in the country, the regulating authorities face number of challenge before
formulating a national level strategy. These challenges include a) a lack of sufficient
information on the quality and risks of legacy pollution and accumulated waste; b) no
methodology for risk assessment to help establish priorities in clean up investments; c)
absence of effective tracking system for monitoring the process and enforcement of
regulations to prevent secondary contamination; d) limited public awareness of the
health risks; and e) underdeveloped common infrastructure for safe containment or
disposal of hazardous waste.
2. The Capacity Building and Industrial Pollution Management (CBIPM) project will help
the GOI to build capacity at the state and central level, and develop a framework to
address these issues in a comprehensive and systemic manner under an area-wide
management approach. The proposed project is aligned with the endeavor of the GOI to
establish a National Program for Rehabilitation of Polluted Sites (NPRPS) as a
framework for scaling up the clean up and rehabilitation of polluted sites and facilitate
the reduction of environmental and health risks associated with legacy polluted sites.
3. The Project Operational Manual (POM) comprises the following sections outlining the
project components and roles and responsibilities of the different implementing
agencies, procedures for development of investment plans for remediation of
contaminated sites including implementation arrangements for coordination between
sector agencies and local governments and procedures for financial management and
procurement. It also provides details of reporting processes and details regarding
implementation and monitoring of project and activity level plans, including those
detailed in the Environmental and Social Management Framework (ESMF).
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SECTION I
PROJECT DESCRIPTION
I. Project Objectives:
1. The development objective of the project is (i) to build tangible human and technical capacity
in selected state agencies for undertaking environmentally sound remediation of polluted
sites (ii) to support the development of a policy, institutional and methodological
framework for the establishment of a NPRPS.
2. The project will achieve its objective by (a) using a project-based learning approach and
providing support to effective knowledge dissemination; (b) supporting the NPRPS by
putting together a methodological framework for inventorying of polluted sites,
assessing social costs and benefits, public health and ecosystem risks, best practice
assessments of contaminated sites and implementation of plans for cleanup/remediation,
in accordance with the intended land use or containment of pollution whichever is
feasible; (c) undertaking prototypical investments in remediation of hazardous waste and
old dump sites suitable for scaling up; and (d) providing support for improved industrial
compliance in project areas.
3. The project will also promote inclusion of key stakeholders in planning and
implementation of project investments, and partnerships for improved environmental
conditions of community neighborhoods around the polluted sites. The project will
support measures for public awareness and community education to prevent secondary
contamination of the sites and behavioral changes. In order to make the project impact
tangible it would be translated into measurable project outcome indicators.
4. The key performance outcome indicators supporting the Project Development Objective
(PDO) are:
i.
ii.
iii.
Supporting the NPRPS by developing a methodological framework for
inventorying polluted sites, establishing ‘best practice’ solutions and engaging
multiple stakeholders in the implementation, including cost recovery
mechanisms.
An Environmental Compliance Assistance Center has been established and fully
functional by end of year two in West Bengal and by end of year four in Andhra
Pradesh
Water quality and soil characteristics at the pilot sites comply with national
standards and mechanisms established to monitor in the long term.
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iv.
v.
Clean up/remediation technologies have been piloted at orphan sites in selected
states and a network of state PCBs established by MoEF for knowledge
dissemination and project based training.
Guidelines and standards for remediation developed and supervisory capacity of
technical staff at environment agencies to implement remediation plans and
monitor environmental conditions strengthened.
II. Project Components
5. Project investments are organized in the following components:
5.1
Component 1- Strengthening of Environmental Institutions: Building Capacity for addressing
pollution remediation at state: (US$ 16.74 Million): The objective of this component is to
strengthen and integrate the institutional framework, including regulatory policies,
management practices, compliance incentives, and performance guidelines, for central and
state governments in the remediation of polluted sites.



Sub-component 1.a: National Program for the Rehabilitation of Polluted Sites
(US$3.44 Million). This sub-component will support the MOEF in the development
of the National Program for Rehabilitation of Polluted Sites (NPRPS)
Sub-component 1.b: Environmental Compliance Assistance Centers (ECACs) (US$
5.21 Million). This sub-component will support the establishment of ECACs in the
states of AP and WB to pro-actively promote and assist industries with
environmental compliance in pollution management
Sub-component 1.c: Institutional Capacity Building of State Pollution Control
Boards (US$8.09 Million). This sub-component will focus on providing technical
assistance and building technical knowledge and skills of SPCBs in conducting risk
assessments and guiding remediation actions and for inventorying and
characterization of hazardous waste and illegal dumpsites, assessment and
preparation of priority contaminated sites, and regulatory best practices and incentive
based approaches and stakeholder involvement.
5.2
Component 2 - Investments in Priority Remediation and Environmental Improvements:
Rehabilitation of legacy hazardous waste sites: (US$ 52.80 Million). The component will
demonstrate remediation which minimizes to acceptable and safe levels the environment and
health risks by containing the migration of the heavy metal and chemical bearing of
contaminated soil and groundwater. This component will support AP and WB in the
development and implementation of area-based plans which include remediation of orphan
polluted sites and/or old municipal dumps (two in each state listed below) and measures for
overall environmental improvements in the area and better compliance of the nearby
industrial units:
 Site A: Remediation of Noor Mohammad Kunta, Katedan Industrial Area (KIE) in
Ranga Reddy District, Andhra Pradesh (US$ 30.93 Million)
 Site B: Remediation of the Dumpsite in Kadapa, Andhra Pradesh (US$ 3.82 Million)
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

Site C: Remediation of Dhapa - old municipal dump site adjacent to East Kolkata
Wetlands, West Bengal (US$8.00 Million).
Site D: Remediation of seven (7) chemically contaminated sites in the District of
Hooghly, West Bengal (US$10.06 Million)
5.3
Component 3: Project Management. (US$5.85 Million). The project governance
structure is designed to ensure effectiveness and transparency of implementation and
compliance with Bank fiduciary requirements. A brief description of the institutional and
implementation frameworks of this project is provided below and detailed descriptions at
central and state levels are provided in their respective sections.
III. Institutional and Implementation Arrangements
6. The Ministry of Environment and Forests at New Delhi will be the implementing agency
at the central level for the project, with the overall responsibility for its management and
implementation. A Project Director at MOEF will provide oversight of project
implementation and will be supported by a team of Management Consultants (MC). The
MOEF will be responsible for development of the NPRPS and will have an oversight
role on the state-level activities.
7. MOEF will establish a Project Oversight Committee to provide overall policy guidance
and direction to the project and will also have a panel of technical experts (Technical
Evaluation Panel) which will provide quality technical inputs during project
implementation and specifically with regard to preparation of remediation guidelines and
clean-up standards.
8. At state levels, Project Implementation Units, with Project Directors have been
established in the state PCBs for the responsibility for day to day project implementation
and coordination with other stakeholder agencies. Project Steering Committees will
oversee the implementation of projects activities in each state, for which the PIUs will
serve as Secretariat.
IV. Monitoring and Evaluation of Outcomes and Results
9. A results framework, detailed in Annex I, will serve as the main tool for assessing the
effectiveness of the Project during implementation and measuring final outcomes after
project completion. The main outcome will be mitigation of health hazards from toxic
pollution, which poses risks to community and ecology, reduced soil contamination in
the immediate neighborhood, an improved employment situation during remediation,
potential cost savings with lower incidence of environment related disease.
V. Project Costs
10. The total cost of the Project including contingencies is US$ 75.39 million, as shown in
the table below. The project will be implemented over a period of five years (2008-2013)
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in accordance with the Project Implementation Schedule. A mid-term review will be
carried out in 2013
Costs Incl. Cont. & Taxes
Description
Component 1: Strengthening of Environmental
Institutions: Building capacity for addressing pollution
remediation
Component 2: Investments in Priority Remediation
and Environmental Improvements: Rehabilitation of
orphan hazardous waste sites and municipal dumpsites
Component 3: Project Management
Total:
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Foreign
US$ Mill
Local
US$ Mill
Total
US$ Mill
3.21
13.53
16.74
1.07
0.00
51.73
5.85
52.80
5.85
4.28
71.11
75.39
SECTION II
MINISTRY OF ENVIRONMENT AND FORESTS
I. Institutional and Implementation Arrangements
1. The MOEF is the implementing agency at the central level, with the overall
responsibility for its management and implementation. It has the primary role for
overall project oversight and coordination, and specifically for developing the
national framework for scaling up the remediation of polluted sites across other
states through activities for development of methodological framework, guidance to
states on site assessment, application of remediation standards, monitoring of
results and dissemination of best practices.
Project Director
2. The MOEF has designated a Project Director (PD) who will be responsible to
coordinate implementation of activities at central level and provide guidance to the
state PIUs. The responsibilities of the PD will include overall supervision of the
project, development and establishment of the NPRPS, national capacity building,
outreach and communications, progress reporting, liaison with participating states
and agencies as well as fiduciary, administrative and procurement for centrally
managed activities.
3. The Project Director will be responsible for supervision of the Project and will
perform the following core functions:
 Project Management;
 Outreach and communications;
 Procurement for the MoEF managed Capacity building activities,
 Organize and implement the capacity building activities by identifying and
contracting appropriate agencies; taking responsibility of the procurement and
contract management, recording and supervision of activities.
 Financial accounting and reporting,
 Liaise with participating States and agencies.
Project Management Consultants (PMC)
4. To support the Project Director, MoEF will hire a consulting firm which will
function as Proggram Management Consultants (PMC) for the project. The PMC
will have adequate resources to produce the deliverables and functions expected of
the MoEF. The PMC will put together a team of consultants along with support
staff, so that MOEF can discharge its responsibilities. The team of PMC will
include Technical Specialists with experience in hazardous and solid waste
management, financial specialist, and Procurement specialist, a Monitoring and
Evaluation specialist and adequate number of support staff. TORs for the
management consultants will be completed and they should be in place by October
1, 2010. TOR for PMC is provided in the Annex.
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February 6, 2016
5. The functions of PMC will include the following:
 Provide on-going secretarial and administrative support to the POC and PD
 Support the PD in implementing the central level activities including capacity
building activities, procurement and financial management of the project
 Support the PD in activities related to the development of the NPRPS
 Establishing a preliminary inventory of contaminated sites (this would be based
on MOEF/SPCB data, information from legal proceedings, environmental
monitoring & enforcement agencies, complaints from Non-Governmental
Organizations (NGOs), local communities etc.)
 Determining how serious a threat these sites present in human health and
environmental terms (based on site details, e.g., the nature of the contamination,
their location, their proximity to human activity and environmentally sensitive
areas, or to pathways (rivers and groundwater) leading to human activity or
environmentally sensitive areas;
 PMC will monitor preparation of individual technical guidelines simultaneously
by other Consultants with appropriate technical skill sets and these will be
selected through appropriate selection process by the PMC, as part of the plan
development process. These include
o Development of Guidelines for Phase I/II/III;
o Development of Cleanup Standards;
o Development of Risk Decision Making Models - SSRA/ PQRA.
Project Oversight Committee
6. Given the close linkages between the envisioned activities, the MOEF will establish
an inter-ministerial Project Oversight Committee (POC) to provide oversight and policy
guidance and to build consensus among project stakeholders on major policy and
implementation issues. The POC will be chaired by Secretary, MOEF or a
designated official in his absence. It will include members from the Central
Pollution Control Board, Planning Commission, Department of Economic Affairs,
Ministry of Urban Development and Industry, CSIR Laboratories, academia etc.
The Chairpersons of the state Project Steering Committees where clean
up/remediation investments (AP and WB) will be also be members of this
Committee.
7. The POC will be responsible for the following:
 Providing overall policy guidance and direction to the project
 Approving national level plans for capacity building and annual progress report
prepared by MOEF
 Participating and approving national strategy and plans for remediation of contaminated
sites
 Provide guidance on approval and adopting a methodological framework for risk-based
assessment and clean-up of contaminated sites in the country
 Providing strategic support and guidance to program implementation
 Approve guidelines and clean-up standards
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8. Support to the POC will come in the form of: (i) secretariat services by the PMC,
including the preparation of meeting minutes and circulation of agendas,
management of documents and relevant data, etc.; and (ii) if required, ad hoc
technical assistance to provide the membership with the adequate knowledge and
exposure to make carefully informed decisions and recommendations on matters
put before the Committee.
Technical Evaluation Panel
9. On technical and scientific matters, the POC will be supported by a Technical Panel
(TEP). MOEF will also identify a panel of technical experts, who will provide
quality technical inputs during project implementation and evaluate proposals for
the respective components, specifically with regard to preparation of remediation
guidelines and clean-up standards. Members of the TEP will be drawn from
academia, industry associations, CPCB, relevant Ministries and individual experts
both national and international. TEP will consist of a team of technical experts
drawn from a set of international and national technical specialists. Preferred
membership is about 4-5 external technical specialists along with PD and MC
Project Manager.
10. Core Functions of TEP would be to:
 Review the RFP and tenders submitted for various components and approve selection;
 Review of deliverables like the regulations, standards, guidelines and other technical
documents; provide inputs and comments; and approve for adoption.
 Provide technical leadership in project implementation by bringing in innovative ideas
and suggestions; and
 Visit project sites for implementation review and appraisal.
Organizational Chart of MOEF:
Project Oversight
Committee (POC)
Technical
Evaluation
Panel (TEP)
Project Director
AP PCB
WB PCB
Project
Coordinator
Program Management Consultants
II. Responsibilities of MOEF:
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February 6, 2016
11. The primary role of MoEF will be overall project oversight and coordination. Its
key responsibility will be in implementing Component 1 - Subcomponent 1.a:
National Program for the Rehabilitation of Polluted Sites. MOEF will have an
oversight role on the activities which will be implemented directly by the States of
West Bengal and Andhra Pradesh. These include Component 1: Sub-components
1.b and 1.c and Component 2.
Component 1: Sub-component 1.a: Support to the development of National Program for the
Rehabilitation of Polluted Sites (US$3.44 Million).
The following figure illustrates the activities under the NPRPS.
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KEY ACTIONS BY
MOEF
Develop
methodology for
identification,
remediation of
polluted sites and
setting up standards
and guidelines based
on international &
national best practice
review
OBJECTIVE
ACTIVITES
This activity involves developing the
methodologies for–
• Site identification, categorization, prioritization
based on the level of risk posed by the
contamination
• preliminary and site specific risk assessment
methodologies,
• sampling protocols and standards
• assessment and preparation of priority
contaminated sites
• guidelines for conducting risk assessment and
standards for risk assessment and
communication.
1. Methodology for Risk Assessment, including guidelines for
the preparation of remediation plans
2. Standards/Criteria/Post-monitoring Protocols for
Remediation based on soil, land use ambient air/water
conditions
3. Remediation technologies, including inventory of existing
remediation technologies within country and international
4. Random checks and inspections of hazardous waste dump
sites in states including development of checklist and
protocols
5. Consultancy for the preparation of National Rehabilitation
Plan
6. Technical assistance for project preparation of contaminated
HW dumpsites in 5 priority states
7. Prepare inventory of best available remediation technologies
and strategies within the country and internationally
8. Assess and strengthen existing national and state programs,
introduce and adopt international best practices, and exchange
program with international practitioners, such as the USEPA
9. Inventory and mapping of polluted sites by updating list
and information on hazardous waste dumpsites in
consultation with SPCBs and CPCB for NPRPS
10. Lessons learned from pilot remediation sites and incorporated
as best practices in the development of the NPRPS.
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Training and
technical assistance
for strengthening
capacity of SPCBs
1. Establish network of SPCBs to launch national training
programs
Capacity to be built in areas such as source
identification, risk assessment, planning, monitoring,
inspection and enforcement of hazardous waste
sites.
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February 6, 2016
1. Source identification, inventorization, and characterization of
HW dumpsites (2 from 11 SPCB, 8 CPCB/MoEF) (Training)
2. Risk assessment of HW dumpsites, including methodology,
sampling, analysis, and preparation of remediation plans NPRPS - (Training)
3. Statistical Methods for Interpretation and Validation of Data
(Training)
4. Transport and Fate of Contaminant in Soil and Ground Water
- (Training)
5. Innovative Remediation Technologies and Methodologies,
focusing on international best practices (study tour) (Training)
6. Innovative Remediation Technologies and Methodologies (Training)
7. Operation, maintenance, and closure of MSW landfills
focusing on international best practices - (Training)
8. Transport and Fate of Contaminant in Soil and Ground Water
- (Training)
9. Innovative Remediation Technologies and Methodologies,
focusing on international best practices (study tour) (Training)
10. Innovative Remediation Technologies and Methodologies (Training)
11. Operation, maintenance, and closure of MSW landfills
focusing on international best practices - (Training)
12. Inspection and enforcement of the hazardous waste including
the material balance for the production of hazardous waste (Training)
13. Implementation of Remediation Processes based on Cost
Benefit Analysis (NPRPS) - (Training)
Legal, regulatory &
policy review and
preparation of
NPRPS framework
A regulatory framework is required with:
• laws, rules, regulations, guidelines and provisions for charging penalties/ to seek compensation to polluters;
• set of guidelines, standards and directions to which the sites should be cleaned up
• methodologies for identification, investigation, cleanup, technology assessments, risk assessments, and acceptance of
“cleaned sites – record of site conditions” etc.
Formulate strategy
for preventing future
land contamination;
This will include strategies and guidance for:
• continuous monitoring of industrial areas
• compliance management of wastewater and industrial waste discharges
• monitoring and compliance by States.
Develop
Institutional and
financial mechanism
for establishing
NPRPS
The Institutional setup will include administrative setup, organizational setup, roles and responsibilities for
implementation and oversight of NPRPS
Innovative strategies involving financial institutions and insurance companies using market based instruments for
developing prevention programs.
Assessment of Private sector involvement into the long term remediation financing and land use
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Long term Project
Structuring
Strategy for:
• long term framework for state and centre strategy for project identification, justification and financing
• system of prioritizing sites and financing mechanism for contaminated sites;
• implementation of polluter pays principle and penalties and recovery of remediation costs as part of the overall
strategy of financing.
• Long term financing strategy of remediation of polluted sites
• regulatory best practices and incentive based approaches and stakeholder involvement,
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III. Project Budget for MOEF
Description of Services
Estimated Cost Incl
Cont. & Taxes (in 000
US$)
Management consultants for managing and monitoring the
CBIPMP for MoEF
Development of methodology for identification, remediation of
polluted sites and setting up standards and guidelines based on
international & national best practice review.
Institutional and financial mechanism for establishing NPRPS
Training program on implementation of NPRPS
Training on Remediation Technologies and Methodologies,
focusing on international best practices (study tour)
Training on Remediation Technologies and Methodologies
(NPRPS)
Training on Operation, maintenance, and closure of MSW &
hazardous waste landfills focusing on international best practices
Legal, regulatory & policy review and preparation of NPRPS
framework
Inventory and mapping of polluted sites
Training on Implementation of Remediation Processes based on
Cost Benefit Analysis(NPRPS)
Training on Inspection and enforcement of the waste
management regulations
Sub-total:
Office goods & equipment
Laboratory Equipments:
Sub-total:
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February 6, 2016
766.99
848.63
199.72
106.85
114.35
91.48
195.83
299.57
746.60
97.88
97.88
3565.78
52.31
643.20
695.52
SECTION III
ANDHRA PRADESH POLLUTION CONTROL BOARD (APPCB)
I. Institutional and Implementation Arrangements
1. An appropriate project governance structure has been established in AP to ensure coordinated
implementation, effectiveness, accountability, oversight and transparency of implementation.
The AP Pollution Control Board (APPCB) shall be responsible for coordination and
implementation of project activities at state level and reporting to MoEF. The Member Secretary
of APPCB has been nominated by the State Government of Andhra Pradesh to be the Project
Director for the project.
Project Implementation Unit (PIU):
2. The overall responsibility for project execution will lie with the qualified Project Implementation
Unit (PIU) based in Hyderabad. The PIU will be established at the APPCB and will be headed
by the Project Director. The PIU will have the responsibility for day to day project
implementation and coordination with other stakeholder agencies. It will serve as Secretariat for
the Steering Committee through the Member Secretary, APPCB who is the member convener of
the Steering Committee and the State Director for the Project.
3. The PIU will ensure that procurement, financial management and disbursement aspects of the
project are fully consistent with applicable Bank guidelines and shall function under the Member
Secretary, APPCB.
4. The PIU will include a Project Director, two Technical staff, a Procurement Specialist, a
Procurement Assistant, a Monitoring and Evaluation Specialist, a Financial Specialist, a Financial
Assistant, a Communication Specialist and a Social and Environment Specialist along with some
support staff. The staff will be selected following Bank procurement procedures for the selection
of consultants. The PIU will be supported by two Local Implementation Units (LIUs), located in
Hyderabad and Kadapa and responsible for coordinating the day-to-day activities under their
18
respective components. The job descriptions of the staff of PIU, procedures of recruitment and
roles of committees at state level are given in Annexure - I.
CBIPM Cell at APPCB:
5. APPCB has constituted a CBIPM Cell on 25th October, 2008 from its technical, scientific and
financial staff to oversee and assist in the day to day project implementation, provide overall
supervision of PIU functioning and support evaluation of proposals for the respective
components and help co-ordination with other stakeholder agencies. The CBIPM Cell consists
of the following employees of APPCB: (i) Joint Chief Environmental Scientist (ii) Joint Chief
Environmental Engineer (CPC & MSW) (iii) Joint Chief Environmental Engineer (Zonal office,
Kurnool) (iv) Chief Accounts Officer (v) Senior Environmental Engineer (HWM) (vi)
Environmental Engineer (CPC) (vii) Assistant Environmental Engineer (viii) Procurement
Specialist - Analyst Gr-I, Central Laboratory and (vii) Support staff of one data entry operator
and one office subordinate. These APPCB employees will perform the above duties in addition
to their regular duties.
6. The PIU and the CBIPM Cell will appoint selection committees for contracts below Bank’s
prior review, and decide on priority list of temporary employment (public works) projects
eligible for financing under Component B.
Local Implementation Unit (LIU):
7. Local Implementation Unit (LIU), headed by either Technical Specialist or Environmental and
Social Specialist along with representatives of municipalities / industrial area local authority,
regional offices of APPCB, NGOs and District administration will oversee the project
implementation on the ground at both the sites located in Hyderabad and Kadapa.
Project Steering Committee
8. A State Project Steering Committee will be established under the chairmanship of the Secretary,
Department of Environment, to oversee the implementation of projects activities in the state.
The Member Secretary, APPCB will be the member convener and membership will be as
follows:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Special Chief Secretary , E.F.S&T Dept
Prl. Secretary, Finance Dept.,
Prl. Secretary, Industries Dept.,
Prl. Secretary, MA & UD
Chairman & MD, APIIC
Commissioner, Hyderabad Metropolitan
Development Authority
Commissioner and Director, Municipal
Administration
Director, National Geo-physical
Research Institute (NGRI), Hyderabad
Member Secretary, APPCB
Project Director, PIU
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Chairman
Member
Member
Member
Member
Member
Member
Member from Academia
Member Convenor
Special Invitee
9. The functions of the PSC will be as follows:
 Review and monitor project implementation and achievement of project performance
indicators;
 Providing strategic support and guidance as well as coordinating with different government
departments and agencies;
 Approving overall human and financial resource requirement for State wide implementation
of remediation plans;
 Defining and reformulating project strategies based on emergent experience from project
implementation;
 Approve bi-annual progress reports of APPCB
II. Project Components:
10. The following activities will be implemented by APPCB under the project:
 Component 1: Strengthening Environmental Institutions: Building Capacity for Remediation
o Sub-component 1.b: Environmental Compliance Assistance Centers
o Sub-component 1.c: Institutional Capacity Building of State Pollution Control Boards
 Component 2: Investments in Priority Remediation and Environmental Improvements in orphan
hazardous waste sites and municipal dumpsites
 Component 3: Project Management
11. Component 1, Sub-component 1.b: The establishment of an Environmental Compliance Assistance
Center (ECAC) will be explored as a way to promote increased environmental compliance of
industry, particularly small and medium size enterprises, in meeting the national and state
regulatory requirements. In order to better assess the existing institutional structure for
20
providing compliance assistance in Andhra Pradesh and to learn from the West Bengal and
other international models, the APPCB will undertake an analytical study and reach out to the
affected stakeholders.
12. Component 1, Sub-component 1.c: This component will provide technical and infrastructural support
to laboratories of the APPCB besides institutional capacity building for inventorization and
characterization of hazardous and municipal solid waste generated in the state, assessing public
health and ecosystem risks and economic, social and environmental benefits derived from
project activities.
13. The APPCB will require specialized technical expertise to support the monitoring of
demonstration sites under the project and to develop the hazardous waste remediation and
rehabilitation program in the state. The APPCB will require specialized laboratory equipment,
GIS mapping (software), and other equipment to analyze data from demonstration sites,
monitor environmental impacts, and develop the hazardous waste remediation and rehabilitation
program in the state. The technical equipment will include the following items:
 Gas chromatographer – MS-MS; bomb calorimeter;
 Atomic absorption spectrophotometer and required lamps;
 Solid waste extraction assembly, concentrator for organic extractor;
 Sampling apparatus for POP’s, VOC’s, dioxin, and furan;
 Microwave digestive units, sediment depth samplers;
 Network devices for GPS, GIS mapping of hazardous waste units.
14. The APPCB will require technical training to support the effective utilization and analysis of data
from acquired laboratory equipment, and to strengthen the capacity in management and
remediation of hazardous waste.
15. The detailed activities under Component 1 and their outcomes are detailed below:
Component
Technical
Assistance for
APPCB
•
•
•
•
Activities
Inventorisation and characterization of
hazardous waste ;
Mapping of hazardous waste units, illegal
hazardous waste dumpsites, and
municipal waste dumpsites;
Pre-feasibility study of contaminated soil
and groundwater from hazardous waste
at targeted priority sites;
Environmental and social impact
assessment of municipal solid waste
21
Expected Outcome
Inventory of
Hazardous waste
generators and
quantities;
Inventory of illegal
dumpsites for
industrial waste;
Inventory of municipal
dumpsites;
ESIA of municipal
Component
Activities
dumpsites.
Infrastructure
•
Support
for
APPCB
Procurement of necessary sampling and
Analytical equipment, specialized
laboratory equipment, GIS mapping, and
other equipment to analyze data from
demonstration sites, monitor
environmental impacts, and develop the
hazardous waste remediation and
rehabilitation program in the state.
Environmental
• Analytical study of existing institutions in
Compliance
AP that provides compliance assistance.
Assistance
• Identification of innovative international
Center (ECAC)
models, and recommendations for
integrating international models within
the Andhra Pradesh context;
• Study tour to visit the West Bengal
ECAC and to meet with key stakeholders
in West Bengal;
• Workshop to introduce international
compliance assistance models to key
stakeholders;
• Workshops
to
involving
diverse
stakeholders in vision and action
planning regarding ways to strengthen
the
institutional
models
for
environmental compliance;
• Published
reports
of
workshop
proceedings for interested stakeholders,
government ministries, and the public.
Technical
Training of the staff in
Training
for • Application and interpretation of data
APPCB
from all acquired laboratory equipments;
• Quality assurance protocols for SPCB
laboratories, statistical methods for data
interpretation and validation;
• Hazardous waste testing, finger printing
TCLP, and identification protocols and
standards;
• Tools and methods used to identify and
22
Expected Outcome
waste dumpsites.
Infrastructure facilities
in the laboratories of
the APPCB will be
upgraded.
Setup ECAC in AP.
Technical training for
building the capacities
of the staff to support
the effective utilization
and analysis of data
from
acquired
laboratory equipment,
and to strengthen the
capacity
in
management
and
Component
Activities
Expected Outcome
characterize legacy sites;
remediation of waste
• Remediation
technologies
for dump sites.
contaminated sites;
• Transport and fate of contaminants in
soil and groundwater;
• Inspection
and
enforcement
of
hazardous waste management at
industries – generation, operations,
storage, transportation, treatment and
disposal;
• Municipal waste landfills – operations
and monitoring for compliance; LFG
venting and utilization and leachate
treatment and management;
Impact of MSW Dumpsites on Environment (15 Corporations)
Inventorization and Characterization of HW categories & ewaste and GPS works
Assessment of contaminated soil and ground water near illegal
dumps
16. Component 2: Project demonstration activities will be implemented in pilot sites in Andhra
Pradesh which have been identified due to their advanced state of readiness. Project investments
for remediation will be defined on the basis of area-wide Management Plans focusing on
hazardous waste and old solid waste dump legacy sites, where the plans will be developed and
implemented with stringent social and environmental safeguards in place.
17. Site A: Remediation of Noor Mohammad Kunta Lake: This component includes a step-wise areabased management approach consisting of near-term remediation of apparent risks and
implementation of remedial measures of soil, ground water, surface water and sediment
contamination of NMK lake. Long term impact assessment and remediation strategy is also
planned along with a Monitoring and Control strategy.
18. Site B: Closure and containment of Kadapa Municipal Solid waste site: This component includes clearing
the existing municipal solid waste dump yard in Kadapa Muncipal Corporation, reducing the
risks from contamination and exposure to health hazard and providing improved air quality and
ambient environment for the communities near the site.
19. The activities under this component and the outcomes are as detailed below:
23
Site A: NMK Lake
Activity
Activities/
Consultancies
Detailed reassessment/
engineering Study, bid
document preparation
and supervision
Outcome
Remedial Options Study along with Site
Specific Risk Assessment to develop the
standards for cleanup of site for water,
sediments and soil surrounding the lake.
NGO Work for
community
communication,
identification of PAPs
Final SSRA and the
recommended
option for Cleanup.
Remedial Action Plan (RAP) – will be
developed based on detailed Phase III- can be
part of the Phase III or separate. – provide
engineering for how to go about the cleanup
including technology; engineering and
equipments.
GIS Works and
identification of data gaps
Remedial Action
Plan
Implementation of the RAP including removal
of sediments and soil; treatment of water;
redirecting contaminant flows into the lake;
landscaping and other infrastructure.
Post remediation ground Contract and
water investigation, and Contract
implementation
monitoring
Record of Site Condition – site audit and
review of works to ensure work was completed
and all the cleanup has been to the standard.
Environmental
Monitoring Initiative
Post remedial strategy
Post closure monitoring
Environmental Site Assessment – Phase II and
Phase III for delineating the contamination –
assessing the extent of contamination in
surface-/ground water, sediments and soil;
quantities, characteristics and topographical
information;
Site B: Kadapa Dumpsite
Phase I and Phase II ESA of the site to assess the
contamination by leachate and garbage to the
surrounding ground and surface water; under the
extent, quantity and characteristics of
contamination;
ESA to understand environmental/ecological
concerns; socio-economic issues; transportation,
land use and other issues.
Detailed
reassessment/
engineering Study, bid
document preparation
and supervision
Detailed Site
Investigation Report
Audit Report for
cleanup of site.
Baseline Status
Report with clear
delineation of
contaminant issues.
ESIA Report
24
Development of Remedial Options and Action
Reports. The Options should include Landfill
Rehabilitation and Closure of dumpsite; LFG
control and management; Leachate control and
management; Landfill mining; Reclamation of
recyclables and composted waste; Potential change
in land use; Development of sanitary landfill at the
site; etc.
Implementation of RAP
Environmental
Monitoring Initiative
Record of Site Condition – site audit and review of
works to ensure work was completed and all the
cleanup has been to the standard.
Post closure
monitoring
Remedial Options
Report and finalized
Remedial Action
plan after
discussions and
consultations
NGO works for
Contract and
cleanup
community
communication,
identification of PAPs
Audit Report for
cleanup of site.
III. Project Budget for APPCB
Description of Services
Estimated Cost Incl
Cont. & Taxes
(in 000 US$)
Impact of MSW Dumpsites on Environment (15 Corporations)
(Domestic)
Consultancies - Business Strategy for ECAC
Detailed reassesment/ engr. Study, bid document prep., and
supervision - NMK
NMK - Exec Engineer (Full time)
NMK - Dy Exec Engineer (Full time)
Technical Consultant
Monitoring and Evaluation Specialist
Procurement Assistant - Consultant
FM Specialist - Consultant (Accounts Officer)
FM Assistant - (Accountant)
Environment and Social Specialist-Consultant
Communicational Specialist-Consultant
NGO Work for community communication, identification of
PAPs- NMK
Independent supervision consultant - NMK
Detailed reassessment/ engr. Study, bid document prep., and
supervision in Kadapa site
GIS Works and identification of data gaps - NMK
Post remedation ground water investigation, and monitoring –
25
262.59
360.68
774.78
101.46
81.17
104.58
104.58
41.79
72.59
18.66
104.58
72.59
138.04
569.69
222.71
162.74
1236.37
NMK
Kadapa dump sites – NGO works for community
communication, identification of PAPs
Supervision consultant – Kadapa
Social monitoring and social audit – Kadapa
Inventorisation and Characterization of HW categories &ewaste and GPS works
Environmental Monitoring Initiative - Kadapa
Environmental Monitoring Initiative - NMK
Assessment of contaminated soil and ground water near illegal
dumps
Consultancy for development of post remedial strategy - NMK
Post closure monitoring- Kadapa
Sub-total:
Remediation Works for NMK
Closure & containment works (Excavation & related works,
stabilization & closure) – Kadapa
Sub-total:
Office equipment
Laboratory equipment
Sub Total
Project Management and Misc. cost
Grand Total
26
153.38
150.16
37.54
579.73
18.51
24.50
400.68
137.16
78.80
6010.05
27938.97
3441.29
31380.26
8.56
2552.24
2560.80
736.95
40688.06
SECTION IV
WEST BENGAL POLLUTION CONTROL BOARD
I. Institutional and Implementation Arrangements
1. An appropriate project governance structure has been established in WB to ensure coordinated
implementation, effectiveness, accountability, oversight and transparency of implementation.
The WB Pollution Control Board (WBPCB) shall be responsible for coordination and
implementation of project activities at state level and reporting to MoEF. The Member Secretary
of WBPCB has been nominated by the State Government of West Bengal to be the Project
Director for the project.
Project Implementation Unit (PIU):
2. The overall responsibility for project execution will lie with the qualified Project Implementation
Unit (PIU). The PIU will be headed by a Project Director (PD). Besides, there will be one
Deputy Project Director (DPD) who will assist the PD and will be responsible for overall
coordination among the six Cells as mentioned below. He will also be responsible for all
technical matters pertaining to the project. The six cells headed by Senior Officers of the
WBPCB will be responsible for project components and will work under the guidance and
supervision of DPD :
i)
Technical Cell (HWM)
ii)
Technical Cell (MSW)
iii)
Infrastructure Cell (Lab)
iv)
ECAC Cell
v)
Finance & Accounts Cell
vi)
Procurement Cell
3. The PIU staff will be selected following bank procurement procedures. The same principle will
be followed for selection of consultants. The PIU will ensure that procurement, financial
management and disbursement aspects of the projects are fully consistent with applicable Bank
guidelines. The Cells will be responsible for coordinating day to day activities under respective
components. In addition, suitable number of evaluation committee will be established by the
Project Director to evaluate proposals under the respective components.
27
Organizational Chart
Principal Secretary
Project Director & Head – PIU
Project
(Member Secretary) [WBPCB – 50%]
DoE, GoWB
Steering Committee
Project Coordination
Team
Steering
Committee
(ECAC)
(Dr. Dipak Chakraborty)
[Dy. Proj. Director, WBPCB]
Technical
Expert
Committee
(ECAC)
(Project Coordinator 1)
[External - 100%]
Head – Technical
(Project Coordinator 2)
Cell (HWM)
Head – Technical
Cell (MSW)
Head – Infrastructure Cell (Lab)
(Dr. Tapas Kr. Gupta)
(Dr. Ujjal Kr. Mukhopadhyay)
(Mr. Subrata Ghosh)
Training Spl.
(…………………..)
[WBPCB]
[External –100%]
Head – ECAC Cell
(Mr. Subhasis Pal)
[External - 100%]
(Mr. Shyamal Kr. Adhikari)
[WBPCB]
Proj. Officer (HWM)
Proj. Officer (MSW)
Proj. Officer (Lab)
Proj. Officer (ECAC)
(Mr. Debashis Sarkar)
(Mr. Prabir K. Barai)
(Ms. Barna Majumdar)
[WBPCB]
[WBPCB]
[WBPCB]
[WBPCB]
Proj. Eng. (HWM)
Proj. Eng. (MSW)
Proj. Officer (IT)
Asst. Proj. Officer -1
(…………………)
(…………………)
(……..………………..)
(…………………………..)
[External –100%]
[External– 100%]
[External– 100%]
[External – 100%]
[External– 100%]
Env. & Soc..
Spl.
(…………………..)
[WBPCB]Kundu)
(Ms. Sarmistha
Proc. Spl.
(……………..)
[WBPCB]
Proj. Sc. Asst. - 1
Proj. Asst. (IT)
(…………………)
(………..……………)
Asst. Proj. Officer -2
(………………………….)
[External– 100%]
Head – Finance &
Accounts Cell
[WBPCB]
Proj. Acc. Officer
(……………………..)
[External –100%]
Comm. Spl.
(…………………..)
[External –100%]
[WBPCB]
Proj. Jr. Acc.
Officer
(……………………..)
[External – 100%]
Acc. Asst. - 1
(…………………)
[External– 100%]
Environment[External
Compliance
Assistance Center
– 100%]
Center In-charge – Ms. Rita Dutta [WBPCB]
[External – 100%]
Proj. Sc. Asst. - 2
(…………………)
Env. Specialist
IT Specialist
Acc. Asst. - 2
(………………….)
(…………….)
(…………………)
[External – 100%]
[External – 100%]
(…………………)
Asst. Env.
Specialist
Asst. IT
Specialist
[External– 100%]
(………………….)
(………………….)
[External – 100%]
[External – 100%]
[External– 100%]
Proj. Anly. Asst.-1
[External – 100%]
Office Assistant
(………………….)
[External – 100%]
Project Steering Committee
4. A Project Steering Committee (PSC) has been established to provide guidance and to build
consensus among project stakeholders on major policy issues related to the implementation of
the Project. The membership of the PSC is as follows:
1.
2.
3.
4.
5.
6.
7.
Principal Secretary, Department of Environment
Principal Secretary, Department of Finance
Commissioner, Kolkata Municipal Corporation
Managing Director, WB Industrial Development Corporation (WBIDC)
District Magistrate, Hooghly
Representative of CPCB, Eastern Regional office
Representative of Bengal Chamber of Commerce & Industry (BCCI)
28
8.
9.
10.
11.
Representative of Indian Chamber of Commerce (ICC)
Representative of Hooghly Chamber of Commerce
Prof. Sisir Kr. Nag, Department of Geological Science, Jadavpur University, Kolkata
Prof. Kalyan Bhar, Department of Civil Engineering , Bengal Science & Technology
University, Shibpur
12. Member Secretary, WBPCB
5. The responsibilities of the PSC will be as follows:
 Approval of the Project Annual Plan and PIU budgets
 Approval of the organizational structure of the PIU
 Carry out a mid-term review of the project.
 Monitor Project progress and review progress reports and advise as necessary.
 Provide recommendations, guidance and, as appropriate, decision making on matters of
substance and priority which the technical teams will put before the PSC (in coordination
with the PIU).
 Discuss and resolve any implementation issues that cannot be resolved at the level of the
PIU.
 To consider approval of up-dated procurement plans and suggest amendment of the Credit
Agreements, if necessary.
 Set up working, evaluation and technical committees as required.
6. Support to the PSC will come in the form of: (I) secretariat services by the PIU, including the
preparation of meeting minutes and circulation of agendas, management of documents and
relevant data, etc.; and (ii) if required, ad hoc technical assistance to provide the members with the
adequate knowledge and exposure to make carefully informed decisions and recommendations
on matters put before the PSC.
II. Project Components:
7. The following activities will be implemented by WBPCB under the project:
 Component 1: Strengthening Environmental Institutions: Building Capacity for Remediation
o Sub-component 1.b: Environmental Compliance Assistance Centers
o Sub-component 1.c: Institutional Capacity Building of State Pollution Control Boards
 Component 2: Investments in Priority Remediation and Environmental Improvements in orphan
hazardous waste sites and municipal dumpsites
 Component 3: Project Management
8. Component 1, Sub-component 1.b: An Environmental Compliance Assistance Center has been
established to promote increased environmental compliance of industry, particularly small and
medium size enterprises, in meeting the national and state regulatory requirements. In order to
better assess the existing institutional structure for providing compliance assistance and to learn
29
from other international models, the WBPCB will undertake analytical studies and reach out to
the affected stakeholders.
9. Component 1, Sub-component 1.c: This component will provide technical support and infrastructure
to the Laboratories of the WBPCB besides institutional capacity building for inventorization and
characterization (including determination of waste generation factors) of hazardous and
municipal solid waste generated in the state, assessing public health and ecosystem risks and
economic, social and environmental benefits derived from project activities. This component
will facilitate WBPCB with specialized technical expertise to support the monitoring of
demonstration sites under the project and to develop the hazardous waste remediation and
rehabilitation program in the state. The WBPCB will require technical training to support the
effective utilization and analysis of data from acquired laboratory equipment, and to strengthen
the capacity in management and remediation of hazardous waste.
10. The WBPCB will require specialized laboratory equipment, GIS mapping (software), and other
equipment to analyze data from demonstration sites, monitor environmental impacts, and
develop the hazardous waste remediation and rehabilitation program in the state. The technical
equipment will include the following items:
 GC-MS(HR)
 ICP-MS
 Bomb calorimeter
 Flash point tester
 Solid waste extraction assembly
 Concentrator of organic extracts
 Sampling apparatus assembly for VOCs and POPs
 Sampling apparatus for Dioxins and Furans
 X-Ray Fluorescence Spectrometer
 IR-Spectrometer
 MSMS attachment for HPLC
 TCLP apparatus (with zero head space assembly)
 Spares and consumables for related instruments
11. The detailed activities under Component 1 and their outcomes are detailed below:
Component
Activities
Expected Outcome
30
Component
Technical
Assistance for
WBPCB
Activities
• Inventorisation and characterization of
hazardous waste including determination of
waste generation factors;
• Mapping of hazardous waste units, illegal
hazardous waste dumpsites, and municipal
waste dumpsites;
• Pre-feasibility study of contaminated soil
and groundwater from hazardous waste at
targeted priority sites;
• Environmental and social impact
assessment of municipal solid waste
dumpsites.
Infrastructure
• Procurement of necessary sampling and
Support for
Analytical equipment, specialized laboratory
WBPCB
equipment, GIS mapping, and other
equipment to analyze data from hazardous
waste and municipal waste demonstration
sites, monitor environmental impacts, and
develop the hazardous waste and municipal
waste remediation and rehabilitation
program in the state.
Environmental  Analytical study of existing institutions in
Compliance
WB that provides compliance assistance.
Assistance
 Workshop to introduce international
Center
compliance assistance models to key
(ECAC)
stakeholders;
 Workshops to involving diverse stakeholders
in vision and action planning regarding ways
to strengthen the institutional models for
environmental compliance;
 Published reports of workshop proceedings
for interested stakeholders, government
ministries, and the public.
Technical
Training of the staff of WBPCB in:
Training
for  International training related to
WBPCB
quantification and categorization of process
specific hazardous wastes and determination
of waste generation factors for specific
waste types
31
Expected Outcome
Inventory of Hazardous
waste generators and
quantities;
Inventory of illegal
dumpsites for industrial
waste;
;
ESIA of illegal
hazardous waste
dumpsites and
municipal waste
dumpsites.
Infrastructure facilities
in the laboratories of
the WBPCB will be
upgraded.
An effective ECAC
ensuring better
environmental
compliance
Technical training for
building the capacities
of the staff to support
the effective utilization
and analysis of data
from acquired
Component







Activities
International training related to monitoring
of environmental impact of legacy sites for
various classified wastes
International training related to operation of
the equipments used for contaminant study
(soil & ground water aquifer) including POP
& VOC and training related to QA/QC
protocol
Domestic training related to statistical
methods for interpretation and validation of
data
International training related to use of
modern tools to identify legacy sites &
remediation technologies for contaminated
sites
Domestic training related to development of
onsite and offsite emergency response plans
Domestic training on integration of 4R
approach in process
International training on monitoring of land
fill gases and leachate analysis for
municipalities
Expected Outcome
laboratory equipment,
and to strengthen the
capacity in management
and remediation of
waste dump sites.
12. Component 2: Project demonstration activities will be implemented in pilot sites in WB which
have been identified due to their advanced state of readiness. Project investments for
remediation will be defined on the basis of Area-wide Management Plans focusing on hazardous
waste and old solid waste dump legacy sites, where the pilot area management plans for
remediation will be developed and implemented with stringent social and environmental
safeguards in place.
13. Site C: Remediation of Dhapa MSW site: This component includes clearing the existing municipal
solid waste dump yard in Dhapa, reducing the risks from contamination and exposure to health
hazard and providing improved air quality and ambient environment for the communities near
the site.
14. Site D: Remediation of Hooghly Hazardous waste sites: Remediation of the following 7 identified
contaminated illegal hazardous waste dumping sites will be undertaken under this activity:
 Site1: Near Ghosh and Sarkar Weigh Bridge, Delhi Road, Village Simla/Madpur,
 Site-2: Netaji More, Delhi Road (1.7 km from Baidyabati)
 Site -3: Near Netaji More, Delhi Road
 Site-4: Near Zenith Timber Products, Netaji More
32



Site-5: Near Pashupati Seong and East India Flour Mills, Delhi Road
Site-6: Ashalata Brick Field, Near Indotan Industries
Site-7: Near M/s Shivam Gases Ltd., , Chakundi, Dankuni
15. Additionally, the WBPCB will consider upgrading the existing hazardous waste landfill at
Chakundi, which is being used for disposal of chromium bearing wastes by Bichromate
Manufacturing Units, if required as an alternative to transportation of untreatable waste from
Site D. Technical provisions for containment and cover system have to be designed and
approved by WBPCB before any action take place.
Site C: Dhapa Dumpsite
Activity
Activities/
Consultancies
Phase I and Phase II ESA of the
Detailed reassessment/
site to assess the contamination by engineering Study, bid
leachate and garbage to the
document preparation
surrounding ground and surface
and supervision
water; under the extent, quantity
and characteristics of
contamination;
ESA to understand
-doenvironmental/ecological
concerns; socio-economic issues;
transportation, land use and other
issues.
Development of Remedial
Environmental
Options and Action Reports. The Monitoring Initiative
Options should include Landfill
Rehabilitation and Closure of
dumpsite; LFG control and
management; Leachate control
and management; Landfill mining;
Reclamation of recyclables and
composted waste; Potential
change in land use; etc.
Implementation of RAP
NGO works for
community
communication,
identification of PAPs
33
Outcome
Baseline Status Report
with clear delineation of
contaminant issues.
ESIA Report
Remedial Options Report
and finalized Remedial
Action plan after
discussions and
consultations
Contract and cleanup
Activity
Record of Site Condition – site
audit and review of works to
ensure work was completed and
all the cleanup has been to the
standard.
Activities/
Consultancies
Post closure monitoring
Site D: Hooghly Hazardous Waste Sites:
Activity
Activities/
Consultancies
Environmental Site Assessment – Detailed reassessment/
for delineating the contamination engineering Study, bid
– assessing the extent of
document preparation
contamination in surface-/ground and supervision
water, sediments and soil;
quantities, characteristics and
topographical information;
Outcome
Audit Report for cleanup
of site.
Outcome
Detailed Site Investigation
Report
Remedial Options Study along
with Site Specific Risk Assessment
to develop the standards for
cleanup of site for water,
sediments and soil surrounding
the dumpsite.
NGO Work for
community
communication,
identification of PAPs
Final SSRA and the
recommended option for
Cleanup.
Remedial Action Plan (RAP) –
will be developed based on
detailed Phase III- can be part of
the Phase III or separate. –
provide engineering for how to go
about the cleanup including
technology; engineering and
equipments.
GIS Works and
identification of data
gaps
Remedial Action Plan
Implementation of the RAP
including removal of
contaminated waste /sediments
and soil; treatment of
contaminated water;
Post
remediation Contract and Contract
ground
water implementation
investigation,
and
monitoring
34
Record of Site Condition – site
audit and review of works to
ensure work was completed and
all the cleanup has been to the
standard.
Environmental
Monitoring Initiative
Post remedial strategy
Post
monitoring
Audit Report for cleanup
of site.
closure
16. The same activities will apply for the upgrading of the Chakundi site, if deemed necessary by
the WBPCB.
III. Project Budget for WBPCB
Description of Service
Estimated
Cost Incl
Cont. & Taxes
(in 000 US$)
ECAC:Preparation of a detailed business strategy and plan
Technology Assimilation / Sector studies done by
international experts
Periodic sector studies done by domestic / national experts
Sub Total
Hooghly HW Sites
Detailed design, engineering and bid document preparation
and supervision
Inventorization and Characterization of HW Categories and
Sampling and analysis of HW
Hooghly Sites Social Support (Firm)
Independent third-party soil & water monitoring – Hooghly
HW Sites
Community communication – Hooghly HW Sites NGO/Firm
Environmental Monitoring Initiative - Hooghly
Sub Total
Dhapa MSW Site:Detailed feasibility / engineering study and bid document
preparation and supervision Impact of MSW Dumpsites on Environment
Dhapa Social Support (Firm)
Community communication and monitoring – Dhapa MSW
Site
Environmental Monitoring Initiative - Dhapa
Sub Total
PIU
35
180.34
1298.43
1659.32
3138.09
606.03
264.50
46.09
139.62
6.57
1140.94
236.71
169.84
43.28
24.67
709.55
Assessment and preparation of priority contaminated sites at
Khandla / Durgapur and Belda/Dankuni
Identifying Illegal Dumpsites
Information System – Technical Manpower (Consultant –
Information Management System
Procurement Assistant (Full time)
Procurement Specialist (Full time)
Environment & Social Safeguards Specialist
Communication Specialist-Consultant
Project Coordinator
Project Officer/Engineer(3 nos)
Project Assistant Scientific (2 nos)
Accounts Assistant (2 nos)
Environment Specialist for ECAC
IT Specialist for ECAC
Assistant IT Specialist for ECAC
Office Assistant for ECAC
Sub Total
*Assumption: price contingency 10% and Physical contingency 10%
36
956.46
137.22
21.40
26.95
38.61
46.09
46.09
33.79
196.10
336.87
40.44
315.24
2195.26
SECTION V
ENVIRONMENT AND SOCIAL MANAGEMENT FRAMEWORK
1. Component 2 - Investments in Priority Remediation and Environmental Improvements:
Rehabilitation of legacy hazardous waste sites: More specifically, the four sites selected for
remediation in the pilot states of AP and WB involve the following Safeguard Policy Issues:
Site A: Remediation of Noor Mohammad Kunta, Andhra Pradesh
2. There is a small religious site next to the lake and a nearby cemetery. The ESA includes an
assessment of possible impacts on Physical and Cultural Resources and mitigation measures to
ensure that possible impacts are addressed and protected according to World Bank policies on
Physical Cultural Property (OP/BP 4.11). The Masjiid-O-Darga of NMK lake and the graveyard
are the only religious places likely to receive direct and temporary impact from project activities
due to the site proximity. The recommendations are taken into consideration not only in terms
of diminishing disruption of religious rituals but also in terms of safety and health hazards.
There also is evidence of a small number of rag-pickers (approximately 10) who collect metal
and other saleable waste from around some of the smaller lakes. These individuals have been
identified and their circumstances are addressed by the SMP, in accordance with the
requirements of GOI and World Bank Safeguards Policies related to rehabilitation and income
restoration.
Site B: Remediation of the Dumpsite in Kadapa, Andhra Pradesh
3. Though project activities would not require relocation of people, they would shut down income
sources for rag-pickers and others whose livelihoods are derived from dump materials. The
ESA has identified these individuals, determined whether they belong to SCs/STs/OBCs, and
has prepared an SMP to properly protect and compensate them as required by GoI, GOAP, and
World Bank Safeguard policy requirements (notably OP/BP 4.12 and OP/BP 4.10). In
addition, the SMP provides for job skills training, livelihood support and incentives to ensure
that the children who were formerly working as ragpickers attend school, as well as health and
rights awareness-raising activities, in order to help improve the life opportunities of PAPs. A
RAP has been prepared for several families of rag-pickers who were identified during the social
assessment as living in make-shift shelters on the site and the same will be verified during project
implementation, and the RAP will be updated accordingly.
Site C: Remediation of Dhapa - old municipal dump site adjacent to East Kolkata Wetlands,
West Bengal
4. The following safeguards and other social issues have been observed at the site:
37





The KMC is constructing a brick wall around the whole area in order to demarcate the area
(not to keep out rag-pickers). The fencing-off of the area is a policy decision made and
implemented by local government well before the site is being considered for inclusion as
one the project demonstration sites. The Environmental and Social Assessment (ESA) has
developed an SMP that makes recommendations on how to help the state to develop a plan
for restoring income of the approximately 600 rag-pickers who will no longer have access to
the 8.21-ha plot (closed around end of Year 2) and the 12.8-ha plot (closing around end
year 5).
Rehabilitation and Restoration of Income for rag-pickers: Up to 600 rag-pickers are active
on the total 21 acres for their livelihoods. About half are children under age 18. The
majority of rag-pickers are female, although there is a sizeable representation of males as
well. These are people who reside in the villages surrounding the site. They are mostly
Mondal people, who are SCs (so in this case World Bank OP/BP 4.10 on Indigenous
Peoples would not be triggered). This is a full-time job for many, and for some households
in the nearby village, rag-picking is the sole source of income. Each full-time rag-picker
gathers 50-100 kg of waste per day, sale income from which yields an average of 150 Rs per
day. The children who are rag-picking (some attend school part time) earn an average
income of 25 Rs per day. According to stipulations of World Bank Safeguards Policy
OP/BP 4.12, the rag-pickers’ income will be compensated when the dumpsites shut down,
before which time they will receive job training for alternative employment opportunities.
When the 8.21-ha area is shut down by end of Year 2, it is predicted that most, if not all, of
the rag-pickers there will move to the larger dump site and continue rag-picking until that
dumpsite is closed by end of Year 5. The SMP has proposed a phased process of
rehabilitation and income stream restoration, as well as means of encouraging families to
keep their children in school and not let them near the dumpsite, as children are more
vulnerable to the disease associated with the waste.
Three small vendors set up around the dump-site to sell food, tea, betel leaf, chewing
tobacco. The estimated revenue from total food sales per day is 50-100 Rs. per person per
day. The SMP also proposes means of compensation for lost potential income to these
parties.
Surrounding the two dumpsite ‘hills’ is about 700 ha of land that is actively farmed by local
community members. The farming produce consists of vegetables (e.g., cauliflower). Toxic
waste from the dumpsite leaches into the water and soil and evidently contaminates the
produce. This leachate is visible, gathering even outside of the brick wall being built around
the 8.21-ha area. The land is all owned by KMC, and none of the local people farming it
have leases; they are all encroaching. The farming issues are addressed as part of the SMP.
People living near the dumpsites (about 300 households, approx. 3000 population) report
myriad problems that they associate with the nearby pollution. These include:
- Water that is so polluted (red-brownish color in the wells) that people no longer
drink it; they use the contaminated water for farming and washing still. The water
that KMC is supplying is not adequate and barely meets the needs of cooking and
drinking.
- Asthma, TB, malaria, and diarrhea are prevalent in all villages. Eye irritation and
nose burning because of methane gas released by the dumpsite was reported by
residents of Kannapaedia. This is closest village to the dumpsites and is directly
down-wind of it. Only this village expressed feeling eye irritation and nose burning
as a direct result of the nearby site.
38
-
-
In all the villages (Khanaberia, Durgapur, Anatamahal, Voicethala, Makaltala,
Choinabae and Ucchipota), people complained about the bone recycling industry and
cremation of people (separate place from the bone recycling) on the site. People
identify the pollution as the cause of their diseases and complain about the burning
smell. Those farming the surround fields complain about the burning of bodies.
The major occupations in these villages are farming, fishing, rag-picking and working
as laborers in the Dhapa farm lands and in Kolkata. Farming occurs right outside
the boundary wall, although KMC has cleared the nearest farming area. Fish ponds
also lie outside the wall, and only men are involved in the fishing. The whole area is
wetlands; in the villages many of the houses are surrounded by water. During
monsoon season, the approach road also is filled with water. The groundwater is not
of good quality for farming and fishing.
Site D: Remediation of seven (7) chemically contaminated sites in the District of Hooghly,
West Bengal
5. Although the population living at the sites is very small (approximately 6 people at the Sarkar
Weighbridge site and 15 people at the Minu Bridge site—all living in dhabas at each site), they
would need to be relocated, at least temporarily, during remediation activities at the sites and
compensated for lost income during the period remediation. At the Sarkar site, the people living
there also are doing business for the truck drivers who come through for the weighbridge and
each adult person earns an average of 2500 Rs. Per month. There also are 2 children earning
money there (washing utensils), about 1,000 Rs. Per month. At the Minu bridge site, there is a
4-member family that owns the dhaba, plus about 11 people who stay in the dhaba and also
work, earning about 5,000 Rs per month (the earnings are higher at this site because there is
more land available for parking.
6. The Durga Temple is the only Physical Cultural venue likely to receive direct impact from
project activities due to its proximity to the Ashalata Brickfield Hazardous waste Site. In order to
mitigate the potential risk associated with accessing the temple particular attention has been
given to secure access, lighting of the temple during works and road safety, preventing noise and
dust to worshipers and waste spillage from transportation.
Generic Timeframe for ESMF Implementation
7. ESMF implementation will take place one month before project effectiveness and lasts until post
remediation environmental and social monitoring. The time frame for implementation with all
these technical stages of remediation is given in Table below.
39
Technical Stage
during Remediation
1 month prior to
effectiveness
Social-Environmental Management Measures
Responsible Party
Develop TORs  RFPs for NGO teams (4) dealing with SMPs at each site
SPCBs,
under
supervision of MoEF
and World Bank
Project Effectiveness
ESMP already developed, references in project legal document regarding ESMP
implementation responsibilities: SPCBs send out RFPs for 4 NGO teams for social
issues.
Bidding documents received; review bidding documents to verify compliance with SPCBs
ESMP requirements for implementation, including cost provisions
Grievance redress mechanisms for all sites in place
SPCBs
1.5 months after
effectiveness
2 months after
effectiveness
3 months after
effectiveness
NGO teams are procured; signing of contract with legal provisions for implementation
NGO teams, under
supervision of SPCB
social/env specialist
4 months after
-Prepare plans for giving ID cards to PAPs
NGO teams; SPCB
effectiveness
-Prepare arrangements for income restoration in collaboration with SPCB/Municipal PIU communications
Commissioner
specialist
-Prepare training plans for different groups of people among PAPs
- Prepare content for community awareness workshops
5 months after
-Verify list of PAPs/income restoration recipients;
NGO teams, under
effectiveness
- Cut-off date for PAP eligibility; process ID cards
supervision of SPCB
-Hold health/rights awareness workshops for PAPs; NGOs identify who wants soc/env specialist;
training in first phase and subsequent phases, and who will continue rag-picking until PIU communications
final dumpsite closes (Dhapa)
specialist
-Hold first broader community awareness workshops
-Identify local community groups to participate in monitoring
6 months after
- Relevant PAPs relocated and compensated, according to RAPs
NGO teams;
effectiveness:
- Begin distribution of all other compensation/income restoration packages for adult SPCBs/District
Implementation of site PAPs
Commissioner (holding
works commences
- Compensation to former child PAPs’ families occurs via monthly stipend after NGO funds)
40
Throughout
remediation of sites
Remediation works
completion
verifies full-time school attendance: 12 months, according to SMPs
- Training in job skills, financial management begins; 6-month training program for
first batch of PAPs
- PAPs who may continue as ragpickers (Dhapa) receive safety equipment
- Grievance redress mechanism staff meet with SPCB once per month
-Supervision specialist conducts random field checks throughout
- Skills training continues for total 2 years
- NGOs facilitate job acquisition for trained PAPs
- PIU verifies there are no complaints filed in grievance redress mechanism or fully
addresses any complaints
- Grievance mech. staff continues monthly meetings at SPCB throughout Yr 1 and Yr
2; throughout Yr 3-5 have semi-annual meetings.
- NoC for setting up Diesel Generator sets used for power backup.
- Permission for Storage, handling, and transportation of Hazardous material from
SPCB.
-Pollution under control certificate under motor vehicle act for all vehicles used for
remediation.
-In case of soil being procured from private land then NoC required from land owner.
If soil is used from government land then permission certificate from that govt. agency.
-Restoration plan for borrow area should be prepared by remediation contractor.
- Permission from Central Ground Water board for setting up bore well for
remediation purpose.
-Labor license from labor department in order to hire labor for remediation.
-Proper disposal of waste water from labor camp.
-In case of blasting permission from mine concern mine department.
- Environmental Monitoring will be carried out at locations which will be finalized by
contractor in consultation with Environmental Expert of PIU.
-The frequency and no of locations have been given in ESMP section of this report
-Verify absence of complaints filed in grievance redressal mechanism, discuss with
communities.
-Monitoring of air, soil, noise water in order to evaluate environmental conditions after
remediation works completes.
41
SPCB PIU Env/Social
specialist
-NGO teams
SPCB
SECTION VI
PROCUREMENT PROCEDURES
FOR MOEF, APPCB AND WBPCB
I.
Procurement Management
The procurement management is organized jointly by respective Project Director, Project
Coordinator and the Procurement Consultant. They will be responsible for all procurement,
financial management, quality assurance, monitoring and evaluations under the project.
General
Procurement for the proposed project would be carried out in accordance with the World Bank's
"Guidelines: Procurement under IBRD Loans and IDA Credits" dated May 2004 revised October
2006 and May 2010; and "Guidelines: Selection and Employment of Consultants by World Bank
Borrowers" dated May 2004 revised October 2006 and May 2010, and the provisions stipulated in
the Loan and Credit Agreements. The various items to be procured are described in the tentative
procurement plan as in Annexure - III. For each contract to be financed by the Project, the different
procurement or consultant selection methods, the need for pre-qualification, estimated costs, prior
review requirements, and time frame are agreed between the Borrower and the Bank in the
Procurement Plan. The Procurement Plan will be updated annually or as required to reflect the
actual project implementation needs and improvements in institutional capacity All procurement
shall be made by the PMC.
The projected procurement would initially be advertised in a General Procurement Notice (GPN),
and Specific Procurement Notices to be issued thereafter as needed. The Borrower will publish a
GPN, acceptable to the Bank, online in the UNDB and in the Development Gateway's dgMarket.
The individual specific procurement notices (SPN) for goods and civil works and request for
expression of interests (REoIs) for consulting services will be advertised in a national newspaper
and/or in the beneficiary's website. The SPN for International Competitive Bidding Goods and
Civil Works packages and REoIs for consultant's contracts above USD 200,000 equivalent would be
advertised on-line in UNDB/dgMarket. The results of contract awards for goods, civil works and
consulting services will be posted on the UNDB and in the Development Gateway's dgMarket as
required under the Guidelines.
The Recipient would follow the World Bank anti-corruption measures and would not engage
services of firms and individuals debarred by the Bank. In this regard the MOEF/PMC will ensure
to check such debarred firms and individuals, list of which is located at: http://www.worldbank.
org/html/opr/procure/debarr. html
Procurement of Works -Works contracts estimated to cost less than USD 10 million may be
purchased following the National Competitive Bidding (NCB); below are additional provisions for
NCB procedures. Small works contracts estimated to cost USD30,000 and less will be procured
following the shopping procedures, on basis of three written quotations obtained from qualified
contractors. Procurement will be done using the bidding documents agreed with Bank.
42
Procurement of Goods and Services (other than consulting services): Goods procured under
this Project would include IT equipment, office furniture, vehicles, environmental monitoring
equipment, lab and testing equipment, etc. Goods, technical services and equipment estimated to
cost US$500,000 or more will be procured through International Competitive Bidding (ICB). Readily
available off-the-shelf goods estimated to cost less than US$ 30,000 each may be procured through
Shopping on the basis of three written quotations obtained from qualified suppliers. The
MOEF/PMC would solicit quotations from at least three (normally 5-6) suppliers from eligible
source countries. Alternatively the Goods can also be procured under Director General supply and
disposal rate contract, under National Shopping. In case of Shopping for procurement of IT
equipment (hardware, software, etc.) the MOEF/PMC will follow the procedures set forth by the
Bank.
Direct Contracting: When certain goods are available only from a particular supplier or in case where
compatibility with existing equipment requires that goods must be procured under Direct
Contracting (in accordance with para 3.6 of Procurement Guidelines) and the Bank's prior approval
is obtained with due justification.
Selection of Consultants: Consulting services under the Project would include institutional
strengthening and capacity building of different institutions, design, investigation and supervision
related to civil works contracts, surveys, feasibility studies and other consulting and training services
and workshops. .

Short lists of consultants for services estimated to cost less than USD 500,000 equivalent per
contract may be composed entirely of national consultants in accordance with the provisions of
paragraph 2.7 of the Consultant Guidelines.
In such cases include the following text in the REOI “In accordance with paragraph 2.7 of the
Guidelines for the Selection and Employment of Consultants by World Bank Borrowers, the short list for this
assignment may comprise entirely of national consultants, however foreign consultants may also express interest for
consideration. For that effect, all interested firms are informed that all documents, including the Request for
Proposals, the Proposal and consultant’s contract for the proposed assignment will be issued in English, and
contract price and corresponding payments will be in Indian Rupees.”
The RFP will be based on (i) Language will be English and (ii) Payment will be in Indian
Rupees.

Method of procurement to be adopted : The following methods of selection will be adopted
depending upon size and complexity of assignment, as defined in the Consultancy Guidelines:
Category
Consultants’
Services
Method of Procurement
CQS
SSS
Individuals
QCBS/QBS/FBS/LCS
(i) International shortlist
(ii) Shortlist may comprise
national consultants only
43
Threshold (US$ Equivalent)
Up to 100,000 per contract
with prior agreement with the Bank
No Limit
>500,000
Up to 500,000

The choice of the appropriate method of selection is related to the nature, size, complexity and
likely impact of the assignment, technical and financial considerations. The method of Selection
for each consultancy shall be given in the procurement plan and the Implementing Agency will
execute the procurement plan agreed with the Bank. No selection of consultancy shall be
initiated outside procurement plan and such selection shall not be eligible for Bank financing.
Training: Training will include seminars, conferences, workshops and study tours in connection
with the activities included in the Project components and reflected in the Annual Training and
Study Tour Plans that would be prior-reviewed by the Bank. The Bank will clear the plans upfront,
while changes and additions to the plan would be reviewed separately as they occur and would cover
the list of participants, agenda for training events and estimated budget.
Consultants required for preparation, facilitation in the procurement of goods / equipments,
consultancies and for conducting training activities shall be selected under appropriate procedures
for selection of the Consultants as described above. Selection of such consultants shall be included
in the Procurement Plan.
Operating Costs: The operating costs would finance rent and utilities and also. It will also cover
the POC expenses in regard to POC staff salaries, office space, office supplies, utilities,
communication, disposable of IT equipments, publication of notices, vehicle operation, travel
(domestic), supervision cost and contingencies etc. but excluding salaries of officials and employees
of the Recipient. Consultant required for providing, facilitation of these activities shall be selected
under appropriate procedure for selection of the consultants as described above. Selection of such
consultant shall be included in the procurement plan.
II.
Procurement Staff

The POC will have one full-time procurement Consultant who have gained
knowledge/experience on Bank’s procurement procedures related to consulting services and
goods contracts. The POC procurement Consultant and Project Coordinators will attend
procurement trainings/seminars organized regionally by the Bank on procurement.

The procurement file containing up to date procurement documents (guidelines, manuals,
templates of procurement notices, standard bidding documents for procurement of goods and
works, standard request for proposal documents for consulting services, evaluation report
formats, regional and simplified procurement documents etc.) shall be prepared by the Bank
and provided to POC at the time of Project Launch Workshop. The POC is recommended to
visit the Bank's web-site frequently to ensure using the most updated procurement documents.
The Bank’s Consultancy Manual on the web site is very informative. The Project Launch
Workshop will have a specific session on Procurement Training for the POC staff and other
project beneficiaries.
Responsibility of Procurement Consultant
44

III.

IV.
The Consultant shall assist the Project Coordinator in various components of the project in the
matter of procurement of goods, equipments, consultants and training materials, and also
handle files and correspondence and coordination, procurements of goods/equipment,
consultants and training materials with the World Bank, various implementing agenciesunder
the directions of the Project Director / Project Coordinator he shall organize the evaluation
Committee and organize the evaluation of the bids by the evaluation Committee and will
obtain the approval of MoEF and will help in awarding the contract to the winner after
obtaining ‘No objection’ of the Bank and if necessary enter into the negotiations prior to award
of the Contract.
Communications and Supervision
In order to avoid any confusion, a clear communication procedure between the POC and the
beneficiaries and between the POC and the World Bank project staff should be established.
For example, all correspondence relating to procurement, disbursement, etc., should be routed
to the Bank through the POC. The useful role of the POC here will be to ensure the
completeness and accuracy of the information being exchanged with the World Bank team.
This will also allow the POC to keep track of the procurement and other activities being
undertaken by beneficiaries and to take corrective measures in case of delays. Furthermore, this
will allow POC to collect data on procurement, etc., for preparing consolidated periodic project
progress reports.
Procurement Methods for Goods and Works
The procurement methods permitted under the project are as follows:
a. International Competitive Bidding (ICB)
b. National Competitive Bidding (NCB)
c. National and International Shopping
d. Direct Contracting (Sole-Sourcing)
a) International Competitive Bidding (ICB)
The International Competitive Bidding procedure shall be used for contracts likely to attract foreign
competition either by their nature or by the value of the contract. Under the project, the ICB
method is applicable where the contract is estimated to cost more than $500,000 for goods and
Equipment and $10 million for works. All Goods and Works procurement above US $ 300,000 shall
be subject to prior review by Bank. National firms are encouraged to bid for ICB contracts. Bids
are invited on the basis of adequately prepared bidding documents based on the Bank’s Standard
Bidding Documents. Bidders are allowed to quote and sign contracts in national as well as foreign
currency and not more than three currency in a contract. The bidding period for ICBs shall not be
less than six weeks from the date of advertisement. The advertisement shall also be placed in a
national newspaper of wide circulation.
b) National Competitive Bidding (NCB)
45
The National Competitive Bidding procedure shall be used where the contract is estimated to cost
$30,000 up to $500,000 for goods and equipment. Prior review threshold for Goods and Works is
US $ 300,000.
The bidding period shall not be less than four weeks from the date of advertisement. Domestic
preference shall not be used in the evaluation of NCB bids.
National Competitive Bidding Procedures
NCB will be conducted in accordance with paragraph 3.3 and 3.4 of the Procurement Guidelines
and the following provisions:
(a) only the model bidding documents for NCB agreed with the GOI Task Force (and as
amended from time to time) shall be used for bidding;
(b) invitations to bid shall be advertised in at least one widely circulated national daily
newspaper, at least 30 days prior to the deadline for the submission of bids;
(c) no special preference will be accorded to any bidder either for price or for other terms
and conditions when competing with foreign bidders, state-owned enterprises, smallscale enterprises or enterprises from any given state;
(d) except with the prior concurrence of the Bank, there shall be no negotiation of price
with the bidders, even with the lowest evaluated bidder;
(e) extension of bid validity shall not be allowed without the prior concurrence of the Bank
for the first request for extension if it is longer than four weeks; and for all subsequent
requests for extension irrespective of the period - such concurrence will be considered
by Bank only in cases of Force Majeure and circumstances beyond the control of the
Purchaser/Employer;
(f) re-bidding shall not be carried out without the prior concurrence of the Bank. The
system of rejecting bids outside a pre-determined margin or bracket of prices shall not be
used in the project;
(g) rate contracts entered into by DGS&D will not be acceptable as a substitute for NCB
procedures. Such contracts will be acceptable however for any procurement under
Shopping procedures; and
(h) two or three envelop system shall not be used.
46
FLOW DIAGRAM FOR PROCURING NCB and ICB GOODS AND WORKS
IMPLEMENTING AGENCY PREPARES TENDER
DOCUMENTS
Review by Procurement
Specialist/Project Coordinator
Prior Review
No Objection by World
Bank
IMPLEMENTING AGENCY issue invitation
to tender
IMPLEMENTING AGENCY RECEIVE TENDERS,
EVALUATE AND PROPOSE AWARD
Review by Entity Tender
Committee
Review by Ministry Review
Committee
Prior Review
No Objection by World
Bank
IMPLEMENTING AGENCY AWARDS
CONTRACT AND PREPARES CONTRACT
DOCUMENTS
IMPLEMENTING AGENCY SIGNS
CONTRACT
IMPLEMENTING
AGENCY SUBMITS 2
COPIES OF SIGNED
CONTRA CT TO WB
CONTRACT IMPLEMENTATION
c) National Shopping
Shopping shall be used for procuring goods and equipment of standard specifications that are small
in value where the contract is estimated to cost less than $30,000 for goods and equipment. A
minimum of three quotations shall be solicited from at least three different suppliers, with good
track record. Bidders must be given adequate time to respond. Invitation for quotations shall be in
writing and will have the description and quantity of the goods as well as the required delivery time
and place of delivery, and must include the date, time and place of submission of quotations. No
bidding documents are used. Quotations shall be in writing and shall be opened at the time indicated
in the letter of invitation. Quotations may be submitted by fax or email if so specified. Shopping is
subject to the Public Procurement procedures and the Bank’s subsequent post review.
47
d) Direct Contracting (Sole Sourcing)
This is procurement effected by placing direct orders (single sourcing) and is not encouraged; for
this reason, it is subject to prior approval. However, where it becomes necessary to use the method,
it shall be restricted to and reserved for:
(i)
Procurement of items, which are proprietary in nature;
(ii)
Urgently required items;
(iii)
Repeat orders to meet additional requirements of the same product or for essential
spares from the supplier of an earlier procured equipment, provided there is no
upward revision in the price of the item or a change in specification;
(iv)
Extension of works contracts where this is deemed the most economic procedure;
and
(v)
Exceptional cases, such as in response to natural disasters, and where,
(vi)
Competitive bidding procedures failed to produce a satisfactory contract.
4.1 Thresholds for Procurement Methods:
Table 2.4:- Thresholds For Procurement Methods -Civil Works
Expenditure
Procurement Method
Value (threshold) per contract
Category
Civil Works and International Competitive
Civil works estimated to cost more than
Supply and
Bidding (ICB)
US$ 10.0 million equivalent
Installation
National Competitive
Civil works estimated to cost more than
Bidding (NCB)
US$ 30,000 and less than or equal to
US$ 10.0 million equivalent
Shopping
Civil works estimated to cost the
equivalent of US$ 30,000 or less
Force Account
wherever agreed in the Procurement
Plan and performance/productivity
standards will be agreed with the Bank
before commencement of work
Table 2.5:- Thresholds For Procurement Methods -Goods
Procurement of Procurement Method
Value (threshold) per contract
Goods
Goods/
Equipment/
Machines
International
Competitive Bidding (ICB)
Contracts estimated to cost more
than US$ 500,000/- equivalent
National Competitive
Bidding (NCB)
Contracts estimated to cost more
than US$ 30,000 and <= US$
48
Procurement of
Goods
Procurement Method
Value (threshold) per contract
500,000/- equivalent
Shopping
Contracts estimated to cost less
than or equal to US$ 30,000
equivalent
Direct Contracting
As agreed in the procurement plan
4.2
Bidding documents to be used
The Standard Bidding documents of the Bank as agreed with GoI task force (and as amended
from time to time) for all procurement under NCB will be used. For ICB/ LIB contracts only
Bank’s Standard Bidding Documents (SBDs) will be used. Following bidding documents will be
used for procurement of goods and works :S.no
1
2
3
4
5
6
7
4.3
Particulars
Contract for works valued less than equivalent of US$
30,000/- each:- under NS procedures.
Contract for works beyond US$ 30,000/- and upto US$
100,000 /- under NCB procedures
Contract for works beyond US$ 100,000/- under NCB
procedures upto US$10Million
Contract for works beyond USD 10 million
Document to be used
W5 or W9
W1
W2
ICB using Bank’s SBD
Contract for goods valued less than equivalent of US$ E5
30,000/- following NS procedures
Contract for goods beyond US$ 30,000/- and upto US$ E1
200,000/- following NCB procedures.
Contract for goods following ICB procedures
ICB using Bank’s SBD
Earnest Money/ Bid Security
Earnest money (bid security) to be deposited by the bidders shall be for a specified amount for each
package/ schedule/ item as indicated in the bid/ tender document. It shall normally be 2 to 2.5% of
the estimated cost of goods and 1% of the estimated cost of works rounded off to the nearest figure
in hundreds/ thousands/ lakhs of rupees. The earnest money shall be in the form of a demand
draft/ banker’s cheque/ bank guarantee from a scheduled bank preferably having a branch at the
place where tenders are to be submitted, which should be valid for 45 days beyond the validity
period of the bid/tender. Fixed Deposit Receipts endorsed in favour of purchaser shall also be
acceptable.
49
The earnest money of unsuccessful bidders shall be refunded soon after the contract signature. The
earnest money shall be forfeited in the event of withdrawal of the tender within the original validity,
once submitted or in case a successful bidder fails to execute necessary agreement within the period
specified or for submitting false, incorrect or misleading information in the bid. This will be in
addition to the other remedies available to the purchaser/ employer in terms of the tender
documents.
4.4.
Terms and Mode of Payment
Payment terms for ICB and NCB are already provided in the bidding documents and should be
followed as it is. In the case of shopping payment terms should be 90% payment after delivery to
the consignee and balance 10% after acceptance of the goods or in accordance with the practices
applicable to the specific goods and works. Tender documents should specify the mode of payment
and terms of payment applicable and the type and number of documents required to be submitted
by the suppliers or contractors for claiming the payments.
4.5.
Rejection of all tenders
a)
Tender documents usually provide that implementing agency may reject all tenders.
Rejection of all tenders is justified when none of the tenders are substantially responsive. However,
the lack of competition shall not be determined solely on the basis of number of bids received. If all
tenders are rejected, the implementing agency shall review the causes justifying the rejection and
consider making revisions to the conditions of contract, or a combination of these, before inviting
new tenders.
b)
If the rejection is due to most or all of the tenders being non-responsive, fresh tenders may
be invited.
c)
Rejection of all tenders and re-inviting new tenders, irrespective of value shall be referred to
the next higher authority for approval than the authority that approved the issue of tender or to the
head of the unit. Before re-inviting tenders the specifications may be reviewed for revision, if any.
d)
Rejection of tenders, irrespective of value, will require World Bank’s approval.
4.6.
Rebidding
Rebidding can happen in following cases: Bids are not received
 Bids are to be rejected
In case Regardless of the value, if all the bids are proposed to be rejected and re-invited, the bank
shall be consulted before such action is taken by sending the information in the prescribed format
for seeking banks clearance. Before rejecting the bids, the IA will first have to
 update the estimates as per the current market rates for labour and materials (cement/
steel etc.), actual leads of materials and construction methodology proposed now.
 After updation he has to identify the item or items and factors which contributed to the
major variation over the updated estimates and
50
 then seek a clarification including breakdowns of unit for the items and factors so
identified.
After receiving the reply he has to evaluate and based on his judgment reject if price is unjustified
In case no bids are received , the Project Director is competent to approve the re invitation of the
bids . The approval will be subject to bid inviting officer proposing a request giving the reason for
lack of response and proposed remedial measures including any revision to the scope of the contract
etc. The recommendation of the IA will be send to the Bank within 2 weeks from communication of
recommendation to the bid inviting officer.
4.6.
Performance Security
a)
Tender documents for works and supply of goods shall require performance security in an
amount sufficient to protect the interest of the implementing agency in case of breach of contract by
the contractor/ supplier. The performance security shall be in the form of a bank guarantee or any
other instrument acceptable to the purchaser and the amount should be specified in the tender
document.
b)
The amount of performance security shall be 5 to 10% of the contract price, but normally it
should be 5% and should be valid till 28 days after the date of expiry of defect liability period or the
guarantee/ warranty period, as the case may be.
c)
The performance security deposit shall be refunded within one month after the expiry of
guarantee/ warranty period or the defect liability period (as mentioned above).
d)
The performance security shall be forfeited in case any terms and conditions of the contract
are infringed or the bidder fails to make complete supply satisfactorily or complete the work within
the delivery / completion period agreed in the contract without prejudice to the purchaser’s right to
take further remedial actions in terms of the contract and bidding documents which formed part of
the contract.
4.7.
Thresholds for Prior review by the Bank
Prior review of the procurement process by the Bank is indicated in the procurement plan and as
summarized below:
 First contract of any value from each IA; subsequent contracts valued over US$200,000
equivalent for firms , and above US$50,000 equivalent for individuals; all contracts to be
awarded on single source selection basis irrespective of value will be subject to prior review by
the Bank. Selections and contract awards to hire Project Director, procurement consultants,
inspection agents and legal advisors are subject to prior review, irrespective of the contract
value.

Prior review would be at the following stages:


Terms of Reference;
Short Listing; draft RFP and cost estimate [all together].
51




Technical Evaluation report
Combined evaluation report for information and comments if any.
Minutes of Negotiation and draft initialed negotiated contract; and
The amendments in the case of contracts subject to prior review, before granting a
substantial extension of the stipulated time for performance of a contract, agreeing to any
substantial modification of the scope of the services, substituting key staff, waiving the
conditions of a contract, or making any changes in the contract that would in aggregate
increase the original amount of the contract by more than 15 percent, the IA shall seek the
Bank’s “no objection” to the proposed extension, modification, substitution, waiver, or
change. After no-objection from the Bank, the contract amendment shall be signed. A copy
of all such amendments to the contract shall be furnished to the Bank. The NPMU/SPMU
shall ensure such amendments shall be submitted to the Bank for prior review before the
variation order is issued by which contract value will exceed by 15 % or any other
modification as stated above is granted.
The final contract with check list shall be submitted to the Bank for record and to obtain WBR
Number.
4.8.
Disclosure
1.
For Central/ State level procurements, information on pre-qualification of the contractors
and award of contract would be posted on the programme website. In general the following
information should be put on the department’s website:





Making publicly available, all annual procurement schedules promptly after finalization.
Posting all bidding documents and requests for proposals.
Making available to any member of the public, promptly upon request all shortlist of
consultants and in case of pre-qualification, list of pre-qualified contractors and suppliers.
The information on pre-qualified applicants and award of contracts.
Posting annual progress and mid-term review reports of the project.
2.
For State level procurements, the information would be shared with the public through State
websites
4.9.
Complaint Redressal Mechanism (also applicable to procurement of services)
In order to deal with the complaints from the contractors / suppliers and public effectively, a
complaint handling mechanism shall be set up at the State level and immediate action shall be
initiated on receipt of complaints to redress the grievances. All complaints on receipt should be
entered in a register. Within 15 days, these complaints should be discussed and mentioned in the
evaluation report of the tender. If a complaint is received after award of contract, it should be
discussed on the file and put up to the appropriate authority for a decision. All complaints shall be
handled at a level higher than that of the level at which the procurement process is being undertaken
and the allegation made in the complaints should be thoroughly enquired into, and if found correct,
appropriate remedial measures shall be taken by the appropriate authorities. A register of the
complaint redressal shall be prepared at each level and shall contain the following information
52






Serial Number of the complaints
Date on which the complaint was made
Particular of the person making the complaint
Nature of the complaint
Complaint against whom if against a person
Detail of action taken and subsequent follow ups specifying on which
date the action was taken
 Whether the complaint has been satisfied if not why.
 Action taken against the guilty
 General remarks
Subsequently an on line data base will be created which will be regularly updated and which would
be capable of creating on line reports for the purpose of the monitoring .The States will announce
on its web site about having in place a complaint redressal mechanism
In case any individual officer/staff is found responsible, suitable disciplinary proceedings shall be
initiated against such officer/staff .This register shall also be subject to audit by the chartered
accountants engaged by the States as auditor’s.
An appropriate response should also be sent to the complainant.
4.10.
Procurement Audit (also applicable to Procurement of Services)
Post review of all the contracts under the Project shall be conducted by the government auditors as
per laid down procedure. All documents related to procurement should be filed and kept
systematically and safely.
In addition, the World Bank will also have the right to conduct post review of the contracts at the
central, states, and the districts levels. The concerned authorities will be required to make all relevant
documentation available to the World Bank, as and when required.
4.11.
Review of contracts by the World Bank (also applicable to Procurement of Services)
1. It is the Bank’s policy to require that Borrower’s, as well as bidders, suppliers, and contractors,
under Bank financed contracts, observe the highest standard of ethics during the procurement
and execution of contracts. In pursuance to this policy, the Bank will have the right to require
that a provision be included in bidding documents and in contracts financed by a Bank loan/
credit, requiring bidders, suppliers, and contractors to permit the Bank to inspect their accounts
and records and other documents relating to the bid submission and contract performance and
to have them audited by auditors appointed by the Bank.
2. Contracts which are (i) not subject to prior review by the Bank, and (ii) awarded following these
guidelines will be post reviewed by the Bank.
3. The Borrower shall retain all documentation with respect to each contract (including contracts
subject to prior review by the Bank) during project implementation and up to two years after the
closing date of the Loan Agreement. This documentation would include, but not be limited to
tender documents, bids/ tenders submitted by the bidders/ tenderers, the original signed
contract, the analysis of the respective proposals, and recommendations for award, for
examination by the Bank or its Consultants. The Borrower shall also furnish such
documentation to the Bank upon request. If the Bank determines that the goods, work or
53
services were not procured in accordance with the agreed procedures, as reflected in the Loan
Agreement and also detailed in the Procurement Plan approved by the Bank or that the contract
itself is not consistent with such procedures, it may declare mis-procurement as established in
the procurement guidelines. The Bank shall promptly inform the Borrower the reasons for such
determination.
Procurement checklist for all contracts whether post review or prior review, goods or civil works are
enclosed vide enclosure 7 to 10.
4.12.
Mis-Procurement
The Bank does not finance expenditures for Goods, works and consultancy services, which have not
been procured/ contracted in accordance with the agreed provisions of the financing agreement and
as further elaborated in Procurement Plan agreed with the Bank. In such cases, the Bank will declare
mis-procurement, and it is the policy of the Bank to cancel that portion of credit/ loan allocated to
the goods, works, and consultancy services that have been mis-procured. The Bank may, in addition,
exercise other remedies provided for under the Financing Agreement. Even when the contract is
awarded after obtaining “no objection” from the Bank, the Bank may still declare mis-procurement,
if it concludes that the “no objection” was issued on the basis of incomplete, inaccurate, or
misleading information furnished by the Borrower or the terms and conditions of the contract had
been modified without Bank’s prior approval
FLOW DIAGRAM FOR SELECTION OF CONSULTING FIRMS (QCBS)
IMPLEMENTING AGENCY PREPARES TERMS OF
REFERENCE
NO OBJECTION BY
WORLD BANK
IMPLEMENTING AGENCY ADVERTISE FOR
EXPRESSION OF INTEREST AND PREPARE
SHORTLIST OF CONSULTANTS
NO OBJECTION BY
WORLD BANK
IMPLEMENTING AGENCY PREPARE AND
ISSUE REQUEST FOR PROPOSALS
IMPLEMENTING AGENCY RECEIVE AND
EVALUATE TECHNICAL PROPOSALS
NO OBJECTION BY
TENDER REVIEW
BOARD ETC
NO OBJECTION BY
WORLD BANK
IMPLEMENTING AGENCY PUBLICLY OPENS
FINANCIAL PROPOSALS OF QUALIFIED FIRMS,
EVALUATE FINANCIAL PROPOSALS
COMBINED EVALUATION AND SELECTION
OF SUCCESSFUL FIRM
NEGOTIATIONS WITH SUCCESSFUL FIRM
AND DRAFT CONTRACT
NO OBJECTION BY
WORLD BANK
IMPLEMENTING
AGENCY SUBMITS 2
COPIES OF SIGNED
CONTRACT TO WB
IMPLEMENTING AGENCY SIGNS
CONTRACT
CONTRACT IMPLEMENTATION
54
Procurement Procedures
I.
SPECIFICS FOR ANDHRA PRADESH :

The procurement management is organized jointly by the Purchase Committee of APPCB
and the Project Director of the PIU. All the procurement for the project will be placed
before the PSC for approval.

Component 1: Strengthening Environmental Institutions: Building Capacity for Remediation: As the
project implementation is through PIU, the procurement shall be for:
i.
detailed inventorization, characterization of the Hazardous waste categories in the state,
ii.
identification, Characterization and sourcing of illegal dumpsites.
iii.
remediation study of contaminated soil and ground water for HW priority sites
iv.
Performance Evaluation and preparation of monitoring protocols for TSDF
v.
prioritizing industries based on process technologies.
vi.
identifying the industries for individual treatment and disposal.
vii.
sampling and analysis of different categories of hazardous / Municipal solid waste
viii. impact of MSW dump sites on .environment(15 corporations)
ix.
GIS mapping of Hazardous Waste units, Illegal dumps and Municipal waste dumps for
three districts.
x.
Procurement of infrastructure for the laboratories.
xi.
Strategy Formulations for Environmental Compliance Assistance Centre and
xii.
Trainings to staff of the APPCB and officials of stake holder departments on various
aspects of environmental management.

Component 2: Investments in Priority Remediation and Environmental Improvements in orphan
hazardous waste sites and municipal dumpsites: This component includes procurement of Goods
& Equipment, Works and consultant services for remediation of Noor Mohammed Kunta
and Municipal solid waste dump site of Kadapa Municipal Corporation.

Component 3: Project Management: This component includes procurement of consultants
for the PIU.

Other Components: Procurement for other components will mainly include incremental and
operating cost for hiring of vehicle, purchase of consumables, repairs to equipments,
purchase of filter papers etc;

The procurement for the implementation of the component will be carried out centrally by
the APPCB. They had experience in handling the Bank assisted projects Procurement
following the Bank’s Procurement guidelines i.e. IPP II Project. The APPCB already initiated
action by training one of the staff (Analyst Gr-I who is the procurement specialist of PIU)
in Procurement of World Bank Procurement Procedures from National Institute of
Financial Management, Faridabad from 25th July 2008 to 8th August 2008. He will be
responsible for handling procurement in consultation with the respective Unit handling the
55
subject. He will be assisted by Procurement Assistant who will be hired for the
implementation of the project.

Procurement of goods: The major procurement of goods and equipment would be under
Components 1 and 2 as already discussed above in para 1. Procurement of goods under
Components 1 and 2 will be related to GC-MS-MS, CHNS Analyser, Gas Chromatography
with thermal disorder system, Solid waste extract assembly etc. These procurements are
expected to be of low value except some higher value contract like GCMS equipments and
shall be carried out following NCB/ICB procedures, depending on the value of the contract
and the availability with in India or in a foreign country. However, if any procurement is
undertaken following ICB, Bank’s Guidelines and Standard Bidding Documents shall be
used.

Procurement of Works:
Procurement of works is anticipated like cleaning of lakes,
municipal solid waste Management pilot Project under the project, will follow NCB method
of procurement procedures.

Selection of Consultants: Selection of consultants would mainly include hiring of
consultants including international consultants for all the three components
Training: Training will basically cover workshops, training for staff hands on training for
sampling, hands on training for analytical techniques and Instruments, hands on training for
processing Technologies and design of landfill facilities etc These shall be carried out in
accordance with Procurement plans prepared by the APPCB and approved by the Bank.

II.
i.
SPECIFICS FOR WEST BENGAL

The procurement management will be organized by the PIU Director through
Procurement Cell with help of Procurement Specialists.

Procurement Plan for Consultancies:
ECAC Activities: There are four activities related to ECAC i.e.
a)
b)
c)
d)
ii.
center’s interior design & development,
preparation of a detailed business strategy plan,
technology assimilation/sector studies to be done by international experts
periodic sector studies to be done by domestic/ national experts.
Hazardous Waste Studies: The activities are as follows:
a) inventorization and characterization of HW categories of industries and sampling
and analysis of HW,
b) assessment and preparation of priority contaminated sites at Khardah, Durgapur,
Belda and Dankuni,
c) detailed feasibility/ engineering study and bid document preparation – Hooghly HW
sites,
56
d) independent supervision consultant – Hooghly HW sites, (e) Hooghly sites – (NGO
works),
e) identifying illegal dump sites,
f) common communication and monitoring – Hooghly HW sites,
g) independent third-party soil & water monitoring – Hooghly HW sites
h) Environmental Monitoring Initiative – Hooghly and
i) supervision consultant – Chakundi site.
iii.
MSW Studies: The activities related are as follow:
a) impact of MSW dumpsites on environment,
b) detailed design, engineering and bid document preparation – Dhapa site,
c) Dhapa (NGO work),
d) supervision consultant – Dhapa MSW site,
e) community communication and monitoring – Dhapa MSW site
f) Environmental Monitoring Initiative – Dhapa MSW site.

Engagement of specialists and staff for the project
iv.
Specialists to be engaged:
a) Environment & Social Safeguards Specialist
b) Communication cum Training Specialist,
c) Procurement Specialist
d) Periodic sector studies – domestic/ national experts – ECAC.
v.
Staff to be engaged:
a) One Project Procurement Officer - (Full time)
b) One Project Accounts Officer - (Full time)
c) Two Project Procurement Assistant - (Full time)
d) Three Project Account Assistant - (Full time)
e) Two Project Scientific Assistant - (Full time for lab)
f) Two Project Analytical Assistant - (Full time for lab)
g) One Project Officer (IT) - (Full time for Infrastructure Cell))
h) One Project Assistant (IT) - (Full time for Infrastructure Cell)
i) Five Project Engineers - (Full time for Technical Cells)
j) One Environment Specialist - (Full time for ECAC)
k) One Assistant Environmental Specialist - (Full time for ECAC)
l) One IT Specialist- (Full time for ECAC)
m) One Assistant IT Specialist - (Full time for ECAC)
n) One Admin. & Fin. Manager. - (Full time for ECAC)
o) One Office Assistant - (Full time for ECAC)

Procurement of Works: Works procured under this project would include remediation of 7
numbers of contaminated illegal hazardous waste dumping sites in Hooghly district and
remediation of Dhapa MSW site. The works contracts estimated to cost $1,000,000 or more
will be procured following the ICB procedures. The project includes a relatively big civil
works contract estimated to $16.13 million for physical remediation of these contaminated
dumping sites, development of monitoring network and post closure monitoring network
57
and post closure monitoring after remediation till completion of the study period. Given its
size and complexity, a pre-qualification stage will be carried out, after which a two stage
bidding process will be followed. The trial document “Design, Build and Operate of Solid
Waste Facility” may be used by PIU, at their choice, with respective modifications /
adjustment. Works contracts estimated to cost less than $10 million may be purchased
following the National Competitive Bidding (NCB) procedures.

•
•
•
•
The activities related to works are
remediation works (excavation & related works) Hooghly HW site,
remediation works (transportation, treatment and disposal) – Hooghly HW site (7 locations),
closure and containment works (excavation and related works, stabilization & closure) – Dhapa
MSW site, and
design, engineering, remediation and transport works – Chakundi site.
58
SECTION VII
FINANCIAL MANAGEMENT
Financial Management Action Plan
1. The MOEF will maintain adequate financial management system, including accounting, financial
reporting and auditing to provide reliable and timely information regarding project resources and
expenditures. The financial management system will be managed by Programme Management
Consultant (PMC) under the guidance and supervision of the Project Director and will prepare
the budgets and will control all financial and logistics, such as: payment, purchase and
registration of all materials, and preparing financial management reports.
Purpose of Financial Guidelines
2. The purpose of these Guidelines is to summarize financial management arrangements of the
project which will be applicable to MoEF and State Pollution Control Boards for smooth
financial management of CBIPMP.
Financial Management and Disbursement Arrangements
MOEF as implementing entity
3. MOEF will have the overall responsibility for financial management of the project and will be
supported by PMC in ensuring that funds flow, accounting, internal controls, financial reporting,
disbursement and audit are carried out in accordance with project legal agreements and financial
guidelines of the project. Key FM task will be: (a) annual budgetary provision for the project
and monitoring of project expenditure against project budget; (b) approval of annual work plan
and budgets of WBPCB and APPCB; (c) ensuring sufficient and timely funds flow for activities
at state level and for MOEF level activities; (d) regular financial reporting at all levels of the
project and compilation of quarterly financial reports and annual financial statements of the
project; (e) timely submission of reimbursement claims to the Bank; (f) conducting regular
financial reviews of state pollution control boards; and (g) ensuring annual external audits at
MOEF, APPCB and WBPCB for the project as per the agreed TOR with the Bank,
consolidation of implementing entities’ audited financial statements and audit observations,
submitting consolidated annual audit report of the project to the Bank and ensuring compliance
to auditor’s observations.
Budgets
4. At GOI level, project’s funding requirements will be provided within the budget of the MOEF
as a separate budget line under Externally Aided Projects. Adequate provision will be made by
MOEF in the budgets for the year 2010-11 onwards to ensure appropriate funds flow for the
implementation of the project. MOEF will also ensure that adequate budget provision is made at
the state levels for the respective state shares for the implementation of the project activities in
AP and WB.
5. Annual work plans and associated procurement plans will be submitted by APPCB and WBPCB
to MOEF at the beginning of every financial year based on which MOEF shall release advance
funds to the Boards. The PMC will prepare a consolidated work plan for the year for the project,
including a work plan for activities at the central level and state levels. The PMC will carry out
overall monitoring of project expenditure against project budget and the implementing entities
59
in the state will monitor expenditure against their own budget as well. Bank’s procurement
procedures will be followed by all implementing entities.
Funds Flow
6. MOEF will implement the project as per treasury mode at the level of MOEF using the existing
system of Pay and Accounts Office (PAO) for project related payments. A contract will be duly
signed with the PMC for the project management functions. PMC will also be responsible for
payment of routine operating expenditure for the project at the central level and will be provided
necessary advance for such purpose.
7. For implementation of the project at the state level, adequate funds will be advanced by MOEF
to APPCB and WBPCB. MOEF will release funds to State Pollution Control Boards as per the
following installment schedule and criteria:
Financial Year
2010-11
2011-12
and onwards
Criteria for releases of funds by MOEF to PCBs (and indicative date)
Advance to be released by November 1, 2010 based on approved work plan
for 2010-11.
1) 70%: by May 1, based on approved work plan for the year; and
submission of progress report and financial report with utilization
certificate (UC) for the previous year.
2) 30%: by September 30 or the date of receipt of audit report and
audited financial statements of the previous year whichever is later,
along with financial report with UC for the expenditure incurred out of
the first installment.
Please refer to diagram below for flow of funds to State Pollution Control Boards.
Government
Governmentof
ofIndia
India
(80%)
Worl
World Bank
d
Bank
State share from
State Treasury
(15%)
MOEF’s Budget
Head
State Pollution
Control Boards
(PIUs)
Accounting and Internal control
8. Accounting: Accounting and maintenance of records for MOEF level activities will be carried
out as per General Financial Rules (GFRs). For project purposes, cash basis of accounting will
be followed. However any advances paid will be classified as advances for the project and
60
charged to expenditure only upon confirmation of receipt of goods/services. Standard books
and records will be maintained at MOEF by PMC such as Sanctions File, Expenditure Control
Register, Year-wise expenditure details of Pollution Control Boards, Reimbursement Claims and
Asset Register. Financial records at MOEF will form the basis of preparation of the Interim
quarterly and Annual Financial reports for submission to the Bank the formats of which are
included in the operational manual of MOEF.
9. Internal Controls: Internal controls at MOEF for the project will be as per Financial Guidelines
for the project and GFRs. A system of annual physical verification of assets procured out of
project funds at the MOEF will be established. Internal Audit Unit of MOEF will be authorized
to carry out internal audit of the project at MOEF level as per its own discretion.
Finance Staffing
10. It has been agreed to have the position of a finance manager within the PMC who will be
responsible for ensuring adequate financial management arrangements for the project at the
centre and monitoring financial management arrangements at the states during the
implementation of the project. Given the critical role of the financial manager in the proposed
PMC, ToR for this position has been agreed and is included in Financial Guidelines. The
position of financial manager will be an integral part of the MOEF (within PMC) for the project
at the central level and maintenance of this position throughout the project life will be a financial
covenant in the project financing agreement.
Financial Reporting
11. The MoEF will submit a consolidated quarterly interim unaudited financial report (IUFRs) in the
agreed formats to the Bank within 45 days of the end of each calendar quarter. This will be
prepared by the PMC based on expenditure incurred at the central level and expenditure
reported in the quarterly IUFRs submitted by APPCB and WBPCB to the MOEF. In addition,
consolidated reports on Audited Financial Statement (AAFS) of the project will be submitted
annually to the Bank.
Disbursement
12. The Government of India will open a Special Account (SA) in Reserve Bank of India to receive
disbursements from the Bank. The initial SA Advance will be based on forecasted cash flow of
one year at the beginning of the project and will be provided to GOI. The limit of the advance
has been established at USD 5 million. Thereafter all disbursements will be made based on
IUFR to be submitted on calendar quarterly basis and such reimbursements will be annually
reconciled by MOEF with the consolidated annual audited financial statements submitted to the
Bank as elaborated under the “External Audit” para below.
Project Preparation Facility
13. A Project Preparation Facility (PPF) for the project was established for US$ 570,000 (reference:
Q5270) for the project, which is currently valid till September 30, 2010. Audit report for the
expenditures incurred under PPF until 31 March 2010 will need to be submitted by 30
September 2010. The expenditure for the next six months will be audited along with the project
expenditure for 2009-10.
External Audit
14. Annual audited project financial statements will include: (i) actual expenditure at the
implementing entity at central level, i.e., MOEF; and (ii) actual expenditure at each implementing
61
entity at state level, i.e., APPCB and WBPCB. MOEF will be responsible for consolidation of all
implementing entities’ audited financial statements and audit observations and submit reports on
consolidated annual audited financial statements to the Bank, along with a summary of audit
observations as well as actions taken to address such observations. This consolidated
information along with a reconciliation of the audited expenditure with the reimbursement
claims submitted to the Bank on the basis of IUFRs will be submitted to the Bank within six
months of the close of the financial year. The audit will be done by private chartered
accountants at the states and by C&AG at MOEF. A project specific TOR for audit has been
agreed with MOEF and are included in Financial Guidelines of the project. The audit for the
central level expenditure will be conducted by C&AG as per the TOR already agreed with the
DEA and Bank.
15. The following audit reports will be sent to the Bank
Audit Report
Implementing Agency
Annual consolidated audited financial
MOEF MOEF
statements and summary of audit
(based on consolidation of
observations (along with a reconciliation
audited financial statements
of the audited expenditure with the
for expenditure incurred at
reimbursement claims submitted to the
MOEF, APPCB and
Bank on the basis of IUFRs)
WBPCB)
Special Account
DEA/GoI
Due Date
30 September
30 September
Public Disclosure
16.
Necessary financial information such as annual budgetary provision by MOEF and states,
funds released to WBPCB and APPCB, IUFRs and annual audit reports (including for the
expenditure incurred at APPCB and WBPCB) will be displayed on the project website.
Project Covenants
17.
MOEF will establish and retain during project implementation a financial management cell
at the central level with a finance professional with qualifications acceptable to the Association.
 Submission of quarterly consolidated IUFRs within 45 days of the close of the quarter
 Annual consolidated audited financial statements; and summary of external auditor’s
observations along with compliance reports on the audits conducted at MOEF, APPCB and
WBPCB to be submitted within six months of the closure of the financial year.
Andhra Pradesh Pollution Control Board (APPCB) as implementing entity for CBIPMP
Implementation Arrangements
26.
APPCB as an implementing entity of the project in the state will manage financial
expenditure in line with the agreed annual project budgets over the project period of
September 2010 to September 2015.
27.
The APPCB will establish a Project Implementation Unit (PIU) which will have
responsibility for day to day project implementation and coordination with other stakeholder
agencies. It will also serve as a Secretariat for the State Steering Committee.
62
28.
APPCB will ensure adherence to Financial Guidelines of the project. Key FM tasks of
APPCB for the project will include: (a) preparing annual budget and work plan for the
project and submitting it to MOEF; (b) receipt of funds from MOEF and the state
government (15% share, including for cash compensation if any); (c) ensuring funds flow for
project activities; (d) maintaining appropriate accounts and internal controls; (e) submission
of quarterly financial reports to MOEF in the agreed formats; (f) timely completion of
financial audit for project expenditure in the state by an acceptable independent firm of
Chartered Accountants as per terms of reference agreed with the Bank and submission of
annual audit report to MOEF; and (g) maintaining a fully staffed FM cell for the project in
the state.
29.
APPCB will follow the Bank procurement guidelines for awarding contracts, (including for
financial audit by an independent firm of Chartered Accountants), as well as procuring
necessary equipments and services.
Budgets and Funds Flows
30.
At GOI level, the project’s funding requirements will be provided in the budget of the
MOEF. Funds to APPCB for the project will be provided in the ratio of 85% and 15% by
MOEF and state respectively. The state government will also make provision for its share
(15%) in its annual budget. APPCB will include annual estimate for the project in its annual
budget as per its standard procedures and inform MOEF about the same.
31.
Funds will be provided by MOEF to APPCB on the basis of forecast of expenditure as
elaborated above. APPCB will open a separate bank account for the project in a nationalized
bank.
Accounting and Internal controls
32.
Accounting Center: The central office of APPCB in Hyderabad is supported by 5 zonal offices
and 19 regional offices in the state, all of which are accounting centers of APPCB. At
present, recording of expenditure and financial reporting from these centers needs to be
further strengthened. APPCB also needs to prepare a financial manual to provide necessary
guidance to field staff on accounting, internal controls and reporting aspects. APPCB
proposes to prepare a financial manual to guide its staff.
33.
For the purposes of the Bank project, it is agreed that all the expenditure for the project in
the state will be incurred directly by the central office of APPCB based at Hyderabad. While
zonal offices/ regional offices may be engaged in necessary implementation efforts for the
project, they will not incur expenditure under the project. Therefore central office in
Hyderabad will be the only accounting center in the state under the project.
34.
Basis of Accounting: APPCB follows cash basis of accounting with any advances paid being
classified as advances and charged to expenditure only upon confirmation of receipt of
goods/services. The same accounting policy will be followed for execution of the project.
63
35.
Software: APPCB currently uses a customized accounting software package which has been
reporting bugs since a long time, is currently not serviced and therefore not considered
reliable for accounting and reporting on expenditure of the project1. APPCB proposes to use
an ‘off the shelf’ accounting package “Tally” for recording and reporting on project
expenditures to MOEF, which is acceptable to the Bank. It is informed in April 2010 that
this software has been purchased and is already operational.
36.
Internal Controls: APPCB will maintain a separate bank account for the project funds under
joint signatory mechanism. For expenditure for project activities, after receiving
administrative sanction of the State Steering Committee, each proposal will be submitted by
technical in-charge to Special Secretary through Chief Accounts Officer and then to Member
Secretary. Finance staff of MOEF will undertake regular visits and reviews of financial
management arrangements of the project at APPCB.
Finance Staffing
37.
The existing financial management wing at APPCB is headed by a Chief Accounts Officer
(CAO). Although the CAO is very experienced and knowledgeable, he lacks the required
skilled staff for the execution of all departmental jobs effectively. This is considered as a high
risk and APPCB has agreed to institutionalize a financial management cell for CBIPMP
project under the CAO, which will consist of an Accounts Officer and an Accountant with
qualifications acceptable to MOEF and the Bank. The FM cell will be fully staffed by
November 2010 so that staff can also receive necessary orientation on “Tally” accounting
software. Maintenance of this FM cell throughout the project life will be a covenant in the
financing agreement of the project.
Financial Reporting
38.
APPCB will submit quarterly interim unaudited financial reports (IUFR) in the agreed
formats to MOEF within 30 days of the close of each quarter, which will reflect
expenditures incurred at state level for the implementing entity. APPCB will also submit
utilization certificates to MOEF as per standard GOI procedure. In addition, Audited
Financial Statement (AAFS) of the project will be submitted annually by APPCB to MOEF
within 4 months of the closure of the financial year.
External Audit
39.
External audit of APPCB is conducted by a firm of Chartered Accountants appointed on the
recommendation of C&AG.
40.
The annual audited project financial statements at the state level will include actual
expenditure at the implementing entity in the formats specified by MOEF. Such financial
audit will be conducted by an acceptable independent firm of Chartered Accountants as per
terms of reference agreed with the Bank and audit report will be submitted by APPCB to
MOEF within 4 months of the closure of the financial year.
41.
Project Covenants for the implementing entity at the state level – APPCB
At the APPCB level, the following covenant will be included in the financing agreement:
1
APPCB is spending considerable time in manually finalizing its accounts as of now. Reportedly, NIC has been
requested to look into the bugs of the existing customized accounting software, but it may take long before the
problems are sorted out.
64

APPCB will establish and retain during project implementation a financial management cell with
two financial staff with qualifications acceptable to the Association.
(B) West Bengal Pollution Control Board (WBPCB) as implementing entity for
CBIPMP in the state of West Bengal
Background
42.
West Bengal Pollution Control Board (WBPCB) is the implementing entity for the project in
the state of WB. WBPCB is a Board constituted under The Water (Prevention & Control of
Pollution) Act 1974 passed by the Parliament, is financially very sound.
Implementation Arrangements
43.
WBPCB as an implementing entity of the project in the state will manage financial
expenditure in line with the agreed annual project budgets over the project period of
September 2010 to September 2015.
44.
WBPCB will establish a fully functional Project Implementation Unit (PIU) which will have
responsibility for day to day project implementation and coordination with other stakeholder
agencies. It will also serve as a Secretariat for the State Steering Committee.
45.
WBPCB will ensure adherence to Financial Guidelines of the project. Key FM tasks of
WBPCB for the project will include: (a) preparing annual budget and work plan for the
project and submitting it to MOEF; (b) receipt of funds from MOEF and the state
government (15% share); (c) ensuring funds flow for project activities; (d) maintaining
appropriate accounts and internal controls; (e) submission of quarterly financial reports to
MOEF in the agreed formats; (f) timely completion of financial audit for project expenditure
in the state by an acceptable independent firm of Chartered Accountants as per terms of
reference agreed with the Bank and submission of annual audit report to MOEF; and (g)
maintaining a fully staffed FM cell for the project in the state.
46.
Certain activities of the project may be supported by additional efforts from West Bengal
Industrial Development Corporation (WBIDC) under the guidance of WBPCB. It has
however been agreed that this will be supported by a valid MOU to be cleared by the Bank
in advance; and any expenditure under the MOU will be recorded by WBPCB and its
records will also be maintained at WBPCB.
Budgets and Funds Flows
47.
At GOI level, the project’s funding requirements will be provided in the budget of the
MOEF. Funds to WBPCB for the project will be provided in the ratio of 85% and 15% by
MOEF and state respectively. The state government will also make provision for its share
(15%) including for cash compensation for loss of livelihood in its annual budget. WBPCB
will include annual estimate for the project in its annual budget as per its standard
procedures and inform MOEF about the same.
65
48.
Funds will be provided by MOEF to WBPCB on the basis of forecast of expenditure as
elaborated in the annexure above. WBPCB will open a separate bank account for the project
in a nationalized bank.
Accounting and Internal controls
49.
The central office of WBPCB is supported by 2 circle offices and 11 regional offices in the
state. Financial management is however centralized as accounting for all the expenditures is
recorded at and paid from the central office in Kolkata. While the circle offices/ regional
offices may be engaged in the necessary implementation efforts, the same centralized
financial management arrangement will be followed for the Bank funded project and is
considered adequate. WBPCB follows cash basis of accounting with any advances paid being
classified as advances and charged to expenditure only upon confirmation of receipt of
goods/services. The same accounting policy will be followed for the execution of CBIPM
project. WBPCB will be using Bank procurement guidelines for awarding contracts
(including for financial audit by an independent firm of Chartered Accountants) as well as
procuring necessary equipments and services. WBPCB uses customized accounting software
and is presently implementing a new in-house developed accounting software package which
was under testing stage and is fully implemented now. While WBPCB will maintain a
separate bank account for the project funds under joint signatory mechanism, the new
software will also provide a value addition facility to create a separate project account and
record all the expenditures incurred under the project in this project account.
Finance Staffing
50.
The existing financial management wing at WBPCB is fully staffed and includes two
professionally qualified Finance Managers who are very experienced. While the project may
hire a junior level additional staff for the project, it is agreed that these two managerial staff
will handle the additional responsibility pertaining to the financial management matters of
the project and constitute the financial management cell for the CBIPM project at the state
level under the Member Secretary. Maintenance of the financial management cell will be a
covenant in the financing agreement.
Financial Reporting
51.
WBPCB will submit quarterly interim unaudited financial reports (IUFR) in the agreed
formats to MOEF within 30 days of the end of each quarter, which will reflect the
expenditures incurred at the state level for the implementing entity. WBPCB will also submit
utilization certificates to MOEF as per standard GOI procedure. In addition, Audited
Financial Statement (AAFS) of the project will be submitted annually by WBPCB to MOEF
within 4 months of the closure of the financial year.
External Audit
52.
The external audit of WBPCB is conducted by a firm of Chartered Accountants appointed
on the recommendation of C&AG. WBPCB agrees for separate audit arrangements for the
Bank funded project and the annual audited project financial statements at the state level will
include the actual expenditure at the implementing entity in the formats specified by MOEF.
Such financial audit will be conducted by an acceptable independent firm of Chartered
Accountants as per the terms of reference agreed with the Bank and will be submitted to the
MOEF within 4 months of the closure of the financial year.
66
53.
WBPCB has initiated an internal audit system and it is agreed that during the implementation
of the project, the internal audit reports will be shared with the Bank team during
supervision missions.
54.
Project Covenants (for the implementing entity at the state level – WBPCB
At the WBPCB level, the following covenant is included in the financing agreement:
 WBPCB will maintain during project implementation a financial management cell with two
financial staff with qualifications acceptable to the Association.
The financial management reporting format to be followed by MOEF and both the State pollution
control boards is enclosed in Annexure VI.
67
SECTION VIII
MONITORING & EVALUATION FRAMEWORK
1. The proposed Monitoring and Evaluation (M&E) system being designed by the MoEF has the
following four components:
i. Computer-based MIS
ii. Periodic Review
iii. Sustainability monitoring and evaluation
iv. Community monitoring
(i) Computer-based MIS
2. The computer-based MIS would be driven by a set of indicators. These indicators would be
objectively verifiable and would form the basis of all information entering the system. The
indicators suggested are in the following four categories:
 Physical progress
 Financial progress
 Sustainability
 Development objectives
3. While the first two are progress indicators, the other two contain both process and impact
indicators. The logical framework for developing the indicators is spelt out in the chapter three
of this document. The output reports generated by the system would be in the same categories
as indicator categories.
4. The information would be collected using paper based input formats. The information
collection would be carried out by the concerned field level project staff, which could also
include the non-government and other support organizations engaged to provide capacity
building support to the user communities, as eventually decided by the project management
agency.
(ii) Periodic Review
5. A system of Periodic Review has been suggested to enable the POC and other stakeholders to
track the qualitative aspects of physical and financial progress and assess improvement in
environmental quality. This would also facilitate the project managers to learn from the field
experience and suggest strategic inputs for further strengthening of the design and strategies,
particularly during planning and implementation of NPRPS. After completion of first set of
remediation investments, monitoring indicators and processes will be reviewed to improve upon
them as per the feedback received from the various stakeholders. The subsequent follow-up
revised plans including remedial measures will be developed and implemented.
(ii) Sustainability Monitoring and Evaluation
6. This component essentially aims at tracking the sustainability prospects of the remediation
schemes during the project life cycle. Though the actual sustainability of remediation schemes
will be seen 2-3 years after completion, the factors that determine sustainability have to be
identified and addressed right from the planning phase and through the implementation phase.
68
Hence the exercise of sustainability monitoring and evaluation is proposed to be undertaken
during planning, implementation, and operation and maintenance phases.
7. It is proposed to evaluate the sustainability on 12 parameters. These parameters are broadly
categorized under four heads which are Institutional, Technical, Financial and Social
Sustainability.
8. A Results Monitoring Matrix has been developed to monitor progress across all project activities
during the five year project implementation (attached below). Procurement plans will be aligned
with the planned project outcomes. Progress reports will include reports on status of key
monitoring indicators. At mid-term review a review and assessment of progress based on the
performance indicators will be undertaken by the POC in coordination with the Bank.
9. Site specific monitoring plans regarding monitoring of environmental impact parameters at the
four pilot sites have been included in the feasibility studies. These have to be operationalized by
the State PCBs and results recorded in the semi-annual progress reports.
(iv) Community Based Monitoring
10. The project is envisaged to benefit the surrounding community through improved
environmental quality and reduction of health risks due to exposure to sites. This basically
means that members of the neighbouring communities would be actively involved in monitoring
any improvement due to remediation works. In view of this, a system of community monitoring
is worked out to help community members track the progress using a set of participatory
monitoring tools, which can be easily understood and used by the community members, with
some training and handholding, to begin with. Community Monitoring Indicators have been
designed to enable communities to monitor progress.
11. Specifically the communities will be engaged in monitoring the implementation of social
management plans and aspects of overall area improvements. The State PIUs will include a
social specialist which will contract local NGOs to support the implementation of SMP and
monitor area activities. Specific budget provision have been made in the PIU budgets for
implementation of the monitoring activities which have to start not later than three months
before site remediation works commence.
PDO
1. to build tangible human
and technical capacity in
selected state agencies for
undertaking
environmentally sound
remediation of polluted
sites
RESULTS FRAMEWORK
Project Outcome Indicators
i) Clean up/remediation technologies
have been piloted at orphan hazardous
waste sites and municipal dumpsites in
selected states and a network of state
PCBs established by MOEF for
knowledge dissemination and project
based training
ii) Guidelines and standards for
remediation developed and supervisory
capacity of technical staff at
69
Use of Project Outcome
Information
To measure progress on
achieving PDO throughout
the project life, specifically
on strengthening the
institutional framework for
rehabilitation of
contaminated sites
environment agencies to implement
remediation plans and monitor
environmental conditions strengthened.
iii) An Environmental Compliance
Assistance Center has been established
and fully functional by end of year two
in WB and by end of year four in AP
iv) Water quality and soil characteristics
at the pilot sites comply with specified
standards and mechanisms established
to monitor in the long term.
2. To support the
development of a policy,
institutional and
methodological framework
for the establishment of a
National Program for
Rehabilitation of Polluted
Sites (NPRPS).
Intermediate Outcomes
i) Supporting the NPRPS by developing
a methodological framework for
inventorying polluted sites, establishing
remediation procedures and solutions
and engaging multiple stakeholders in
the implementation, including cost
recovery mechanisms.
Intermediate Outcome Indicators
Use of Intermediate
Outcome Monitoring
Component 1: Strengthening of Environmental Institutions: Building Capacity for
addressing pollution remediation
a. Methodological guidelines
for risk assessment,
prioritization and plans for
remediation of polluted sites
are in place to support the
preparation of NPRPS.
i) Guidelines and standards for
remediation developed and adopted by
participating states and Ministry of
Environment
ii) Analysis of existing environmental
legislation related to liability and
international
experience
on
remediation of contaminated sites and
b. Human resources and
formulation of policy framework.
organizational capacity of
iii) Development of procedure for
State PCBs for undertaking
remediation orders for ‘orphan and
remediation of contaminated non-orphan sites’ which pose urgent
sites strengthened in the
risk to human health and environment
pilot states.
iv) Technical staff of State PCBs
trained
to
supervise
the
implementation of remediation plans
and monitor area environmental
conditions.
v) ‘Good practice notes’ on site
rehabilitation disseminated to the
SPCB network; conduct knowledge
dissemination events sponsored by the
MOEF in selected states.
70
To measure progress,
record, discuss with client
and agree on corrective
measures
To assess the capacity of
states to undertake and scale
up remediation projects
To measure the uptake of
remediation initiatives by
other states and scale up
remediation
vi) The extent of indiscriminate
disposal of hazardous wastes in the
pilot states drastically diminished and
verified through data collected by State
PCBs and verified through an end of
project beneficiary survey.
vii) Community monitoring
implemented in two states
viii) GAAP Milestones are met
To monitor the capacity of
participating PCBs and
change of behavior of
industrial units in the pilot
areas
i) Area-based remediation plans
demonstrating effective technologies
for pollution reduction under
implementation in WB and AP.
ii) Pollution hazards reduced to
acceptable level using remediation
/containment technologies at two pilot
HW sites.
iii) Measurable improvements of the
environmental conditions around old
dumpsites in two states monitored by
SPCBs
iv) Post-remediation monitoring
system with appropriate infrastructure
and agreed indicators established at
three remediated sites by end of year 4.
v) Environment and Social assessment
acceptable to the Bank carried out and
disclosed for pilot projects
implemented in year one and two prior
to negotiations.
vi) Involvement of local authorities
and neighboring communities and
level of support to rehabilitation of
sites.
To determine the progress
of remediation and measure
it to specific performance
indicators in the pilot sites
Component 2 : Investments in rehabilitation of orphan hazardous waste sites and municipal
dumpsites
a. Clean up/remediation
technologies will have been
piloted on orphan sites in
AP and WB with lessons
derived and available for
replication to other states.
b. A ‘blueprint’ for
addressing legacy pollution
with adequate environment
and social safeguards
provisions will have been
developed
Project implemented
according to agreed timeline
PIUs fully adhere to project
implementation agreements
i) State PIUs maintains adequate staff
with expertise and skills throughout
project life and follow up the
provisions of POM.
ii) State PIUs participate in
supervision missions.
Arrangements for Results Monitoring
(detailed table in Annex I)
71
To record ‘best practice’ and
lessons learned from
remediation pilots
To monitor progress of
implementation of pilots
and ensure compliance with
technical safeguards.
To monitor
implementation progress,
discuss with client and agree
on corrective measures to
ensure compliance with
Bank safeguard policies
To determine progress
towards achieving project
impacts and influence
behavioral changes at
community level
To monitor implementation
Project Outcome
Indicators
1.NPRPS using risks
assessment
methodology for
prioritizing polluted
sites, supported by
public consultations is
developed
2 Pilots for remediation
using area based
approach ready for
implementation
including pollution
profiling and mapping,
indicators, detailed
engineering plan,
monitoring and aftercare program
3 Establish national
clean-up standards and
monitoring mechanisms
Baseline
4. Establish ECAC to
promote measures for
voluntary industrial
compliance
Nil
2.b. Establish
knowledge
dissemination network
for SPCBs
Annual
Meeting
of
SPCBs
Mid term
Project completion
Nil
Approval of NPRPS by POC
Submission of a NPRPS to
Planning commission
0%
25 % of site remediation/
closure completed at 2 HW
sites;
100 % of site works
completed at four pilot sites
20 % of closure of MSW sites
completed
Nil
Continuous monitoring of
pilot sites using monitoring
protocols and compliance
with standards specified for
pilot sites
- Fully staffed and operational
WB ECAC
- Stakeholder consultation
completed for dissemination
of best practices in HWM
shared among PCBs
- Documentation and
dissemination of lessons
learnt from remediation good
practices shared at workshop
with state PCBs
72
Continued compliance of
remediated pilot sites with
standards specified for pilot
sites
-Sustainable funding
mechanism for ECAC in
place
- Fully staffed and operational
AP ECAC
-Programs for EM and
compliance of SMES in
Chrom/ metallurgical, petrochemical industries under
implementation
-Clean Technology Fair
- Training completed for
technical staff of SPCBs in
states with identified orphan
hazardous waste sites
-Dissemination of protocols
(monitoring, liability,
remediation technology)
under NPRPS at workshop
with state PCBs
SECTION IX
Governance Accountability Action Plan (GAAP)
The objective of the GAAP is to identify the critical areas and measures to enhance the
transparency, accountability and performance of the project, and thus achieving project results and
higher development impact. Broadly, the key governance and accountability issues in the project are
two-fold:
i.
Issues that arise from the innovative/pilot nature and technical aspects of the project and lack of
prior experience in comprehensive clean up, which is carried out with due consideration of
economic, environmental, social considerations. It will result in some difficulties to a priory
assess of the exact technical scope of remediation works and accurately define the technical
specification and cost of site works before detailed area profiling is done.
ii. Issues that arise from the weak institutional capacity of implementing agencies, internal decision
making framework and random communication between the central level and states that may
result in delays and more processing time of project milestones and the implementation of
internal controls and financial management and procurement requirements.
Implementation issues, risks and mitigation measures are outlined in the table below.
73
Governance Accountability Action Plan (GAAP)
Issues/Risk/
Rating
Implementation Demonstration effect
of remediation diminished due to lengthy
pilots
implementation
(M)
Item
Mitigating Actions
Responsibility Timeline
-Agree on roles of project
oversight structure and
progress reporting
MOEF and
State PCB
Poor performance by state -Use project resources to
State PCBs
implementing agencies
strengthen and rationalize
(M)
the technical capacity of
State PCB
-Nominate staff of PIU
according to agreed TORs
-Prepare timelines for
implementation
Failure to sustain
-Expand community
State PCB
remediation results
outreach to change behaviors
(M)
and prevent secondary
pollution
-Agree on a plan for regular
monitoring of industries in
the area by PCB
Lack of appropriate
- Expand community
State PCBs
communication to public
outreach activities using
and communities on
project resources
remediation results
(M)
SEMF and site specific
mitigation measures not
properly integrated in the
pilots
- Technical documentation
and Bidding documents for
site remediation includes
safeguards provisions
74
State PCBs
Agreement
during
appraisal/
negotiations
Y1
Early warning
indicators
-Delayed progress reports
-Delayed contracting of
independent supervision
-Delays in detailed
engineering design
-Failure to nominate
technical staff for training
- Substantial deficiency in
staffing of PIU
- Failure to submit
progress reports
Y1 and
onwards
-PCB fails to inventorize
and monitor units
generating HW in the
project
Area
Public
consultations
during
preparation
of E&SA
Y1 and
onwards
Y1 and
onwards
-Complaints from
communities continue
- Social and
Environmental issues
inadequately addressed in
progress reports
- Social and
Environmental issues
inadequately addressed as
witnessed during site visits
Project
execution and
contract
management
(L)
Poor quality of technical
documents causing delays
(M)
Inaccurate invoicing of
works
(M)
Payments made without
prior verification of
quantities and quality of
site works
(M)
Non-compliance of
contractors with site
specific safeguards and
site mitigation measures
(L)
Procurement
Incomplete technical
specifications
(M)
-Early involvement of
independent supervision in
review of technical specs
- Periodic review of bidding
process
- Strengthen technical
supervision and introduce
mandatory field checks
- Ensure adequate capacity
of PIU FM
State PIU
Y1and Y2
-Poor quality of bidding
documents
State PIU
Y2 and
onwards
- Mandatory site visits and
reporting by independent
supervision consultant
- Combined Procurement
and FM audits
-Intensify site visits of
completed works suspend
payments if at fault
- Contractors workshops
periodic review of quality of
contractors documents
State PIU
Y2 and
onwards
-Costs either too low or
too high and/or do not
match with progress of
contract milestones
-No compliance of
completed and certified
works
- Slow progress of site
works
State PIU
Y2 and
onwards
-Pre-bid briefings and quality
written clarifications to
bidders in a timely manner
MOEF POC
and State PIU
Prior to
effectiveness
Y1 and
onwards
75
-Poor quality of bidding
documents
- Obvious omissions of
safeguards requirements
in the contractors
documents
-Procurement delays
-Lack of response from
bidders
Procurement delays and
higher cost
(L)
Poor supervision of
contracts
(M)
Collusion among
contractors
(M)
Delays in bid evaluation
(M)
Financial
Management
System and
Internal
controls
Submission of forged
documents to win
contracts
(M)
Inadequate and unreliable
FM information and
incomplete FMR
(M)
Lack of compliance with
established internal
financial controls
(M)
- Mandatory uploading on
bidding documents at PCB
website
-Avoid ‘slice and packaging’
to attract bidders
-Review quality of bidding
documents
-Maintain procurement staff
of adequate quality
MOEF POC
and State PIU
State PIUs
Y1 onwards
-Records of public openings
of bids kept on the public
domain and disseminated
within 15 days of contract
award
-Create procurement
database for each pilot site
with procurement plan
- Keep accurate records of
all documents with data of
EIO, and bids
-Undertake internal audits
-Random verification of
references of firms
State PIU
Y1 onwards
State PIU
POC
Y1 and
onwards
-Lengthy time between
bid submission and award
-Number of extensions of
bid validity exceeds the
acceptable standards
POC and State
PIUs
Y1 and
onwards
-Incomplete of missing
bank guarantee
documents
- Ensure FM training before
effectiveness
-Obtain TA to improve the
quality of record keeping
(electronic and manually)
- Strengthen financial
management oversight
through line ministry and
State Governments
- PCB PIUs
Prior to
effectiveness
and Y1
onwards
MOEF and
States
Y1onwards
-Inordinate delays in
submission of quarterly
FM reports
- Unaudited yearly
reports
-Significant variation of
expenditure and budgets
76
Y1 and
onwards
-Winning bids too high
compared to similar
works
- Delays in
commencement of work
after contract
-Lack of proper reporting
-Frequent changes in the
procurement timeline
-Bidders use same bank
for security deposit and
bank guarantees
-Bids far too low
Monitoring and
evaluation
After-care and
monitoring
Delays in hiring auditors
and overdue audits
(H)
Inability of auditors to
provide quality and
independent opinion
(M)
-Hire auditor on retainer
basis with a greed schedule
MOEF and
state PCB
-Same as above
PCB
Achievement of PDO
adversely affected by the
lack of project
information
(M)
Achievement of PDO
affected by inability to
apply checks and balances
and implement mid-term
corrections
(M)
Achievement of PDO
affected by the lack of
engagement of citizens in
oversight of project pilots
(M)
Resources for after-care
not planned adequately
(H)
-Disclosure policy agreed
with pilot states
-Abide to the provisions of
RTI
MOEF
State PCB
After
effectiveness
onwards
- Carry out beneficiaries
survey at mid term review to
assess public perception
PCB PIUs
Y1 onwards
-Continuous delays
-Absence of information
from monitoring and
evaluation fo progress
/results
-Agree on the design and
implementation
arrangements of social
accountability mechanism
and public engagement
-Include first year after care
in the remediation contract
- Assign reasonability to
PCB for regular monitoring
of environmental parameter
of the site and plan budget
resources
MOEF and
PCBs
Y1
Mechanism
to be in
place by end
of Y1
Y3-4
onwards
Prior to
Project
completion
-Non- compliance with
procedures and
arrangements related to
community involvement
and beneficiaries surveys
Complains for violation
or improper management
of the site reported (
media or elsewhere)
-Agree and ensure
implementation of after care
plans prior to completion of
States and
MOEF
Transfer of responsibility
for aftercare monitoring
to other agency
-Prepare clear TOR and
agree with the Bank
77
PCB
State
Government
Y1 By
December
2009
December
2009
onwards
Y4-5
depending
on
No evidence of hiring
audit firm during
supervision
-Untimely and delayed
rFM reports
-Qualified auditor
opinions and large
number of observations
-Large number of request
for information
-Lack of evidence on
timely responses
Site/Beneficiary survey
during Y5 reports
concerns from citizens
Delays in agreeing on site
management and
monitoring arrangements
(M)
Overall risk.
Environment
improvements in the area
affected by neglect
(L)
Moderate
site remediation and transfer
of site for management to
municipality
-Provide evidence for change
of land use as necessary
-Engage citizen’s groups /Ag PCB and
University AP/ Chrome
Municipalities
Producers Association in
WB monitoring of the site
78
completion
of sites
Y4-5
-Number of complains,
media reports
ANNEX I
Results Framework: Arrangements for Results Monitoring
Intermediate Results Indicators
Component 1: Strengthening of Environmental Institutions : Building capacity for addressing pollution remediation
Project
Outcome
Indicators
Baselin
e
YR1
1.1Methodolo Nil
gical
framework for
risk
assessment
developed as
enabling
framework for
implementatio
n of the
NPRPS
i) Detailed
studies to
define policy
and legal
framework
including
analysis of
best
international
practices
initiated;
ii)
Remediation
and cleanup
standards
initiated
1.2. Human
resources and
organizational
capacity for
undertaking
15 officials in
SPCBs
trained in
remediation
& post
Nil
YR2
YR3
YR4
i) Detailed
studies to define
policy and legal
framework
including
analysis of best
international
practices
completed
ii) Remediation
and cleanup
standards
developed
iii) Completed
study on
economic
analysis of
avoidance of
social cost by
undertaking
remediation
40 technically
qualified staff in
SPCBs trained
in analysis of
data,
i) National
Guidance on
remediation
of polluted
sites
completed
ii)
Stakeholders
consultation
s organized
i) National
Guidance
submitted to
Planning
Commission
for approval
40
technically
qualified
staff in
SPCBs
20
technically
qualified
staff trained
in SPCBs
79
YR5
Frequenc
y and
Reports
Progress
reports
Supervisio
n reports
15
technically
qualified
staff of
SPCBs
Progress
reports
Supervisio
n reports
Data
Collection
Instrumen
ts
In –house
reporting
Responsibi
lity for
Data
Collection
MOEF/CP
CB
Official
GOI
publications
MOEF
remediation of
HW and old
dumpsites
strengthened
in the pilot
states
1.3.Dissemina
te good
practices
through
knowledge
dissemination
events
1.4. GAAP
milestones
are met
Nil
Nil
monitoring
of sites
remediation
technologies,
and monitoring
of land fills
trained in
compliance
and
enforcement
trained in
operation of
equipment
i) 4 sector
specific
workshops
and seminars
held by WB
ECAC and
WBPCB
ii) WB ECAC
website
launched
iii) Quarterly
newsletter and
annual report
published by
WBECAC
25 % of
industries aware
of good
practices as
measured by
their
participation in
the workshops/
dissemination of
guidelines
4 sector
specific
workshops
and seminars
held by
APPCB
80 % of
industries
aware of
good
practices as
measured by
their
participation
in the
workshops/
disseminatio
n of
guidelines
APPCB and
WBPCB
create a
WB ECAC
Newsletter and
annual report
Regular
reporting on
implementation
50 % of
industries
aware of
good
practices as
measured by
their
participation
in the
workshops/
disseminatio
n of
guidelines
WB ECAC
Newsletter
and annual
report
trained for
trainers
for
implement
ation of
the
NPRPS
50 %
increase
in
industry’s
complianc
e with
sound
waste
manageme
nt
practices
Progress
report
Supervisio
n report
MOEF with
WB PCB
AP PCB
PCB
reports
ECAC
Annual
report
WB and
AP ECAC
Newsletter
and annual
report
WB ECAC
Newsletter
and annual
report
Neighboring Neighboring Beneficiari Progress
communities communities es survey
implement
involved in
involved in
on all
ation
80
Publication
material
In-house
reporting
MOEF
WB-PCB
and APPCB
project web
site linked to
their websites
of project
activities
monitoring
of
remediation
monitoring
the area to
prevent
illegal
dumping of
waste at all
project sites
project
sites
undertake
n
reports
Surveys
Supervisio
n
FRM
reports
Component 2: Investments in rehabilitation of priority Hazardous Waste Sites and overall environmental improvements in the area
2.1. Four area
based
pollution
remediation
pilots
implemented
in WB and
AP
0%
Detailed
engineering
studies
commissioned
2.2.
Measurable
reduction of
pollution
hazards at two
HW legacy
Nil
Establish the
current
environment
profile of the
area
i) Detailed
engineering
studies
completed; ii)
Contractors
hired
i) 25 % of
site
remediation
works
completed in
Hooghly
ii) 20 % of
closure of
Dhapa
dump site
iii) 25 % of
remediation
works at
NMK
completed
iv) 20 % of
works at
Kadapa
dump site
completed
Establishment of Continue
monitoring
monitoring
program
program;
improvemen
t in surface
and ground
81
i) 60 % site
remediation
at Hooghly
completed
ii) 50 % of
closure of
Dhapa
dump site
iii) 60 % of
remediation
works at
NMK
iv) 50 % of
works at
Kadapa
dump site
completed
100 % of
site
remediatio
n and
closure
works
completed
Semiannual
progress
reports
Quarterly
FMR
In house
reporting,
certification
of site
works
APPCB,
WBPCB
Reduction of
heavy metals
contaminant
s in soil
quality in
surrounding
Remediati
on works
completed
;
Monitorin
g
Improvem
ent in
water
quality of
NMK and
cascading
Study to
APPCB,
establish
WBPCB
impacts of
remediation
on crops
with respect
sites
water quality
2.3.
Measurable
improvements
of the
environmental
conditions
around the
old dumpsites
Nil
2.4. Post
remediation
after care
monitoring
systems in
place at the
four sites
Nil
2.5. EMP and
Social
safeguards
measures
effectively
implemented
on four
project sites
0%
Establish the
current
environment
profile of the
area
Establishing
ground and
surface water
monitoring
system
Continue
monitoring
program
Reduction of
heavy metals
contaminant
s in soil
quality in
surrounding
2 sites with
postremediation
monitoring
infrastructur
e
20 % of rag
pickers on 2
MSW sites
trained in
alternative
livelihoods
40 % of the rag
pickers on 2
MSW sites
trained in
alternative
livelihoods
Universal
20 % of
school-age
PAPs on 2
MSW and 2
HW sites
attending
school
82
10 %
decrease in
community
reporting of
pollution
effect on a
ambient
environment
(baseline
annual
continued
and shared
with the
communit
y
lake inside
Agricultur
al
University
to heavy
metal and
organic
contaminan
ts
Remediati
on works
completed
;
Monitorin
g
continued
and shared
with the
communit
y
4 sites
with postremediatio
n
monitorin
g
infrastruct
ure
i) 100 %
of PAPs
rehabilitat
ed as per
ESMF
stipulation
s for pilot
sites
ii) 50 %
decrease
Monitorin
g
continued
and
complianc
e with
standards
Stakeholder
satisfaction
survey
APPCB,
WBPCB
Semiannual
progress
reports
In-house
reporting
Certificatio
n of Site
monitoring
system
APPCB,
WBPCB
State
Progress
Reports
Supervisio
n reports
In-house
reporting
APPCB,
WBPCB
Independen
t impact
assessment
Mid- term
and end of
project
reports of
APPCB and
WBPCB)
2.6. Local
authorities
and
neighboring
communities
involved and
support
remediation
and closure of
dumpsites
No
commu
nity
awarene
ss and
no
multi
stakehol
der
mechan
ism
Communities
around the
pilots sites
including
NGOs
broadly
approve
remediation
plans
In each of 4 sites
on community
members / CSO
/NGO
volunteers to
take part in the
local multistakeholder
monitoring
mechanism
Community
/ CSO
representativ
e in
monitoring
mechanism
regularly
reports to
local
authorities
on pollution
activities in
the project
areas
83
For each 4
sites more
than on e
local
organization
per site (e.g.
local NGO.
CBO,
LAEC) is
part of
MMM
in
communit
y reports
of
pollution
effect on
ambient
environme
nt
Regular
Progress
reporting
reports
and
regular
MTR
meetings
between
communit
y
members
of MMM
incl. local
authority
beneficiary
survey
Field visits APPCB,
and random WBPCB
discussions
with
population
in the
project
areas
Survey of
local
beneficiarie
s
Topic
Procurement
Financial
Management
Safeguards
Project Disclosure Plan
Documents to be
Frequency
disclosed
Project procurement Plan
As and when the
(PPP)
latest revisions are
Procurement Plan
made
(timeline) regular updates
List of contractors who
purchased bids
Name of contractors
awarded contracts
Minutes of bid opening
GOI /MOEF sanctioned
amount for the project
Expenditure Statement
E&SA for public
consultation
Executive Summary of
ESMF
Social accountability
feedback information
Advance information for
consultations and surveys
Area/
Remediation
Pilots
Yearly
Quarterly
Mode
PCB Website
Local and national
newspapers
UNDP Business
Development
Info-shop Website
MOEF Website
PCB websites
MOEF and PCBs
PCB Websites
websites once in the Info -Shop
project cycle / and in
accordance with
bank safeguards
requirements
When information is
available
When planned
Annually
Yearly progress reports
Monitoring of water quality
Environmental violations
Bi-annually
84
PCB websites
Project Publications
Progress Reports
sent to POC , PSC
and the Bank
Annexure-II
Format for Annual Work Plan Proposal of SPCBs
For the Period……………….
Name of SPCB:……………..
85
Sl.
No.
Components
1.
Strengthening of Environmental Institutions:
Building Capacity for addressing Pollution
remediation
Technical Support
i
Services
ii Goods
iii Incremental Operating Cost
Laboratory equipment
i
Goods
ii
Environmental Compliance Assistance Centre
i
Services
ii Works
iii Goods
iv Incremental Operating Cost
Training
i
Training and Workshops
ii
Upgrading Information Management Systems
i
Services
ii Goods
iii Incremental Operating Cost
iv
Sub Total 1
a.
b.
c.
d.
e.
2.
Physical
Target
Investments in Priority Remediation and
Environmental Improvements: Rehabilitation of
abandoned contaminated sites
a. Remediation of Hazardous Waste Site
i
Services
ii Works
iii Goods
iv
b. Remediation of Municipal Solid Waste Site
i
Services
ii Works
iii Goods
iv
Sub Total 2
3.
Project Management
a. Establishment / Consultancy Services
i
Services
ii Incremental Operating Cost
86
Financial
Outlay
(Rs. In
Lakhs)
iii
b. Goods and Equipment
i
Goods
ii
c. Domestic / Abroad Training / Study Tour
i
Training & Workshops
ii
d. Incremental Operating Cost
i
Services
ii Works
iii Goods
e. Monitoring & Evaluation
i
Services
Sub total 3
Total Project Cost (1+2+3)
Centre Share (85%)
State Share (15%)
87
Annex III
Format for Annual Work Plan Proposal of MOEF
For the Period……………….
Sl.
No.
Components
Physical
Target
1.
Strengthening of Environmental Institutions: Building
Capacity for addressing Pollution remediation
a. Technical Support
i
ii
Services
Goods
iii
Incremental Operating Cost
b. Laboratory equipment
i
Goods
ii
c. Training
i
ii
Training and Workshops
Sub Total 1
2.
Project Management
i
ii
iii
iv
Services
Works
Incremental Operating Cost
Project Preparation Cost
Sub total 2
Total Project Cost (1+2)
World Bank Share (85%)
MoEF Share (15%)
88
Financial
Outlay
(Rs. In
Lakhs)
ANNEX IV
Format for Quarterly Interim Unaudited Financial Reports
Name of Agency: West Bengal Pollution Control Board
Report for the quarter ended on 01.04.2010 to 31.03.2011
For
the
Quarter
Particulars
Sources
State Government Funds
Government of India Funds
Total Sources (A)
Expenditures by Component
1. Strengthening of Environmental Institutions: Building Capacity for addressing
Pollution remediation
A. Technical Support
i.
Goods
ii.
Services
iii. Incremental Operating Cost
B.
Laboratory equipment
i.
Goods
C.
Environmental Compliance Assistance Centre
i.
Works
ii.
Goods
iii. Services
iv. Incremental Operating Cost
v.
Training and Workshop
D. Training
i.
Training and Workshop
E.
Upgrading Information Management Systems
i.
Goods
ii.
Services
iii. Incremental Operating Cost
Sub Total 1
2. Investments in Priority Remediation and Environmental Improvements:
Rehabilitation of abandoned contaminated sites
A. Remediation of Hazardous Waste Site
i.
Works
ii.
Goods
iii. Services
B.
Remediation of Municipal Solid Waste Site
i.
Works
ii.
Goods
iii. Services
3. Project Management
A. Establishment / Consultancy Services
B.
Goods and Equipments
C.
Domestic / Abroad Training / Study Tour
D. Incremental Operating Costs
E.
Monitoring and Evaluation
Grand Total
Central Share (85%)
State Share (15%)
Note: The format may be revised in consultation with the WB if necessary.
89
(Amount in Rs Lakhs)
Cumulative
Year till Project
date
till date
Signatures
90
of
Project
Director
ANNEX V
FORM GFR – 19A
FORM OF UTILISATION CERTIFICATE
FOR THE SCHEME ………………………………..
Sl.
No.
1.
2.
Letter No. and date
Amount
Central Govt share released vide Letter No.---- Rs. ___________
-------------------dated -------------State Govt. share released vide State Govt.
letter No. _______ dated ______
Rs. ____________
TOTAL (1 + 2)
Rs.
Certified that out of Rs.________. (Central Share to be mentioned) of Grants-in-Aid released
during the FY_________ in favour of Govt. of ______ under the Ministry/ Department letter No.
given in the margin and Rs. __________ (amount in words) on account of unspent balance of the
previous year, a sum of Rs. ________ (amount in words) has been utilized for the purpose of
_____________________for which it was sanctioned and that the balance of
Rs.
_____________remaining un-utilized at the end of the year has been surrendered to Govt. vide
letter No. _______ dated ________ / will be adjusted towards the grant- in-aid payable during the
next year.
It is also certified that the 15% state share as mentioned above has also been contributed from the
State Government and utilized along with the Central Share.
Certified that I have satisfied myself that the conditions on which the grant-in-aid was sanctioned,
have been duly fulfilled on that, and I have exercised the following Checks to see that the money
was actually utilized for the purpose for which it was sanctioned.
Kinds of Checks exercised:
1. Procurement procedure followed as per norms.
2. Any other check required as per Financial Guidelines.
Signature of State Project Director
Date
91
Annexure VI
Indicative Chart of Accounts
Expenditure:
Component
(1 digit)
Component A :
–
–
Strengthening of
Environmental
Institutions:
Building Capacity
for addressing
Pollution
remediation
–
–
–
Component B:
–
Investments in
Priority Remediation
and Environmental
Improvements:
Rehabilitation of
abandoned
contaminated sites
Component C:
–
Project Management
–
–
–
–
–
Specific Task/
Objectives
(2 Digits)
Technical Support
Laboratory equipment
Environmental
Compliance Assistance
Centre
Training
Upgrading information
Management Systems
Remediation of
Hazardous Waste Sites
Remediation of
Municipal Solid Waste
Sites
Establishment
/
Consultancy Services
Goods and
Equipments
Domestic / Abroad
Training / Study Tour
Incremental Operating
Costs
Monitoring and
Evaluation
92
Detailed Head
(3 Digits)
Link to
Budgetary
Classification
Major Works
Other
Expenditure
Receipt:
Component
Group of Income
(1 digit)
(2 Digit)
Component A :
Project funds
Strengthening of
Environmental Institutions:
Detailed Head
(3 Digit)
- Funds Received – GoI share
Building Capacity for
addressing Pollution
remediation
-
Funds Received – State
Govt. share
Component B:
Investments in Priority
Remediation and
Environmental
Improvements:
Rehabilitation of
abandoned contaminated
sites
Component C:
Project Management
Explanatory Notes to Chart of Accounts:

This chart of account is composition of 6 digit code. The account code structure for
expenditure shall be as follows:
-
Component A to C will have codes 1, 2, 3 respectively.
Specific tasks/objectives shall be assigned codes starting from --------- up to --- depending
on the number of works to be taken up.
Detailed heads will have range from ------ to -----

The account code structure for receipt shall be as follows:
-
The codes for component shall remain the same.
Group head has been assigned code from --- to ---.
Detailed heads will have range from ----- to ----
93
ANNEX VII
MOEF Project Management
Job Descriptions and Procedures
1. Project Director (PD)
The responsibilities of the Project Director would consist of the following:









Coordinate day-to-day implementation of tasks under the project by the various
implementing teams and agencies, as specified in the Project Appraisal Document (PAD).
Organize monthly meetings with the various project component teams and the Project
Oversight Committee (if one exists), to review progress on project implementation.
Organize and circulate agenda and other communications for the Council. Record the
minutes of these meetings. Convey the minutes to the relevant Minister and the Bank.
Ensure that the Project Oversight Committee, sub-committees, evaluation committees
(where these committees exists) and the project teams have the necessary knowledge and
expertise to conduct their work, including, for example to draft technical specifications and
evaluate technical bid proposals. Procure necessary ad hoc TA to support these project
groups.
Prepare and distribute consolidated, periodic progress reports of the project teams and
consultants to the relevant government and other participating institutions, including the
semi-annual and annual reports to the World Bank, reflecting: (i) the status of
implementation progress, problems encountered, corrective actions needed, rationale for
actions; and (ii) current costs of each project component and estimated costs of completion.
As required, take actions to expedite project activities, including, but not restricted to,
decision-making and document processing by the relevant governmental agencies. Monitor
official documents and contracts as they pass through the approval processes.
In a timely fashion, prepare and submit to relevant government institutions and the Bank of
annual audit reports of project expenditure and accounts.
Ensure accurate and timely compilation of project indicators by each implementation team.
Facilitate the preparation of the World Bank standard Project Implementation Completion
Report (ICR).
Carefully manage the records and official documents of the project, including the project
audit.
In order to perform these tasks, the incumbent should have the following qualifications: (i)
Extensive experience in managing and administering large, multi-million dollar projects, involving
multiple sub-projects, contractors and agencies; (ii) Experience in project management in both the
public and private sectors; (iii) Experience with competitively bid procurements; (iv) Experience in
disbursement and audit procedures: (v) Experience with World Bank financed projects.
94
2. Project Coordinator (PC)
Objective: Assumes day to day operations of project implementation
Responsibilities: Liaise with appropriate technical personnel in national, regional and international
institutions involved in protected area management seeking coordination and integration where
appropriate and beneficial to the project.
Establish working relations with appropriate national and regional agencies and groups in
participating/ countries to ensure effective implementation of project activities under his/her
responsibility at the national and regional level. The PC will assist the Project Director with the
development and preparation of Annual Work Plans.








Assist and support the Project Director in preparing request for proposals and bidding
documents, terms of reference and performance contracts for, supervising and evaluating the
performance of the consultancies that shall be retained for specific activities under the
responsibility of the POC, including the mid-term and final evaluation of corresponding
activities at national and regional levels.
Design a system and organize for the regular monitoring and review of the execution of the
components and subcomponents.
Provide the Program Director with quarterly progress reports and contribute to the
development of annual work-plans.
The Project Coordinator may be required to fulfill the duties, responsibilities and functions of
the Program Director as required.
Liaise with appropriate technical personnel in national, state, regional and international
institutions involved in MSW and HWM seeking coordination and integration where appropriate
and beneficial to the project.
Establish working relations with appropriate national and state level agencies and with relevant
stakeholders from the private sector and the NGO community to ensure effective
implementation of project activities under his/her responsibility.
Liaise with media and public to communicate project results and maintain regular
communication with stakeholders and concerned non –government entities.
Monitor compliance with GAAP provisions to ensure transparency and prudent use of project
resources
95
ANNEX VIII
Terms of Reference
(FM) at MOEF
(As the financial management functions will be merged in to the responsibilities of PMC, which will have a
professional financial manager to manage the financial operations of CBIPMP. These FM tasks therefore
would need to be performed by PMC under the guidance of the Project Director)
Implementation Arrangements
From financial management perspective, the project is proposed to be implemented by the MOEF
through the ‘Government Treasury mode’ and a POC for the project at MOEF will carry out the
functions of program management, coordination, monitoring, knowledge management, finance and
capacity building. Andhra Pradesh Pollution Control Board (APPCB) and West Bengal Pollution
Control Board (WBPCB) are the implementing agencies in the respective states. These Boards will
submit annual work plans and budgets to the POC and POC will be responsible for providing
advance funds to the Boards for the implementation of the project. The Boards will be reporting the
expenditure incurred to the POC, which will in turn consolidate and present consolidated financial
reports to the World Bank. Private auditors will audit the World Bank project at the Boards, while
the audit will be conducted by C&AG at the MOEF level. POC will be responsible for providing
consolidated reports on audited expenditure for the project to the World Bank.
Financial Management at Central level
The POC will have overall responsibility for financial management of the project and ensuring that
funds flow, accounting, internal controls, financial reporting, disbursement and audit are carried out
in accordance with project legal agreements and Financial Guidelines for the project. Key FM task
of the POC will be: (a) annual budgetary provision for the project and monitoring of project
expenditure against project budget; (b) approval of annual work plan and budgets of WBPCB and
APPCB; (c) ensuring sufficient and timely funds flow for activities at state level and for POC level
activities; (d) regular financial reporting at all levels of the project and compilation of six monthly
financial reports and annual financial statements of the project; (e) timely submission of annual
reimbursement claims to the Bank; (f) conducting regular financial reviews of state pollution control
boards; and (g) ensuring annual external audits at MoEF, APPCB and WBPCB for the project as
per the agreed TOR with the Bank, consolidation of implementing entities’ audited financial
statements and audit observations, submitting consolidated annual audit report of the project to the
Bank and ensuring compliance to auditor’s observations.
Need for a Accounts Officer / Finance Manager
In order to enable the POC to perform the tasks specified in the above para, there is a need to scale
up the financial management arrangements commensurate with the proposed scale of operations
and flow of funds for the project, and hence the need for a Accounts Officer to be based at POC.
Extensive work will be required to carry out financial management functions of the project,
including monitoring expenditure incurred at implementing entities in the participating states,
strengthening their capacity as required, receipt of financial reports from the states and consolidating
the expenditure at the central level for reporting to the Bank and regular visits to states to confirm
adequate internal controls etc.
96
Terms of Reference
The broad terms of reference/objectives of the position during the implementation phase are:
a) To manage the financial management system for the World Bank project, including but not
limited to budgeting, accounting, funds flow, internal controls, financial reporting, external
audit and taking a lead in continuous training of finance staff of the participating states for
effective financial management.
b) Coordinate receipt of financial information from the states, checking its accuracy,
consolidating expenditure at the central level for reporting to the Bank and preparing
necessary reimbursement claims to be submitted to the World Bank, etc.
c) Oversight of financial management aspects of the project, including guidance to states as and
when required and regular field visits to test check internal controls.
d) Coordinating external audit of the project and ensuring submission of agreed reports of
audited expenditure to the World Bank.
Profile
As the FM functions will be performed by PMC, the profile of the candidate has been included in
various staffing requirements for PMC.
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ANNEX IX
Terms of Reference
for External Financial Audit of Project Financial Statements
Implementation Arrangements
From financial management perspective, the project is proposed to be implemented by the MOEF
through the ‘Government Treasury mode’ and a POC for the project at MOEF will carry out the
functions of program management, coordination, monitoring, knowledge management, finance and
capacity building. Andhra Pradesh Pollution Control Board (APPCB) and West Bengal Pollution
Control Board (WBPCB) are the implementing agencies in the respective states. These Boards will
submit annual work plans and budgets to the POC and POC will be responsible for providing
advance funds to the Boards for the implementation of the project. The Boards will be reporting the
expenditure incurred to the POC, which will in turn consolidate and present consolidated financial
reports to the World Bank. Private auditors will audit the World Bank project at the Boards, while
the audit will be conducted by C&AG at the MOEF level. POC will be responsible for providing
consolidated reports on audited expenditure for the project to the World Bank.
Objective of the Audit
The objective of the audit is to provide an independent professional opinion to the various
stakeholders on the accuracy of the project’s financial statements and compliance with financing
agreements.
Coverage of the Audit
The audit would cover the all sources and application of funds.
Audit Report
The auditor should provide:
 An opinion on whether the project financial statements have been prepared as per agreed
accounting procedures and in accordance with consistently applied Accounting Standards and
give a true and fair view of the operations of the project during the year and the financial
position of the project at the close of the fiscal year. Any material deviations from these
Standards and the impact of these deviations on the project financial statements as presented
would be stated.
 For withdrawals from the grant made on the basis of unaudited quarterly financial reports
(IUFRs), whether these reports submitted during the year, together with the procedures and
internal controls involved in their preparation, can be relied upon to support the related
withdrawals.
 A statement of reconciliation between: (i) audited expenditure for the year, and (ii) the
cumulative audited expenditure for the project, with the reimbursement claims filed.
Scope of Work
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1. An assessment of compliance with provisions of Letter Agreement, especially those relating to
accounting and financial matters. This would inter alia include verification that all the funds
received under the project have been used to procure goods and services in accordance with the
financing agreements, with due attention to economy, efficiency and effectiveness, and only for
the purposes for which the financing was provided.
2. Expenditures charged to the project have been correctly classified and these would be
determined with reference to the Legal Agreement. All necessary supporting documents,
records, and accounts have been kept in respect of all project activities; Clear linkages exist
between the accounting records including accounting books and the Project Financial
Statements.
3. All six-monthly financial reports used as the basis for the submission of withdrawal applications
accurately reflect expenditures and activities on the project.
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