ANNEXURE - A

 

GENERIC STRUCTURE OF THE DPR

(i)      Context/background : This section should provide a brief description of the sector/sub-sector, the government priority, strategy and policy framework as well as a brief description of the existing situation.

(ii)     Problems to be addressed : This section should elaborate the problems to be addressed through the project/scheme at the local/regional/State level, as the case may be. Evidence regarding the nature and magnitude of the problems should be presented, supported by baseline data/surveys/reports. Clear evidence should be available regarding the nature and magnitude of the problems to be addressed.

(iii)    Project Objectives : This section should indicate the Development Objectives proposed to be achieved, ranked in order of importance. The deliverables/ outputs for each Development Objective should be spelt out clearly. This section should also provide a general description of the project.

 (iv)   Target beneficiaries : There should be clear identification of target beneficiaries. Stakeholder analysis should be undertaken, including consultation with stakeholders at the time of project formulation. Options regarding cost sharing and beneficiary participation should be explored and incorporated in the project. Impact of the project on weaker sections of society, positive or negative, should be assessed and remedial steps suggested in case of adverse impact.

(v)     Project strategy :  This section should present an analysis of alternative strategies available to achieve the Development Objectives. Reasons for selecting the proposed strategy should be brought out. Involvement of NGOs should be considered. Basis for prioritization of locations should be indicated (where relevant). Options and opportunity for leveraging government funds through public-private partnership must be given priority and explored in depth.

(vi)    Legal Framework : This section should present the legal framework within which the project will be implemented and strengths and weakness of the legal framework in so far as it impacts on achievement of project objectives.

 (vii) Environmental impact assessment : Environmental impact assessment should be undertaken, wherever required and measures identified to mitigate adverse impact, if any. Issues relating to land acquisition, diversion of forest land, rehabilitation and resettlement should be addressed in this section.

(viii) On-going initiatives : This section should provide a description of ongoing initiatives and the manner in which duplication will be avoided and synergy created through the proposed project.

(ix)    Technology issues : This section should elaborate on technology choices, if any, evaluation of options, as well as the basis for choice of technology for the proposed project.

(x)     Management arrangements : Responsibilities of different agencies for project management and implementation should be elaborated. The organizational structure at various levels as well as monitoring and coordination arrangements should be spelt out.

(xi)    Means of Finance and Project Budget : This section should focus on means of finance, evaluation of options, project budget, cost estimates and phasing of expenditure. Options for cost sharing and cost recovery (user charges) should be considered and built into the total project cost. Infrastructure projects may be assessed on the basis of the cost of debt finance and the tenor of debt. Options for raising funds through private sector participation should also be considered and built into the project cost.

(xii)   Time frame : This section should indicate the proposed 'Zero' date for commencement and also provide a PERT / CPM chart, wherever relevant.

 (xiii)    Risk analysis : This section should focus on identification and assessment of project risks and how these are proposed to be mitigated. Risk analysis could include legal/contractual risks, environmental risks, revenue risks, project management risks, regulatory risks, etc.

(xiv) Evaluation : This section should focus on lessons learnt from evaluation of similar projects implemented in the past. Evaluation arrangements for the project, whether concurrent, mid-term or post-project should be spelt out. It may be noted that continuation of projects/schemes from one Plan period to another will not be permissible without an independent, in-depth evaluation being undertaken.

(xv)   Success criteria : Success criteria to assess whether the Development Objectives have been achieved should be spelt out in measurable terms. Base-line data should be available against which success of the project will be assessed at the end of the project (Impact assessment).In this regard, it is essential that base-line surveys be undertaken in case of large, beneficiary-oriented projects.

         Success criteria for each Deliverable/Output of the project should also be specified in measurable terms to assess achievement against proximate goals.

 (xvi)    Financial and economic analysis : Financial and economic analysis of the project may be undertaken where the financial returns are quantifiable. This analysis would generally be required for investment and infrastructure projects, but may not always be feasible for social sector projects where the benefits cannot be easily quantified.

(xvii) Sustainability : Issues relating to sustainability, including stakeholder commitment, operation and maintenance of assets after project completion, and other related issues should be addressed in this section.

Note :   Requirements of the EFC/PIB format may also be kept in view while preparing the DPR.


ANNEXURE - B

 

CHECK LIST FOR DETERMINING THE RESPONSBILITY

FOR TIME AND COST OVER-RUNS

 

A-      ADMINISTRATIVE AND PROCEDURAL DELAYS

Failures

Agency / person responsible

* Sanction letter

Ø       Delayed issue

Ø       Not defining cost, accountability etc.

Ø       Others (Specify)

 

Ø                        

Ø                        

Ø                        

* Processing of Revised Cost Estimates

Ø       Delay in submission

Ø       Delay in Pre-PIB/EFC meeting

Ø       Delay in circulation

Ø       Delay in appraisal

Ø       Delay in PIB/EFC meeting

Ø       Others (Specify)

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

 

B-      LAND ACQUISITION

Failures

Agency / person responsible

* Assessment of requirement/suitability

Ø       Not assessed

Ø       Area of land not indicated

Ø       Site/location not surveyed

Ø       Inspection/soil testing not done

Ø       Inspection / testing not professional

Ø       Others (Specify)

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

 

* Acquisition process

 

Ø       Advance action not taken

Ø       Action taken but not possession

Ø       Possession not on time

Ø       Possessed but with encroachment

Ø       Forest land clearance not obtained

Ø       Rehabilitation of displaced not done

Ø       Others (Specify)

 

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

Ø                       .

Ø                        


C - FUND CONSTRAINTS

 

Failures

Agency/person responsible

* General

Ø       Requirement not properly assessed

Ø       Sanctioned without adequate funds

Ø       Late request for release

Ø       Delayed release of funds

Ø       Additional projects taken up affecting fund availability for this project

Ø       Others (Specify)

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

* Foreign loan/grant

Ø       Not tied up on time

Ø       Tied up but delay at DEA

Ø       Alternative funding not identified

Ø       Others (Specify)

 

 

 

Ø                        

Ø                        

Ø                       .

Ø                        

* Internal Resources

Ø       Inadequately assessed

Ø       New projects taken up affecting funding of the project

Ø       Others (Specify)

 

Ø                        

Ø                       .

Ø                        

 

* Institutional Finance

Ø       Advance action not taken

Ø       Others (Specify)

 

Ø                       .

Ø                        

* Matching resources from beneficiaries etc.

Ø       Due consent of contributors not obtained

Ø       Funds not released on time

Ø       Released but partly

Ø       Others (Specify)

 

 

 

Ø                        

Ø                        

Ø                        

Ø                        

 

 

 

 

 

 


D - TECHNICAL/DESIGN PROBLEMS

 

Failures

Agency/person responsible

* Faulty Technical Parameters

Ø       1st stage clearance required but not obtained

Ø       Poor quality of Detailed Feasibility/ Project Reports

Ø       Short listing of Consultants not done

Ø       Alternatives not adequately defined

Ø       Lay-out plans/design not got approved from competent authorities

Ø       Others (Specify)

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

 

* Change in Scope / Quantity / Technology

Ø       Inadequacy of investigations/surveys

Ø       Change in size/scale

Ø       Additions foreseeable but not foreseen

Ø       Additions not foreseeable (new regulations, environmental etc.)

Ø       Under-estimation

Ø       Wrong choice of technology

Ø       Non-identification of alternative technologies in advance

Ø       Non-identification of suitable vendors

Ø       Others (Specify)

 

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

* State of preparedness of the PSU

Ø       Project team not appointed on time

Ø       Statutory clearances not obtained in advance

Ø       Lay-out plans / designs not prepared on time

Ø       Basic engineering not done on time

Ø       Delay in technical clearances

Ø       Others (Specify)

 

 

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

 

 

 


E - TENDERING/CONTRACTING

 

Failures

Agency/person responsible

* Advance action

Ø       Size/specifications etc. not finalized

Ø       Contractors/suppliers not identified

Ø       Contract terms not formulated properly

Ø       Job packages unprofessionally made

Ø       Others (Specify)

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

* Time schedule for tendering

Ø       Not drawn up

Ø       Delay in preparation of tender documents

Ø       Delay in issuing tender notice

Ø       Delay in opening and evaluation of tenders

Ø       Delay in awarding the contract

Ø       Others (Specify)

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

* Ineffectiveness of contractual clauses:

Ø       Liquidated Damages Clause not included

Ø       Liquidated Damages Clause not invoked

Ø       Liquidated Damages Clause not adequate

Ø       Poor performance of the contractor

Ø       Contractor's failure due to missing linkages

Ø       Others (Specify)

 

 

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

Ø                        

 

 


F - IMPLEMENTATION PLAN AND MONITORING MECHANISM

 

Failures

Agency/person responsible

* Commissioning Schedule :

Ø       Commissioning Schedule not realistic

Ø       Sequencing and scheduling of activities not professional

Ø       No Bar Chart / PERT diagram prepared

Ø       Others (Specify)

 

Ø                    

Ø                    

Ø                    

Ø                    

* Implementation Plan :

Ø       Key personnel not placed on time

Ø       Delay in finalization of modalities for execution

Ø       Linkages not properly assessed

Ø       Risk / uncertainties not identified

Ø       Others (Specify)

 

Ø                  

Ø                  

Ø                  

Ø                  

Ø                  

* Monitoring Mechanism at Project Level

Ø       Nodal Officer (Chief Executive) for the project not designated

Ø       Periodical review was not done

Ø       Progress reviewed but no corrective action taken

Ø       Others (Specify)

 

Ø                  

Ø                  

Ø                  

Ø                  

Ø                  

* Monitoring Mechanism at Department level

Ø       Not set-up

Ø       Progress not monitored periodically

Ø       Progress reviewed but no action taken

Ø       Problems not brought before competent authority

Ø       Others (Specify)

 

Ø                  

Ø                  

Ø                  

Ø                  

Ø                  

 

Note :   Requirements of the reviewing authority may also be kept in view while preparing the check list.