Transforming lives NTPC. Community Development (CD) Policy. August, NTPC Limited. New Delhi INDIA

Transcription

1 NTPC Community Development (CD) Policy August, 2010 NTPC Limited New Delhi INDIA

2 NTPC Community Development (CD) Policy August, 2010 NTPC Limited New Delhi INDIA

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4 INDEX 1. PREAMBLE MULTI-PRONGED APPROACH CONCEPT, SCOPE, AND OBJECTIVES INSTITUTIONAL SET-UP PLANNING BUDGET AND FUND ALLOCATION IMPLEMENTATION MONITORING AND EVALUATION REPORTING AND OUTREACH 21 ANNEXURES: I. A Model ToR For VDAC i II. Indicative lists of possible areas of interventions ii III. IV. Template for medium term project plan(cdap) to be submitted by the operating stations An illustrative list of parameters for judging effectiveness of various Community Development activities in village iii vi V. Ongoing National level major rural development programmes in India ix VI. Template for reporting of CDAP and Annual Action Plan xi VII. Abbreviation xiv

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6 1. PREAMBLE The NTPC Ltd is one of the Maharatna companies, involved in different aspects of electricity generation to meet the electricity demand at the national level and contributing to energy security. The company has operations spread across several states, and most of its projects/stations are located in remote rural areas, where basic infrastructure is inadequate. NTPC has always endeavored to be a leader in community development (CD) and corporate performance, which can be measured in terms of economic, social, and environmental impacts. Further, specifically on CD, NTPC is governed by the following: 1.1 NTPC resolves to be a socially responsible corporate entity and to lead the sector in the areas of resettlement and rehabilitation with thrust on CD; environment protection, including effective ash utilization; and energy conservation. 1.2 NTPC resolves to contribute towards sustainable power development by discharging corporate social responsibilities (CSR) that would positively impact on customers, employees, shareholders, communities, and the environment in various aspects of its operations. However, activities and expenditure related to staff benefits are not counted as CSR. 1.3 In the process of establishing any new projects, NTPC attempts to improve the lives of project affected persons (PAPs) through the initial community development (ICD) plan formulated under the ICD policy and the rehabilitation action plan (RAP) formulated under the rehabilitation and resettlement (R&R) policy. In addition to developing basic infrastructure in the PAPs, NTPC also focuses on developing infrastructure and undertaking CD activities in the surrounding areas. 1.4 NTPC is a member of Global Compact, a UN initiative launched by the UN Secretary- General. It is committed to adhering to its 10 principles in the areas of human rights, labour, environment, and anti-corruption. 1.5 NTPC CD policy also conforms to the guidelines on CSR for central public sector enterprises, issued by the Department of Public Enterprises, Ministry of Heavy Industries, and Public Enterprises, Government of India. 1

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8 2. MULTI-PRONGED APPROACH ON CSR 2.1 ICD policy: NTPC's ICD policy provides guidelines for preparing the ICD plan for improving quality of life in areas where NTPC proposes to establish new plant/ operational unit at the pre-project stage as pre-r&r activities. 2.2 Rehabilitation and resettlement policy: R&R policy provides for preparation and execution of the rehabilitation action plan (RAP) for project-affected persons, which includes CD plan for affected villages, resettlement colonies, and adopted villages. 2.3 Community development policy: CD policy provides for guiding principles on preparation, execution, and documentation of community development activities in the target villages, which should be a continuation of the RAP phase. The target villages in the policy refer to project-affected villages, resettlement colonies, adopted villages and peripheral villages, as identified under the CD project. 2.4 NTPC Foundation: Planning, monitoring, evaluation, and documentation of community development projects at national level are taken up by NTPC through the NTPC Foundation, a trust registered under the Trust Act. 2.5 Disaster preparedness: NTPC shall focus on the areas of Preparedness and capacity building of the community in disaster management processes through a dedicated Safety Group. The same shall be an important area of focus, particularly in disaster-prone areas. NTPC, shall partner with government and private agencies to strengthen and formalize their role in the disaster management process for ensuring preparedness of the communities towards disaster resilience. 2.6 Environment activities: Environment-related initiatives are taken up by NTPC through dedicated groups in NTPC Energy Technology Research Alliance (NETRA), Engineering & EMG Group under the respective policies. Considering the fact that NTPC is a member of UN Global Compact Program, the objectives of CD activities shall also relate to the United Nations Global Compact Programme on Environment. NTPC shall take all necessary precautions to minimize damage to the environment due to its operations, and in case any such damage takes place, shall make all necessary efforts to restore/ provide compensation for the same. 3

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12 4.1 Internal organizational structure 4. INSTITUTIONAL SET-UP The following three-tier structure is responsible for implementing CD activities: Corporate centre Regional headquarters Operating stations in each region Corporate centre: The CD cell at corporate centre shall be responsible for policy matters, compilation of information and preparation of annual reports. It shall also be responsible for designing the training programmes for CD staff, approval of Community Development Actions Plans (CDAPs) and facilitating the process of allocation of funds to stations. The Corporate centre shall monitor the CD projects through regional headquarters, once in every six months. Regional headquarters: The regional set-up established for the implementation of R&R activities shall continue to take up the responsibility of implementing CD activities. A nodal officer from the CD cell at regional headquarter shall coordinate and monitor the CD projects at operating stations and shall compile the quarterly and annual CD report for submission to the Corporate centre. The regional set-up shall form an advisory committee for planning and monitoring the unit-level CD projects and may include the representatives of concerned state/local governments and independent experts. The regional headquarters shall monitor and review formulation and implementation of CDAP and budget utilization of the operating stations under their control on quarterly basis. Operating stations: After construction and commissioning of a station, a dedicated CD cell shall be set up in each of the stations. The CD cell shall be responsible for needs assessment of the villages based on baseline developed during R&R stage, preparation of CDAP, implementation and reporting on the physical and financial progress of the strategic interventions planned for the term on monthly basis. The operating station shall be responsible for monitoring of the CD projects to review progress as per plan on monthly basis. 4.2 CD staff In order to maintain the continuity of programmes that were initiated under the R&R stage, some of the R&R staff need to be continued in the CD cell of those operating stations

13 4.2.2 NTPC shall appoint/involve dedicated CD staff (in addition to the already engaged R&R staff) comprising development experts/professionals at all levels corporate centre, regional headquarters, and operating stations Depending on specific areas/activities that each operating station focuses on, experts/professionals can also be engaged on a contract basis for planning and 1 implementation of these activities. 4.3 Public Information Centre (PIC) To maintain transparency and keep the PAPs and community informed, the Public Information Centre (PIC) established during RAP shall be continued for the entire period of formulation and implementation of CD projects. 4.4 Consultation and participation of R&R group The closing report of RAP and first CDAP report shall make a single document. The data for socio-economic status of the PAPs and infrastructural status of the affected villages at the end of the RAP phase shall be the baseline for the formulation of CDAP. Thereafter, the CD group shall work in close proximity with R&R group, and the plans and periodic reports shall be shared among the two groups, if applicable. 4.5 Volunteering Volunteering by NTPC employees (other than the CD staff) and family members of employees shall be promoted. The volunteers shall also facilitate planning and implementation of the identified CD projects. 4.6 Village development advisory committees For institutionalizing community and local administrations' participation for preparation, implementation and monitoring of ICD, R&R and CD projects, NTPC shall establish village development advisory committees (VDACs). The VDAC shall be established during the ICD phase or before initiating R&R planning and shall be continued during R&R and CD phase. The members of VDAC shall include PAPs, Gram Panchayats, representatives of district administration and NGOs. VDAC members shall meet every quarter. The minutes of the meetings shall be documented and shared among all the VDAC members, and if applicable, with R&R group. A model ToR is included in Annexure I. 1 Example: In areas where an NTPC station focuses on undertaking education-related activities, education experts may be hired. 8

14 4.7 Training and capacity building All level of staff NTPC shall generate awareness among all levels of their staff on CD projects so as to integrate its social processes with the business processes CD staff at all levels NTPC shall focus on training and capacity building of its CD staff on a continuous basis. Training/orientation programmes on community engagement, with emphasis on concepts of CD planning, stakeholder mapping, mobilization and motivation, relationship building, transparency, shared decision-making, and monitoring and evaluation techniques shall be organized from time to time for all the CD staff. The CD staff shall be exposed to successful CD projects of various other public sector 2 undertakings (PSUs) and corporate entities EVOICE staff The EVOICE staff shall be provided exposure to CD projects, successful models/stories 3 executed by other corporate entities and NGOs. NTPC shall also lay emphasis on formal capacity building of EVOICE staff on periodic basis. The capacity building shall focus towards the latest challenges in education, health, sanitation, veterinary services, new learning methods, planning implementation and monitoring techniques Village development advisory committee (VDAC) members NTPC shall focus on capacity building of VDAC members through training workshops and on-job training. NTPC shall share knowledge and experience of CD projects, in particular on implementation and monitoring aspect. NTPC CD staff shall always provide knowledge support to the VDAC members through a defined mechanism. 2 Example: AMUL, Tata, and Hindalco 3 Example: Azim Premji Foundation, Pratham, Pradan, BASIX, Sulabh International, SEHAT 9

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16 5.1 Identification of CD projects 5. PLANNING Planning for CD shall be done along with R&R activities. The first step of planning shall be identification of broad activities. The broad activities shall be closely linked with the long-term CD goal and objectives and adhere to the practice of sustainable development. An indicative list of possible areas of intervention is placed at Annexure II. The list is only indicative and not exhaustive. However, the key focus of CD projects shall be on facilitating infrastructure provision for qualitative improvement in health, education, access to water/sanitation, and improved roads. 5.2 Identification of CD project area The geographical area for implementation of the CD project shall be in the target villages. 5.3 Baseline/existing status survey The CD projects shall be framed with a long-term objective of provision for basic infrastructure and civic facilities, along with attendant maintenance mechanisms. At the end of project period, the impacts shall be quantified based on the baseline data and shall be compared with CD goals, state and national development goals, and MDGs. Thus, fresh data on existing status shall be mandatory before planning for CD projects. The initial baseline survey conducted under socio-economic studies carried out while preparing the RAP shall be considered as baseline. 5.4 Need assessment: bottom-up approach The bottom-up approach shall be adopted in planning CD projects. The CD projects for each of the NTPC operating stations shall be formulated based on need assessment surveys (NAS). NAS will involve in-depth village stakeholder consultation and gap identifications based on surveys and analysis. Information collected at the household level shall focus on demography, literacy levels, socio-economic status, and occupation pattern. Based on the survey, a detailed project prioritizing needs of PAPs, community and target villages shall be prepared with specific deliverables, time-frame and budget. NAS shall attempt to capture the needs of the most vulnerable of the community. 5.5 Synchronizing with development plans of state and central governments The overall quantifiable deliverables of the CD projects shall be framed based on the gaps between the development goals framed at state and national level, and the existing situation of the CDAP area. 11

17 The CD projects shall be formulated so as they synergize with the national development goals. Effort shall be made to contribute to the national and state plan targets. 5.6 Preparation of action plans Action plan would involve empowering PAPs, community and the target villages in a phased manner and for an identified planned period. This could involve the basic and immediate needs of the PAPs, community and target villages, such as roads, school, health, sanitation and drinking water-related plans, and projects. A three phased plan shall be prepared: Long-term plan: Long-term perspective plan for 20 years, which shall be in accordance with the long-term corporate plan. The plan shall include the overall development of the identified project area. There shall be only one long-term plan under one operating station. Medium-term plan (CDAP): Medium-term project plan for five years, which shall be in coherence with the NTPC business plan. The plan shall consider different sectorspecific projects such as education, health, and infrastructure development in the project area. However, there shall be only one medium-term plan (CDAP) under one operating station. Short-term plan: Short-term action plan for one year which shall be in accordance with NTPC's annual target plan. The plan shall include the activities to be undertaken in a particular year under the medium term plans. 5.7 Flexible, dynamic, and incremental short-term plans Each year, the achievements shall build on the work undertaken in previous year, so that the final CDAP objectives can be achieved in an incremental manner. The long and medium plan shall be periodically reviewed and shall have enough flexibility to incorporate changes as and when necessary. 5.8 Entry points activities To get the project popularized in the project villages, entry point activities (EPAs) shall be conducted. Action plan to mitigate social risks shall be planned and implemented for establishing rapport with the community. Programme promotion activities shall be identified as per the need and suitability of the local communities and public representatives from time to time, depending on assessment and perception of social risks. Activities associated with vermin-composting beds, veterinary camps, getting soil 12

18 testing, infertility camps, orchard competition and exposure visits are some examples of EPAs. Activities relating to mass awareness on various social issues related to women and children, health, sanitation and environment/climate change, AIDS awareness, organizing cultural programmes and those supporting cultural and social harmony can be part of such action plans. Further, activities such as formation of self-help groups (SHGs) or common interest groups (CIGs) and engaging them in livelihood activities like handicraft, stitching, mushroom cultivation, and bamboo growing, which could also dovetail with the activities of the medium-term plan, after providing the necessary training can also be considered. 5.9 Contents of CDAP The CDAP shall cover title, goal, objectives, map demarcating project area, baseline scenario, needs assessment, community participation, linkages with national goals, project implementation mechanism, associated risks and mitigation measures, deliverables, output, outcome, organization and staffing, institutional tie-ups, timeline, specific start and end dates, estimated budget, financial plan, monitoring and evaluation mechanism. A template for CDAP is placed at Annexure III. Survey, need prioritization, and development of a long-term action plan would be prerequisites for allocation of resources under the CDAP Quantifiable targets The plan shall clearly enunciate targets that are proposed to be achieved over the plan period. For each activity, a set of quantifiable indicators shall be developed for reporting 4 on achievement. The specific targets, indicators and benchmarks shall be identified based on national and state goals, local needs and existing situations. An illustrative list of parameters for judging effectiveness of various community development activities in a village (basic norms and benchmarks related to key infrastructure) have been provided in Annexure IV Linked to government development schemes The plans based on the thrust areas need to identify specific government programmes that can be dovetailed to achieve the desired targets. An illustrative list of major government programmes has been provided in Annexure V. Such dovetailing can focus on complementing both financial and human resources. Preference shall be given to activities that benefit the state government/local administration/ panchayat provide matching budgets/grants. Adequate care shall be taken to ensure that there is no duplication of CD projects with 4 Example: If 10% of households have access to toilets, the plan can envision covering 100% households over the plan period. 13

19 that of programmes run by central, state, and/or local governments Use of local resources and low-cost technologies Interventions for the area shall be planned with a focus on making use of local resources/materials, particularly to minimize the cost without compromising on quality. Such local resources and low-cost technologies shall be identified consultation with VADC Participation of panchayat, communities and local authorities The PAPs, targeted communities and local authority shall be closely involved in the planning, implementation, and monitoring and evaluation of CD activities to the extent possible The PIC and VDAC established during ICD phase shall be continued, and VDAC shall be consulted while formulating and implementation of CDAP Contribution of panchayat, communities and local authorities Facilities provided under the CDAP in the target villages shall be preferably on partial cost-sharing basis. The contribution may be either in cash or kind. The percentage of community contribution shall be clearly indicated in the CDAP. Since the community contribution is an index of community's readiness to own and sustain the facilities, preference shall be given to those activities where the community is willing to contribute relatively a higher amount Operation and maintenance If the medium-term project comprises development of infrastructure, then NTPC shall work out a mechanism through the VDAC for operation and maintenance of the infrastructure/facilities. After the end of the medium-term project period, NTPC CD cell shall take up the responsibility of periodic maintenance of the infrastructure Withdrawal During the withdrawal phase, the community shall be made responsible for the operation and maintenance of the project. However, CD staff shall undertake handholding of the community and periodic maintenance of the infrastructure developed till withdrawal. 14

20 6. BUDGET AND FUND ALLOCATION 6.1 The CD activities for the stations declared under commercial operation shall be planned under operation and maintenance (O&M) budgets of CSR. In case of new projects and expansion projects that are under construction /commissioning, the CD activities to be planned under capital budget for R&R. 6.2 CD processes to be synergized with business processes. 6.3 Plants/ stations shall be allocated separate CD budgets under the annual budget allocations to be spent by them on CD activities under CD project. 6.4 Provision shall be kept for maintenance of developed infrastructure. The utilization of maintenance fund shall be based on collective decision of the VDAC. 6.5 Fund allocation shall be on the basis of long-term CD plans. It is envisaged that 65% of the funds shall be earmarked for long-term incremental plans, 15% shall be available for entry point and other activities, including activities related to continuation of R&R action plan that may not be necessarily governed by the plan and 20% shall be available for maintenance of infrastructure developed. 6.6 For ensuring effective delivery, all CDAPs shall be financed in a phased manner. Funds shall be committed for long-term projects and shall be disbursed on a yearly installment basis. 15

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22 7. IMPLEMENTATION 7.1 NTPC shall make an effort to decentralize and devolve implementation of CDAPs to local NGOs and local institutions in a systematic and planned manner. 7.2 NTPC shall identify and collaborate with credible local institutions/ national specialized 5 institutions. The specialized agencies could be made to work singly or in tandem with other agencies. 7.3 NTPC CD cell at the corporate centre shall develop a mechanism to verify the reliability and credibility of the specialized agencies identified for implementation of CD projects. The team may develop a panel of such credible agencies or may select from panels maintained by government, semi-government, autonomous organizations or from the national CSR hub, and so on. 7.4 CD cell shall involve NTPC suppliers, wherever possible, in order to ensure that the supply chain also follows the CD guidelines. CD group shall try and implement some of the CD activities jointly with the major suppliers. 5 Examples: Community development organizations (CBOs) (whether formal or informal), elected local bodies such as panchayats, voluntary agencies (NGOs), institutes/ academic institutions, trusts, missions, SHGs, government, semi-government and autonomous organizations, Standing Conferences of Public Enterprises (SCOPE), mahila mandals/ samities, contracted agencies for civil works, professional consultancy organizations 17

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24 8. MONITORING AND EVALUATION A two-tier monitoring mechanism for the CD projects would be developed: Internal monitoring External evaluation by a independent and credible agency 8.1 Internal monitoring A joint committee comprising VDAC representatives, the local government (the collector's representative) and the CD representative shall be formed to evaluate the CD projects on quarterly basis. This active participation of local stakeholders inculcates a sense of ownership among the community, and is essential from the point of view of sustainability The CD staff of the operating station shall monitor the CD projects on monthly basis Social audit: The CD staff from one operating station shall conduct annual social audits of another station's CD projects and vice versa, and report following relevant guidelines on yearly basis The CD cell at regional headquarters shall monitor the CD projects implemented by the CD cell at operating stations on quarterly basis At the corporate level, the outcome of the meeting of regional heads of CSR shall be deliberated for suggesting suitable policy interventions. The director (HR) shall review the progress on half-yearly basis. The details shall be presented to the NTPC management on half yearly basis. 8.2 External evaluation The effectiveness of the CD projects shall be evaluated through credible external agencies for providing required feed back and inputs to formulate and improve the projects in future. Each station shall get reviewed/ evaluated its CD projects by a third party at least once every two years. And this evaluation shall be both concurrent and final. 8.3 Grievance Redressal Provision shall be made for a system of grievance redressal and feedback through Lok Adalat or Jan Sunvayee type of arrangement for all its CD projects. This mechanism can be on a fortnightly or monthly basis. This system can address all the grievances of the community from the beginning (at the implementation stage) of the project itself so 19

25 that mid-term review of projects is facilitated and necessary alterations can be made as and when deemed necessary. VDAC representatives, CD staff, R&R staff (if required) and head of the project shall be present during the Lok Adalats/ Jan Sunvaiye. In case the PAP or the beneficiary is not satisfied by the action taken by the head of the project, he/ she may appeal to the Executive Director of the region, whose decision, however, will be final and binding. 20

26 9.1 Reporting 9. REPORTING AND OUTREACH All the operating stations of NTPC shall follow a synchronized reporting format. The reporting format for CD projects is placed at Annexure VI. 9.2 Quantification of impacts The impact made by CD projects shall be quantified by NTPC to the best possible extent with the baseline data/existing status surveys developed before the start of any CD project The operating stations shall identify detailed indicators in consultation with the regional headquarters and corporate centre to report on CD projects. These indicators shall be in accordance with long-term CD goals, and state and national development goals as mentioned in Annexure IV. 9.3 Periodicity NTPC shall carry out periodic reviews of the programmes on a quarterly basis. Quarterly review reports shall be prepared by the operating stations, shared with the community and the staff, and the feedback shall be sought and incorporated into the subsequent action plans as well as in the final annual reports. 9.4 Dissemination/ outreach NTPC shall incorporate a separate chapter/paragraph on the various CD activities undertaken including the facts relating to physical and financial progress into it's annual report NTPC shall make available the detailed documentation of the CD projects inclusive of approaches, processes, expenditure, procurement, impact in the public domain such as internet NTPC shall make information of their CD projects available to their stakeholders through appropriate media The company shall regularly send out press releases about CD projects, particularly in the local vernacular languages, so that the public is in the loop on the company's activities on a sustained basis NTPC shall develop an interactive portal on CD projects. The same will add to the transparency of the CD process in addition to facilitating monitoring and documentation of the CD processes. 21

27 9.4.6 NTPC shall develop a centralized data management system under the Enterprise Resource Plan, related to CD, as prevailing for R&R. The data management system shall develop systems for maintaining archives and updated information which shall be accessible to all the operating stations, regional headquarters and corporate centre. 22

28 A Model ToR for VDAC ANNEXURE I The village development advisory committee (VDAC) is formed with an objective to institutionalize participation of PAPs, gram panchayats, representatives of district administration and NGOs in the planning, implementation and monitoring process of initial community development (ICD), rehabilitation action plan (RAP) and community development action plan (CDAP). Mode of operation of the VDAC 1. The VDAC shall have a minimum 10 members. 2. VDAC shall have representation of both male and female PAPs from each of the category; general, scheduled caste (SC), scheduled tribe (ST), minority, other backward castes (OBCs), below poverty line (BPL), physically challenged, and destitute women. 3. The other members of the VDAC shall represent officers from district administration, local NGOs, and local educational institutes. The list is indicative and not exhaustive. 4. The representative of CD cell shall also be the member of VDAC. 5. The VDAC members shall meet on quarterly basis to monitor the ICD, RAP and CD projects. 6. The minutes of the meetings shall be documented and circulated among the members. 7. The VDAC meetings shall be coordinated by CD cell. 8. All members of the VDAC shall be equally treated irrespective of gender, caste and economic status. Functions of VDAC members 1. The VDAC members shall provide information and suggestions to best of their knowledge while preparation of CDAP as done for ICD and RAP. 2. The VDAC members shall be responsible for monitoring of different components of CDAP on periodic basis during implementation phase. 3. The VDAC members shall submit their monitoring reports to the CD cell of the operating stations. 4. Each member of the VDAC shall be an interface between the CD cell, community and the district administration. i

29 Indicative List of Possible Areas of Interventions 1. Drinking water facility 2. Education 3. Improving the quality of life of girl child ANNEXURE - II 4. Improving lives of vulnerable persons such as physically challenged, destitute women, widow 5. Improving lives of scheduled caste and scheduled tribe people 6. Electricity 7. Solar lighting system 8. Health and family welfare 9. Irrigation facilities 10. Sanitation and public health 11. Animal care 12. Promotion of sports and games 13. Promotion of art and culture 14. Promotion of livelihood for economically weaker sections through forward and backward linkages 15. Relief of victims of natural calamities like earthquake, cyclone, drought, flood situation in any country 16. Supplementing development programs of the government 17. Construction of community centres/ night shelters/ old age homes 18. Imparting vocational training 19. Setting up of skill development centres 20. Adoption of villages 21. Scholarships to meritorious students belonging to SC, ST, OBC and disabled categories 22. Adoption or construction of hostels (especially those for SC/ST and girls) 23. Skill training, entrepreneurship development and placement assistance programs for youth 24. Building roadways, pathways, and bridges 25. Entrepreneurship development programmes 26. Activities related to continuation of R&R action plan 27. Capacity building of the project affected persons to improve their employability ii

30 Cover page: Transforming lives ANNEXURE III Template for medium- term project plan (CDAP) to be submitted by the operating stations Operating station: Sectors of interventions: Start date (Month/ Year): End date (Month/ Year): Total cost of the project: Table of contents: 1. Project area 2. Situation analysis 3. Identification of projects 4. Project strategy i. Health ii. Education iii. Drinking water iv. Sanitation v. Infrastructure vi. Any other 5. Project results and resource framework 6. Project management 7. Tentative budget 8. Reporting 9. Timeline Part A: Identification of project area 1. Name of the villages 2. Boundary and resource map of the identified villages 3. Demographic summary iii

31 Part B: Situation analysis 1. Baseline data collection methodology and analysis 2. Community needs assessment methodology and analysis 3. Identified problems 4. Summary of existing situation Part C: Identification of projects 1. Identified sectors of intervention 2. Justification for the proposed interventions Part D: Project strategy Sub-project (sub-project code): Health (Example: Providing urban health facilities in the target villages) 1. National norms and indicators with regard to the identified sector 2. National policy/strategy to deal with the above situation at macro level 3. Proposed strategy to deal with the above situation at the identified villages 4. Strategy to dovetail with existing government schemes, if any 5. Project goal and objectives 6. Relevance of the objectives to NTPC's business plan/ annual target Sub-project (sub-project code): Education (Example: Empowering girl child through education) 1. National norms and indicators with regard to the identified sector 2. National policy/strategy to deal with the above situation at macro level 3. Proposed strategy to deal with the above situation at the identified villages 4. Strategy to dovetail with existing government schemes, if any 5. Project goal and objectives 6. Relevance of the objectives to NTPC's business plan/ annual target Sub project (sub-project code): Sanitation (Example: Construction of pit toilets in all the households in the target village) 1. National norms and indicators with regard to the identified sector 2. National policy/strategy to deal with the above situation at macro level 3. Proposed strategy to deal with the above situation at the identified villages 4. Strategy to dovetail with existing government schemes, if any 5. Project goal and objectives 6. Relevance of the objectives to NTPC's business plan/ annual target iv

32 Sub-project (sub-project code): Infrastructure (Example: Construction of shorter road to the health centre from the concerned villages) Part E: Project results and resource framework Project code Indicator Present Status Intended output Activities to achieve the mentioned output Budget Duration Start and end dates Part F: Project management 1. Project staff and responsibilities 2. Institutional tie ups 3. Stakeholders participation 4. Community organization (VDACs) and their responsibilities 5. Monitoring and evaluation mechanism Part G: Tentative budget Sub project code Year 1 Year 2 Year 3 Year 4 Year 5 Part H: Reporting Part I: Timeline v

33 ANNEXURE IV An illustrative list of parameters for judging effectiveness of various Community Development activities in a village Education: primary school infrastructure Primary school should be located within 1km and middle of the settlement. 2 Ideally, the area should be of 1 acre; in no case should be less than 1000 m. Not to be located near hazardous area or sources of noise like highways, rail tracks, and factories. Building structure should be pucca one with sufficient class rooms (one room per one section each) and with an 8 ft. high boundary wall. Number of students per section is 40 with teach student ration of 1:40. Uninterrupted electricity for functioning of lights, fans and computers during school hours. Adequate availability of filtered/safe drinking water. Separate toilet blocks for boys and girls with adequate water supply and cleaning arrangements. Playground with all necessary facilities. A minimum of 80% attendance rate each both for students and teachers. Dropout rate of students should be less than 5%. Scholarship/incentives for the students from the poor/bpl households. A minimum of three weeks annual training programme for the teachers. Rural roads infrastructure 100% of all villages with population above 1000 and 75% of all villages with population of All villages must be covered with all-weather roads with necessary culverts and crossdrainage structures. All rural roads except those in an arid region with annual rainfall less than 500 mm and traffic up to motorized vehicles per day (except two wheelers) are required to be bituminous. All roads to be placed in excavation sloping downwards with cross drainage structures. Cement concrete, modified bitumen, fly ash as well as soil stabilization techniques and 113 vi

34 other new technologies/methodologies needs to be used. Adequate fund should be made available to the panchayat for annual repair and maintenance of roads Potable water supply infrastructure The entire population in all the habitations, including the main habitation, should be provided with drinking water that is affordable to all. Access to drinking water should be within 500 meters in plains. In case of distant water taps, maximum travel time for fetching water should be 20 minutes. Minimum availability of 40 litres per capita per day (LPCD) water (drinking-3, cooking-5, bathing-15, washing utensils and house-7, ablution-10) One standpost for every 20 households or 100 persons One handpump for persons Drinking water is defined as safe if it is free from bacteria and chemical contamination like fluoride, iron, arsenic, nitrate, and brackishness in access or beyond permissible limit. Safe potable water through the use of technology like filtration and chlorination. Ensure regular testing of water quality Adequate fund and staff for regular repair and maintenance of borewell/ handpumps and pipelines. Primary health infrastructure One subcentre for population of 2000 (within 3 km of the habitation) and one primary health centre for a population of 30,000 (within 10 km of the habitation). Laboratory facilities for investigations like haemoglobin estimation, urine for albumin and sugar. Labour room with equipment for safe delivery, as well as immunization, contraceptive services, first aid, emergency care, water-quality testing, and blood smear collection. Accommodation for the ANM/ male health worker will be available on rent in the village. Adequate toilet facilities (separate for staff and public as well as for male and female) with regular water supply. Uninterrupted power supply has to be ensured, for which inverter facility / solar power facility is to be provided. vii

35 lives Adequate and safe potable water through the use of technology like filtration and chlorination. Adequate fund and staff members for repair and maintenance all the facilities. Sanitation and sewerage infrastructure Access to pit latrines in rural areas to be 100 per cent. Community public toilets and bathroom facilities with provision of water and minimum of one toilet/one bathroom for persons. Sewerage design: provision sanitary individual lines for households with underground shallow sewerage system. Toilet blocks in institutional and public buildings such as panchayat ghar, community building, marriage hall, shopping complex. Soak pits with proper drainage facilities around the tubewell/ handpumps. Cemented well compound with proper drainage. Ghat for cleaning clothes and taking baths in the ponds. Adequate fund and staff members for cleaning and maintenance of drains and public toilet. Electricity infrastructure All households in the village should be connected with electricity (minimum life line consumption of 1 unit) within affordable range. All households should have metered connection. One distribution transformer in each habitation of every village or hamlet. Street lighting poles 30m apart, on all major roads, with an average of 20 posts for 1ha. Substation 33/11 kv or 66/11 kv substation would be set up in each block. Where grid supply is not possible, alternative renewable energy sources (solar lighting, domestic as well as street, water pumping, and cooking systems.) should be provided. Arrangement for adequate fund and staff members for repair and maintenance of street lights to the panchayats 113 viii

36 ANNEXURE - V Ongoing National level major Rural Development programmmes in India Pradhan Mantri Gram Sadak Yojna The primary objective of the PMGSY is to provide connectivity by way of an all-weather road (with necessary culverts and cross-drainage structures, which is operable throughout the year), to the eligible unconnected habitations in rural areas, in such a way that all unconnected habitations with a population of 1000 persons and above are covered in three years ( ) and all unconnected habitations with a population of 500 persons and above by the end of the Tenth Plan Period (2007). In respect of the hill states (North East, Sikkim, Himachal Pradesh, Jammu & Kashmir, Uttarakhand) and the desert areas (as identified in the Desert Development Programme) as well as the tribal (Schedule V) areas, the objective would be to connect habitations with a population of 250 persons and above. States may, each year, distribute the state's allocation among the districts giving 80% on the basis of road length required for providing connectivity to unconnected habitations and 20% on the basis of road length requiring upgradation under the PMGSY. Details are available at Swarnjayanti Gram Swarojgar Yojna The objective of the Swarnjayanti Gram Swarozgar Yojana (SGSY) is to bring the assisted poor families (Swarozgaries) above the poverty line by ensuring appreciable sustained level of income over a period of time. This objective is to be achieved by inter alia organizing the rural poor into self-help groups (SHGs) through the process of social mobilization, their training and capacity building, and provision of income-generating assets. The SHG approach helps the poor to build their self-confidence through community action. This process would ultimately lead to the strengthening and socio-economic empowerment of the rural poor as well as improve their collective bargaining power. Swarnjayanti Gram Swarozgar Yojana is a centrally sponsored scheme and the financing of the programme will be shared between the Centre and the states in the ratio of 75:25. The details are available at Rural Housing The Indira Awaas Yojana (IAY) is a flagship scheme of the Ministry of Rural Development to provide houses to the poor in rural areas. The objective of the Indira Awaas Yojana is primarily to help construction/ upgradation of dwelling units of members of SCs/STs, freed bonded labourers and others below the poverty line, and non-sc/st rural households by providing them a lumpsum financial assistance. The Indira Awaas Yojana is a centrally sponsored scheme funded on cost-sharing basis between the Government of India and the state governments in the ratio of 75:25. In case of union territories, the entire funds under this scheme are provided by the Government of India. Details are available at ix

37 Mahatma Gandhi National Rural Employment Guarantee Programme The NREGA is an act and can be amended only by the Parliament. It directs state governments to implement NREG "schemes". Under NREGA, the central government meets the cost towards the payment of wage, 3/4th of material cost and some percentage of the administrative cost. State governments meet the cost of unemployment allowance, 1/4 of material cost and administrative cost of state council. Since the state governments pay unemployment allowance, they are heavily incentivized to offer employment to workers. However, it is up to the state government to decide the amount of unemployment allowance, subject to the stipulation that it not be less than 1/4th the minimum wage for the first 30 days, and not less than 1/2 the minimum wage thereafter. Hundred days of employment (or unemployment allowance) per household must be provided to able and willing workers every financial year. Details are available at Accelerated Rural Water Supply Programme The Accelerated Rural Water Supply Programme (ARWSP) was introduced in by the Government of India to assist the states and union territories (UTs) to accelerate the pace of coverage of drinking water supply. The entire programme was given a mission approach with the launch of the Technology Mission on Drinking Water and Related Water Management in Later, in 1999, Department of Drinking Water Supply was formed to give more emphasis on Rural Water Supply programme. Details are available at Total Sanitation Campaign The Total Sanitation Campaign is a comprehensive programme to ensure sanitation facilities in rural areas with the broader goal to eradicate the practice of open defecation. TSC as part of reform principles was initiated in 1999, when the Central Rural Sanitation Programme was restructured, making it demand-driven and people-centred. It follows a principle of low to no subsidy, where a nominal subsidy in the form of incentive is given to rural poor households for construction of toilets. TSC lays strong emphasis on information, education and communication (IEC), capacity building and hygiene education for effective behaviour change with involvement of Panchayati Raj institutions (PRIs), community-based organizations (CBOs), and NGOs. The key intervention areas are individual household latrines (IHHL), school sanitation and hygiene education (SSHE), community sanitary complex, Anganwadi toilets supported by rural sanitary marts (RSMs) and production centres (PCs). The main goal of the Government of India (GoI) is to eradicate the practice of open defecation by To give fillip to this endeavor, GoI has launched the Nirmal Gram Puraskar to recognize efforts in terms of cash awards for fully covered PRIs and those individuals and institutions who have contributed significantly in ensuring full sanitation coverage in their area of operation. The project is being implemented in rural areas taking district as a unit of implementation. Details are available at x

38 ANNEXURE VI Template of reporting of CDAP and Annual Action Plan Part A: Cover page Operating station: Reporting period: Geographical area of intervention: name of the villages, map of the villages: Summary of projects being reported: Part B: Achievements Name of the sub project/ sub project code Xxx Intended outputs Outputs achieved Intended activities Activities accomplished Challenges: (Challenges shall incorporate the reasons of deviations in the indented and achieved/ accomplished outputs/activities) Sub project/ sub project code Xxx Break up of budget allocated for the reporting duration xxx Break up of amount spent for the reporting duration Reasons for deviation Part C: Sector-wise achievement analysis Sub project Eg. Education Eg. Health Eg. Sanitation Quantifiable Situation as indicators/ per baseline deliverables survey Situation as per previous report Present situation Remarks on rogress/ achievement/challenges xi

39 Part D: Status of beneficiaries Sub project code Type of beneficiaries Infants Children (1-5 years) Girls (6-14 years) Boys (6-14 years) Males (15-35 years) Females (15-35 years) Males (36-60 years) Females (36-60 years) People (above 60 years) Destitute women Widows Physically challenged SC ST OBC Quantifiable indicators Situation as per baseline survey Situation in the last report Present situation Remarks on progress/ achievement / challenges Part E: Participation level of the beneficiaries Sub project/ code Type of beneficiaries Infants Children (1-5 years) Girls (6-14 years) Boys (6-14 years) Males (15-35 years) Females (15-35 years) Males (36-60 years) Females (36-60 years) People (above 60 years) Activities participated Number of persons from Remarks the category participated Cont.... xiiii

40 Sub project/ code Type of beneficiaries Destitute women Widows Physically challenged SC ST OBC Part F: Publicity and outreach Part G: Support received from the local authorities/government Part H: Case studies / success stories Part I: Lessons learnt Activities participated Part J: Intended outputs and activities for the next reporting period Number of persons from Remarks the category participated xiii

41 BPL CBO CD CDAP CIG CSR EMG EVOICE GoI HR ICD MDG NAS NETRA NGO NREGA O&M PAP PSU PIC RAP R&R SHG ToR VDAC ANNEXURE - VII ABBREVIATIONS Below Poverty Line Community-Based Organization Community Development Community Development Action Plan Common Interest Group Corporate Social Responsibility Energy Management Group Employee Voluntary Organization For Initiative In Community Empowerment Government Of India Human Resources Initial Community Development Millennium Development Goals Needs Assessment Survey NTPC Energy Technology Research Alliance Non-Governmental Organization Mahatma Gandhi National Rural Employment Guarantee Programme Operation And Maintenance Project-Affected People Public Sector Undertaking Public Information Centre Rehabilitation Action Plan Rehabilitation And Resettlement Self-Help Groups Terms Of Reference Village Development Advisory Committee xiiii xiv

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