TEAP >> Procurement Procedures
 

Summary Procedures for Selection and Approval of Subprojects 

SI. No

Activities

Required Action

Responsibility

1.

Initial list of Subprojects

Prepare initial list of Subprojects with brief description of activities to be implemented in each Subproject, with rough cost estimates, submit the proposal to PMU through the technical section.

IA(s), with assistance from consultants as required

2.

Compilation and initial review of Subprojects

Compile and review as appropriate based on the selection criteria, the Subproject proposals submitted by the IAs.

PMU with assistance from consultants.

3.

Selection and approval of Subproject

Based on agreed selection criteria and the priority of the State, select and approve the Subproject proposals

Empowered Committee for the respective State

4.

Survey and detailed design

Conduct survey and prepare detailed design.  Hold consultations with different beneficiary groups and civil societies to determine local needs and priorities.  Consider the social impacts of the Subprojects, including the environment and resettlement effects.  Apply the requirements set forth in the IEE and the RF.

IA with assistance from consultant, with inputs from communities and civil societies.

5.

Detailed cost estimates and bidding documents.

Based on the detailed design, prepare detailed cost estimates, bidding documents, and technical specification.

IA and PMU with assistance  of consultant.

6.

Prepare detailed Subproject proposal for submission to ADB

Submit the approved Subproject proposal to ADB, with relevant environmental and resettlement plans, for review and approval

PMU

7.

Final Subproject approval

Review and approve the Subproject proposals

Respective PMU of the State/ADB as Applicable


SUBPROJECT SELECTION AND APPROVAL

A. Eligibility Criteria for Subprojects

1. The Subproject shall be for rehabilitation of Tsunami damaged infrastructure in the transport, rural/municipal infrastructure, and water supply and sanitation sectors in Tamil Nadu of Kerala as the case may be. The eligibility criteria listed below shall represent the threshold general selection criteria for a Subproject to the satisfied prior to application of section specific criteria.


i. The Subproject shall rehabilitate or restore damaged infrastructure and facilities caused by the Tsunami, based on the damaged and needs assessment, and assessment carried out by the Project consultants;

ii. The subproject shall be technically feasible, cost-effective, incorporate multi-hazard resistant design standards of the India or equivalent authorities, and represent a least-cost alternative;
iii. The Subproject shall incorporate beneficiary consultation and input in the selection process where applicable;

iv. The subproject shall be completed within the Project implementation period;

v. The funding or the Subproject shall not overlap wi9th funding from other agencies, though such agencies may co-finance specified support including monitoring, capacity building and indentified poverty alleviation;

vi. All necessary approvals of India and respective State shall be obtained for the Subproject before submission by the PMU to ADB for approval;

vii. Subproject shall be prioritized on the basis of their social and economic impact;

viii. The subproject shall be (a) in compliance with applicable India\State laws and ADB’s Environment Policy (2002); and (b) prepared in accordance with the requirements of the EARPF. Subproject that do not satisfy the EARPF shall not be included under the Project. For Subproject that require and IEE, (1) the IEE shall be included in the Subproject proposal; (2) the related Environment Management and Monitoring Plan (EMP) shall have been prepared for design and implementation; and (3) State and India’s environment clearance including all necessary clearances as applicable for respective State shall have been obtained prior to award of the Subproject contract. In cases of subprojects that require and EIA, the EIA shall be prepared according to procedures specified in the EARPF and approved by the State Governments and ADB prior to approval of subproject;

ix. If the Subproject involves any land acquisition or involuntary resettlement, resettlement plans shall have been prepared in accordance with the applicable India/State laws and ADB’s Policy on Involuntary Resettlement (1995) and the RF. Such resettlement plan shall have been approved by ADB (including any revisions on account of detailed design) prior to the award of the Subproject contract; and

x. In the event of identification of any impacts on indigenous peoples(eg: Scheduled Tribes) under any Subproject, such impacts shall be addressed in accordance with the specific actions as set forth in the RF and such specific actions shall have been approved by ADB prior to the award of civil works contract under the Subproject.


B. Sector Specific Sub-Project Selection Criteria Roads and Bridges

2. The Subproject under Subcomponent B.1 shall also meet the following applicable criteria: (i) a Tsunami-damaged State road at a distance not more than 5km from the Tsunami affected coast line; (ii) a Tsunami-damaged State road not more than 5km along the river or backwater from the coast; (iii) un-bridged crossings on State roads constituting potential evacuation routes which will considerably reduce the time required for evacuation or provide rescue and relief in case of from future Tsunami, storms and cyclones; and (iv) construction activities on the Subproject will commence only after complying with all the statutory environmental requirements as applicable and taking account of road safety requirements which can be duly audited.


Ports and Harbors

3. The Subprojects shall also meet the following criteria; (i) provide emergency or short-term reestablishment of port and fisheries operation; (ii) contribute significantly to mitigation of disasters and pollution; and, (iii) contribute significantly to enhancing safety in maritime transport and fishing.

Water Supply, Rural and Municipal Infrastructure

4. The specific criteria shall include (i) consultation with affected communities including vulnerable groups through local government institutions for water supply and sanitation; (ii) confirmation on the aquifer and river water availability and sustainability for schemes seeking new sources; (iii) contribution to improving environmental conditions; and (iv) confirmation of operation and management sustainability through preparation of operation and management plans with clear stipulation of responsibilities and resource requirements of the concerned parties with their confirmed affordability.


C. Procedures

5. All Subprojects shall be prepared and processed in accordance with the procedures set out below:

(i) The IAs shall select a Subproject form the list agreed with ADB during the loan inception mission for the Project, or propose other subprojects which qualify the eligibility criteria, and shall prepare a project concept paper, which describes the main elements or the proposed subprojects and main justification, and fill out (a) an involuntary resettlement checklist; and (b) and environmental screening checklist.

(ii) The above reports shall be submitted to the PMU, who shall review the reports. If PMU finds that the proposed Subproject is eligible in light of the eligibility criteria and the reports and in order, PMU shall send those reports to ADB for further review, to obtain necessary guidance with regard to the extent of relevant anaiysis, assessment, plan, etc.

(iii) ADB will review the subproject concept reports submitted by the PMU. If ADB finds that a proposed Subproject is not likely to satisfy the eligibility criteria and/or that the agreed procedures, ADB will advise the PMU either (a) to modify the Subproject proposal in a manner that will make it eligible for approval or (b) that the Subproject must be rejected. If a Subproject is rejected, the PMU may propose a replacement Subproject. If the proposed Subproject satisfies the eligibility criteria and procedures, based on the resettlement checklist, ADB will advise on the requirements of preparation and application of the resettlement plan.

(iv) Following approval of a Subproject concept by PMU and ADB, the relevant IA will conduct feasibility study and preliminary design or other similar design works and, based on those works, develop a resettlement plan (if required) and undertake an IEE including an environmental management plan (EMP)

(v) The IA will disclose the resettlement plan (if required) and IEE to the affected persons and incorporate the results of the consultation

(vi) The report of the feasibility study and preliminary design/other design work, including the resettlement plan(if required) and IEE, shall be submitted by the IA to the PMU for its appraisal. PMU will appraise the reports in light of the relevant frameworks. Based on the review, PMU will prepare a summary appraisal report for each of the Subprojects. It PMU finds that one or more proposed Subprojects are technically, environmentally and socially viable and all reports are in orders, PMU will send those reports, with attachments including the resettlement plan (if required) and IEE, to ADB for further review and approval.

(vii) ADB will review the summary appraisal reports, together with required attachments. If ADB finds that the proposed Subproject satisfies the eligibility criteria and procedures, ADB will approve the Subproject. If ADB finds that the proposed Subproject does not satisfy the eligibility criteria and procedures, or does not comply with sector specific criteria, and ADB’s safeguard policies (resettlement, environment or indigenous peoples), ADB may advise PMU on remedial actions to be taken for the proposed Subproject in order for it to comply or reject the Subproject.