Draft Design and Monitoring Framework Project Number: 38272 August 2011 IND: Uttarakhand Urban Sector Development Investment Program Tranche 2 A design and monitoring framework is an active document, progressively updated and revised as necessary, particularly following any changes in project design and implementation. In accordance with ADB’s public communications policy (2005), it is disclosed before appraisal of the project or program. This draft framework may change during processing of the project or program, and the revised version will be disclosed as an appendix to the report and recommendation of the President. DESIGN AND MONITORING FRAMEWORK FOR PROJECT 2 Performance Targets and Data Sources and Assumptions Design Summary Indicators Reporting Mechanisms and Risks Impact Assumptions People, especially Pressured water supply Water supply and State government or vulnerable household,a will hours increased from 2-8 sewerage operators’ or regulator regularly revises have increased access to hours per day in 2007 to 24 third party validators’ the user charges on time. better quality and hours in 2016. service quality compliance Government financed sustainable urban Centralized sewerage reports. water supply works in infrastructure and services systems’ sewage collection Dehradun, Nainital, in 31 urban towns. from household under Haldwani, and Haridwar (synchronized with MFF’s increased from 0% in 2007 completes on time. DMF outcome) to 60% of households in UDD implements SWM, 2016. urban road, slum- Coverage of regular daily ULBs’ and waste upgrading subprojects household waste collection collection operators’ under projects 3 and 4. increased from 0% to 72% reports on household Risks of households in 2016. waste collection. Power supply to WTP, Vehicle travel time per PWD and ULB’s road STP and pumping stations kilometer reduced from [] in conditions surveys. becomes intermittent. 2007 to [] hours in 2016. O&M cost recovery from UJS’s balance sheet for the user charges increased water supply and from 30% in 2007 to 100% sewerage. in 2016. Outcome Assumptions UDD and UUDSA improve NRW reduced from Water supply and UJS and ULBs retain the infrastructure and 40%-60% in 2010 to less sewerage operators’ or trained staff for water operational sustainability in than 20% by 2016 in all third party validators’ supply operations in each water supply in 5 towns subproject towns by 2016. service quality compliance town. and sewerage 100% of STP effluent reports. infrastructureb in 2 towns. quality samples met the STP operators’ influent (consolidated MFF’s DMF government quality and effluent quality outputsc) standards by 2016. (no monitoring reports. STP in 2010) Water charge collection UJS’s balance sheet for efficiency increased from water supply and 49% in 2010 to 80% by sewerage. 2016. Sewer charge collection UJS’s balance sheet for efficiency increased from water supply and 38% in 2010 to 80% by sewerage. 2016. Outputs Assumptions 1.1 Water supply 160,000d metered piped PMU and PIU’s Subproject lands are infrastructure rehabilitated connections newly installed monitoring of project successfully transferred and constructed in at households by 2016. progress following ADB policy. Dehradun, Nainital, Four WTP (68 mld total) (sex-disaggregated and All statutory clearances Haldwani, Ramnagar and constructed and poverty level categorized are granted by government Roorkee. rehabilitated by 2016. baseline data) agencies on time. 780 km of pipes newly laid by 2016. 1.2 Sewerage 26,000d new house PMU and PIU’s Assumptions infrastructure rehabilitated connections provided in monitoring of project Subproject lands are and constructed in Roorkee by 2016. progress successfully transferred Roorkee and designed in One STP (28 mld) (sex-disaggregated and following ADB policy. Ramnagar. constructed by 2016. poverty level categorized All statutory clearances 120 km of sewer network baseline data) are granted by government newly aid in Roorkee by agencies on time. 2016. 2 Performance Targets and Data Sources and Assumptions Design Summary Indicators Reporting Mechanisms and Risks 2. Performance of water 100% of customer billede Water supply operators’ Risks supply operations by 2014. or third party validators’ Few water operators improved in Nainital. Water supply O&M staff service quality compliance participate in bidding in increased from 25 to 73f by reports. Nainital. 2016 Water supply operators’ NRW maintained at less customer records. than 20% between 2014 and 2016. 3. PMU and PIU’s Contract award and Project information Assumptions subproject management disbursement achieved not newsletters from the PMU Trained staff stays with capacity and transparency less than 80% of the annual and PIUs. PMU and PIUs. strengthened. targets in each year from Training seminar 2008-2016. attendance and completion Project information and certificates. audit reports published regularly from 2012.g 10 PMU and 18 PIU staffh trained in ADB policies and procedures. Activities with Milestones Inputs 1.1 Water supply infrastructure rehabilitated and constructed in Dehradun, Project 2 Nainital, Haldwani, Ramnagar and Roorkee. ADB $100 million 1.1.1 Subproject land identified and transferred as required (Q4 2010-Q1 2012) Government $43 million 1.1.2 Detailed engineering designs prepared (Q4 2010-Q3 2011) Total $143 million 1.1.3 Bid documents prepared (Q3 2011) 1.1.4 Assets constructed (Q4 2011- Q4 2014) 1.1.5 Systems commissioned (Q4 2014) 1.1.6 Systems operated (from Q1 2015) 1.2 Sewerage infrastructure rehabilitated and constructed in Roorkee and designed in Ramnagar. 1.2.1 Additional surveys undertaken in Ramnagar (Q4 2011-Q3 2012) 1.2.2 Ramnagar subproject feasibility study finalized (Q3 2012) 1.2.3 Subproject land identified transferred as required in Ramnagar. (Q3 2012) 1.2.4 Subproject land identified and transferred in Roorkee. (Q4 2010-Q1 2012) 1.2.5 Detailed engineering design prepared for Roorkee (Q4 2010-Q3 2011) 1.2.6 Assets constructed for Roorkee (Q3 2011-Q4 2015) 1.2.7 System commissioned in Roorkee (Q4 2015) 1.2.8 System operated in Roorkee (from Q1 2016) 2 Performance of water supply operations improved in Nainital.. 2.1 Operations consultants selected. (Q2 2012-Q4 2012) 2.2 Additional O&M staff fielded by operations consultants (Q1 2013) 2.3 O&M manual prepared by operations consultants (Q1 2013-Q2 2013) 2.4 Technical water loss identified and managed (Q1 2013-Q4 2015) 2.5 OJT of ULB staff provided by operations consultants (Q1 2013-Q4 2015) 3 Subprojects managed on time within budget with improved transparency and safeguards compliance. 3.1 Additional PIU filed office established (Q3 2011-Q4 2011) 3.2 Works contracts procured and administered (Q4 2010-Q4 2015) 3.3 Consultant contracts extended (Q4 2012) 3.4 Project 2 PPMS developed by PMC and DSC (Q4 2011) 3.5 Project website and newsletter prepared by PMU (Q1 2012) ADB = Asian Development Bank; DSC = design and construction supervision consultant; DMF = design and monitoring framework, GIS = geographic information system; JNNURM = Jawaharlal Nehru National Urban Renewal Mission; km = kilometer; lpcd = liter per capita per day; MFF = multitranche financing facility; mld = million liters per day; MOUD = Ministry of Urban Development; NRW = nonrevenue water; OJT = on-the-job training; O&M = operations and maintenance; PIU = project implementation unit; PMC = program management consultant; PMU = program management unit; PPMS = project performance monitoring system; PWD = Public Works Department; Q = quarter; STP = sewage treatment plant; SWM = solid waste management; TPRM = ADB, Government and executing agencies’ tripartite portfolio review meeting; UDD = Urban Development Department; UJS = Uttarakhand Jal Sansthan; UUSDA = Uttarakhand Urban Sector Development Agency; ULB = urban local bodies; WTP = water treatment plant. 3 a “Vulnerable households” is defined as those fulfilling five or more of the following criteria: (i) household belongs to most backward communities, (ii) head of household is a woman, (iii) head of household is illiterate, (iv) head of household is working as a daily wage laborer, (v) household with income below poverty line, and (vi) household residing in a kutcha house. b Project 2 will results in (i) population with access to 24x7 water supply increased from 0 in 2010 to 2.2 million in 2016; and (ii) population with access to sewerage system increased from 0 in 2010 to 130,000 in 2016. These figures include men, women and children, and cases disaggregated by sex and age. c In accordance with ADB. 2007. Guidelines for Preparing a Design and Monitoring Framework. Manila. the outputs in the investment program DMF are the respective projects, and each output statement of the investment program DMF becomes the outcome of the respective project to be funded by a PFR. Also, the guidelines state more than one outcome need to be either rephrased into outputs or summarized into a single statement associated with several indicators outlining the dimensions of the outcome. d 19% of which are poor women-headed households e Billing will be made based on user charges structure incorporates concessionary rates for vulnerable households. f at least 25% of whom are women g Including the progress of implementation of gender, safeguards and other social plans. h At least 15% of key positions and 30% of support staff are women. Sources: Asian Development Bank estimates. .