Index. 14 Implementation, Monitoring, Evaluation & Reporting & MIS

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2 Index 1 Vision, Mission, Main Objectives, Scope : 3 2 Guiding Principles : 4 3 Coverage : 4 4 Sunset Clause : 4 5 Mechanism & Process : 4 6 Structure : 5 7 Scope & Role of NCF : 6 8 Focus Areas : 7 9 Major Ongoing CSR Programmes 7 10 Fund Allocation & Expenditure : 8 11 Planning & Implementation : 9 12 Broad Procedure for Consideration of Proposals : Guiding Principles for Selection of CSR initiatives : Implementation, Monitoring, Evaluation & Reporting & MIS : Annexures 14 Annexure I - Implementation Strategy : Annexure II - Monitoring & Evaluation Strategy : Annexure III - Focus Areas Details : Annexure IV - Major Ongoing CSR Programmes : Annexure V - Schedule-VII of Companies Act : Annexure VI Working Mechanism : Annexure VII - Guidelines for CSR Fund : 29 Allocation 21 Annexure VIII - Specific details required for examination of CSR proposals - Format : Annexure IX - Fund release pattern & : mechanism 23 Annexure X - Indicative Outlay linked Costs for 33 Baseline Survey, Monitoring & Evaluation, Impact Assessment of CSR initiatives 24 Annexure XI - Indicative Outlay linked Project 34 Management Cost 2

3 1.0 Vision To strive for excellence in promoting Sustainable Development and improvement in quality of life of surrounding communities through CSR initiatives, based on ethical, transparent, accountable and sound governance practices. 2.0 Mission To emerge as a responsible corporate leader in Sustainable CSR Initiatives through innovative partnerships/programmes, strategic collaborations and stakeholders engagement in order to promote inclusive community growth. 3.0 Main Objectives Ensure increased commitment at all levels in the organization, to operate its business in an economically, socially & environmentally sustainable manner, while recognizing the interests of all its stakeholders. To take up programmes directly or in partnership which benefit the communities in & around its work centres, in enhancing the quality of life & economic well-being of the local communities. To generate, through its CSR activities, goodwill and pride for NMDC among stakeholders and help reinforce a positive & socially responsible image of NMDC as a corporate entity. 4.0 Scope This Policy of CSR encompasses Formulation, Implementation, Monitoring, Evaluation, Documentation and Reporting of CSR activities taken up by NMDC anywhere in India. This Policy is intended to be in conformity with the provisions of Companies Act, 2013 and DPE Guidelines on CSR. In case of any contradiction between this policy and provisions of the Companies Act, the later shall prevail. Any new provision arising out of amendments to Companies Act, 2013 or Rules made there under or any new/amended DPE guidelines shall be construed to be a part of this policy. However, such new provisions shall be specifically incorporated in the policy appropriately. List of CSR activities specified in Schedule VII of Companies Act 2013 and NMDC s CSR projects is given as Annexures. 3

4 5.0 Guiding principles Corporate Social Responsibility is the Company s commitment to its stakeholders to conduct business in an economically, socially and environmentally sustainable manner that is transparent, accountable and ethical. In pursuance of the above objective, the Company shall comply with the Companies Act 2013 and the CSR Rules 2014 framed there under and will be guided by CSR Guidelines issued by DPE from time to time. 6.0 Coverage The geographical coverage of CSR activities would be spread across the Nation. However, preference for CSR spend shall be given to areas where NMDC s Projects are under operation. This Policy does not cover activities undertaken in pursuance of NMDC s normal course of business and also activities exclusively for benefit of NMDC s employees or their families which are being undertaken. 7.0 Sunset Clause This policy will be subject to review after a period of 3 years. During the currency of this policy, in case of any perceived conflict between the CSR Rules 2014 & the policy, due to any amendments to the CSR Rules, the former shall prevail in all circumstances. 8.0 Mechanism & Process Towards fulfillment of its commitments for CSR and implementation of its Policy for CSR, mechanism to be adopted is detailed in section

5 9.0 Structure The structure for consideration & approval of CSR initiatives and mechanism for focused & effective implementation of the CSR activities of the Company through NMDC CSR Foundation (NCF) is described hereunder: A three-tier structure, comprising of the Board, CSR & Sustainability Committee (Board level committee) of 3 or more Directors & headed by an Independent Director, and NCF officials headed by a CEO shall oversee the CSR agenda of the company. All proposals received will be examined by NCF and put up to the CSR & Sustainability Committee. The CSR & Sustainability Committee shall examine the proposals received along with recommendations from NCF & recommend to the Board, the activities to be undertaken by the Company. The decision regarding taking up CSR activities shall vest with the Board of Directors of NMDC within the ambit of Companies Act 2013 & CSR Rules Any activity undertaken by the delegated Authority shall have to be ratified by the Board of Directors. NCF will be responsible for implementing the approved CSR initiatives. The organizational structure and modalities of functioning of NCF shall be detailed in the operational manual of NCF. The CSR & Sustainability Committee shall review the progress of CSR initiatives implemented by NCF. Working Mechanism is given in Annexure VI. 5

6 9.1 Scope & Role of NCF After the CSR activities are recommended by the Board, NCF shall be responsible for all aspects of planning & implementation of the CSR initiatives of the Company. NCF shall also be responsible for baseline survey / need assessment to facilitate management decision on the requirement of the proposed initiative and its scope. NCF shall liaise with various stakeholders for proper planning and implementation of CSR initiatives. It shall hire services of Organizations / individuals on contract basis to expedite the process of planning, ensuring convergence with Govt. schemes, implementation, monitoring, evaluation, impact assessment, and shall be responsible for ensuring, stakeholder / community partnership to address the aspect of sustainability of the CSR programmes. NCF will also be responsible for putting in place & maintenance of MIS including data w.r.t. physical progress, financials, Output & Outcomes, along with documentary proof, generation of reports and periodic submission of the same to the CSR & Sustainability Committee. 6

7 10.0 Focus Areas Prime Focus Areas Employment enhancing Vocational Skills including Skill Up-gradation Drinking Water including integrated water shed development & Sanitation Promotion of Education- special Education in primary schools with special focus on Districts in which NMDC projects are located Health Rural Development Projects Ensuring Environmental Sustainability Sustainable Natural Resource Management Other Focus Areas Promoting gender equality and empowering women - Setting up Homes & Hostels for women and Orphans; Setting up Homes, daycare centre and such other facilities for senior citizens and measures for reducing inequalities faced by Socially and Economically backward groups Eradicating Hunger, Poverty & Malnutrition Reducing Child Mortality & Improving Maternal Health Promotion of Sports Detailed list of works under Focus areas is given Annexure III. Schedule VII is given in Annexure V Major Ongoing CSR Programmes Presently, NMDC is running various CSR programmes under different focus areas. Major ongoing CSR programmes are listed in Annexure-IV. Continuance, enhancement of coverage under the programmes will be based on need and availability of funds. All the Ongoing CSR programmes shall be monitored / evaluated. Based on the evaluation, the CSR & Sustainability Committee shall recommend continuance or otherwise. 7

8 12.0 Fund Allocation & Expenditure The Budget provision towards CSR initiatives shall be at least 2% (two percent) of the average net profit of the Company (PBT) made during the 3 immediately preceding financial years calculated in terms of Section 198 of the Companies Act If the budget allocated in a year remains un-utilized, the Board shall in its report made as per provisions of Companies Act, specify the reasons for not spending the amount. The surplus arising out of CSR shall not form part of business profit. At least 80% of the annual budget earmarked for CSR activities shall have to be spent on implementation of activities in the project mode. The total Budgeted amount shall be distributed as per described below: i) NMDC Projects / NMDC Establishments - Up to 88% ii) Extended Local Area - Up to 1% iii) Other Backward Districts - Up to 2% iv) Other Areas - Up to 1% v) Anywhere in the Country Through NGOs - Up to 1% vi) Natural Calamities - Up to 2% vii) Emergency Needs/Unforeseen/Unanticipated - Up to 5% requirements Based on the emerging needs, every year, list of activities to be undertaken by the Company along with financial allocation against each activity will be recommended by the CSR & Sustainability Committee and approved by the Board of Directors of the NMDC. Guidelines for CSR Fund allocation are given in Annexure VII. The expenditure incurred on baseline survey / need assessment study, on capacity building programs such as training, workshops, seminars, conferences, etc. and on corporate communication strategies for engagement of all stakeholders, whether internal or external, to implement the CSR agenda of NMDC, shall be accounted for as CSR expenditure to the extent that such expenditure is not exceeding 5% of the total CSR budget. Budget/Expenditure for Impact Assessment/Monitoring & Evaluation of CSR initiatives shall be accounted as part of the Project Expenditure. 8

9 13.0 Planning & Implementation 13.1 CSR projects are generally formulated based on inputs from State Authorities/Village level consultation/need assessment The plans may be dovetailed with specific government programmes. Adequate care shall be taken to ensure that there is no duplication of CSR projects with that of Government s programmes and convergence is achieved Focus of CSR initiatives should be primarily on asset creation. To the extent possible, maintenance/operational expenditure of such assets should not be borne by the Company. Asset once created shall be transferred to a suitable agency for its operation/maintenance As far as possible, it should be ensured that CSR schemes/projects to be implemented should preferably not be open ended and CSR activities shall be taken up in project mode Skill Development training courses may be devised to impart training in fields which are vital to functioning of the Company Monitoring & Evaluation should be integral parts of any CSR initiative and the project cost estimate shall include cost of Monitoring & Evaluation NMDC s contribution w.r.t. the CSR works taken up shall be highlighted through suitable signage. 9

10 14.0 Broad procedure for consideration of proposals 14.1 Individual proposals have to be within the frame work of the CSR Policy Every CSR / Sustainability proposal has to be projectized. This involves defining activities, time frame, financial requirement, organizational responsibilities, outcome / expected results and sustainable aspects. The proposals will be examined and submitted to the CSR & Sustainability Committee. Proforma specifying the specific details required for examination of CSR proposals is given in Annexure VIII CSR proposals should to the extent possible focus on Capacity building, Skill development and Infrastructure development for the benefit of marginalized and under privileged sections of local communities CSR proposals shall be formulated after getting feedback on the expectations of the key stake-holders like Central/State Government and/or District/Local Administration, Public Representatives, Gram- Sabhas and Panchayat Raj Institutions so that the activities are properly grounded Appropriate financial powers shall be delegated to Head of the Projects for timely execution of CSR Projects The releasing of funds in phased manner shall be clearly defined in the proposal to ensure proper utilization and submission of periodical progress reports before release of installments Project proposals can be prepared by NCF on their own or through a Consultant as may be necessary. The CSR Projects prepared by State/District Authorities/Panchayat Raj Institutions at District/Block/Village level or Local Bodies or reputed NGOs within the purview of CSR policy may also be considered for implementation with the approval of Competent Authority. However, such projects submitted by NGOs shall be approved only after verification of their credentials, capability and preparedness to work in the specified locations and the projects submitted by Panchayat Raj Institutions shall be routed through the District Collector concerned The proposals identified by NCF which are beyond capabilities and preparedness of NMDC may be executed through reputed NGOs or any other Agencies/ State Govt. or other PSUs or through Panchayat Raj Institutions at District/Block/Village level or through Self-help groups or through any other Agency as approved by CMD, as considered appropriate by NMDC. 10

11 15.0 Guiding principles for selection of CSR initiatives A three-tier structure, comprising of the Board, CSR & Sustainability Committee (Board level committee) of 3 or more Directors & headed by an Independent Director, and NCF officials headed by a CEO shall oversee the CSR agenda of the company. The CSR & Sustainability Committee shall recommend to the Board, the activities to be undertaken by the Company. The power to approve CSR activities shall vest with the Board of Directors of NMDC as per Companies Act 2013 & CSR Rules Any activity undertaken by the delegated Authority shall have to be ratified by the Board of Directors. CSR activities, in general, will be guided by the following: a) Baseline Survey Report on the need assessment / Secondary Data. b) Assessment of Needs through Stake-holder Consultation c) Supplementing the Central/State Govt. Schemes to cross the last mile in resource gap. d) Preference will be given to the local area and areas around its operations of NMDC e) Priority shall be accorded to the stakeholders located in the periphery of the operations of NMDC & directly impacted by it. f) CSR Projects or programs or activities undertaken in India only shall be accounted as CSR Expenditure. g) In the selection or choice of CSR projects, NMDC shall avoid taking up adhoc, one off, philanthropic activity, which does not contribute in any way to social value creation, environment protection or sustainable development. h) Generally, the employees of NMDC shall not be the direct beneficiaries of the activities undertaken with the budget allocated for CSR and Sustainability initiatives in any given year. However, in case of facilities, which have been primarily created for employees, specific cost incurred on extending such facilities to SC/ST/underprivileged populace on prorata basis to the extent of non-nmdc beneficiaries viz., cost of medicines in Hospitals, Cost of fee subsidy extended in Schools, if any, shall be borne from the CSR budget. The same shall be calculated on pro-rata basis to the extent of cost incurred on extending the facilities to non-nmdc stake holders. 11

12 16.0 Implementation The CSR Projects/ Activities shall be implemented in any of the following ways as below:- A) Directly by NMDC. B) Through NGOs / Voluntary Organizations/Trusts C) Through concerned State/District Authorities/Panchayat Raj Institutions at District / Block / Village level D) Through/in-partnership with other PSUs E) Through Local Urban bodies like Corporations / Municipalities etc F) Through Self help groups G) Any other Agency as approved by CMD The detailed methodology to be adopted is given in Annexure I Monitoring, Evaluation & Reporting 17.1 Monitoring a) Monitoring of CSR projects shall go concurrently with implementation, to assess if the progress is on expected lines in terms of timelines, budgetary expenditure and achievement of physical targets. Monitoring shall be done periodically with the help of identified key performance indicators; the periodicity being determined largely by the nature of performance indicators. Like implementation, monitoring too shall be done in project mode with continuous feedback mechanism, for mid-course correction in implementation, whenever required. b) Monitoring shall be performed by NMDC/NCF through its team of officials specifically designated for this task or through an external agency to help in mid-course correction, if required. However, the final evaluation shall be entrusted to an external agency. The external agency, if any, engaged for implementing a project shall not be considered for the task of monitoring and evaluation because of the likely conflict of interest involved in the assignment. c) A software cum MIS shall be in place to enable tracking, monitoring & dissemination of information w.r.t. CSR activities. 12

13 d) A dash board giving a bird s eye view of the CSR programme of the Company shall be available to the Senior Management for ready reference & effective monitoring. e) Data-base of persons who are given skill development training and are gainfully employed subsequent to the training shall be maintained, to have an assessment of the number of persons who have actually benefitted from training under CSR. f) The detailed Monitoring strategies to be adopted are given in Annexure II Evaluation Independent Assessment of major CSR Projects of NMDC will be taken up through specialized / independent agencies to assess & improve the effectiveness of the initiatives. Monitoring & Evaluation shall be done at two levels viz., Corporate Level & Project Level Reporting NMDC shall submit details of its CSR activities as per the Annexure of CSR Rules 2014 as part of the Annual Report and place the details on the Company s website Management Information System (MIS) MIS shall include data w.r.t. physical progress, financials, Output & Outcomes, along with documentary proof. For effective follow-up, each CSR project/activity shall be suitably coded. 13

14 Annexures 14

15 Implementation Strategy Annexure - I 1.0 The CSR Projects/ Activities shall be implemented in any of the following ways as below:- A) Directly by NMDC. B) Through NGOs / Voluntary Organizations/Trusts C) Through concerned State/District Authorities/Panchayat Raj Institutions at District / Block / Village level D) Through/in-partnership with other PSUs E) Through Local Urban bodies like Corporations / Municipalities etc F) Through Self help groups G) Any other Agency as approved by CMD Every Project will specify the implementation schedule indicating the starting date, date of completion, likely benefits etc., The methodology of implementation shall be as follows:- 1(A) Directly by NMDC - i) The activities which can be implemented by NMDC either directly or by engaging Contractors for infrastructural development shall be taken up by NMDC. ii) The periodical activities such as conducting medical camps, distribution of uniforms to schools, and also activities like donation of Ambulances/medical equipments to hospitals etc., shall also be taken up directly by NMDC. iii) The activities which cannot be taken up directly by NMDC because of its nature, size and other limitations, shall be considered for implementation through other alternatives. iv) The CSR works executed through contractors shall adopt the same procedure as followed for award of contracts for other NMDC works. v) For the purchase of materials connected with CSR activity, a local purchase committee shall be constituted to carry out the purchases as per the purchase procedure depending upon the value of the purchases. vi) The activities related to areas other than the Projects, units & Offices of NMDC shall be dealt directly at Head Office. vii) To accelerate the pace of development/optimize utilization of resources, especially of the backward regions, NMDC may join hands/pool/resources with other CPSEs. 15

16 1(B) Through NGOs / Voluntary Organizations (VOs)/Trusts:- (Only those NGOs/VOs which are registered on NGO portal of NITI Aayog, & Trusts established by Central & State Govt.) i) The proposals of the CSR Projects of long duration focusing on overall sustainable development in a given time frame requiring a dedicated team and full time attention shall be considered for implementation through reputed NGOs/Voluntary Organizations /Trusts functioning in similar activities. ii) NMDC may collaborate with internationally/nationally reputed Foundations / Organizations. iii) The NGOs/VOs shall be identified based on their credentials and long standing performance in respective fields. NGOs/VOs with proven performance and tax exemption benefit shall be given preference. iv) NGOs may also come forward on their own with specific proposals in the field of their expertise, within the purview of CSR Policy. Such proposals should be complete in all respects and supported by their credentials and capabilities. v) Every claim/installment of NGOs for the work completed should be supported by proper bills and receipts / documents in support of the claim. Release of funds as advance shall be against Bank Guarantee. vi) NMDC may take up CSR programmes or projects through a Trust. If such a Trust is not established by the Company, it shall have an established track record of three years in undertaking similar programmes or projects. vii) NMDC may collaborate with NGOs/VOs for CSR initiatives wherein requisite infrastructure is created by NMDC and the operation & maintenance of the facility is taken care by partnering NGOs/VOs. 1(C) Through Concerned State/District Authorities/Panchayat Raj Institutions at District / Block / Village level i) The CSR works which cannot be taken up by NMDC directly or through NGOs /Voluntary Organizations/Trusts/ Contractors due to various reasons/ constraints, shall be carried out with the help of respective State /District Authorities. ii) The State/District Authorities/Panchayat Raj Institutions at District/Block/Village level may also submit specific CSR proposals. In such cases, NMDC may release funds to the respective authorities for initiation and implementation, provided the schemes match with that of NMDC. iii) Such CSR works implemented through the local bodies/ Agencies nominated by the District Authorities/District or State Authorities the funds shall be released in suitable installments based on the progress and Utilization Certificate. iv) Only first installment of fund shall be released as unsecured advance. v) Detailed Fund release pattern shall be as specified in Annexure IX. 16

17 1(D) Through /in-partnership with other PSUs i) Joint projects with other PSUs may be finalized after thoroughly deliberating upon clarity of role, financial outlay, implementing agency, socio-economic gains to the community etc. ii) The draft proposal shall be further discussed and recommendation should be made by Board Level Sub-Committee on CSR & Sustainability. iii) Thereafter, the recommendations shall be put up to Board for approval. 1(E) Through Local Urban bodies i) Works which can not be taken up by NMDC directly due to various constraints shall be carried out in partnership with Local Urban Bodies ii) NMDC may release funds to the District Authorities/Local Urban Bodies for initiation and implementation of the initiative. iii) Such CSR works implemented through the local urban bodies nominated by the District Authorities/District or State Authorities, the funds shall be released in suitable installments based on the progress and Utilization Certificate. iv) Only first installment of fund shall be released as unsecured advance. v) Detailed fund release pattern shall be as specified in Annexure-IX. 1(F) Through Self help groups i) Self help groups (SHG), which are in existence for at least one year with bank linkage and good repayment record can be considered for implementing CSR initiatives under a tripartite agreement involving Govt. Representative in the Gram Panchayat concerned. ii) Every claim/installment of the SHG for the work completed should be supported by proper bills and receipts / documents in support of the claim. 1(G) Any other Agency approved by CMD CSR initiatives can be implemented through any other agency approved by CMD. Modalities and terms of payment for such agencies shall be worked out on case to case by suitably adopting the broad guidelines used for various implementing agencies. 17

18 Annexure-II Monitoring & Evaluation Strategy 2.0. All CSR Projects/Activities shall be monitored directly or indirectly by NCF for NMDC. The monitoring & evaluation strategy shall be as below:- 2(A) Projects directly taken up by NMDC - i) The CSR Projects taken up by NMDC or through Contractors shall be monitored & evaluated directly by NCF Wing/Department concerned. ii) The award of contract for CSR works shall be finalized within the time frame set by the Head of NMDC Project concerned for timely initiation of the activity. Release of funds to contractors shall be defined in the work order itself. iii) The ongoing activities such as distribution of uniform to schools, medical camps etc., shall be coordinated by NCF. All the required staff shall be provided by the respective departments for the period of the activity. iv) NCF shall draw a time frame from the date of initiation. Any delay noticed while monitoring the activity, remedial measures may be taken for timely completion of the Project. 2(B) Through NGOs /Voluntary Organizations - i) The CSR Projects taken up through NGOs or through any Trust(s) shall be monitored & evaluated jointly by NCF and respective organizations. An evaluation format shall be prepared jointly by both NCF and Organization for this purpose. Third party assessment required to assess the value /utility and excellence of work & outcomes such as improved health, education, infrastructure etc shall also betaken up. ii) The periodicity of joint evaluation shall also be decided by both the parties together. At times, any official from NCF or any other department of the Project / HO may also independently review the performance by visiting the sites. Joint evaluation report shall be base for release of funds. iii) Release of funds after commencement of the activity shall be invariably linked to the joint evaluation and achievement of results against the targets till date. iv) In case, the progress, as per the joint evaluation is not as per the target and proportionate to the funds released, a higher level committee constituted by Head of the Project with members from NMDC and the respective NGO shall review the evaluation and submit the report/recommendations. v) Release of funds shall be made after fulfilling the targets, proportionate to the funds released earlier. Self Sustainability of the activity shall be established after its implementation in the given time frame. 18

19 2(C) Through State/District Authorities/Panchayat Raj Institutions at District/Block/Village level/in partnership with other PSUs/Through Local urban bodies/through Self-help groups i) The Projects taken up through State/District Authorities shall be monitored & evaluated by both NMDC and the State Authority/respective departments/agencies, either jointly or independently. ii) Funds shall be provided by NMDC in suitable installments. After release of the first installment for initiation of the work, further release of fund shall be based on progress of the work by the joint inspection team consisting of representatives from NMDC & State Authority/respective departments/agencies and utilization certificate submitted by the respective Agency. 2(D) Independent Assessment of CSR initiatives of NMDC Independent Impact Assessment of CSR Projects of NMDC will be taken up through specialized agencies to enable impartial assessment of work, ensure objectivity, transparency and improve the effectiveness of the initiatives. The external agency, if any, engaged for implementation of project shall not be considered for monitoring or evaluation because of the likely conflict of interest involved in the assignment. 19

20 Annexure III 3.0 Focus Areas (Activities undertaken in pursuance of normal course of Business of the Company can not be included under CSR) 3.1 Prime Focus Areas Employment enhancing Vocational Skills including Skill Upgradation a. Skill development training for unemployed youth for better employability & to promote self employment. b. Vocational/ technical/professional training for youth. c. Skill Up-gradation d. Imparting training in agriculture to Small farming villages and provide consultancy from experts. e. Livelihood enhancement Projects f. Special focus to cover children, women, elderly and the differentlyabled. g. Any other related activity Drinking Water including integrated water shed development & Sanitation a. Setting up effluent treatment plant and sewage treatment plants. b. Provide safe drinking water from impure water sources including by sinking bore wells, tube wells, establishment of water treatment plants etc. c. Promotion of sanitation through proper drainage system and construction of toilets. d. Drinking water supply initiatives, water body restoration works, Swachh Bharat Abhiyaan initiatives & initiatives for bringing about behavioural change towards sanitation & hygiene etc. e. Any other related activity including integrated water shed development Promotion of Education including special Education in primary schools with special focus on Districts in which NMDC projects are located a. Construction of school buildings & facilities including boundary walls, separate toilets for boys & girls and provision of drinking water. b. Provision of uniforms, books, stationery, computer & Laboratory equipments etc., to schools. 20

21 c. Scholarships/fellowships to deserving students to encourage education. d. Promotion of adult education with focus on women s education etc. e. Reducing the drop out of students & absenteeism through counseling & other means. f. Promote computer literacy and technology assisted learning through provision of hardware and hard infrastructure. g. To set up/ promote higher education through special coaching/ inputs to bridge the gap. h. To promote Technical/ professional/ medical education by giving financial assistance / opening institutions and providing infrastructural support to promote education in Project areas. i. Promote digital classrooms and e-education. j. Any other activity to promote education in project areas Health a. Promoting Preventive healthcare through operation of Mobile medical Vans - Only hardware provision. b. Providing free treatment to Adivasis at NMDC Project Hospitals in Bailadila. c. Health awareness campaigns on serious/chronic diseases on State media-radio and Doordarshan. d. Organizing periodic health camps in collaboration with State Medical Agencies. e. Assistance for establishment of State Run Hospitals f. Combating Human Immunodeficiency virus, acquired immune deficiency syndrome, malaria and other diseases through supply of diagnostic kits, medicines. g. Any other related activity Rural Development Projects a. Development of roads, bridges, markets, transport facilities, community welfare centers, beautification, other civic amenities etc. b. Electrification of Public buildings in villages. c. Infrastructure support in Villages with SC/ST /backward and other socially backward populations. d. Any other related Items Ensuring Environmental Sustainability a. Afforestation : Plantation of indigenous plants through afforestation at NMDC Projects. 21

22 b. Bio-diversity and Wild life Management : Bio-diversity management for conservation of native species of the region and maintaining existing ecological processes. c. Waste Water Management : Recycling of treated water in the process through secondary waste water treatment. d. Soil Management : Soil and Moisture conservation for improving soil stability and plant life. e. Green House Gas Inventory : Green House Gas Inventory at Bailadila Complex, Donimalai and Kumaraswamy projects for mitigation of Carbon Emission. f. Carbon Management : Renewable Energy Certificates to offset Carbon Foot Prints. g. Energy Management : Energy management Audits for savings of energy usage. h. Non-Conventional Energy : Promote use of non-conventional energy. i. Pollution Control : Monitoring of Environmental parameters to maintain the pollution levels well within the norms prescribed by State Pollution Control Boards and Central Pollution Boards in respect of Ambient Air Quality, Water Quality parameters and Ambient Noise levels. j. Fugitive dust emission : Water sprinkling on mine haulage roads for control of fugitive dust emissions. Mist water spray for dust suppression at Crushing Plant. k. Clear Water Discharge : Discharge of clear water from tailing dams to downstream nallahs. l. Increasing water use efficiency in Industry m. Stabilization of Waste dumps : Geo Coir mats for stabilization of waste dumps. n. Water Conservation : Promote watershed development / water harvesting / water conservation measures. o. Ecological balance, Protection of Flora & Fauna, Animal welfare, Agro-forestry, Conservation of Natural resources and Monitoring quality of soil, air & water. p. Any other related activity Sustainable Natural Resource Management 22

23 3.2 Other Focus Areas Promoting gender equality and empowering women, Setting up Homes & Hostels for women and Orphans; Setting up Homes, daycare centre and such other facilities for senior citizens and measures for reducing inequalities faced by Socially and Economically backward groups. Empowering women through Self help Groups (SHGs) Eradicating Hunger, Poverty & Malnutrition Supply of Mid-day meals, nutritious food for school/anganwadi children in partnership with Govt. or reputed NGOs Reducing Child Mortality & Improving Maternal Health a. Nutritional supplements to pregnant women, lactating mothers, children between ages 1-5 years and adolescent girls directly or through Govt. or reputed NGOs. b. Supporting Govt. programmes for reducing Child mortality & improving Maternal health. c. Any other related activity Promotion of Sports a. Providing assistance to various recognized sporting events. b. Providing assistance to Individuals / teams directly or through recognized sports organizations by way of provision of kits and equipment. c. Training to promote rural sports, nationally recognized sports, Paralympic sports and Olympic sports through support for kits and equipment. d. Support to the sports of Archery & Handball in Chhattisgarh and indigenous sporting activities around Bailadila Projects. e. Any other related activity Others a. Offering specialized support services to the physically handicapped and mentally challenged people. b. Protection of national heritage, art & culture including restoration of buildings and sites of historical importance and works of art, setting up public libraries, promotion & development of traditional arts, Dance forms & handicrafts. c. Contribution for funds provided to technology incubators located within academic institutions which are approved by the Central Govt. 23

24 d. Contribution to the Prime Minister s Relief Fund or any other fund set up by the Central Govt. for socio-economic development and relief and welfare of the scheduled castes, the scheduled tribes, other backward classes, minorities and women. e. Activities w.r.t. Digital India programme of GoI permissible under Schedule VII of Companies Act. f. Any other related activity. 24

25 4.0 Ongoing CSR Programmes as on Annexure-IV S.No. Focus Area / Activity Start Date End Date 4(A) Education 1) NMDC Siksha Sahayog Yojana Scholarship Scheme catering Ongoing to poor SC/ST students to enable them pursue their education beyond VIII th Class. 2) NMDC Balika Siksha Yojana Scheme to sponsor tribal girls from Bastar Division to Nursing Courses Ongoing 3) Mid-day Meal Programme Provision of Nutritious & Ongoing wholesome meal to 8000 Govt. school children in Bellary District in partnership with M/s. Akshaya Patra 4) Operation of NMDC Residential School at Nagarnar Ongoing 5) Operation of Polytechnic College & ITI in Dantewada District Ongoing 6) Operation of ITI at Nagarnar in Bastar District Ongoing 7) Support to operation of Astha Gurukul Residential School for Ongoing SC/STs etc, Saksham School for differently-abled children in Education City at Dantewada 4(B) Health 1) Providing free treatment to tribals at Project Hospitals in Ongoing Chhattisgarh 2) Operation of Hospital on Wheels in Project areas Ongoing 3) Supplementing the efforts of State authorities for enabling provision of modern medicare to BPL people 4) Supporting Sanjeevani Kosh of Govt. of Chhattisgarh to refer Ongoing poor tribal patients for specialist treatment to higher medical centres 4(C) Drinking Water 1) Supporting Nal-Jal Yojana of Govt. of Chhattisgarh ) Supply of water to near by villages of NMDC Projects Ongoing 3) Installation & maintenance of hand pumps in surrounding villages of NMDC Project Ongoing 4) Partnering with Govt. of Chhattisgarh for providing Solar based drinking water facility in Schools & Villages

26 4(D) Integrated Village Development Multi-dimensional development initiatives in 18 villages. The canvas of developmental works including Support to agricultural activities, Vocational Training, Academic support to improve quality of education in 52 schools, Nutritional support for children in 46 Anganwadi Centres, Program for bringing about behavioural change w.r.t. Sanitation & personal hygiene and Women empowerment through SHGs and other activities (E) Skill Development 1) Skill Development programme for non-nmdc stakeholders in Chhattisgarh & Karnataka through NSDC for Mining & Steel Sector related Skills in Chhattisgarh 2) Skill Development programme for unemployed youth in Districts of Madhya Pradesh (F) Sports & Culture 1) Financial Assistance to M/s.Chattisgarh Pradesh Archery Association & M/s.Chhattisgarh Handball Association for promotion of the sports in Chhatisgarh 2) Promotion of traditional sports in surrounding villages of NMDC Projects 3) Support for conduct of Madai Melas/Jatra/Mahotsav etc for conservation of cultural heritage of tribals Ongoing Ongoing Ongoing 4(G) Infrastructure Development 1) Development of various rural infrastructure viz., Roads, Culverts, Bridges, Educational Institutions, Healthcare facilities etc in partnership with State Authorities Ongoing 26

27 Annexure-V 5.0 Schedule VII of Companies Act, 2013 I. Eradicating hunger, poverty and malnutrition, promoting health care including preventive health care and sanitation including contribution to Swachh Bharat Kosh set-up by the Central Government for the promotion of sanitation and making available safe drinking water; II. Promoting education, including special education and employment enhancing vocation skills, especially among children, women, elderly, and the differently abled and livelihood enhancement projects, III. Promoting gender equality, empowering women, setting up homes and hostels for women and orphans; setting up old age homes, day care centres and such other facilities for senior citizens and measures for reducing inequalities faced by socially and economically backward groups; IV. Ensuring environmental sustainability, ecological balance, protection of flora and fauna, animal welfare, agroforestry, conservation of natural resources and maintaining quality of soil, air and water including contribution to Clean Ganga Fund set-up by the Central Government for rejuvenation of river Ganga; V. Protection of national heritage, art and culture including restoration of buildings and sites of historical importance and works of art; setting up public libraries; promotion and development of traditional arts and handicrafts; VI. Measures for the benefit of armed forces veterans, war widows and their dependents; VII. Training to promote rural sports, nationally recognized sports, paralympic sports and Olympic sports; VIII. Contribution to the Prime Minister's National Relief Fund or any other fund set up by the Central Government for socio-economic development and relief and welfare of the Scheduled Castes, the Scheduled Tribes, other backward classes, minorities and women; IX. Contributions or funds provided to technology incubators located within academic institutions which are approved by the Central Government; X. Rural development projects, XI. Slum area development 27

28 Annexure-VI 6.0 Working Mechanism Proposals received from State Authorities Proposals prepared by NCF Team at Projects Examination by NCF Team at Projects & forwarding to NCF,H.O. with recommendations Proposals examined at NCF,H.O. Level In Principle Approval of Competent Authority Proposals from NGO s Proposals examined by CSR & Sustainability Committee Proposals recommended by CSR & Sustainability Committee submitted to Board for Approval Implementation of approved CSR initiatives, Monitoring, Evaluation, Impact Assessment & Reporting by NCF Review of progress of CSR initiatives by the CSR & Sustainability Committee 28

29 29

30 1 Annexure-VIII 8.0 Specific Details required for examination of CSR proposals - Format Focus Area: o Education / o Drinking Water / o Health & Hygiene o Infrastructure o Integrated Village Development o Skill Development & Income Generation) /or items under Schedule VII of Companies Act Name / Title of the Proposal 3 Aim & Objectives of the Proposal Why Needed (Justification in terms of expected/benefits/outcomes or targets) Type of Work: (New/Old/Purchase/ Others) Nature of Work o Social Engineering Project / o Infrastructural Development / o Operation & Management of Existing Institution / o Others (please specify) Location: District, Block, Village / Gram Panchayat & Complete address Details of Infrastructure / Proposal o Measurement, Dimensions, built up area etc in case of infrastructure projects/ o For social engineering works - nature of resources being deployed in terms of manpower/material etc and nature, tenure & terms of their engagement/deployment o Operation and maintenance, details with respect to engagement of service providers i.e. nature of engagement etc. o Others (please specify) 9 Estimated allocation sought for 10 Basis of Estimate(SOR/PWD/CPWD etc for infrastructure works, market rates / DGS&D rate for purchase proposals and other criteria for other proposals if any and the administrative cost shall not exceed the prescribed percentage) 11 Proposed duration of Completion/ Implementation Nature of Fund requirement from NMDC o Fully Funded o Partially Funded Additional information if any (additional sheets may be attached including drawings, plans and other supporting documents based on need) Signature 30

31 Annexure-IX 9.0 Fund Release pattern in respect of CSR Works taken up in partnership with State Authorities / Panchayat Raj Institutions / Local Urban Bodies 9.1(A) For Infrastructure Development Works with value above Rs.5.00 lakh First installment of 40 % of the outlay - Release on signing of the MoU with the State Authorities as unsecured advance, The 2 nd installment of 40% may be released on receipt of photographic evidence of progress of work to the extent of 35% of the total work along with utilization certificate for the previous fund release, with both documents having been endorsed by the District Collector concerned or his authorized representative. Subsequent to release of 2 nd installment, the Project Authorities may conduct Joint inspection of the work to ensure that the progress is, as photographed. The 3 rd installment of 20 % may be released on receipt of photographic evidence of progress of work to the extent of 75% of the total work along with utilization certificate for the previous funds release, with both documents having been endorsed by the concerned District Collector or his authorized representative. Subsequent to completion of work, the Project Authorities may conduct Joint inspection of the work to ensure that the work is complete in all respect and any deviation/adjustment, if necessary, will be addressed on case to case basis by seeking refund or adjusting the applicable amount from other works/future works being/to be taken up in partnership with the State Government. 9.1(B) For Infrastructure Development Works with value below Rs.5.00 lakh First installment of 80 % of the outlay - Release on signing of the MoU with the State Authorities as unsecured advance, Release of balance 20% on receipt of utilization certificate for the earlier fund release, duly endorsed by the District Collector concerned or his authorized representative and physical inspection by the Joint inspection team. 31

32 9.2 For Purchase related Activities For purchases up to Rs.1.00 lakh Release of 100 % of the agreed amount on signing of MoU and obtaining of Utilization Certificate after the purchase for record purposes, For purchases above Rs.1.00 lakh up to Rs.5.00 lakh Release of 90 % of the agreed amount on signing of MoU and the remaining 10 % on submission of Utilization Certificate and Physical verification of purchase, For purchases above Rs.5.00 lakh up to Rs lakh Release of 80 % of the agreed amount on signing of MoU and releasing of the remaining 20 % on submission of Utilization Certificate and physical verification of purchase For purchases proposals above Rs lakh - Release of 50 % of the agreed amount on signing of MoU and the remaining on submission of Utilization Certificate and physical verification of purchase. For purchases of vehicles & equipment which are sold on full down payment basis upto Rs lakh Release of 100 % of the agreed amount on signing of MoU and physical verification on receipt of information w.r.t. purchase made. For CSR works to be taken up outside the local area of Chhattisgarh, Karnataka & Madhya Pradesh, MoUs shall be signed with the designated District Authority and payments shall be accordingly released to the designated District Authority. 9.3 Fund Release pattern in respect of CSR Works taken up through Self-help groups Working capital requirement or 10% of the total out lay, whichever is lower - Release as unsecured advance on signing of tripartite agreement with the Self-help group involving Gram Panchayat concerned Cost of Equipment / Machinery Release of funds to the extent of cost of machinery/equipment, directly to the suppliers, as advance, if required. Subsequent Installments shall be based on estimated value of the project and implementation schedule Release of funds on receipt of proper bills/receipts and utilization certificate for previous funds released and documentary proof of progress of work, verified by the designated Joint Inspection team. Final installment restricted to the actual value of work. 32

33 Annexure-X 10.0 Indicative Outlay linked Costs for Baseline Survey, Monitoring & Evaluation, Impact Assessment of CSR initiatives S.No. Activity Indicative cost as % of Total cost of Project 1 Need Assessment / Baseline Survey Upto 1% 2 Monitoring & Evaluation Upto 3% 3 Impact Assessment Upto 1% Due to large number of CSR works being taken up by NMDC with wide variations in the quantum of work & types of activities, the above activities shall be conducted separately for each activity, instead, the same will be taken up through specialized agencies, for a set of activities clubbed together on the basis of focus area, area of implementation, etc. Budget for each activity viz., Need Assessment/Baseline Survey, Monitoring & Evaluation, Impact Assessment shall be calculated for each activity, separately; however, they will be conducted for a group of activities. 33

34 Annexure-XI 11.0 Indicative Outlay linked Project Management Cost The Project Management Cost (PMC) which shall include costs involved in the stages from conception of the project to its eventual implementation and subsequent closure of the project and shall depend on the nature of the project, its duration etc. However, the same can amount to a maximum extent of upto 10% of the total cost of the project. The PMC shall be inclusive of the establishment, administrative & other cost, if any. 34