PROJECT PROPOSAL TEMPLATE

Project proposal under “Good Governance and Best Practices”

I. BACKGROUND OF PROJECT AND OTHER BASIC INFORMATION

a) Title of the Project

b) Project Initiator details

i) Department initiating the project
ii) Background of the department
iii) Name and Job Title of the key contact person (person responsible for initiation)
iv) Contact details:
 Address :
 Fax :
 Landline :
 Mobile :
 Email :

c) Implementing Agency details

i) Name of the Implementing Agency
ii) Date of Establishment (if applicable)
iii) Name and Job Title of the key contact person (person responsible for implementation)
iv) Contact details :
 Address :
 Fax :
 Landline :
 Mobile :
 Email :

d) Location of project implementation

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II. PROJECT OVERVIEW OR SUMMARY

Provide a project snapshot covering the following aspects:

a) Identification of stakeholders
b) Reform area(s) the project is designed to address
c) Explain in brief the causes and effects of reform area(s)
d) Highlight in concrete terms the targets envisaged to be achieved.

Table 1

Targets Existing Parameters Proposed Parameters

e) Is the project:
i) A Pilot or
ii) A Roll out of the project subsequent to Pilot phase (give details of pilot in previous
experience section)
iii) Roll out Project without Pilot phase

f) Past experience and lessons learnt

g) Outline in broad terms project activities and timelines

Table 2
Reform Area Activities Timeline
Outcome 1

Outcome 2

Outcome 3 and so on…

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Reform Area Activities Timeline

Cross-cutting Activities

h) Project Cost with complete item-wise details:

Table 3
(Rupees in Lakhs)
Costs Year 1 Year 2 And so on
Investment Costs

Recurring Costs

Total

i) Sources of funding
Table 4
(Rupees in Lakhs)
Year Sources of Nature of Amount of funds Total amount of
funding assistance (INR) funds (INR)
Year 1

Year 2 and so
on

TOTAL

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III. PROJECT DETAILS INCLUDING ITS IMPLEMENTATION MODEL

a) Goal:
The goal is a higher order objective/longer term outcome that the project will contribute to. The general
practices of the project are guided by the goal. It is critical to set realistic and relevant goal(s) for the
project as it helps to:
 Plan an approach for implementing the project
 Provide a systematic way for evaluating performance
 Ensure greater buy-in through most of the organization
 Ensure that results obtained are not erratic in nature

b) Objectives:

Identify SMART Objectives

Objectives are the specific and immediate outcomes of the project. S.M.A.R.T refers to the acronym that
describes the key characteristics of meaningful objectives, which are Specific, Measurable, Achievable,
Realistic and Time Bound.

 Specific (concrete, detailed, well defined): Specific means that the objective is concrete,
detailed, focused and well defined. Objectives must be straight forward and emphasize
action and the required outcome.
 Measurable (numbers, quantity, etc.): If the objective is measurable, it means that the
measurement source is identified and we are able to track the actions as we progress
towards the objective. Measurement is the standard used for comparison.
 Achievable (feasible, actionable): Objectives need to be achievable because if the
objective is too far in the future, it will be difficult to remain motivated and strive to attain
it.
 Realistic (considering resources): The achievement of an objective requires various
resources, such as, skills, money, equipment, etc. Realistic means that all such essential
resources are available or possible to arrange.

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  Time-Bound (a defined time line): Time-bound means setting deadlines for the
achievement of the objective. Deadlines need to be both achievable and realistic

c) Stakeholder Analysis
 Identification of stakeholders and description of their roles and responsibilities, level of
influence and proposed engagement/ communication strategy

Table 5

Stakeholder Roles and Engagement/

Level of Influence
Group Responsibilities Communication Strategy

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IV. SERVICES & SERVICE LEVELS

a) Background Context & Broad Project Rationale

Based on the goals and objectives, in this section, the DPR should provide a background of the e-
Governance initiatives and NMMP for e-Governance, with overview of implementing department,
demographic details, functions, core services, situation assessment for service delivery, e-Governance
opportunities, the details about re-engineered processes, benefits to the citizens etc.

b) City / implementing departments Overview

This section would provide city details like demographic characteristics of the city, growth, economic
base, key drivers of economy, organization structure, core services offered, revenues and expenditure etc.
c) Services provided by implementing department/City/State proposed through e Governance

In this section, the DPR would detail out the services provided / functions performed by them as part of
the various process involved in the service delivery through e Governance. The services provided by
implanting department should be categorized into section like services as G2C – Government to Citizen,
G2B – Government to Business, G2G – Government to Government. The services should be further
classified into services, activities, processes having internal and external interface.
d) Governance Assessment (AS-IS Process)

This section would detail out the existing situation of e-Governance initiatives and levels of e-
Governance implementation in the city/State. Based on the services provided by the implementing
department/City/State, the current situation of the areas for e-Governance should be provided. The
situation analysis of the existing functional system specific to the reform agenda areas should detail out
the key strengths, weakness in the process, activity work flow, delivery system etc. The assessment for
the reform areas should bring out details of ‘AS-IS’ process in detail with focus on the key service levels
like delivery of services in number of days, hours etc, mode of delivery, efficiency, broad cost of service
provision etc. The service levels parameters that should be used in measuring the efficiency, transparency
and reliability of the core services should be in terms of: service quality, service quantity, service delivery
time, and service cost.
Indicative format to conduct As-IS analysis is given in the below table

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 Table 6
Provide all
Description Location 1 Location 2 Location 3 Total
locations….
Back end (including database management tools used)

Middle ware (including application software)

Front end delivery channels (including application software)

Network devices

Information Security

 Options Analysis

Please provide detailed description of various options and reason for selecting the given option
(Technology – including Networking, backend, middleware, front end and security standards
being adopted)

e) Business Process Reengineering (TO-BE Process)

Based on the envisioned scenario and the rationale adopted, the conceptualization of the reengineered
process, detail rationale for justification of changes in the process should be provided. This section should
detail out the ‘TO-BE’ process to be adopted for the reform areas as part of the e-Governance areas.

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The section should detail out the benefits of the ‘TO-BE’ process to be categorized into various categories
like benefits to the citizens, organization, government, stakeholders etc. The value addition/ benefit can
be in terms of indicative indicators like reduction in time frame for processing of activity / service /
function etc, reduction in terms of costing, etc.
Based on the initiatives taken by implementing department/City/State, the project may either require
further updation of the existing services or develop the service as it did not exist earlier. These initiatives
can be categorized as green field and non-green field projects.
Green field project would be the projects which will be implemented for the first time and did not exist in
the earlier, and non-green field projects are would be the projects where an application solution already
exists and is functional within the implementing department/City/State for the identified services. Any
request for complete change to the existing application/ software would invite the identified gaps,
identified new solution and justification / rationale for the proposed change. Table 7 & 8 below needs to
be filled in by the implementing department/City/State for clear understanding of the AS-IS Process, TO-
BE process and the perceived benefits of the new process.

Table 7: Perceived benefits

S.No. Service Area As – Is Process TO-BE Process Perceived Benefits

f) To-Be scenario
Table 8

Location Provide all

Description Location 1 Location 2 Total
3 locations….
Back end (including database management tools used)

Middle ware (including application software)

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 Location Provide all
Description Location 1 Location 2 Total
3 locations….

Front end delivery channels (including application software)

Network devices

Information Security

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V. TECHNOLOGY INFRASTRUCTURE

Based on the details provided in the previous section which covers details primarily on services and
service levels, e-Governance assessment, vision and business process reengineering, this section should
detail out the technology infrastructure component keeping in mind the state of affairs of e-Governance in
the need for developing a total e-Governance solutions.

a) Details of Existing Technology Infrastructure (AS-IS Scenario)

Application Details

The section on application details should provide details about the existing application infrastructure of;
the following are the major points that should be covered in this section.

 In case an application solution already exists in the individual service modules addressing a part
of the envisaged requirements, a gap analysis is required to be conducted by implementing
department/agency/City/State to identify the additional features required to be developed.
 The DPR should provide details of the existing volume of database for the core service areas.
 For continuing to use the current application solution and developing a new solution addressing
the additional requirements, an appropriate strategy for effective integration of existing and the
new system need to be developed and should be explained adequately. The existing solutions
should meet the STQC criteria in terms of standards or should have been certified by the STQC or
any other agency approved by the DeitY.

Networking Components

In this section, the DPR should provide the details of the existing networking components of the
infrastructure which may cover onsite as well as offsite details as follows

 Provide details on how the existing networking components can be used or integrated with the
new setup.
 implementing department/agency/City/State should also provide detailed inventory of existing
networking components
 The DPR should provide details of the number of physical locations, departments / offices, users
in the department, existing delivery channels like Citizen Facilitation Centers (CFC), SWAN,
SDC etc

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Overall Network / Server Architecture

The DPR should provide details of the overall network/server architecture of the implementing
department/agency/ for the existing setup:
 The DPR should provide details like detailed diagram of current network & server architecture.
 DPR should provide existing infrastructure details (specifically application including disaster
recovery, hosting servers etc) and re-use.
 Network architecture/ devices, the design and hardware that is used by the implementing
department/agency/ to ensure smooth communication between computer systems and/ or devices should
be detailed out in DPR with adequate information. For the purpose of DPR a detailed description of
design (wired or wireless) and hardware should be provided for:
- Local Area Networking
- Wide Area Networking, (if any)

Information Security Measures

The following are the key points that need to be covered for providing the ‘Information Security
Measures’ provided as below:

 DPR should provide details of current information security measures in place such as firewall,
anti-virus server, intrusion detection system etc.
 Details of the existing security policies (if any)
 Detailed inventory of such applications / hardware should be provided.
 DPR should examine if the current security application / hardware can be re-used for proposed e-
governance infrastructure.
 Details of security audit should be provided.

b) Details of Proposed Technology Infrastructure (TO-BE Scenario)

Option Analysis

The DPR should provide details of how the technology options are being evaluated while sizing the
required infrastructure for the implementing department/agency/. While deciding upon the options, details
about reuse of existing infrastructure should be adequately provided. The DPR should cover the following
details:

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  A detailed cost benefit analysis of all the options should be provided on whether to customize
existing application or acquire a new solution (particularly for the application part/ solution).
 Provide alternative technology options looked at and analysis of their pros and cons.
 Provide reasons and details of the option identified and selected.

The description of various options and reason for selection should be provided in Table 9 below

Table 9: Option Analysis for Selecting Proposed Technology

Detailed description of various options and reason for selection

(For example: Technology – including Back-end, middleware, front-end, networking, and

security standards being adopted)

Option 1:

Option 2:

Option 3:

Selected Option:

Customization of Existing Application

The DPR should provide details of the customization of legacy applications to the new application (if
any) and should cover the following details while deciding the customization:

 The DPR should provide details of the strategy, methodology, and adoption for the data migration
of existing data to the proposed solution.
 The DPR should provide details in this section, about the strategy for effective integration &
testing of new modules with the current system.

Deployment of New Application

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The section should provide adequate details required for finalizing of new application and should cover
the following details, but not limited to as provided below, besides this the new applications should
conform to the STQC certification standards:

 Details of the application deployment period.

 Details about rational for choosing a specific licensing model for application acquisition.
 Details of the go-live stage.

c) Networking Components

The section should provide details of the networking components required for upgrading the network and
should cover details like:

 Highlight networking components for interfacing with SDC and CFC separately.
 The networking component should include absolute essential components such as router, switch
etc.

d) Overall Networking & Server Architecture

This section should provide details of the setup of the networking and server architecture and should be
detailed out adequately, and should cover the details as provided below:

 The architecture should clearly highlight all interfaces

 The DPR should furnish the proposed infrastructure in terms of back end, middle ware, front end
and others in terms of specifications of requirements
 DPR should provide proposed infrastructure details (specifically application) and re-use of
existing infrastructure (if any)
 While providing infrastructure requirements appropriate business to technical requirement
mapping should be provided.
 A detailed third party post implementation review of MIS applications etc. should be provided for
post go-live.

e) Information Security Measures

This section should provide details on the information security measures to be taken while deciding the
proposed network:

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  Details of the entire infrastructure coverage by firewall / IDS of SDC.
 Details about anti-virus and patch management strategy.
 DPR should clearly mention about the security policies that will be in place.
 It should also mention about the frequency of review of various components of the infrastructure
e.g. General Systems Audit, Vulnerability Assessment & Penetration Testing, and Applications
Audit etc.
 The DPR should clearly explain the process to be followed in data migration and secure storage of
data.
 Details about third party review of the infrastructure from “data leakage” and “security” point of
view for the proposed security measures

f) Conformance to Technology & Standards

This section should provide details of the standards to be followed while deciding the technology for
application as well as network points and should cover as detailed out below:

 The DPR should ensure that the e-governance implementation meets the requirements of DeitY
guidelines.
 Technological standards, if any, on inter inter-connectivity and interoperability with regard to
software, network, etc. should be provided.

g) Integration with SWAN, SDC & CSC

This section should provide details of the integration of the new network and application with the SWAN
network and SDC and CSC, with following details to be provided in the DPR:

 Details about SWAN to be used to connect distributed network sites in a Government via private
or public telecommunication lines.
 Details about backbone on which all departmental and core applications would reside.
 Details about how the municipalities and other field offices can hook to the nearest POP of the
SWAN, through leased lines.
h) Disaster recovery arrangement

This section should provide details of any disaster recovery setup envisaged (new or leveraging the
existing setup) for the purpose of the project in case of a disaster.

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 PROJECT IMPLEMENTATION STRATEGY & SUSTAINABILITY PLAN

Based on the complete understanding of the e-readiness assessment, technology infrastructure

requirements, risk assessments, this section should provide details about the project implementation
strategy & sustainability plan keeping in view the risks identified in the previous section. The DPR should
provide the implementation strategy and the sustainability plan keeping in view the various factors like
selection of deployment criteria, delivery channels and other management arrangements for the
implementation of the citizen services and department functions.

Project Implementation Strategy

a) Deployment Criteria

In this section DPR should provides details of deployment strategy (horizontally across all offices/sites
involved or vertically with full functionality in one site on pilot / roll-out basis).

b) Delivery Channels Selection

In this section DPR should identify the Delivery channel strategy for eServices i.e. through Govt. offices
or through private partners or electronic channel.
For example:
 Government channel: The citizen services are to be made available through CFCs/ Zonal
office/ Ward level.
 PPP: The citizen services are to be made available through Citizen Facilitation Centers run by
private partners (if any).
 Electronic channels: website/ Internet

c) Project Consultant

In this section DPR should identify engagement of Project Management Consultant to assist in
preparation of DPR, RFP, Bid process management and oversee the implementation stage and
engagement of different partners for execution and implementation.

d) Institutional Structure

In this section DPR should mention setting up a steering committee to guide the implementation and
details of Management arrangements i.e. Project management team comprised of members from

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Consulting Agency/ System Integrator and official for the implementation management at various levels.
Further, it covers Contracting arrangements.

Structures with roles and responsibilities at various levels of project implementation should be provided
for the following in detail:

 Project Management Committee

 Steering Committee
 Operations and Management team

A. Stakeholders Involvement

a) Stakeholders Identification
In this section DPR should identify stakeholder groups, their stake, roles and interests project (e.g.
employees of the department/ ministry, citizens/ businesses/ other primary beneficiaries who are directly
impacted by the services).

b) Description of Roles and Responsibilities

In this section DPR should state each of the stakeholder group/ stakeholder, corresponding roles and
responsibilities e.g. the role of the Project Implementation Agency should include ensuring all aspects of
project management (such as integration, scope, cost, time, quality, human resource, risk, communication,
procurement, change, partnership) are carefully planned and implemented.

c) Participation by Stakeholders

The extent of involvement of the stakeholder and the stage at which they would be involved (i.e.
conceptualization, design, implementation and continuous improvement) should be provided. The level of
influence of the stakeholder group/ stakeholder (based upon the stakeholder analysis) should be stated and
the corresponding engagement/communication strategy should be stated in Table 13.

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 Table 13: Stakeholders and Level of Influence

S. No. Stakeholder Level of Communication

Roles and Responsibilities
Group/ Name Influence Strategy
1 Government  Define Policies High Communicate the policy
 Approval of works/projects changes, to enable the

 Monitoring of departmental working group to define

functions and frame work plan

 Strategic decision making

2 Employees  Perform duties as per the High Awareness creation and
timeliness sensitization through
 Participate in defining policies training programme
3 Citizen  Should keep themselves informed High Awareness creation
about governmental policies through campaigns and
 Payment of taxes neighborhood groups
 Demand that the services are
delivered as per defined SLAs
 Participate in defining policies &
projects

B. Sustainability Plan

The sustainability plan DPR should describes the procedural, staffing, budgetary and contractual
arrangements that will ensure sustainability of project outcomes, particularly the provisions for retention
of technical staff needed to supervise project-related contracts with the private sector, to supervise
internal ICT activity and to operate ICT infrastructure.

a) Procedural Sustainability

In this section DPR should provide the details of the various committees with members from the
Government as well as from the System Integrator to be formed for the tracking the physical and financial
progress of the project at the time of implementation and operational.

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b) Resource Sustainability

In this section DPR should provide the information related to sustainability of the human resources
deployed for the project. It includes tenure commitments of the key officials from the government, key
technical staff identification, Strategy for hiring, training, remunerating and replacing key technical staff
to ensure the smooth project implementation.

c) Technological Sustainability

In this section DPR should provide the information on the factor which are important from the technical
perspective like standardization of the application, streamline appropriate application development
strategy with flexibility and diversity in the system, interoperability with the existing and proposed
modules, balance between uniformity in design and flexibility in implementation, reverse compatibility of
application with legacy systems, logical and application security of the system.

d) Financial Sustainability

In this section DPR should provide the factors considered for the financial sustainability of the project
like Government commitments for O&M budgetary support, to absorb ongoing staffing costs, source of
the funding in case of PPP failure.

e) Contractual Sustainability
In this section DPR should provide the steps required for the issues related to legal and policy framework,
authentication/security of Private Partner transactions, design of Service Level Contract and ability to
enforce them for project consultant, suppliers, vendors and private partners, ways to prevent monopoly of
PPP. Table 14 mentioned below should be filled in by the implementing agency for the different
sustainability areas identified and the key factors considered

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 Table 14: Sustainability and Key factors

S. No. Areas Description Key factors Action steps

1 Procedural Sustainability

2 Resource Sustainability

3 Technological Sustainability

4 Financial Sustainability

5 Contractual Sustainability

VI. PROJECT COST & IMPLEMENTATION SCHEDULE

Based on the further inputs from risk identification and project implementation strategy & sustainability
plan this section should provide details about project cost and implementation schedule for the project. In
this section, the DPR will provide details about project cost, and to be provided fewer than two broad
heads (i.e. investment cost and recurring cost). The component based estimates should be provided under
respective heads for the entire term of the project. The detailed implementation schedule should provide
the details about how to implement the project within the time bound manner.

Detailed Bill of Material (BOM) & Project Expenditure (One Time & Recurring)

The DPR should provide detailed BOM (Bill of Material) separately under two categories i.e. one time
investment cost and recurring cost for every component. The details of the indicative activities that may
be undertaken under the two heads i.e. investment cost and recurring cost.

The DPR should provide component wise investment details and should be mentioned based on the
detailed assessment of the existing as well as proposed application system or service modules, like
number of computers, scanners, printers etc. All expenditure should be clearly highlighted with
appropriate headers, like GIS application for particular service areas

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It is advised that the implementing agency should budget for the cost of 3 rd party audit post
implementation review in DPR.
Financing Plan
The year-wise breakup of source (Central Govt(DeitY) / State Government/ Other including private sector
support) , the amount of funds and the form of assistance over the project life, should be provided, as per
the Table 15 below.
Table 15: Financing Plan (Central Govt(DeitY) / State / other share)

Central Govt
State Other
(DeitY)
Total
Period
Amount Amount Amount (Rs. Lakhs)
(Rs. Lakhs) (Rs. Lakhs) (Rs. Lakhs)

Year 1

Year 2

Year 3

Total

% % %

A. Public Private Partnership (PPP) Arrangement (if applicable)

In this section the DPR should mention the details of PPP arrangements. PPP is a mode of implementing
government programme/ schemes in partnership with the private sector. The term ‘private’ in PPP
encompasses all non-government agencies including corporate sectors, voluntary organizations, self help
groups etc. The PPP options may be worked out for the full or the part services components (For
example: citizen facilitation centers through PPP, citizen grievances system through PPP, etc.

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A broad range of alternatives exist for PPP models which may be followed by implementing agency. The
options range along a continuum within the extreme of almost complete ownership and responsibility of
operations, maintenance, capital investment and commercial risk with the public sector through joint
responsibility to complete private responsibility. For example, some of the approaches currently being
adopted for PPP in e-Governance include:

(i) Fee Based Approach: Under this approach the private party would make an initial investment in
setting up systems and structures and in return would be allowed to fix nominal charges (in consultation
with government) for public services to be collected either from government or public, e.g. Collecting
nominal charges for issuance of birth certificate, death certificate etc.

(ii) Cost Saving Approach: This approach is specifically used where the Government brings about
substantial changes in existing processes through extensive Government process reforms and use of
information technology, which leads to large scale of savings in terms of staff and real estate. Under this
approach the private party provides the initial investment along with their management expertise and in
return they are entitled to share of the cost saved, e.g. cost saving due to online processing of property
transfer and registration document can be shared.

(iii) Advertising & Sponsorship Fee Approach: Under this approach, the government may collect fees
in exchange for direct advertising by a private company on a government website, indirect marketing (by
tracking user spending habits on the government website and beyond) or by sponsorship arrangements.
The advertising arrangements could be based upon a measurable outcome, such as the number of users
who either visit or purchase items from the website advertised.

(iv) Full Service Approach: Under this approach, the private sector is hired as a contractor to take over
certain responsibilities of the Government, and may retain staff on the government’s behalf, in return for
a fee.

(v) Shared Revenue Approach: The shared revenue approach is adopted where there are ways in which
the government may generate new revenue from enhanced services. This increased revenue can be used
as a way to offset project costs, or finance the investment made by the private sector.

If any PPP model is adopted for delivery of services under the project, the following aspects of the model
must be clearly stated in the DPR:

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(i) Business Model: The business model for the proposed PPP should clearly be explained in the
areas of:
 Service deployment plan
 Demand projections and price elasticity of demand
 Fees and fee setting mechanism
 Revenue projections for the operator
 Estimated investment (including phasing of investment) and operating costs
 Proposed cost sharing arrangements between state, centre and private participant
(ii) Key Design: The key design features of the implementation that affect the overall cost/revenue
model for potential private partners must clearly be explained in the areas of:
 IPRs
 Change management
 Service level agreements
 Security requirements
 Confidentiality requirements
 Business continuity requirements
 Termination provisions

(iii) Financial Analysis:

 Provide net cash flow and net present value (if applicable)
 Cost benefit analysis of the PPP
 Sensitivity analysis (i.e. an analysis of how some key occurrences impact project sustainability
should be carried out for the Project.)

(iv) Feasibility Management: Feasibility Management should provide clear information concerning
all existing and expected factors, which may support or oppose the implementation of the PPP
options. Feasibility management of all PPP options requires:
 Analysis of a government commitment and community support for a certain option;
 Well-researched and negotiated legal contract
 Strong regulatory and institutional environment
 Analysis of the state of the utility, existing regulation, financial viability and risks.

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IMPLEMENTATION SCHEDULE

a) Phasing of project activities: In this section DPR should specify detailed quarter wise schedule
phasing of project activities and schedule of implementation for each phase

b) Critical dependencies in the project: In this section DPR should mention critical dependencies
on the person identified in the project.

c) Expected timelines for completion of key milestones: In this section DPR should mention the
expected timelines for completion of key milestones and associated process indicators for the
same.

The implementation schedule detailing out the list of activities to be carried out, their timelines and the
persons responsible for carrying out the same during each phase of the project, should be provided in the
Table 16 provided below.
Table 16: Timeline Completion for Key Milestones

Project Responsibility. Target Project Duration

Activities Date
Year 1 Year 2 Year 3 and so on

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

VII. CHANGE MANAGEMENT & CAPACITY BUILDING

Based on the project implementation schedule, sustainability plan and proposed modules to be
implemented, this section should provide details about the capacity building and change management
based on the existing capacity available.

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 A. Organization Structure

a) Current Organization

In this section the implementing agency will provide the existing Organization Structure. The structure
needs to include geographical spread like zones, wards, key positions and key roles.

b) Key Functional Entities

In this section, the implementing agency will provide details of the existing functional entities /
departments and their structure. The section should elaborate their role within the structure. The inter-
relationship of the departments may be provided to understand the functional integration of departments.
Special focus needs to be given to the IT organization structure, since IT Organization within the
implementing agency will be the IT backbone throughout the entire project cycle. The details of the
existing number of employees under each functional entity may be provided to understand the user base
for various applications.

c) Proposed Organization

DPR will also provide proposed Organization Structure of the Unit, in which the project is to be
implemented. In this section, geographical spread and key positions and roles will be included. Proposed
interrelationships with other Govt. bodies or any key institutional relationships with citizens/ business/
other government departments to carry out the change management process will be highlighted. DPR will
attempt, as much as possible, to elaborate the nature of the relationship and its objectives, along with the
proposed manpower strength of the new setup and details of proposed users for service module
applications.

d) Change Management and Capacity Building

Managing large scale change programme will pose various technical and cultural challenges. To address
these challenges, it will be essential for implementing agency to have a structured plan in order to usher in
the new changes. This section should detail out change management and capacity building plans of the
implementing agency.
e) Stakeholders in the Change Process

In this section, DPR will mention the stakeholders identified in the Stakeholder Analysis Exercise and
key areas to be addressed as a part of technological and mindset change for those stakeholders.

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f) Identification of Capacity Building and Change Management Needs

Since e-Governance program envisages fundamental attitudinal and technical change, DPR should detail
out identified key capacities required to be built at various levels. This will also mention the levels at
which capacity is built, such as Project Implementing Unit, Project e-Mission Team, State e-Mission
Team and Ministry/Department level.

DPR would mention Training/ Skill gaps identified on the basis of a training needs assessment (TNA),
both functional as well as technical.

B. Awareness, Communication and Training Strategy:

A challenge will be faced by all implementing agency regarding Awareness Creation. Development of a
communication strategy and plan that will ensure both internal and external stakeholders are made aware
of the changes envisaged due to the project (such as key process changes, its impact with respect to
human resource aspects, need for customer centric mindset etc.). Communications strategy will develop
messages/ communications that are segmented and customized for different audiences, answering their
questions.

Awareness will be followed by specific, input focused training. As a part of this section, DPR will
mention change management training strategy and roadmap. This training plan would include programme
design and resource assessment for training infrastructure and logistics and would serve as the basis for
training implementation.

Parameters and processes to identify the sources of training (In-house Trainers, Consultants, outside
specialized agencies etc.) will be mentioned in the DPR. Training execution methods such as case study,
classroom inputs etc. should be outlined.
a) Awareness Creation

It is critical to ensure that a communication and capacity building strategy is effectively developed and
carried out, the details should cover the following issues:

 Citizens/Business/Government have an understanding of why change is happening

 Citizens/Business/Government has ownership of the project.
 Resistance is identified and dealt with early in the process
 Momentum is built throughout different areas and levels within the organization

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  Changes are less painful to the organization and to the employees
 A coalition of support among senior leaders and managers for the project
 There is a higher probability of meeting project objectives.
b) Impact Assessment of Change Management and Capacity Building / Communication Plan

Implementing agency would detail out Training Effectiveness Feedback mechanism as a means for
improvements in the Training Strategy

C. Staffing and Deployment Strategy

a) Staffing and Deployment Plan

Current and proposed staffing and deployment plan need to be detailed out by the implementing agency
eliciting staffing strength at each location, their relevant skill and competency levels. The staffing plan
will include role description of the proposed hires. The deployment of various staff members along with
roles and responsibilities along with project phase and location has to be captured in Table 17 mentioned
below.
Table 17: Staff Deployment

Roles and
Number Project Stage Location
Position Responsibilities

Project Implementation
Agency

Line Department

b) Staffing and Deployment Process

DPR should mention the mechanism for staffing or deployment. The DPR should include the process of
staffing of additional manpower and deployment of the existing manpower for the desired new service
module applications at relevant stages of the project.

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c) Remuneration Levels

DPR should also mention proposed process of deployment and indicative remuneration levels of the new
hires.

VIII. Assumptions & Risk Management

With the broad understanding of the above sections covering details like service & service levels,
technology infrastructure to be provided in DPR, this section of DPR should provide details about the
objective of Risk Management for the program, the organization structure for risk management, a plan for
Risk Management and benefits that will be envisaged due to risk management plan in place.
A. Risk Assessment
Risk Assessment phase includes two stages - Risk Identification and Risk Analysis

a) Risk Identification

In this section the DPR will identify the potential areas of risk at all stages of the program (i.e. inception,
implementation and post implementation) and nature of risk like given below in Table 10
Table 10: Illustrative table for Risk Identification

Risk Examples

Technology  The application will not provide all required functionality.

 The application will contain excessive defects. The application’s
transactions will not be auditable.
 The application’s outputs will be inadequately accurate or precise.
 The application not compatible with other applications
 Obsolesce of technologies
Economic Risk  Risk due to insufficient revenues to cover operating costs and
financing a project
Financial Risk  Cost Overrun
 Inadequate Cost Estimates
Change in scope  Scope creep
Risk  Wrong scope identified
Organizational issues Risk  Risk due to changes in the Organizational Structure

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 Legal/contractual risks  Risk due to improper/ insufficient Legal/contractual risks agreement
with the vendors, contractors etc.
Resource Risk  Inadequate Staffing
 Inadequately Trained Staff
 Inadequate Staff Productivity
 Inadequate Development Tools
Schedule Risk  Unrealistic Schedule
 Inadequate Schedule Estimates

Please note that the above mentioned list of risk is an indicative list and DPR can identify more number of
risks depending on the environment. The template for the risk identification has been provided as per the

Assumptions for Risk Management

Assumptions are factors that have an influence on the achievement of project objectives. They need to be
managed for achievement of activities, outputs and objectives. The various assumptions that have been
taken into account should be listed.

For example:
Assumptions may be related to growth rate of demand for proposed services, availability of qualified
personnel and technology etc.

b) Risk Analysis

Risk Analysis criteria:

In this section, the DPR have to describe the risk assessment criteria to be used by them and also provide
a rationale behind choosing the risk assessment criteria.
Calculation of Risk Measure:
For each risk identified in above section, the DPR have to analyse the risk by considering the range of
potential consequences in terms of cost, schedule and/or performance etc.and how likely they are to
occur. A risk assessment matrix has to be prepared combining the cconsequence and likelihood and thus
the estimated level of risk have to be calculated and detailed out adequately in this section.
Risk Measure= (Threat Impact) * (Likelihood of Exploitation). The Values of the Risk Measure can be
classified as High, Medium; Low based on the Risk Measure Table 11 as shown below:

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 Table 11: Calculation of Risk Measure

Impact Low Medium High

1 2 3

Probability

Low (Score 1) (Score 2) (Score 3)

1 Low Low Medium

Medium (Score 2) (Score 4) (Score 6)

2 Low Medium High

High (Score 3) (Score 6) (Score 9)

3 Medium High High

B. Risk Mitigation

Risk Mitigation Strategy based on Risk Evaluation Matrix

The DPR have to provide a Risk Mitigation plan, specific management action plan that includes
consideration of funding. The Table 12 below will help the implementing agency to understand the
different categories of the risk identified.

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 C. Risk Monitoring

Table 12: Description of different types of Risk Measures

Score Risk Category Description

6, 9 Risk will have a high business impact on the organization. These

Extreme
risks require further action to be mitigated. The risks have to be
prioritized and mitigation plan has to be prepared.
Risk mitigation plan has to be monitored with timelines and MIS
format for reporting should be included.
3, 4 Materialization of the threat (on the asset) will have a moderate
Medium
business impact. These risks require further action to be
mitigated. The risks have to be prioritized and mitigation plan has
to be prepared.
Risk mitigation plan has to be monitored with timelines and MIS
format for reporting should be included.
1, 2 Low Implementing agency to take a stand to either accept the risk or
devise mitigation plan. The cost benefit analysis should be
supported along with.
The risks those have been accepted have to be monitored. A
monitoring plan with timelines and MIS format for reporting
should be included.

It is very important to keep monitoring risks on periodic basis. Risk Monitoring is therefore the process

That systematically tracks and evaluates the performance of risk handling actions against established
metrics throughout the project. During risk monitoring meetings, existing risks as well as new risks are
reviewed and discussed in details by the Project Team.

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IX. MONITORING & EVALUATION

Having detailed out all components of the project as provided in the previous sections, it is essential to
have details about controlling of the project at various stages initiation, development and implementation.
In this section, the DPR will provide details about the indicators for assessment of success / failure and
means of their verification. The DPR should provide details of the program monitoring plan, and
reporting mechanism. The program evaluation plan should be prepared by implementing agency which
will essentially cover the baseline surveys (starting line against which performance will be evaluated) and
end line surveys (status of indicators after implementation has been done).
A. Monitoring
a) Program Monitoring Plan

In this section the DPR have to identify

 What does the implementing agency want to monitor
(For Example: Activity, Sub Activity, Timelines, milestones, quality, Human Resources and
Training, issue and deviations etc.)
 During which stage of the program the implementing agency want to monitor the above
identified activities
(For example: Pre-implementation stage, Implementation stage etc)
 Explain the different criteria considered while carrying out the monitoring
(For example: Monitoring the program progress against the defined milestones)
 What will be the different methods to be used by the implementing agency for collecting data
(For example: Surveys, interviews, team meeting, project review, feedback, questionnaire etc.)
 At what frequency will the implementing agency be carrying out the monitoring process during
the different phases of the program identified
(For example: Monthly, quarterly, Half-yearly, yearly etc.)
 What will be the cost incurred for the monitoring process
(A cost benefit analysis needs to be carried out by the implementing agency so that there is not
cost over run of the program due to monitoring process. However the implementing agency
have to keep in mind that an effective and efficient monitoring should be in place so that there
is no compromise in terms of cost/ time/ quality)

To carry out the monitoring and evaluation there has to be an overseeing committee. The implementing
agency has to specify the monitoring and evaluation roles and responsibilities structure.

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b) Reporting Mechanism
(Please Note: The data collected through the various means and mechanisms need to be reported/
compiled in a pre-defined format to ensure consistency.)
 The different types of reports to be generated by the implementing agency as a part of
Monitoring and evaluation.
 The implementing agency has to identify the different types of review mechanisms with in
team also mention the timelines for the same. An illustrative MIS for review mechanism has
been depicted in Table 18.
Table 18: Illustrative MIS for Review Mechanism
Action Daily Weekly Monthly Quarterly
Informal discussions with team
Staff meetings with managers
Project review meetings with team
Status report
Team building activity
Report to management etc.

The implementing agency has to prepare milestone reports as follows to track the timelines for the
various activities. An illustrative MIS for milestone tracking has been provided in Table 19.

Table 19: Illustrative MIS for Milestone Tracking

Activities J F M A M J J A S O N D

Activity 1

Activity 2

Activity 3

Etc.

B. Evaluation

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Program Evaluation Plan
 The implementing agency has to clearly identify an evaluation plan for key performance
indicators for the services identified as a part of project implementation.
 The implementing agency also has to clearly define the means of verification of the key,
rationale behind the evaluation criteria, the period for which the evaluation has been done and
at what level the evaluation has been performed.

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