GOVERNMENT OF UTTARAKHAND Urban Development Department Asian Development Bank UTTARAKHAND URBAN SECTOR DEVELOPMENT INVESTMENT PROGRAM (UUSDIP)

Transcription

1 GOVERNMENT OF UTTARAKHAND Urban Development Department Asian Development Bank UTTARAKHAND URBAN SECTOR DEVELOPMENT INVESTMENT PROGRAM (UUSDIP) ADB Loan No IND QUARTERLY PROGRESS REPORT for Quarter Ending Sept 2016 (QTR III) Report No. 37 Investment Program Management Unit

2 Contents Contents Executive Summary... 3 Key Persons Involved in the Program... 3 Loan Processing History... 5 Program Overview... 6 A. Program Area and Location...6 B. Program Objectives and Scope...6 C. Multi-Tranche Financing Facilities...7 D. Project 1 Description...7 E. Overview...10 Table 3: Subproject Progress at a Glance in Tranche I G. Procurement Status of Subprojects...11 K. Contract Execution Progress Summary...15 Table 4: Contract Execution Progress Summary Program Performance Management and Evaluation L. Overview...18 M. Work Progress...19 N. PPMS Reports...19 Status of Project Inputs and Activities VII. Financial Progress by Loan Accounts Status of Compliance with Covenants Appendix Annexure... 33

3 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Executive Summary Key Persons Involved in the Program Costs Contribution In USD Million In INR Million Program Total Estimated Cost ADB Loan Component GoU Contribution Project 1 Total Estimated Cost ADB Loan Component GoU Contribution Project 1 Progress at a Glance Number of Subprojects Value (INR Million) Garhwal Region Subprojects in Execution Subprojects Contract Awarded - - Subprojects Tender Floated 2 - Subproject Completed Kumaon Region Total Subprojects Subprojects in Execution Subprojects Contract Awarded - - Subprojects Tender Floated 3 - Subproject Completed Expenditure Status Reimbursement Status Cumulative Expenditure up to the end of current quarter Expenditure Forecast for the next quarter Reimbursement claims forwarded to ADB during the current quarter INR million INR 80 million INR 79.9 million Note : Currency Conversion rate 1USD = 65.5 INR Investment Program Management Unit (IPMU) Page 3

4 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 ADB India Resident Mission Country Director : Ms. M. Teresa Kho Project Officer : Mr. Saugata Dasgupta sdasgupta@adb.org Project Analyst - Consultant : Mrs.Shalini Patwal spatwal.consultant@adb.org Address : 4 San Martin Marg Chanakyapuri New Delhi India Facsimile : +91 (11) Telephone : +91 (11) Website : Executing Agency Urban Development Department, Government of Uttarakhand Minister : Mr. Pritam Singh Panwar Secretary : Mr. D.S. Garbyal, IAS Address : Secretariat, 4 Subhash Road Dehradun, Uttarakhand Facsimile : +91 (135) Telephone : +91 (135) Investment Program Management Unit Program Director : Dr. V. Shanmugam, IAS Deputy Program Director : Mr. Ravi Pandey Address : IPMU, UUSDIP, 777,Saatvik Tower, Rajendra Nagar, Kaulagarh Road Dehradun Uttarakhand, India. Facsimile : +91 (135) Telephone : +91 (135) Investment Program Management Unit (IPMU) Page 4

5 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Loan Processing History (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) (xi) (xii) (xiii) (xiv) Conceptual Clearance Fact Finding Management Review Meeting Approval Loan Fact-Finding Mission Appraisal Mission Staff Review Committee Meeting Loan Negotiations of FFA FFA Signing Board Circulation of MFF Board Consideration & Approval Loan Agreement Signing Loan Effectiveness Last ADB Review Mission 07 September June August July June September October November November January January October December to 13 October 2015 (xv) Original Loan Closing 31 December 2012 (xvi) Extended Loan Closing 23 January 2018 Investment Program Management Unit (IPMU) Page 5

6 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Program Overview A. Program Area and Location 1. The Uttarakhand Urban Sector Development Investment Program (UUSDIP) covers thirty one Program towns comprising of one Nagar Nigam (Municipal Corporation) in state capital Dehradun, 25 Nagar Palika Parishads and 5 Panchayat Parishads. The combined population of these Program towns is 2.9 million as per 2001 census. The location Map of Program towns is displayed in Appendix 1. B. Program Objectives and Scope 2. The primary objective of the Investment Program is to improve the quality of life of the urban residents of Uttarakhand. The expected outcome of the Investment Program is to increase the access to better quality urban infrastructure and services to the 3.8 million people projected to be living within the 31 Program towns by It is also expected that the Investment Program will enhance the quality of services and experience enjoyed by more than 8 million tourists and pilgrims who visit the Program towns annually 3. The Program comprises as follows: 4. Part A The urban infrastructure improvement covers the improvement and expansion of the following ULB infrastructure and services: Water Supply System, Waste Water management Solid Waste Management Slum Upgrading Roads & traffic management 5. Part B This part is designed for institutional development and capacity building of the urban local bodies service providing agencies in implementation, operation, maintenance and management of the assets built under the Program and delivering high quality services in a sustainable manner. This generally covers: (i) Financial and institutional reforms, (ii) Procurement of works, goods and services, (iii) Implementation and quality control, (iv) Private sector participation, (v) Awareness building in regard to solid waste management, environmental and social safeguards, protection of assets and participation in Program sustainability, (vi) Preparation of solid waste strategy and master plan, and (vii) Preparation of state slum policy. Investment Program Management Unit (IPMU) Page 6

7 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III Part C Program implementation assistance. IPMC will support to the Investment Program Management Unit (IPMU) at state-level and Investment Program Implementation Unit (IPIU) at Program level and sub-ipiu each town level in technical, financial, social and other activities immediately related to implementation of the Program. 7. The Program is divided into four Projects to be executed under four tranches in Multi-tranche Financing Facility (MFF) of ADB that will be implemented by IPMU with technical and management assistance of IPMC in an eight years period. The Program is expected to be completed by The proposed ADB loans under the MFF will finance civil works, equipment, consulting services, and capacity building costs. GOI has the option to choose between eligible currencies and interest rate regimes for each loan. Table 1 shows the financing plan. Table 1: Financing Plan ($ million) Source Total % Asian Development Bank Government of Uttarakhand Investment Program Total C. Multi-Tranche Financing Facilities 9. The GoI has requested financing up to an equivalent of $350 million from ADB s ordinary capital resources to help finance part of the Investment Program. The financing will be provided as a Multi Tranche Financing Facilities (MFF) in accordance with ADB policy. The MFF will extend multiple loans to finance a range of appropriate subprojects under the Investment Program, subject to submission of a related periodic financing request (PFR) by GoI and execution of the related loan and Program agreements. The GoI has entered into a Framework Financing Agreement (FFA) with ADB. In this process the entire ADB loan of $ 350 million for total investment of $ 500 million will be available in four tranches for which GoI will forward separate PFR for each tranche. The first PFR in an amount of $60 million of ADB loan and a total cost of $85.7 million to be invested in three major towns of Dehradun, Haridwar and Nainital. D. Project 1 Description The Project 1 will focus on optimization and rehabilitation of water supply and sewerage systems, including reduction of leakages and bulk and individual water metering in the three rapidly growing larger towns (Dehradun, Haridwar, and Nainital) and also the sewerage and sewage treatment facilities for part of Dehradun. These investments do not involve land acquisition, resettlement, or any major social and environmental issues. The Project 1 will also fund the capacity-development component for all Program towns to support the implementation of the urban governance, finance, and service-delivery improvement action plan (including detailed studies and plans, cost-recovery based tariffs, and improved accounting) and several Investment Program Management Unit (IPMU) Page 7

8 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 key studies comprising a solid-waste management strategy and action plan, slum improvement action plan, and civic awareness program for community-level solid-waste management improvement. The cost of the project 1 is currently estimated to be US$85.7 Million. ADB has agreed to finance, through a loan, US$ 60 Million of the eligible portion of the portion of the project cost and the remaining cost shall be financed by Government of Uttarakhand. Details of the estimate of total sources and applications of funds for the project are shown in Table 2. Table 2: Cost Estimates and Financing Plan for Project 1 under MFF by Disbursement Category Disbursement Categories Total Cost ADB Financing GoU Financing Total ($ million) ADB Financing % Civil Works Land Acquisition and Resettlement Benefits Equipment Training and Study Tours Survey Consulting Services Program Implementation and Administration Tax and Duties Contingencies b Financing Charges c Total a In end 2007 prices. b Physical contingencies computed at 7% for civil works; and 5% for equipment. Price contingencies are computed at 5.0% for domestic inflation and at 0.8% for foreign inflation. c Includes interest and commitment charges. Financing charges are estimated, assuming an interest rate computed at the six months London interbank offered rate and a spread of 60 basis point (40 basis point until 30 June 2008), a commitment fee of 0.35% (0.25% until 30 June 2008). Source: Asian Development Bank estimates. Investment Program Management Unit (IPMU) Page 8

9 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Investment Program Management Unit (IPMU) Page 9

10 Implementatio n Procurement Design Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 E. Overview Subprojects Status 10. The scheme for developing the basic infrastructure facilities in major urban centers of Uttarakhand is proposed to be implemented in four tranches. In the first tranche it is proposed to optimize the existing water supply system of Dehradun, Haridwar and Nainital by improving the system through renovation/ replacement of the plants and equipment as well as the distribution network. In this process, some of the old and inefficient pumping units are selected for replacement in their respective existing locations along with renovation of two existing treatment plants in Dehradun. The Kargi zone waste water management at Dehradun has been taken in this project where trunk and branch sewer along with house hold sewerage connection shall be made. There are t w e l ve subprojects identified in Project 1 to be executed under Tranche I. Out of the t we lve subprojects, four subprojects for water supply and three subprojects for waste water management in Dehradun, one water supply subprojects in Haridwar and four water supply subprojects in Nainital would be executed. Under Water Supply System WSS02D,WSS03D,WSS04D,WSS01H in Garhwal Region and WSS01N, WSS02N, WSS03N,WSS04N in Kumaon Region are completed.wwm01d under Waste Water MAnagement is also completed. The subproject progress at a glance is shown in Table 3. Table 3: Subproject Progress at a Glance in Tranche I Subproject Major Stages Code Name Town Garhwal Region Water Supply System (WSS) WSS01D(RT) Laying of Water Distribution Network in core areas at Dehradun. Waste Water Management (WWM) WWM02D(RT Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun. WWM03D(RT Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun. WSS02D/ BHW WWM05D Construction of Mass Concrete Weir across river Bandal Providing, laying, jointing and testing of Sewer house service connection for individual houses area covered under contract package WWM02D&WWM02D (RT) of kargi zone, Dehradun Dehradun C C Dehradun C C Dehradun C C Dehradun C C C Dehradun Investment Program Management Unit (IPMU) Page 10

11 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Providing, laying, jointing and testing of WWM06D Sewer house service connection for individual houses area covered under Dehradun contract package WWM03D&WWM03D C (RT) of kargi zone, Dehradun. Kumaon Region Water Supply System (WSS) WSSDG01N Supply, Installation, Testing and commissioning of DG sets at Nainital Nainital C C F. Design Status of Subprojects 11. There are no subprojects in design stage under Tranche I. G. Procurement Status of Subprojects 12. No subproject was under procurement process in this quarter. S. N. Subproject Description and Code Roorkee Town 1 Providing, laying, jointing and testing of Sewer house service connection for individual houses area covered under contract package WWM02D& WWM02D (RT) of kargi zone, Dehradun 2 Providing, laying, jointing and testing of Sewer house service connection for individual houses area covered under contract package WWM03D&WWM03D (RT) of kargi zone, Dehradun. Allocated Amount (Incl. tax) INR(M) 16.8 Work Progress Bids received on 13 Oct 2016 Evaluation under process Bids received on 13 Oct 2016 Evaluation under process Investment Program Management Unit (IPMU) Page 11

12 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 I. Implementation Status of Subprojects 13. The status of subprojects under Tranche 1 entered into the implementation pipeline are shown below: Subproject Brief Description of Code Subproject Water Supply System in Dehradun WSS01D Laying of Water Distribution Network in core areas at Dehradun. Award Date 15 June 2010 Contractor M/s Vishwa Infrastructure & Services Ltd. Status Km pipeline laid Agreement Terminated on WSS02D WSS03D WSS04D Laying of Gravity Raw Water Main from Bandal to Dilarambazar WTP at Dehradun. Replacement of Pumping Plants and Electrical items and renovation of pump houses at Dehradun. Procurement of Silent Mobile & Static Generators at Dehradun. 10 December June March 2010 M/s. NKG Infrastructure, Delhi M/s R.K Engineers Sales Pvt. Ltd. M/s. Katsons Pvt. Ltd. All physical works completed. Package is Financially Closed. All physical works completed. Package is financially closed. Overall physical works has been completed. Package is financially closed. WSS02D/ BHW Construction of Mass Concrete Weir across river Bandal 19 March 2016 M/s Himalayan Construction Dehradun PCC completed for Foundation. RCC for weir 16m completed. WSS01D (RT) Laying of Water Distribution Network in core areas at Dehradun 06 January 2016 M/s Tirupati Cement, New Delhi Water distribution pipe line laid Km Water Supply System in Haridwar WSS01H Replacement of Pumping Plants & Renovation of Pump Houses of Water Supply System- Haridwar 15 June 2010 M/s R.K. Engineers Sales Pvt. Ltd. Overall physical works has been completed..completion Certificate Package is Physically completed Investment Program Management Unit (IPMU) Page 12

13 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Subproject Brief Description of Code Subproject Water Supply System in Nainital Award Date Contractor Status WSS01N Renovation of pumping houses and replacement of pumping units and valves in existing water supply system and construction of new tube wells at Nainital. 15 June 2010 M/s. R.K. Engineers Sales Pvt.Ltd., Lucknow Work completed WSS02N Works under Nainital water supply and rising main at All Saint Zone, Nainital. 5 July 2010 M/s. NKG Infrastructure Ltd., New Delhi Work completed WSS03N Replacement of old rising mains and steel tanks and laying of new rising main at core area, Nainital. 5 July 2010 M/s. SMS Paryavarnm, New Dehli Work completed WSS04N Construction of clear water reservoirs in core area, Nainital. 13 July 2010 M/s. Lal Chand and Co., Gaziabad Work completed WSSDG01N Supply, Installation, Testing and commissioning of DG sets at Nainital 31 March 2016 M/s Katson Technologies Pvt Ltd. DG's are under manufacturing process Investment Program Management Unit (IPMU) Page 13

14 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Subproject Brief Description of Code Subproject Waste Water Management in Dehradun WWM01D Construction of 68 MLD STP on SBR process at Dehradun. Award Date 18 March 2010 Contractor M/s. Gharpure Engineer and Consulting Pvt. Ltd. Status STP successfully commissioned on , and since then plant is under Operation & maintenance. WWM02D (RT) Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun 23 January 2014 M/s. EMS Infracon Pvt. Ltd. Total sewer line laid Km 1716 no. manholes constructed.. WWM03D (RT) Laying of Branch Sewer in Sewered area of Kargi Zone at Dehradun 29 January 2014 M/s. EMS Infracon Pvt. Ltd. Total sewer line laid 29.1 Km 1523 no. manholes constructed.. Timelines of various stages of Subprojects Implementation 14. The Plan vis-à-vis Actual Timelines of various stages of Subprojects Implementation is displayed in Appendix 4. Investment Program Management Unit (IPMU) Page 14

15 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 J. Subprojects Implementation Schedule and Progress The subprojects implementation schedule and work progress of all subprojects approved by ADB is displayed in Appendix 5. K. Contract Execution Progress Summary 15. The contract execution progress summary is shown in the Table 4. Table 4: Contract Execution Progress Summary Sr. No. PCSS Numbers/Contract Number (very brief description of nature of works, supply, assignments) Contract Award USD Million INR Million Disbursement Cumulative USD Million INR Million Reporting Qtr Progress Cumulative Progress Physic al Financial Physical Financial /01/WSS02D/U USDIP/NCB/02 Procurement for supplying, laying, jointing, testing and commissioning of Raw Water Main from Bandal River source to dilaram Bazar water treatment Plant of Dehradun /02/WMM01D/ UUSDIP/NCB/05 Procurement of 68 mld capacity Sewage Treatment Plant on Design, Supply, Installation, Operation and Maintenance basis using Sequencing Batch Reactor (SBR) Process of Dehradun /02/WSS04D/U USDIP/NCB/04 Replacement Procurement of Silent Mobile & Static Generators at Dehradun % 0% 100% 100% % 0.19% 100% % % 0% 100% 100% Investment Program Management Unit (IPMU) Page 15

16 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Sr. No. Contract Award Disbursement Cumulative Reporting Qtr Progress Cumulative Progress PCSS Numbers/Contract Number (very brief description of nature of works, supply, assignments) / UUSDIP/ WSS01D/ CA06/10-11 Laying of Water Distribution Network in core areas at Dehradun / UUSDIP/ WSS03D/ CA 07/10-11 Replacement of Pumping Plants and Electrical items and renovation of pump houses at Dehradun / UUSDIP/ WWM02D-RT/ CA 08/ Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun / UUSDIP/ WWM03D-RT/ CA 09/ Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun / UUSDIP/ WSS01H/C A 08/10-11 Replacement of Pumping Plants and renovation of pump houses at Haridwar. USD Million INR Million USD Million INR Million Physical Financia l % 0% 100% Physical Financial Terminated 91.43% % 0% 100% 98.10% % 17.11% 97.7% 93.21% % 8.85% 90.5% 79.35% % 0% 100% 73% 9 UUSDIP/WSS02D/BH W/CA15/ Construction of Mass Concrete Weir across River Bandal for Raw water intake channel at head works and Construction of Staff Quarter located near river Bandal in Dehradun* % 0.02% 28% 0.02% Investment Program Management Unit (IPMU) Page 16

17 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Sr. No PCSS numbers/contract Number (very brief description of nature of works, supply, assignments) UUSDIP/WSS01N/CA 09/10-11 Replacement of Pumping Plants and Construction of Tube wells, Pump Houses and Sumps and Appurtenant Works at Nainital UUSDIP/WSS02N/CA 10/10-11 Supplying, laying, jointing of Distribution System & Rising Main and appurtenant works in All Saint Zone at Nainital UUSDIP/WSS03N/CA 11/10-11 Replacement of Rising Mains and Old Steel Tanks and Appurtenant Works at Nainital Contract Award Disbursement Reporting Qtr Progress USD Million INR Million USD Million INR Million Cumulative Progress Physical Financial Physical Financial % 0% 100% 96.32% % 0% 100% 98.50% % 0% 100% 95.64% UUSDIP/WSS04N/CA 12/10-11 Construction of Clear 13 Water Reservoirs and appurtenant works at Nainital UUSDIP/WSSDG01N/CA 16/ Supply, Installation 14 Testing and Commissioning of DG set for Pumping Stations at Nainital * * PCSS No. is yet to be allotted % 0% 100% 100% % 0% 0% 0% Note : Currency Conversion Rate : 1 USD = 65.5 INR 16. The detailed report on Contract Execution Monitoring Sheet is shown in the Annexure 1 and individual Contract Management Performance Sheet is shown in the Annexure 2. Investment Program Management Unit (IPMU) Page 17

18 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Program Performance Management and Evaluation L. Overview 17. The State Government through EA is providing ADB the quarterly progress reports on Program implementation informing ADB of the overall progress of MFF and the implementation progress of ongoing individual loans. The IPMU with the support of IPMC shall be responsible for obtaining and consolidating relevant information from the IPIUs and DSCs. The progress reports will describe physical progress, details of any modification required to the Program implementation schedule, problems encountered, and an outline of the work in the ensuing quarter. The report will also provide a summary of the financial accounts for the Program, consisting of expenditure during the quarter, year-to-date expenditure during the quarter, year-todate expenditure, and expenditure to date. 18. The State through the EA shall ensure that a Program Performance Management System (PPMS) satisfactory to ADB is established. IPMU with the help of IPMC will establish performance indicators, baseline values for each of the selected indicators and will conduct annual surveys to update the baseline values. The PPMS will track the Investment Program, as well as Projects and Subprojects implementation activities, target dates, expected inputs, impacts, outcomes and outputs against each indicator to monitor and evaluate the performance of the Investment Program, the Projects and Subprojects. 19. The responsibility for ensuring that the Program Performance Management System (PPMS) is established and undertaken rests with the IPMU. The PPMS has numerous categories of monitoring, corresponding to the development activities and representing the direct and indirect outcomes expected from the Program. The PPMS also defines the responsibility for monitoring, recording and reporting. Certain tasks will be outsourced to external contractors; others form part of the routine reporting from the IPIUs at the town level to the state level IPMU. The indicators to be monitored have been formulated and discussed with IPMU, they include: physical progress for infrastructure works, institutional development and capacity building, impact assessment indicators. 20. The IPMU will conduct initial baseline physical and socio-economic surveys and submit a detailed implementation plan for monitoring performance and for preparing benchmarking information for ADB s review and concurrence within 6 months of loan effectiveness. Thereafter, the IPMU will submit quarterly monitoring and evaluation reports to ADB throughout the implementation. Investment Program Management Unit (IPMU) Page 18

19 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 M. Work Progress 21. The Special Project Administration Mission during April 2010 requested UDD, to (i) develop PPMS selecting a set of physical indicators relating to physical implementation, physical improvements, socio-economic, institutional development and capacity building milestones; and (ii) establish baseline data for the selected indicators. They shared a sample PPMS format with UDD and advised Project officials to initiate the collection of baseline data. Once the baseline data is established, UDD will update the status of PPMS indicators on a monthly basis and will send to ADB as an attachment to the Quarterly Progress Report. 22. The IPMU with the help of IPMC has established the Program Performance Management System (PPMS). The MIS Expert with the help of subject experts has initiated the identification of the physical performance indicators started with water supply and waste water management components. The subproject wise indicators of both the components are being identified at the input, output and outcome levels as subprojects of both the components would be executed in Tranche I. Thereafter the indicators for other components are to be identified gradually according to the priority of their physical execution. N. PPMS Reports 23. The Project Implementation Progress of Project 1 is displayed in Annexure 3. The PPMS report on Monitoring and Evaluation of Input Indicators (Implementation Arrangement and Recruitment Consultants) of Project 1 is shown in the Annexure 4. The PPMS report on Monitoring and Evaluation of Input Indicators (Procurement) of Project 1 is shown in the Annexure 5. The PPMS report on Monitoring and Evaluation of Input Indicators (Others) of Project 1 is shown in the Annexure 6. The PPMS report on Monitoring and Evaluation of Output Indicators (Works) of Project 1 is shown in the Annexure 7. The PPMS report on Monitoring and Evaluation of Outcome Indicators (Water Sector) of Project 1 is shown in the Annexure 8. The PPMS report on Monitoring and Evaluation of Outcome Indicators (Sewerage Sector) of Project 1 is shown in the Annexure 9. The PPMS report on Monitoring and Evaluation of Outcome Indicators (SWM Sector) of Project 1 is shown in the Annexure 10. The impact of the project 1 on the investment Program is shown in Annexure 11. The status of Achieving output of project 1 is shown in Annexure 12. The status of Gender Indicators is shown in Annexure 13. Investment Program Management Unit (IPMU) Page 19

20 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Status of Project Inputs and Activities Inputs/Activities Status Remarks IPMU in UDD established by December 2007, and fully operational. IPIUs in UPJN in Dehradun and its subunits in Dehradun, Haridwar, and Nainital are established and fully operational by December IPMU in UDD established with almost all key staff and functional. IPIUs in Dehradun, Haridwar and Nainital are established and functional and they are dedicated under the control of IPMU. Program consultants are appointed by June 2008 through advance activities. Environment clearance for first tranche subprojects completed by September 2008 Survey, investigation, mapping, and design data prepared by December 2007 Engineering design and tender documents for the first tranche subprojects prepared by December Initiate resettlement planning activities by July Initiate Preparation of state slum policy by September Undertake capacity-building and training needs assessments and initiate training programs by September Prepare detailed reform action plans by December 2008 for ULB strengthening, water utility reforms, and revenue and financial management improvements, and start assisting in their implementation. Implimentation of agreed action plan as per the ADB mission from 15 th June to 24 th June Program Consultants appointed and have mobilized on 22 January 2009 and started functioning. All environmental clearances obtained. Completed Completed Completed. The policy has been approved by State Cabinet in December Capacity building activities are in progress. Municipal Reform Cell is being constituted under UUSDIP. The implementation of reform activities are in progress. On going. Investment Program Management Unit (IPMU) Page 20

21 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr II 2016 VII. Financial Progress by Loan Accounts A B C D E Allocated in Loan Cumulative Performance in Cumulative till the current Balance in Loan Quarter Up to the last Quarter July to Sept 2016 (B+C) (A-D) Disbursement Contract Disburseme Disbursement Contract Disbursement Contract Disbursement ($) ($) Award ($) nt ($) ($) Award ($) ($) Award ($) Contract Award ($) 1 Civil works 278,52, ,52, ,88, ,31, Equipment 143,51, ,51, ,75, ,70, Training/Fellowships 6,05, ,05, , , Surveys/Studies 10,16, ,16, Consulting Services 80,34, ,34, Program and Project Management Contract Award ($) - 7,55, ,83, ,62, ,62, ,56, ,09, Unallocated 65,80, ,80, Sub Total 600,00, ,00, ,33, ,40, Note : Currency Conversion rate 1USD = INR - 2,60, ,59, ,76, ,88, ,87, ,36, ,64, ,75, ,70, ,75, ,80, , , ,92, ,60, ,44, ,16, ,16, ,10, ,56, ,69, ,05, ,07, ,80, ,80, ,33, ,16, ,32, ,83,506.98

22 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr II 2016 Status of Compliance with Covenants Covenants Items (i) The IPMU will be established as a society under the Societies Registration Act 1860 and that the IPMU s charter or constitution (and any changes thereto) shall be in a form and substance satisfactory to ADB. The Chief Secretary of the State shall be appointed as the IPMU s president and Secretary, UDD, vice president. Day to day operations of the IPMU will be through an Investment Program Director (PD), who will also be the Project director. The PD, with a team of administrative, financial, technical, and social/environmental staff drawn from various relevant departments and utilities will be exclusively responsible for executing, managing, and supervising the Project implementation. (ii) The IPMU s general body of members (General Body) will comprise of Chief Secretary as its Chair and the secretaries of the relevant State departments and representatives of urban local bodies (ULBs), town committees and non-government organizations as its members. The function of the General Body is to provide policy guidance for overall Investment Program implementation. Compliance Status Complied. IPMU established. Complied. General Body formed. Responsible Agency Uttarakhand Urban Sector Development Agency Uttarakhand Urban Sector Development Agency (iii) The IPMU shall have an executive committee (Executive Complied. Uttarakhand Urban Committee) which will be under the chair of the Secretary, Executive Sector Development UDD, and consisting, as members, of high-level officials of Committee Agency the State departments of Finance, Drinking Water, and Public Works and relevant ULBs. The Executive Committee will meet at least quarterly to provide overall guidance to the IPMU, review Project performance, and decide on all major issues of the Project management. Duties of Executive Committee will include (i) providing strategic plan; (ii) approving subprojects and Periodic Financial Requests (PFRs) under the Investment Program; (iii) ratification of the annual budget estimates; (iv) creation of posts and recruitment of staff; (v) ratification of procurement of services, works, and goods, and approval of disbursements; and (vi) ensuring compliance with safeguards and acquisition of land, and other similar matters. (iv) IPMU, under the overall guidance of the Executive Committee, will (i) manage the Project and have overall responsibility for its implementation; (ii) assist Investment Project implementation unit (IPIU) s in identifying and preparing subprojects and appraise them in consultation with towns; (iii) complies facility tranches and PFRs; in respect of the Investment Program (iv) appoint consultants (v) ensure land acquisition and other safeguards; (vi) approve surveys, investigations, engineering designs and bid documents prepared by IPIUs; (vii) assist ULBs in implementing solid waste management, slum improvement, and minor road components; (viii) oversee contract formed. Complied. IPMU managing the Project. Uttarakhand Urban Sector Development Agency/IPMU Investment Program Management Unit (IPMU) Page 22

23 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr II 2016 Covenants Items administration; (ix) guide in awareness campaigns and participation programs; (x) organize and operate the project performance management system; (xi) prepare disbursement requests and forward them to ADB through the Borrower; (xii) prepare and submit timely reports to ADB; (xiii) review and facilitate the progress of the urban reform action plan compliance with loan covenants; and (xiv) design and organize capacity building programs. IPMU will be assisted by Investment Program Management Consultants (IPMC) in managing the Project. (v) The State through the EA shall ensure that Town-level committees chaired by the Mayor or chairperson will be formed in each of Dehradun, Nainital and Haridwar, with representation of ward members, the district magistrate, collector, municipal commissioner, special area development authority, local representatives of UPJN, UJS, as well as civil society and business representatives. The town committees will review and conclude the subprojects under the Project selected and formulated in their town, provide feedback on project implementation progress, ensure cooperation of concerned agencies at town level, and provide a forum for effective involvement of town stakeholders in Project Implementation and civic awareness activities. Compliance Status Being complied with. Orders issued for constitution of committees. TLC has been formed at Haridwar, Nainital and Dehradun but according to new G.O. TLC will be complied soon. Responsible Agency Uttarakhand Urban Sector Development Agency Subproject Selection Criteria (vii) The State through the EA shall ensure that Subprojects are selected and processed for approval, in accordance with the criteria and procedures included under Schedule 4 to the FFA, and in particular, to the sub sector specific criteria set out in Section C of Schedule 4 to the FFA, to satisfaction of ADB (viii) The State through the EA shall ensure it shall post the procurement documents, the criteria for Subproject selection and details of sanctioned contracts/subproject on the Investment Program website. (ix) The State will ensure that each of the reform measures listed in the Urban Governance, Finance, and Service Delivery Improvement Action Plan set out in Schedule 1 to the FFA, will be implemented in accordance with the time frame set against the relevant measure. (x) The State will ensure that contractual documents under any public private partnership (PPP) modality are provided to ADB for review and approval, prior to their use in any Subproject. (xi) The State will ensure that within one month of the Effective Date the IPMU will be registered as a society under the Societies Registration Act 1860, with its charter or constitution satisfactory to ADB and the IPIU in UPJN at Complied. Complied Being complied with. Details is annexed separately in Annexure - 13 Being complied with. Complied. IPIU (Central) at Dehradun established, IPIU UUSDIP UUSDIP Uttarakhand Urban Sector Development Agency/ UUSDIP Uttarakhand Urban Sector Development Agency Uttarakhand Urban Sector Development Agency Investment Program Management Unit (IPMU) Page 23

24 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr II 2016 Covenants Items Dehradun and the subunits of the IPIU in Dehradun, Nainital and Haridwar will have been established. (xii) The State will ensure that within one month of the Effective Date each of IPMU and IPIU in UPJN at Dehradun and the subunits in Dehradun, Nainital and Haridwar will have all the staff listed for each of them in Attachment 1 to Schedule 3 to the FFA, appointed and in place. Environment (xiii) The State through the EA shall ensure that the Project is carried out and all Project Facilities designed, constructed, operated, maintained, and monitored in compliance with the environmental laws and regulations of the Borrower, the State, ADB s Environment Policy ( 2002), and the environmental assessment and review framework (EARF); (xiv) The State through the EA shall ensure that subproject encroaching any National Park of its buffer zone shall not be included in the Project; however, Subprojects in or close to the wild life sanctuaries or any other environmentally sensitive areas may be allowed subject to the EA obtaining all statutory clearances. (xv) The State through the EA shall ensure that an Initial Environment Examination (IEE) as required, including an Environmental Management Plan (EMP) with budget identifying the cost of its implementation, with adequate public consultation for each Subproject, in accordance with the EARF shall be submitted to ADB for review and approval before award of related contract. In case of any Environmental Impact Assessment (EIA) or Summary IEE (SIEE) for any Subproject classified as A or B sensitive, this shall be subject to the 120 day public disclosure requirement under ADB s Environment Policy (2002). (xvi) The State through the EA shall ensure that all mitigation measures identified in the IEE, SIEE, EIA or Summary EIA (SEIA) and the related EMP, as applicable, for each Subproject, shall be incorporated in Subproject design, and carried out during construction, and operations and maintenance (O & M), and disclosed to stakeholders. (xvii) The State through the EA shall ensure that if there are any changes in specific locations or alignments of any Subproject facilities after completion of the process of IEE (or EIA) or due to detailed design or implementation that has an impact on the environmental assessment carried out thus far, then additional environmental assessment shall be carried Compliance Status (Dehradun) and IPIU (Nainital) established the work of Haridwar will be implemented by IPIU (Dehradun) as the work at Haridwar is minor. Being complied with. (As enclosed with Appendix 6) Being complied with. Complied Complied Complied. Complied. Responsible Agency Uttarakhand Urban Sector Development Agency Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP Investment Program Management Unit (IPMU) Page 24

25 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr II 2016 Covenants Items out in accordance with ADB s Environment Policy (2002) and the EARF, and prior approval of ADB obtained before further physical implementation of the Subproject. (xviii) The State through the EA shall ensure that all environmental clearances required by applicable laws, and regulations at Borrower State, or local levels shall be obtained in a timely manner, prior to commencement of civil works for the relevant Subproject. (xix) The State through the EA shall ensure that semi-annual progress reports on the implementation of the EMPs, measures under the IEE/EIA, and the environmental monitoring shall be carried out as a part of Project implementation for review and disclosure in accordance with ADB s Public Communications Policy (2005). Land Acquisition and Resettlement (xx) The State through the EA shall undertake the Project in accordance with the Borrower s and State laws and regulations, ADB s Policy on Involuntary Resettlement (1995) and the Resettlement Framework (RF). (xxi) The State through the EA shall ensure that to the extent possible, Subprojects will not require land acquisition or involuntary resettlement; however, if and acquisition and /or involuntary resettlement are required for any subproject; the EA shall ensure following: (i) a RP for the Subproject, acceptable to ADB is prepared, in accordance with applicable laws and regulations and the RF, and submitted to ADB for review and approval before award of related civil works contract proper consultation during preparation of the RP with the affected persons, as also disclosure of the RP to the affected persons including information on land acquisition and compensation process undertaken; (ii) All land, rights of way and other land-related rights required for the Subproject are acquired or made available; (iii) All affected persons are compensated and paid resettlement assistance in accordance with the agreed RP, before award of civil works contracts of the related subproject including any section-wise handover thereof, strictly in accordance with the stipulation in the related civil works contract. If during detailed design and implementation, any modification and/additional land acquisition or involuntary resettlement impacts are identified, the RP will be prepared (or modified if existing) in accordance with applicable laws and regulations and the RF and prior approval of ADB obtained before further implementation of the RP and the Subproject; (iv) Ensure that efficient grievance redressal mechanisms are in place in accordance with the related RP to assist affected persons resolve queries and complaints if any, in a timely manner; and (v) Ensure that all compensation at replacement value for acquired assets made to affected persons well in advance for Compliance Status Complied. Complied. Complied. Complied. Qty social monitoring report submitted Responsible Agency Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP Investment Program Management Unit (IPMU) Page 30

26 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr II 2016 Covenants Items them to make alternative arrangements, before award of civil works contracts. Indigenous Peoples (xxii) The State through the EA shall ensure that if any impact is identified during planning, design, or implementation of any Subproject on indigenous peoples, that an Indigenous Peoples Development Plan (IPDP) or integration of specific actions for the indigenous people in the RP is prepared in accordance with ADB s Policy on Indigenous Peoples (1998) and the Indigenous Peoples Development Framework (IPDF) and that the same is further approved by ADB before award of related civil works contract, and (ii) implementation before commencement of related civil works contract. Any updating or revision of the IPDP due to change in detailed designs or during implementation shall be in accordance with applicable laws and regulations and the IPDF and prior approval of ADB obtained before further implementation of the IPDP and the Subproject. Compliance Status Being complied with. Social Issues (xxiii) The State through the EA shall ensure that civil works Being complied contracts under the Project follow all applicable labor laws of with. the Borrower and the State and that these further include provisions to the effect that contractors; (i) carry out HIV/AIDS awareness programs for labor and disseminate information at worksites on risks of sexually transmitted diseases and HIV/ADIS as part of health and safety measures for those employed during construction; and (ii) follow and implement all statutory provisions on labor (including not employing or using children as labor and equal pay for equal work), health, safety, welfare, sanitation, and working conditions. Such contracts shall also include clauses for termination by the State or EA in case of any breach of the stated provisions by the contractors. Performance Monitoring and Evaluation (xxiv) The State through the EA shall ensure that an Investment Program Performance Monitoring System (IPPMS) satisfactory to ADB is established within three months of Effective Date. IPMU will establish baseline values for each of the selected indicators and will conduct annual surveys to update the baseline values. The IPPMS will track the Investment Program, as well as Project and Subproject dates, expected inputs, impacts, outcomes and outputs against each indicator to monitor and evaluate the performance of the Investment Program, the Project and Subprojects. Baseline surveys completed. IPPMS is established through the designing of input sheets and output report layouts. A set of indicators pertaining to water supply and waste water management components are identified and progress of works Responsible Agency Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP Investment Program Management Unit (IPMU) Page 31

27 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr II 2016 Covenants Items (xxv) The State through the EA shall ensure that without limiting the generality of Section 2.08 of the Project Agreement, IPMU will provide ADB with quarterly progress reports informing ADB of the progress of the Investment Program and the implementation progress of the Project and individual Subproject. The reports will also provide summary financial account for each IA, expenditures to date, a report on benefit monitoring, and a report on safeguard compliance. (xxvi) The State through the EA shall ensure that without limiting the generality of Section 2.08 of the Project Agreement, and after physical completion of the Project, but in any event not later than three months thereafter or such later date as ADB may agree for this purpose, it shall prepare and furnish to ADB a report, in such form and in such detail as ADB shall reasonably request that will cover Project and Subproject implementation, costs, monitoring and evaluation activities, safeguard compliance, and other information requested by ADB. (xxvii) Based on a review of quarterly progress reports provided under section 2.08 of the Project Agreement, ADB, Borrower and State representatives shall meet as required to discuss the progress of the Project, Facility and the Investment Program, any changes to implementation arrangements, or remedial measures required to be undertaken to achieve the overall objectives of specific Subprojects and components and of the overall Facility and Investment Program. In additional to regular reviews, including a midterm review for the Project, a detailed midterm review of the Facility will be undertaken within no later than four years of the Effective Date. The midterm review shall include a detailed evaluation of the scope of the facility, implementation arrangements, any outstanding issues, environment, resettlement and other safeguard issues, achievement of scheduled targets, contract management progress, and other issues, as appropriate. Compliance Status is being monitored quarterly. Being complied with. Regular QPRs being submitted. Not yet due. Being complied with. Responsible Agency Uttarakhand Urban Sector Development Agency / UUSDIP Uttarakhand Urban Sector Development Agency / UUSDIP ADB, the Government of India, the Government of Uttarakhand Investment Program Management Unit (IPMU) Page 32

28 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr II 2016 Appendix Appendix 1. Location Map of Program Towns Appendix 2. Plan vis-à-vis Actual Timelines of various stages of Subprojects Design Appendix 3. Plan vis-à-vis Actual Timelines of various stages of Subprojects Procurement Appendix 4. Plan vis-à-vis Actual Timelines of various stages of Subprojects Implementation Appendix 5. Subproject wise Work Program and Progress Appendix 6. Officials and Support Staffs Annexure Annexure 1. Contract Execution Monitoring Sheet Annexure 2. Individual Contract Performance Sheet Annexure 3. Project Implementation Progress Annexure 4. PPMS Input Level Status (Implementation Arrangement, Consultants Recruitment) Annexure 5. PPMS Input Level Status (Procurement) Annexure 6. PPMS Input Level Status (Others) Annexure 7. PPMS Output Level Status (Works) Annexure 8. PPMS Outcome Level Status (Water Sector) Annexure 9. PPMS Outcome Level Status (Sewerage Sector) Annexure 10. PPMS Outcome Level Status (SWM Sector) Annexure 11. Impact of the Project 1 of the Investment Program Annexure 12. Status of Achieving Output of Project 1 Annexure 13. Status of Gender Indicators Investment Program Management Unit (IPMU) Page 33

29 Government of Uttarakhand, Urban Development Department Asian Development Bank Uttarakhand Urban Sector Development Investment Program (UUSDIP) INVESTMENT PROGRAM MANAGEMENT UNIT Appendix 1 : Location Map of Program Towns Quarter III Period : July to Sept 2016 Reporting Month : Sept 2016

30 Appendix 1 : Location Map of Program Towns

31 Government of Uttarakhand, Urban Development Department Asian Development Bank Uttarakhand Urban Sector Development Investment Program (UUSDIP) INVESTMENT PROGRAM MANAGEMENT UNIT Appendix 2 : Plan vis-à-vis Actual Timelines of various stages of Subproject Design Quarter III Period : July to Sept 2016 Reporting Month : Sept 2016

32 Monthly Progress Report for June 2016 Appendix 4.2: Plan vis-a-vis Actual Timelines of various stages of Subprojects Design Pages 1 of 2 Code Name Allocated Amount (Including tax) Budgeted/ DPR Value Plan Versus Actual Data Collection Investivation & Survey Submission of Master Plan Submission of Concept Plan Design Phase Preparation & Submission of Technical Design Preparation & Submission of Final DPR with Costing Preparation & Approval of Submission of DPR by TC Bid Document Approval of Bid Document by TRC UUSDIP Tranche I WSS WSS01D WSS02D WSS02D/BHW WSS03D WSS04D WWM Uttarakhand Urban Sector Development Investment Program Water Supply System Dehradun Laying of Water Distribution Network in core areas at Dehradun Laying of Gravity Raw Water Main from Bandal to Dilarambazar WTP at Dehradun Construction of Weir Across Bandal River at Headwork and Construction of Staff Quarter located near river Bandal in Dehradun Replacement of Pumping Plants and Electrical items and renovation of pump houses at Dehradun Procurement of Silent Mobile & Static Generators at Dehradun WSS01D-RT Laying of Water Distribution Network in core areas at Dehradun (Re-bidding) Haridwar WSS01H Replacement of Pumping Plants and renovation of pump houses at Haridwar Nainital WSS01N Renovation of pumping houses and replacement of pumping units and Valves in existing water supply system and construction of WSS02N Works under Nainital Water supply and rising main at All Saint Zone, Nainital. WSS03N Replacement of Old Rising Mains and steel tanks and laying of New rising main at Core Area, Nainital. WSS04N Construction of Clear Water Reservoirs in Core Area, Nainital. WWM01D Waste Water Management Dehradun Construction of 68 mld STP on SBR process at Dehradun WWM02D Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun WWM03D Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun Laying of trunk sewers & Branch sewers in unsewered areas of WWM02D-RT Kargi Zone at Dehradun USD (Million) INR (Millon) Jan-11 Plan N.A N.A N.A N.A N.A N.A N.A N.A Actual 10-Apr Apr-09 5-May-09 1-Sep Jan Feb Feb Feb-10 Plan N.A N.A N.A N.A N.A N.A N.A N.A Actual Completed during BTA stage Plan N.A N.A N.A N.A N.A N.A N.A N.A Actual 10-Oct Apr-15 9-May Oct Sep Jul-15 9-Sep-15 Plan N.A N.A N.A N.A N.A N.A N.A N.A Actual 1-Jul-09 1-Jul Aug Nov-09 8-Jan-10 8-Jan Jan Jan-10 Plan N.A N.A N.A N.A N.A N.A N.A N.A Actual 1-Jul-09 1-Jul Oct-09 5-Nov Nov-09 5-Nov-09 5-Nov-09 Plan Actual 23-Jul Jul-14 Plan N.A N.A N.A N.A N.A N.A N.A N.A Actual 1-Aug-09 1-Aug Aug Nov Dec-09 3-Mar Feb Feb-10 NA NA NA NA NA NA NA NA NA NA 31-May May-09 5-Oct-09 5-Oct-09 5-Oct Oct Dec Jan Jan-10 NA NA NA NA NA NA NA NA NA NA 31-May May-09 5-Oct-09 5-Oct-09 5-Oct Oct Dec Jan Jan-10 NA NA NA NA NA NA NA NA NA NA 31-May-09 31/05/ Oct-09 5-Oct-09 5-Oct Oct Dec Jan Jan-10 NA NA NA NA NA NA NA NA NA NA 31-May May-09 5-Oct-09 5-Oct-09 5-Oct Oct Dec Jan Jan-10 Not Done Plan N.A N.A N.A N.A N.A N.A N.A N.A N.A Actual Completed during BTA stage 28-Oct-09 1-Jul-09 5-Nov-09 N.A Plan N.A N.A N.A N.A N.A N.A N.A N.A N.A Actual 1-Apr-09 1-May May Oct-09 8-Jan Dec Jan Jan-10 Plan N.A N.A N.A N.A N.A N.A N.A N.A N.A Actual 1-Jun-09 1-Jul May Nov-09 8-Jan-10 5-Feb Jan Jan-10 Plan N.A N.A N.A N.A N.A N.A N.A N.A N.A Actual N.A N.A N.A N.A N.A 18/10/ /12/ Dec-12 2-Dec-13 N.B: Conversion Rate 1US$ = Rs. 40 for Tranche-I and Rs.45 for Tranche-II Only ADB approved subproject's work progress with various stages are displayed above. A-4.2 Printed on

33 Monthly Progress Report for June 2016 Appendix 4.2: Plan vis-a-vis Actual Timelines of various stages of Subprojects Design Pages 2 of 2 Code Name Allocated Amount (Including tax) Budgeted/ DPR Value Plan Versus Actual Data Collection Investivation & Survey Submission of Master Plan Submission of Concept Plan Design Phase Preparation & Submission of Technical Design Preparation & Submission of Final DPR with Costing Preparation & Approval of Submission of DPR by TC Bid Document Approval of Bid Document by TRC WWM03D-RT Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun USD (Million) INR (Millon) Plan N.A N.A N.A N.A N.A N.A N.A N.A N.A Actual N.A N.A N.A N.A N.A 18/10/2012- R0, 12/12/2012- R1 7-Mar Dec-12 2-Dec-13 Note: Due to Poor performance of the Contractors,WWM02D and WWM03D has been terminated on & WSS01D on N.B: Conversion Rate 1US$ = Rs. 40 for Tranche-I and Rs.45 for Tranche-II Only ADB approved subproject's work progress with various stages are displayed above. A-4.2 Printed on

34 Government of Uttarakhand, Urban Development Department Asian Development Bank Uttarakhand Urban Sector Development Investment Program (UUSDIP) INVESTMENT PROGRAM MANAGEMENT UNIT Appendix 3 : Plan vis-à-vis Actual Timelines of various stages of Subproject Procurement Quarter III Period : July to Sept 2016 Reporting Month : Sept 2016

35 Monthly Progress Report for June 2016 Appendix 4.3: Plan vis-a-vis Actual Timelines of various stages of Subprojects Procurement Pages 1 of 1 Code Name Alocated Amount (Including Tax) Tendered Value Plan Versus Actual Notice Inviting Tenders (NIT) Pre-Bid Conference Receiving of Bids Opening of Technical Bid Technical Evaluation by BEC Forwarding BER to ADB Receiving Concurrence from ADB Opening of Financial Bid Preparation of Bid Evaluation Report Procurement Phase Submission of BER by IPIU to IPMU Submission of BER to IPMC Review of BER by IPMC Review of BER by IPMU Approval of Approval of BER by TRC BER by EC Receiving Concurrence by ADB Issuance of Letter of Acceptance Signing of Contract Agreement Forwarding copy of Agreement to IPMU Forwarding copy of Agreement to ADB USD (Million) INR (Millon) UUSDIP WSS WSS01D WSS02D WSS01H WSS03N WSS04N WWM Uttarakhand Urban Sector Development Investment Program Tranche-I Water Supply System Dehradun Laying of Water Distribution Network in core areas at Dehradun Laying of Gravity Raw Water Main from Bandal to Dilarambazar WTP at Dehradun WSS02D/BHW Construction of Weir Across Bandal River at Headwork and Construction of Staff Quarter located near river Bandal in Dehradun WSS03D Replacement of Pumping Plants and Electrical items and renovation of pump houses at Dehradun WSS04D WSS01D-RT WSS01N WSS02N Procurement of Silent Mobile & Static Generators at Dehradun Laying of Water Distribution Network in core areas at Dehradun Haridwar Replacement of Pumping Plants and renovation of pump houses at Haridwar Nainital Renovation of pumping houses and replacement of pumping Works under Nainital Water supply and rising main at All Replacement of Old Rising Mains and steel tanks and laying of New rising main at Core Area, Nainital. Waste Water Management Construction of Clear Water Reservoirs in Core Area, Nainital Plan Actual Plan Actual Plan Actual Bid Cancelled, Fresh Bids invited Re-Bid Plan Actual Plan Actual Plan Actual /12/ Bids Rejected & Re-invited Re-Bid Plan Actual Plan 26/01/ /02/ /3/ /3/ /04/ /04/ /04/ /04/ /05/ /06/ /06/ /06/ /07/ Actual 23/01/ /02/ /03/ /03/ /03/ /04/ /04/ /04/ /05/ /05/ /03/2010 # # 31/05/2010 # # 15/06/ /07/2010 # # Plan 26/01/ /02/ /3/ /3/ /04/ /04/ /04/ /04/ /05/ /05/ /05/ /06/ Actual 23/01/ /02/ /03/ /03/ /03/ /04/ /04/ /04/ /05/ /06/ /03/2010 # # 29/06/2010 # # 05/07/ /07/2010 # # Plan 26/01/ /02/ /3/ /04/ /04/ /04/ /04/ /05/ /05/ /05/2010 Actual 23/01/ /02/ /03/ /03/ /03/ /04/ /04/ /04/ /05/ /06/ /03/2010 # # 29/06/2010 # # 05/07/ /07/2010 # # Plan 26/01/ /02/ /3/ /06/ /06/ /05/ /07/ /07/2010 Actual 23/01/ /02/ /03/ /03/ /05/2010 # # 14/06/ /06/ /06/ /06/2010 # # 29/06/2010 # # 13/07/ /07/2010 # # Dehradun WWM01D Construction of 68 mld STP on SBR process at Dehradun WWM02D Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun WWM03D Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun WWM02D-RT Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun WWM03D-RT Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun Note: Dates not mentioned are not communicated to DSC-I. Plan Actual Plan Actual /05/2010 (Revised) Plan Actual /05/2010 (Revised) Plan Actual /9/2013, 01/10/ Plan Actual /09/2013, 28/10/ N.B: Conversion Rate 1US$ = Rs. 40 Date which is applicable to a subproject needs to be entered. Only ADB approved subproject's work progress with various stages are displayed above. A-4.3 Printed on

36 Government of Uttarakhand, Urban Development Department Asian Development Bank Uttarakhand Urban Sector Development Investment Program (UUSDIP) INVESTMENT PROGRAM MANAGEMENT UNIT Appendix 4 : Plan vis-à-vis Actual Timelines of various stages of Subproject Implementation Quarter III Period : July to Sept 2016 Reporting Month : Sept 2016

37 Monthly Progress Report for June 2016 Appendix 4.5: Plan vis-a-vis Actual Timelines of various stages of Subprojects Implementation Pages 1 of 2 Appendix 4 Plan vis-à-vis Actual Timeline of various stages of Subproject Implementation As on 30/09/2016 (Date are in dd/mm/yyyy format) Code Name Alocated Amount (Including tax) Contract Value Plan Versus Actual Mode of Bid No /Contract No Contractor's Name Contract Procurement Value (NCB/ICB/ IS) Implementation Phase Notice to Release of Proceed/ Mobilization Commencement Advance Site Hand Over Kick off Meeting Work Commencement Issuance of Taking over Certificate Issuance of Performance Certificate Subproject Stipulated Completion Date Extended Time UUSDIP USD INR (Million) (Millon) Uttarakhand Urban Sector Development Investment Program WSS Water Supply System Dehradun WSS05DN Supplying, Laying, Jointing, Testing & Commissioning of clear water transmission and feeder mains from various clear water reservoirs to overhead Tanks. WSS06DN Design, Construction, commissioning, Operation and Maintenance of Intake works, water treatment plant, Rehabilitation and up gradation of existing water treatment plant in, Dehradun WSS07DN Water Supply Distribution system for 19 Zones (Zone 4b,15,20,22 &27,17,23,26,33, 34,35 &36,3,5,11,12,13,14& 41) in Dehradun INR (Millon) Plan UUSDIP/WSS05DN/ M/s Indian Hume Pipe Co. NCB Actual CA 01/ Ltd /01/2016 (1st Extension) 30/06/2016 (2nd Extension) Plan M/s SMS Paryavaran ltd. UUSDIP/WSS06DN/ NCB M/s OP Gupta Contractors Actual CA 07/ /06/2016 (1st Extension) Pvt Ltd. Plan UUSDIP/WSS07DN/ M/s JITF Water NCB Actual CA 11/ Infrastructure Ltd WSS08DN WSS15DN Supplying, Laying, Jointing, Testing and Commissioning of Raw Water Gravity Main from Massi falls up to Shehenshai Ashram Water Treatment Plant Dehradun. Providing and laying tiling on shoulders along the pipeline corridor on Rajpur road and allied works from Mussoorie Diversion to Dilaram Bazar in Dehradun Plan UUSDIP/WSS08DN/ M/s Kashmirilal NCB CA 05/ Constructions (P) Ltd. Actual Plan UUSDIP/WSS15DN/ M/s espan Infrastructure NCB CA 18/ Ltd., Noida Actual /07/2015 (1st Extension) 31/10/2015 (2nd Extension) Roorkee WSS01RK Water Supply Distribution system of Roorkee Town Haldwani Design, Supply and Construction of Over WSS01HL Head Service Reservoirs and connecting Rising Mains with appurtenant works WSS05NL Providing, Laying and Jointing of Distribution Mains including Fitting, Fixing of Specials, Valves etc and Construciton of Chambers and Providing House Connection in Nainital Plan UUSDIP/WSS01RK/ M/s NCC Limited, NCB CA 02/ Hyderabad Actual Plan Actual Plan Actual NCB NCB UUSDIP/WSS01HL /CA 03/13-14 UUSDIP/WSS05NL /CA 04/13-14 OP Gupta Contractor Pvt. Ltd., Agra SMS-OPG JV, Agra ######### NA NA NA ######### NA NA /11/2015 (1st Extension) 14/11/2016 (2nd Extension) WSS01RM WWM Augmentation and reorganization of water supply scheme at Ramnagarl Waste Water Management Plan Actual ICB UUSDIP/WSS01R M/CA 10/13-14 KEC-SMC (JV), Mumbai /05/ /05/2014 NA 16/05/2014 NA 16/05/ NA 15/05/2016 Roorkee WWM02RK Construction of 33MLD Seweraage Treatment Plant of Roorkee WWM01RK Sewer Network in Ram Nagar, Krishna Nagar, Awas Vikas, Maqtoolpuri, Mathura Vihar, Plan UUSDIP/WWM02RK M/s KEC- Waterleau-JV NCB /CA 06/ (Mumbai) Actual /12/2016 (1st Extension) Plan UUSDIP/WWM01RK M/s. Abeinsa NCB /CA 13/ Infraestructuras Medio N.B: Conversion Rate 1US$ = Rs. 40 Date which is applicable to a subproject needs to be entered. Only ADB approved subproject's work progress with various stages are displayed above. A-4.4 Printed on

38 Monthly Progress Report for June 2016 Appendix 4.5: Plan vis-a-vis Actual Timelines of various stages of Subprojects Implementation Pages 2 of 2 Code Name Awas Vikas, Maqtoolpuri, Mathura Vihar, Alocated Amount (Including tax) Contract Value Plan Versus Actual Mode of Bid No /Contract No Contractor's Name Contract Procurement Value (NCB/ICB/ IS) Implementation Phase Notice to Release of Proceed/ Mobilization Commencement Advance Site Hand Over Kick off Meeting Actual NCB /CA 13/ Infraestructuras Medio Work Commencement Issuance of Taking over Certificate Issuance of Performance Certificate Subproject Stipulated Completion Date Extended Time WWM04RK Sewer Network including replacement of existing sewers in Amber Talab, Purani tehsil, Plan UUSDIP/WWM04RK M/s Bhugan Infracon Pvt. NCB Actual /CA 14/ Ltd., Ahmedabad N.B: Conversion Rate 1US$ = Rs. 40 Date which is applicable to a subproject needs to be entered. Only ADB approved subproject's work progress with various stages are displayed above. A-4.4 Printed on

39 Government of Uttarakhand, Urban Development Department Asian Development Bank Uttarakhand Urban Sector Development Investment Program (UUSDIP) INVESTMENT PROGRAM MANAGEMENT UNIT Appendix 5 : Subproject wise Work Program and Progress Quarter III Period : July to Sept 2016 Reporting Month : Sept 2016

40 Appendix 5 Subproject (Milestone wise) Work Program and Progress as of 30/09/2016 Tranche-I Component/Town/Subproject/Activity Name Code Type Start Date End Date Progress (%) WATER SUPPLY (Water Optimization & Metering Works) DEHRADUN TOWN Laying of Water Distribution Network in core areas at Dehradun WSS01D NCB 15/01/ /08/2012 Review of Design 15/01/ /03/ % Planning and Re-design 10/04/ /01/ % Tender Process 17/12/ /06/ % Implementation Contract Terminated Laying of Gravity Raw Water Main from Bandal to Dilarambazaar WTP at Dehradun 16/08/ (1 st Extension) (2 nd Extension) WSS02D NCB 15/01/ /04/ % Review of Design 15/01/ /02/ % Planning and Re-design 24/09/ /10/ % Tendering Process 10/02/ /12/ % Implementation 30/01/ % (1 st Extension) (2 nd Extension) 31/03/2014 (3 rd Extension) Replacement of Pumping Plants and Electrical items and renovation of pump houses at Dehradun WSS03D NCB 15/01/ /05/2011 Review of Design 15/01/ /02/ % Planning and Re-design 01/07/ /01/ % Tender Process 10/02/ /09/ % Re-Tender Process 23/11/ /06/ % Implementation 12/08/ /05/ /12/2012 (1 st Extension) 31/7/2013 (2 nd Extension) 100%

41 Appendix 5 Subproject (Milestone wise) Work Program and Progress as of 30/09/2016 Component/Town/Subproject/Activity Name HARIDWAR TOWN Code Type Start Date End Date Progress (%) Replacement of Pumping Plants and renovation of pump houses at Haridwar WSS01H NCB 15/01/ /05/2011 Review of Design 15/01/ /02/ % Planning and Re-design 01/07/ /12/ % Tender Process 10/02/ /09/ % Re-Tender Process 23/12/ /06/ % Implementation 12/08/ (1 st Extension) (2 nd Extension) (3 rd Extension) (4 th Extension) 100% WASTE WATER MANAGEMENT (Sewerage & Sewage Treatment) DEHRADUN TOWN Construction of 68 mld STP on SBR process at Dehradun WWM01D NCB 15/01/ /09/2015 Review of Design 15/01/ /02/ % Planning and Re-design 01/10/ /10/ % Tender Process 10/02/ /06/ % Re-Tender Process 24/06/ /03/ % Implementation 27/03/ /03/ /12/ /07/ /03/ /02/ /05/ /09/ /04/2016 (7 th Extension) 100% Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun WWM02D NCB 15/04/ /04/2013 Planning & Design 15/04/ /01/ % Tender Process 23/12/ /06/ % Implementation 16/08/ /08/ %

42 Appendix 5 Subproject (Milestone wise) Work Program and Progress as of 30/09/2016 Component/Town/Subproject/Activity Name Code Type Start Date End Date Progress (%) Contract Terminated 26/04/2013 Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun WWM03D NCB 01/07/ /04/2013 Planning & Design 01/07/ /01/ % Tender Process 11/01/ /06/ % Implementation 09/08/ /08/ % Contract Terminated 26/04/2013 Laying of trunk sewers & Branch sewers in un-sewered areas of Kargi Zone at Dehradun WWM02D (RT) 01/05/ /12/2016 Planning & Design 01/05/ /06/ % Tender Process 15/06/ /01/ % Implementation 29/01/ /01/ /12/2016 (2 nd Extension) 98% Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun WWM03D (RT) 01/05/ /12/2016 Planning & Design 01/05/ /06/ % Tender Process 15/06/ /01/ % Implementation 29/01/ /01/ /12/2016 (2 nd Extension) % Laying of Water Distribution Network in WSS01D core areas at Dehradun (RT) NCB 01/06/ /07/2017 Review of Design (Balance Work) 01/06/ /07/ % Re-Tender 29/07/ /05/ % Re-Tender Process- Planned 17/05/ /11/ % Implementation 06/01/ /07/ % ADDITIONAL PACKAGE UNDER CONSIDERATION DEHRADUN TOWN Construction of Weir Across Bandal River at Headwork and Construction of Staff WSS02D/ Quarter located near river Bandal in BHW 10/10/ /01/2017 Dehradun Planning & Design 10/10/ /09/ % Tender Process- Planned Re-Bid 27/09/ /03/ % Implementation-Planned 05/04/ /01/ %

43 Appendix 5 Subproject (Milestone wise) Work Programme and Progress as of 30 Sept 2016 S. No. Component / Town / Subproject / Activity Name Code Type Start Date End Date UUSDIP IMPLEMENTATION SCHEDULE-TRANCHE I WATER SUPPLY (Water Optimization & Metering Works) NAINITAL TOWN Renovation of pumping houses and 01/08/2012 replacement of pumping units and 31/10/2014 Valves in existing water supply system WSS01N NCB 30/01/ /03/2015 and construction of New Tube Wells at (extended) Nainital. Data Collection and survey 30/01/ /04/2009 Planning and Design 01/05/ /01/2010 Tendering, bid evaluation and contract award 01/02/ /08/2010 Implementation (24 months) 20/09/ /09/2012 Works under Nainital Water supply and rising main at All Saint Zone, Nainital. WSS02N NCB 30/01/ /02/ /10/2014 (extended) Data Collection and survey 30/01/ /04/2009 Planning and Design 01/05/ /01/2010 Tendering, bid evaluation and contract award 01/02/ /08/2010 Implementation (18 months) 20/09/ /12/2012 Replacement of Old Rising Mains and steel tanks and laying of New rising main at Core Area, Nainital. WSS03N NCB 30/01/ /02/ /10/ /03/2015 (extended) Data Collection and survey 30/01/ /04/2009 Planning and Design 01/5/ /01/2010 Tendering, bid evaluation and contract award 01/02/ /08/2010 Implementation (18 months) 20/09/ /12/2012 Construction of Clear Water Reservoirs in Core Area, Nainital. WSS04N NCB 30/01/ /02/ /10/2014 (extended) Data Collection and survey 30/01/ /04/2009 Planning and Design 01/5/ /01/2010 Tendering, bid evaluation and contract award 01/02/ /08/2010 Implementation (18 months) 20/09/ /12/2012

44 Progress (%) 100% 100% 100% 100% 99.75% 100% 100% 100% 100% 100.0% 100% 100% 100% 100% 99.75% 100% 100% 100% 100% 100.0%

45 Government of Uttarakhand, Urban Development Department Asian Development Bank Uttarakhand Urban Sector Development Investment Program (UUSDIP) INVESTMENT PROGRAM MANAGEMENT UNIT Appendix 6 : Officials and Support Staffs Quarter III Period : July to Sept 2016 Reporting Month : Sept 2016

46 LIST OF OFFICIALS OF UUSDIP Investment Program management Unit 777, Saatvik Tower, Kaulagarh Road, Rajender Nagar, Dehradun Telephone , Tele-fax S.No Name Designation 1. Dr. V. Shanmugam Program Director 2. Sh. Anand Singh Finance Controller 3. Sh. Ravi Pandey Dy. Program Director 4. Sh. Mukesh Mohan Sr. Project Manager Sh. Vinod Kumar Sr. Project Manager Sh. Vipin Tiwari WS&WWME 7. Sh. Raman Diwakar Sr. Account Officer 8. Sh. K.C. Joshi AE (WS & WWME) 9. Sh. Akshay Kumar Environmental Expert 10. Smt. Seema Singh SCDO 11. Sh. Sandeep Ghansela MISO 12. Sh. Rajesh Bahuguna IEC Officer 13. Jitendra Manral J.E. (Civil) 14. Jagdish Chand Papney J.E. (Civil) 15. Ms. Deepa Kaushal Office Manager 16. Sh. Kush Mahendra Accounts Assistant Sharma 17. Sh. Deepak Chand Accounts Assistant Kala 18. Nand D.E.O. 19. Lalit D.E.O. 20. Narendra D.E.O. 21. Dilshad Peon 22. Mijanur Rahman Peon 23. Kirshan Pal Peon 24. Niraj Rana Peon 25. Manju Dhaundiyal Peon

47 Project Implementation Unit-Dehradun 777, Satvik Tower, Opposite Hotel LP Residency, Rajender Nagar, Kaulagarh Road, Dehradun Telephone No , piu1ddn.uusdip@gmail.com S.No Name Designation 1. Sh. Vinay Mishra Project Manager 2. Sh. Ravindra Kumar Rajwar Project Manager 3. Sh. S.K. Sharma Assistant Engineer (Civil) 4. Sh. S.K. Verma Assistant Engineer (E&M) 5. Sh. A.P. Kala Assistant Engineer (Civil) 6. Sh. Yogesh Juyal Assistant Engineer (Civil) 7. Sh. Amit Kumar Assistant Engineer (Civil) 8. Sh. Sultan Singh Assistant Engineer (Civil) 9. Sh. Vipin Tiwari Assistant Engineer (Civil) Project Implementation Unit, Nainital Neel Kanth Guest House, PilGrim Lodge Compound, Mallital, Nainital Telephone , Tele-fax piuntl.uusdip@gmail.com S.No Name Designation 1. Sh. Durgesh Pant Project Manager (Offg) 2. Sh. Sanjay Kumar Addl. Assistant Engineer (Civil) Project Implementation Unit, Roorkee 1st Floor, West Wing, Irrigation Design Building, Canal Road, Roorkee Tele: piurk.uusdip@gmail.com S.No Name Designation 1. Sh. Vijay Kumar Project Manager 2. Sh. Sanjeev Kumar Assistant Engineer (E&M) 3. Sh. Ajay Kumar Saini Junior Engineer (Civil) 4. Sh. Pawan Kumar Tolia Assistant Engineer (Civil) 5. Sh. Bhupesh Pangti Assistant Engineer (E&M) 6. Sh. Sunil Kumar Assistant Engineer (E&M)

48 Project Implementation Unit, Ramnagar Near Parvatiya Samiti Sabha, Kotdwar Road, Ramnagar, District- Nainital Telephone S.No Name Designation 1. Sh. Durgesh Pant Project Manager (Offg) 2. Sh. D.C. Arya Assistant Engineer (Civil) Design & Supervision Consultant (Garhwal)/DSC-1 D Block, New ISBT Complex, Haridwar Baypass, Majra, Dehradun Telephone , Fax , dsc1.uusdip@gmail.com S.No Name Designation 1. Sh. Bhavesh Kumar Team Leader 2. Sh. Shanta Kumar Water Supply Expert 3. Sh. Deepak Hatwal Assistant Water Supply Engineer Design & Supervision Consultant (Kumaon)/DSC-2 B-5, Grace Villa, Jadge Farm, Haldwani Telephoene /005, stup.span@gmail.com S.No Name Designation 1. Sh. K.B. Singh Team Leader

49 Government of Uttarakhand, Urban Development Department Asian Development Bank Uttarakhand Urban Sector Development Investment Program (UUSDIP) INVESTMENT PROGRAM MANAGEMENT UNIT Annexure 1-13 : PPMS Reports and Other Reports Quarter III Period : July to Sept 2016 Reporting Month : Sept 2016

50 0010 IR / NCB Months 90.50% 62.46% % 28/01/ /04/ /12/2016 (2nd Extension) IR / NCB Months 98.00% 76.30% % 28/01/ /06/ /12/2016 (2nd Extension) IR / NCB Months 32.00% 21.19% % Contract Terminated on 26/04/2013 due to poor performance of the contractor 0009 IR / NCB Months 36.00% 21.40% % Contract Terminated on 26/04/2013 due to poor performance of the contractor 0006 TK / NCB Months % 99.83% % (7th Extension) O&M Starts w.e.f-11/10/ IR / NCB Months % 89.71% % (4th Extension) Physical works completed on 31/10/ IR / NCB Months % % Over Run (1st Extension) Completed both physically and financially 0011 IR / NCB Months % 98.10% % /03/2014 (3rd Extension) All Physical works completed on 31/03/2014, Scrutiny of final bill is under progress 0005 IR / NCB Months % % % /03/2014 (3rd Extension) Completed both physically and financially 0013 IR / NCB Months 41.40% 13.59% 33.33% In progress 0013 IR / NCB Months 51.57% 36.05% % (2nd Extension) Contract has been terminated on 27/05/2014 Balance works- Retendered WSS01D(RT) Contract Number Contract Description Contractor Name Procurement Plan Estimate Engineer s Reestimate Awarded PCSS Contract Type Contract Award Date Notice to Proceed Contract Period stated in contract Physical Progress (%) Disbursed (%) Time Elapsed (%) Original Date of Completion Actual Date of Completion Annexure 1: Contract Execution Monitoring Sheet Status as on 30/09/2016 Contract Value (INR Million) WSS01D/UU Laying of water distribution net SDIP/NCB/0 work in core areas at Dehradun 1 M/s. Vishwa Infrastructure and Services Ltd. WSS01D- Laying of water distribution net RT/UUSDIP/ work in core areas at Dehradun NCB/01 M/s Tirupati Cement Products, New Delhi WSS02D/UU Laying of Gravity Raw Water SDIP/NCB/0 Main from Bandal to 2 Dilarambazar WTP at Dehradun M/s. NKG Infrastructure Pvt. Ltd. WSS03D/UU SDIP/NCB/0 3 Replacement of Pumping Plants and Electrical items and renovation of Pump houses at Dehradun M/s. R K Engineers Sales (P) Ltd. WSS04D/WS Procurement of Silent Mobile and M/s. Katsons SDIP/NCB/0 4 Static Generators at Dehradun Pvt. Ltd. WSS01H/UU SDIP/NCB/0 6 Replacement of Pumping Plants and renovation of Pump houses of water supply system in Haridwar M/s. R K Engineers Sales (P) Ltd. WWM01D/U Construction of 68 MLD STP on M/s. USDIP/NCB/ SBR process at Dehradun Gharpure 05 Engineer and Consulting Pvt. Ltd. WWM02D/U Laying of trunk sewers & Branch USDIP/NCB/ sewers in unsewered areas of 08 Kargi Zone at Dehradun. M/s. Jyoti Buildtech Pvt.Ltd. WWM03D/U Laying of Branch sewers in USDIP/NCB/ sewered areas of Kargi Zone at 09 Dehradun. M/s. Conarch Associates WWM02D- Laying of trunk sewers & Branch RT/UUSDIP/ sewers in unsewered areas of NCB-RT1 Kargi Zone at Dehradun. M/s. EMS Infracon Pvt.Ltd. WWM03D- Laying of Branch sewers in RT/UUSDIP/ sewered areas of Kargi Zone at NCB-RT1 Dehradun. M/s. EMS Infracon Pvt.Ltd. Contract Type information should includes (i) mode of procurement (ICB, NCB, LIB, IS, SHP) and (ii) nature of contract (TK, IR, WK) As shown in the Report and Recommendations of the President.

51 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 General Name of Contract Laying of water Distrubution net work in core areas in Dehradun S-curve showing the progress Planned(Blue) vs Actual(Red) (Amount in Rs Million) Nature of Service Water Supply System Progress WSS01D IPMU Contract No UUSDIP/WSS01D/CA 06/ ADB PCSS No Name of the Contractor 13 M/s. Vishwa Infrstrucure and Services Ltd. 100 Contract Value (in INR) Million 80 Estimated in Procurement Plan 60 Estimated During Tendering Original Contract Value During Award Million Million Pre-Construction Activities Revised Contract Value after approval of Variations Details of Variations Amount EA Approval Date Variation Order Variation Order 2 Contract Signing Date Original Contract Completion Date Time Elasped (in months as well as in % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field Work Program Approval Date List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor Million Months % Contract has been terminated on % 0 ADB Approval Date (if cumulative variation amount is more than 15%) Major Equipments and Machinary (Planned) Major Equipments and Machinary (Mobilized) Trench Excavator-3 Pavement Breaker-5 Lifting Rig/Derrick Pipe Fitting Jack-4 with chain pulley Nil Key Personnel (Planned) General Manager Project Manager Site Engineers- Site Supervisors -3 Civil -2 Key Personnel (Fielded) Nil If any land acquisition is required (If yes, indicate the quality and status) -- No -- Status of right of way clearance activities No pending issues. Safeguard Requirements Social Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed RP has been Prepared and submitted

52 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Progress Physical Progress Overall (%) In the Reporting Quarter(%) Deliverables 51.57% 0.00% Major Items Target Actual Issues needs special attention Handing over of assets to the line agencies Financial Progress Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year(in INR million) Planned Achieved Works stopped. Termination action being initiated by IPMU Operation Manual Prepared O&M training provided to line agencies staff Joint inspection carried out Handed over to the line agency (Date) 36% 0.00% 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter List of Issues (very brief and in bullet Action Proposed form) Due to poor performance of the Contractor, Contract has been terminated on No No No General Name of Contract Supply, Laying,Testing and commissioning of Raw Water main from Bandal River Source to Dilaram Bazar Water Treatment Plant at Dehradun S-curve showing the progress Planned(Blue) vs Actual(Red) (Amount in Rs Million) Nature of Service Water Supply System Progress WSS02D IPMU Contract No ADB PCSS No 01/WSS02D/UUSDIP/NCB/ Name of the Contractor M/s NKG Infrastructure Ltd. 100 Contract Value (in INR) Million 80 Estimated in Procurement Plan Million 60 Estimated During Tendering Million 40 Original Contract Value During Award Million 20 Revised Contract Value after approval of Variations Million 0 Details of Variations Amount EA Approval Date Variation Order Million Jul-13 ADB Approval Date (if cumulative variation amount is more than 15%) Pre-Construction Activities Contract Signing Date Original Contract Completion Date Time Elasped (in months as well as in % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field months % 29/10/2011(1st Extension), 31/10/2012(2nd Extension), 31/03/2014 (3rd Extension)

53 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Activities Work Program Approval Date Not available List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor Major Equipments and Machinary (Planned) Major Equipments and Machinary (Mobilized) Nil 100% Work completed Tranche Excavator-0 Pavement Breaker-0 Lifting Ring-0 No Pipe Fitting Jack Nos Nil Nil Nil Nil Key Personnel (Planned) Project Manager Construction Chief Engineer-0 General Manager-0 Engineer-0 Key Personnel (Fielded) - but frequently changed Nil Nil Nil If any land acquisition is required (If Crop compensation only for about 6% of work yes, indicate the quality and status) Status of right of way clearance activities No Safeguard Requirements Social Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented RP has been Prepared and submitted Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed 100% Environmental Nil REA checklist prepared Categorisation by ADB done B IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Progress Physical Progress Overall (%) 100% In the Reporting Quarter(%) 0% Deliverables Major Items Target Actual Laying of 450 mm dia D.I pipes 0 0 Testing of laid pipeline in mtr. 0 0 Financial Progress Issues needs special attention Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year(in INR) Planned (INR Million) Achieved (INR Million) Issues 100% 0.00% 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter List of Issues (very brief and in bullet Action Proposed form) Handing over Request for taking over sent to UJS Handing over of assets to the line Operation Manual Prepared

54 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 assets to the line agencies O&M training provided to line agencies staff Joint inspection carried out Handed over to the line agency (Date) To be done by Program General Name of Contract Nature of Service Replacement of Pumping Plants and Electrical items and renovation of Pump houses at Dehradun Water Supply System S-curve showing the progress Planned(Blue) vs Actual(Red) (Amount in Rs Million) IPMU Contract No UUSDIP/WSS03D/CA 07/ ADB PCSS No Name of the Contractor M/s. R K Enginerrs Sales (P) Ltd. 80 Contract Value (in INR) Million Estimated in Procurement Plan 60 Estimated During Tendering Million 40 Original Contract Value During Award Million 20 Revised Contract Value after approval Million of Variations Details of Variations Amount EA Approval Date 0 ADB Approval Date (if cumulative variation amount is more than 15%) Variation Order Million Jul-12 Variation Order 2 (-) 7.1 Million Nov-15 Contract Signing Date Original Contract Completion Date Time Elasped (in months as well as in % of original contract period) Revised Contract Completion Date months % 31/12/2012(1st Extension), 31/07/2013(2nd Extension), 31/03/2014 (3rd Extension) Pre-Construction Activities Contractor Mobilized Date in the field Work Program Approval Date List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor Nil 100% Major Equipments and Machinary (Planned) Major Equipments and Machinary (Mobilized) Chain Pulley-6 Lifting Rig-6 Concrete Breaker- Welding Set Portable -2 2 Nil Nil Nil Nil Key Personnel (Planned) General Manager Project Manager Site Engineer Site Supervisor-2 Key Personnel (Fielded) Nil Nil Nil Nil If any land acquisition is required (If yes, indicate the quality and status) Status of right of way clearance activities Not Applicable Safeguard Requirements Social Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented Grievance Reddresal in place RP has been Prepared and submitted

55 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Monitoring and Evaluation Consultant in place % of Total compensation disbursed Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Progress Physical Progress Overall (%) 100% In the Reporting Quarter(%) 0% Deliverables Target Actual Supply of horizontal centifugal pumps Installation of horizontal centrifugal pumps Issues needs special attention Financial Progress Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year(in INR Million) Planned Achieved Issues Supply of submersible pumps Installation of submersible pumps Valves Installation of Valves Supply of Bulkwater meter Installation of Bulk Water Meter 98.10% 0.00% st Quarter 2nd Quarter 3rd Quarter 4th Quarter List of Issues (very brief and in bullet form) Final Bill is under preparation. Package need to be closed financially. Action Proposed Final Variation approved in 26th EC Handing over Request for taking over sent to UJS Handing over of assets to the line agencies Operation Manual Prepared O&M training provided to line agencies staff Joint inspection carried out Not Provided Handed over to the line agency (Date) to be taken up by IPMU General Name of Contract Procurement of Silent Mobile and Static Diesel Driven electric Power Generators sets for water supply system of Dehradun S-curve showing the progress Planned(Blue) vs Actual(Red) (Amount in Rs Million) Nature of Service IPMU Contract No Water Supply System 03/WSS04D/UUSDIP/NCB/ ADB PCSS No Name of the Contractor M/s Katsons Technologies Ltd. 80 Contract Value (in INR) Million 60 Estimated in Procurement Plan Million 40

56 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Estimated During Tendering Original Contract Value During Award Million Million 20 Revised Contract Value after approval of Variations Details of Variations Amount EA Approval Date 0 ADB Approval Date (if cumulative variation amount is more than 15%) Pre-Construction Activities Variation Order 1 Variation Order 2 Contract Signing Date Original Contract Completion Date Time Elasped (in months as well as in % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field Work Program Approval Date Nil Nil Months 28/02/2011 (1st Extension) List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor Dec-10 Major Equipments and Machinary (Planned) Major Equipments and Machinary (Mobilized) Key Personnel (Planned) Key Personnel (Fielded) If any land acquisition is required (If yes, indicate the quality and status) Status of right of way clearance activities Safeguard Requirements Social Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Only supply of material and hence not applicable. Progress Physical Progress Overall (%) In the Reporting Quarter(%) 100% 0% Deliverables Major Items Target Actual 10 Nos of mobile D.G sets 5 Nos of static D.G sets

57 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/ Nos of tractor 10 Nos of Trolly Issues needs special attention Financial Progress Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year(in INR) Planned Achieved Issues 100% 0% 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter List of Issues (very brief and in bullet Action Proposed form) Handing over Request for taking over sent to UJS Handing over of assets to the line agencies Operation Manual Prepared O&M training provided to line agencies staff Joint inspection carried out Handed over to the line agency (Date) General Name of Contract Replacement of Pumping Plants and renovation of Pump houses of water supply system in Haridwar S-curve showing the progress Planned(Blue) vs Actual (Red) (Amount in Rs Million) Nature of Service Water Supply System IPMU Contract No UUSDIP/WSS01H/CA 08/ ADB PCSS No Name of the Contractor Contract Value (in INR) M/s. R K Enginerrs Sales (P) Ltd Million 80 Estimated in Procurement Plan 60 Estimated During Tendering Million 40 Original Contract Value During Award Million 20 Revised Contract Value after approval of Variations million Details of Variations Amount EA Approval Date 0 ADB Approval Date (if cumulative variation amount is more than 15%) Variation Order Million Aug-12 Variation Order 2 (-) 4.3 Million Nov-15 Pre-Construction Activities Contract Signing Date Original Contract Completion Date Time Elasped (in months as well as in % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field Work Program Approval Date List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter months 567% (1st Extension), (2nd Extension), (3rd Extension), (4th Extension) Nil 100%

58 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Mobilization of Resources by Contractor Major Equipments and Machinary (Planned) Major Equipments and Machinary (Mobilized) Chain Pulley-0 Lifting Rig-0 Concrete Breaker- Welding Set Portable -2 0 Nil Nil Nil Nil Key Personnel (Planned) General Manager Project Manager Site Engineer Site Supervisor Key Personnel (Fielded) Nil Nil 0 0 If any land acquisition is required (If yes, indicate the quality and status) Status of right of way clearance activities Not Applicable Not Applicable Safeguard Requirements Not Applicable Social Not Applicable Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Progress Physical Progress Overall (%) 100% In the Reporting Quarter(%) 0% Deliverables Major Items Target Actual Issues needs special attention Financial Progress Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year(in INR) Planned Achieved Construction of Bhoopatwala Pump house should be done. Supply centrifugal pumps 0 0 Supply V.T pumps 0 0 Supply of valves 0 0 Installation of VT Pump 0 0 Installation of valves 0 0 Supply of bulk water meter 0 0 Installation of bulk water meter 0 0 Supply of Submersible pump 0 0 Installation of Submersible Pumps % 0.0% 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter List of Issues (very brief and in bullet Action Proposed form) Package need to be closed financially. Final Variation approved in 26th EC Handing Over Request for Handing over sent to UJS

59 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Handing over of assets to the line agencies Operation Manual Prepared O&M training provided to line agencies staff Joint inspection carried out No No (Only Bhoopatwala handed over to UJS) Handed over to the line agency (Date) No General Name of Contract Nature of Service IPMU Contract No ADB PCSS No Name of the Contractor Contract Value (in INR) Estimated in Procurement Plan Estimated During Tendering Procurement of 68mld capacity Sewage Treatment Plant on Design,Supply, Installation and Maintenance basis using Seuencing Batch Reactor (SBR) Proces at Dehradun Waste Water Management 02/WWM01D/UUSDIP/NCB/ M/s Gharpure Engineering & Construction Pvt. Ltd Million Million Million S-curve showing the progress Planned(Blue) vs Actual(Red) (Amount in Rs Million) Pre-Construction Activities Original Contract Value During Award Million Revised Contract Value after approval of Variations Details of Variations Million Amount EA Approval Date Variation Order 1 42 Million May-14 Variation Order Million Feb-15 Contract Signing Date Original Contract Completion Date Time Elapsed (in months as well as in % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field Work Program Approval Date List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor months 277% 31/12/2012, 31/07/2013, 31/03/2014, 28/02/2015, 31/05/2015, 20/09/2015, 30/04/2016 (7th Extension) 100% 20 0 ADB Approval Date (if cumulative variation amount is more than 15%) Major Equipments and Machinary (Planned) Major Equipments and Machinary (Mobilized) Excavator-1 no Vibrators- 1 nos Dewatering pumps Shuttering material Procured for present work Key Personnel (Planned) Project Manager-1 Project Engineer Civil Project Engineermechanical Site Engineer Civil, Mechanical, Instrumentation Key Personnel (Fielded) If any land acquisition is required (If yes, indicate the quality and status) Status of right of way clearance activities Land acquired Safeguard Requirements Social

60 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Progress Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Physical Progress Overall (%) In the Reporting Quarter(%) No 100.0% 0.0% Deliverables Major Items Target Actual Financial Progress Issues needs special attention Handing over of assets to the line agencies Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year(in INR) Planned Achieved Complete agenda inclusive of all extra claims, variations, escalation etc, shall be placed before EC for approval Operation Manual Prepared O&M training provided to line agencies staff Joint inspection carried out Handed over to the line agency (Date) 99.79% 0.19% 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter List of Issues (very brief and in bullet form) Mode of disposl of grit and dry sludge to be finalised with user department. Approval of Earth filling quantity and rate. Formal Handing Over and Arrangement for O&M contract Yet to be taken up Action Proposed To be done with UJS Quantity finalized in the Committee, Rate & Lead to be finalized. To be done with UJS General Name of Contract Nature of Service IPMU Contract No Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun. Waste Water Management UUSDIP/WWM02D/CA 04/10-11 S-curve showing the progress, Planned(Blue) vs Actual (Red) (Amount in Rs Million) ADB PCSS No Name of the Contractor M/s. Jyoti Buildtech Pvt.Ltd. 70 Contract Value (in INR) Million Estimated in Procurement Plan 40 Estimated During Tendering Million 30 20

61 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Original Contract Value During Award Million Revised Contract Value after approval of Variations million (cost of works as per final bill) Details of Variations Amount EA Approval Date 0 ADB Approval Date (if cumulative variation amount is more than 15%) Pre-Construction Activities Variation Order 1 Variation Order 2 Contract Signing Date Original Contract Completion Date Time Elasped (in months as well as in % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field Work Program Approval Date List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor months % 100% Major Equipments and Machinary (Planned) Major Equipments and Machinary (Mobilized) Trench Excavator-3 Pavement Breaker-3 Lifting Rig-3 Pipe Fitting Jack Nil Nil Key Personnel (Planned) General Manager Project Manager Site Engineer-2 Site Supervisor-5 Key Personnel (Fielded) If any land acquisition is required (If yes, indicate the quality and status) Status of right of way clearance activities PWD & ULB,s permission under progress Progress Safeguard Requirements Social Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Physical Progress Overall (%) In the Reporting Quarter(%) Deliverables Due to non performance of Contractor, Contract package has been terminated on 26/04/ % 0% Laying of Sewer Lines Major Items Construction of Manholes Target Actual

62 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Road Side Chambers Road Restoration Issues needs special attention Financial Progress Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year(in INR) Planned Achieved Issues 21% 0% 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter List of Issues (very brief and in bullet form) Action Proposed Matter is under Arbitration Handing over of assets to the line agencies Operation Manual Prepared O&M training provided to line agencies staff Joint inspection carried out Handed over to the line agency (Date) NA NA NA NA General Name of Contract Nature of Service IPMU Contract No ADB PCSS No Name of the Contractor Contract Value (in INR) Estimated in Procurement Plan Estimated During Tendering Original Contract Value During Award Revised Contract Value after approval 34.5 Million (cost of works as per final bill) of Variations Details of Variations Amount EA Approval Date Variation Order 1 Variation Order 2 Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun. Waste Water Management UUSDIP/WWM03D/CA 05/ M/s. Conarch Associates Million Million Million S-curve showing the progress Planned(Blue) vs Actual (Red) (Amount in Rs Million) ADB Approval Date (if cumulative variation amount is more than 15%) Pre-Construction Activities Contract Signing Date Original Contract Completion Date Time Elasped (in months as well as in % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field Work Program Approval Date List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor months % 100% Average

63 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Major Equipments and Machinary (Planned) Major Equipments and Machinary (Mobilized) Trench Excavator-3 Pavement Breaker-3 Lifting Rig-3 Pipe Fitting Jack Key Personnel (Planned) General Manager Project Manager Site Engineer-1 Site Supervisor-2 Key Personnel (Fielded) If any land acquisition is required (If yes, indicate the quality and status) Status of right of way clearance activities Safeguard Requirements Social Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Physical Progress Overall (%) In the Reporting Quarter(%) Deliverables Na NA NA Due to non performance of Contractor, Contract package has been terminated on 26/04/ % 0% Laying of Sewer Lines Road Side Chambers Road Restoration Major Items Construction of Manholes Target Actual Financial Progress Issues needs special attention Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year (in INR) Planned Achieved Shopping Work under package WWM03D Issues 21.19% 0% 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter Manholes Construction Construction of Propert Chambers 160m of UPVC pipe connection 110 m of UPVC pipe connection List of Issues (very brief and in bullet form) Target Action Proposed Actual

64 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Handing over of assets to the line agencies Operation Manual Prepared O&M training provided to line agencies staff Matter is under Arbitration No No Joint inspection carried out Handed over to the line agency (Date) No General Name of Contract Nature of Service IPMU Contract No Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun. Waste Water Management UUSDIP/WWM02DRT/CA 08/ S-curve showing the progress, Planned(Blue) vs Actual (Red) (Amount in Rs Million) ADB PCSS No Name of the Contractor M/s. EMS Infracon Pvt.Ltd. 70 Contract Value (in INR) Million Estimated in Procurement Plan 40 Estimated During Tendering Million 30 Original Contract Value During Award Million Revised Contract Value after approval of Variations Million Details of Variations Amount EA Approval Date 0 ADB Approval Date (if cumulative variation amount is more than 15%) Variation Order Million May-15 Variation Order Million Aug-15 Variation Order Million Feb-16 Pre-Construction Activities Contract Signing Date Original Contract Completion Date Time Elasped (in months as well as in % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field Work Program Approval Date List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor Major Equipments and Machinary (Planned) Major Equipments and Machinary (Mobilized) months % 30/06/2016 (1st Extension), 31/10/2016 (Proposed 2nd Extension) 100% Trench Excavator-3 Water tanker-2 Tractor-trolley-3 Electrofusion welding machine Key Personnel (Planned) General Manager Project Manager Site Engineer-2 Site Supervisor-7 Key Personnel (Fielded) If any land acquisition is required (If yes, indicate the quality and status) Status of right of way clearance activities Safeguard Requirements Social Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done NH permission obtained from NH Authority Work started as per NGT order on

65 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Progress Consultation Documented Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Physical Progress Issues needs special attention Overall (%) In the Reporting Quarter(%) Deliverables Financial Progress Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year(in INR) Target Actual st Quarter 2nd Quarter 3rd Quarter 4th Quarter Planned Achieved Program to decide on steel trench box shuttering 98.00% 9.00% 67.69% 2.11% Major Items Procurement of Sewer Pipes (mtr) Laying of Sewer Lines (mtr) Construction of Manholes (Nos) Road Side Chambers (Nos) Road Restoration of Tile road (mtr) Road Restoration of CC road (mtr) Road Restoration of BT (WBM) (mtr) List of Issues (very brief and in bullet form) Precast RCC Property Chambers Action Proposed To be approved Rates for Prefabricated Steel Shoring To be approved NGT Restriction In Process Handing over of assets to the line agencies Operation Manual Prepared O&M training provided to line agencies staff Joint inspection carried out Handed over to the line agency (Date) General Name of Contract Nature of Service IPMU Contract No Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun. Waste Water Management UUSDIP/WWM03DRT/CA 09/ S-curve showing the progress Planned(Blue) vs Actual (Red) (Amount in Rs Million) 120 ADB PCSS No Name of the Contractor M/s. EMS Infracon Pvt.Ltd. 80 Contract Value (in INR) Million 60 Estimated in Procurement Plan 40

66 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Estimated During Tendering Original Contract Value During Award Million Million Revised Contract Value after approval Million of Variations Details of Variations Amount EA Approval Date 20 0 ADB Approval Date (if cumulative variation amount is more than 15%) Variation Order Million May-15 Variation Order Million Aug-15 Variation Order Million Feb-16 Pre-Construction Activities Contract Signing Date Original Contract Completion Date Time Elapsed (in months as well as in % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field Work Program Approval Date List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor months % 30/04/2016 (1st Extension), 31/10/2016 (Proposed 2nd Extension) 100% Average Major Equipments and Machinary (Planned) Trench Excavator-3 Water tanker-2 Tractor-trolley-3 Electrofusion welding machine-2 Major Equipments and Machinary (Mobilized) Key Personnel (Planned) General Manager Project Manager Site Engineer-2 Site Supervisor-2 Key Personnel (Fielded) Progress If any land acquisition is required (If yes, indicate the quality and status) Status of right of way clearance activities Safeguard Requirements Social Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Physical Progress NH permission obtained from NH Authority Work started as per NGT order on Overall (%) 90.50% In the Reporting Quarter(%) 7.80% Deliverables Major Items Target Actual

67 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Issues needs special attention Financial Progress Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current year(in INR) st Quarter 2nd Quarter 3rd Quarter 4th Quarter Planned Achieved Issues Procurement of Sewer Pipes (mtr) Laying of Sewer Lines (mtr) Construction of Manholes (Nos) Road Side Chambers (Nos) Road Restoration of Tile road (mtr) Road Restoration of CC road (mtr) Road Restoration of BT (WBM) (mtr) 68.69% 0.28% List of Issues (very brief and in bullet form) Precast RCC Property Chambers Rates for Prefabricated Steel Shoring NGT Restriction Action Proposed To be approved To be approved In Process Handing over of assets to the line agencies Operation Manual Prepared O&M training provided to line agencies staff No No Joint inspection carried out No Handed over to the line agency (Date) No General Name of Contract Nature of Service IPMU Contract No ADB PCSS No Name of the Contractor Contract Value (in INR) Estimated in Procurement Plan Estimated During Tendering Original Contract Value During Award Laying of water Distrubution net work in Water Supply System UUSDIP/WSS01D(RT)/CA 12/10-11 M/s. Tirupati Cement Products Million Million Million Million S-curve showing the progress Progress WSS01D 20 Pre-Construction Activities Revised Contract Value after approval Million of Variations Details of Variations Amount EA Approval Date Variation Order 1 Variation Order 2 Contract Signing Date Original Contract Completion Date Time Elasped (in months as well as in Months 33.33% % of original contract period) Revised Contract Completion Date Contractor Mobilized Date in the field Work Program Approval Date List of design yet to be approved by the Engineer % of Construction drawings issued to the Contractor till the reporting quarter Mobilization of Resources by Contractor 100% 0 ADB Approval Date (if cumulative Major Equipments and Machinary (Planned) Water tanker Tractor-trolley Trench Excavator Hydra, Roller Major Equipments and Machinary , 1 (Mobilized) Key Personnel (Planned) General Manager Project Manager Site Engineers- Site Supervisors Civil Key Personnel (Fielded) Nil 1 1 2

68 Annexure 2: Individual Contract Performance Sheet Status as on 30/09/2016 Progress If any land acquisition is required (If yes, indicate the quality and status) Status of right of way clearance activities Safeguard Requirements Social Resettlement Plan made ADB approval on Resettlement Plan in place Disclosure on the web done Consultation Documented Grievance Reddresal in place Monitoring and Evaluation Consultant in place % of Total compensation disbursed Environmental REA checklist prepared Categorisation by ADB done IEE Prepared ADB approval on IEE in place Disclosure of IEE on the Web done Physical Progress Overall (%) In the Reporting Quarter(%) Deliverables -- No -- No pending issues. RP has been Prepared and submitted 41.40% 21.40% Major Items DI Pipe Laying (mt.) Construction of House Connection (no.) Road Restoration (m) Target Actual Issues needs special attention Financial Progress Overall (%) In the Reporting Quarter(%) Expenditure Incurred in the current 18% 4.0% 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter year(in INR million) Planned Achieved Works stopped. Termination action being initiated by IPMU List of Issues (very brief and in bullet Action Proposed Handing over of assets to the line agencies Operation Manual Prepared O&M training provided to line agencies staff Joint inspection carried out Handed over to the line agency (Date) No No No General Name of Contract Replacement of Pumping Plants and S-curve showing the progress

69 Annexure 4 : PPMS-Input Measurement Implementation Arrangements, Consultants Recruitments Name of the Project: Project 1 of UUSDIP Status As On : 30th Sept 2016 A. Implementation Arrangements Program Units Date of Establishment Staffing Target Actual Target Actual IPMU(Key Staff) - 29 April IPMU(Support Staff) IPIU (Central) - 1 September IPIU (Dehradun) - 1 September IPIU (Haridwar) IPIU (Nainital) - 1 September B. Consultant Recruitment Contract Identification Number Name of the Contract Cost (INR) Invitation of EOIs Date Contract Award Date Commencement of Service Date (PCSS) Estimated Actual Target Actual Target Actual Target Actual 0001 IPMC 2120,00, ,17, August July November August January DSC I 1153,79, ,62, August July November August January DSC II 1074,16, ,89, August July November August January 2009

70 Annexure 5: PPMS-Input Measurement Procurement Name of the Project: Project 1 of UUSDIP Status As On : 30/09/2016 Estimated Cost Tranche-I: Million Contract Identification Number Name of the Contract Cost Million) (INR Design Completion Date Issuance of Tender Date Contract Award Date Work Commencement Date WSS01D WSS01D-RT WSS02D WSS02D/BHW WSS03D WSS04D WSS01H WSS01N WSS02N Laying of Water Distribution Network in core areas at Dehradun Laying of Water Distribution Network in core areas at Dehradun Laying of Gravity Raw Water Main from Bandal to Dilarambazar WTP at Dehradun Construction of Weir Across Bandal River at Headwork and Construction of Staff Quarter located near river Bandal in Dehradun Replacement of Pumping Plants and Electrical items and renovation of pump houses at Dehradun Procurement of Silent Mobile and Static Generators at Dehradun Replacement of Pumping Plants and renovation of pump houses at Haridwar Replacement of Pumping Plants and Construction of Tubewells, Pump Houses and Sumps and Appurtenant Works at Supplying, laying, Nainital jointing of Distribution System & Rising Main and appurtenant works in All Saint Zone at Nainital Estimated Actual Target Actual Target Actual Target Actual Target Actual /04/ /10/ /01/ /06/ /09/ /10/ /01/ /7/ /03/2010 WSS03N Replacement of Rising Mains and Old Steel Tanks and Appurtenant Works at Nainital /10/ /01/ /7/ /03/2010 WSS04N WWM01D WWM02D WWM03D Construction of Clear Water Reservoirs and appurtenant works at Nainital Construction of 68 MLD STP on SBR process at Dehradun Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun /10/ /01/ /7/ /03/ WWM02D-RT Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun WWM03D-RT Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun Note : During the design phase of subprojects under Tranche I, no planned dates were set as target and accordingly those dates are not available.

71 Name of the Project: Project 1 of UUSDIP Annexure 6: PPMS- Input Measurement Others Date Format : dd/mm/yyyy Status As On : 30th Sept 2016 Clearances To be obtained from Date of Notification issued to Competent Authority Date of Surveys and hearing of Objection /Observation Date of Deposit of Payment, if any Date of Clearances obtained Subproject Target Actual Target Actual Target Actual Target Actual Environmental Procurement of Silent Mobile & Static Generators at Dehradun (WSS04D) Construction of 68 MLD STP on SBR process at Dehradun (WWM01D) Land Acquisition PCB, GoU PCB, GoU ULBs Social ADB Right of Way Acquisition Laying of Water Distribution Network in core areas at Dehradun (WSS01D) Laying of Gravity Raw Water Main from Bandal to Dilarambazar WTP at Dehradun (WSS02D) PWD/Nagar Palika PWD/Nagar Palika Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun(WWM02D) PWD/Nagar Palika Laying of Branch sewers in sewered areas of Kargi Zone at Dehradun (WWM03D) PWD/Nagar Palika Replacement of Pumping Plants and construction of Tube wells, Pump Houses & Sump and appurtenant works at PWD/Nagar Palika Nainital (WSS01N) Works under Nainital Water supply and rising main at All Saint Zone, Nainital(WSS02N) PWD/Nagar Palika Replacement of rising mains and old steel tanks and PWD/Nagar Palika, /02/2011, appurtenant works at Nainital (WSS03N) Forest Deptt. 26/03/2011 Construction of Clear Water Reservoirs and appurtenant 09/02/2011, PWD/Nagar Palika works at Nainital (WSS04N) 26/03/2011

72 PCSS No Name of the Project: Project 1 of UUSDIP Annexure 7: PPMS-Output Measurement Works Status As On -30/09/2016 Estimated Cost: Million Contract Identification Number Name of the Contract Scope Unit Weight Factor Cost Million) (INR Physical Achievements Year 1 Physical Progress (% ) Year 2 Year 3 Year 4 Contract Completion Date WSS02D UUSDIP/NCB/02 WSS04D UUSDIP/NCB/04 WWM 01D UUSDIP/NCB/05 WSS01D/UUSDIP/ NCB/01 WSS03D/UUSDIP/ NCB/03 Laying of Gravity Raw Water Main from Bandal to Dilarambazar WTP at Procurement of Silent Mobile & Static Generators at Dehradun. Construction of 68 MLD STP on SBR process at Dehradun. Laying of water distribution net work in core areas at Dehradun Replacement of Pumping Plants and Electrical items and renovation of Pump houses at Dehradun Laying & jointing, testing of D.I. K7 & K9 pipes Procurement Supply of Silent Trolly mounted diesel driven Static Generator sets Awarded Completion Target Achievement Tested Functional Handed over Target Actual Target Actual Target Actual Target Actual Target Actual % 100% Line 80% 35.00% 20% 40.0% 25.0% 15% 10% 10% commissioned and water is 31/03/2014 being (3rd Exten) received in Dilaram WTP 62.5KVA Nos KVA Nos KVA Nos KVA Nos Supply of Silent Trolly mounted Nos diesel driven MOBILE Generator sets 125KVA Nos KVA Nos KVA Nos Total % % 100% 68 MLD Capacity STP Each % % 100.0% 3% 50% 62% 35% 25% 10% 9% (7th Exten) Suply, laying & jointing,testing and commissioning of D.I. K7 pipes M RM % Nos DG sets 20% 5.50% 80% 94.5 supplied to UJS % % 2.45% 50% 35.55% 40% 11% 51% 2.57% Procurement Replacement of Pumping plants % % is to be done 50% 1% 50% 76.00% 23% 7% 16% 16% by IPIU/ Submersible Pumps Nos IPMU Horizontal centrifugal Pumps Nos Renovation of pump house Nos (1st Exten) (2nd Extn) Terminated on /03/2014 (3rd Exten)

73 PCSS No Name of the Project: Project 1 of UUSDIP Status As On -30/09/2016 Estimated Cost: Million Contract Identification Number Name of the Contract Scope Unit Weight Factor Cost Million) (INR Physical Achievements Year 1 Physical Progress (% ) Year 2 Year 3 Year 4 Contract Completion Date WSS01H/UUSDIP/ NCB/06 Replacement of Pumping Plants and renovation of Pump houses of water supply system in Haridwar Awarded Completion Target Achievement Tested Functional Handed over Target Actual Target Actual Target Actual Target Actual Target Actual Replacement of Pumping plants Nos % % 50% 1% 50% 63% 36% 0% 36% 36% Submersible Pumps Nos 2 2 Horizontal centrifugal Pumps Nos 8 8 Vertical turbine Pumps Nos Renovation of pump house Nos (4th Exten) WWM02D/UUSDI P/NCB/08 Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun. Suply, laying & jointing,testing M % % 2.0% 50% 23.00% 40% 11% 60% 0% and commissioning of sewer mains Procurement Terminated on WWM03D/UUSDI Laying of P/NCB/09 Branch sewers in sewered areas of Kargi Zone at Dehradun. Suply, laying & jointing,testing M % % 2.0% 50% 21.00% 40% 9% 62% 0% and commissioning of sewer mains Procurement Terminated on WWM02D- RT/UUSDIP/NCB/ 08 Laying of trunk sewers & Branch sewers in unsewered areas of Kargi Zone at Dehradun. WWM03D- Laying of RT/UUSDIP/NCB/ Branch sewers 09 in sewered areas of Kargi Zone at Dehradun. Suply, laying & jointing,testing and commissioning of sewer mains Suply, laying & jointing,testing and commissioning of sewer mains M % (Revised) M % (Revised) % 75% 36.00% 64% 45.50% 7.5% (1st Extn) Proposed (2nd Extn) % 41.00% 59% 42.00% 0% (1st Exten) Proposed (2nd Extn) WSS01D- RT/UUSDIP/NCB/ 01 Laying of water distribution net work in core areas at Dehradun Suply, laying & jointing,testing and commissioning of D.I. K7 pipes M % % 20.0%

74 Annexure 8: PPMS-Outcome Measurement Water Sector Name of the Project : Project 1 of UUSDIP Status As On : 30th September 2016 Augmentation of water supply by improving production capacity and/or reduction of physical losses Year Garhwal Region Base year (2011) Mid year (2026) Design year (2041) Kumaon Region Base year (2012) Mid year (2027) Design year (2042) Target (MLD) Demand Available Supply Production Augmentation Required Target under Project 1 Augmentation of Production Capacity (MLD) Reduction of Losses % % % % % % Augmentation of Production Capacity (MLD) Achievement Reduction of Losses Pre Project Situation Population covered with Population not covered with potable water supply as potable municipal water supply per GOI standards (Quality and Quantity both) Population covered with potable water supply but service level is not as per GOI standards (Quality and or Quantity) Immediated Target Population to be Benefited Designed Target Achievement (Based on 2009 population) (Based on 2009 population) Garhwal Region 6,25,205 Nil 6,25,205 ** Kumaon Region 67,927 Nil 33,981 (Mid Year) (Design Year) 10,12,190 14,88,275 Nil 1,42,456 2,01,551 Nil ** The entire population has been provided with water supply network. However, due to leakage in the network sufficient water supply is being ensured

75 Annexure 9: PPMS-Outcome Measurement Sewerage Sector Name of the Project : Project 1 of UUSDIP Status As On-30th Sept ) Centralize System Increase in waste water treatment capacity as per government standard Target (MLD) Achievement (MLD) Garhwal Region Nil Kumaon Region Population covered with centralize sewerage system with proper effluent treatment arrangement Pre project Situation Population covered with Population not covered centralize sewerage with centralize sewerage system but without system proper effluent treatment arrangement Immediated Target Population to be Benefited Designed Target Garhwal Region Nil 3,12,602 3,12,603 1,13,153 2,78,757 Kumaon Region Achievement Nil 2) Onsite Sanitation Increase in number of sanitation units Target Achievement Garhwal Region Nil Nil Kumaon Region Garhwal Region Nil Kumaon Region Pre project situation Population covered with onsite site sanitation system Population not covered with onsite site sanitation system Nil Population to be Benefited Target Achivement Nil Nil

76 Annexure 10: PPMS-Outcome Measurement Solid Waste Management Name of the Project: Project 1 of UUSDIP Status As on-30th Sept 2016 Increase in capacity of sanitary landfill sites Target (MT/D) Achievement (MT/D) Population covered with SWM system with proper disposal arrangement Pre-project Situation Population covered with SWM system without proper disposal arrangement Population not covered with SWM system Population to be Benefited Immediated Target Designed Target Achievement This report layout would be filled up from the next quarter onwards

77 Investment Program Outcomes Indicators Unit Target Values (2016) Water Supply System Increased access to better quality and sustainable Urban infrastructure & services by about 3.8 million people expected to be living in the Program towns by the end of program period (2016) Annexure 11: Impact of the Project 1 on the Investment Program As On 30th Sept 2016 Number of people with access increased NOS Project 1 Project 1 Project 1 Targets Baseline Data Achieved (2012) (2009) UFW reduced PCT 20% 20% 60% Availability of water supply per day Consumption of water per person per day Municipal water connection to household Improved water pressure in the pipe Waste Water Management Number of people with access increased Households toilets connected to the sewerage Households toilets connected to the septic tanks Number of ULBs compliled with 74th CAA Number of ULBs and UJS generate increased revenues to meet O&M cost of urban services Number ULBs and UJS migrated to Double Entry Accounting Number of PPP Contract Awarded HRS Intermittent lpcd NOS MT >12 >12 < 7 NOS NOS NOS NOS NOS NOS NOS PCT stands for Percentage(%) The rest of the data would be filled up through the discussion with subject experts and would be made available

78 Investment Program Outcomes Indicators Unit Target Values (2016) Governance Number of empowered in NOS line with 74 th CAA and the JNNURM Note : The more indicators under this component would be identified later. Sustainability Number of ULBs and UJS generate increased revenues to meet O & M costs of urban services and migrated to Number of ULB with accrual based double entry accounting system adopted double-entry accounting NOS NOS Note : The more indicators under this component would be identified later. Project 1 Project 1 Project 1 Targets Baseline Data Achieved (2012) (2009) PCT stands for Percentage(%) The rest of the data would be filled up through the discussion with subject experts and would be made available

79 Annexure 12: Status of Achieving Output of Project 1 As On 30/09/2016 Outputs 1. Implemented water supply subproject in Dehradun 2. Implemented water supply subproject in Nainital Indicators By the end of the subproject period: Non-revenue water reduced PCT WSS01D : Laying of Water Distribution Network in core areas. Water supply network increased. KM Water supply network improved. KM Number of household connection increased. NOS Water production capacity increased. MLD WSS01D-RT : Laying of Water Distribution Network in core areas. Water supply network increased. KM Water supply network improved. KM Number of household connection increased. NOS Water production capacity increased. MLD WSS02D : Laying of Gravity Raw Water Main from Bandal to Dilarambazar WTP. Water supply main improved. KM Water production capacity increased. MLD Pumping plants installed. NOS Pumping house renovated. NOS Water production capacity increased. MLD WSS04D: Procurement of Silent Mobile & Static Generators. Mobile Diesel Generator set procured. NOS Static Diesel Generator set procured. NOS Tractors for pulling procured. NOS Standby power source generated. KW By the end of the subproject period: Non-revenue water reduced PCT Target Values WSS03D : Replacement of Pumping Plants and Electrical items and renovation of pump houses WSS01N:Replacement of Pumping Plants and construction of Tubewells, Pump Houses & Sump and Appurtenant works 20% % Achieved Pumping plants replaced. NOS Pump house constructed. NOS Tubewells commissioned. NOS Water production capacity increased. MLD WSS02N:Supply, laying, jointing of Distribution Systems and rising main & appurtenant works in All Saint Zone at Nainital Water supply network increased. KM 2 Water supply network improved. KM Water Reservours constructed. NOS Softening plant installed. NOS Number of household connection increased. NOS Water production capacity increased. MLD Water supply rising mains increased. KM Water supply rising mains improved. KM Replacement of old steel tanks. NOS Number of household connection increased. NOS Water production capacity increased. MLD WSS03N:Replacement of Rising Mains and old steel tanks and appurtenant works. WSS04N:Construction of Clear Water Reservoirs and appurtenant works Km Km nos procured 36 nos pump installed 36 nos Commissioned Pump Houses at Children Park, Sipahidhara, Old Water Works and Sukhatal completed 4 nos Boring and pump lowered & commissioned Km 2 no completed installed & commissioned 334 Nos & 334 nos commissioned Installation and commissioning of both Pumps completed at Phansigadhera Pumping Station Nos. Steel Tanks completed and commissioned. 9043

80 Outputs Indicators Target Values Achieved 3. Implemented Water reservoirs constructed. NOS Nos. completed water supply Spring collecting chambers constructed. NOS 0 Proposal drop subproject in Haridwar Water production capacity increased. MLD 1.20 By the end of the subproject period: Non-revenue water reduced. PCT 20% 4. Implemented sewage subproject in Dehradun WSS01H:Replacement of Pumping Plants & Renovation of Pump Houses of Water Supply System. Water supply mains increased. KM Water supply mains improved. KM Renovation of Pumping House. NOS Replacement of Pumping Plant. NOS Number of household connection increased. NOS - - Number of bulk water meters installed. NOS Water production capacity increased. MLD By the end of the subproject period: WWM01D: Construction of 68 MLD STP on SBR process. Sewerage treatment capacity increased. MLD Population covered with sewerage treatment(immediate) Population covered with sewerage treatment(design) NOS NOS Sewerage network increased. KM Number of household connection increased. NOS Population covered with sewerage treatment(immediate) Population covered with sewerage treatment(design) NOS NOS WWM02D: Laying of Trunk sewers & Branch sewers in unsewered areas of Kargi Zone

81 Outputs Indicators Target Values Achieved 5. Strengthened WWM03D: Laying of Branch sewers in sewered areas of Kargi Zone. ULBs Sewerage network increased. KM Restructured WSS utilities for efficient and financially sustainable service delivery 7. Increased local revenues and improved financial management 8. Prepared PPP packages for selected subprojects Number of household connection increased. NOS Population covered with sewerage network (Immediate) Population covered with sewerage Network (Design) NOS NOS Number of staff trained NOS See the details in Appendix 6 Level of JNNURM reform achieved. PCT Number of ULB achieved O & M cost NOS recovery. Number of ULB adopted accrual based NOS double entry accounting system. Number of PPP contracts awarded. NOS WWM02D-RT: Laying of Trunk sewers & Branch sewers in unsewered areas of Kargi Zone. Sewerage network increased. KM Number of household connection increased. NOS Population covered with sewerage NOS treatment(immediate) Population covered with sewerage treatment(design) NOS WWM03D-RT: Laying of Branch sewers in sewered areas of Kargi Zone. Sewerage network increased. KM Number of household connection increased. NOS Population covered with sewerage NOS treatment(immediate) Population covered with sewerage treatment(design) NOS

82 S.No Annexure 13: Gender Indicators of Project 1 As On 30/09/2016 Indicators WSS01D(RT) WWM02D(RT) WWM03D(RT) WSS02N Achievement Achievement Achievement Achievement No. of Metered piped connections newly installed at household 206 No. of Water supply connnections provided to BPL households. No. of water supply connection provided to Female House Hold. No. of new sewerage connections provided to BPL Household No. of new sewerage connections provided to Female House Hold No. of Awareness/Consultations programs campaigns/seminars conducted and no. of and % of women participated in each activity 3985 household connections have been provided in Nainital. 07 Public consultations have been organized in Dehradun and Roorkee. A total number of 99 male 7 No. And % of women provided with technical 1 training on O&M of water supply and sewerage. 8 No. of women employed in expert positions and in junior /senior positions in PMU/PIU/DSC *Note:-Consolidated data is added in this report,moving forward project vise data will be added. Target: 38,000 of BPL households and poor FHHs (approximately, 19% of total HHs) in each project town provided with subsidized individual water supply and sewerage connections and meters. Four project awareness-raising seminars/ meetings conducted for each of five project town (Nainital, Dehradun, Haldwani,Roorkee and Ramnagar) * At least 50% women participation in Nainital, * At least 30% women participation in Dehradun and Haldwani, * At least 25% women participation in Roorkee, * At least 20% women participation in Ramnagar Training poor women on O&M of water supply and sewerage Target and indicator:30 poor women (who have the aptitude and appropriate educational background. At least 2 women in PMU,3 women in entire PIUs, 3 women in PMC and 3 women each DSC Provisions for the employment of at least 25% women in O&M are included in subproject contracts

83 GOVERNMENT OF UTTARAKHAND Urban Development Department Asian Development Bank UTTARAKHAND URBAN SECTOR DEVELOPMENT INVESTMENT PROGRAM (UUSDIP) ADB Loan No IND QUARTERLY PROGRESS REPORT for Quarter Ending Sept 2016 (QTR III) Report No. 37 Investment Program Management Unit

84 Contents Contents Executive Summary... 3 Key Persons Involved in the Program... 4 Loan Processing History 2797-IND... 6 Program Overview... 7 A. Program Area and Location...7 B. Program Objectives and Scope...7 C. Multi-Tranche Financing Facilities...8 D. Project 2 Description...8 E. Overview...10 Table 3: Subproject Progress at a Glance in Tranche G. Procurement Status of Subprojects...12 K. Contract Execution Progress Summary...17 Table 4: Contract Execution Progress Summary Program Performance Management and Evaluation L. Overview...19 M. Work Progress...20 N. PPMS Reports...20 Status of Project Inputs and Activities VII. Financial Progress by Loan Accounts Status of Compliance with Covenants Major Issues and Proposed Actions Exhibit 3: Major Issues and Proposed Actions - Tranche Appendix Annexure... 36

85 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Executive Summary Costs Contribution In USD Million In INR Million Program Total Estimated Cost ADB Loan Component GoU Contribution Project 2 Total Estimated Cost ADB Loan Component GoU Contribution Project 2 Progress at a Glance Number of Subprojects Value (INR Million) Garhwal Region Subprojects in Execution Subprojects Contract Awarded - - Subprojects Tender Floated Subproject Completed Kumaon Region Subprojects in Execution Subprojects Contract Awarded - - Subprojects Tender Floated Subproject Completed Total Subprojects Expenditure Status Reimbursement Status Cumulative Expenditure up to the end of current quarter Expenditure Forecast for the next quarter Reimbursement claims forwarded to ADB during the current quarter INR million INR 100 million INR million Note : Currency Conversion rate 1USD = 65.5 INR Investment Program Management Unit (IPMU) Page 3

86 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Key Persons Involved in the Program ADB India Resident Mission Country Director : Mr. Hun Kim Project Officer : Mr. Saugata Dasgupta sdasgupta@adb.org Project Analyst - Consultant : Mrs.Shalini Patwal spatwal.consultant@adb.org Address : 4 San Martin Marg Chanakyapuri New Delhi India Facsimile : +91 (11) Telephone : +91 (11) Website : Executing Agency Urban Development Department, Government of Uttarakhand Minister : Mr. Pritam Singh Panwar Secretary : Mr. D.S. Garbiyal, IAS Address : Secretariat, 4 Subhash Road Dehradun, Uttarakhand Facsimile : +91 (135) Telephone : +91 (135) Investment Program Management Unit Program Director : Dr. V. Shanmugam, IAS Deputy Program Director : Mr. Ravi Pandey Address : IPMU, UUSDIP, 777, Saatvik Tower, Rajendra Nagar, Kaulagarh Road, Dehradun Uttarakhand, India. Facsimile : +91 (135) Telephone : +91 (135) Investment Program Management Unit (IPMU) Page 4

87 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Investment Program Implementation Unit- Dehradun Project Manager : Mr.Vinay Mishra Address : IPMU, UUSDIP, 777, Saatvik Tower, Rajendra Nagar, Kaulagarh Road, Dehradun Uttarakhand, India. Telephone : +91 (135) Investment Program Implementation Unit-Nainital Project Manager : Mr. Durgesh Pant Address : Neel Kanth Guest House, PilGrim Lodge Compound, Mallital, Nainital Telephone : +91 (135) Investment Program Implementation Unit-Roorkee Project Manager : Mr. Vijay Kumar Address : 1st Floor, West Wing, Irrigation Design Building, Canal Road, Roorkee Telephone : +91 (135) Investment Program Implementation Unit-Ram Nagar Project Manager : Mr. Durgesh Pant Address : Kotdwar Road, Lakhanpur, Parvatiya Sabha, Ramnagar Telephone : +91 (5947) Investment Program Management Unit (IPMU) Page 5

88 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Loan Processing History 2797-IND (i) (ii) (iii) (iv) Date of First Listing Approval Project Agreement Date Project Completion Date 11 October November January January 2018 Investment Program Management Unit (IPMU) Page 6

89 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Program Overview A. Program Area and Location 1. The Uttarakhand Urban Sector Development Investment Program (UUSDIP) covers thirty one Program towns comprising of one Nagar Nigam (Municipal Corporation) in state capital Dehradun, 25 Nagar Palika Parishads and 5 Panchayat Parishads. The combined population of these Program towns is 2.9 million as per 2001 census. The location Map of Program towns is displayed in Appendix 1. B. Program Objectives and Scope 2. The primary objective of the Investment Program is to improve the quality of life of the urban residents of Uttarakhand. The expected outcome of the Investment Program is to increase the access to better quality urban infrastructure and services to the 3.8 million people projected to be living within the 31 Program towns by It is also expected that the Investment Program will enhance the quality of services and experience enjoyed by more than 8 million tourists and pilgrims who visit the Program towns annually 3. The Program comprises as follows: 4. Part A The urban infrastructure improvement covers the improvement and expansion of the following ULB infrastructure and services: Water Supply System, Waste Water management Solid Waste Management Slum Upgrading Roads & traffic management 5. Part B This part is designed for institutional development and capacity building of the urban local bodies service providing agencies in implementation, operation, maintenance and management of the assets built under the Program and delivering high quality services in a sustainable manner. This generally covers: (i) Financial and institutional reforms, (ii) Procurement of works, goods and services, (iii) Implementation and quality control, (iv) Private sector participation, (v) Awareness building in regard to solid waste management, environmental and social safeguards, protection of assets and participation in Program sustainability, (vi) Preparation of solid waste strategy and master plan, and (vii) Preparation of state slum policy. Investment Program Management Unit (IPMU) Page 7

90 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III Part C Program implementation assistance. IPMC will support to the Investment Program Management Unit (IPMU) at state-level and Investment Program Implementation Unit (IPIU) at Program level and sub-ipiu each town level in technical, financial, social and other activities immediately related to implementation of the Program. 7. The Program is divided into four Projects to be executed under four tranches in Multi-tranche Financing Facility (MFF) of ADB that will be implemented by IPMU with technical and management assistance of IPMC in an eight years period. The Program is expected to be completed by The proposed ADB loans under the MFF will finance civil works, equipment, consulting services, and capacity building costs. GOI has the option to choose between eligible currencies and interest rate regimes for each loan. Table 1 shows the financing plan. Table 1: Financing Plan ($ million) Source Total % Asian Development Bank Government of Uttarakhand Investment Program Total C. Multi-Tranche Financing Facilities 9. The GoI has requested financing up to an equivalent of $350 million from ADB s ordinary capital resources to help finance part of the Investment Program. The financing will be provided as a Multi Tranche Financing Facilities (MFF) in accordance with ADB policy. The MFF will extend multiple loans to finance a range of appropriate subprojects under the Investment Program, subject to submission of a related periodic financing request (PFR) by GoI and execution of the related loan and Program agreements. The GoI has entered into a Framework Financing Agreement (FFA) with ADB. In this process the entire ADB loan of $ 350 million for total investment of $ 500 million will be available in four tranches for which GoI will forward separate PFR for each tranche. The first PFR in an amount of $60 million of ADB loan and a total cost of $85.7 million to be invested in three major towns of Dehradun, Haridwar and Nainital are shown below. Similarly in Tranche-II, Tranche -III and Tranche-IV the ADB loan sizes are envisaged to be $ 55 million, $ 102 million and $ 133 million respectively against investments of $78 million, $ 146 million and $190 million. D. Project 2 Description The Project 2 will be executed under Tranche II and the financing will be provided as a MFF in accordance with ADB policy. The proposed Project 2 will supplement the efforts of implementing water supply and waste water management in Dehradun and Nainital, improve the water and sewerage infrastructure in Haldwani, Roorkee and Ramnagar, and assist the Uttarakhand Jal Sansthan (UJS, an autonomous organization1 for the water and sewerage operations), the owners of such infrastructure, in improving financial management to ensure sustainable O&M. Project 2 will support investment program management and subproject implementation by financing the operational cost of the investment program management unit (IPMU) and the project implementation units (PIUs) for project 2 implementation. Investment Program Management Unit (IPMU) Page 8

91 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Project 2 will support engagement of a firm of chartered accountants for preparation of audited accounts to demonstrate PMU and PIU s transparency, and to ensure timely compliance with the requirements for annual project account audit under the loan agreements. The cost of the Project 2 is currently estimated to be US$ Million. ADB has agreed to finance, through a loan, US$ 100 Million of the eligible portion of the portion of the project cost and the remaining cost shall be financed by Government of Uttarakhand. Details of the estimate of total sources and applications of funds for the project are shown in Table 2a. Table 2a : Detailed Cost Estimates by Outputs/Financier ($ million) ADB Government Total Items a Amount % financing Amount % financing Tax % financing Amount % financing E. Investment Costs Civil Works % % % % Equipment % % % % Consultants % % % % a. Project % % % % Management b. Capacity % % % % Development Environment and % % % % social mitigation Survey % % % % Subtotal (A) % % % % F. Recurrent Costs b Project % % % % management and implementation Subtotal (B) % % % % G. Contingencies Physical % % % % Price % % % % Subtotal (C) % % % % H. Financing Charges During Implementation c Interest During % % % % Implementation Commitment % % % % Charges Subtotal (D) % % % % Total Project Cost (A+B+C+D) % % % % Investment Program Management Unit (IPMU) Page 9

92 Implementatio n Procurement Design Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 E. Overview Subprojects Status 10. There are thirteen subprojects identified in Project 2 to be executed under Tranche II. Out of thirteen subprojects, five supply subprojects would be executed in Dehradun, two water supply subprojects and two waste water management subprojects in Roorkee town under Garhwal region, two water supply subprojects in Nainital, one water supply subproject in Haldwani, and one water supply subproject in Ramnagar town would be implemented under Kumaon region. The subproject progress at a glance is shown in Table 3. Table 3: Subproject Progress at a Glance in Tranche 2 Subproject Code Name Town Major Stages Water Supply System (WSS) WSS05DN WSS06DN WSS07DN WSS08DN WSS14DR WSS01DR WSS01RK WSS05NL Supplying, Laying, Jointing, Testing & Commissioning of clear water transmission and feeder mains from various clear water Reservoir to Over Head Tanks Design, Construction, Commissioning, Operation and Maintenance of Intake works, Water Treatment Plant, Rehabilitation and up gradation of existing water treatment plant in Dehradun Water Supply Distribution System for 19 Zones (Zone 4b, 15, 20, 22, 27, 17, 23,26,33, 34,35,36, 3,5,11,12,13,14&41) in Dehradun(Clubbing 7,9&10) Supplying, Laying, Jointing, Testing and Commissioning of Raw Water Gravity Main from Massi falls up to Shehenshai Ashram Water Treatment Plant Dehradun Construction of Tubewells in Dehradun & Roorkee Supplying and installing of domestic water meters covering all Domestic & commercial connections in Dehradun Water Supply Distribution system of Roorkee Town Providing, Laying & Jointing of Distribution Mains including fitting, fixing of specials, Dehradun Dehradun Dehradun Dehradun Dehradun & Roorkee Dehradun & Roorkee Roorkee Nainital C C C C C C C C C C C C C C Investment Program Management Unit (IPMU) Page 10

93 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 valves, etc. and construction of chambers and Providing House connections in Nainital Supply and installation of water meters covering Nainital WSS06NL all domestic and commercial connections in the town WSS07NL WSS08NL WSS01HL WSS01RM Automation of all pumping plants, sluice valves with GSM based SCADA system Design, Supply, Construction, Testing & Commissioning of water Softening Plant including Mechanical, Electrical equipments & Civil works Procurement of work for Design, Supply and Construction of Over Head Service Reservoirs and connecting Rising Mains with appurtenant works different locations at Haldwani Town (WSS01HL) Augmentation and Reorganization of water supply scheme at Ramnagar Nainital Nainital Haldwani Ramnagar C C C C Waste Water Management(WWM) WWM01RK Sewerage system for Amber Talab Area and Ram C C Nagar Area, Roorkee Roorkee WWM02RK Construction of 33 MLD Sewerage Treatment C C Plant in Roorkee. Roorkee WWM03RK Sewerage system for Ganeshpur Area Roorkee Roorkee C C WWM04RK Sewerage system for Amber Talab,Purani Tehsil of Roorkee Roorkee C C Investment Program Management Unit (IPMU) Page 11

94 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 F. Design Status of Subprojects 11. There following subprojects are in design stage under Tranche 2. S. N. Subproject Description and Code 1 Supply and installation of water meters covering all domestic and commercial connections in the town (WSS06NL) Allocated Amount (Incl. tax) INR(M) Work Progress 82 TBER sent to ADB for approval; Financial proposal shall be opened after receiving consent from ADB G. Procurement Status of Subprojects 12. The following subprojects under Tranche 2 are in procurement stage. S. Subproject Description and Allocated Work Progress N. Code Amount (Incl. tax) INR(M) Roorkee Town 1 Construction of Tube wells and Pump Houses along with all Electromechanical works in Dehradun (WSS14DN) 2 Construction of Tube wells and Pump Houses along with all Electromechanical works in Roorkee (WSS04RK) 3 Supplying and installing domestic water meters at Nainital (WSS 06NL) 64 IFB published on BIDS opening date Evaluation under process 60 IFB published on BIDS opening date Evaluation under process 82 TBER sent to ADB for approval; Financial proposal shall be opened after receiving consent from ADB 4 Supply & Installation of Domestic Water Meters in Dehradun & Roorkee. (WSS01DR ) 520 IFB published on BIDS opening date Investment Program Management Unit (IPMU) Page 12

95 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Timelines of various stages of Subprojects Procurement 13. The Plan vis-à-vis Actual Timelines of various stages of Subprojects Procurement is displayed in Appendix 3 I. Implementation Status of Subprojects 14. The status of subprojects under Tranche I entered into the implementation pipeline are shown below: S. No. Subproject Description and Code 1 Supplying, Laying, Jointing, Testing & Commissioning of clear water transmission and feeder mains from various clear Water Reservoir to Over Head Tanks. (WSS05DN) Design, Construction, commissioning, Operation and Maintenance of Intake works, water treatment plant, Rehabilitation and up gradation of existing water treatment plant in, Dehradun.(WSS06DN) Contract Work Progress Amount (INR M) Date of start is 2nd May Procured DI Pipes: kms Laid DI Pipes: kms Tested DI pipes: kms Thrust Block Constructed: 99 This Month: Sluice Valve Fixed: 1 RCC Sluice Valve Chambers: Testing of 150 dia. line: M at DL Road Till date: RCC Sluice Valve + BWM Chambers: 2 RCC Fire Hydrant chambers: 2 RCC Sluice Valve Chambers: 12 RCC Air valve chambers: 8 RCC Scour valve chambers: Galgogi intake (overall-90%) Purkalgram WTP(New Work)(Overall- 85%) Purkulgram-10MLD Softening plant (New Work)(Overall-85%) Shahenshahi Ashram WTP(Rehabilitation Work) (95% Completed) Shahenshahi Ashram WTP(New Work)(Overall - 95%) Dilaram Bazar WTP(20MLD) (Rehabilitation Work) (Overall-85%) Dilaram Bazar WTP (20MLD) (New Work)(Overall - 90%) Dilaram Bazar WTP(7.5 MLD) (New Work) (Overall-85%) Investment Program Management Unit (IPMU) Page 13

96 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 S. No. Subproject Description and Code Work Progress Water Supply Distribution System for 19 Zones (Zone4b,15,20,22,2717,23,26,33,34,35,36, 3, 5, 11,12,13,14 &41) in Dehradun (WSS07DN) 2 Supplying, Laying, Jointing, Testing and Commissioning of Raw Water Gravity Main from Massi fall up to Shehenshai Ashram Water Treatment Plant Dehradun (WSS08DN) 4 Water Supply Distribution system of Roorkee Town. (WSS01RK) Sewerage system for Amber Talab Area and Ram Nagar Area Roorkee (WWM01RK) Contract Amount (INR M) Date of start is Supply Km Laid : 81 Km Tested:65 Km House Service Connections:6500Nos 24.9 Agreement signed on Procured MS Pipes: m Laid MS Pipes: m Tested MS Pipes: m CI Valves Fixed: 7 Nos Thrust Blocks Constructed:66 Nos Pre-Commissioning done on Package is Physically Completed Completion certificate issued. Date of start is 15 th May Supply-183.3Km Laid: Km Tested: Km New OHSR (5 Nos) Rehabilitation of Existing OHSR (3 Nos) Agreement signed on Construction Drawings submitted to PIU for issuance to the Contractor. Confirmatory Survey completed by the Contractor. NGT has given permission on 19th July Procurement of 33MLD STP (SBR), SPS Ganeshpur (12.5 MLD): SPS at Mahigarn & Ganeshpur on Well sinking up to 13.6M completed Design, Supply, installation, Operation and Plugging also completed. Bottom and Maintenance for 5 Years with slab of inlet chamber casted, injection necessary Rising main and Gravity main grouting completed. at Roorkee (WWM02RK) Rising Main from Ganeshpur SPS to BSM chowk: Rising Main 400mm DI pipe from Ganeshpur SPS to Malviya Chowk completed with Road Restoration. (635 RM) NGT has given permission as on 19th July Gravity Main from BSM Chowk to Mahigran SPS: Construction drawings approved by PIU. QAP for RCC has approved by PIU. SPS Mahigran (32.2 MLD): Boundary wall (16m) of North side Investment Program Management Unit (IPMU) Page 14

97 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 S. No. Subproject Description and Code Work Progress Sewerage system for Ganeshpur Area Roorkee (WWM03RK) Sewer Network in Amber Talab, Purani tehsil, Matawala Bagh, Anaaj Mandi, Purvi Deendayal, Old Railway Road, Chaw Mandi Sainik Colony of Rookee. (WWM04RK) 6 Construction of Over Head Service Reservoirs and connecting Rising Mains with appurtenant works different locations at Haldwani Town. (WSS01HL) Contract Amount (INR M) completed. Third lift with cutting edge for Wet Well completed. 63 No's micro piles and capping work completed. Excavation work is in progress for wet wall sinking. Rising Main from Mahigran SPS to STP: Variation of 700 Dia. DI pipe has been observed due to change of location of STP land. Rate has been approved of variated quanity. Laying of 700mm Dia DI Pipe on non BT portion along NH-73 completed 2277 RM out of 3800 RM. Hydro testing work for RM completed.. 33 MLD Sewage Treatment Plant: Design and Drawing of Boundary wall has submitted by contractor for approval and DSC-1 has commented on that. Plastering for Boundary wall of Dumping yard side has been completed. Drawing for East side compound wall has been submitted by contractor and 300RM has been approved. East side compound wall- 300M completed. Pile Testing -Second Time completed. Environmental(Monitoring)Testing has been performed at STP, Mahigran SPS Price Bid opened on Evaluation completed.fber submitted on LOA issued on Agreement to be signed. NGT has given permission on 19th July Agreement signed on Construction Drawings submitted to PIU for issuance to the Contractor. Confirmatory Survey completed by the Contractor. NGT has given permission on 19th July 2016 Design & drawings approved for 16 nos OHT s Work completed up to i. 16 Nos OHSR's completed. ii. 16 Nos OHSR's commissioned. Investment Program Management Unit (IPMU) Page 15

98 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 S. No. Subproject Description and Code Work Progress 7 Providing, Laying & Jointing of Distribution Mains Including Fittings, Fixing of Specials, Valves etc. and Construction of Chambers and Providing House Connections in Nainital. (WSS05NL) 8 Augmentation and reorganization of water supply scheme at Ramnagar. (WSS01RM) Contract Amount (INR M) iii. 15 Nos OHSR's being handed Over. iv Kms pipe line laid and Kms tested v. NH Crossing 4 Nos. completed vi. 3 Nos. at Gola pump house installed and commisioned and ready for handover. vii. 4 Nos. Pumps at Shishmahal & 4 Nos. Pumps at Khandelwal park pump houses handed over to UJS. Confirmatory survey completed. Supply Km. pipe Laid Km pipe Tested Km pipe 42Nos. Pressur valves supplied,29 Nos installed. 16 nos out of 19 Nos sones commisionned. Construction of pipe support thrust.anchor blockes in progress. Construction of 1 No. 11 MLD WTP at Kosi River:Civil work completed & Finishing work in progress. Construction of 4 OHSR's:Finishing work in progress for 2 Nos OHSR's at Tehsil., work in progress in two other sites. Construction of Raw water intake well and raw water sump of 25 MLD: Intake well & connecting bridge completed,finishing work in progress. Construction of Infiltration well 10 MLD : Handed over to UJS, Ramnagar. Gravity main of 11 KM:Supply of 16 KM,10.25 KM laid. Investment Program Management Unit (IPMU) Page 16

99 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Timelines of various stages of Subprojects Implementation 15. The Plan vis-à-vis Actual Timelines of various stages of Subprojects Implementation is displayed in Appendix 4. J. Subprojects Implementation Schedule and Progress The subprojects implementation schedule and work progress of all subprojects approved by ADB is displayed in Appendix 5. K. Contract Execution Progress Summary 16. The contract execution progress summary is shown in the Table 4. Table 4: Contract Execution Progress Summary Sr. No. PCSS Numbers/Contract Number (very brief description of nature of works, supply, assignments) 1 UUSDIP/CA 02/05/13-15 Supplying, Laying, Jointing, Testing & Commissioning of clear water transmission and feeder mains from various clear water Reservoir to Over Head Tanks. (WSS05DN) 2 Supplying, Laying, Jointing, Testing & Commissioning of Raw Water Gravity Main from Massi falls up to Shehenshai Ashram Water Treatment Plant. Dehradun. (WSS08DN) 3 UUSDIP/CA 15/05/13-15 Water Supply Distribution system of Roorkee Town. (WSS01RK) Contract Award U S D Mill IN R Millio n Disbursement Cumulative USD Million INR Million Reporting Qtr Progress Cumulative Progress Physic al Financial Physical Financial % 3.27% 70.4% 45.6% % 0% 100% 100% % 0.91% 91% 69.15% Investment Program Management Unit (IPMU) Page 17

100 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III UUSDIP/ % 4.75% 84.00% 66.71% Design, Construction, commissioning, Operation and Maintenance of Intake works, water treatment plant, Rehabilitation and up gradation of existing water treatment plant in, Dehradun.(WSS06DN) 5 UUSDIP/ % 1.22% 13% 12.97% 6 Construction of 33MLD Sewerage Treatment Plant of Roorkee.(WWM02RK) ) UUSDIP/NCB/ % - 100% 97.21% Construction of Over Head Service Reservoirs and connecting Rising Mains with appurtenant works different locations at Haldwani Town (WSS01HL) 7 UUSDIP/NCB/ % 90.65% Providing, Laying & Jointing of Distribution Mains Including Fittings, Fixing of Specials, Valves etc. and Construction of Chambers and Providing House Connections in Nainital. (WSS05NL) 8 UUSDIP/NCB/ % % % Augmentation and reorganization of water supply scheme at Ramnagar. (WSS01RM) 9 UUSDIP/NCB/ % 0% 0.84% 10% Procurement of works for supplying, laying, testing and commissioning of Water Supply system for 19 Zones (3, 4B, 5, 11, 12, 13, 14, 15, 17, 20, 22, 23, 26, 27, 33, 34, 35, 36, 41) in Dehradun. Note : Currency Conversion Rate : 1 USD = INR 17. The detailed report on Contract Execution Monitoring Sheet is shown in the Annexure 1 and individual Contract Management Performance Sheet is shown in the Annexure 2. Investment Program Management Unit (IPMU) Page 18

101 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 L. Overview Program Performance Management and Evaluation 18. The State Government through EA is providing ADB the quarterly progress reports on Program implementation informing ADB of the overall progress of MFF and the implementation progress of ongoing individual loans. The IPMU with the support of IPMC shall be responsible for obtaining and consolidating relevant information from the IPIUs and DSCs. The progress reports will describe physical progress, details of any modification required to the Program implementation schedule, problems encountered, and an outline of the work in the ensuing quarter. The report will also provide a summary of the financial accounts for the Program, consisting of expenditure during the quarter, year-to-date expenditure during the quarter, year-todate expenditure, and expenditure to date. 19. The State through the EA shall ensure that a Program Performance Management System (PPMS) satisfactory to ADB is established. IPMU with the help of IPMC will establish performance indicators, baseline values for each of the selected indicators and will conduct annual surveys to update the baseline values. The PPMS will track the Investment Program, as well as Projects and Subprojects implementation activities, target dates, expected inputs, impacts, outcomes and outputs against each indicator to monitor and evaluate the performance of the Investment Program, the Projects and Subprojects. 20. The responsibility for ensuring that the Program Performance Management System (PPMS) is established and undertaken rests with the IPMU. The PPMS has numerous categories of monitoring, corresponding to the development activities and representing the direct and indirect outcomes expected from the Program. The PPMS also defines the responsibility for monitoring, recording and reporting. Certain tasks will be outsourced to external contractors; others form part of the routine reporting from the IPIUs at the town level to the state level IPMU. The indicators to be monitored have been formulated and discussed with IPMU, they include: physical progress for infrastructure works, institutional development and capacity building, impact assessment indicators. 21. The IPMU will conduct initial baseline physical and socio-economic surveys and submit a detailed implementation plan for monitoring performance and for preparing benchmarking information for ADB s review and concurrence within 6 months of loan effectiveness. Thereafter, the IPMU will submit quarterly monitoring and evaluation reports to ADB throughout the implementation. Investment Program Management Unit (IPMU) Page 19

102 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 M. Work Progress 22. The Special Project Administration Mission during April 2010 requested UDD, to (i) develop PPMS selecting a set of physical indicators relating to physical implementation, physical improvements, socio-economic, institutional development and capacity building milestones; and (ii) establish baseline data for the selected indicators. They shared a sample PPMS format with UDD and advised Project officials to initiate the collection of baseline data. Once the baseline data is established, UDD will update the status of PPMS indicators on a monthly basis and will send to ADB as an attachment to the Quarterly Progress Report. 23. The IPMU with the help of IPMC has established the Program Performance Management System (PPMS). The MIS Expert with the help of subject experts has initiated the identification of the physical performance indicators started with water supply and waste water management components. The subproject wise indicators of both the components are being identified at the input, output and outcome levels as subprojects of both the components would be executed in Tranche I. Thereafter the indicators for other components are to be identified gradually according to the priority of their physical execution. N. PPMS Reports 24. The Project Implementation Progress of Project 1 is displayed in Annexure 3. The PPMS report on Monitoring and Evaluation of Input Indicators (Implementation Arrangement and Recruitment Consultants) of Project 1 is shown in the Annexure 4. The PPMS report on Monitoring and Evaluation of Input Indicators (Procurement) of Project 1 is shown in the Annexure 5. The PPMS report on Monitoring and Evaluation of Input Indicators (Others) of Project 1 is shown in the Annexure 6. The PPMS report on Monitoring and Evaluation of Output Indicators (Works) of Project 1 is shown in the Annexure 7. The PPMS report on Monitoring and Evaluation of Outcome Indicators (Water Sector) of Project 1 is shown in the Annexure 8. The PPMS report on Monitoring and Evaluation of Outcome Indicators (Sewerage Sector) of Project 1 is shown in the Annexure 9. The PPMS report on Monitoring and Evaluation of Outcome Indicators (SWM Sector) of Project 1 is shown in the Annexure 10. The impact of the project 1 on the investment Program is shown in Annexure 11. The status of Achieving output of project 1 is shown in Annexure 12. The status of gender Indicators is shown in Annexure 13 Investment Program Management Unit (IPMU) Page 20

103 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Status of Project Inputs and Activities Inputs/Activities Status Remarks 1.1 Water supply infrastructure rehabilitated and constructed in Dehradun, Nainital, Haldwani, Ramnagar and Roorkee Subproject land identified and transferred as required (Q Q1 2012) Detailed engineering designs prepared (Q Q3 2011) Completed Completed Bid documents prepared (Q3 2011) Completed and approved by ADB Assets constructed (Q Q4 2014) Systems commissioned (Q4 2014) Contract awarded for WSS05DN, WSS01RK and WSS01HL. Work in progress for WSS01HL Systems operated (from Q1 2015) 1.2 Sewerage infrastructure rehabilitated and constructed in Roorkee and designed in Ramnagar Additional surveys undertaken in Ramnagar (Q Q3 2012) Ramnagar subproject feasibility study finalized (Q3 2012) Subproject land identified transferred as required in Ramnagar. (Q3 2012) Subproject land identified and transferred in Roorkee. (Q Q1 2012) Detailed engineering design prepared for Roorkee (Q Q3 2011) Assets constructed for Roorkee (Q Q4 2015) Completed Concept note and DPR prepared for Sewerage system in Ramnagar Land has been identified for STP and GO has been issued by GoUK FBER is forwarded to ADB for final approval for WWM01RK and Contract awarded and Work in progress for WWM02RK System commissioned in Roorkee (Q4 2015) System operated in Roorkee (from Q1 2016) Investment Program Management Unit (IPMU) Page 21

104 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Inputs/Activities Status Remarks 2 Performance of water supply operations improved in Nainital Operations consultants selected. (Q Q4 2012) 2.2 Additional O&M staff fielded by operations consultants (Q1 2013) 2.3 O&M manual prepared by operations consultants (Q Q2 2013) IPMC has reported that 24/7 O & M is infeasible through PPP in view of the high costs Technical water loss identified and managed (Q Q4 2015) 2.5 OJT of ULB staff provided by operations consultants (Q Q4 2015) 3 Subprojects managed on time within budget with improved transparency and safeguards compliance. 3.1 Additional PIU field office established (Q Q4 2011) 3.2 Works contracts procured and administered (Q Q4 2015) 3.3 Project 2 PPMS developed by PMC and DSC (Q4 2011) 3.4 Project website revamped by PMU (Q2 2016) 3.5ADB deputy country director reviwed project progress during his visit in PIU Roorkee has been established on 17- June-2013 PIU Ramnagar has been be setup in Q out of 13 Workpackages awarded. Evaluation of 02 packages amounting to $34 Million is under progress Project website is revamped. Notifications for bids and Work progress posted on the website Investment Program Management Unit (IPMU) Page 22

105 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 VII. Financial Progress by Loan Accounts A B C D E Allocated in Loan Cumulative Performance in Cumulative till the current Balance in Loan Quarter Up to the last Quarter July-Sept 2016 (B+C) (A-D) Contract Award ($) Disbursement ($) Civil works 652,69, ,69, Equipment 127,81, ,81, Surveys 2,23, ,23, Consulting Services 5 Project Management & Implementation 6 47,70, ,70, ,02, ,02, Unallocated 117,55, ,55, Contract Award ($) Disburseme nt ($) 277,27, ,86, Contract Award ($) ,27, Disbursem ent ($) 13,26, Contract Award ($) Disburseme nt ($) 110,13, ,27, Contract Award ($) Disburseme nt ($) Sub Total 1000,00, ,00, Note : Currency Conversion rate 1USD = INR 277,27, ,14,

106 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Status of Compliance with Covenants Covenants Items Implementation Arrangements 1. The Borrower and the State shall ensure that the Project is implemented in accordance with the detailed arrangements set forth in the PAM. Any subsequent change to the PAM shall become effective only after approval of such change by the State and ADB. In the event of any discrepancy between the PAM and this Loan Agreement, the provisions of this Loan Agreement shall prevail. Counterpart Support 2. (a) The Borrower shall make available to the State the proceeds of the Loan, in a timely manner, in order for the timely implementation of the Project; (b) The State through UDD shall make available the Loan proceeds to the UUSDA under appropriate arrangements acceptable to ADB, and ensure that: (i) sufficient counterpart funds from its budget for each fiscal year are made available in a timely manner; and (ii) adequate funds are provided, through budgetary allocations or other means, to meet any shortfall between costs of, and revenue from, operations and maintenance of Project facilities. (c) The State shall ensure that Project funds are utilized effectively and efficiently to implement the Project and achieve its objectives. Operations and Maintenance 3. Upon finalization of the operations and maintenance manuals to be developed under the Project, the State through UDD shall ensure that operations and maintenance of the water supply system in Nainital is carried out in accordance with these manuals. Subproject Selection Criteria 4. The State through UDD shall: (a) ensure that Subprojects are selected and processed for approval, in accordance with the criteria and procedures included under Schedule 4 to the FFA, and in particular, to the subsector specific criteria set out in Section C of Schedule 4 to the FFA, to the satisfaction of ADB; and (b) post the procurement documents, the criteria for Subproject selection and details of sanctioned contracts/subprojects on the Investment Program website. Compliance Status Complied with. Complied with Being complied with. Ongoing Complied with Responsible Agency UUSDIP UUSDIP UUSDIP UUSDIP Investment Program Management Unit (IPMU) Page 24

107 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Gender and Development 5. The State shall ensure that (a) the Gender Action Plan is fully implemented and monitored in a timely manner in accordance with its terms, related regulations of the Borrower, and the principles of ADB's Policy on Gender and Development (1998) and adequate resources are allocated for this purpose; (b) local stakeholders participate in each Subproject through implementation of the Gender Action Plan; and (c) semi-annual progress on the implementation of the Gender Action Plan are prepared and in achieving the Gender Action Plan targets are reflected in the semiannual progress reports and Project completion report. Governance and Institutional Matters 6. The State shall ensure that (a) each of the reform measures listed in the Urban Governance, Finance, and Service Delivery Improvement Action Plan set out in Schedule 1 to the FFA, are implemented in accordance with the time frame set against the relevant measure; and (b) by 31 March 2014 (i) a small regulatory unit is established within the Department of Drinking Water Supply; and (ii) accounts relating to urban water supply are ring fenced from accounts relating to rural water supply. 7. The State through UDD shall ensure that (a) the PMU makes information on Project scope, implementation progress, expected service delivery standards and Project related accounts available on its website; (b) the PMU announces each Subproject, business and consulting opportunity associated with the Project on its website; and (c) on its website, the PMU discloses the following information in connection with any Goods or Consulting Services procured for a Subproject (i) the list of bidders; (ii) the identity of the successful bidder; (iii) the contract amount; and (iv) the Goods or Consulting Services procured 8. The State shall ensure that contractual documents under any public-private partnership modality are provided to ADB for review and approval, prior to their use in any Subproject. 9. Towards smooth implementation of the Project, the State through UDD shall ensure that grievances, if any, from stakeholders, relating to Subproject implementation or use of funds, are addressed effectively and efficiently. Being complied with To be done Complied with Complied with Complied with Investment Program Management Unit (IPMU) Page 25

108 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Environment 10. The State through UDD shall ensure that the preparation, design, construction, implementation, operation and decommissioning of the Project, each Subproject and all Project facilities comply with (a) all applicable laws and regulations of the Borrower and the State relating to environment, health, and safety; (b) the Environmental Safeguards; (c) the EARF; and (d) all measures and requirements set forth in the respective IEE/EIA and EMP, and any corrective or preventative actions set forth in a Safeguards Monitoring Report. 11. The State shall ensure that no Subprojects which encroach any national parks or their buffer zone are included in the Project; except that Subprojects in or close to wild life sanctuaries or other environmentally sensitive areas may be allowed subject to the State obtaining any and all necessary statutory clearances. 12 The State shall ensure that no Works contract for a Subproject which involves environmental impacts is awarded until the relevant provisions from the EMP have been incorporated into the Works contract. Land Acquisition and Resettlement 13. The State shall ensure that all land and all rights-ofway required for the Project, each Subproject and all Project facilities are made available to the Works contractor in accordance with the schedule agreed under the related Works contract and all land acquisition and resettlement activities are implemented in compliance with (a) all applicable laws and regulations of the Borrower and the State relating to land acquisition and involuntary resettlement; (b) the Involuntary Resettlement Safeguards; (c) the RF; and (d) all measures and requirements set forth in the respective RP, and any corrective or preventative actions set forth in a Safeguards Monitoring Report. 14. Without limiting the application of the Involuntary Resettlement Safeguards, the RF or the RP, the State shall ensure that no physical or economic displacement takes place in connection with the Subprojects until: (a) compensation and other entitlements have been provided to affected people in accordance with the RP; and Being Compied with Being complied with Complied with Complied with No land acquisition involved, hence no resettlement issues (b) a comprehensive income and livelihood restoration program has been established in accordance with the RP. Investment Program Management Unit (IPMU) Page 26

109 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III The State shall ensure that no Works contract involving involuntary resettlement impacts for a Subproject is awarded until the State has prepared and submitted to ADB the final RP for such Subproject based on the Subproject's detailed design, and obtained ADB's clearance of such RP. Indigenous Peoples 16. The State shall ensure that the preparation, design, construction, implementation and operation of the Project, each Subproject and all Project facilities comply with (a) all applicable laws and regulations of the Borrower and the State relating to indigenous peoples; (b) the Indigenous Peoples Safeguards; (c) the IPPF; and (d) all measures and requirements set forth in the respective IPP, and any corrective or preventative actions set forth in a Safeguards Monitoring Report. 17. The State shall ensure that no Works contract for a Subproject which involves impacts on indigenous peoples is awarded until the State has prepared and submitted to ADB the final IPP and obtained ADB's clearance of such IPP. Safeguards-Related Provisions in Bidding Documents and Works Contracts 18. The State through UDD shall ensure that all bidding documents and contracts for Works contain provisions that require contractors to (a) comply with the measures and requirements relevant to the contractor set forth in the IEE/EIA, the EMP, the RP and the IPP (to the extent they concern impacts on affected people during construction), and any corrective or preventative actions set out in a Safeguards Monitoring Report; (b) make available a budget for all such environmental and social measures; (c) provide the Borrower 22 Schedule 5 with a written notice of any unanticipated environmental, resettlement or indigenous peoples risks or impacts that arise during construction, implementation or operation of the Project that were not considered in the IEE/EIA, the EMP, the RP or the IPP; (d) adequately record the condition of roads, agricultural land and other infrastructure prior to starting to transport materials and construction; and (e) fully reinstate pathways, other local infrastructure, and agricultural land to at least their preproject condition upon the completion of construction. Safeguards Monitoring and Reporting Complied with Complied with Complied with Investment Program Management Unit (IPMU) Page 27

110 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III The State through UDD shall do the following: (a) submit semi-annual Safeguards Monitoring Reports to ADB and disclose relevant information from such reports to affected persons promptly upon submission; (b) if any unanticipated environmental and/or social risks and impacts arise during construction, implementation or operation of the Project that were not considered in the EIA/IEE, the EMP, the RP and the IPP, promptly inform ADB of the occurrence of such risks or impacts, with detailed description of the event and proposed corrective action plan; and (c) report any breach of compliance with the measures and requirements set forth in the EMP, the RP or the IPP promptly after becoming aware of the breach. Social Issues Complied with Complied with 20. The State through UDD shall ensure that civil works contracts under the Project follow all applicable labor laws of the Borrower and the State and that these further include provisions to the effect that contractors: (a) carry out HIV/AIDS awareness programs for labor and disseminate information at worksites on risks of sexually transmitted diseases and HIV/AIDS as part of health and safety measures for those employed during construction; and (b) follow and implement all statutory provisions on labor (including not employing or using children as labor and equal pay for equal work), health, safety, welfare, sanitation, and working conditions. Such contracts shall also include clauses for termination in case of any breach of the stated provisions by the contractors. Investment Program Management Unit (IPMU) Page 28

111 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Major Issues and Proposed Actions 25. Summarize the major problems and issues affecting or likely to affect implementation progress, compliance with covenants, and achievement of immediate development objectives shown in Exhibit 3. Recommend actions to overcome these problems and issues (e.g., changes in scope, changes in implementation arrangements, and reallocation of loan proceeds). Exhibit 3: Major Issues and Proposed Actions - Tranche 2 Major issues Action Taken Action Required with Time Frame Critical Staff PD from Government Fulltime Project Director appointed. Appointment of full time Dy. Fulltime Deputy Project Director Program Director has joined on Fulltime Finance Controller and 11 September Because of shortage of Finance Required AEs/JEs] should be in Personnel in the state, it is not place by end September 2013; possible to appoint full time Finance Controller. However the Government has posted one Finance Controller, who is also looking after the duties of other 02 departments. ADB Mission in June 2016 from 15 th The ADB mission visited from June to 24 th 15 th to 24 th of June Issues June, an agreed action of running bills clearance plan has been shared. procedure and suggestions etc. were discussed during the mission.an agreed action plan has been shared. Responsibilit y Investment Program Management Unit (IPMU) Page 29

112 Uttarakhand Urban Sector Development Investment Program Quarterly Progress Report Qtr III 2016 Appendix Appendix 1. Location Map of Program Towns Appendix 2. Plan vis-à-vis Actual Timelines of various stages of Subprojects Design Appendix 3. Plan vis-à-vis Actual Timelines of various stages of Subprojects Procurement Appendix 4. Plan vis-à-vis Actual Timelines of various stages of Subprojects Implementation Appendix 5. Subproject wise Work Program and Progress Appendix 6. Officials and Support Staffs Annexure Annexure 1. Contract Execution Monitoring Sheet Annexure 2. Individual Contract Performance Sheet Annexure 4. PPMS Input Level Status (Implementation Arrangement, Consultants Recruitment) Annexure 5. PPMS Input Level Status (Procurement) Annexure 6. PPMS Input Level Status (Others) Annexure 7. PPMS Output Level Status (Works) Annexure 8. PPMS Outcome Level Status (Water Sector) Annexure 9. PPMS Outcome Level Status (Sewerage Sector) Annexure 10. PPMS Outcome Level Status (SWM Sector) Annexure 11. Impact of the Project 1 of the Investment Program Annexure 12. Status of Achieving Output of Project 1 Annexure 13: Status gender Indicators Investment Program Management Unit (IPMU) Page 30

113 Government of Uttarakhand, Urban Development Department Asian Development Bank Uttarakhand Urban Sector Development Investment Program (UUSDIP) INVESTMENT PROGRAM MANAGEMENT UNIT Appendix 1 : Location Map of Program Towns Quarter III Period : July to Sept 2016 Reporting Month : Sept 2016

114 Appendix 1 : Location Map of Program Towns