Toolkit for TPIM for BSUP/IHSDP Projects

Toolkit for
THIRD PARTY INSPECTION
AND MONITORING
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Toolkit for TPIM for BSUP/IHSDP Projects Third Party Inspection and Monitoring : Objectives

Goal:

To evolve a state level mechanism for Third Party Inspection

and Monitoring of Projects sanctioned under JNNURM.
This process will keep track of physical and financial
progress of projects throughout the project life cycle.

Specific Objectives :

Enable the State Level Nodal Agencies to appoint TPIM

Agencies for review and monitoring of all JNNURM projects
implemented by ULBs, parastatals and other implementing
agencies.

Bring standardisation and consistency in the process,

functioning and scope of activities of external TPM Agencies
engaged for monitoring of JNNURM projects.

Provide a structured report on the projects under JNNURM.

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Toolkit for TPIM for BSUP/IHSDP Projects Need for TPIM

Mission Directorate, MoHUPA is currently

implementing a web enabled Management Information
System (MIS) for JNNURM Project Tracking and
Integrated Urban Poverty Monitoring System (IPOMS).
The system is designed to capture physical and financial
progress of JNNURM schemes, to be used for the
release of subsequent installments.

This information is cross verified with independednt

report from TPIMA, to identify the constraints and
issues in the project implementation and enable a
corrective action if necessary.
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Toolkit for TPIM for BSUP/IHSDP Projects Specific Objectives of TPIM

•• Better
Betterproject
projectquality.
quality.
•• Cost
Costcontrol.
control.
•• Time
Timecontrol.
control.
•• Improved
Improvedplanning
planningand
andbudgeting.
budgeting.
•• Control
Controlover
overfund
fundflow
flowand
andutilisation .
utilisation.
•• Measuring
Measuringproject
projectoutputs.
outputs.
•• Measuring
Measuringimpact
impactofofJNNURM.
JNNURM.
•• TPIMA
TPIMA would
would ensure
ensure that
that suggestions
suggestions and
and recommendations
recommendations
received
receivedatateach
eachstage
stageofofthe
theproject
projectappraisal
appraisal are
are incorporated
incorporated inin
the
the implementation
implementation ofof projects.
projects. They
They will
will ensure
ensure feedback
feedback to
to all
all
key stakeholders.
key stakeholders.
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Toolkit for TPIM for BSUP/IHSDP Projects Scope of Services and Deliverables

PRE CONSTRUCTION STAGE

• Examination of project documentation wrt sanctioned

covenants
• Report on targeted beneficiaries of the scheme (whether
socio-economic surveys, biometric identification,
stakeholder consultations etc. done)
• Review of land requirement/ availability and other
clearances to begin construction
• Examination of bid documentation and bid process.
• Review of Project Implementation Plan and procurrement
process
• Review of site preparation
• Review of Project Management Mechanisms/ Structures
(PERT/ CPM charts)
• Review of probability of cost and time overruns during pre-
construction
(…Contd)
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Toolkit for TPIM for BSUP/IHSDP Projects Scope of Services and Deliverables

CONSTRUCTION STAGE

• Report on compliance to statutory requirements

• Report on safety and health aspects
• Report on convergence of scheme with education, health
and social security
• Report on beneficiary participation in the project
• Report on physical progress of the project
• Report on financial progress and fund utilisation
• Report on quality assurance systems and project quality
• Report on social infrastructure and aesthetics
• Report on variations wrt sanctioned covenants
• Report on cost variations and time overruns
• Report on remedial measures to improve physical &
financial progress and quality of scheme
• Report on progress of resettlement and rehabilitation, if any
• Report on court cases/ litigation
(…Contd)
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Toolkit for TPIM for BSUP/IHSDP Projects Scope of Services and Deliverables

COMMISSIONING, TRIAL RUN AND TESTING STAGE

• Report on assets created

• Reports on completion of projects
• Requirement of Operation and Maintenance (O&M)
• System of O&M
• Capacity of staff of ULB
• Training requirement of staff

(…Contd)
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Toolkit for TPIM for BSUP/IHSDP Projects Scope of Services and Deliverables

POST CONSTRUCTION STAGE

• Report on functionality and usage

• Report on O&M of assets created, including
common amenities
• Report on social and environmental impact
analysis
• Report on user/ beneficiary satisfaction
• Report on capacity created
• Report on overall performance and sustainability
of assets created
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Toolkit for TPIM for BSUP/IHSDP Projects Role of TPIMA

TPIMA would function till one year from the filing of project
completion report and give a final report on the overall
performance of the projects. The agency will undertake:

• Desk review of documents and periodical site visits

¾ Ensuring that project documents, output, specifications,
estimate of quantities, work packages, project implementation
plan, on-site monitoring system, temporary connections, worker
accommodation, labour insurance, procurement & storage of
materials, inventory management, delivery, handover, exit and
financial closure plans are in place.
¾ Site visits will be organised at different stages, as indicated by
implementing agencies as milestones in their workplan.

• Filing and uploading of all inspection reports in the prescribed

online monitoring system of the Mission Directorate as well as
by sending reports to SLNA and Mission Directorate. The
reports will be sent at monthly/quarterly interval during
construction stage and at least one report during other stages.

(contd..)
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Toolkit for TPIM for BSUP/IHSDP Projects Role of TPIMA

• Capture moderated and structured perceptions of the

beneficiaries on various aspects of project
implementation like project rationale, strategy, outcomes,
results, rights & responsibilities of stakeholders.

• Estimate the degree of beneficiary buy-in as regards to

the project(s)

• Capture qualitative feedback in narative and in separate

documents
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Toolkit for TPIM for BSUP/IHSDP Projects Reporting Format

The TPIMA would essentially report in the following format:

• Baseline of the Project, including necessary clearances,
approvals, administrative, technical & financial sanctions,
benchmarks adopted etc .
• Outcomes of the project (at initiation milestone)/ the specific
milestone- expected physical & financial progress.
• Observed physical & financial progress including execution
process at the ends of SLNA & implementing agency.
• Compliance and exception reports in process trail, technical and
qualitative standards, financial propriety and integrity.
Certification, if any must be clearly mentioned.
• Recommendations as to how to reduce exceptions, including if
milestones need to be re-phased or any process may need to be
streamlined.
• Follow-up action of the report, which would be ascertained in
the next report.
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Toolkit for TPIM for BSUP/IHSDP Projects Financial Support

The overall cost of monitoring should not exceed 0.5% of the

cost of components for which Central Assistance has been
provided in case of BSUP and 0.25% in case of IHSDP.

Cost of material and sample test is chargeable in actual over and

above the fee and is directly payable to the party performing the
tests. This cost would be borne out of the State/ ULB share.
The following maximum charges are prescribed:

Desk review of all project documents Rs. 2.0 lakhs

On-site visits Rs. 0.5 lakh / visit

* (Max 14 visits during a project implementation lifecycle for BSUP Project and 12
for IHSDP projects)

* Service tax, education cess, higher education cess etc. will be extra, chargeable on
actual basis. Income tax will be deducted as per IT Act 1964.

(Contd…)
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Toolkit for TPIM for BSUP/IHSDP Projects Financial Support

• TPIMA to start review with site visits for the projects

where tenders have been invited or where construction
had commenced after familiarising with documentation.

• TPIMA to raise quaterly or half yearly bills and the

payments to TPIMA would be made by SLNA.

• The reimbursement of expenditure to SLNA by the

Mission Directorate will be subject to the submission of
the following documents:

• Copy of the contract

• Copy of invoice raised
• Evidence of the payment made to TPIMA by the SLNA
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Toolkit for TPIM for BSUP/IHSDP Projects Selection of TPIMA

• A Consultancy Evaluation Committee, commissioned by the

Mission Directorate finalised the list of empanelled agencies.

• The list, by no means, is binding on State/Uts and SLNA may

appoint agencies outside this list by adopting transparent
competitive bidding process.

• Selection of TPIMA is tobe done by SLNA. After selection,

SLNAs are required to submit the proposal for concurrence to
the Mission Directorate alongwith a certificate that the due and
transparent bidding has been followed as per guidelines.

• Appointment of Agencies ahould be done in accordance with

the Bands to which they are eligible. An Agency qualified for
higher band is eligible to execute work in respect of lower band.
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Toolkit for TPIM for BSUP/IHSDP Projects Conflict of Interest

• Any agency involved as a consultant in project

preparation, supervision or implementation work in any
of the JNNURM projects.

• The team members of TPIMA should not have been

employed by any City or State level government agency in
the 5 years preceding this contract in a particular state

• Any agency blacklisted or debarred would not be eligible

for appointment of TPIMA.
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Toolkit for TPIM for BSUP/IHSDP Projects Roles and Responsibilities

Central Level- Mission Directorate, MoHUPA

► Provide concurrence on the engagement of TPIMA, as selected

by the concerned SLNA

► Review the reports periodically, submitted by TPIMA

► Monitor progress of projects on basis of self-reporting by the

SLNA/ULB and independent reporting by the TPIMA.

► If necessary, seek clarification from TPIMA, with information to

the SLNA.

► Advise the state on quality of reports, submitted by the TPIMA. If

performance of TPIMA is considered unsatisfactory, the Mission
Directorate may advice the SLNA to take corrective action.

► Provide financial support and reimburse the expenditure

towardsappointment of TPIMS as per guidelines.
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Toolkit for TPIM for BSUP/IHSDP Projects Roles and Responsibilities

State/UT Level- State Level Steering

Committee (SLSC)

► Approve the selection of TPIMA by the SLNA

and recommend the proposal to Mission
Directorate for concurrence.

► Take note of physical and financial progress of

JNNURM projects and other issues identified
by the TPIMA.

(…Contd)
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Toolkit for TPIM for BSUP/IHSDP Projects Roles and Responsibilities
State/UT Level- Programme Management Unit (PMU)/ SLNA

► Appoint a suitable agency with the required experience and expertise

as TPIMA.

► Communicate through SLNA to all ULBs/ Project Implementation

and Execution Agencies to provide necessary assistance to the
TPIMAs for conduct of peridical review and monitoring.

► Ensure the performance of TPIMA as envisaged in the contract and

that the reports are submitted regularly.

► Review and examine the reports of the TPIMA, scrutinize issues

highlighted by TPIMA and initiate corrective action.

► Ensure that SLSC and Mission Directorate have access to all review
and monitoring reports, in a timely manner.

► Report to the SLSC, the progress in implementation, and highlight

the issues and constraints that need intervention of SLSC.

► Make periodic payments to the TPIMA for claims of reimbursement

from the Mission Directorate, MoHUPA.
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Toolkit for TPIM for BSUP/IHSDP Projects Roles and Responsibilities

City/Town Level- Project Implementation Agency/ Unit or ULB

► Coordinate with Project Execution Agency (PEA).

► Schedule the visits of TPIMS across different projects in the city.
► Provide required documents, key officials for meetings and other
support required by TPIMA.
► Ensure that TPIMA files their report in a timely manner.
► Coordinate with the PEA to ensure that the project progress is
regularly updated on the IPOMS.
► Examine the reports of the TPIMA and the issues highlighted
therein.
► On the basis of TPIMA reports, take up coordination with various
agencies for resolving bottlenecks in implementation.
► Coordinate with PMU and Mission Directorate, MoHUPA, to
facilitate smooth and effective functioning of the TPIMA.
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Toolkit for TPIM for BSUP/IHSDP Projects Roles and Responsibilities

Project Execution Agency (PEA)

► TPIMA is expected to have intensive interactions with the

PEA.

► PEA need to provide all necessary documents, access to

project sites, time of its senior personnel and engineers, and
enable interactions with consultants and contractors, and
other support required by TPIMA to carry out its mandate.

► Maintain details of all project related documentation during

the life cycle of the project at the project site office/ nearest
office.
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Toolkit for TPIM for BSUP/IHSDP Projects

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