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Contents
ABBREVIATIONS 4
I. PROJECT DESCRIPTION 6
A. Project Rationale 6
B. Impact, Outcome, and Outputs 6
II. IMPLEMENTATION PLANS 8
A. Project Readiness Activities 8
B. Overall Project Implementation Plan 10
III. PROJECT MANAGEMENT ARRANGEMENTS 11
A. Project Stakeholders – Roles and Responsibilities 11
B. Key Persons Involved in Implementation 12
C. Project Organizational Structure 13
IV. COSTS AND FINANCING 20
A. Cost Estimates by Expenditure Category 20
B. Allocation and Withdrawal of Loan Proceeds 21
C. Detailed Cost Estimates by Year 23
D. Contract and Disbursement S-curve 24
E. Fund Flow Diagram 24
V. FINANCIAL MANAGEMENT 26
A. Financial Management Assessment 26
B. Disbursement 28
C. Financial Accounting and Auditing 29
VI. PROCUREMENT AND CONSULTING SERVICES 30
A. Procurement Capacity Assessment of PIU KSHIP 30
(i) Summary of the Procurement Assessment 30
B. Advance Contracting and Retroactive Financing 31
C. Procurement of Goods, Works and Consulting Services 33
D. Procurement Plan 34
E. Consultant's Terms of Reference 34
VII. SAFEGUARDS 35
VIII. PERFORMANCE MONITORING, EVALUATION, REPORTING AND
COMMUNICATION 39
A. Project Design and Monitoring Framework 39
B. Project Performance Management System (PPMS) 42
C. Evaluation 45
D. Reporting 45
E. Stakeholder Communication Strategy 45
IX. ANTICORRUPTION POLICY 46
X. ACCOUNTABILITY MECHANISM 46
XI. RECORD OF PAM CHANGES 46
XII. ATTACHMENTS 47
3
The project administration manual (PAM) describes the essential administrative and management
requirements to implement the project on time, within budget, and in accordance with Government and
Asian Development Bank (ADB) policies and procedures.
The executing and implementing agencies are wholly responsible for the implementation of ADB
financed projects, as agreed jointly between the borrower and ADB, and in accordance with Government
and ADB’s policies and procedures. ADB staff is responsible to support implementation including
compliance by executing and implementing agencies of their obligations and responsibilities for project
implementation in accordance with ADB’s policies and procedures.
At Loan Negotiations the borrower and ADB shall agree to the PAM and ensure consistency with the
Loan agreement. Such agreement shall be reflected in the minutes of the Loan Negotiations. In the
event of any discrepancy or contradiction between the PAM and the Loan Agreement, the provisions of
the Loan Agreement shall prevail.
After ADB Board approval of the project's report and recommendations of the President (RRP) changes
in implementation arrangements are subject to agreement and approval pursuant to relevant
Government and ADB administrative procedures (including the Project Administration Instructions) and
upon such approval they will be subsequently incorporated in the PAM.
4
Abbreviations
I. PROJECT DESCRIPTION
A. Project Rationale
1. The Karnataka State Highway Improvement Project (the Project) will upgrade about 615
km of state highways in the State of Karnataka, India and strengthen the capacity of the Public
Works Department (PWD) of the Government of Karnataka (the Government) to develop,
operate, and maintain state road network. Consulting services will be provided to supervise the
implementation of civil works and support establishment and operation of the Planning and
Road Asset Management Centre of PWD (PRAMC). Piggy-back TA will be provided to support
and strengthen PWD capacities in asset management, road safety and private sector
participation. Road improvement works will include upgrading of existing roads to full two lanes,
green field construction of bypasses, strengthening culverts and bridges, constructing new
bridges and cross-draining structures, and constructing structures for resettlement and
rehabilitation.
2. The road network in Karnataka comprises 3,987 km of national highways (NH), 22,078
km of state highways (SH), 50,037 km of major district roads (MDR), and 147,212 km of village
roads (VR). There is an increasing demand for road transport leading to capacity constraints on
the existing road network. Specifically, only 27% of SH and 21% of MDR are considered to be in
good condition, while 14% of SH and 20% of MDR are in poor condition. More than 13,000 km
of SH are already experiencing congestion of various degree, with more than 7,800 km already
operating at the capacity limit.
3. Apart from the need to improve road infrastructure, PWD, in charge of overall road
sector development and management, needs sustainable road planning, development, and
asset management system and capacities. Specifically, PWD needs to: (i) establish an
objective, data driven processes for planning of the road network and road maintenance; (ii)
systematically incorporate safety into lifecycle of state roads; (iii) strengthen capacities to
procure and implement road projects under Private Sector Participation schemes; (iv)
strengthen capacity at zonal and district levels for effective operation, maintenance and
protection of existing roads assets; and (v) provide additional capacities to integrate
environmental and social safeguards into road design, project implementation and operation of
the road network.
4. The long term impact of the Project will be accelerated economic growth in the state of
Karnataka. The immediate project outcome will be more efficient and sustainable transport
operations on the state highway network. Specific outputs working towards achieving the project
outcome will include: (i) Selected immediate priority bottlenecks of the state highway network
are eliminated; (ii) Road sector planning, programming, and policy formulation are transformed
into an objective, data-driven, and sustainable process; (iii) Road safety is improved; and (iv)
PWD capacities for operation, maintenance, and protection of road assets are strengthened.
7
.
5. Contract packages and their locations are described below. Specific design standards
used and improvements proposed are summarized in Attachment E.
►Submission of
proposals
ADB = Asian Development Bank, DEA = Department of Economic Affairs, EOI = Expression of Interest, GPN= General
Procurement Notice, KSHIP= Karnataka State Highway Improvement Project, PAM = Project Administration Manual,
PRAMC= Planning and Road Asset Management Centre, PIU = Project Implementation Unit, PRAM= Planning and Road Asset
Management, RFP= Request for Financing Plan, RPP= Report and Recommendation to the President.
10
7. Project implementation chart recording key implementation activities on a quarterly basis is provided below. It will be updated
annually and submitted to ADB with contract and disbursement projections for the following year.
2010 2011 2012 2013 2014 2015
Item Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
A. Project Preparation
Loan processing and approval by ADB
Loan signing and effectiveness
B. Project Management
Recruit CSC
Execution of consulting services (CSC)
Execution of consulting services (PCC)
C. Civil Works
Pre-construction activities
Procurement (roads and ROBs)
Construction (roads and ROBs)
Maintenance (KSHIP roads)
Procurement (blackspot program)
Construction (blackspot program)
D. Goods
Procurement of Equipment
E. Consulting Services (PRAM)
Recruit Consultants
Execution of Consulting services
F. TA for Capacity Development
Recruit Consultants
Execution of Consulting services
ADB = Asian Development Bank, CSC = Consultant Supervision Consultant, PCC = Project Coordination Consultant, PRAM= Planning and Road Asset Management, ROB=Rail
Overbridge.
- Defect Liability Period
- Maintenance Period
11
• ADB
¾ providing timely guidance at each stage of the
project for smooth implementation in accordance
with the agreed implementation arrangements;
¾ review all documents that require ADB approval;
¾ conduct periodic loan review missions, a mid-
term review, and a completion mission;
¾ ensure compliance of all loan covenants
(institutional strengthening, social and
environmental safeguards, financial, economic,
and others);
¾ timely process withdrawal applications and
release eligible funds;
¾ ensure the compliance of financial audit
recommendations;
¾ regularly update the project performance review
reports with the assistance of PIU KSHIP;
¾ regularly post on ADB web the updated project
information documents for public disclosure, and
also the safeguards documents as per
disclosure provision of the ADB safeguards
policy statement.
Executing Agency
Public Works Department Officer's Name V.Umesh, I.A.S.
Government of Karnataka Position Principal Secretary to Government of Karnataka
Telephone 080-22251449
Email address prs-pwd@karnataka.gov.in
Web www.kpwd.gov.in
Office Address Public Works, Ports & Inland Water Transport Department
#335, 3rd Floor, Vikasa Soudha,,
Bangalore –560 001
ADB
Staff Name Sri Widowati
Position Director
Telephone No. +632 6326794
Email address swidowati@adb.org
8. PWD will be the Executing Agency (EA) for the Project. PIU KSHIP as a part of PWD will be
the Implementing Agency (IA) for the Project. The Chief Project Officer, PIU KSHIP assisted by the
Project Director (Chief Engineer Level) will be responsible for the day-to-day supervision of the
Project. PIU KSHIP will report on high-level matters to the Secretary and Principal Secretary, PWD.
The Project Director has been appointed as the Highway Authority by the State Government under the
Karnataka State Highway Act and as such has adequate decision-making power required for
implementation of all pre-construction activities.
9. PIU KSHIP has a Technical Section, Administration and Social Development and Resettlement
Cell, Accounts Section, Land Acquisition Section, Environmental Management Plan Implementation
Unit and 4 field offices in locations of the project roads, to manage the contracts for civil work and
construction supervision.
10. Flowcharts below show project organizational structure for the Executing Agency and
Implementing Agency.
14
Project Organizational Structure (Executing Agency)
Public Works
Department (PWD)
Executing Agency
Principal Secretary
Public Works
Department (PWD)
Executing Agency
Secretary
Chief Architect
Karnataka Road
Development
Corporation Ltd.__
Managing Director Policy & Programming Information Road Safety Training
Planning ____________________ Technology ____________________ ____________________
____________________ ____________________
Port and Inland Executive Executive Executive Executive Executive
Engineer Engineer Engineer Engineer Engineer
Water Transport
Director
Legend: Will be established under the project
15
Project Organizational Structure (Implementing Agency)
Project Implementation
Unit (PIU KSHIP)
Implementing Agency
_______________________________
Chief Project Officer
Project Construction
Coordination Project Director & Supervision
Consultants Chief Engineer Consultants
Executive Engineer
(Environmental)
Assistant Conservator
of Forests
16
11. Responsibilities of the PIU KSHIP field offices for the implementation of civil works under
ADB financed KSHIP and World Bank financed project (currently under preparation) are
detailed below:
KSHIP Sub-division World Bank Packages ADB Total Road Length in Kms
Division EPC Annuity Packages WB ADB Total
Belgaum WAP-2 103.9 - 103.90
Dharwad WEP -3 AEP-7 38.5 63.44 101.94
/ROB4
Belgaum
Gokak AEP-9 - 130.13 130.13
/ROB3
Basavanabagewadi WAP-3 109.97 - 109.97
Raichur AEP-8 - 74.2 74.20
Raichur Devdurga (Manvi) WEP-4 73.85 - 73.85
Gulbarga WEP-5 28.67 - 28.67
Yellapura -
Shikaripura WAP-4 AEP-6 126.54 105.63 232.17
Shimoga ROB1/
ROB2
12. Establishment of the Planning and Road Asset Management Centre (PRAMC) will be
supported by the services of the PRAMC Consultant financed under the Project. The services of
the PRAMC consultant will be in three phases: (i) preparatory, including developing business
processes, operations manuals, and supply and installation of systems and tools required for
PRAMC operations; (ii) carry out day-to-day operations of the PRAMC conducted in
apprenticeship mode together with PRAMC staff; and (iii) support PRAMC operations on as
needed basis once PRAMC operations are fully taken over by PRAMC staff.
13. PWD will fill 50% of all PRAMC positions with permanent staff by June 2011 and 100% -
by January 2012. PWD will identify suitably qualified staff for these positions and, if felt
necessary, will provide them with dedicated training in their particular fields from June 2011 till
December 2011. PWD will endeavor to retain the staff in PRAMC for 5 years. PWD will provide
adequate office space for PRAMC by June 2011.
14. The functions, staffing and implementation schedule for the establishment of PRAMC
are shown below.
17
Staffing and Functions of the Planning and Road Asset Management Centre
Network Referencing
Road Information Systems Road Data Collection
Head of Section (Assistant Executive Engineer)
Data Analyst * 4 (Assistant Engineer) Data Quality Assurance
Liaison with QCDs / Districts
Bridge Inspections Bridge Inspection Management
Head of Section (Assistant Executive Engineer) Data Quality Assurance
Data Analyst * 3 (Assistant Engineer) Liaison with QCDs / Districts
Managing Traffic Surveys (including
Transport & Traffic Data Manual Counts, Automatic Traffic
Head of Section (Assistant Executive Engineer) Classifier counts, Axle Load Surveys,
Traffic Data Analyst * 3 (Junior Engineer) Origin-Destination Surveys)
Liaison with QCDs / Districts
PROGRAMMING UNIT
Head of Unit (Executive Engineer)
Feasibility Studies
Prioritization of Projects for Annual Works
Programming Office Program
Head of Section (Assistant Executive Engineer) Preparation of Annual Works Program
Transport Economist * 1 (Assistant Engineer)
Engineer * 6 (3 Assistant Engineer, 3 Junior Preparation of Infrastructure Budget
Engineer) Publication of Annual Works Program
Coordination with Project Implementation
Units
Procurement & Project Monitoring Procurement Plan
Head of Section (Assistant Executive Engineer) Procurement Monitoring
Engineer * 6 (3 Assistant Engineer, 3 Junior
Engineer) Project Implementation Monitoring
Right of Way
Head of Section (Assistant Executive Engineer) ROW Management
Engineer * 1 (Assistant Engineer)
Surveyor * 2 (Assistant Engineer) ROW Monitoring
Revenue Officer
Project Assessment Office
Head of Section (Assistant Executive Engineer)
Post-Evaluation Studies
Environmentalist * 1 (Assistant Engineer)
Social Specialist * 1 (Assistant Engineer)
ROAD SAFETY UNIT
Head of Unit (Executive Engineer)
IT Planning
IT Planning IT Architecture
Head of Section (Assistant Executive Engineer) IT Procurement
IT Planner IT Standards & Policies
IT Integration
15. Project cost. The overall project cost is estimated to be about $462.75 million. The total
cost includes physical and price contingencies, and interest and other charges during
implementation. The component-wise cost estimate of the Project is summarized in Table 1:
Sl. Total
Project Component ADB Government
No. Cost
A. Road Infrastructure Development
1 Land Acquisition and Resettlement 30.00 0.00 30.0
2 Utility Shifting and Miscellaneous works 17.00 0.00 17.0
3 Civil works 315.00 252.00 63.00
4 Construction supervision consultants 12.00 12.00 0.00
5 Blackspot programa 5.00 0.00 5.00
B. Institutional Developmentb
6 Equipmentc 15.00 15.00 0.00
7 Road Planning and Asset Management Supportd 5.00 5.00 0.00
C. Recurrent costs
8 Project Managemente 2.50 0.00 2.50
D. Total Base Cost (A+B+C) 401.50 284.00 117.50
E. Contingencies
9 Physical Contingencies 19.00 15.00 4.00
10 Price Contingencies 20.40 16.00 4.40
f
Financial Charges During Implementation
11 Interest during Construction 20.85 0.00 20.85
12 Commitment Charges 1.00 0.00 1.00
Total 462.75 315.00 147.75
a
This will include improvement of selected high accident locations prioritized from the list of 100 blackspots currently available in
PWD. The improvement of blackspots will be guided by a piggy-back TA; will have a high demonstration/replication potential; be
representative of different road entities; and will provide PWD with standardized procedures for blackspot identification, analysis
and treatment.
b
Apart from the Loan financing, ADB support to institutional development will also include a piggy-back CDTA in the amount of $1.5
million.
c
May include GIS hand-held devices for RAAS and PRAMS; mobile traffic and road conditions laboratories with GIS-based video
recording equipment; bridge inspection equipment, weigh stations (permanent and portable);, laboratories, permanent and
portable traffic count stations; off-the-shelf software products and licenses, equipment for TIMS on two pilot corridors; office
equipment, software and hardware for PRAMC, equipment for PWD zones to improve maintenance and safety, such as small cold
milling machines with rumbler attachments, equipment for the implementation of the blackspot program; truck mounted
attenuators, movable barriers etc.
d
Consulting support for outsourced areas of operation of the PRAMC in the initial years before it is fully taken over by PWD. Will
also include services to transform RIS into PRAMS and to support its operationalization, and developing asset management policy
and specific contractual arrangements for the outsourced maintenance, including performance based maintenance contracts.
e
PIU KSHIP expenses related to the Project: PMU staff salary, operational expenses, travel, training, and other eligible
expenditures.
f
Includes interest and commitment charges. Interest during construction for ADB loan has been computed at the 5-year forward
London interbank offered rate plus a spread of 0.3%. Commitment charges for an ADB loan are 0.15% per year to be charged on
the undisbursed loan amount.
Source: Government of Karnataka, Asian Development Bank estimates.
21
a. Percentages of ADB Financing: Except as ADB may otherwise agree, each item
of expenditure shall be financed out of the proceeds of the Loan on the basis of
the percentages set forth in the table attached to Schedule 3 of the Loan
Agreement (reproduced in para 18 below);
ii. if the amount of the loan allocated to any category appears to exceed all
agreed expenditures in that category, ADB may, in consultation with the
Borrower, reallocate such excess amount to any other Category.
18. The table provided below sets forth the Categories of items of expenditure to be
financed out of the proceeds of the Loan and the allocation of amounts of the Loan to each such
Category:
22
Total Amount
Percentage and Basis for Withdrawal from
Number Item Allocated for ADB
the Loan Account
Financing ($)
1 Works 252,000,000.00 80% of total expenditure claimed
2 Equipment 15,000,000.00 100% of total expenditure claimed*
Consulting
3 17,000,000.00 100% of total expenditure claimed*
Services
4 Unallocated 31,000,000.00
Total 315,000,000.00
* Exclusive of taxes and duties imposed within the territory of the Borrower
23
19. The table below provides year wise projections of expenditure accounts in ADB financing:
Total
Sl. ADB 2010 2011 2012 2013 2014 2015
No. Project Component Financing
A. Road Infrastructure Development
1 Land Acquisition and Resettlement 0.00 0.00 0.00 0.00 0.00 0.00 0.00
2 Utility Shifting 0.00 0.00 0.00 0.00 0.00 0.00 0.00
3 Civil works 252.00 0.00 50.40 88.20 88.20 25.20 0.00
4 Construction supervision consultants 12.00 0.00 2.40 4.20 4.20 1.20 0.00
5 Blackspot program 0.00 0.00 0.00 0.00 0.00 0.00 0.00
B. Institutional Development
6 Equipmentb/ 15.00 0.00 0.00 3.00 9.00 3.00 0.00
7 Road Planning and Asset Management Support c/ 5.00 0.00 1.50 1.50 1.50 0.50 0.00
C. Recurrent costs
8 Project Management d/ 0.00 0.00 0.00 0.00 0.00 0.00 0.00
D Total Base Cost (A+B+C) 284.00 0.00 54.30 96.90 102.90 29.90 0.00
E Contingencies
9 Physical Contingencies 15.00 0.00 0.00 0.00 4.50 7.50 3.00
10 Price Contingencies 16.00 0.00 0.00 0.00 4.80 6.40 4.80
F. Financial Charges During Implementation
11 Interest during Construction 0.00 0.00 0.00 0.00 0.00 0.00 0.00
12 Commitment Charges 0.00 0.00 0.00 0.00 0.00 0.00 0.00
Total Cost in ADB financing (D+E+F) 315.00 0.00 54.30 96.90 112.20 43.80 7.80
%Total Project Cost in ADB financing 100.00 0.00 17.24 30.76 35.62 13.90 2.48
24
20. The estimated disbursement progress over the implementation period is provided below.
This will be used to assess disbursement performance at any time during the project
implementation will serve as an early warning system for taking timely remedial measures in
case of delays and poor disbursements.
120
100
98
100
84
Percentage of Utlization of Loan Proceeds
80
60
48
40
17
20
0
1
2010 2
2011 3
2012 4
2013 5
2014 6
2015
Years of Project Im plem entation
21. The following fund flow diagram shows how the funds will flow from ADB and the
Government to implement project activities.
25
IPC
Treasury system Certify
by the KSHIP - Construction
Billing
PIU Supervision
Consultant
Payment
Vouchers Equipment
Suppliers
Payment
Vouchers
Land Acquisition,
R&R, Shifting
Payment Utilities
Withdrawal
Application Replenishment
(monthly) Request for
Replenishment
ADB Ministry of
Withdrawal Finance
Application
India CAAA
Resident
Mission Finance
Department, GoK
GOI
Bank
Controller Account
Funds Flow
Documents Flow
Note: The project may utilize any of the disbursement procedures provided for in the ADB Loan Disbursement Handbook (2007) as amended from time to t
that includes direct payment, commitment, and reimbursement procedure (including SOE).
26
V. FINANCIAL MANAGEMENT
22. Key findings of the financial management assessment undertaken for the KSHIP during
the investment program preparation are as follows:
A. Funds Funds flow arrangements are reliable, predictable and secure. PIU KSHIP
Flow has enough capability to smoothly work under the Project.
Arrangements
B. Staffing PIU KSHIP is staffed with experienced financial specialists. However, under
the present organization set up of finance and accounts section, the finance
and accounts functions are not properly segregated. For better internal check
control, the finance and accounts functions are to be segregated following the
organization chart for Finance & Accounts proposed in the course of Financial
Management Assessment (FMA). Two Assistant positions need to be filled at
the earliest and PIU KSHIP has committed to fill in the positions by end
September 2010. Two positions of data entry operators need to be filled at the
time of installation of the financial management software (Tally) currently
under customization. The financial staff members have to undergo trainings
and workshops on ADB financial management procedures. Financial
Management and Monitoring (FMM) Consultant engaged by PIU KSHIP will
provide such training.
C. 1. Accounting System: At present, the Government Accounting System
Accounting (single entry system - cash based) is followed. Under this traditional system
Policies and the Public Works Department Code, Public Works Account Code, Finance
Procedures Rule and Treasury Code are followed for the preparation of its Accounts
manually. The day to day accounting is primarily limited to Cash Book,
Cheque Records and supporting bills like contractor/supplier/consultants bills.
All original vouchers are submitted to the Accountant General through the
treasury since transactions are done through treasury. Copies of the record
are kept in bound volume with label. The details of the records are collected
from the treasury once a month and reconciled with the treasury. Since the
Project has to produce accounting information under internationally
acceptable accounting principles, it should have an adequate financial
management system and accounting system in place in addition to the
treasury system.
2. Accounts Manual and Procedure Manual: There are no accounts manual
and procedure manual in place for the Project. Currently, Government PWD
code rules are followed for all financial transactions. The FMM Consultant
engaged by PIU KSHIP has prepared the first draft of the Accounts Manual
and also the Manual describing the procedures to be followed. Final draft will
be submitted to ADB by November 2010
D. Internal Annual Project Account: The KSHIP Annual Project Accounts are getting
and External audited by the Comptroller and Auditor General of India on an annual basis.
Audits Consent of the DEA for conducting the Audit of the ADB project account by
Accountant General is sought for by the PIU KSHIP and reply is pending from
MOF.
PIU KSHIP. PIU KSHIP will establish a separate internal audit unit by
November 2010 and will start a three-tier audit system by April 2011. Three-
tier audit system will include (i) pre-audit within the PIU KSHIP, (ii) internal
audit conducted Quarterly by Chartered Accountant, and (iii) Statutory audit
by Comptroller and Auditor General of India.
G. Reporting Timely reporting and quality information is essential for the smooth monitoring
and of the project. PIU KSHIP’s financial reporting must provide information about
Monitoring the sources, allocation, end uses of financial resources and how PIU KSHIP
finance these activities and meets its cash requirements, as well as its ability to
finance its activities, meet its liabilities and its commitments. PIU KSHIP will
submit to ADB its financial reports within 45 days after completion of each
quarter, in both electronic and hard copy format.
23. PIU KSHIP will take all action identified as necessary by the financial management
assessment , including:
(i) PIU KSHIP will fill all vacant positions of the Finance and Accounts staff;
(ii) PIU KSHIP financial staff will undergo trainings on ADB financial management
procedures to further strengthen its capacity;
(iii) Final draft of a separate accounting policy and financial management manual for the
PIU KSHIP will be prepared by November 2010;
(iv) PIU KSHIP will maintain separate accounts for each of the projects under the
Investment Program and have such accounts audited annually, in accordance with
appropriate auditing standards consistently applied by independent auditors whose
qualifications, experience, and terms of reference are acceptable to ADB.
24. Risk Analysis: During the implementation phase, the PIU KSHIP might face some risks
that can generally be divided in two main categories: (i) country level; and (ii)
organization/project level. Timely release of funds to the project is important since the project is
funded on reimbursement basis. Financial management risks shall need to be considered and
updated throughout the life of the Project. Risk mitigation measures shall also be updated
accordingly. The Risk Assessment and Mitigation Measures are listed below:
Risk
Risk Risk-Mitigation Measures
Assessment*
Inherent Risk
1. Country-specific Risks N PIU KSHIP shall ensure the timely release of funds
including counterpart funds to the projects as per loan
covenants since the project is on reimbursement basis
Control Risk
28
Risk
Risk Risk-Mitigation Measures
Assessment*
1. Implementing Entity M Organizational capacity augmentation with the induction
of experienced staff will support the existing
organizational structure.
2. Funds Flow M Timely availability of counterpart funds will be ensured
by implementing the proposed funds flow
arrangements.
3. Staffing M Dedicated and qualified accounting and financial
management staff at PIU KSHIP level shall be recruited
for the vacant positions. The FMM consultant already
engaged shall assist the PIU KSHIP to determine
training needs of the staff. It shall assist them to design
and implement the training program especially for ADB
financial reporting requirements and their integration
into overall national financial reporting requirements
and other statutes.
4. Accounting Policies and M Accounting Policy shall be drafted taking into account
Procedures the international accounting standards and the
requirements of ADB. FMM Consultant is currently
developing such policy.
5. Internal Audit N Internal auditor shall be appointed by the PIU KSHIP for
the Project.
6. External Audit N Audit of the project accounts shall be done in
accordance with the International Standards on
Auditing, by an independent auditor whose
qualifications, experience, and terms of reference are
acceptable to ADB.
7. Reporting and Monitoring M PIU KSHIP shall regularly report in accordance with
ADB requirements on inherent adequate control
mechanisms.
8. Information Systems M Computerized Double Entry system is being installed in
the PIU KSHIP for the ADB funded project. FMM
Consultant is working on customizing the of-the-shelf
Tally software.
Overall Control Risk M
* H – High, S – Substantial, M – Moderate, N – Negligible or Low.
B. Disbursement
25. The Loan proceeds will be disbursed in accordance with ADB’s Loan Disbursement
Handbook (2007, as amended from time to time) 1. The project is funded by ADB on
reimbursement basis. The statement of expenditure (SOE) procedure will be used to reimburse
eligible expenditure and to replenish. SOE records will be maintained and made readily
available for review by ADB's disbursement and review mission or upon ADB's request for
submission of supporting documents on a sampling basis, and for independent audit. 2. Any
1
Available at: http://www.adb.org/Documents/Handbooks/Loan_Disbursement/loan-disbursement-final.pdf
2
Checklist for SOE procedures and formats are available at:
http://www.adb.org/documents/handbooks/loan_disbursement/chap-09.pdf
http://www.adb.org/documents/handbooks/loan_disbursement/SOE-Contracts-100-Below.xls
http://www.adb.org/documents/handbooks/loan_disbursement/SOE-Contracts-Over-100.xls
http://www.adb.org/documents/handbooks/loan_disbursement/SOE-Operating-Costs.xls
http://www.adb.org/documents/handbooks/loan_disbursement/SOE-Free-Format.xls
29
individual payment to be reimbursed or liquidated under the SOE procedure shall not exceed
the equivalent of $100,000.
26. Pursuant to ADB's Safeguard Policy Statement (2009) (SPS), 3 ADB funds may not be
applied to the activities described on the ADB Prohibited Investment Activities List set forth at
Appendix 5 of SPS. All financial institutions will ensure that their investments are in compliance
with applicable national laws and regulations and will apply the prohibited investment activities
list to all contract packages which involve financing by ADB.
27. PIU KSHIP will be responsible for (i) preparing disbursement projections, (ii) requesting
budgetary allocations for counterpart funds, (iii) collecting supporting documents, and (iv)
preparing and sending withdrawal applications to ADB. Before the submission of the first
withdrawal application, the Government shall submit to ADB sufficient evidence of the authority
of the person(s) who will sign the withdrawal applications on behalf of the borrower, together
with the authenticated specimen signatures of each authorized person. The minimum value per
withdrawal application is US$100,000, unless otherwise approved by ADB. The PIU KSHIP is
to consolidate claims to meet this limit for reimbursement claims. Withdrawal applications and
supporting documents will demonstrate, among other things that the goods, and/or services
were produced in or from ADB members, and are eligible for ADB financing.
28. All disbursements under government financing will be carried out in accordance with
regulations of the Government of Karnataka.
29. The PIU KSHIP will (i) maintain separate account for the Project; (ii) have such account
audited annually, in accordance with appropriate auditing standards consistently applied by
independent auditors whose qualifications, experience, and terms of reference are acceptable
to ADB; (iii) furnish to ADB as soon as available but in any event not later than 6 months after
the end of each related fiscal year, certified copies of such audited project accounts and the
report of the auditors relating thereto (including the auditors’ separate opinions on the use of the
loan proceeds, the use of the Statement of Expenditure procedure, and compliance with the
financial covenants of the loan agreement); and (iv) furnish to ADB such other information
concerning such accounts and the audit thereof as ADB shall from time to time reasonably
request.
3
Available at: http://www.adb.org/Documents/Policies/Safeguards/Safeguard-Policy-Statement-June2009.pdf
30
30. PIU KSHIP has a Technical Section responsible for all procurement under PIU KSHIP
composed of 24 engineers working as full time permanent employees. Technical Section
consists of 3 Superintending Engineers, 3 Executive Engineers, 6 Assistant Executive
Engineers, and 12 Assistant Engineers. One position of a Superintending Engineer is currently
vacant and will be filled by 15 September 2010. The staff has sufficient experience in
procurement under the World Bank financed Karnataka State Highway Improvement Project
implemented over 2001-2007 and successfully awarded 50 contracts in the total amount of
$404.80 m. For evaluation of each contract bid, a Technical Evaluation Committee consisting of
3 Engineers is formed, chaired by the Project Director. The recommendations of the Technical
Evaluation Committee are transmitted by the Project Director through the Chief Project Officer
to the Steering Committee. The Steering Committee is chaired by Principal Secretary, PWD
and its members are: Secretary, Finance (Expenditure); Secretary, Finance (Project Monitoring
Unit); Secretary, PWD; Secretary Planning, Managing Director, Karnataka Road Development
Corporation Limited; and Chief Project Officer PIU KSHIP. The Project Director is the Member
Convener of the Steering Committee. Once the Steering Committee decides to accept a bid, the
Project Director forwards the proposal to ADB for concurrence. After ADB concurrence is
secured, the Project Director is empowered to issue the Letter of Acceptance.
31. PIU KSHIP is adopting ADB procurement guidelines and using ADB standard bidding
documents, Multilateral Development Banks (MDB) Harmonized FIDIC general conditions of
contract and bidding procedures under the advance contracting under the Project. No difficulty
is envisaged as the procurement and proposal evaluation team has acquired enough
experience from the World Bank financed project and remains fully in place.
32. PIU KSHIP will follow ADB Guidelines on Use of Consultants in recruiting of one team of
Construction Supervision Consultants under the Project and one team of PRAMC Consultant.
No difficulty is expected as the PIU KSHIP has already acquired enough experience.
33. All PIU KSHIP activities, projects, contracts, employees, records, facilities, procurement
power, financial powers, functions and responsibilities of each official, policies and procedures
are clearly stipulated in the Government order establishing PIU KSHIP, By-Laws and Karnataka
Highways Act 1964. The Project Director has been appointed as the Highway Authority by the
State Government under the Karnataka Highways Act 1964 and as such has adequate
decision-making powers required for implementation of all pre-construction activities. PIU
KSHIP has the authority to approve and disburse all contract claims as well as approve any
contract variations.
34. PIU KSHIP has instituted a referencing system in records keeping. All procurement files
including IFBs, winning bids, evaluation reports, pre-contract documents, contract documents
and invoices are kept in single contract files. Government of India requires keeping all records
for eight years which sufficiently covers ADB requirement to keep the project records for two
years after project completion, considering that all civil works under the Project are envisioned
to be completed within 3 years following procurement activities.
31
35. Technical Section responsible for all procurement under PIU KSHIP has sufficient
experience gained from procurement exercises under the World Bank financed project and is
adopting ADB procurement guidelines and using ADB standard bidding documents, MDB
Harmonized FIDIC general conditions of contract and bidding procedures under the advance
contracting under the Project.
36. The Government, PWD and PIU KSHIP will take steps to ensure that procurement
capacity built in the PIU KSHIP is maintained.
37. All advance contracting and retroactive financing will be undertaken in conformity with
ADB’s Procurement Guidelines (2010, as amended from time to time) (ADB’s Procurement
Guidelines) 4 and ADB’s Guidelines on the Use of Consultants (2010, as amended from time to
time) (ADB’s Guidelines on the Use of Consultants). 5 The issuance of invitations to bid under
advance contracting and retroactive financing will be subject to ADB approval. The borrower,
PWD and PIU KSHIP have been advised that approval of advance contracting and retroactive
financing does not commit ADB to finance the Project.
38. Withdrawals from the loan account may be made for reimbursement of eligible
expenditures incurred under the Project before the Effective Date, but not earlier than 12
months before the date of signing of the Loan Agreement in connection with Works, consulting
services, and equipment, subject to a maximum amount equivalent to 20% of the loan amount.
39. Advance contracting includes tendering and bid evaluation for civil works packages, and
recruitment of consultants. The detailed advance action schedules, which will be updated on
regular basis, are presented below in Tables 5, 6, and 7.
4
Available at: http://www.adb.org/Documents/Guidelines/Procurement/Guidelines-Procurement.pdf
5
Available at: http://www.adb.org/Documents/Guidelines/Consulting/Guidelines-Consultants.pdf
32
40. All procurement of goods and works financed wholly or in part by ADB will be
undertaken in accordance with ADB’s Procurement Guidelines (2010, as amended from time to
time). Paper-based mode of procurement will be used for all contracts. The civil works contracts
will be undertaken in 9 contract packages for roads (excluding 4 ROBs) and 4 ROB contract
packages (Attachment A). All these contracts will be procured through international competitive
bidding procedures without domestic margin of preference. Bidders will be post qualified by
applying single-stage; two-envelope bidding procedure. Prior reviews by ADB will be conducted
at key steps in the procurement process.
41. Contract packaging for goods will be determined during the implementation of the project
and will be procured through international competitive bidding if the estimated amount is more
than $1,000,000; using national competitive bidding if the estimated amount is between
$100,000 and $1,000,000; and shopping if the estimated amount is less than $100,000. Award
of contracts will require prior review and approval by ADB. No domestic margin of preference
will be given to domestic bidders.
42. Six contract packages for consulting services will be required for: (i) construction
supervision of civil works and contract administration (the Construction Supervision Consultant);
(ii) NGO Services for implementation of Resettlement Plans (RPs) (One contract for Northern
Karnataka and another one - for Southern Karnataka); (iii) institutional support for PRAMC
(PRAMC consultant); (iv) Results Monitoring and Evaluation consultant (M&E consultant) for
external monitoring and reporting of implementation of RPs; (v) Database Management System
(DBMS) Services; and (vi) Environment Monitoring during construction. All consultants will be
recruited according to ADB’s Guidelines on the Use of Consultants (2010, as amended from
time to time). The terms of reference for all consulting services are referred in Section D.
Consulting firms will be engaged using the quality- and cost-based selection (QCBS) method.
Quality-cost ratio of 80:20 is used for QCBS of PRAMC consultant. Quality-cost ratio of 75:25 is
used for QCBS of construction supervision consultant (CSC), which is justified by the following:
(i) 75:25 ratio has successfully been used under the World Bank financed project for the
procurement of CSC services; and (ii) a pool of qualified construction CSCs has been formed in
the state over the last decade, which has resulted in the increased competition and decline in
the fees for CSC services.
43. For construction supervision consultant, international firm in association with national
firms will be recruited. An estimated 78 person-month international input and 486 person-month
national input will be provided by the consultant to supervise the 9 contract packages for roads
and 4 contract packages for ROBs and assist the PIU KSHIP in managing the project.
34
D. Procurement Plan
44. The procurement plan is in Attachment A and describes the threshold and review
procedures all procurement of goods, works and consulting services to be undertaken for the
Project. The procurement plan will be updated at least once every 18 months or whenever
change in the procurement arrangements is required and agreed.
45. The consultant's terms of reference are provided in the following Attachments:
(i) Construction Supervision Consultant: Attachment B
(ii) PRAMC Consultant: Attachment C
(iii) Institutional Development Consultant (piggy-back CDTA): Attachment D
35
VII. SAFEGUARDS
(a) Environment
46. The Project has been classified as Category B and Initial Environmental Examinations
together with Environmental Monitoring Plans (EMPs) were prepared for all project roads as per
ADB's Safeguard Policy Statement, 2009. The requirements of the EMPs including the
environmental clearances from the state, and cutting permits to be provided by the Forest
Department are being secured. The consent for establishment of the Project has been given by
the Karnataka State Pollution Control Board (KSPCB). If there are any changes in specific
locations or alignments of any infrastructure or Project facilities after completion of the process
of IEE (including EMP), or any new information is made available during detailed design and or
implementation, that has an impact on the environmental assessment process thus far, then
additional environmental assessment shall be carried out in accordance with ADB’s Safeguard
Policy Statement (2009), and prior approval of ADB shall be obtained before further physical
implementation of the relevant section of the project road as applicable.
47. The PIU KSHIP will be responsible for ensuring compliance by the contractors to the
EMPs. PIU KSHIP has established the Environmental Management Plan Implementation Unit
(EMPIU). The EMPIU will monitor and report the environmental compliance of contractors with
the EMP and ensure implementation of the grievance and redress mechanism. The EMPIU has
a demonstrated capability in implementing environmental safeguards. Key implementation
activities for each stage of implementation are as follow:
a. Pre-construction: i) EMPIU will provide input to the Bid Evaluation Panel; ii)
Contractors appoint Environmental Manager, and have 30 days to site-adapt environmental
management and monitoring plans as a requirement prior to Contractor taking possession of
the construction site; iii) at least 30 days before the start of construction, the Contractor shall
translate grievance redress mechanism in Kannada language and post in affected
communities and Panchayats to include contact names, positions, contact numbers, and
addresses of key offices to receive grievances; iv) Contractor will submit at least 20 days
prior to start of construction for review and approval a transportation management plan that
establishes work zones to separate workers on foot from traffic and equipment, by rerouting
traffic to alternative roads or shoulders, and closure of lanes and diversion to remaining
lane; and v) Contractor shall ensure that all workers have been regularly instructed on safety
practices of working in hazardous condition.
48. The main environmental concerns with respect to this Project are occupational and
community health and safety, traversed village forests, and the substantial number of old trees
to be cleared along the Right of Way. Occupational and community health and safety will be
addressed through temporary traffic management plans for work zones, mandatory safety
training of workers, personal protective gears, emergency health care, and information
dissemination. The number of old trees (e.g. acacia and ficus) to be cleared were minimized,
even if the species are not in the endangered list or nationally-protected status, through minor
road geometric improvements. All tree cutting and compensatory plantation will be implemented
36
by the Forest Department on behalf of KSHIP. KSHIP will coordinate with the Forest
Department to ensure that all roadside plantations will not interfere with vehicle travel, road
maintenance, cover signals and signs, restrict motor visibility, or fall on to the road.
(b) Social
49. The Project is categorized as category A in accordance with ADB's Safeguard Policy
Statement (2009). Separate resettlement plans (RPs) have been prepared for each project road
in accordance with ADB’s Safeguard Policy Statement (2009), and relevant national and state
laws and regulations.
50. Complete details of compensation rates for the loss of land and structures, shifting
assistance, and other income restoration assistance are provided in the entitlement matrix of the
RPs. Additional support provisions for affected people belonging to vulnerable groups are
included in RPs. In total, 9 RPs were prepared. Proper consultation during the preparation of
RPs with the project displaced persons including land acquisition and compensation process
was undertaken. RPs are disclosed to the general public through the ADB website. If during
detailed design and implementation any modification or additional land requirement or
involuntary resettlement impacts are identified, a related RP will be prepared/ modified in
accordance with the applicable laws referred to in the RP, and prior approval of the ADB will be
obtained before any further implementation of the relevant section of the project road.
51. PIU KSHIP will (i) implement the Project in accordance with the RPs prepared, ADB’s
Safeguard Policy Statement (2009), and applicable national and state laws and regulations; (ii)
in case of any design changes in project roads, ensure that the resettlement plans are updated
on the basis of the final alignment and submitted to ADB for review and approval prior to
awarding of civil works contracts; and (iii) provide semi-annual progress reports on the
implementation of the resettlement plans.
52. All displaced people should be paid compensation and assistance in accordance with
the RP. The land should be made free of encumbrances and obstructions from the related
section required to be handed over to the contractor for and prior to commencement of
construction thereof in accordance with the work schedule under the related civil works contract.
Efficient grievance redress mechanism is already in place in accordance with the related RP to
assist affected persons to resolve grievances and complaints, if any, in a timely manner.
53. The implementation of the resettlement plans will be monitored internally by the PIU
KSHIP through its Social Development and Resettlement Cell (SDRC) and the implementation
NGO; and externally by qualified and experienced experts to verify the EA’s monitoring
information. The external experts engaged by the EA will advise on safeguard compliance
issues. The external experts will submit semiannual monitoring reports.
54. The Gender Development Index (GDI) in Karnataka (0.637) is much higher than the all-
India figure (0.609) according to 2001 data. Karnataka is sixth among the 15 major states in
India in gender development. In-depth social and poverty analysis was carried out in the project
influence area to assess the local demand for the proposed road investments, employment
opportunities, child labor, gender specific capacity to take advantage of the likely socioeconomic
opportunities that would result from the project, HIV transmission, and or other health and safety
risks. Focus group discussions were undertaken with women belonging to different
37
socioeconomic groups in project influence areas. The majority of women work in the home and
outside. The majority is consulted by their spouse and other family members prior to any family
decision. Improved road conditions will encourage better transport services thereby improving
access for women and children to social services, markets, workplaces, higher education, better
health facilities and better employment opportunities for men and women.
55. Gender participation was ensured during the course of the social study by undertaking a
process of gender analysis to assess the impact of the project. Meaningful consultations that
are gender inclusive and responsive will continue throughout further project preparation stage
and will be carried out on the ongoing basis throughout the project cycle.
56. The EA shall ensure that civil works contractors comply with all applicable labor laws
and do not differentiate wages between men and women for work of equal value. The
construction supervision consultants will supervise the provisions.
57. Overall, the Project does not have substantive gender issues as the impact and benefit
will apply equally among men and women. The project will provide equally positive benefits for
both genders in terms improved access to schools, healthcare institutions and other services.
The project falls into ADB Gender Mainstreaming Category 3 (i.e., some gender benefits).The
contract for civil works will include measures to ensure safe and healthy working environment
for both the mean and women laborers. The civil works contractors will be advised to take
appropriate measures with respect to compliance of equal pay for men and women, health and
safety at construction sites and labor camps and awareness program for the workers on
prevention of HIV/AIDS.
58. The project has no adverse or significant impact on indigenous people. However, in case
of any adverse impacts identified during design or implementation on indigenous people, the EA
will ensure that the Indigenous Peoples Plan (IPP) is prepared in accordance with the ADBs
Safeguard Policy Statement (2009) and the same is further approved by ADB before award of
related civil works contract and implemented before commencement of the relevant section of
the civil works contract, as applicable. Any updating of the IPP due to detailed design and
implementation shall follow requirements similar to the RPs as described for involuntary
resettlement.
59. To combat HIV/AIDS is one of the UN Millennium Development Goals, which promises
to halt spread of HIV/AIDS by 2015. The state government along with NACO and State AIDS
Control Society has been successfully carrying out awareness campaigns and free health care
to minimize the spread of HIV/AIDS in various parts of the country. The social assessments
undertaken have not revealed any significant risks of HIV/AIDS and human trafficking due to the
project. However, the R&R implementation NGO will carry out HIV/AIDS awareness
programmes within the communities with technical expertise from NACO and the Karnataka
State AIDS Control Society.
60. The EA will ensure that all civil works contractors 1) carry out awareness programs for
labor on the risks of sexually transmitted diseases/ AIDS and human trafficking, and 2)
disseminate information at worksites on the risks of sexually transmitted diseases and HIV/AIDS
as part of health and safety measures for those employed during construction. Contracts for all
38
civil works will include specific clauses on these undertakings, and compliance will be strictly
monitored by the EA, with the support of supervision consultants during project implementation.
(f) Health
61. The EA shall ensure that contractors provide adequately for the health and safety of
construction workers and further ensure that bidding documents include measures on how
contractors will address this, including an information and awareness raising campaign for
construction workers on sexually transmitted diseases, HIV/AIDS, and human trafficking.
(g) Labor
62. The EA shall ensure that (i) civil works contractors comply with all applicable labor laws
and regulations, do not employ child labor for construction and maintenance activities, and
provide appropriate facilities for women and children in construction campsites, (ii) contractors
do not differentiate wages between men and women for work of equal value, and (iii) specific
clauses ensuring these will be included in bidding documents. The construction supervision
consultants will monitor the provisions.
39
Outputs Assumptions
By 2015 (the end of the project): Measurements by Procurement and
1. About 615 km of the construction compliance with
immediate priority All civil works on 615 km of supervision safeguard policies
state highways project roads completed and consultant follow ADB’s
upgraded. roads operational Certified contractors’ procedures and
bills requirements
2. Road sector PRAMC fully staffed and Data collection Qualified civil works
planning, operational reports contractors and
consultants
programming, and 100% of required annual Monthly and
participate in the
policy formulation road maintenance cost for quarterly progress
project
transformed into an core road network is reports by the PIU
objective, data-driven allocated based on PRAMS Government budget Risks
and sustainable allocations Construction is
process. Regular review delayed and costs
40
Loan
1. Upgrading of roads ADB: $315,000,000
1.1 Recruitment of CSC firm completed (by June 2011)
1.2 Procurement of civil works completed (by July 2011)
1.3 Construction of all civil works completed (by March Item Amount ($ million)
2014) Road infrastructure 264.0
development
2. Transforming road sector planning, programming,
and policy formulation Institutional 20.0
2.1 PRAMS is in place (by March 2012: 50%; and by development
2013: 100% of functionalities) component
2.2. Consultant is in place to fill in outsourced positions in
PRAMC, develop PRAMS and assist with its Contingencies 31.0
operationalization (by June 2011)
2.3 Government issues an order to roll out an allocation
of the maintenance budget based on PRAMS (by 2012) Government: $147.75
2.4 PRAMC is established (50% of permanent staffing by
June 2011; 100% by January 2012; office space by June Item Amount ($ million)
2011)
Road infrastructure 115.0
3. Improvement of road safety
development
3.1 Road safety unit is in place (full permanent staffing by
January 2012)
Recurrent costs 2.5
3.2 Countermeasures for the pilot blackspot program are
developed by the attached capacity development TA and
Contingencies 8.4
DPR are prepared where required (by October 2011)
3.3. Policies and tools for incorporating road safety into
Financial charges 21.85
the planning, feasibility, design, construction, pre-
during implementation
41
opening, post construction, and operation and ADB staff time for project administration
maintenance of roads are developed by the attached
capacity development TA and agreed with the Input of international consultants:
government (by end of 2011) o 78 person-months (construction supervision)
3.4 RAAS is enhanced and integrated with PRAMS (by o 224 person-months (PRAMC support)
December 2011) and piloted collaboratively with PWD
and Transport Department (by 2012) Input of national consultants:
3.5 Procurement process for design, supply, and o 486 person-months (construction
installation of TIMS on two pilot corridors started (2012) supervision)
o 156 person-months (PRAMC support)
4. Improvement of PWD capacities for operation,
maintenance, and protection of road assets
4.1 Ongoing capacity development TA consultants
continue to provide advisory support, on-the-job training
and designated training (until December 2010)
4.2 PRAMC consultant is in place (by May 2011)
4.3 PWD field offices are trained and equipped to support
PRAMS and RAAS and to improve maintenance works
(by mid-2012)
5. Effective project management is in place
5.1 Road safety audit of DPRs completed by CSC and
road safety issues addressed in the DPRs (by April
2011)
5.2 Land acquisition, resettlement and rehabilitation,
environmental clearances, and utility shifting completed
prior to the start of civil works (by May 2011)
5.3 The PIU and its field offices are in place with full
staffing and equipment (throughout project preparation
and implementation)
5.4 Project coordination consultant continue services
until at least till December 2014
ADB = Asian Development Bank, CSC = construction supervision consultant, DPR = detailed project report, PIU =
project implementation unit, PRAMC = Planning and Road Asset Management Centre, PRAMS = planning and road
asset management system, PWD = Public Works Department, RAAS = road accident analysis system, TIMS = traffic
and incident management system, TA = technical assistance.
Source: Asian Development Bank
42
63. The achievement of the project performance targets will be assessed following the
design and monitoring framework. PIU KSHIP, assisted by PCC, and later on – by the
consultants engaged under the piggy-back TA, will establish a PPMS. Indicators to be
monitored may include, but not be limited to the following: (i) travel time; (ii) frequency of fatal
and severe injury accidents; (iii) international roughness index; (iv) traffic volume; (v) bus and
freight transport fares; and (vi) vehicle operating costs. In addition, socioeconomic secondary
data will be obtained for each project district, including: (i) number of businesses; (ii) household
income; (iii) vehicle ownership; (iv) unemployment rate; (v) land value; (vi) average travel time to
schools; and (vii) average travel time to hospitals. These indicators will be monitored before and
after construction, both on the project roads and on some control roads to enable a with/without
project comparisons.
64. In addition, every year during the project period, PWD will monitor the (i) road
maintenance budget, (ii) percentage of road maintenance budget allocated based on PRAMS,
(iii) gap between the demand for maintenance funds as per PRAMS and allocation, (iv) ratio of
km of state road network per one staff dedicated to maintenance, and (v) road maintenance
cost per km. Achievement of the institutional development and strengthening program (IDSAP)
as accepted by the government will also be monitored. For civil works, progress will be
monitored and reported monthly by the construction supervision consultants. The project
beneficiaries' satisfaction will be surveyed during and after project implementation.
Disaggregated baseline data for output indicators gathered during project processing will be
updated and reported quarterly through the quarterly progress reports from PIU KSHIP
submitted within 30 days after the end of each quarter. These quarterly reports will provide
information necessary to update ADB's project performance reporting system 6. The template of
summary monitoring sheet as agreed with the Government is provided below.
6
ADB's project performance reporting system is available at:
http://www.adb.org/Documents/Slideshows/PPMS/default.asp?p=evaltool
43
Government of Karnataka
ADB Assisted Karnataka State Highways Improvement Project
4. PWD
capacities for (i) PWD field offices
operation, systematically collect data
maintenance and under RAAS and PRAMS
protection of
road assets are
strengthened
(ii) PWD field offices
systematically conduct joint
inspections with the police and
Transport Department, using
weigh stations (permanent and
portable)
45
65. Compliance monitoring: Compliance with covenants will be monitored through ADB's
Project Administration Missions – including project inception mission to discuss and confirm the
timetable for compliance with the loan covenants; project review missions to review the
borrower's compliance with particular loan covenants and, where there is any noncompliance or
delay, discuss proposed remedial measures with the Government; and mid-term review mission
if necessary to review covenants to assess whether they are still relevant or need to be
changed, or waived due to changing circumstances.
67. Final environmental monitoring reports and social safeguard compliance reports will be
prepared 30 days after completion of construction and certify that all sites are satisfactorily
rehabilitated and restored and all social safeguard requirements are complied with.
C. Evaluation
68. A project inception mission will be fielded soon after the legal agreements for the Project
are declared effective; thereafter, regular reviews will follow at least annually. As necessary,
special loan administration missions and a mid-term review mission will be fielded, under which
any changes in scope or implementation arrangement may be required to ensure achievement
of project objectives. PWD and PIU KSHIP will monitor project implementation in accordance
with the schedule and time-bound milestones, and keep ADB informed of any significant
deviations that may result in the milestones not being met. Within 6 months of physical
completion of the Project, PWD and PIU KSHIP will submit a project completion report to ADB. 7
D. Reporting
69. PWD and PIU KSHIP will provide ADB with: (i) quarterly progress reports in a format
consistent with ADB's project performance reporting system; (ii) consolidated annual
reports including (a) progress achieved by output as measured through the indicator's
performance targets, (b) key implementation issues and solutions, (c) updated
procurement plan, and (d) updated implementation plan for next 12 months; and (iii) a
project completion report within 6 months of physical completion of the Project. To
ensure projects continue to be both viable and sustainable, project accounts and the
executing agency audited financial statements, together with the associated auditor's
report, should be adequately reviewed.
70. Once a year, PIU KSHIP, will hold one-day stakeholder workshop to share information
on project progress, issues, lessons learned, and performance improvement measures if
appropriate.
7
Project completion report format available at: http://www.adb.org/Consulting/consultants-toolkits/PCR-Public-
Sector-Landscape.rar
46
71. Various information regarding the Project, including scope, general progress status,
beneficiaries, invitation to bid, and consultant recruitment notices, will be provided to the
general public. The information will be made available and updated through the official
websites of ADB, PWD, and PIU KSHIP.
72. The Government, PWD, and PIU KSHIP are advised of ADB’s Anticorruption Policy
(1998, as amended to date). Consistent with its commitment to good governance,
accountability and transparency, implementation of the Project shall adhere to ADB’s
Anticorruption Policy. ADB reserves the right to review and examine, directly or through
its agents, any alleged corrupt, fraudulent, collusive, or coercive practices relating to the
Project. In this regard, investigation of Government officials, if any, would be requested
by ADB to be undertaken by the Government. To support these efforts, relevant
provisions of ADB’s Anticorruption Policy are included in the Loan Regulations and the
bidding documents. In particular, all contracts financed by ADB shall include provisions
specifying the right of ADB to audit and examine the records and accounts of the Project
Executing Agency and all contractors, suppliers, consultants, and other service providers
as they relate to the Project.
X. ACCOUNTABILITY MECHANISM
73. People who are, or may in the future be, adversely affected by the project may address
complaints to ADB, or request the review of ADB's compliance under the Accountability
Mechanism. 8
74. The Project will establish a grievance redress mechanism to ensure greater
accountability. With the assistance of the PCC consultants, the PWD will set up the
grievance redress mechanism within 6 months of the loan effectiveness, to receive and
resolve complaints, as well as to act upon stakeholders’ reports of irregularities on
project related matters, including grievances concerning resettlement. PWD and PIU
KSHIP will widely publicize the existence of this mechanism to ensure that stakeholders
are aware that a venue is available to address concerns or grievances relating to fraud,
corruption, abuse, and any other aspects of project implementation.
75. All revisions/updates during course of implementation should be recorded and retained
under this Section to provide a chronological history of changes to implemented
arrangements recorded in this PAM.
8
For further information see: http://compliance.adb.org/.
47
XII. ATTACHMENTS
PROCUREMENT PLAN
Basic Data
Project Name Karnataka State Highways Improvement Project-II
Stage-II
Country India
Executing Agencies Project Implementation Unit, KSHIP
Loan/Grant Amount $ 315.00 million
Loan/Grant Number
Date of First Procurement Plan
Date of This Procurement Plan 29 September 2010
1. Except as the Asian Development Bank (ADB) may otherwise agree, the following
process thresholds shall apply to procurement of goods and works.
2. Except as ADB may otherwise agree, the following prior or post review requirements
apply to the various procurement and consultant recruitment methods used for the Project.
1
Eligibility of the NCB will be subject to compliance with ADB’s requirements as reflected in paragraph 4 of Schedule
4 to the Loan Agreement
2
First draft English language version of the bidding documents for each project should be submitted for ADB's review
and approval regardless of the estimated contract amount. Subsequently, post review will be used.
Attachment A
III. Goods and Works Contracts Estimated to Cost More Than $ 1 Million
3. The following table lists goods and works contracts for which procurement activity is
either ongoing or expected to commence within the next 18 months.
4. The following table lists consulting services contracts for which procurement activity is
either ongoing or expected to commence within the next 18 months.
2
Attachment A
The following table provides an indicative list of all procurement (goods, works and consulting
services) over the life of the project. Contracts financed by the Borrower and others should also
be indicated, with an appropriate notation in the comments section.
3
Attachment A
4
Attachment B
It is proposed to apply a part of the loan for eligible payments under the
Consultancy Services for Construction Supervision and Contract
Administration of KSHIP II Stage II roads in Karnataka.
The Project consists of nine civil work contract packages being procured
under ICB Procurement Procedure and Construction Supervision and
Contract management of these contracts is the subject of this Terms of
Reference. The supervision consultancy services will broadly include
project management and administration of civil works as ‘Engineer'.
2. Works: The EPC Contract works will be procured in packages , as shown below:
Tholahonse Village.(on
AEP-6
42A 7.691 Davangere-Channagiri 316+200
ROB 1
route)
Near Birur
AEP-6
42B 44.830 (on Channagiri-Birur 219+900
ROB 2
route
On Gadag Bypass
AEP-7
27A 25.922 (on Shelavadi-Gadag 1+050
ROB 3 a
Route)
AEP-9 21D 42.214 Near Badami 60+11
Terms of Reference Page 2 of 21 August 2010
2010
Attachment B
The DPRs for the above packages have been prepared by the DPR consultants of
KSHIP-II, M/s Scott Wilson Kirkpatrick Ltd., UK in J/V with M/s Scott Wilson
Kirkpatrick Ltd., India. The above civil works packages will be procured under
International Competitive Bidding open to Post-Qualified bidders who may bid one
or more packages.
The selection of Construction Supervision Consultant will be made following the
procedures specified in the “Guidelines on The Use of Consultants by Asian
Development Bank and its Borrowers, 2010”. The supervision of civil works will be
carried out by the qualified consultants with satisfactory experience in implementing
projects of similar nature and size.
3 Objectives The main objectives of the consultancy services are, but not limited to:
a) To ensure high standards of quality assurance in the execution of work
and completion of work within stipulated time limit;
b) Comprehensive supervision of project implementation activities carried
out by the Contractor(s) to ensure complete compliance with the
drawings, technical specifications and various stipulations contained in
the Contract Documents;
c) Efficient construction supervision by personnel who are experienced in
modern methods of construction supervision and contract management;
d) To monitor the Pre-construction activities;
e) To assist in taking remedial actions to avoid slippages, cost overruns,
delays by the contractor;
f) To ensure safety during construction and adherence to all Environment
Management Regulations prescribed under the Contract.
4 Contract a) To administer the contracts under the project, the Karnataka State
Management Public Works, Ports and Inland Water Transport Department (PWD) has
Framework established a Project Implementation Unit (PIU) to be exclusively in-
charge of the Project in the State.
b) The Project Director will award contracts, administer the Contracts, take
management decisions and arrange payments, as per the contract
agreements and obtain requisite approvals from the Bank and the Govt.
of Karnataka.
c) The Project Director, will act as client or Client’s representative for this
Consultancy. The Project Director will be assisted by the Professional
and Administrative staff of PIU. The PIU has established field units to
support administration of Contracts.
d) The Finance/Accounts Section of PIU will keep the Project accounts
and process all payments. The Finance/Accounts and Technical
Departments in the Project Director’s offices will process all Contractors’
payments and Consultants’ Invoices for payments.
e) The consultant will establish a main office in Bangalore, headed by the
Team Leader and nine project site offices in convenient locations to
administer the civil works in accordance with the contracts.
5 Scope of
The scope of the consulting services for each of the major areas includes
services
but is not limited to the following activities:
The consultant will be responsible for the supervision of all construction
work. As the ‘Engineer’, the consultant will administer the Construction
Contracts Packages and ensure that the contractual clauses, with
respect to both quality and quantity of work, are respected and the works
are constructed in accordance with the provisions of the Construction
Contracts. The Team Leader of the consultant's team resident at the
project site shall be nominated as Engineer’s Representative and shall
act on behalf of the Engineer. The Engineer will delegate such authority
to the Engineer’s representative as may be necessary for day to day
working. However, the consultants firm/the Engineer shall be
responsible for all action taken by Engineer’s representative and his
team.
The consultant will mobilize the Team Leader about one month prior to
commencement of works in order to monitor mobilization activities of the
Contractor and set up contract administration systems as well as prepare
plans for deployment of other key professional staff at the appropriate
time to ensure optimized outputs. Road Safety Expert will be mobilized
concurrently with the Team Leader to conduct Road Safety Audit of
DPRs.
The consultant will make all necessary measurements and control the
quality of works. The supervision consultant will make all engineering
decisions required for the successful and timely implementation of the
Construction Contracts. However, the Engineer will be required to obtain
the specific approval of the client before taking any of the following
actions specified in the General conditions and Particular Conditions of
Construction Contract Documents:
5.1 General:
a) give the order to commence the works;
b) administer the Construction Contracts, approve materials and ensure
that the quality of the works is in accordance with the contractual
specifications; particularly in relation to contractor’s construction
equipment and other resource deployment;
c) approve/suggest modifications in the contractor’s work program,
method statements, material sources, etc;
d) ensure that the construction methods proposed by the contractor are in
compliance with the specifications and other contract stipulations,
particularly in relation to contractor’s construction equipment and other
resource deployment;
e) monitor progress of the Works, identify causes, or potential causes, of
any delay and advise the client of suitable corrective actions in a timely
manner;
f) review and approve Contractor(s) proposed personnel for positions
nominated in the Contract;
g) provide assistance to the client in respect of contract implementation,
claims and other matters;
h) advise and assist the client with respect to the arbitration, the appeal of
arbitration or litigation relating to the works, whenever required;
i) Monitoring of status of the contractor’s compliance with HIV/AIDS
provisions in the Civil Works Contracts;
review and approve the work zone (including work site, plant site and
contractor operated quarry locations) safety plan and ensure
compliance;
u) Conduct Road Safety Audits of DPRs, conduct post-construction Road
Safety Audits, analyze causes of accidents occurred over the project
implementation period and develop road safety countermeasures
reducing risk of reoccurring;
v) Closely coordinate with the Safety Officers of the contractors and
Formulate site safety guidelines & prepare checklist for safety auditing
by field supervision team on day-to-day basis. Carryout routine safety
audit during the construction period;
w) Ensure adequacy of measures in contractor’s safety plan for the safety
of pedestrians, 2-wheelers and slow moving traffic and ensure safety
due to delineation of roadway at night. Verify design of temporary
diversions, adequacy of warning signs at construction zones, ensure
adequacy of safety devices for workers at construction zone/plant sites
and proper maintenance of the devices. Recommend damages for non–
conformity of traffic safety measures as per contract provisions;
x) Mobilize the Team Leader about one month prior to commencement of
works in order to monitor mobilization activities of the Contractor and
set up contract administration systems as well as prepare plans for
deployment of other key professional staff at the appropriate time to
ensure optimized outputs. Mobilize Road Safety Expert concurrently
with the Team Leader to conduct Road Safety Audit of DPRs.
6 Measurement Measurements:
and payments a) make measurements and keep measurement records
b) issue interim certificates for payments;
c) certify completion of part or all of the works;
d) review and ensure continuity of Contractors’ sureties in approved
formats;
e) prepare quarterly cash flow projections for the Client in a format
acceptable to the Client. Cash flows should identify budget estimates for
all outstanding work.
Payments:
(a) The Engineer will process interim and final payments to the
Contractors;
(b) In processing of contractual payments, 100% of the measurements
will be checked and certified by the Deputy Resident Engineers and
the Resident Engineers will check and certify at least 25% of the
measurements. In packages where Deputy Resident Engineer is not
positioned, Resident Engineer will check and certify 100%
measurements;
(c) Whenever measurements are to be made, the Consultant’s Resident
Engineers will inform the Contractor and the client’s field Engineer
(Executive Engineers of KSHIP Division offices) in advance. The
Executive Engineer’s participation in such measurements will not be
mandatory; however should he wish to participate, he will be
empowered to do so and to check any measurement.
7 Additional When requested by the Client, the Consultant shall provide any additional
services services to those specified above through a mutually agreed upon
variation order to the Consultant’s contract.
9 Reports The Consultant will prepare and submit to the Client in required no. of
copies of each of the following reports:
Inception The consultant will submit an Inception Report before
Report the end of first month of the commencement of services,
(5 copies) containing the Master Work Program and Resource
Mobilization for the Project.
Monthly The consultant will, no later than the 10th of each month,
Report submit progress report summarizing the component wise
(5 copies) progress vis-à-vis targets.
- problems encountered (administrative, technical or
financial) and recommendations to overcome,
- expenditure statement,
- variation orders proposed and approved, status of
claims or time extensions requested by Contractors,
- status of EMP, removal of encumbrances, safety
precautions and traffic diversion during construction,
- Status of mobilization/deployment of men,
machineries and plants, functioning of Crusher,
HMP, WMM plant, Pavers and Rollers,
- the probable requirement of key materials like
bitumen, cement, steel, aggregates for next month
and their availability at the end of the month,
- attendance sheet of the key and technical personnel
Terms of Reference Page 11 of 21 August 2010
2010
Attachment B
10 Staffing a) The implementation period for each of the contracts is expected to have
Schedule construction periods as set out in Para 2 of the ToR with a Defects
Notification period of 12 months. Each of the site supervision team
would be mobilized on the date of actual commencement of works by
the contractor.
b) The client expects that all the proposed key personnel should be
available during implementation of the contract, as per their approved
schedule of deployment.
c) The Client will not consider substitutions during Contract
implementation except under compelling circumstances. In case of such
replacements, the incidental costs towards replacements shall be borne
by the consultant.
11 Key Personnel International Experts whose C.V. will be evaluated in the Technical
evaluation:
Duties: One Road Safety Expert shall be mobilized common to all the nine
packages. He will be responsible for conducting road safety audits of
DPRs; ensuring road safety during construction; conducting post-
construction road safety audits; and identifying causes of accidents
occurred over the project implementation period and develop road safety
countermeasures reducing risk of reoccurring.
Duties: The Senior Resident Engineer will assist the Team Leader in
overall project supervision team. He will be positioned in Team leader’s
office for some duration in a month and deployed to RE’s offices for the
rest of the month at geographically convenient location to assist the Team
Leader in monitoring overall field activities of all packages. In the absence
of Team Leader, the SRE will discharge the duties of Team Leader. He
Terms of Reference Page 15 of 21 August 2010
2010
Attachment B
shall coordinate with the Team leader to ensure that the construction
process is well controlled as per established Procedures.
Duties: He will be reporting to the Team Leader in day to day working. His
responsibilities will be in the areas of quantity surveying / processing of the
invoices etc. He will be responsible for reporting all measures required to
control the project cost and time over-runs. He will examine the claims of
the contractor, variation orders, if any, and will prepare the progress
reports as per the project requirements. For the purpose, he will be
required to get the levels and quantity measurements checked in all items
of works executed in different stages for calculations required for payment
purpose.
Duties: His duties will involve understanding the design provisions of both
bridges and culverts, guiding the field supervision teams in checking of
reinforcement/cable laying operations, rectifying any apparent mistakes in
respect of them, checking and controlling the proper mix designs, checking
the adequacy of proper form-work, laying/compacting of concrete including
curing operations. For this purpose, he will work in close coordination with
the Senior Material Engineer and the Contract Management Expert to
effectively control the quality of execution. He will be responsible for minor
modifications in design of bridges/culverts, wherever required during
execution. He should have working knowledge of latest software used in
design of bridges like STADD Pro.
Duties: The CSE (National Expert) will formulate work site safety
Terms of Reference Page 18 of 21 August
2010
2010
Attachment B
Duties: Organize survey team & verify setting out, measure and certify
quantities, inspect works, maintain plant / equipment / machinery /
stockpiles / delivery records, review contractor’ schedules, programs, test
materials, workmanship, maintain and update progress/payment records,
check as-built drawings, Checking and measuring the quantities executed
and processing of Contractor’s payment certificates, etc.
Duties: Verify setting out, inspect works on day to day basis, maintain
plant / equipment / machinery / stockpiles / delivery records, test materials,
Terms of Reference Page 19 of 21 August 2010
2010
Attachment B
Annexure to ToR
List of countries considered as Developed countries for the purpose of evaluation of Technical
proposals
(Information Based on International Monetary Fund's World Economic Outlook Report, Oct’09)
I BACKGROUND
1. The consulting services are to support the establishment and operation of the
Planning and Road Asset Management Centre (PRAMC) of the Public Works, Ports and
Inland Water Transport Department (PWD). The consulting services will be financed under
the Institutional Development Component of the Karnataka State Highway Improvement
Project (KSHIP) proposed for financing in part by an ADB loan in the amount of $315 m
(currently under processing). This present Terms of Reference (TOR) is for the firm of
consultants (hereinafter referred to as the Consultant).
2. The Karnataka State Highway Improvement Project (the Project) will rehabilitate and
upgrade about 615 km of state highways in the state of Karnataka, India and strengthen the
capacity of the Public Works Department (PWD) of the Government of Karnataka (the
Government) to develop, operate and maintain the state road network. An institutional
development component under KSHIP will include procurement of equipment 1 and
consulting services to support establishment and operation of the Planning and Road Asset
Management Centre (PRAMC) of PWD. A separate TA piggy-backed to the ADB loan will be
provided to support and strengthen PWD capacities in asset management and road safety.
Road safety efforts falling into the areas beyond the PWD responsibility (such as under
Transport and Home Departments) will be supported by a separate small scale TA financed
by ADB grant currently under processing.
4. Within the overall road network, the Government of Karnataka has identified an initial
Core Road Network (CRN) of approximately 25,000 km. This CRN encompasses the road
links considered most important for the economic and social development of the State. The
CRN comprises a mix of National Highways (NH), State Highways (SH), Major District
Roads (MDRs) and others. The CRN will be extended over time to include more roads as
existing roads are brought up to standard.
5. Apart from the need to improve road infrastructure, PWD, in charge of overall road
sector development and management, needs sustainable road planning, development, and
asset management system and capacities. Specifically, PWD (i) needs to develop capacities
and establish an objective, data driven processes and tools for planning, programming and
budgeting of the road network, and road maintenance; (ii) does not have adequate capacity
at zonal and district levels for effective operation, maintenance and protection of existing
1
May include hand-held GPS devices to support data collection and monitoring, weigh stations (permanent and
portable), laboratories, permanent and portable traffic counting equipment, computer hardware and software,
equipment for pilot Traffic Incident Management System (TIMS), equipment for the specialized Road Safety Cell
in PWD etc.
Terms of Reference Page 1 of 29 August 2010
2010
Attachment C
roads assets; (iii) does not systematically incorporate safety into lifecycle of state roads; (iv)
lacks an up-to-date, state-specific road design manual; (v) needs to strengthen capacity to
procure and implement road projects under Private Sector Participation schemes; and (vi)
needs to strengthen capacity to integrate environmental and social safeguards into road
design, project implementation and operation of the road network.
8. PWD has established a Planning and Road Asset Management Centre (PRAMC),
whose functions include Policy Development and Planning, Programming, Road Safety,
Information Technology support across the whole of PWD, and Training support across the
whole of PWD. An overview of the new organizational structure and responsibilities is given
in Annex 1 and Annex 2. Further details of PRAMC organization and functions are given in
Annex 1.
9. Figure 3 below gives a high-level Implementation Plan for PRAMC, in terms of its
initial establishment, and the type and duration of the tasks that are expected under these
consultancy services. PRAMC was formally established in year 2010, and since that time,
PWD has been preparing for operationalization of the centre through setting up of office
space, provision of communications facilities, computer hardware etc; it has also identified
and assigned some staff for the implementation of key functions.
10. The services described here will fully operationalize PRAMC, through development
and implementation of new procedures, detailed definition of responsibilities, implementation
of new computer applications, comprehensive documentation of all PRAMC functions,
comprehensive training of PRAMC staff, collection of road and bridge data, and
implementation of a staff training and development program to address staff turnover and re-
training where necessary.
11. It is anticipated that the first six (6) months of these services shall fully develop the
processes and procedures for operation of PRAMC (although these may be subject to
modification throughout the course of these services subject to detailed feedback in training
and use of the procedures). In the subsequent two (2) years, the Consultant shall carry out
functions of the PRAMC together with the PRAMC staff in the apprenticeship mode (as
described in detail in the tasks below) and provide formal and on-the-job training in the
activities required to operate PRAMC. It is anticipated that by the end of these two years,
PRAMC will be fully operational and driven by PWD. The final six (6) months of the services
shall include support from the Consultant, who shall also provide overall recommendations
for future PRAMC operation.
12. PWD’s experience under the KSHIP program, including planning, programming and
execution of upgrade and improvement works, and the recent introduction of performance-
based maintenance contracts, should be considered in the design of processes and
procedures for PRAMC. Similarly, those of KRDCL (Karnataka Road Development
Corporation Ltd), as a wholly owned Government of Karnataka enterprise for development of
road infrastructure in the State, should also be considered.
13. The outcome of the services will be strengthened institutional capacity of the PWD,
and improved business processes for effective, sustainable, safety conscious and cost
efficient road network planning and asset management.
• Improve staff development and training in PWD to help sustain the new
processes being implemented.
15. The scope of services under will include, but not necessarily be limited to, the
following tasks:
Task 1: Overall Operationalization of PRAMC
Task 2: Operationalization of Policy & Planning Unit
Task 3: Operationalization of Programming Unit
Task 4: Operationalization of Road Safety Unit
Task 5: Operationalization of Information Technology Unit
Task 6: Operationalization of Training Unit
Task 7: Provision of Transitional Staff
16. Objectives of this Task. The specific objectives of this task are to firmly establish
the Planning and Road Asset Management Centre (PRAMC) as a cohesive central office for
the planning, budgeting and programming of public roads in Karnataka.
17. Review of PRAMC Organization and Staffing. The Consultant shall review the
organizational setup and staffing of PRAMC in relation to its functions, and make
recommendations as appropriate.
• The Consultant shall design overall processes and procedures for all functions of
PRAMC. These shall include process models, and detailed workflow charts,
identifying all functions and activities, their inputs and outputs, the offices
responsible, and any constraints on these activities including laws or regulations of
other government agencies. Relationships between PRAMC and external agencies
should be included; as well as relationships between PRAMC and other PWD
offices including KSHIP and KRDCL.
• The Consultant shall review and develop Key Performance Indicators (KPIs) to
monitor the condition and value of road and bridge assets, and provide a set of
comparators/benchmarks from international best practices against which the
performance of road and bridge assets can be measured. These indicators shall
contribute directly to the PWD Business Plan (see below).
• The Consultant shall identify Process Performance Indicators (PPIs) to monitor the
effectiveness and efficiency of the new processes. The Consultant shall establish
procedures for measuring these indicators, and shall measure them to establish the
initial benchmark and verify the appropriateness of the procedures. The Consultant
shall also advise on the setting of performance targets against which the success
of the process changes will be measured.
• The Consultant shall develop an Operations Manual for PRAMC. This manual will
document in detail the policies, procedures and work steps from the PRAMC
processes, including the functions of all offices, and the use of all computer
applications, as developed under this and other tasks. This Operations Manual will
represent a definitive document and working guide for all staff involved in PRAMC,
and will tie together all documentation developed in this project, including the
Terms of Reference Page 5 of 29 August 2010
2010
Attachment C
20. Business Plan and Annual Report. The Consultant shall prepare a Business Plan
and an Annual Report for PWD in the first two full years of these services. The Business
Plan will include economic, social and environmental goals and policies; targets/indicators
for road user satisfaction; clear statement of performance measures; comparison with
established benchmarks; and a clearly presented budget. The Annual Report shall include
goals and targets from the last Business Plan, and shall include assessments of how and
whether these targets have been achieved.
• The Consultant shall develop procedures and guidelines for the conduct of Road
User Satisfaction Surveys, and conduct a sample survey to familiarize PRAMC
officials with these surveys. The Consultant shall also incorporate the conduct and
use of these surveys into the PRAMC Operations Manual.
• The Consultant shall also advise on how road user concerns should be addressed
in the planning and programming process, and in particular in road safety
programs. As indicated above, Road User Satisfaction should also be addressed
through the Business Plan and Annual Report
22. Awareness Campaign. The Consultant shall prepare and implement an Awareness
Campaign for all internal and external stakeholders involved in the new process. The
Awareness Campaign will ensure awareness of stakeholders of the PRAMC operations and
their implications both for the stakeholders operations/business processes and for the
development and asset management in the state in general. The Consultant shall assist
PWD in giving presentations and seminars as part of this Awareness Campaign.
• The Consultant shall implement a Continual Quality Improvement program for all
processes in PRAMC. These shall include an annual review of the processes, their
indicators, analysis and recommendations of how quality can be improved in each
area; prioritization of areas for improvement; and specific action plans to improve
quality. The resultant action plans shall be monitored regularly, and used as the
basis for the next year’s quality review.
• The Consultant shall, with PWD, conduct a Quality Review in each of the first two
(2) years of these services, and prepare an action as necessary for the next year’s
operation.
• The Road Information System (RIS) was initiated in PWD in year 2000 and was
developed as a database of the primary road network in Karnataka (NH/SH/MDR).
The RIS has been operated by the PWD Information Technology (IT) Cell since year
2000.
• A review of the RIS conducted in year 2010 recommended a number of technical
improvements that could be made to the RIS, including network referencing,
strengthening of data quality control, and extensions of data and functionality to
support the planned Pavement Management System (PMS) under this project. These
recommendations have now been implemented, and the RIS will form the central
repository of highway information with which the Pavement Management System
(PMS) will integrate. The RIS is designed to hold most if not all of the data required
for typical PMS analysis.
• The Geographic Information System (GIS) is tightly integrated with the RIS. It holds a
geographical representation of the road network, which relates to the roads and links
identified in the RIS, allowing visualization of data held in the RIS and other related
systems. It also holds other spatial data including towns and villages, administrative
boundaries, population etc. Annex 2 of this TOR gives a technical description of the
RIS and GIS.
• The RIS holds historical road inventory and condition data, and traffic data, from circa
year 2000. The GIS currently holds data that was digitised manually around year
2000, using 1:50,000 topographic maps. PWD has, however, recently collected
updated GPS (Global Positioning Data) that will be used to update the GIS.
• The Consultant shall review the existing Road Information System (RIS) and
Geographic Information System (GIS), with respect to the data elements for PMS
analysis; the functionality for extracting data from the RIS for PMS analysis; the
functionality for displaying results from the PMS in the GIS; and the functionality for
• The Consultant shall also review the management of GIS and GIS data in PWD. The
Consultant shall make recommendations including the classification of GIS data,
maintenance of metadata (data about data), data quality assurance, integration of
GIS with applications, making other potential users in PRAMC aware of GIS and the
capabilities of GIS, data sharing with other agencies, etc. These are with the
objective of increasing awareness and effective use of GIS throughout PRAMC.
• PWD is currently collecting road data (including inventory; visual condition; and
roughness data and GPS using ROMDAS equipment), and will continue to collect
these data throughout the course of these services. The Consultant shall review
these activities and make appropriate recommendations for all data collection and
data quality assurance.
• However there are some additional items of data that have been identified as
necessary or important for PMS implementation, and which PWD is not currently
collecting. These include pavement strength data, rut data (profilometer), and axle
load data. In these cases, PWD is procuring data collection equipment separately
under the loan. The Consultant shall identify the necessary equipment, and assist
PWD in procuring such equipment including assisting in preparing bid documents
and evaluation of bids received. The Consultant shall use such equipment to conduct
surveys for the first two (2) years of these services; and shall also train PWD so that
PWD will continue collection of such data beyond the end of these services. See
Task 2.6 for a full description of the road data items to be collected by the Consultant
under these services.
• The Consultant shall review existing road management policies, and assist PRAMC
in the refinement or development of any additional policies necessary for
implementation of the PMS. The Consultant shall prepare position papers on
necessary policy areas, and present them to executives for approval. Likely policy
areas to be addressed include Asset Management, Asset Valuation, and Vehicle
Overloading.
• The Consultant shall review existing staffing in the Policy & Planning Unit of PRAMC,
and make any recommendations as appropriate.
• The PMS should contribute directly to PWD’s Business Plan and Annual Report, by
allowing measurement of Key Performance Indicators, establishment of multi year
programs and annual plans, and help prepare a financial plan for current and future
road maintenance. The Consultant shall ensure that the PMS contributes directly to
the production of PWD’s Annual Business Plan through support for policies and
production of Key Performance Indicators (KPIs) and targets.
• The Consultant shall develop an approach and procedure for estimating the Asset
Value and depreciation of the Road Network, and for incorporating Asset Value into
the PMS and the Annual Business Plan as described above. This approach should
draw upon international best practice, but should also be based on the agreed data
collection policies and procedures established for the PMS under these services, and
upon any existing rules or guidelines for asset valuation adopted by the Ministry of
Finance.
• PWD owns two (2) licenses for HDM-4 version 2.0. In the event that a later version of
HDM-4 is available during the course of these services, the Consultant shall upgrade
PWD’s licenses to the latest version available at that time.
• The Consultant shall work with PWD to ensure that data can be extracted from RIS in
a format suitable for incorporation into HDM-4. This shall be based on a process of
automatic sectioning of the network based on user-defined parameters such as
surface type, roughness, traffic etc. This process shall be interactive, with the user
being able to adjust the resulting sections.
• This data shall include all necessary road inventory, road condition data (including
roughness and visual condition data), pavement strength data, traffic data (including
AADT and axle load data). This data should be aggregated or summarized by the
RIS as appropriate for strategic and program-level analysis; or, exported as-is for
project-level analysis.
• The Consultant shall also ensure that data from HDM-4 can be viewed in PWD’s
GIS-enabled RIS. This includes forward works programs generated under different
budget scenarios.
• The Consultant shall provide training and practical exercises to a maximum of six (6)
PWD staff in all aspects of HDM-4 and its use, including calibration, theory and
practice of deterioration relationships, intervention modeling, economic analysis, road
user costs, and benefit-cost analysis.
• The Consultant shall estimate the average unit cost of road works from historical data
and/or engineering estimates. These could come out of recently completed road
projects or project being prepared for bidding. Cost estimates will be in financial and
economic terms. The Consultant shall adopt the road work costs classification of the
World Bank’s Road Works Knowledge System (ROCKS) and proposed
improvements if needed. The Consultant shall develop procedures for the future
annual update of these unit costs by PRAMC.
• The Consultant shall develop appropriate set of maintenance and improvement
strategies for various categories of roads that are classified based on parameters
such as roughness, traffic, road width, appropriate service-levels etc.
• The Consultant shall estimate the average vehicle fleet characteristics and the
vehicle fleet unit operating costs, in financial and economic terms. The Consultant
shall perform a Level 2 data collection and calibration of the vehicle fleet data
following the recommendations of the Volume 5 of the HDM-4 documentation. The
consultant shall develop procedures for the future annual update of the vehicle fleet
data by PRAMC. The Consultant shall also analyze the actual VOC and IRI data on
typical selected roads of the CRN and establish useful empirical relationships
between the two for use as rules of thumb in feasibility rough and quick
assessments.
• The Consultant shall prepare a strategic network analysis of the Core Road Network
(CRN) using HDM-4, in the first year of these services. This should be based on a life
cycle cost approach, to establish necessary funding levels in general budget
categories to achieve defined levels of performance. The analyses should establish
medium-term budget frameworks including budget forecasts bot for the plan and non-
plan budgets. Analyses should show the consequence of budget constraints to the
users, the road agency and the road network; and should define priorities under
budget constraints.
• The Consultant shall also prepare program analyses of the Core Road Network
(CRN) using HDM-4, in the first year of these services. The outputs of this program
analysis shall include optimized work programs and scenarios under budget
constraints to achieve defined levels of service. The works under these programs
should include road widening, reconstruction, rehabilitation, strengthening,
Terms of Reference Page 10 of 29 August 2010
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Attachment C
resurfacing etc. The works under these plans should be prioritized using rational
criteria for investment decisions to maximize the benefits of investment. The outputs
shall include year-wise optimized works programs for different budget levels and
work classes.
• The Consultant shall present the results of the strategic analyses and program
analyses of the CRN to executives in PWD, at the end of the first year of these
services.
• The Consultant shall demonstrate use of the PMS for project level analysis on an
actual project. This should include identification and evaluation of different technically
feasible options such as periodic maintenance, resurfacing, rehabilitation,
reconstruction, capacity improvement, and other improvement and betterment works.
32. Simplified Systems for the non-Core Network. As indicated above, PRAMC
intends to operationalize HDM-4 for the Core Road Network (CRN). For the remaining, non-
core network of SH and MDR (approximately 45,000 km under PWD control), PWD currently
uses simplified processes and procedures for data collection, planning and programming of
road works. The Consultant shall review these processes and procedures in relation to the
non-Core network, and make recommendations for improvement. The Consultant shall
incorporate any revised procedures into the PRAMC Operational Manual.
• PWD conducts a road traffic census covering the SH and MDR roads for a period of
7 days once every 5 years. PWD also carries out 2-day sample surveys once a year
on selected and representative roads. The summary results and analysis are
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Attachment C
• The RIS stores the average PCU (Passenger Car Units) for each road section. The
paper-based data from the traffic count stations is summarized into spreadsheets
before being converted to PCUs for storage in the RIS.
• PWD does not currently collect axle load data. Some consultant studies in the past
have collected axle load data on selected roads for design purposes.
34. Review of Existing Traffic Counting Program. The Consultant shall review and
make recommendations on the existing Traffic Counting program of PWD, including manual
traffic counts, automatic traffic counts, origin-destination surveys, and axle load surveys.
This review shall take account of the recommendations of other consultants in this area. The
aim of any recommendations should be to improve the quality and timeliness of road traffic
data available; and to provide a flexible and sustainable data collection solution that
addresses the needs of all units of PRAMC. In particular, the proposed operation of
Automatic Traffic Classifiers should be reviewed, and their results used to improve traffic
counts, estimation of annual traffic flows, and traffic projections; also, design and
implementation of a program of axle load surveys should be included.
a. The Consultant shall supply or develop a Traffic Data Management System (TDMS).
The TDMS will be used by PWD to store data on traffic surveys (including manual
counts, automated surveys, origin-destination surveys, axle load surveys etc.).
b. The TDMS should be compatible with PWD’s existing RIS and GIS described in
Annex 2.
• Integrate with the Road Information System (RIS) for network referencing of
traffic count stations, axle load stations and traffic data;
• Define daily, weekly, monthly and seasonal factors as appropriate for
calculation of Annual Average Daily Traffic (AADT) figures, Passenger Car
Unit (PCU) figures, and axle loading;
• Import traffic count data in a generic format from Automatic Traffic Classifiers;
• Load and/or import data from manual traffic counts and weigh stations;
• Apply the above factors to calculate AADT and PCU for specific links;
• Allow estimation of traffic levels for any links that are not covered by explicitly
traffic counts;
• Flexible reporting on all data held within the system, including ability to view
historic growth rates on the network, traffic patterns on individual links etc.
• Highlight any traffic counts that deviate significantly from norm, in order to
identify anomalous data for investigation;
• Highlight any traffic data that is potentially anomalous based on previous
traffic data stored for a road section or area;
• Enable export or sharing of AADT, PCU and Axle Load data with the RIS and
PMS;
• Enable viewing of Traffic Data in PWD’s RIS / GIS.
e. The Consultant should address in his proposal how future support and maintenance
of the TDMS would be handled beyond the end of the project.
f. The Consultant shall look to load any historical traffic data available in PWD into the
new TDMS. The Consultant shall prepare a Data Loading and Migration Report
describing all data loaded into the system. If there are any data which the Consultant
believes should not be loaded into the new system, then these should also be
highlighted.
36. Traffic Counting Program Policies and Procedures. The Consultant shall develop
detailed Traffic Counting Program Policies and Procedures, as part of the overall PRAMC
Operations Manual.
• The Consultant shall prepare an Acceptance Test Plan for the Traffic Data
Management System. Upon approval by PWD, this Acceptance Test Plan will form
the basis for Acceptance Testing of the system.
• The system will only be considered complete upon formal acceptance by PWD of the
implemented system. The Consultant shall address any issues iteratively, until all
Acceptance Tests are completed satisfactorily.
38. Training. The Consultant shall train up to four (4) PRAMC staff in the operation of
the new TDMS application.
39. The Consultant shall supply and implement Transportation Modeling Tool (TMT)
software to store, manage, and analyse transportation data; for purposes of modeling travel
demand, trip generation on the road network as a result of proposed road network
development projects, and to incorporate inter-modal demand as a result of other transport
infrastructure initiatives including rail, air and port developments.
40. The Transportation Modeling Tool (TMT) shall be supplied as a single, stand-alone
license.
• Storage of Traffic Flow data, including import from the Traffic Data Management
System (TDMS) described above;
• Creation and assignment of routes, including assignment of travel demand to
different routes for different categories of traffic;
• Emissions calculation;
• Identification and analysis of impact of transport infrastructure developments and
socio-economic activity on existing and future road traffic demand.
42. The Consultant shall identify in the PRAMC Operations Manual how the TMT will be
used in the overall network planning process; and shall develop procedures for use of the
TMT by the Policy and Planning Unit of PRAMC.
• The Consultant shall prepare an Acceptance Test Plan for the Transportation
Modeling Tool. Upon approval by PWD, this Acceptance Test Plan will form the basis
for Acceptance Testing of the software.
• The software will only be considered complete upon formal acceptance by PWD of
the implemented system. The Consultant shall address any issues iteratively, until all
Acceptance Tests are completed satisfactorily.
44. Training. The Consultant shall train two (2) PWD staff in the operation of the new
Transportation Modeling Tool.
45. Background to BMS. The Road Information System (RIS) was initiated in PWD in
year 2000 and was developed as a database of the primary road network in Karnataka
(NH/SH/MDR). The RIS and associated GIS have been operated by the PWD Information
Technology (IT) Cell since year 2000. Operation and responsibility for the RIS and GIS have
now been transferred to PRAMC. PWD does conduct bridge inspections, however the RIS
does not currently store all data collected, and the RIS does not fulfill the functions of a
comprehensive Bridge Management System. It is intended that this project shall supply BMS
software to help support the new bridge management process. Annex 2 of this TOR gives a
technical description of the RIS and GIS.
46. Review of Available Systems and Data. The Consultant shall review existing
Bridge Data held in the Road Information System (RIS) and Geographic Information System
(GIS), with respect to the data elements needed for BMS analysis, and with a view to
integrating these systems with the new Bridge Management System (BMS) software to be
provided under this project.
a. The Consultant shall design new Bridge Inspection Procedures to cover all types of
bridge inspection for bridges in the network (including routine, special and
emergency inspections). Best practice methods and procedures shall be considered
when designing the new procedures. However, the new procedures must be
sustainable in PWD in the long term. The procedures shall include purpose, type,
frequencies, and formats of data to be collected. The new procedures shall address
the needs of all functions which use bridge data in PWD, including long- and
medium-term network planning, feasibility studies, bridge design, and maintenance
planning.
d. The Consultant shall review and recommend potential hand-held devices for
electronic transfer of data to the Bridge Management System that is being
implemented under these services.
e. The Consultant shall identify Key Performance Indicators (KPIs) which are to be used
to monitor bridge conditions. These indicators should include Asset Value, which
should incorporate any rules or guidelines from the Ministry of Finance. The
Consultant shall also establish procedures for measuring Process Performance
Indicators (PPIs), and shall measure them to establish the initial benchmark and
verify the appropriateness of the procedures. The Consultant shall also advise on the
setting of performance targets against which the success of the procedures will be
measured.
f. Upon approval of the new processes and procedures, the Consultant shall produce a
plan for full implementation of the new Bridge Management Process. This shall
include implementation at Central and District levels as appropriate.
g. The Consultant shall review required bridge inspection equipment, and shall prepare
an itemized list of equipment required by PWD to enable it to carry out those
inspections. This may include specialist bridge inspection vehicles for some types of
bridge. The Consultant shall also assist PWD in procuring equipment identified as
necessary to operationalize the BMS including assisting in preparing bid documents
and evaluation of bids received.
• Using the new Bridge Inspection Procedures and forms described above, the
Consultant shall conduct an Inventory and Routine Inspection of all Bridges on the
Core Road Network (CRN) in year 1 of these services.
• In year 2 of these services, the Consultant shall conduct a Routine Inspection on all
Bridges. This will include a check on the inventory data recorded in the previous
year.
49. Training
• The Consultant shall providing training on all activities necessary to maintain a self-
sustaining Bridge Inspection Management program in PWD. These shall include, but
not be limited to, bridge inspections, bridge data management, quality assurance,
and operational procedures. This shall include up to sixty (70) staff from Central and
District offices.
• The Consultant must ensure that the new processes and procedures are sustainable
in PWD. Any training for future bridge inspectors must be incorporated into the PWD
Training Calendar.
• Program Monitoring. The Consultant shall develop procedures for monitoring the
implementation of bridge works, and for feeding back relevant information to the BMS
to enable future planning to be more accurate and effective. The feedback must
include location, type, and cost of actual works in the field. The Consultant shall also
provide training in these procedures.
a. The Consultant shall supply and install new Bridge Management System (BMS)
software in the Policy & Planning Unit of PRAMC. A commercial off-the-shelf (COTS)
package is preferred. This should be compatible with PWD’s existing RIS and GIS
described in Annex 2.
b. It is anticipated that up to three (3) concurrent users will need access to the BMS at
any one time. The Consultant should give full details of any licensing options,
including per user, per seat, or site licenses, in both his Technical and Financial
Proposals. Note that if the BMS is supplied with optional modules that are licensed
with separate costs, then the costs of each module should be listed separately in the
financial proposal.
c. The Consultant shall work with PWD to ensure that the BMS is integrated with the
existing RIS. The Consultant shall also ensure that data from the BMS can be viewed
in PWD’s GIS.
e. The Consultant shall look to load any historical bridge data available in PWD into the
new BMS. The Consultant shall prepare a Data Loading and Migration Report
describing all data loaded into the system. If there are any data which the Consultant
believes should not be loaded into the new system, then these should also be
highlighted.
f. The Consultant shall provide training and practical exercises to up to six (6) PWD
staff in all aspects of the BMS software and its operation.
g. The Consultant should address in his proposal how future support and maintenance
of the BMS would be handled beyond the end of the project.
• The Consultant shall prepare an Acceptance Test Plan for the Bridge Management
System. Upon approval by PWD, this Acceptance Test Plan will form the basis for
Acceptance Testing of the system.
• The system will only be considered complete upon formal acceptance by PWD of the
implemented system. The Consultant shall address any issues iteratively, until all
Acceptance Tests are completed satisfactorily.
52. Review of Existing Goals, Policies and Procedures. The Consultant shall review
existing social and environmental policies, including state guidelines, PWD internal rules and
policies, and policies of lending agencies.
• The Consultant shall prepare comprehensive procedures manuals for PWD project
compliance with existing rules and guidelines. These shall include procedures for
Environmental Surveys, preparation of Environmental Impact Statements; application
for Environmental Clearance; development of Environmental Monitoring Plans; and
monitoring of projects in various stages includes pre-construction, construction and
post-construction.
• The Consultant shall implement a monitoring scheme to track implementation of
social and environmental mitigation measures under projects.
• The Consultant shall train PWD staff in the use of these procedures, at Central and
District levels as appropriate. This shall involve up to sixty (60) staff total.
• The Consultant shall prepare training materials and training courses to enable PWD
to provide internal training in future, to deal with staff turnover and re-training where
necessary.
54. Project Evaluation and Prioritization. The Consultant shall recommend methods
for inclusion of social and environmental goals in project evaluation and prioritization criteria.
Upon approval by PWD, these criteria shall be integrated into the programming process.
55. This task covers additional items of data that have been identified as necessary or
important for PMS implementation, and which PWD is not currently collecting. PWD is
procuring certain items of data collection equipment under a separate component of the
loan. The Consultant shall use these equipment to conduct surveys for the first two (2) years
of these services; and shall also train PWD so that PWD will continue collection of such data
beyond the end of these services.
56.
57.
58. Figure 5 gives a summary of road data to be collected by the Consultant under this
project.
59. Video Data. The Consultant shall collect Video Data for the entire Core Road
Network of 25,000 km in the first year of the services only (video data in general should be
updated on average once every five (5) years). This is forward-facing video to be able to
view general layout of road and identify major inventory items. This video data should be
referenced to the road network through video lookup tables.
60. Rutting Data. The Consultant shall collect Rutting Data for the entire Core Road
Network (CRN) of 25,000 km in each of the first two (2) years of the services. The system
should be configured to store both the raw transverse profile data and the rut depth as
calculated in relation to a 2 meter straight-edge. The maximum profile sampling and
recording intervals should be 5 meters.
61. Pavement Strength Data. The Consultant shall collect pavement strength data
using Falling Weight Deflectometer (FWD) and Ground Penetrating Radar (GPR) equipment.
These tests shall be conducted on a subset of 2,500 km of the network, representing various
construction types and ages of pavement These data shall be used in combination to
calculate pavement strength, thickness of pavement layers, and strength parameters used
by HDM-4. The Consultant shall also devise a methodology for extrapolating these data to
the rest of the road network for PMS purposes.
62. Objectives of this Task. The Programming and Monitoring Unit is intended to
evaluate and prioritize projects for inclusion in Annual Works Programs; to prepare Annual
Works Programs and Infrastructure Budgets; to prepare Procurement Plans; to coordinate
with Project Implementation Units for the programming and execution of works; and to
monitor the progress of the Annual Program. The objectives of this task are to fully
operationalise the Programming Unit.
63. Review of Operation and Staffing. The Consultant shall review the operation and
staffing of the Programming and Monitoring Unit, and make recommendations on any
additional staffing needs as appropriate.
related to the development of social and environmental goals, and the Pavement
Management System, described under Task 2.
• The Consultant shall develop procedures for preparation of Annual Works Programs
and Infrastructure Budgets, including obtaining of all approvals necessary; and for
the preparation and publication of a Procurement Plan. This may involve coordination
and integration with external stakeholders, Project Implementation Units, District
Offices etc. as necessary. The publication of the Procurement Plan should be
integrated with the e-Procurement services being implemented in the Government of
Karnataka.
• The Consultant shall develop policies and procedures for conduct of preliminary
Feasibility Studies for assessing projects to be included in the work program.
• The Consultant shall prepare a Calendar of Events that describes the activities that
need to take place throughout the year, and the deadlines for each of those activities.
There are climatic and other factors that constrain construction and maintenance
activities differently in different regions of the State. These seasonal variations shall
be incorporated into the Calendar of Events.
• The Consultant shall develop procedures for procurement of Right of Way, in line
with social goals, policies and procedures as described in Task 2 above.
• The Consultant shall develop procedures for the Programming Unit to monitor the
procurement of Right of Way by Project Implementation Units and Districts.
• Program Monitoring. The Consultant shall develop procedures for monitoring the
implementation of the forward works programs, and for feeding back relevant
information to the Planning and Programming processes to enable future planning to
be more accurate and effective. The feedback must include location, type, and cost
of actual works in the field; and delays experienced in project completions and in
obtaining necessary clearances and permits and causes thereof.
• The Consultant shall review existing computer systems in PWD for management and
monitoring of projects and contracts. The Consultant shall make recommendations
for implementation of Project Management Systems in PWD to track progress of
programs, project and contracts in an integrated manner.
67. Project Assessment Procedures. The Consultant shall develop procedures for the
Programming Unit to monitor the conduct of project assessments as carried out by Project
Implementation Units and District Offices.
68. Training. The Consultant shall provide training in all procedures required for the
operationalization of the Programming Unit. This training will include staff from the
Programming Unit, and staff from District Offices and other implementation offices in PWD
as required. This shall involve up to sixty (60) staff total.
69. Background to this Task. In Karnataka, road safety efforts are largely sporadic and
hampered by poor interagency coordination, insufficient road management safety capacity,
and a lack of an effective multi-sectoral Road Safety Action Plan. The Karnataka State
Highway Improvement Project (KSHIP) is undertaking a number of initiatives, including
conduct of road safety audits at various stages of project implementation, strengthening the
road safety capacity in PWD, and developing road safety programs in selected areas. PWD
is also conducting on-going projects (including Capacity Development Technical Assistance
(CDTA) piggy-backed to the KSHIP) for development of standards and guidelines for the
conduct of blackspot programs, Road Safety Audits and the preparation of Road Safety
Action Plans; and the development of guidelines for incorporating Road Safety into the
project life cycle, at design, construction and post construction stages. PWD has developed
a Road Accident Analysis System (RAAS) for recording and analysis of road traffic accident
data, although that system is not fully operationalized yet across all the stakeholders.
• The primary objectives of this task are to coordinate all Road Safety functions of
PWD under a single office, the Road Safety Unit, in PRAMC; and to improve
coordination among the various stakeholders involved in Road Safety including
PWD, traffic police, healthcare agencies, and education agencies through the Road
Safety Unit.
• The Consultant should note that this Task 4, for implementation of the Road Safety
Unit, shall be closely coordinated with the ongoing initiatives, especially the ones
establishing road safety policies, standards, guidelines, and tools so that those could
be fully incorporated in the operations of the Road Safety Unit. The Consultant
together with the concerned PRAMC staff will participate in the ongoing initiatives,
such as development of the blackspot program under KSHIP and road safety audits
conducted by the construction supervision consultant under KSHIP to ensure full
understanding of the procedures and gaining hands-on experience.
71. Review of Operation and Staffing. The Consultant shall review the operation and
staffing of the Road Safety Unit, and make recommendations on any additional staffing
needs as appropriate.
• As indicated above, a piggy-back CDTA is producing policy and guidelines for the
conduct of Road Safety Audits, and shall have trained PWD staff in these guidelines.
The Consultant together with the concerned PRAMC staff will participate in selected
road safety audits under KSHIP to ensure full understanding of the procedures and
gaining hands-on experience.
• The Consultant shall consolidate the above-mentioned policies and guidelines, and
shall ensure that these are integrated into the PRAMC Operations Manual. Based on
the developed road safety audit policy, the Consultant shall prepare a provision
requiring conducting road safety audits at various stages in the project development
for incorporation in the PRAMC Operations Manual. The provision will require a sign
off by the road safety unit of all project related documentation, which may include, but
not be limited to: RFPs for DPR consultant, DPRs, and RFPs for the services of the
construction supervision consultant. Following the acceptance of the provision by
PWD, the Consultant together with the staff of the road safety unit will be conducting
a systematic review of the above documentation. PRAMC Operations Manual should
also outline the role of the road safety unit in conducting road safety audits.
74. Road Traffic Accident Statistics. The Consultant shall develop procedures for
submission of Road Traffic Accident Statistics to State statistical agencies and/or to national
government; and for publication of statistics.
75. Publicity Material. The Consultant shall liaise with other stakeholders in road safety,
including police, health and education agencies, and prepare publicity material for dealing
with all aspects of road safety, including those aspects such as public education, drink-drive
campaigns, wearing of helmets, restraining equipment etc.
• The Consultant shall ensure that all policies, procedures, documentation etc. relating
to Road Safety are placed on the PRAMC intranet.
• The Consultant shall ensure that appropriate policies and procedures relating to
Road Safety are referred to from other documentation produced under this project,
and are linked into the PRAMC Operations Manual.
77. KSHTTA. The Karnataka State Highway Traffic and Transport Authority (KSHTTA)
includes in its mandate the oversight and regulation of all road safety activities in the State.
The Consultant shall conduct a seminar with PRAMC and KSHTTA to inform KSHTTA of the
Road Safety initiatives being carried out by PWD, including the establishment of the Road
Safety Unit, and to agree mechanisms for regular review and communication between
PRAMC and KSHTTA.
78. Objectives of this Task. The Information Technology Unit is intended to provide
support for the planning, procurement, implementation, integration and support of IT systems
across PRAMC. This task is intended to fully operationalize the Information Technology Unit.
79. Background to this Task. Some PWD computer systems and applications are
hosted by the National Informatics Centre (NIC) in Bangalore, which also provides network
and systems administration services. However, some IT administration services are also
carried out in-house by the Information Technology Unit.
a. The Consultant shall develop standards and procedures for planning, procurement,
implementation, integration and support of technology in PRAMC. These shall
include, but not be limited to, the following:
b. The Consultant shall hold awareness seminars and presentations throughout PWD to
ensure that all PWD units and offices are aware of policies and procedures relating to
IT.
81. IT Support
• The Consultant shall design and implement an intranet site to manage and publish all
PRAMC procedures. The tools used should enable storage and publication of all
documentation produced under these services, in an integrated fashion. Appropriate
security must also be established for document control.
• The Consultant shall store all documents produced under this project (policies,
procedures, polices, training manuals etc) on the intranet site established for this
purpose.
• The Consultant shall also provide training to PRAMC staff in future management and
development of this intranet site.
83. Objectives of this Task. The Training Unit will identify training needs across
PRAMC; identify training courses (internal and external) to match those needs; advertise
courses; schedule training courses for staff; record staff completion of courses; and the
effectiveness of training. These functions are designed to improve staff access to training,
improve the quality of training, and so improve implementation of functions throughout
PRAMC and PWD. This task is intended to fully operationalize the Training Unit.
84. Review of Operation and Staffing. The Consultant shall review the operation and
staffing of the Training Unit, and make recommendations on any additional staffing needs as
appropriate.
86. Implementation of the Training Unit. The Consultant shall develop policies and
procedures relating to the Training Unit, and train staff in these new policies and procedures.
87. Awareness Training. The Consultant shall hold awareness seminars and
presentations throughout PWD to ensure that all PWD units and offices are aware of policies
and procedures relating to the Training Unit.
88. Objectives of this Task. This task will provide transitional staff to perform key
functions of PRAMC in the critical first two (2) full years of PRAMC operation, as described
in the PRAMC Implementation Plan in Error! Reference source not found..
1. The Consultant shall provide staff for full-time support to PRAMC for a period of up to
two (2) years after the initial development of policies and procedures. A suggested
breakdown for all such staff is given in Figure 6. These staff will be responsible for the
fulfillment of the functions of PRAMC during the period of the services, as well as training
to PWD counterpart staff. The schedule of these staff is as indicated in the
Implementation Arrangements, Staffing and Schedule.
Chief Engineer
1 Team Leader
Superintending Engineers of PRAMC
Head of Policy & Planning Unit
Head of Programming Office
2 Highway / Transport Planner Head of Right of Way Office
Head of Procurement and Project Monitoring
Office
Road Management System Head of Road Information Systems Office
3
Specialist Head of Transport & Traffic Data Office
Bridge Management System
4 Head of Bridge Inspections Office
Specialist
Head of Environmental & Social Office
5 Environmental or Social Specialist
Head of Project Assessment Office
6 Road Safety Specialist Head of Road Safety Unit
7 IT Analyst Head of Information Technology Unit
8 Training Specialist Head of Training Unit
90. PWD will be the executing agency for the consultancy and will provide general
oversight and guidance. The Chief Engineer in charge of PRAMC will be the major point of
contact for the Consultant and will appoint his representatives and counterpart support staff
to interact with the Consultant. In the interim period pending the appointment of the Chief
Engineer, a senior engineer tasked by the Secretary, PWD to fulfil the duties of the Head of
PRAMC will be the major point of contact.
91. The services will be carried out by a firm of international consultants in association
with national consultants. Staffing input of the firm will be 224 person-months of international
consultants and 156 person-months of national consultants with the indicative breakdown of
person-months shown in Table 1. The services will be provided over the period of three (3)
years.
Figure 7 - Indicative Breakdown of Consultant’s Input
International Staff
Tasks Person
No Position
assigned months
V DELIVERABLES
92. The Consultant shall adhere to the following schedule for deliverables. All dates are
given in terms of months after commencement of services, unless otherwise specified.
• For all software applications developed under this project, the Consultant shall
provide the following documentation:
a) Program Specifications
b) Design Documents
c) Source Code
d) Installation Procedures
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Attachment C
96. Training
• This section summarises the formal training to be provided under these services. The
Consultant may choose to further sub-divide the training courses as described here.
In addition to the training listed, it is expected that the Consultant shall provide on-
the-job training throughout the course of the services.
• Where training is to involve District Office staff, at least two (2) members of staff from
each District Office should be included in the program; also, the Consultant should
plan to conduct training in at least two (2) locations, north and south Karnataka, to
reduce travel and accommodation costs for trainees.
• All Training and Training Materials will remain the property of the PWD at the end of
the services. PWD will retain the right to conduct future training using the Materials,
such training to be conducted in-house or by any external Training Provider
appointed by PWD.
• All training courses must be incorporated into the PWD Training Calendar.
• Figure includes a list of all formal training to be provided under these services, as
described in the Tasks above.
97. PWD will make available suitable office space for the Consultant team, during
postings or on-site visits. The Consultants will be housed in the same offices as the Planning
and Road Asset Management Centre (PRAMC) staff.
98. The offices will be equipped with basic office furniture. Usage bills for telephone lines
and internet connections will be borne by the Consultant.
99. All computer hardware (servers, PCs, switches, routers etc.), systems software
(Operating Systems, including Client Access Licenses (CALs)), and connection to PRAMC’s
Local Area Network (LAN) will be provided by PWD. The Consultant shall include in his
proposal costs for any database software licenses or application licenses for applications to
be developed under this project.
A. BACKGROUND
2. The Karnataka State Highway Improvement Project (the Project) will rehabilitate and
upgrade about 625 km of state highways in the state of Karnataka, India and strengthen the
capacity of the Public Works Department (PWD) of the Government of Karnataka (the
Government) to develop, operate and maintain state road network. Consulting services will be
provided to supervise the implementation of civil works and support establishment and
operation of the Planning and Road Asset Management Centre of PWD (PRAMC).
3. The road network in Karnataka comprises 3,987 km of national highways (NH), 22,078
km of state highways (SH), 50,037 km of major district roads (MDR), and 147,212 km of village
roads (VR). There is an increasing demand for road transport leading to capacity constraints on
the existing road network. Specifically, 27% of SH and 21% of MDR are considered to be in
good condition, while 14% of SH and 20% of MDR are in poor condition. More than 13,000 km
of SH are already experiencing congestion of various degree, with more than 7,800 km already
operating at the capacity limit..
4. Apart from the need to improve road infrastructure, PWD, in charge of overall road
sector development and management, needs sustainable road planning, development, and
asset management system and capacities. Specifically, PWD: (i) needs to develop capacities
and establish an objective, data driven processes and tools for planning, programming and
budgeting of the road network, and road maintenance; (ii) does not have adequate capacity at
zonal and district levels for effective operation, maintenance and protection of existing roads
assets; (iii) does not systematically incorporate safety into lifecycle of state roads; (iv) lacks an
up-to-date, state-specific road design manual; (v) needs to strengthen capacities to procure and
implement road projects under Private Sector Participation schemes; and (vi) needs additional
capacities to integrate environmental and social safeguards into road design, project
implementation and operation of the road network.
6. The outcome of the CDTA will be strengthened institutional capacity of the PWD and
improved business processes ensuring effective, sustainable, safety conscious and cost
efficient design, construction, operation and maintenance of state roads. Specific objectives of
the PPTA are to: (i) monitor the work of the Planning and Road Asset Management Division of
PWD (PRAMC), including services of the outsourced positions; (ii) provide advisory support in
strengthening and equipping PWD at the zonal and district levels for effective operation,
maintenance and protection of existing roads; (iii) strengthen road safety management capacity
of PWD and the state; (iv) reviewing road safety program being implemented on two pilot
corridors and providing recommendations; (v) assist with incorporating safety into lifecycle of
state roads; (vi) assist with the implementation of the road safety component under KSHIP; (vii)
develop state-specific Road Design Manual; (viii) provide advisory services for the private sector
participation projects (PSP) and assist PWD in developing capacities to procure and implement
road projects under PSP; (ix) assist PWD in building PWD capacities to integrate environmental
and social safeguards into road design, project implementation and operation of the road
network; and (x) assist with the setup of socio-economic impact monitoring of KSHIP.
C. SCOPE OF SERVICES
7. The scope of services under the CDTA will include, but not necessarily be limited to, the
following tasks:
(iv) Review road safety program on two pilot corridors. PWD together with the Home,
Health, Education and Transport Department are implementing multisectoral safety
program on two pilot corridors. The Consultant will conduct a before-after review of the
program effectiveness and assess relative contribution of the program components to the
extent possible, including both quantitative techniques (such collision causation) and
appropriate qualitative techniques (such as analysis of the major risk factors).
(v) Assist with incorporating safety into lifecycle of state roads. The Consultant will
propose specific road safety tasks to be done at each stage of the road lifecycle including
planning, feasibility, design, construction, pre-opening, post construction, and
operation/maintenance of existing roads; will guide RSC on the implementation, including
through on-the job training for RSC staff; and conduct dedicated road safety training for
RSC and PWD staff. The Consultant will develop specific business processes; road safety
and traffic management tools, policies, practices; and amendments to TOR and bidding
documents to ensure that identified road safety tasks are fully incorporated. This might
include:
• At the design stage: the Consultant might propose/develop: (i) mandatory input
of a road safety engineer on the design team; (ii) road safety audit (RSA) done
by PWD or/and independent third party; (iii) step-by-step RSA process with roles,
responsibilities and reporting requirements, including RSA report templates etc;
(iv) model TORs on the RSA and on the input of the road safety engineer in the
design team; and (iv) policy on RSA of DPRs defining which category roads
should undergo RSA in which mode (mandatory, desired etc).
• At the construction stage: For RSAs of the work zones the Consultant will
develop step-by-step RSA process with roles, responsibilities and reporting
requirements, including RSA report templates etc. The Consultant will also
prepare a model road safety part of the TOR for the construction supervision
consultant, which might include the input of the road safety expert to: (i) conduct
RSA of design (if not done previously); (ii) review and approve temporary traffic
control schemes and inspect work zones to ensure road safety during
construction; (iii) inspect and ensure road safety measures are implemented as
designed; (iv) conduct analysis of road accidents occurred on project roads
during project implementation and propose countermeasures to mitigate road
safety risks; and (v) conduct pre-opening or post-construction road safety audits
immediately after opening to traffic.
• For existing roads: the Consultant will: (i) develop a policy on selection of roads
for RSA (which may be based on the quantitative road network
screening/blackspot identification techniques; (ii) step-by-step RSA process with
roles, responsibilities and reporting requirements, including RSA report templates
etc; (iii) model TORs on the RSA; (iv) step-by-step process on the network
screening/blackspot identification; which may include several options as
applicable, such as qualitative (RSA of the network, iRAP technique) and
quantitative (accident data analysis). For the implementation of the latter, the
Consultant will assess the capabilities of the RAAS and identify needs and
business processes ensuring its operationalization, including systematic data
• For monitoring and evaluation: The Consultant will develop monitoring and
evaluation techniques to identify the effectiveness of road safety work both in
general and for specific countermeasures and on specific road entities, including
before-after quantitative techniques, collision causation analysis techniques
including overrepresentation analyses etc.
(vi) Assist with the implementation of the road safety component under KSHIP. The
Consultant will assist with the implementation of the road safety component under KSHIP
which will include:
• Development of the road safety countermeasures for the selected blackspots
which will include RSA-like analyses of each blackspot site supplemented by
accident data analyses where possible. The services will include field visits to the
blackspot locations conducted together with the concerned PIU KSHIP staff;
development of countermeasures at the pre-feasibility level including sketches,
costing of countermeasures, and providing informed estimates of expected
reduction in accident frequencies and/or severities. This will be a basis for a
further review by concerned PWD staff who will further develop the
recommendations and engage DPR consultants to prepare designs. As the
implementation of the black spot program is already budgeted for 2011, the
Consultant will start the assignment with this task.
• Identification of the needs for equipment and software required to operationalize
RAAS (e.g., GIS hand held devices for RAAS, office requirements and
equipment for the specialized Road Safety Cell which can be procured under
KSHIP), etc and provide advisory support in the use of the equipment.
(vii) Develop State Road Design Manual. The Consultant will develop State Road Design
Manual which will be based on best international manuals/guidelines tailored to local
conditions and will be promoting safe, cost-efficient and sustainable road design
approaches, principles and practices.
(viii) Provide advisory services for PSP and develop capacities to procure and implement
road projects under PPP. The Consultant will review the materials developed by the
World Bank funded Public Private Infrastructure Advisory Facility (PPIAF), experiences
with PSP schemes already implemented and currently under implementation in the state
(including PSP schemes under World Bank financed KSHIP-II), compile best experiences
from other states in India and elsewhere and provide recommendations on the further use
of PSP schemes, amendments to the PSP schemes and/or new PSP schemes for piloting.
The recommendations will include both specific bidding and contractual arrangements,
and measures to build adequate institutional arrangements and capacities in PWD to
procure and implement road projects under PPP, which may include, but not be limited to
the following:
• Advisory support to the creation of a PPP cell within the future PRAMC 1 with
expertise in financial modeling for road projects, risk assessment and risk
allocation, due diligence work, designing and implementing OPMR or just
performance based private sector contracts, performance guarantees and
insurances in private sector projects and mechanisms of dispute resolution.
• Defining specific training needs for the PWD staff, conducting basic training to
the concerned PWD staff on most important aspects of PSP, develop an
advanced training program for selected PWD staff (i.e., PPP Cell), and identify
domestic and overseas training institutions capable of implementing the
proposed advanced training program on PSP.
(ix) Strengthen capacities to integrate environmental and social considerations in road
design and implementation. The Consultant will review institutional arrangements,
business processes, practices, experiences, and capacities to integrate environmental and
social considerations in road design and project implementation and propose specific
recommendations on all of the above, including specific amendments to TORs and bidding
documents, monitoring procedures, additional staffing/training as needed etc.
(x) Assist with the setup of socio-economic impact monitoring of KSHIP. The Consultant
will develop study methodology, approach and implementation plan for socio-economic
1
This road-sector specific PPP Cell is essential and may be either part of the PRAMC or may be housed in
Karnataka Road Development Corporation Limited
Terms of Reference Page 5 of 12 August 2010
2010
Attachment D
impact monitoring of KSHIP, which will include, among others, survey instruments and
approaches to project and control sample selection for purposes of statistical validity of
results and availability of data on indicators selected; appropriate quantitative and
qualitative techniques, approach to the analysis of the results of the baseline and annual
surveys, approaches to identify the mechanisms and process through which impacts took
place, and the factors that enabled or inhibited impacts. The Consultant will develop a
work program for the impact monitoring and conduct training of the concerned PIU KSHIP
staff and the consultants.
8. PWD will be the executing agency for the CDTA and will provide general oversight and
guiding. PIU KSHIP as a part of PWD will be responsible for the day-to-day supervision of the
CDTA. The Chief Project Officer (CPO) in PIU KSHIP will be the major point of contact for
CDTA Consultant and will appoint his representatives and counterpart support staff to interact
with the CDTA consultant at the working level.
9. The CDTA will be carried out by a firm of international consultants in association with
national consultants. Staffing input of the firm will be 26 person-months of international
consultants and 32 person-months of national consultants with the indicative breakdown of
person-months shown in Table 1.
10. The firm and individual consultants will be engaged in accordance with ADB’s Guidelines
on the Use of Consultants and other arrangements satisfactory to ADB on the engagement of
national consultants. The consulting firm will be engaged using ADB’s quality and cost-based
selection procedures (QCBS) with a quality-cost ratio of 80:20. Simplified Technical Proposals
(STPs) will be requested.
11. CDTA will be conducted over a period of 12 months with the Road Asset Management
Expert (Team Leader) and Highway Engineer (Deputy Team Leader) working full time in
Karnataka and coordinating with other team members coming for the shorter periods of time.
International team members will be required to provide at least 90% of their input working in the
project office in Karnataka, while the rest of the input (such as finalizing the reports) can be
done in their home offices. National team members will be required to provide all their input
working in Karnataka (Bengaluru office), or in the field.
12. It is anticipated that the input of the consultant will be in two phases: the first phase is
review and recommendations, and the second – support in the implementation of
recommendations and actions agreed during the first phase, including monitoring, advisory
support, fine-tuning as needed, on-the-job training and dedicated training programs. However,
the Consultant may provide alternative concepts/approaches and related work programs in their
technical proposals.
D. DELIVERABLES
13. Main Reports. The Consultant will prepare an inception report, monthly progress reports,
a draft final report and a final report. All reports will be in English. One hard copy and one
electronic copy of each report will be submitted to PWD, PIU KSHIP and to ADB. One hard copy
of the final report will also be provided to DEA.
(i) Inception Report. To be submitted four weeks after commencing the services. The
report will be based on work and staffing schedules agreed upon during contract
negotiations, will contain refined study design (approach, methodology and work
plan), contain outline table of contents of the final report, highlight problems
encountered and anticipated, and will recommend solutions.
(ii) Progress Reports. Brief reports will be submitted monthly, based on the inception
report implementation and staffing schedules, and identify matters that require the
attention of the state governments and/or ADB.
(iii) Draft Final Report. This report, to be submitted during 11th month, will present all
CDTA outputs, including all results contained in the additional reports outlined below.
The report will summarize the support extended to the implementation of the
recommendations provided in the course of the assignment, specific results
achieved, lessons learned, and further actions and support required. Matrix outlining
issues identified, recommendations provided, implementation status and further
actions will be provided as one of the report appendices. The report will contain a
concise Executive Summary.
(iv) Final Report. This report will be submitted at the end of 12th month, and will
incorporate comments on the draft final report from the PWD, PIU KSHIP and ADB.
14. Additional Reports. The Consultant will prepare additional reports, as follows:
(i) Asset Management Report. This report, to be submitted during 6th month of the
assignment will present:
(ii) Road Safety Report. This report, to be submitted during 8th month of the
assignment will present:
(iii) Road Design Manual. This document, to be submitted during 6th month of the
assignment will be based on best international manuals/guidelines tailored to local
conditions and will be promoting safe, cost-efficient and sustainable road design
approaches, principles and practices.
(iv) Private Sector Participation Report. This report, to be submitted during 6th month
of the assignment will present:
(ii) Dedicated Training Workshops. At least 5 training workshops will be conducted for
the concerned PWD staff, each in the following areas: asset management, road
safety, road design; PSP, and safeguards/project impact monitoring.
E. GOVERNMENT INPUT
16. PWD and PIU KSHIP and will provide counterpart staff and part-time support staff for the
CDTA, provide all relevant information and data, and ensure proper level of review of the
recommendations provided by CDTA Consultant. PWD and PIU KSHIP will ensure active
participation of the concerned staff in the field visits, workshops and all on-the-job training
activities.
17. PWD/PIU KSHIP will provide an office for the CDTA Consultant in their premises to ensure
effective cooperation between the CDTA Consultant and PWD/PIU KSHIP staff
18. For the road safety analysis of blackspots and developing road safety countermeasures
for each of them, PWD and PIU KSHIP will: (i) provide a list of blackspots for the road safety
analysis by the CDTA Consultant; (ii) provide DPRs, accident data and other relevant
information regarding each blackspot; (iii) ensure participation of relevant staff in the field visits
together with the CDTA consultant; (iv) review the countermeasures, decide on acceptance and
modifications/alternatives as needed; (v) engage DPR consultants to develop DPRs and traffic
management schemes to implement the countermeasures.
Appendix I
The qualification requirements in this Appendix are “preferred” qualifications, and meeting them
will result in rating “average” in the technical evaluation. However, qualifications specifically
mentioned with language such as “minimum” or “at least” are minimum qualification
requirements, failing which will be considered as “non-complying” for those specific
requirements.
The qualifications described are to supplement the information already provided in the TOR that
directly or indirectly defines the level and range of expertise, qualifications and experience to be
possessed by the experts, and is, therefore, not an exhaustive list of requirements.
International Experts
have worked on key aspects of private sector participation in road projects for at least 7 years,
including developing specific bidding and contractual arrangements for PSP (including
designing and implementing OPMR or just performance based private sector contracts);
building institutional arrangements and capacities to procure and implement road projects under
PPP; financial modeling for road projects; risk assessment and risk allocation; due diligence
work; performance guarantees and insurances in private sector projects; mechanisms of dispute
resolution; and training. Combination of experiences in both developed and developing
countries will be an advantage.
National Team
8. Environmental Specialist.
Should have a master’s degree in environmental science or equivalent, and have at least 8
years of post-graduate experience in preparing, implementing and monitoring the
implementation of the environmental safeguard in infrastructure projects. He or she should be
Terms of Reference Page 11 of 12 August 2010
2010
Attachment D
fully familiar with the legal provisions for environmental management in India. Must have
experience in the preparation, implementation and monitoring of environmental safeguards in
infrastructure projects financed by one or more external financiers (ADB, JBIC, World Bank or
other bilateral/multilateral funding agencies).
The adopted standards and criteria for the detailed design of roads and bridges under the
Karnataka State Highways Improvement Project (KSHIP) are as follows:
(i) Standards and Guidelines - by the Indian Roads Congress (IRC);
(ii) Specifications for Roads and Bridges – by MOSRTH;
(iii) Indian Standards - by the Bureau of Indian Standards (BIS) 1 ;
(iv) Standards and Guidelines of the American Association of State Highway and
Transportation Officials (AASHTO); Overseas Road Note 6 (ORN-6) of Transport
Research Laboratory, UK.
C. Cross-Section
Both rural and urban cross-sections (RCS and UCS) were used in the design of project roads as per
IRC 73-1980. Rural cross-section with paved shoulder (RCSPS) consists of two 3.5 m wide lanes
with 1.5m wide paved shoulders, 1.0m wide earthen shoulders and necessary drainage facilities.
Rural cross-section with earthen shoulders of 2.5m (RCSES) are used on links where the paved
shoulders are not warranted Paved shoulders are used to provide additional space for movement of
slow moving and non-motorized traffic and for parking. A 2.5% cross fall for main carriageway and
paved shoulder and 3% cross fall for earthen shoulder was provided. The side slopes of
embankments are kept at a minimum 2 to 1 under ideal conditions as recommended by IRC: 36-
1970 from safety and economic considerations. Two types of the urban cross-section (UCS) are
used: (i) UCS1: two lane carriageway 7.0 m wide with 2.5m to 4.5m wide paved shoulders for slow
moving traffic and parking; and 2.0 m raised kerb footpath (ii) UCS2: divided 4 lane cross-section
(two 7.5m wide carriageways divided by 1.2 m wide median and 2.0 m raised kerb footpath) which
is used in selected urban/town locations experiencing high levels of congestion due to mixed traffic
flow and considerable pedestrian movements.
Maximum superelevation required for 100 km/h design speed is 7%. Since 100 km/h driving speed
could be achieved only by few vehicle categories and most of the heavy goods vehicles generally
travel at lower speeds, it was decided to use 5% superelevation in rural areas and 4% - in built-up
sections 2 .
In general, the proposed improvements follow the existing horizontal and vertical alignment.
However, modifying the existing alignment of horizontal curves was often needed to provide the
adopted design speed of 100 km/h. The geometric designs of intermediate stretches (existing
horizontal curves which lacks necessary geometry for 80Kph design speed, series of short curves,
and broken-back curves are realigned) of roads where speeds of 80 km/h are not safely attainable
1
IRC standards and guidelines are specific only to road and bridge works and do not cover all other item of works
while,BIS standards include all work items. Thus BIS standards were used for any specific work item which is not
covered under IRC.
2
Values are recommended by “Geometric Design of Highways and Streets” – AASHTO guidelines.
Attachment E
have been modified to provide consistent speed environments along these stretches.. Summit
curves are designed to satisfy the criteria for Stop Sight Distance (SSD). Intermediate Sight
Distance (ISD) (ISD is twice the SSD) was also met in some vertical summit curves in straight
stretches. Minimum length criteria is fulfilled at all summit and valley curves for the adopted design
speed considering head light sight distance (HLSD, which is also a SSD) criteria as per the
recommendations of IRC: SP-23-1989. A minimum gradient of 0.3% was used to fix grade lines and
to limit the heights of embankments, generally in all rural areas. In villages and other built-up areas,
the minimum gradients are between 0.1% and 0.3%.
E. At-grade Junctions
IRC-SP: 41-1994: Guidelines for the Design of At-Grade Intersections in Rural Areas & Urban Areas
and MORT&H “Type design for highway junctions” are used for the design of at-grade junctions on
project roads which were classified as either major or minor junctions. Major junctions involve NHs,
SHs or MDRs intersecting with the project road, while minor junctions involve village or other roads
intersecting with the project road. Acceleration and deceleration lanes at the identified major
junctions are proposed where warranted based on the traffic data. All minor roads intersecting the
project road are realigned if intersecting angle is less than 60 degrees. At some of the intersections
where project roads are minor were also re-aligned. Due to the very low traffic volumes on minor
roads, geometric improvements at minor junctions typically do not include channelising islands.
F. Road Safety
Raised kerb footpath has been provided along with pedestrian safety barriers in all built-up sections.
Paved shoulders (minimum 2.5m width) are provided in order to delineate slow moving and two
wheeler traffic from heavy vehicles movement where justified. Paved shoulders are further widened
in identified built-up sections to accommodate on-street parking of vehicles. Raised reflective
pavement markers and solar road studs are proposed for clear demarcation of parking lane/ slow
moving vehicles lane and fast vehicles lane along with necessary pavement marking. In built-up
sections, raised pedestrian islands (zebra range) along with necessary lighting facilities are
proposed in built-up sections where justified.
The road marking and road signing were designed as per IRC: 35-1997 and IRC: 67-2001
respectively. Chevron sign boards are proposed in all sharp curves of radius less than 230 m as per
CRRI-TRL “Road safety Manual”. Delineators and object markers are provided as per IRC: 79-1981.
Delineators are used at all curves and in village locations along uncovered drains. Object/hazard
markers are provided in channelising and median islands of junctions and at culvert approaches on
both sides.
Metal beam crash barriers are proposed at locations where the embankment height is more than
3.0 m, at horizontal curves of radius less than 230 m and also at all bridge and culvert approaches.
Design of transitions between steel beam guiderail and concrete barrier is as per AASHTO
(Roadside Design Manual), and uses either a Thrie-Beam transition an acceptable direct transition.
Footpath and Median Pedestrian Barriers are as per Cl.808 of MoRTH.
Speed breakers are as per the IRC: 99–1988 guidelines. Rumble strips are as per ‘Road safety
Manual’ of CRRI/TRL and proposed before sharp curve with radius less than 170m, transition zones
(speed limit zones) and village/urban approaches.
Bus bays are proposed as per IRC: 80-1981. To facilitate parking of trucks, truck lay-byes are
proposed at the identified locations based on the truck parking study carried-out at existing parking
laybyes, hotels, dhabas (country-side restaurants) along the project corridors by collecting truck
driver’s opinion. Typical truck lay-bye design is as per MOSRTH manual and specification for 2-lane
highways.
2
Attachment E
G. Pavement
Pavement of the new construction and upgradation is based on IRC: 37-2001. Overlay design for
the retained portion of the rehabilitation roads is based on IRC: 81-1987 and delineation of
pavement section (based on Benkelman beam deflection data) is per AASHTO Guide for Design of
Pavement Structures, 1993.
The storm water drains have been designed as per IRC SP: 50 for a storm frequency of 2 years, as
appropriate. In open rural areas, trapezoidal earth drains are proposed where necessary. In cuttings
these will be lined where necessary. In urban/built-up areas covered concrete drains are proposed.
E. Bridge Design
The designs of bridges and culverts are based on the relevant IRC Standards, Specifications and
Design Codes as well as the Guidelines set out in the IRC Special Publications. Consideration is
also given to the various circulars and guidelines issued periodically by MOST. Where necessary,
BIS Codes are used. As per IRC 5: 1998, for bridges with a length not exceeding 60m, the entire
the total deck width is kept same as that of the formation width of the road at the approaches. For
bridges exceeding 60m in length, the width of bridge is kept 7.50 m carriageway plus a minimum of
1.50 m wide footpath on either side, wherever required. In general, a clear width (between parapets)
of 11.0m and an overall width of 12.0m are proposed for all project bridges. The types of bridge
structures are standardized and modular. The substructure for the proposed bridges will be RCC.
The abutments will be of wall type/ counterfort with straight or splayed returns and piers will be of
wall type of uniform thickness. Shallow isolated footing has been adopted for the proposed bridges
based on their span configuration and soil parameters. Where necessary, well/ pile foundations are
proposed depending on the soil parameters.
• Link 64H (23.21 km - 20.70 km SL and 2.51 km ITL, 4.15 km in poor condition) is designed at 6
msa & 15 msa for BT & G respectively. RCSES is proposed for 22.31 km and UCS1 – for 0.90
km length. There are no major realignments. There are 5 major & 14 minor junctions and 4
minor bridges proposed for reconstruction.
3
SL = Single Lane; ITL= Intermediate two lanes; TL= two lanes; FL=four lanes
4
millions of standard axles
5
BT=bituminous; G- granular
6
Bridge is considered minor if the total length of bridge is less than 60.0m and major if the total length of bridge is Greater
than or equal to 60.0m.
3
Attachment E
Package : AEP 3 (From Gubbi to Mandya via Beeragonahalli near Yediyur (NH-48), Kowdley)
• Link 57A (49.03 km – entire length of 49.03 km is SL, 12.00 km in poor condition) is designed at
3 msa & 3 msa for BT & G respectively. RCSES is proposed for 44.26 km and UCS1 – for 4.77
km length. There are 6 major realignments (1.35 km in total), 4 major & 16 minor junctions and 8
minor bridges proposed for reconstruction.
• Link 57B (26.43 km – 23.35 km SL; 2.50 km ITL and 0.60 km TL, 8.20 km in poor condition) is
designed at 7 msa & 19 msa for BT & G respectively. RCSPS is proposed for 0.13 km, RCSES
– for 23.27 km and UCS1 – for 3.03 km length. There are 2 major realignments (0.35 km in
total), 2 major & 8 minor junctions, one major bridge (193 m length) and 7 minor bridges
proposed for reconstruction.
• Link 57C (33.16 km – 6.60 km SL; 24.06 km ITL and 2.50 km TL, 3.00 km in poor condition) is
designed at 4 msa & 10 msa for BT & G respectively. RCSPS is proposed for 25.64 km and
UCS1 – for 7.52 km length. There are 19 major realignments (4.21 km in total), 3 major & 53
minor junctions, one major bridge (63.0 m) and 6 minor bridges proposed for reconstruction.
Package : AEP 4 (From Jaglur-NH-13 and about 5 kms from SH-19 : KSHIP Road)
• Link T13 (9.25 km - 1.10 km SL and 8.15 km ITL, 0.95 km in poor condition) is designed at 4
msa & 11 msa for BT & G respectively. RCSPS is proposed for 0.13 km, RCSES – for 8.85 km
and UCS1 – for 0.27 km length. There are no major realignments proposed. There are 2 major
& 6 minor junctions under improvement. Project road runs in expansive soil for a length of 4.0
km for which adequate measures such as raise in road level are proposed. One minor bridge is
proposed for reconstruction in this link.
• Link T17 (5.13 km – 0.90 km SL; 3.63 km ITL and 0.60 km TL, 0.50 km in poor condition) is
designed at 3 msa & 9 msa for BT & G respectively. RCSPS is proposed for 4.55 km, RCSES –
for 0.25 km and UCS1 – for 0.33 km length. There are no major realignments proposed. There
are 3 major & 5 minor junctions under improvement.
Project road runs in expansive soil for a length of 30.54 kms, for which adequate measures such
as raise in road level are considered. 1 major bridge and 9 minor bridges are proposed for
reconstruction in this link. One ROB is proposed in lieu existing railway crossing.
• Link 27B (32.90 km - 30.87 km SL and 2.03 km ITL, 5.00 km in poor condition) is designed at 11
msa & 33 msa for BT & G respectively. RCSPS is proposed for 1.08 km, RCSES – for 30.48 Km
and UCS1 – for 1.34 km length. There are no major realignments. There are 3 major & 16 minor
junctions under improvement. Project links runs in expansive soil for a length of 15.0 km for
which adequate measures such as raise in road level is considered. 3 minor bridges are
proposed for reconstruction in this link.
Package : AEP 9 (From Soundatti to Kamatagi via Hulikatti, Ramdurg, NH218, Badami and
Pattadakal -Including Mulur Ghat)
• Link 21C (38.47 km - 18.00 km SL; 16.60 km ITL and 3.87 km TL, 6.30 km in poor condition) is
designed at 7 msa & 21 msa for BT & G respectively. RCSPS is proposed for 29.73 km and
UCS1 – for 8.73 km length. There are two major realignments (4.69 km in total) proposed for
Sirsangi town & Mullur Ghat (which are bypassed). There are 7 major & 9 minor junctions under
improvement. Project links runs in expansive soil for a length of 13 km for which adequate
measures such as raise in road level are considered. 6 minor bridges are proposed for
reconstruction in this link.
• Link 21D (45.73 km - 33.10 km SL and 12.63 km ITL, 9.50 km in poor condition) is designed at 4
msa & 13 msa for BT & G respectively. RCSPS is proposed for 3.64 km, RCSES – for 37.72 km
and UCS1 – for4.37 km length. There are no major realignments on project road. There are 4
major & 15 minor junctions under improvement. Project road runs in expansive soil for a length
of 26 km for which adequate measures such as raise in road level is considered. 10 minor
bridges are proposed for reconstruction in this link. One ROB is proposed in lieu existing railway
crossing.
• Link 21E (23.72 km - 18.62 km SL and 5.10 km ITL, 5.80 km in poor condition) is designed at 4
msa & 12 msa for BT & G respectively. RCSPS is proposed for 3.85 km, RCSES – for 17.42 km
and UCS1 – for 2.07 km length. There are no major realignments. There are 6 major & 9 minor
junctions under improvement. Project road runs in expansive soil for a length of 7 km for which
adequate measures such as raise in road level are considered. 7 minor bridges are proposed for
reconstruction.
• Link 21F (22.28 km - 17.80 km SL and 4.48 km ITL, 6.50 km in poor condition) is designed at 4
msa & 12 msa for BT & G respectively. RCSES is proposed – for 18.64 km and UCS1 for 2.11
km length. There are no major realignments. There are 6 major & 16 minor junctions and 9
minor bridges proposed for reconstruction.