CENTRAL WATER COMMISSION - Dam Safety€¦ · I Form of Contract 5 I. Form of Contract Time-based...

CENTRAL WATER COMMISSION GOVERNMENT OF INDIA

CONTRACT DOCUMENT

Engineering and Management Consultancy Services for Central Project Management Unit

Under

Dam Rehabilitation and Improvement Project (DRIP)

(With World Bank Assistance) (Loan No.79430-IN/Credit No. 47870-IN)

CONTRACT FOR CONSULTANTS’ SERVICES

Time-Based

Central water commission

and

Egis EAU in JV with Egis India Consulting Engineers Pvt. Ltd

Dated: 24th December, 2013

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ABBREVIATIONS AND ACRONYMS

CDSO Central Dam Safety Organization M&E Monitoring and Evaluation CPMU Central Project Management Unit MIS Management Information System CWC Central Water Commission MoWR Ministry of Water Resources DHARMA Dam Health and Rehabilitation

Monitoring Application NCB National Competitive Bidding

DRIP Dam Rehabilitation and Improvement Project

NCDS National Committee on Dam Safety

DSO Dam Safety Organization NLSC National Level Steering Committee DSRP Dam Safety Review Panel O&M Operation and Maintenance EMP Environmental Management Plan PAD Project Appraisal Document ESMF Environmental and Social

Management Framework PD Project Director

IA Implementing Agency PIP Project Implementation Plan IBRD International Bank for

Reconstruction and Development PMF Probable Maximum Flood

ICB International Competitive Bidding PMU Project Management Unit ICOLD International Commission on Large

Dams SBD Standard Bidding Document

IDA International Development Association

SEB SDSO

State Electricity Boards State Dam Safety Organization

WRD Water Resources Department SPF Standard Project Flood SPMU State Project Management Unit TC Technical Committee

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Contents I. Form of Contract ...................................................................................................................... 4 II. General Conditions of Contract ............................................................................................... 7

1.1 Definitions ................................................................................................................. 7 1.2 Relationship Between the Parties ........................................................................... 8 1.3 Law Governing Contract .......................................................................................... 8 1.4 Language ................................................................................................................... 8 1.5 Headings .................................................................................................................... 8 1.6 Notices ....................................................................................................................... 8 1.7 Location..................................................................................................................... 9 1.8 Authority of Member in Charge .............................................................................. 9 1.9 Authorized Representatives ..................................................................................... 9 1.10 Taxes and Duties ...................................................................................................... 9 1.11 Fraud and Corruption ............................................................................................... 9 2.1 Effectiveness of Contract ....................................................................................... 10 2.2 Termination of Contract for Failure to Become Effective ................................... 10 2.3 Commencement of Services .................................................................................. 10 2.4 Expiration of Contract ............................................................................................ 11 2.5 Entire Agreement .................................................................................................... 11 2.6 Modifications or Variations ................................................................................... 11 2.7 Force Majeure ......................................................................................................... 11 2.8 Suspension .............................................................................................................. 12 2.9 Termination ............................................................................................................. 12 3.1 General .................................................................................................................... 15 3.2 Conflict of Interests ................................................................................................ 15 3.3 Confidentiality ........................................................................................................ 16 3.4 Liability of the Consultant ...................................................................................... 16 3.5 Insurance to be Taken out by the Consultant ........................................................ 16 3.6 Accounting, Inspection and Auditing .................................................................... 16 3.7 Consultant’s Actions Requiring Client’s Prior Approval .................................... 17 3.8 Reporting Obligations ............................................................................................ 17 3.9 Documents Prepared by the Consultant to be the Property of the Client ........... 17 3.10 Equipment, Vehicles and Materials Furnished by the Client .............................. 17 3.11 Equipment and Materials Provided by the Consultants ....................................... 18 4.1 General .................................................................................................................... 18 4.2 Description of Personnel ........................................................................................ 18 4.3 Approval of Personnel ............................................................................................ 18 4.4 Working Hours, Overtime, Leave, etc. ................................................................. 18 4.5 Removal and/or Replacement of Personnel .......................................................... 19 4.6 Resident Project Manager ...................................................................................... 20 5.1 Assistance and Exemptions.................................................................................... 20 5.2 Access to Land ........................................................................................................ 20 5.3 Change in the Applicable Law Related to Taxes and Duties ............................... 21 5.4 Services, Facilities and Property of the Client ...................................................... 21 5.5 Payment ................................................................................................................... 21

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5.6 Counterpart Personnel ............................................................................................ 21 6.1 Cost Estimates; Ceiling Amount ........................................................................... 22 6.2 Remuneration and Reimbursable Expenses .......................................................... 22 6.3 Currency of Payment .............................................................................................. 23 6.4 Mode of Billing and Payment ................................................................................ 23 7.1 Good Faith............................................................................................................... 25 7.2 Operation of the Contract ....................................................................................... 25 8.1 Amicable Settlement .............................................................................................. 25 8.2 Dispute Resolution ................................................................................................. 25

III. Special Conditions of Contract............................................................................................. 26

IV. Appendices ............................................................................................................................ 34

Appendix A – Description of Services Appendix B – Reporting Requirements Appendix C – Personnel and Sub-Consultants- Hours of Work for

Key Personnel Appendix D – Cost Estimates in Foreign Currency Appendix E – Cost Estimates in Local Currency Appendix F – Duties of the Client Appendix G – Form of Advance Payment Guarantee

I Form of Contract

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I. Form of Contract

Time-based

This CONTRACT (hereinafter called the “Contract”) is made the 24th day of the month of December, 2013, between, on the one hand, Central Water Commission (hereinafter called the “Client”) on behalf of President of India and, on the other hand, a joint venture consisting of the following entities, each of which will be jointly and severally liable to the Client for all the Consultant’s obligations under this Contract, namely, Egis Eau and Egis India Consulting Engineers Pvt. Ltd (hereinafter called the “Consultant”). WHEREAS

(a) the Client has requested the Consultant to provide certain consulting services

as defined in this Contract (hereinafter called the “Services”); (b) the Consultant, having represented to the Client that he has the required

professional skills, and personnel and technical resources, has agreed to provide the Services on the terms and conditions set forth in this Contract;

(c) the Client has received a loan from the International Bank for

Reconstruction and Development (hereinafter called the “Bank”) and a credit from the International Development Association (hereinafter called the “Association”) towards the cost of the Services and intends to apply a portion of the proceeds of this loan and credit to eligible payments under this Contract, it being understood (i) that payments by the Bank and Association will be made only at the request of the Client and upon approval by the Bank and Association, (ii) that such payments will be subject, in all respects, to the terms and conditions of the agreement providing for the loan and credit, and (iii) that no party other than the Client shall derive any rights from the agreement providing for the loan and credit or have any claim to the loan and credit proceeds;

NOW THEREFORE the parties hereto hereby agree as follows: 1. The following documents attached hereto shall be deemed to form an integral part

of this Contract:

(a) The General Conditions of Contract; (b) The Special Conditions of Contract; (c) The following Appendices:

Appendix A: Description of Services Appendix B: Reporting Requirements Appendix C: Personnel and Sub-Consultants – Hours of Work for Key Personnel Appendix D: Cost Estimates in Foreign Currency

I Form of Contract

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Appendix E: Cost Estimates in Local Currency Appendix F: Duties of the Client Appendix G: Form of Advance Payments Guarantee

2. The mutual rights and obligations of the Client and the Consultant shall be as set

forth in the Contract, in particular:

(a) the Consultants shall carry out the Services in accordance with the provisions of the Contract; and

(b) the Client shall make payments to the Consultant accordance with the provisions of the Contract.

IN WITNESS WHEREOF, the Parties hereto have caused this Contract to be signed in their respective names as of the day and year first above written. For and on behalf of Central Water Commission [Authorized Representative] For and on behalf of Egis Eau and Egis India Consulting Engineers Pvt. Ltd [Authorized Representative]

II General Conditions of Contract

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II. General Conditions of Contract

1. GENERAL PROVISIONS

1.1 Definitions Unless the context otherwise requires, the following terms whenever

used in this Contract have the following meanings:

(a) “Applicable Law” means the laws and any other instruments having the force of law in the Government’s country, or in such other country as may be specified in the Special Conditions of Contract (SC), as they may be issued and in force from time to time.

(b) “Bank” means the International Bank for Reconstruction and Development, Washington, D.C., U.S.A., or the International Development Association, Washington, D.C., U.S.A.

(c) “Consultant” means any private or public entity that will provide the Services to the Client under the Contract.

(d) “Contract” means the Contract signed by the Parties and all the attached documents listed in its Clause 1, that is these General Conditions (GC), the Special Conditions (SC), and the Appendices.

(e) “Day” means calendar day.

(f) “Effective Date” means the date on which this Contract comes into force and effect pursuant to Clause GC 2.1.

(g) “Foreign Currency” means any currency other than the currency of the Client’s country.

(h) “GC” means these General Conditions of Contract.

(i) “Government” means the Government of the Client’s country.

(j) “Local Currency” means the currency of the Client’s country.

(k) “Member” means any of the entities that make up the joint venture/consortium/association; and “Members” means all these entities.

(l) “Party” means the Client or the Consultant, as the case may be, and “Parties” means both of them.

(m) “Personnel” means professionals and support staff provided by the Consultants or by any Sub-Consultants and assigned to perform the Services or any part thereof; “Foreign Personnel” means such professionals and support staff who at the time of


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being so provided had their domicile outside the Government’s country; “Local Personnel” means such professionals and support staff who at the time of being so provided had their domicile inside the Government’s country; and “Key Personnel” means the Personnel referred to in Clause GC 4.2(a).

(n) “Reimbursable expenses” means all assignment-related costs other than Consultant’s remuneration.

(o) “SC” means the Special Conditions of Contract by which the GC may be amended or supplemented.

(p) “Services” means the work to be performed by the Consultant pursuant to this Contract, as described in Appendix A hereto.

(q) “Sub-Consultants” means any person or entity to whom/which the Consultant subcontracts any part of the Services.

(r) “Third Party” means any person or entity other than the Government, the Client, the Consultant or a Sub-Consultant.

(s) “In writing” means communicated in written form with proof of receipt.

1.2 Relationship Between the Parties

Nothing contained herein shall be construed as establishing a relationship of master and servant or of principal and agent as between the Client and the Consultant. The Consultant, subject to this Contract, has complete charge of Personnel and Sub-Consultants, if any, performing the Services and shall be fully responsible for the Services performed by them or on their behalf hereunder.

1.3 Law Governing Contract

This Contract, its meaning and interpretation, and the relation between the Parties shall be governed by the Applicable Law.

1.4 Language This Contract has been executed in the language specified in the SC, which shall be the binding and controlling language for all matters relating to the meaning or interpretation of this Contract.

1.5 Headings The headings shall not limit, alter or affect the meaning of this Contract.

1.6 Notices 1.6.1 Any notice, request or consent required or permitted to be given or made pursuant to this Contract shall be in writing. Any such notice, request or consent shall be deemed to have been given or made when delivered in person to an authorized representative of the Party to whom the communication is addressed, or when sent to such Party at the address specified in the SC.

1.6.2 A Party may change its address for notice hereunder by giving the other Party notice in writing of such change to the address specified in the SC.


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1.7 Location The Services shall be performed at such locations as are specified in Appendix A hereto and, where the location of a particular task is not so specified, at such locations, whether in the Government’s country or elsewhere, as the Client may approve.

1.8 Authority of Member in Charge

In case the Consultant consists of a joint venture/consortium/ association of more than one entity, the Members hereby authorize the entity specified in the SC to act on their behalf in exercising all the Consultant’s rights and obligations towards the Client under this Contract, including without limitation the receiving of instructions and payments from the Client.

1.9 Authorized Representatives

Any action required or permitted to be taken, and any document required or permitted to be executed under this Contract by the Client or the Consultant may be taken or executed by the officials specified in the SC.

1.10 Taxes and Duties The Consultant, Sub-Consultants and Personnel shall pay such indirect taxes, duties, fees and other impositions levied under the Applicable Law as specified in the SC.

1.11 Fraud and Corruption

If the Client determines that the Consultant and/or its Personnel, sub-contractors, sub-consultants, services providers and suppliers has engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices, in competing for or in executing the Contract, then the Client may, after giving 14 days notice to the Consultant, terminate the Consultant's employment under the Contract, and the provisions of Clause 2 shall apply as if such expulsion had been made under Sub-Clause 2.9.1(d).

Should any Personnel of the Consultant be determined to have engaged in corrupt, fraudulent, collusive, coercive, or obstructive practice during the execution of the Contract, then that Personnel shall be removed in accordance with Sub-Clause 4.5.

1.11.1 Definitions For the purposes of this Sub-Clause, the terms set-forth below are defined as follows:

(i) “corrupt practice”1 is the offering, giving, receiving or soliciting, directly or indirectly, of anything of value to influence improperly the actions of another party;

(ii) “fraudulent practice”2 is any act or omission, including a misrepresentation, that knowingly or recklessly misleads, or attempts to mislead, a party to obtain a financial or other benefit or to avoid an obligation;

1 “Another party” refers to a public official acting in relation to the selection process or contract execution. In this context, “public official” includes World Bank staff and employees of other organizations taking or reviewing procurement decisions. 2 A “party” refers to a public official; the terms “benefit” and “obligation” relate to the selection process or contract execution; and the “act or omission” is intended to influence the selection process or contract execution.


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(iii) “collusive practice”3 is an arrangement between two or more parties designed to achieve an improper purpose, including to influence improperly the actions of another party;

(iv) “coercive practice”4 is impairing or harming, or threatening to impair or harm, directly or indirectly, any party or the property of the party to influence improperly the actions of a party;

(v) “obstructive practice” is (aa) deliberately destroying, falsifying, altering or concealing

of evidence material to the investigation or making false statements to investigators in order to materially impede a Bank investigation into allegations of a corrupt, fraudulent, coercive or collusive practice; and/or threatening, harassing or intimidating any party to prevent it from disclosing its knowledge of matters relevant to the investigation or from pursuing the investigation; or

(bb) acts intended to materially impede the exercise of the Bank’s inspection and audit rights provided for under Clause3.6.

1.11.2 Commis-sions and Fees

The Client will require the successful Consultants to disclose any commissions or fees that may have been paid or are to be paid to agents, representatives, or commission agents with respect to the selection process or execution of the contract. The information disclosed must include at least the name and address of the agent, representative, or commission agent, the amount and currency, and the purpose of the commission or fee.

2. COMMENCEMENT, COMPLETION, MODIFICATION AND TERMINATION OF

CONTRACT

2.1 Effectiveness of Contract

This Contract shall come into force and effect on the date (the “Effective Date”) of the Client’s notice to the Consultant instructing the Consultant to begin carrying out the Services. This notice shall confirm that the effectiveness conditions, if any, listed in the SC have been met.

2.2 Termination of Contract for Failure to Become Effective

If this Contract has not become effective within such time period after the date of the Contract signed by the Parties as specified in the SC, either Party may, by not less than twenty one (21) days written notice to the other Party, declare this Contract to be null and void, and in the event of such a declaration by either Party, neither Party shall have any claim against the other Party with respect hereto.

2.3 Commencement The Consultant shall begin carrying out the Services not later than

3 “Parties” refers to participants in the selection process (including public officials) attempting to establish bid prices at artificial, non competitive levels. 4 A “party” refers to a participant in the selection process or contract execution.


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of Services the number of days after the Effective Date specified in the SC.

2.4 Expiration of Contract

Unless terminated earlier pursuant to Clause GC 2.9 hereof, this Contract shall expire at the end of such time period after the Effective Date as specified in the SC.

2.5 Entire Agreement This Contract contains all covenants, stipulations and provisions agreed by the Parties. No agent or representative of either Party has authority to make, and the Parties shall not be bound by or be liable for, any statement, representation, promise or agreement not set forth herein.

2.6 Modifications or Variations

(a) Any modification or variation of the terms and conditions of this Contract, including any modification or variation of the scope of the Services, may only be made by written agreement between the Parties. Pursuant to Clause GC 7.2 here of, however, each Party shall give due consideration to any proposals for modification or variation made by the other Party.

(b) In cases of substantial modifications or variations, the prior written consent of the Bank is required.

2.7 Force Majeure

2.7.1 Définition (a) For the purposes of this Contract, “Force Majeure” means an event which is beyond the reasonable control of a Party, is not foreseeable, is unavoidable, and which makes a Party’s performance of its obligations hereunder impossible or so impractical as reasonably to be considered impossible in the circumstances, and includes, but is not limited to, war, riots, civil disorder, earthquake, fire, explosion, storm, flood or other adverse weather conditions, strikes, lockouts or other industrial action (except where such strikes, lockouts or other industrial action are within the power of the Party invoking Force Majeure to prevent), confiscation or any other action by Government agencies.

(b) Force Majeure shall not include (i) any event which is caused by the negligence or intentional action of a Party or such Party’s Sub-Consultants or agents or employees, nor (ii) any event which a diligent Party could reasonably have been expected both to take into account at the time of the conclusion of this Contract, and avoid or overcome in the carrying out of its obligations hereunder.

(c) Force Majeure shall not include insufficiency of funds or failure to make any payment required hereunder.

2.7.2 No Breach of Contract

The failure of a Party to fulfill any of its obligations hereunder shall not be considered to be a breach of, or default under, this Contract insofar as such inability arises from an event of Force Majeure, provided that the Party affected by such an event has taken all


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reasonable precautions, due care and reasonable alternative measures, all with the objective of carrying out the terms and conditions of this Contract.

2.7.3 Measures to be Taken

(a) A Party affected by an event of Force Majeure shall continue to perform its obligations under the Contract as far as is reasonably practical, and shall take all reasonable measures to minimize the consequences of any event of Force Majeure.

(b) A Party affected by an event of Force Majeure shall notify the other Party of such event as soon as possible, and in any case not later than fourteen (14) days following the occurrence of such event, providing evidence of the nature and cause of such event, and shall similarly give written notice of the restoration of normal conditions as soon as possible.

(c) Any period within which a Party shall, pursuant to this Contract, complete any action or task, shall be extended for a period equal to the time during which such Party was unable to perform such action as a result of Force Majeure.

(d) During the period of their inability to perform the Services as a result of an event of Force Majeure, the Consultant, upon instructions by the Client, shall either:

(i) demobilize, in which case the Consultant shall be reimbursed for additional costs they reasonably and necessarily incurred, and, if required by the Client, in reactivating the Services; or

(ii) continue with the Services to the extent possible, in which case the Consultant shall continue to be paid under the terms of this Contract and be reimbursed for additional costs reasonably and necessarily incurred.

(e) In the case of disagreement between the Parties as to the existence or extent of Force Majeure, the matter shall be settled according to Clause GC 8.

2.8 Suspension The Client may, by written notice of suspension to the Consultant, suspend all payments to the Consultant hereunder if the Consultant fails to perform any of its obligations under this Contract, including the carrying out of the Services, provided that such notice of suspension (i) shall specify the nature of the failure, and (ii) shall request the Consultant to remedy such failure within a period not exceeding thirty (30) days after receipt by the Consultant of such notice of suspension.

2.9 Termination

2.9.1 By the Client

The Client may terminate this Contract in case of the occurrence of any of the events specified in paragraphs (a) through (g) of this Clause GC 2.9.1. In such an occurrence the Client shall give a not


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less than thirty (30) days’ written notice of termination to the Consultants, and sixty (60) days’ in case of the event referred to in (g).

(a) If the Consultant fails to remedy a failure in the performance of its obligations hereunder, as specified in a notice of suspension pursuant to Clause GC 2.8 hereinabove, within thirty (30) days of receipt of such notice of suspension or within such further period as the Client may have subsequently approved in writing.

(b) If the Consultant becomes (or, if the Consultant consists of more than one entity, if any of its Members becomes) insolvent or bankrupt or enter into any agreements with their creditors for relief of debt or take advantage of any law for the benefit of debtors or go into liquidation or receivership whether compulsory or voluntary.

(c) If the Consultant fails to comply with any final decision reached as a result of arbitration proceedings pursuant to Clause GC 8 hereof.

(d) If the Consultant, in the judgment of the Client, has engaged in corrupt or fraudulent practices in competing for or in executing this Contract.

(e) If the Consultant submits to the Client a false statement which has a material effect on the rights, obligations or interests of the Client.

(f) If, as the result of Force Majeure, the Consultant is unable to perform a material portion of the Services for a period of not less than sixty (60) days.

(g) If the Client, in its sole discretion and for any reason whatsoever, decides to terminate this Contract.

2.9.2 By the Consultant

The Consultant may terminate this Contract, by not less than thirty (30) days’ written notice to the Client, in case of the occurrence of any of the events specified in paragraphs (a) through (d) of this Clause GC 2.9.2.

(a) If the Client fails to pay any money due to the Consultant pursuant to this Contract and not subject to dispute pursuant to Clause GC 8 hereof within forty-five (45) days after receiving written notice from the Consultant that such payment is overdue.

(b) If, as the result of Force Majeure, the Consultant is unable to perform a material portion of the Services for a period of not less than sixty (60) days.

(c) If the Client fails to comply with any final decision reached as


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a result of arbitration pursuant to Clause GC 8 hereof.

(d) If the Client is in material breach of its obligations pursuant to this Contract and has not remedied the same within forty-five (45) days (or such longer period as the Consultant may have subsequently approved in writing) following the receipt by the Client of the Consultant’s notice specifying such breach.

2.9.3 Cessation of Rights and Obligations

Upon termination of this Contract pursuant to Clauses GC 2.2 or GC 2.9 hereof, or upon expiration of this Contract pursuant to Clause GC 2.4 hereof, all rights and obligations of the Parties hereunder shall cease, except (i) such rights and obligations as may have accrued on the date of termination or expiration, (ii) the obligation of confidentiality set forth in Clause GC 3.3 hereof, (iii) the Consultant’s obligation to permit inspection, copying and auditing of their accounts and records set forth in Clause GC 3.6 hereof, and (iv) any right which a Party may have under the Applicable Law.

2.9.4 Cessation of Services

Upon termination of this Contract by notice of either Party to the other pursuant to Clauses GC 2.9.1 or GC 2.9.2 hereof, the Consultant shall, immediately upon dispatch or receipt of such notice, take all necessary steps to bring the Services to a close in a prompt and orderly manner and shall make every reasonable effort to keep expenditures for this purpose to a minimum. With respect to documents prepared by the Consultant and equipment and materials furnished by the Client, the Consultant shall proceed as provided, respectively, by Clauses GC 3.9 or GC 3.10 hereof.

2.9.5 Payment upon Termination

Upon termination of this Contract pursuant to Clauses GC 2.9.1 or GC 2.9.2 hereof, the Client shall make the following payments to the Consultant:

(a) remuneration pursuant to Clause GC 6 hereof for Services satisfactorily performed prior to the effective date of termination, and reimbursable expenditures pursuant to Clause GC 6 hereof for expenditures actually incurred prior to the effective date of termination; and

(b) except in the case of termination pursuant to paragraphs (a) through (e) of Clause GC 2.9.1 hereof, reimbursement of any reasonable cost incidental to the prompt and orderly termination of this Contract including the cost of the return travel of the Personnel and their eligible dependents.

2.9.6 Disputes about Events of Termination

If either Party disputes whether an event specified in paragraphs (a) through (f) of Clause GC 2.9.1 or in Clause GC 2.9.2 hereof has occurred, such Party may, within forty-five (45) days after receipt of notice of termination from the other Party, refer the matter to Clause GC 8 hereof, and this Contract shall not be terminated on account of such event except in accordance with the terms of any resulting arbitral award.


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3. OBLIGATIONS OF THE CONSULTANT

3.1 General

3.1.1 Standard of Performance

The Consultant shall perform the Services and carry out their obligations hereunder with all due diligence, efficiency and economy, in accordance with generally accepted professional standards and practices, and shall observe sound management practices, and employ appropriate technology and safe and effective equipment, machinery, materials and methods. The Consultant shall always act, in respect of any matter relating to this Contract or to the Services, as faithful adviser to the Client, and shall at all times support and safeguard the Client’s legitimate interests in any dealings with Sub-Consultants or Third Parties.

3.1.2 Law Governing Services

The Consultant shall perform the Services in accordance with the Applicable Law and shall take all practicable steps to ensure that any Sub-Consultants, as well as the Personnel of the Consultant and any Sub-Consultants, comply with the Applicable Law. The Client shall notify the Consultant in writing of relevant local customs, and the Consultant shall, after such notification, respect such customs.

3.2 Conflict of Interests

The Consultant shall hold the Client’s interests paramount, without any consideration for future work, and strictly avoid conflict with other assignments or their own corporate interests.

3.2.1 Consultant Not to Benefit from Commis-sions,Discounts, etc.

(a) The payment of the Consultant pursuant to Clause GC 6 hereof shall constitute the Consultant’s only payment in connection with this Contract and, subject to Clause GC 3.2.2 hereof, the Consultant shall not accept for its own benefit any trade commission, discount or similar payment in connection with activities pursuant to this Contract or in the discharge of its obligations hereunder, and the Consultant shall use its best efforts to ensure that any Sub-Consultants, as well as the Personnel and agents of either of them, similarly shall not receive any such additional payment.

(b) Furthermore, if the Consultant, as part of the Services, has the responsibility of advising the Client on the procurement of goods, works or services, the Consultant shall comply with the Bank’s applicable procurement guidelines, and shall at all times exercise such responsibility in the best interest of the Client. Any discounts or commissions obtained by the Consultant in the exercise of such procurement responsibility shall be for the account of the Client.


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3.2.2 Consultant and Affiliates Not to Engage in Certain Activities

The Consultant agrees that, during the term of this Contract and after its termination, the Consultant and any entity affiliated with the Consultant, as well as any Sub-Consultants and any entity affiliated with such Sub-Consultants, shall be disqualified from providing goods, works or services (other than consulting services) resulting from or directly related to the Consultant’s Services for the preparation or implementation of the project.

3.2.3 Prohibition of Conflicting Activities

The Consultant shall not engage, and shall cause their Personnel as well as their Sub-Consultants and their Personnel not to engage, either directly or indirectly, in any business or professional activities that would conflict with the activities assigned to them under this Contract.

3.3 Confidentiality Except with the prior written consent of the Client, the Consultant and the Personnel shall not at any time communicate to any person or entity any confidential information acquired in the course of the Services, nor shall the Consultant and the Personnel make public the recommendations formulated in the course of, or as a result of, the Services.

3.4 Liability of the Consultant

Subject to additional provisions, if any, set forth in the SC, the Consultants’ liability under this Contract shall be provided by the Applicable Law.

3.5 Insurance to be Taken out by the Consultant

The Consultant (i) shall take out and maintain, and shall cause any Sub-Consultants to take out and maintain, at their (or the Sub-Consultants’, as the case may be) own cost but on terms and conditions approved by the Client, insurance against the risks, and for the coverages specified in the SC, and (ii) at the Client’s request, shall provide evidence to the Client showing that such insurance has been taken out and maintained and that the current premiums therefore have been paid.

3.6 Accounting, Inspection and Auditing

3.6.1 The Consultant shall keep, and shall cause its Sub-consultants to keep, accurate and systemic accounts and records in respect of the Contract, in accordance with internationally accepted accounting principles and in such form and detail as will clearly identify relevant time changes and costs.

3.6.2 The Consultant shall permit, and shall cause its Sub-consultants to permit,the Bank and/or persons appointed by the Bank to inspect all accounts and records relating to the performance of the Contract and the submission of the Proposal to provide the Services, and to have such accounts and records audited by auditors appointed by the Bank if requested by the Bank. The Consultant’s attention is drawn to Clause 1.11.1 which provides, inter alia, that acts intended to materially impede the exercise of the Bank’s inspection and audit rights provided for under Clause 3.6constitute a prohibited practice subject to contract termination (as well as to a determination of ineligibility pursuant to the Bank’s prevailing sanctions procedures).


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3.7 Consultant’s Actions Requiring Client’s Prior Approval

The Consultant shall obtain the Client’s prior approval in writing before taking any of the following actions:

(a) Any change or addition to the Personnel listed in Appendix C.

(b) Subcontracts: the Consultant may subcontract work relating to the Services to an extent and with such experts and entities as may be approved in advance by the Client. Notwithstanding such approval, the Consultant shall retain full responsibility for the Services. In the event that any Sub-Consultants are found by the Client to be incompetent or incapable in discharging assigned duties, the Client may request the Consultant to provide a replacement, with qualifications and experience acceptable to the Client, or to resume the performance of the Services itself.

(c) Any other action that may be specified in the SC.

3.8 Reporting Obligations

The Consultant shall submit to the Client the reports and documents specified in Appendix B hereto, in the form, in the numbers and within the time periods set forth in the said Appendix. Final reports shall be delivered in CD ROM in addition to the hard copies specified in said Appendix.

3.9 Documents Prepared by the Consultant to be the Property of the Client

All plans, drawings, specifications, designs, reports, other documents and software prepared by the Consultant for the Client under this Contract shall become and remain the property of the Client, and the Consultant shall, not later than upon termination or expiration of this Contract, deliver all such documents to the Client, together with a detailed inventory thereof. The Consultant may retain a copy of such documents and software, and use such software for their own use with prior written approval of the Client. If license agreements are necessary or appropriate between the Consultant and third parties for purposes of development of any such computer programs, the Consultant shall obtain the Client’s prior written approval to such agreements, and the Client shall be entitled at its discretion to require recovering the expenses related to the development of the program(s) concerned. Other restrictions about the future use of these documents and software, if any, shall be specified in the SC.

3.10 Equipment, Vehicles and Materials Furnished by the Client

Equipment, vehicles and materials made available to the Consultant by the Client, or purchased by the Consultant wholly or partly with funds provided by the Client, shall be the property of the Client and shall be marked accordingly. Upon termination or expiration of this Contract, the Consultant shall make available to the Client an inventory of such equipment, vehicles and materials and shall dispose of such equipment and materials in accordance with the Client’s instructions. While in possession of such equipment, vehicles and materials, the Consultant, unless otherwise instructed by the Client in writing, shall insure them at the expense of the


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Client in an amount equal to their full replacement value.

3.11 Equipment and Materials Provided by the Consultants

Equipment or materials brought into the Government’s country by the Consultant and the Personnel and used either for the Project or personal use shall remain the property of the Consultant or the Personnel concerned, as applicable.

4. CONSULTANTS’ PERSONNEL AND SUB-CONSULTANTS

4.1 General The Consultant shall employ and provide such qualified and experienced Personnel and Sub-Consultants as are required to carry out the Services.

4.2 Description of Personnel

(a) The title, agreed job description, minimum qualification and estimated period of engagement in the carrying out of the Services of each of the Consultant’s Key Personnel are described in Appendix C. If any of the Key Personnel has already been approved by the Client, his/her name is listed as well.

(b) If required to comply with the provisions of Clause GC 3.1.1 hereof, adjustments with respect to the estimated periods of engagement of Key Personnel set forth in Appendix C may be made by the Consultant by written notice to the Client, provided (i) that such adjustments shall not alter the originally estimated period of engagement of any individual by more than 10% or one week, whichever is larger, and (ii) that the aggregate of such adjustments shall not cause payments under this Contract to exceed the ceilings set forth in Clause GC 6.1(b) of this Contract. Any other such adjustments shall only be made with the Client’s written approval.

(c) If additional work is required beyond the scope of the Services specified in Appendix A, the estimated periods of engagement of Key Personnel set forth in Appendix C may be increased by agreement in writing between the Client and the Consultant. In case where payments under this Contract exceed the ceilings set forth in Clause GC 6.1(b) of this Contract, this will be explicitly mentioned in the agreement.

4.3 Approval of Personnel

The Key Personnel and Sub-Consultants listed by title as well as by name in Appendix C are hereby approved by the Client. In respect of other Personnel which the Consultant proposes to use in the carrying out of the Services, the Consultant shall submit to the Client for review and approval a copy of their Curricula Vitae (CVs). If the Client does not object in writing (stating the reasons for the objection) within twenty-one (21) days from the date of receipt of such CVs, such Personnel shall be deemed to have been approved by the Client.

4.4 Working Hours, (a) Working hours and holidays for Key Personnel are set forth in


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Overtime, Leave, etc.

Appendix C hereto. To account for travel time, Foreign Personnel carrying out Services inside the Client’s country shall be deemed to have commenced, or finished work in respect of the Services such number of days before their arrival in, or after their departure from the Client’s country as is specified in Appendix C hereto.

(b) The Key Personnel shall not be entitled to be paid for overtime nor to take paid sick leave or vacation leave except as specified in Appendix C hereto, and except as specified in such Appendix, the Consultant’s remuneration shall be deemed to cover these items. All leave to be allowed to the Personnel is included in the staff-months of service set forth in Appendix C. Any taking of leave by Personnel shall be subject to the prior approval by the Consultant who shall ensure that absence for leave purposes will not delay the progress and adequate supervision of the Services.

4.5 Removal and/or Replacement of Personnel

(a) Except as the Client may otherwise agree, no changes shall be made in the Personnel. If, for any reason beyond the reasonable control of the Consultant, such as retirement, death, medical incapacity, among others, it becomes necessary to replace any of the Personnel, the Consultant shall forthwith provide as a replacement a person of equivalent or better qualifications.

(b) If the Client (i) finds that any of the Personnel has committed serious misconduct or has been charged with having committed a criminal action, or (ii) has reasonable cause to be dissatisfied with the performance of any of the Personnel, then the Consultant shall, at the Client’s written request specifying the grounds therefore, forthwith provide as a replacement a person with qualifications and experience acceptable to the Client.

(c) Any of the Personnel provided as a replacement under Clauses (a) and (b) above, as well as any reimbursable expenditures (including expenditures due to the number of eligible dependents) the Consultants may wish to claim as a result of such replacement, shall be subject to the prior written approval by the Client. The rate of remuneration applicable to a replacement person will be obtained by multiplying the rate of remuneration applicable to the replaced person by the ratio between the monthly salary to be effectively paid to the replacement person and the average salary effectively paid to the replaced person in the period of six months prior to the date of replacement. Except as the Client may otherwise agree, (i) the Consultant shall bear all additional travel and other costs arising out of or incidental to any removal and/or replacement, and (ii) the remuneration to be paid for any of the Personnel provided as a replacement shall not exceed the


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remuneration which would have been payable to the Personnel replaced.

4.6 Resident Project Manager

If required by the SC, the Consultant shall ensure that at all times during the Consultant’s performance of the Services in the Government’s country a resident project manager, acceptable to the Client, shall take charge of the performance of such Services.

5. OBLIGATIONS OF THE CLIENT

5.1 Assistance and Exemptions

Unless otherwise specified in the SC, the Client shall use its best efforts to ensure that the Government shall:

(a) Provide the Consultant, Sub-Consultants and Personnel with work permits and such other documents as shall be necessary to enable the Consultant, Sub-Consultants or Personnel to perform the Services.

(b) Arrange for the Personnel and, if appropriate, their eligible dependents to be provided promptly with all necessary entry and exit visas, residence permits, exchange permits and any other documents required for their stay in the Government’s country.

(c) Facilitate prompt clearance through customs of any property required for the Services and of the personal effects of the Personnel and their eligible dependents.

(d) Issue to officials, agents and representatives of the Government all such instructions as may be necessary or appropriate for the prompt and effective implementation of the Services.

(e) Exempt the Consultant and the Personnel and any Sub-Consultants employed by the Consultant for the Services from any requirement to register or obtain any permit to practice their profession or to establish themselves either individually or as a corporate entity according to the Applicable Law.

(f) Grant to the Consultant, any Sub-Consultants and the Personnel of either of them the privilege, pursuant to the Applicable Law, of bringing into the Government’s country reasonable amounts of foreign currency for the purposes of the Services or for the personal use of the Personnel and their dependents and of withdrawing any such amounts as may be earned therein by the Personnel in the execution of the Services.

(g) Provide to the Consultant, Sub-Consultants and Personnel any such other assistance as may be specified in the SC.

5.2 Access to Land The Client warrants that the Consultant shall have, free of charge,


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unimpeded access to all land in the Government’s country in respect of which access is required for the performance of the Services. The Client will be responsible for any damage to such land or any property thereon resulting from such access and will indemnify the Consultant and each of the Personnel in respect of liability for any such damage, unless such damage is caused by the default or negligence of the Consultant or any Sub-Consultants or the Personnel of either of them.

5.3 Change in the Applicable LawRelated to Taxes and Duties

If, after the date of this Contract, there is any change in the Applicable Law with respect to taxes and duties which increases or decreases the cost incurred by the Consultant in performing the Services, then the remuneration and reimbursable expenses otherwise payable to the Consultant under this Contract shall be increased or decreased accordingly by agreement between the Parties hereto, and corresponding adjustments shall be made to the ceiling amounts specified in Clause GC 6.1(b).

5.4 Services, Facilities and Property of the Client

(a) The Client shall make available to the Consultant and the Personnel, for the purposes of the Services and free of any charge, the services, facilities and property described in Appendix F at the times and in the manner specified in said Appendix F.

(b) In case that such services, facilities and property shall not be made available to the Consultant as and when specified in Appendix F, the Parties shall agree on (i) any time extension that it may be appropriate to grant to the Consultant for the performance of the Services, (ii) the manner in which the Consultant shall procure any such services, facilities and property from other sources, and (iii) the additional payments, if any, to be made to the Consultant as a result thereof pursuant to Clause GC 6.1(c) hereinafter.

5.5 Payment In consideration of the Services performed by the Consultant under this Contract, the Client shall make to the Consultant such payments and in such manner as is provided by Clause GC 6 of this Contract.

5.6 Counterpart Personnel

(a) The Client shall make available to the Consultant free of charge such professional and support counterpart personnel, to be nominated by the Client with the Consultant’s advice, if specified in Appendix F.

(b) If counterpart personnel are not provided by the Client to the Consultant as and when specified in Appendix F, the Client and the Consultant shall agree on (i) how the affected part of the Services shall be carried out, and (ii) the additional payments, if any, to be made by the Client to the Consultant as a result thereof pursuant to Clause GC 6.1(c) hereof.

(c) Professional and support counterpart personnel, excluding Client’s liaison personnel, shall work under the exclusive


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direction of the Consultant. If any member of the counterpart personnel fails to perform adequately any work assigned to such member by the Consultant that is consistent with the position occupied by such member, the Consultant may request the replacement of such member, and the Client shall not unreasonably refuse to act upon such request.

6. PAYMENTS TO THE CONSULTANT

6.1 Cost Estimates; Ceiling Amount

(a) An estimate of the cost of the Services payable in foreign currency is set forth in Appendix D. An estimate of the cost of the Services payable in local currency is set forth in Appendix E.

(b) Except as may be otherwise agreed under Clause GC 2.6 and subject to Clause GC 6.1(c), payments under this Contract shall not exceed the ceilings in foreign currency and in local currency specified in the SC.

(c) Notwithstanding Clause GC 6.1(b) hereof, if pursuant to any of the Clauses GC 5.3, 5.4 or 5.6 hereof, the Parties shall agree that additional payments in local and/or foreign currency, as the case may be, shall be made to the Consultant in order to cover any necessary additional expenditures not envisaged in the cost estimates referred to in Clause GC 6.1(a) above, the ceiling or ceilings, as the case may be, set forth in Clause GC 6.1(b) above shall be increased by the amount or amounts, as the case may be, of any such additional payments.

6.2 Remuneration and Reimbursable Expenses

(a) Subject to the ceilings specified in Clause GC 6.1(b) hereof, the Client shall pay to the Consultant (i) remuneration as set forth in Clause GC 6.2(b) hereunder, and (ii) reimbursable expenses as set forth in Clause GC 6.2(c) hereunder. Unless otherwise specified in the SC, said remuneration shall be fixed for the duration of the Contract.

(b) Payment for the Personnel shall be determined on the basis of time actually spent by such Personnel in the performance of the Services after the date determined in accordance with Clause GC 2.3 and Clause SC 2.3 (or such other date as the Parties shall agree in writing), at the rates referred to in Clause SC 6.2(b), and subject to price adjustment, if any, specified in Clause SC 6.2(a).

(c) Reimbursable expenses actually and reasonably incurred by the Consultant in the performance of the Services, as specified in Clause SC 6.2(c).

(d) The remuneration rates referred to under paragraph (b) here above shall cover: (i) such salaries and allowances as the Consultant shall have agreed to pay to the Personnel as well as factors for social charges and overhead (bonuses or other


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means of profit-sharing shall not be allowed as an element of overhead), (ii) the cost of backstopping by home office staff not included in the Personnel listed in Appendix C, and (iii) the Consultant’s fee.

(e) Any rates specified for Personnel not yet appointed shall be provisional and shall be subject to revision, with the written approval of the Client, once the applicable salaries and allowances are known.

(f) Payments for periods of less than one month shall be calculated on an hourly basis for actual time spent in the Consultant’s home office and directly attributable to the Services (one hour being equivalent to 1/176th of a month) and on a calendar-day basis for time spent away from home office (one day being equivalent to 1/30th of a month).

6.3 Currency of Payment

Foreign currency payments shall be made in the currency or currencies specified in the SC, and local currency payments shall be made in the currency of the Client’s country.

6.4 Mode of Billing and Payment

Billings and payments in respect of the Services shall be made as follows:

(a) Within the number of days after the Effective Date specified in the SC, the Client shall cause to be paid to the Consultant advance payments in foreign currency and in local currency as specified in the SC. When the SC indicate advance payment, this will be due after provision by the Consultant to the Client of an advance payment guarantee acceptable to the Client in an amount (or amounts) and in a currency (or currencies) specified in the SC. Such guarantee (i) to remain effective until the advance payment has been fully set off, and (ii) to be in the form set forth in Appendix G hereto, or in such other form as the Client shall have approved in writing. The advance payments will be set off by the Client in equal installments against the statements for the number of months of the Services specified in the SC until said advance payments have been fully set off.

(b) As soon as practicable and not later than fifteen (15) days after the end of each calendar month during the period of the Services, or after the end of each time intervals otherwise indicated in the SC, the Consultant shall submit to the Client, in duplicate, itemized statements, accompanied by copies of invoices, vouchers and other appropriate supporting materials, of the amounts payable pursuant to Clauses GC 6.3 and GC 6.4 for such month, or any other period indicated in the SC. Separate statements shall be submitted in respect of amounts payable in foreign currency and in local currency. Each statement shall distinguish that portion of the total eligible costs which pertains to remuneration from that portion which


24

pertains to reimbursable expenses.

(c) The Client shall pay the Consultant’s statements within sixty (60) days after the receipt by the Client of such statements with supporting documents. Only such portion of a statement that is not satisfactorily supported may be withheld from payment. Should any discrepancy be found to exist between actual payment and costs authorized to be incurred by the Consultant, the Client may add or subtract the difference from any subsequent payments. Interest at the annual rate specified in the SC shall become payable as from the above due date on any amount due by, but not paid on, such due date.

(d) The final payment under this Clause shall be made only after the final report and a final statement, identified as such, shall have been submitted by the Consultant and approved as satisfactory by the Client. The Services shall be deemed completed and finally accepted by the Client and the final report and final statement shall be deemed approved by the Client as satisfactory ninety (90) calendar days after receipt of the final report and final statement by the Client unless the Client, within such ninety (90) day period, gives written notice to the Consultant specifying in detail deficiencies in the Services, the final report or final statement. The Consultant shall thereupon promptly make any necessary corrections, and thereafter the foregoing process shall be repeated. Any amount, which the Client has paid or caused to be paid in accordance with this Clause in excess of the amounts actually payable in accordance with the provisions of this Contract, shall be reimbursed by the Consultant to the Client within thirty (30) days after receipt by the Consultant of notice thereof. Any such claim by the Client for reimbursement must be made within twelve (12) calendar months after receipt by the Client of a final report and a final statement approved by the Client in accordance with the above.

(e) All payments under this Contract shall be made to the accounts of the Consultant specified in the SC.

(f) Payments in respect of remuneration or reimbursable expenses, which exceed the cost estimates for these items as set forth in Appendices D and E, may be charged to the respective contingencies provided for foreign and local currencies only if such expenditures were approved by the Client prior to being incurred.

(g) With the exception of the final payment under (d) above, payments do not constitute acceptance of the Services nor relieve the Consultant of any obligations hereunder.


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7. FAIRNESS AND GOOD FAITH

7.1 Good Faith The Parties undertake to act in good faith with respect to each other’s rights under this Contract and to adopt all reasonable measures to ensure the realization of the objectives of this Contract.

7.2 Operation of the Contract

The Parties recognize that it is impractical in this Contract to provide for every contingency which may arise during the life of the Contract, and the Parties hereby agree that it is their intention that this Contract shall operate fairly as between them, and without detriment to the interest of either of them, and that, if during the term of this Contract either Party believes that this Contract is operating unfairly, the Parties will use their best efforts to agree on such action as may be necessary to remove the cause or causes of such unfairness, but no failure to agree on any action pursuant to this Clause shall give rise to a dispute subject to arbitration in accordance with Clause GC 8 hereof.

8. SETTLEMENT OF DISPUTES

8.1 Amicable Settlement

If either Party objects to any action or inaction of the other Party, the objecting Party may file a written Notice of Dispute to the other Party providing in detail the basis of the dispute. The Party receiving the Notice of Dispute will consider it and respond in writing within 14 days after receipt. If that Party fails to respond within 14 days, or the dispute cannot be amicably settled within 14 days following the response of that Party, Clause GC 8.2 shall apply.

8.2 Dispute Resolution

Any dispute between the Parties as to matters arising pursuant to this Contract that cannot be settled amicably according to Clause GC 8.1 may be submitted by either Party for settlement in accordance with the provisions specified in the SC.

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III. Special Conditions of Contract

Number of GC

Clause Amendments of, and Supplements to, Clauses in the General

Conditions of Contract

1.4 The language is English.

1.6 The addresses are: Client : Central Water Commission Attention : Director, DSR & Project Director, DRIP

Dam Safety Rehabilitation Directorate Central Water Commission 3rd Floor, CWC New Library Building Near SewaBhawan, R K Puram, New Delhi -110066 India E-mail: [email protected] Facsimile : +91-11-26192633

Consultant : Egis Eau

Attention : Project Director 78, allée John Napier – 34965 Montpellier cedex 2, France Email : [email protected]; Facsimile : + 33 4 67 65 03 18

1.8 The Member in Charge is Egis Eau

1.9 The Authorized Representatives are: For the Client: Director-DSR(& Project Director, DRIP) For the Consultant: Philippe Berthet, Project Director

1.10 1.10.1 For domestic consultants/sub-consultants / personnel and foreign consultants/personnel who are permanent residents in India

The consultants, Sub-consultants and the Personnel shall pay the taxes, duties, fees, levies and other impositions levied under the existing, amended or enacted laws during life of this contract and the client shall perform such duties in regard to the deduction of such tax as may be lawfully imposed.

1.10.2 For foreign Consultancy firms (a) The Consultant, Sub-Consultants and Personnel, and their

eligible dependents, shall follow the usual customs procedures of the Government’s country in importing property into the Government’s country; and


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(b) If the Consultant, Sub-Consultants or Personnel, or their

eligible dependents, do not withdraw but dispose of any property in the Government’s country upon which customs duties and taxes have been exempted, the Consultant, Sub-Consultants or Personnel, as the case may be, (i) shall bear such customs duties and taxes in conformity with the regulations of the Government’s country, or (ii) shall reimburse them to the Client if they were paid by the Client at the time the property in question was brought into the Government’s country.

1.10.3 Service Tax (a) Client shall reimburse the consultant the service tax payable in

India under the existing, amended or enacted laws during life of this contract.

(b) Service tax payable on the advance will also be reimbursable on submission of proof of payment to the Government, and for such reimbursement of service tax no Bank Guarantee will be required.

2.1

The effectiveness condition is: Date of signing of Contract.

2.2 The time period shall be 30 days or such other time period as the parties may agree in writing.

2.3 The time period shall be 30 days or such other time period as the parties may agree in writing.

2.4 The time period shall be 60 months or such other time period as the parties may agree in writing.

3.4 Limitation of the Consultants’ Liability towards the Client

(a) Except in case of gross negligence or willful misconduct on the part of the Consultants or on the part of any person or firm acting on behalf of the Consultants in carrying out the Services, the Consultants, with respect to damage caused by the Consultants to the Client’s property, shall not be liable to the Client:

(i) for any indirect or consequential loss or damage; and

(ii) for any direct loss or damage that exceeds by two


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times the total value of the Contract.

(b) This limitation of liability shall not affect the Consultants’ liability, if any, for damage to Third Parties caused by the Consultants or any person or firm acting on behalf of the Consultants in carrying out the Services.”

3.5

The risks and the coverage shall be as follows: (a) Third Party motor vehicle liability insurance in respect of motor

vehicles operated in the Government’s country by the Consultant or its Personnel or any Sub-Consultants or their Personnel, with a minimum coverage as per Motor Vehicles Act 1988.

(b) Third Party liability insurance, with a minimum coverage of: Rs.

one million; (c) professional liability insurance, with a minimum coverage of:

equal to the contract value; (d) employer’s liability and workers’ compensation insurance in

respect of the Personnel of the Consultant and of any Sub-Consultants, in accordance with the relevant provisions of the Applicable Law, as well as, with respect to such Personnel, any such life, health, accident, travel or other insurance as may be appropriate; and

(e) insurance against loss of or damage to (i) equipment purchased in

whole or in part with funds provided under this Contract, (ii) the Consultant’s property used in the performance of the Services, and (iii) any documents prepared by the Consultant in the performance of the Services.

3.7 (c)

The other actions are: a. Any visit by Consultant’s personnel at CPMU to project sites or

IAs etc. b. Mobilization or Demobilization of any Consultant’s personnel

from the Office of CPMU for any interim period.

3.9

All rights on the software including intellectual property rights, will be with the client, and consultant will have no claim on these rights. The consultant shall not use information, documents and software related to the works under the assignment for purposes unrelated to this contract without the prior written approval of the client.

4.6 The team leader of Consultant’s team shall be designated as resident


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project manager.

6.1(b) The ceiling in foreign currency or currencies is: 6,708,910 Euro The ceiling in local currency is: 353,140, 854 Indian Rupees

6.2(a) Payments for remuneration made in accordance with Clause GC 6.2(a) in [foreign and/or] [local] currency shall be adjusted as follows: (a) Remuneration paid in foreign currency pursuant to the rates set

forth in Appendix D shall be adjusted every 12 months (and, the first time, with effect for the remuneration earned in the 13th calendar month after the date of the Contract) by applying the following formula:

fo

ffof

IIRR

where Rf is the adjusted remuneration, Rfo is the remuneration payable on the basis of the rates set forth in Appendix F for remuneration payable in foreign currency, If is the official index for salaries in the country of the foreign currency for the first month for which the adjustment is supposed to have effect, and Ifo is the official index for salaries in the country of the foreign currency for the month of the date of the Contract (the index for “wages” published by International Monetary Fund in its monthly “International Financial Statistics” for the country could be considered for adoption).

(b) Remuneration paid in local currency pursuant to the rates set forth in Appendix E shall be adjusted every 12 months (and, for the first time, with effect for the remuneration earned in the 13th calendar month after the date of the Contract) by applying the following formula:

lo

llol

IIRR

where Rl is the adjusted remuneration, Rlo is the remuneration payable on the basis of the rates set forth in Appendix E for remuneration payable in local currency, Il is the official index for salaries in years(Indices for “urban Non Manual Employees” for salaries published by Director General Central Statistics Organization, Ministry of Statistics/Government of India) for the first month for which the adjustment is to have effect and, Ilo is the official index for salaries in year as indicated above for the month of the date of the Contract.

6.2(b) The rates for Foreign Personnel are set forth in Appendix D, and the


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rates for Local Personnel are set forth in Appendix E.

6.2(c) The Reimbursable expenses to be paid in foreign currency are set forth in Appendix D, and the Reimbursable expenses to be paid in local currency are set forth in Appendix E.

6.3 The foreign currency shall be the following: (i) Euro

6.4(a) The following provisions shall apply to the advance payment and the advance payment guarantee: (1) An advance payment of 10% of the negotiated amount in foreign

currency and of 10 % in local currency shall be made within 30 days after the Effective Date and submission of advance payment guarantee whichever is later. The advance payment will be set off by the Client in equal installments against the statements for the first 24 months of the Services until the advance payment has been fully set off.

(2) The advance payment guarantee shall be for the amount and in

the currency of the ‘Euro’ and ‘Indian Rupees’ currency portion of the advance payment. Bank Guarantee submitted by the Consultant shall be enforceable in India and shall be issued by a bank validated / approved as per RBI guidelines.

6.4(b) (1) The Consultant shall submit bills in duplicate for payment every three month on actual man-month input to the client, itemized statement, accompanied by copies of invoices, vouchers and progress reports furnishing details of work completed as per schedules for completion of tasks (detailed in Appendix-A – Description of Services). (2) Payment against reimbursable shall be on actuals. However, the total amount on reimbursable shall be within the ceiling limit under the respective heads. (3) Consultant shall submit, at the beginning of every three month plan of execution of the Task as per the Contract, details of deployment of personnel and anticipated estimate of expenditure on reimbursable.

6.4(c) The interest rate is: - for foreign currency: London Inter-Bank On-Lending Rate

(LIBOR) plus 2% per annum


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- for local currency: 10% per annum

6.4(e) (1) The accounts are:

for foreign currency: Banker’s Name : NATIXIS PARIS (99999) BIC : NATXFRPPXXX Address of the Bank : 30, AVENUE PIERRE MENDES- FRANCE, 75013 PARIS, FRANCE Bank account Name : Egis Eau IBAN : FR76 3000 7999 9904 3270 2100 125 for local currency: Banker’s Name : ICICI Bank Limited MICR CODE : 110229004 RTGS Code : ICIC0000029 Address of the Bank : W-57, Greater Kailash Part-I, New Delhi - 110 048. Bank account Name : Egis India Consulting Engineers Private Limited Account No. : 002905004586

(2) Before release of any payment, the Consultant shall submit the MOU signed between the JV partners reflecting their proportion of work related duties and responsibilities and their financial commitments under the JV, and the Consultant shall also furnish an undertaking that such an arrangements shall not be used for any tax evasion or tax avoidance.

8.2

Disputes shall be settled by arbitration in accordance with the following provisions: 8.2.1 Selection of Arbitrators Each dispute submitted by a Party to arbitration shall be

heard by a sole arbitrator or an arbitration panel composed of three arbitrators, in accordance with the following provisions:

(a) Where the Parties agree that the dispute concerns a

technical matter, they may agree to appoint a sole arbitrator or, failing agreement on the identity of such sole arbitrator within thirty (30) days after receipt by the other Party of the proposal of a name for such an appointment by the Party who initiated the proceedings, either Party may apply to the President, Institution of Engineers India, Kolkata, for a list of not fewer than five nominees and, on


32

receipt of such list, the Parties shall alternately strike names there from, and the last remaining nominee on the list shall be the sole arbitrator for the matter in dispute. If the last remaining nominee has not been determined in this manner within sixty (60) days of the date of the list, the President, Institution of Engineers India, Kolkata, shall appoint, upon the request of either Party and from such list or otherwise, a sole arbitrator for the matter in dispute.

(b) Where the Parties do not agree that the dispute

concerns a technical matter, the Client and the Consultants shall each appoint one arbitrator, and these two arbitrators shall jointly appoint a third arbitrator, who shall chair the arbitration panel. If the arbitrators named by the Parties do not succeed in appointing a third arbitrator within thirty (30) days after the latter of the two arbitrators named by the Parties has been appointed, the third arbitrator shall, at the request of either Party, be appointed by Secretary, the Indian Council of Arbitration, New Delhi.

(c) If, in a dispute subject to Clause SC 8.2.1 (b), one

Party fails to appoint its arbitrator within thirty (30) days after the other Party has appointed its arbitrator, the Party which has named an arbitrator may apply to the Secretary, Indian Council of Arbitration, New Delhi, to appoint a sole arbitrator for the matter in dispute, and the arbitrator appointed pursuant to such application shall be the sole arbitrator for that dispute.

8.2.2 Rules of Procedure Arbitration proceedings shall be conducted in accordance

with procedure of the Arbitration & Conciliation Act 1996, of India unless the Consultant is a foreign national/firm, where arbitration proceedings shall be conducted in accordance with the rules of procedure for arbitration of the United Nations Commission on International Trade Law (UNCITRAL) as in force on the date of this Contract.

8.2.3 Substitute Arbitrators If for any reason an arbitrator is unable to perform his

function, a substitute shall be appointed in the same


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manner as the original arbitrator. 8.2.4 Qualifications of Arbitrators

The sole arbitrator or the third arbitrator appointed pursuant to paragraphs (a) through (c) of Clause 8.2.1 hereof shall be an internationally recognized legal or technical expert with extensive experience in relation to the matter in dispute.

8.2.5 Miscellaneous In any arbitration proceeding hereunder: (a) proceedings shall, unless otherwise agreed by the

Parties, be held in New Delhi, India (b) the English language shall be the official language

for all purposes; and [Note: English language may be changed to any other Language, with the agreement of both the parties.]

(c) the decision of the sole arbitrator or of a majority

of the arbitrators (or of the third arbitrator if there is no such majority) shall be final and binding and shall be enforceable in any court of competent jurisdiction, and the Parties hereby waive any objections to or claims of immunity in respect of such enforcement.

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Appendices

IV. Appendices

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Arrangement of Appendices

APPENDIX A – DESCRIPTION OF SERVICES 1 Introduction…………………………………………………………… 36 2 Project objective……………………………………………………… 37 3 Project components ………………………………………………….. 37 4 Institutional and implementation Arrangement………………………. 39 5 Objectives of the Consultancy………………………………………... 40 6 Scope of Consultancy………………………………………………… 41 Project Management………………………………………………….. 41 Design Flood Review………………………………………………… 45 Design Review………………………………………………………... 47 Third Party Supervision………………………………………………. 49 Dam Safety Institutional Strengthening………………………………. 51 7 Organization of Consultants’ team…………………………………… 54 8 Deliverables…………………………………………………………… 58 9 Monitoring of Consultancy Services…………………………………. 61 10 Approach and Methodology………………………………………….. 61 11 Additional Requirements……………………………………………... 61 12 Annexure Annexure I – Environment and Social Management Framework 62 Annexure II – Dam Health and Rehabilitation Monitoring Application 65 Annexure III – Type of expertise required 69 Annexure IV – Deployment schedule for the main staff 70 Annexure V – Schematic diagram of the Work flow arrangement for

the consultancy……………………………………………… 71

Annexure VI Approach and Methodology proposed by Consultant 72 APPENDIX B – REPORTING REQUIREMENTS 113 APPENDIX C – PERSONNEL AND SUB-CONSULTANTS- HOURS OF

WORK FOR KEY PERSONNEL 115

APPENDIX D – COST ESTIMATES IN FOREIGN CURRENCY 121 APPENDIX E – COST ESTIMATES IN LOCAL CURRENCY 123 APPENDIX F – DUTIES OF THE CLIENT……………………… 126 APPENDIX G – FORM OF ADVANCE PAYMENT GUARANTEE 127

IV. Appendices Appendix A – Description of Services

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APPENDIX A – DESCRIPTION OF SERVICES

1 Introduction 1.1 The DAM REHABILITATION AND IMPROVEMENT

PROJECT (DRIP) has been taken up with the World Bank assistance for implementation initially in 4 States (namely Kerala, Madhya Pradesh, Orissa, and Tamil Nadu)and in Central Water Commission (CWC). Few more States may join DRIP at a later stage, for which a provision of unallocated resources has been provided for in the project estimate. DRIP will be implemented over a period of six-years starting from 18th April, 2012. Initial activities concerning some of the first-phase projects have also commenced. The period of Consultancy assignment is kept for five years.

1.2 The project consists of three components: (i) Rehabilitation and improvement of dams and associated appurtenances, (ii) Dam safety institutional strengthening in participating States and CWC, and (iii) Project management. The State-wise and component-wise estimate of the project cost is summarized in the table below:

Note: Total project base cost excludes unallocated resources.

State Total No of large dams

No of DRIP dams

Rehabilitation and

improvement (Rs. Crore)

Institutional Strengthening

(Rs. Crore)

Project Management (Rs. Crore)

Total Project

Base Costs (Rs. Crore)

Contin-gencies

(Rs. Crore)

Total Project

Cost (Rs. Crore)

Kerala 54 31 202.42 34.51 13.01 249.94 30.05 279.98 Madhya Pradesh

906 50 260.54 10.03 7.20 277.78 36.77 314.54

Orissa 163 38 106.37 14.35 10.27 130.99 16.75 147.74 Tamil Nadu 108 104 604.66 23.23 20.11 648.00 97.49 745.49

CWC 26.30 89.42 115.73 16.27 132.00 Unallocated Resources 480.24

Total 223 1173.98 108.43 140.02 1422.43 197.33 2100.00

1.3 The main implementation agencies for DRIP will be the owners of dams (i.e. Water Resources Departments (WRD) and State Electricity Boards (SEB)) in the participating States. State IAs (through their Dam Safety Organizations) will have responsibility for implementation of works in respective States; and responsibility for coordination and management of such works within a State will rest with the concerned SPMU. Overall project oversight and coordination (i.e. covering works of all IAs) will be carried out by CPMU headed by the Project Director with assistance of an engineering and management consulting firm (The Consultant). Consultant has to report to and take instructions from the Project Director, CPMU. The existing Implementing Agencies (IAs) are as under: Kerala Water Resources Department/ Kerala State


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Electricity Board Madhya Pradesh Water Resources Department Orissa Surface Water Resources Department Tamil Nadu Water Resources Department/ Tamil Nadu

Electricity Board Central Water Commission

2 Project

Objectives The project development objectives of DRIP are: (i) to improve the safety and performance of selected existing dams and associated appurtenances in a sustainable manner, and (ii) to strengthen the dam safety institutional setup in participating States as well as at Central level. The objectives of DRIP are to be achieved through investments for physical and technological dam improvements, managerial upgrading of dam operations, management and maintenance, with accompanying institutional reforms. DRIP would thus aim at restoring the capacity of project dams for effective utilization of the stored water, and monitoring and managing the long-term performance of the dams.

3 Project Components

The three components of DRIP are summarized as under:

Rehabilitation & Improvement of Dams and Associated Appurtenances

3.1 Rehabilitation and Improvement of Dams and Associated Appurtenances, focusing on structural and non-structural measures at 223 project dams, many of which are more than 25 years old. The number of dams proposed for inclusion in the project is based on proposals received from the four participating States. The States have done a review of the status of their dams and have determined those dams that are most in need of rehabilitation and improvement in order to guarantee their future safety and operational capacity. It was agreed that the States have an option to substitute a few of the currently selected dams with other dams, if it is found that these dams have higher needs. The proposed interventions will include, but not be limited to, such works as: treatment for reduction of seepage through masonry and concrete dams and reduction of seepage through earth dams; improving dam drainage; treatment for cracking in the dam, improving the ability to withstand higher floods, including additional flood handling facilities, as required by the hydrological assessments, accompanied by structural strengthening of dams; non-structural measures to cater for higher design floods in case structural measures are physically not feasible; rehabilitation and improvement of spillways, head regulators, draw-off gates and their operating mechanisms, stilling basins, and downstream spillway channels; improving approach roads; improving office and housing accommodation; and improving dam safety instrumentation. The project will also support hydrological assessments and specialized consulting services,


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e.g. for the design of state-of-the art, but affordable instrumentation. In addition, preparation and implementation of asset management plans, emergency preparedness plans, emergency warning systems, public awareness campaigns, and floodplain mapping will be included in all States. Operators of dams, state design organizations, and engineering cells in WRDs and SEBs will provide design services and day-to-day construction supervision. Consulting services for the more complicated design, identification of source of dam safety issue viz. seepage and third-party supervision services and specialized tasks will be recruited to assist WRDs and SEBs, as needed. The mentioned services are to be hired by the concerned State IAs (through State DSO) if concerned specialized staff are not available within State Departments. Such consultancies, if any, will be procured by State IAs through separate procurement process.

Dam Safety Institutional Strengthening

3.2 Dam Safety Institutional Strengthening, focusing on regulatory and technical frameworks for dam safety assurance. The activities to be carried out will include, but not be limited to, targeted training nationally (especially at the National Water Academy in Pune) and internationally to Dam Safety Organizations at Central (CDSO) and State (SDSO) level to become effective organizations that can take the lead in ensuring that dams remain safe from a structural and operational point of view; in-country and external training of staff of WRDs and SEBs to assist with the development of appropriate skills and modern tools to adequately operate and maintain dams; attendance at dam safety courses; study tours, and linking with foreign country agencies that have advanced dam safety programs such as the United States and Switzerland; operation of independent dam safety review panels, comprising experts in relevant disciplines; development of capacity to carry out reservoir sedimentation studies; development of Management Information Systems (MIS) and other programs to capture and analyze data for long-term planning and guiding of dam operations; support to the further development within CWC of the Dam Health and Rehabilitation Monitoring Application (DHARMA) program that will allow a systematic presentation and interpretation of data for effective monitoring of the health of dams; support to the revision of existing guidelines on dam safety and preparation of new guidelines, as needed; training in hazard and vulnerability assessment and dam-break analysis; and training to a select number of academic and research institutions for enhancing their capacities in guiding the dam safety activities.

Project Management

3.3 The overall responsibility for project oversight and coordination will rest with the Dam Safety Rehabilitation Directorate in the CDSO of CWC. This Directorate will act as


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the Central Project Management Unit (CPMU). The Directorate will be assisted by a management and engineering consulting firm. Each State will establish a Project Management Unit (SPMU) attached to the WRD Chief Engineer’s (CE) office in charge of the SDSO. This Unit will have direct responsibility for the coordination and management of the project at State level.

4 Institutional & Implementation Arrangement

4.1 The State Dam Safety Organizations (SDSO) will have responsibility for the implementation of the project in the respective participating States. SDSO will be assisted by Water Resources Departments, other operators of dams, and state design organizations for design services and day-to-day construction supervision. Consulting services may also be engaged by the States to assist the SDSOs, as needed, in areas which are to be executed by the state implementing agencies and for which specialized skilled staff may not be available within state departments. Such services (to be provided by individual consultants; Dam Safety Review Panels; Expert Teams; IITs, Engineering University, Colleges, other institutions; or consulting firms) will have clearly defined deliverables without any substantial overlap with the scope and currency of the works of Engineering and Management Consulting firm engaged by CPMU.

4.2 Central Project Management Unit (CPMU) will be responsible

for overall implementation of DRIP. The duties of CPMU will include support to SDSOs and their SPMUs with their role in facilitating and guiding the implementation and monitoring of all project activities, ensuring synergy and coordination among activities and agencies implementing these activities, preparing consolidated reports and facilitating training. The CPMU will also support SDSOs and SPMUs in formulation of project proposals, technical examination of works, preparation of MIS, and other relevant activities of project implementation. The Dam Safety Rehabilitation Directorate of CWC is designated as Central Project Management Unit (CPMU) and the Director, Dam Safety Rehabilitation Directorate is designated as Project Director (PD). The Project Director would head the Central Project Management Unit (CPMU), which will be strengthened by an engineering and management consulting firm. In addition to providing sufficient staff at CPMU, the consulting firm will also open sub-units with adequate staff in each participating State for coordination of work between CPMU and concerned SPMU. These sub-units will be reporting to CPMU at CWC, New Delhi. The day to day minor issues with SPMU will be resolved by the State level sub-units; more detailed/ complex and complicated issues, if any, will be referred to CPMU. The State level sub-units would also provide the third-party construction supervision and quality


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control arrangements for the works undertaken in States. Third party construction supervision and quality control arrangement to be undertaken by Consultant’s State level sub-units will be on the lines of quality audit. Day to day construction supervision along with direct quality assurance measures will be ensured by the concerned units of State IAs. Consultant will evaluate the construction supervision and quality control mechanism in place, and its sufficiency, and also establish the benchmark requirements.

4.3 A National Level Steering Committee (NLSC) is already in

place for Dam Safety Assurance, Rehabilitation and Disaster Management. Headed by Secretary MoWR, this Committee includes senior level representatives of CWC and participating States. A separate Technical Committee (TC) is also in place to: (a) provide technical input to NLSC, (b) coordinate with implementing committees of respective State governments, and (c) review progress of the project. The Technical Committee is chaired by Member (D&R), CWC, and includes Engineer-in-Chief of Irrigation/ Water Resources / Power Departments of participating States. The Chief Engineer, DSO-CWC, is the Member Secretary of TC. The NLSC and TC will provide the strategic supervision and directions for the successful implementation of DRIP. These Committees will also provide a platform for resolution of project implementation related disputes, if any.

5 Objectives of

the Consultancy 5.1 The main objective of the Consultancy service is to strengthen

the Central Project Management Unit (CPMU) for discharge of its day-to-day responsibilities by providing a team of consultants for managerial, technical, fiduciary, safeguards and M&E services as brought out in the Scope of Consultancy.

5.2 The Consultant shall provide at CPMU a team of expert

consultants, including technical and non-technical manpower, and all resources necessary for meeting the Consultancy objectives. The Consultant shall also establish sub-units in each participating State and provide therein adequate technical and non-technical manpower for coordination of work between CPMU and SPMUs. The consultant’s staff in State level sub-units will be in addition to those deployed at CPMU in Delhi. State level sub-units will be maintained for full duration of Consultancy.

5.3 The overall assignment will extend to new states as well. In

case of additional financial implication requiring any future amendments to the contract to include additional states, the same shall be done with prior agreement of the Bank.


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6 Scope of Consultancy

The scope of the services will include supporting the Project Director, CPMU with the day-to-day responsibilities of project management and implementation, comprising: Project Management – planning and management of the

project, including monitoring physical and financial progress, and preparing annual work plans and regular progress reports;

Design Flood Review – supporting CWC in vetting of hydrological analyses and advising on the options to cater for the increased design floods, where applicable;

Design Review–checking and ensuring that the designs of engineering works are technically sound;

Third-party Supervision – providing independent third-party supervision for construction and quality control to ensure works are implemented to internationally acceptable standards;

Dam Safety Institutional Strengthening – advising on dam safety institutional strengthening measures at central level in CWC, and also in DRIP States.

Project Management

6.1 The DRIP implementation is required to be carried out in accordance with the project implementation plan, containing, inter alia, specific provisions on detailed arrangements for the carrying out of the Project, including the procurement, financial management and disbursement requirements, the Environmental and Social Management Framework (ESMF) and the Governance and Accountability Action Plan (GAAP). The Consultant, as part of CPMU, shall provide support to SDSOs and their SPMUs and facilitate and guide the implementation and monitoring of project activities, ensuring synergy and coordination among activities and State-level agencies implementing these activities, facilitating training and knowledge sharing, and preparing consolidated progress and other project reports. The Consultant shall also extend to the States technical advice and guidance for the formulation of comprehensive proposals for complicated dams. The Consultant shall provide all required project management services to enable CPMU to implement the project in an effective and timely manner. These services to CPMU shall include, but not be limited to, project planning and programming; procurement management; financial management; project monitoring; and document management and dissemination system.

Project Planning

and Programming

6.1.1 (a) The Consultant shall formulate / improve the standard template form which will provide the basic parameters of each dam, and detailed information on technical, environmental, social, and all implementation-related aspects. The web-based MIS to be maintained by the Consultant shall capture the salient information of DRIP dams from the templates. For each


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dam, the Consultant shall carry out such activities as: (i) Examination of project template and review of

rehabilitation proposal received from SPMUs; (ii) Preliminary dam site inspection for ensuring

completeness of State proposal, and verification of additional investigation and rehabilitation requirements;

(iii) Examination of ESMF screening carried out by SPMUs for segregation of dams into low, medium, and high categories in terms of their potential social and environmental impacts;

(iv) Project prioritization and scheduling for rehabilitation based on project template, site inspection and ESMF screening;

(v) Technical, managerial and trouble-shooting support to the SPMUs and the implementing agencies;

(vi) Guiding preparation of asset management plans so that a better justification can be made to government for adequate O&M budget and development of the asset management systems to minimize future risks of dam failures.

(b) In case of projects that are found to be complicated or

where major issues are involved, the Consultant shall be required to carry out detailed site inspection so as to guide the SPMUs in preparation of detailed technical reports and site-specific environmental assessments (EA) and environmental management plans (EMP).

(c) The Consultant shall be required to describe the project planning and programming process in the inception report.

Procurement Management

6.1.2 (a) Procurement for DRIP will be carried out in accordance with the World Bank’s Guidelines. The Consultant shall have one or more procurement specialists with experience in Bank Procurement for overall coordination with SPMUs and for provision of guidance on procurement matters.

(b) In respect of each SPMU, the Consultant shall carry out

such activities as: (i) Examination of the periodically submitted Procurement

Plans; (ii) Examination of the completeness of rehabilitation

proposals in work package of each dam including quality assurance, proper procurement documentation, bidding processes, bid evaluations, contract award and management of commercial aspects;

(iii) Quality checking and recommendation on the proposals submitted by SPMUs for prior review by World Bank as per Bank’s thresholds for prior review;

(iv) Prior review of the proposals submitted by SPMUs as


43

per thresholds for the review by CPMU.

(c) Consultant shall facilitate uniformity and consistency in the work specifications, procurement procedures and documents of all implementing agencies.

Financial Management

6.1.3 (a) For financial management of DRIP, including fund flow, accounting, and internal control framework of the project, the country systems will be followed. The Consultant shall have one or more financial management specialist to provide a coordinating role in financial management of the project.

(b) In respect of each SPMU, the Consultant shall carry out such activities as:

(i) Examination of annual budget plans; (ii) Follow-up, consolidation and submission of quarterly

Interim Unaudited Financial Reports (IUFR) for disbursement of the credit/loan funds by the World Bank;

(iii) Periodic review of internal control system to verify whether internal controls as laid down in various rules and codes are operating effectively and whether timely corrective measures are being undertaken to address departures or non-compliances;

(iv) Follow-up and compilation of the project audit reports of all implementing agencies for submission to the World Bank within six months from the end of each financial year;

(v) Follow-up for timely resolution of audit observations.

(c) The DRIP will be using web-based financial reporting software developed as part of the Hydrology Project II for monthly reporting of component-wise expenditure, amount claimed, and scheme-wise contract details. The software is already operational and being used by WRDs of all four participating States. The Consultant shall customize this software to facilitate periodic reporting to the CPMU/World Bank and consolidation of data of all the implementing agencies.

Project Monitoring

6.1.4 (a) Project monitoring will entail a process for reviewing continuously and systematically the various project implementation activities, which shall be accomplished by Consultant utilizing its sub-units in the participating States. Consultant shall also develop and maintain a web-based MIS for this purpose.

(b) A good baseline, comprising a description of the current conditions, shall be prepared by Consultant for every dam, which shall be done during screening of project templates and


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the preliminary inspections.

(c) In respect of each SPMU, the Consultant shall carry out such activities as:

(i) Collection and compilation of physical and financial progresses;

(ii) Monitoring and Evaluation (M&E) so as to: (i) measure input, output, and outcome indicators, (ii) provide information regularly on progress towards achieving desired results and to facilitate reporting to the State and Central governments and the Bank, (iii) alert managers, both in government and the Bank, to actual or potential problems in implementation so that timely adjustments can be made, and (iv) provide a process whereby the CPMU and SPMUs can reflect and improve on performance;

(iii) Monitoring of ‘Environment & Social Management Framework (ESMF)’ compliances so as show in a clear and transparent way whether there are any social and environmental issues related to the rehabilitation of the dams and the mitigation actions;

(d) Consultant shall compile quarterly and annual reports for

the overall project. These reports shall cover the progress of the rehabilitation works, the institutional activities, training, and special studies, as well as updates of the performance indicators, the procurement plans, etc. Quarterly Interim Unaudited Financial Reports (IUFRs) shall also be prepared. A section of the progress reports shall be devoted to issues identified during project implementation and strategies and actions to be taken to resolve such issues so that they do not affect the progress. The fourth report of each calendar year shall be an annual report incorporating progress in fourth quarter, providing information of the progress during the past year and an approved annual work plan and budget for the next year.

(e) The Consultant shall be required to identify the indicators of progress monitoring and the criteria of project performance evaluation in the inception report.

Document Management

and Dissemination

System

6.1.5 (a) To manage both proactive and on-demand responses to requests for information, DRIP will manage a document management and dissemination system which will ensure that quality standards for accuracy and presentation are met on each document. This shall be coordinated by the Consultant.

(b) The Consultant shall also ensure that all queries and responses are classified according to task and/or project components and appended to a Frequently Asked Questions


45

(FAQ) file which shall be readily available to project functionaries and online for all States.

(c) Documentation of queries and responses by SPMUs will

help different States’ units in promptly replying to queries in future. Such a mechanism will also educate all the project functionaries about the apprehension and queries, which the general public may have about the project. The Consultant, with the help of appropriate team expert, shall provide necessary guidance and support to the SPMUs for managing the disclosure system.

(d) On completion of rehabilitation and improvement work of each dam, the Consultant shall compile a “Project Rehabilitation Report” of that dam which will include project template; site inspection reports; design flood review report; detailed computations of design review; rehabilitation design, scope of work packages and details of awarded contracts; trouble shooting (if any) and records of discussion thereof; site-specific environmental assessment and environmental management plan (if any); relevant photographs; and project completion report.

Design Flood Review

6.2 Under DRIP, before any rehabilitation and improvement works are undertaken on a dam, the design flood for the reservoir will have to be calculated in accordance with IS-11223 (as revised) and any other relevant guidelines that may come into force at that time, using the most appropriate available data. This calculation will require the approval of CWC. If the revised design flood of DRIP dams exceeds the current spillway capacity, either structural (e.g. enlargement of spillways) or non-structural measures are to be implemented. The Consultant shall provide all the required services to review the design flood studies of DRIP dams submitted by SPMUs for its approval by Hydrological Studies Organization (HSO) of CWC in an effective and timely manner. The Consultant shall also provide all the required services to review and guide the rehabilitation works or operational procedures (non-structural methods of coping with design floods) so as to ensure the safety of the dam and reservoir with this design flood.

Vetting of Design Flood Analysis

6.2.1 (a) The design flood reviews of 38 dams under phase-I of DRIP implementation are expected to be completed in-house by HSO, CWC before lining up of the Consultant. The Consultant shall provide all the required services for the design flood reviews of balance DRIP dams.

(b) The Consultant shall go through the design flood review study reports submitted by project authorities to check their accuracy regarding physiographic parameters of the project,


46

adequacy of design rainfall depths along with its hourly distribution, losses and UH parameters adopted. The same after necessary correction/modification shall be submitted to HSO, CWC for vetting. Consultant shall also guide the project authorities for adoption of technologically sound and modern practices for design flood reviews.

(c) The Consultant in discussion with HSO, CWC shall evolve the improved techniques for design flood analysis. The Consultant shall apply such improved techniques on design flood review studies of some of the important DRIP dams.

Review of options to cater

for the increased design floods

6.2.2 (a) The dam rehabilitation measures will include improving its ability to withstand higher floods, as required by the hydrological assessments, including enlargement of spillways, head regulators, and draw-off gates. For each of the DRIP dams, Consultant shall carry out review of free board and spillway capacity with the existing as well as additional spillway (if required) for the revised design flood approved by HSO, CWC. Consultant shall also review the revised energy dissipation arrangement, and recommend model studies where ever required.

(b) In cases where topographical and/or structural constraints

make it difficult to increase the spillway capacity of DRIP dam to suit the revised design flood, the Consultant shall carry out routing trials for the identification of lower reservoir levels during the flood season. If this arrangement of creating flood cushion is found to be costly and unviable in terms of loss of power and irrigation benefits, the Consultant shall advice other options that can be considered for the safe operation of the reservoir. These options shall include, but not be limited to, (i) pre-release of water at maximum rate on 24-hour warning of a flood; (ii) lowering the spillway crest level and using fuse gates or other spillway control systems; (iii) building flood control retention basins upstream; (iv) developing an emergency action plan; and (v) controlled overtopping of the dam, (vi) provision of improved inflow flood forecasting procedures.

(c) For each dam under DRIP, the Consultant shall recommend the best option for safe release of floods for further needful implementation by concerned state project authorities. Such dams will also need new or updated Reservoir Operational Manual that reflects the developed solutions, and these will be prepared by the State project authorities and submitted to CPMU. The Consultant shall provide all the required services to review the Reservoir Operational Manuals/ Plans submitted by the SPMUs.


47

(d) In some of the important DRIP dams, provision of real-time data automation systems (RTDAS) for efficient reservoir operation will also be considered. The Consultant shall provide all the required services to CPMU to support and guide the process of RTDAS implementation by the project authorities. Necessity of RTDAS will have to be examined on case to case basis, with possibility of establishing an integral mechanism for the whole basin duly accounting for existing systems of CWC, if any. Consultant’s role will be to assess the need of RTDAS on case to case basis, and guide/advise the concerned IAs. IAs will undertake the implementation of RTDAS through separate contracts.

(e) In the event of the revised design flood exceeding the spillway capacity (with normal freeboard) by more than 50 percent, a dam break analysis, inundation map, and emergency action plan will have to be prepared by the State project authorities and submitted to CPMU. The Consultant shall provide all the required services to review the dam break analysis, inundation map, and emergency action plan submitted by the SPMUs.

Design Review 6.3 The State project authorities will arrange detailed designs for the identified rehabilitation works of each dam. In complicated cases (e.g. when changes to the design flood or structural changes to dams are proposed), the SPMUs of States will submit these designs to the CPMU for examination and advice. The Consultant shall ensure the compliance of the designs of the rehabilitation works with relevant Indian standards and with best international practices where such Indian standards are not available. The Consultant shall provide all the required services to review such designs in an effective and timely manner. These services shall include, but not be limited to, Seismic design review; Structural safety review; Hydro-mechanical equipment review; Dam instrumentation review; Overall dam rehabilitation design review; and De-siltation design review.

Seismic design review

6.3.1 Before any rehabilitation and improvement works are undertaken on a dam in a seismic active zone, the stability of the dam will be checked using the latest seismic parameters applicable to the location of the dam. The works proposed under DRIP will have to ensure that the dam and reservoir will be safe under the specified seismic conditions. For the proposal submitted to the CPMU, the Consultant shall carry out review of the design earth quake parameters, and review of the structural designs for seismic safety. Consultant shall also carry out dynamic analysis, where ever required.

Structural safety 6.3.2 (a) In order to accommodate the revised design flood


48

review magnitudes, there may be cases where maximum water level in the reservoir will be temporarily increased during peak floods. In few cases, the dam section may have to be raised if freeboard is not sufficient to allow temporary encroachment. In these cases, structural stability analysis will have to be made to ensure the stability of the dam against the increased water load. For such design proposals submitted to the CPMU, the Consultant shall carry out review of structural designs, and where ever required, the remodeling of dams to safe and stable cross-sections.

(b) As part of structural safety review, the Consultant shall

also review the strength and porosity of existing materials of the dam; effectiveness of foundation treatment; seepage through the dam & foundation; condition of galleries and other drains; filter and rip-rap in earth dam; and general health of the dam. The remedial/ strengthening/ rehabilitation measures that have been carried out in the past shall also be kept in mind during above design reviews.

Hydro-mechanical equipment

review

6.3.3 Some of the DRIP dams may involve enlargement of spillways, head regulators, and draw-off gates, and improving operating mechanisms of their gates. All such cases where maximum water level in the reservoir will be temporarily increased during peak floods may also require revisions in the designs of gates and hoisting equipments. For such design proposals submitted to the CPMU, the Consultant shall carry out review of structural safety with existing as well as additional loads; condition of water seals and trunion; hoist capacity; gantry; and general condition of the various hydro- mechanical parts.

Dam

Instrumentation Review

6.3.4 Some of the old dams under DRIP may not have adequate dam monitoring instrumentations, and in some cases malfunctioning of instruments due to aging as well as lack of maintenance is expected. Rehabilitation of dams under DRIP will involve improving dam safety instrumentation to monitor and record structural behavior, displacements, seepage and related hydro-meteorological and seismic factors to forewarn dam operators of possible risks, as well as provision of software for analyzing and evaluating data generated by dam instruments. For such instrumentation improvement proposals submitted to CPMU, the Consultant shall carry out review of the number and type of instruments installed and their condition; review of additional instruments suggested, required and feasible; review of data logging arrangements; and review of data analyzing methodology and related software.

Overall dam rehabilitation

6.3.5 (a) In addition to structural, hydro-mechanical and instrumentation related safety issues of dams, other typical


49

design review safety issues that may need remedial works include: (i) seepage boils and leakage downstream of earth dams; (ii) deformity and erosion of upstream and downstream slopes, including slope sloughing/slips, and erosion of abutments and settlement and cracks along dam crests; (iii) excessive seepage through masonry and concrete dams; and (iv) cracks and pitting in concrete and masonry spillways and outlet gate structures and erosion of energy dissipation systems and spill channels. For rehabilitation design proposals on such issues submitted to the CPMU, the Consultant shall carry out review of the diagnosis of problem; review of the rehabilitation design; and review of internal and external dam drainage arrangements and seepage measuring devices.

(b) Consultant shall review the analytical and experimental measures used for rehabilitation design. Consultant shall guide the project authorities for adoption of technologically advanced and modern methods of structural/ hydraulic safety assessment and rehabilitation planning. Consultant shall guide the project authorities on use of new materials and state-of-the-art construction techniques for dam rehabilitation measures.

(c) In few cases, enhancement in tourism potential and environmentally friendly interventions such as fish ladders may also be taken up. The Consultant shall provide all the required services to review and guide the planning/ design/ implementation of such measures.

De-siltation of reservoirs

6.3.6 Sedimentation in some reservoirs has impacted on the storage capacity, thus limiting economic benefits of these investments. However, de-silting of reservoirs is expensive and the deposit of silt can have environmental impacts. Also, considering the annual flood events there are limited opportunities to encroach on silted areas within the reservoir. De-silting of reservoir areas will not be a major activity under DRIP, and will be carried out only in exceptional circumstances when the regained reservoir volume would have a high economic impact. There are only requests for possible de-silting of a few State Electricity Board dams, and these are in remote areas where there is no encroachment. For the reservoir de-siltation proposals submitted to CPMU, the Consultant shall carry out detailed review of the de-siltation designs/ planning and also guide the project authorities in environmentally sound implementations, ensuring ESMF compliances.

Third Party Supervision

6.4 For rehabilitation and improvement works undertaken by the participating States, the day-to-day construction supervision will be conducted by the field units of concerned State implementing agency, and direct quality assurance of the works will be ensured through quality control unit of the implementing agency. The CPMU, through Consultant, will be


50

required to provide third-party supervision of the construction and quality control. The Consultant shall provide all required services for the third-party supervision of the construction and quality control to ensure that the works are implemented to internationally acceptable standards. These services to CPMU shall include, but not be limited to, periodical site inspections; assessing the supervision system; assessing the quality control system; and assessing the ESMF compliances.

Periodical Site Inspection

6.4.1 For each of such projects where active rehabilitation and improvement works are in progress, the Consultant shall undertake at least one project site visit per quarter; and these visits shall be carried out more often for dams with complicated designs and construction works. One visit per quarter for each dam site where active work is under implementation is the minimum requirement. The actual frequency of consultant’s visit will depend upon the stage of execution of works at site, nature of the complexities involved etc.

Assessing supervision

system

6.4.2 Consultant shall periodically assess the supervisory mechanism and system of the state implementing agencies and suggest possible improvements.

Assessing quality control

system

6.4.3 Consultant shall periodically assess the quality control mechanism and system of the state implementing agencies and suggest possible improvements. Consultant shall also conduct a limited sample testing (not less than 5% of the tests conducted by quality control unit) of the works of the inspection reports given by quality control departments of the State governments for authenticity and accuracy. Consultant is not required to set up his/her own labs. The sample testing may be carried out in reputed labs (e.g. labs of IITs and NITs) on reimbursable basis. CWC will facilitate in getting the services of Central/ State Government labs (e.g. CSMRS), as applicable, and to the extent needed.

Assessing ESMF compliances

6.4.4 The Consultant shall periodically (monthly basis during screening and preparation stage and on quarterly basis during construction stage) assess the quality of ESMF compliances of the state implementing agencies from screening of dam activities to preparation of Environmental Management Plan (EMP), wherever needed, to implementations and monitoring stage so as to ensure that actions agreed to minimize environmental impact are being implemented. For projects that come under the high category in terms of their potential social and environmental impacts, the Consultant shall also conduct environmental audits at regular intervals. (A brief note on ESMF is given as Annexure-I)


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Dam Safety Institutional Strengthening

6.5 One of the objectives of DRIP is to support and strengthen the Dam Safety Organizations of the participating States, and at national level the Dam Safety Organization of Central Water Commission. The Consultant shall provide all the required services to enable the State Dam Safety Organizations (SDSOs) of DRIP States and the Dam Safety Organizations of CWC (DSO-CWC) to carry out State level and Central level dam safety institutional strengthening in an effective and timely manner. These services shall include, but not be limited to, capacity building of participating units for DRIP implementation; revision of CWC’s existing guidelines on dam safety; formulation of new guidelines on dam safety related issues; development of dam design review manual; development and implementation of Dam Health And Rehabilitation Monitoring Application (DHARMA); identification of analysis and design software requirements; facilitating ISO 9001 certification for DSO-CWC; facilitating dam safety trainings, study tours and conferences; development and management of a national web site for dam safety information; and development of dam safety expertise in select number of academic and research institutions.

Capacity building for DRIP

implementation

6.5.1 (a) Capacity building of participating States and CWC for the implementation of DRIP will have to be ensured through periodical training programs and workshops. In addition, the project seeks to build the capacity of the implementing agencies in long-term planning and guiding of dam operations. The Consultant shall work for the capacity building objectives through one or more training specialists for providing training, support and knowledge sharing to the officials of all participating units.

(b) These trainings shall include, but not be limited to such

areas as: (i) Procurement of works and goods, and selection of

consultants under IBRD loans and IDA credits; (ii) Financial management (including record keeping,

internal controls, reporting, and audit compliance matters) for DRIP;

(iii) Environmental Management of dam projects, legal requirements and related environmental aspects, Project’s ESMF and its compliances, including on-the-job training to project staff to ensure that there is full awareness about environmental and social issues;

(iv) Modern practices for design flood reviews; (v) Modern practices for dam design reviews, including

seismic design review; (vi) Dam rehabilitation design, including both structural and

non-structural interventions; (vii) Emergency action plans;


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(viii) Dam portfolio management; (ix) Modern construction methodologies; (x) Modern practices for supervision and quality control; (xi) State-of-the-art practices for dam operation and risk-

based maintenance; (xii) International dam safety codes of practice, safety

monitoring and inspection; (xiii) Operation and use of sophisticated software/ equipment

that are procured/ installed under DRIP.

(c)The trainings shall be held more frequently in the first year, and then at periodic intervals, to ensure consistency in performance and to overcome the problem associated with frequent transfer of staff. The Consultant shall be required to develop and present a training calendar in the inception report.

Revision of CWC’s Existing

Guidelines

6.5.2 Consultant shall undertake revision of such guidelines as: (i) Safety inspection of dams including standard proforma

for periodical inspections; (ii) Development and implementation of emergency action

plans.

Formulation of New Guidelines

6.5.3 Consultant shall undertake formulation of such new guidelines as:

(i) Computing of inflow, outflow and storage, and reservoir data management;

(ii) Dam operations and maintenance; (iii) Hazard categorization of large dams; (iv) Review of subsurface geological conditions of existing

dams; (v) Environmental impact assessment studies and

Environmental Management of existing dams; (vi) Dam-break analysis; (vii) Sedimentation studies in existing reservoirs; (viii) Monitoring and improvements of dam health; (ix) Site-specific seismic parameter studies; (x) Instrumentations in large dams, including

improvements in existing dams; (xi) Risk analysis of dams.

Development of Dam Design

Review Manual

6.5.4 Consultant shall undertake development of a comprehensive dam design review manual which would elaborate the most suited review methodologies for different types of existing dams for the purpose of: (i) hydraulic safety assessment, (ii) structural safety assessment, and (iii) rehabilitation design.

Development and

implementation of DHARMA

6.5.5 (a) Consultant shall undertake development of balance modules of ‘Dam Health And Rehabilitation Monitoring Application (DHARMA)’, and help in its implementation in DRIP States. DHARMA program, presently being developed in-house by CWC, will enable collection and compilation of


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basic as well as engineering information for all dams and allow the systematic presentation and interpretation of data for effective monitoring of the health of dams (A separate brief on DHARMA is given as Annexure II). Consultant shall also assist in integration of pertinent DHARMA data with the ‘Water Resources Information System (WRIS)’ on GIS platform presently under development in CWC.

(b) The Consultant shall be required to carry out System Requirement Studies (SRS) before the development of balance modules of DHARMA. The schedule for the draft and final SRS shall be indicated by the Consultant in the inception report. The Consultant shall also be required to identify the training requirements for DHARMA implementation and describe the training programs/ schedules in the inception report.

Dam Analysis and Design

software Requirements

6.5.6 Consultant shall facilitate identification of software requirements of CWC for its effective organizational role in national level dam safety. Accordingly, Consultant shall identify the most suitable modern software for hydrological, hydraulic, and structural analysis of dams under different operational regimes and for dam break analysis. Consultant shall also guide the implementation of such software tools in CWC. (The procurements of analysis and design software will be made by CWC directly).

ISO 9001 Certification of

DSO-CWC

6.5.7 Consultant shall facilitate all activities related to ISO 9001 certification of DSO-CWC for Quality Management System and its continual (planned) improvement, and its one time renewal after initial three years (The payments for registration, certification and mandatory auditing would be paid by CWC directly).

Dam safety trainings, study

tours and conferences

6.5.8 (a) The activities will include targeted trainings nationally (especially at the National Water Academy in Pune) and internationally. Consultant shall facilitate in identification of training requirements for development of appropriate skills in CWC and participating States for the application of modern tools/ practices in operation, maintenance and rehabilitation of dams. The training areas shall include, but not be limited to, Potential Failure Mode Assessment (PFMA) developed by the US Federal Energy Regulatory Commission; Portfolio Risk Assessment techniques using tools such as the United States Bureau of Reclamation Risk Based Profile System; Failure Mode Effect and Criticality Analysis for electro-mechanical and hydraulic control systems; hazard/vulnerability assessment and hazard ratings; dam-break analysis; reservoir sedimentation studies; and site-specific seismic parameter studies. Consultant will prepare the training calendar and course material for the national programs and most of the


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faculty for such programs will come from the professional staff of consultant dealing with different subject matters. External faculty (if necessary) may also be provided and such costs covered as reimbursable expenses. The experts of Consultant from respective areas shall be available for national level trainings. Costs related to trainees’ travel, lodging & boarding etc will be borne by CWC and the concerned State governments for both national and international programs. (All expenses related to international trainings would be paid by CWC/ participating States directly).

(b) Consultant shall facilitate CWC and States officials’ study tours and linking with other country agencies that have advanced dam safety programs, such as Canada, United States, and Switzerland. (All expenses for study tours would be paid by CWC/ participating States directly).

(c) Consultant shall assist DSO-CWC in organizing national level dam safety conferences proposed to be held in different States each year, preferably in all four participating States during the period of Consultancy. (The expenses for dam safety conferences would be borne by CWC/ States.)

National web site for dam

safety information

6.5.9 Consultant shall undertake development of a website for dissemination of national level dam safety information for general public, along with provision for password linked membership of professionals for dam safety trouble-shooting and discussions. The website shall be hosted on NIC server, and maintained by Consultant for the period of Consultancy assignment. The participating states would have easy access to the data pertaining to the very State and its interoperability.

Development of dam safety expertise

of select academic and

research institutions

6.5.10 Institutional strengthening for building up expertise in the field of dam safety/ rehabilitation would be developed in various relevant educational institutes like IITs, Engineering colleges / universities, etc.. Necessary funds for the development of their in-house dam safety expertise will be provided by CWC. Consultant shall identify the thrust areas of desired expertise and the related requirements of lab facilities, hardware, software, trainings, study tours etc.

7 Organization of the Consultant’s Team

7.1 Based on preliminary assessment of DRIP related works in CWC and participating States, a tentative projection of Consultant’s team requirement is indicated herein. However, the actual manpower requirement of Consultancy in terms of expertise needed, team composition, and staffing schedule is required to be assessed by the Consultant and presented in the Consultant’s bid proposal.

7.2 An indicative requirement of type-of-expertise needed for various activities listed under ‘Scope of Consultancy’ is given


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as Annexure III. The actual number of professional staff desired under Consultancy need not be equal to the number of type-of-expertise indicated in this Appendix because of the possibility of an individual professional possessing more than one expertise. Similarly, activities involving large quantum of works may warrant requirement of more than one professional staff with the same type of expertise.

7.3 Details of the Consultant’s team composition should be presented in the Consultant’s proposal. However, the team should include, but not be limited to, the following professional staff:

(i) Team Leader: He/She should have at least 25 years of experience in broad range of water resources with emphasis on dam safety, dam planning and design aspects. He/ She should have experience in leading and coordinating the activities of multi-disciplinary teams of experts and have experience with institutions involved in World Bank funded projects. He/ She should have a good academic background with degree in Civil Engineering and preferably a master degree in management.

(ii) Deputy Team Leader: He/She should have at least 25 years of experience in broad range of water resources with emphasis on dam safety, dam planning and design aspects. He/she should have experience in leading and coordinating the activities of multi-disciplinary teams of experts and have experience with institutions involved in World Bank funded projects. He/She should have a good academic background with Degree in Civil Engineering and preferably a master degree in Civil/Water resources.

(iii) Hydrologist: He/She should have a degree in Civil Engineering with post graduation in hydrology and about 15 years experience focusing on all aspects of surface water hydrology. He/She should have worked in at least 10 large dam projects.

(iv) Construction Management and Quality Control Specialist: He/She should have a degree in Civil Engineering and about 20 years experience in dealing with miscellaneous aspect of dam construction and Quality Control. He/She should have worked in at least three Dam Rehabilitation Projects.

(v) Dam Safety Specialist:He/She should have a degree in civil engineering and about 15 years experience in dealing with dam safety inspections and remedial measures.

(vi) Environmental Specialist: He/She should have a degree in Environment Engineering / Science / Management field and about 15 years experience in environmental


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mitigation measures related to infrastructure project. He/She should have worked in at least two World Bank funded water related project.

(vii) Social Specialist: He/She should have a degree in Social Science and about 15 years experience in social aspect of infrastructure project. He/She should have worked in at least one World Bank funded water related project in India.

(viii) Dam Instrumentation Specialist: He/She should have a degree in Engineering and should have about 10 years experience in instrumentations in dams.

(ix) Dam Design Specialist: He/She should have a degree in Civil Engineering with post graduation in structural or water resources engineering and about 15 years experience in designs of dams and its appurtenances.

(x) Dam Break Analysis and Emergency Action Plan Specialist: He/She should have a degree in Civil Engineering with post graduate degree in Hydrology and about 10 years experience in Dam Break Analysis using state-of-the-art mathematical models and in preparation of Emergency Action Plan (EAP) of Water Resources Project. He/She should have been involved in preparation of at least 2 EAP including inundation maps.

(xi) Financial Management Specialist: He/She should have at least 15 years experience in financial management of Infrastructure projects. He/She should have a good academic background with not less than Master Degree in Financial Management or a professional degree like Chartered Accountant or MBA (Finance). He should have worked in at least one similar project preferably World Bank Funded.

(xii) Procurement Specialist:He/She should have at least 15 years experience in Procurement of Infrastructure projects. He/She should have a good academic background with not less than Master Degree in Engineering or Management. He should have worked in at least one similar project preferably World Bank Funded..

(xiii) Institutional Strengthening Specialist: He/She should have minimum 15 year experience in the area of Institutional development/Strengthening of any large organization in Government or Public/Private sector. He/She should have good academic qualifications with background in Engineering or Management and must have provided similar services in the past, preferably in a similar project.

(xiv) Software Development/MIS Specialist: He/She should have at least 10 years experience in the field of Information Technology and development of IT


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strategy and Management Information system. He/She should have degree level qualification in information technology and should have provided similar services to large public/private organizations of comparable nature. He should have independently guided at least one large-scale Visual Basic.Net based project from inception to completion stage.

7.4 The Consultant would not be switching out individuals included in the successful proposal from the project after signing of the Contract and replacing them with lesser qualified, and therefore less expensive, personnel. The Consultant would ensure that all key members would be available when required for this project; and in case someone is not available, the Consultant would submit an equivalent or better CV for CWC’s approval. In case the proposed replacements are not found suitable by CWC, the Consultant would still complete the project to CWC’s satisfaction with the other remaining positions.

7.5 The Consultant would ensure that more senior and well experienced staff out of his professionals mentioned in the proposal will be deployed for tasks related to preparation of guidelines, design manuals etc. The professionals (to be yet named) appearing against miscellaneous category position can also be utilized by the Consultant for this purpose.

7.6 Main Activities of Consultancy services would be spread over a period of about five years. Management support to CPMU would continue for the full period of Consultancy involving guidance to SPMUs, preparation of MIS reports, project completion report, and report for development of future strategy etc. Major implementation support activities for the hydrological analysis and design reviews of identified dams are expected to be over in the first three years of the project. The activities concerning third party supervision and quality control of rehabilitation and improvement works by the participating States would be required throughout five years, and are expected to peak during 2nd to 4thyear period. The support of Consultancy services for the dam safety institutional strengthening would continue throughout the five year period; and during fifth year, implementation of change management strategy with reference to withdrawal program of management consultancy would become the key activity. An agreed deployment schedule of the professional staff is given as Annexure IV. This schedule is based on the preliminary assessment of prioritization and likely phasing of DRIP activities (focusing mainly on deployment requirement of the first six months), and shall be reviewed from time to time to suite the requirements of project implementation and put into


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action after approval of CWC. Mobilization of staff shall commence immediately after the signing of the contract and shall continue in parallel with the preparation of draft inception report; and the full team as per agreed deployment schedule shall be in place within 60 days of contract signature.

7.7 The members of Consultant’s team will form the CPMU under Project Director. All work flows will take place from CPMU to the respective SPMU of the DRIP States. For the work item “Design Flood Review”, which will require mandatory vetting by CWC, the work flow will be routed to the Hydrology Directorate of the HSO unit of CWC. For work item of “Third party supervision”, the work flow will be channeled directly to the SPMU of the State concerned so that corrective measures can be implemented without loss of time. The work flow for the item “Capacity Building for DRIP Implementation”, will be directed to the SPMU and IAs of the State concerned. All such directorates of CWC that are functionally aligned with different DRIP activities will be associated with respective works of Consulting firm for assimilation of experience and transfer of technology. A schematic diagram of the overall work flow arrangement for the Engineering and Management Consultancy service is given as Annexure V. The proposed arrangement will be periodically reviewed by CWC, and, if required, changed to suit the needs of the IAs and the project outcomes.

7.8 Adequate office space and electricity/water will be provided by CWC for the Consultant’s office establishment at CPMU. However all types of furnishing, maintenance and housekeeping requirements of this space shall be met by the Consultant. Adequate space at state sub units will be provided by State level IAs in their premises for better coordination. All establishment requirements for works related to State level sub-units shall be arranged by the Consultant on his own.

7.9 The trainings to be conducted by the Consultant will be held at CWC (Delhi), National Water Academy (Pune) or the project locations as per scope of different trainings. The requirements of premises and the boarding/ lodging arrangements of trainees will be met by the Central or State IAs as the case may be.

8 Deliverables 8.1 The general deliverables to be provided by the Consultant are: (i) Draft inception report within 60 days of contract

signature or 15 days of receipt of advance payment, whichever is later, and final inception report (incorporating CWC’s comments) within 30 days of submission of draft report.

(ii) Regular brief monthly progress reports of Consultancy, drawing attention to problematic issues.


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(iii) Quarterly and annual progress reports of the overall project.

(iv) Quarterly and annual progress report on ESMF implementation and environmental compliance.

(v) Quarterly and annual financial management reports of the overall project.

(vi) Assessment reports of Consultancy at mid-term reviews of project (at end of PY2 and PY4).

(vii) Draft withdrawal plan by mid of PY4, and final withdrawal plan before PY5.

(viii) Report for development of future strategy before 60 days of end of Consultancy.

(ix) Draft Consultancy completion report before 60 days of end of Consultancy, and final completion report after receipt of CWC’s and World Bank’s comments.

8.2 In addition to the general deliverables listed at Para 8.1, Consultant shall also provide activity specific deliverables as per Scope of Consultancy. Such activity specific deliverables to be given by Consultant during period of Consultancy shall include, but not be limited to, the following:

(i) Standard Project Template Form as per time schedule indicated in final inception report.

(ii) Web based Management Information System (MIS) as per time schedule indicated in final inception report.

(iii) Quarterly Interim Unaudited Financial reports (IUFR) for disbursement of credit/loan funds by World Bank.

(iv) Compilation of project audit reports of all IAs within six months from the end of each financial year.

(v) Customization of financial reporting software of Hydrology Project II for its use in DRIP as per time schedule indicated in final inception report.

(vi) Document Management and Dissemination System as per time schedule indicated in final inception report.

(vii) ‘Project Rehabilitation Report’ of each project dam within 90 days of its work completion.

(viii) Training calendar for the capacity building programs for DRIP implementation as per time schedule indicated in final inception report.

(ix) Revised guidelines on dam safety as per list of guidelines and time schedule indicated in final inception report.

(x) New guidelines on dam safety as per list of guidelines and time schedule indicated in final inception report.

(xi) Dam Design Review Manual as per time schedule indicated in final inception report.

(xii) System Requirement Studies (SRS) report for development of DHARMA as per schedule for the draft and final SRS indicated in final inception report.

(xiii) Fully developed DHARMA software as per time


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schedule indicated in final inception report. (xiv) Training Calendar for DHARMA implementation and

its implementation schedule as per time frame indicated in final inception report.

(xv) Training material on application of modern tools/ practices in operation, maintenance and rehabilitation of dams for the national level trainings on dam safety as per time schedule indicated in final inception report.

(xvi) National web site for dam safety information as per time schedule indicated in final inception report.

8.3 For the purpose of assessment of the quality of key deliverables and for their acceptance or rejection, in part or full, appropriate Review Committee (one or more in numbers) will be constituted under the chairmanship of Chief Engineer (DSO), CWC. The Review Committee(s) will consist of Director level officers of CWC and other IAs dealing with pertinent areas of deliverables as Members of the Committee(s), and will include PD as Member Secretary. The Review Committee(s) will also recommend liquidated damages or penalty,(subject to a maximum of 10 % of the contract value) if the assignment is not carried out as per the contract and if the quality of service is found to be inferior or deficient. (Some of the key deliverables items (e.g. guidelines, manuals, software etc.) from the list of activity specific deliverables will be assessed by the Client for quality and completeness. Consultant will be required to correct the identified deficiencies, and also comply with any other observations/ comments of such assessments. Failure on the part of Consultant to do so may attract Liquidated damages/ penalty, as recommended by the Review Committee(s) and approved by the TC)

8.4 In case of deliverable being a document such as Guidelines, Manuals etc., the Consultant would be required to provide multiple copies (about 100) of hard bound volumes of the final approved material along with its soft copy in CDs (about 100).

8.5 All intellectual and commercial rights on the deliverables such as Software, Guidelines and Manuals developed/ prepared by the Consultant during period of Consultancy shall be vested with CWC and these deliverables shall remain the exclusive property of CWC. CWC shall retain the right to use and modify these Software, Guidelines and Manuals in any manner.

8.6 The document management software proposed by Consultant for the duration of the project shall be handed over to CWC (with all user rights) for its continued use in the post project period as well.


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8.7 During development and implementation of software, if any

add-on software is required to be procured as off-the-shelf-item, the licenses for full or any part of such software shall be in the name of CWC. The envisaged software mostly relate to development platforms (e.g. latest version of VB.Net, SQL servers etc.). However, the firm add-on requirements of software will have to be assessed by the consultant, and procured by the consultant, so as to meet the timelines of deliverable item.

9 Monitoring of Consultancy Services

The Consultant’s work will be monitored by the Technical Committee (referred at Para 4.3) under the chairmanship of Member (D&R), CWC. The TC will review the progress reports submitted by the Consultant as required under Para 8.1. The recommendations of the Review Committee(s) regarding liquidated damages/penalties referred under Para 8.3 will also be brought before the TC for approval. The TC will broadly supervise the overall functioning of the Consultancy so as to ensure that the Consultancy assignment is carried out as per agreed terms of reference and contractual conditions.

10 Approach and Methodology

The technical approach and broad methodology proposed by consultant for meeting the objectives of consultancy is given as Annexure-VI. Consultant’s approach and methodology will be periodically reviewed by CWC with a view of improving the project outcomes. As and when felt necessary by CWC, the consultant will be required to suitably change the approach and methodology of the assignment in an appropriate manner and without affecting the overall cost of the Consultancy assignment.

11 Additional Requirements

Owing to issues related to Conflict of Interest and Eligibility of WAPCOS to meet the Bank guidelines, the Consultant would change this sub-consultant and its staff with at least equal or better staff, and the Consultant would not associate with WAPCOS in any manner. The Consultant would also not involve in any form of association with any other firm which was shortlisted for the issue of RFP of this Consultancy assignment.


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Annexure I

ENVIRONMENT AND SOCIAL MANAGEMENT FRAMEWORK 1.0 INTRODUCTION

In order to ensure environmental and social compliance of the activities envisaged under the DRIP, an Environmental and Social Management Framework (ESMF) has been developed for use as a reference document in the dams under rehabilitation, to take care of the environmental and social concerns. The following main activities were considered while developing the ESMF as detailed below:

Installation of Standby Generator Approach Road Construction Repair / Modification of Spillway Gates Flood Protection Network River Regradation Reservoir Desiltation Cleaning of Foundation Drain & Porous Drain Repair and Cleaning of Irrigation Outlet Increase in Height of Dam but not normal top water level in the reservoir Strengthening of Dam

The sub-project activities of ten representative dams were analyzed along with

inputs from field visits and a standard list of activities was developed which would be generally applicable to all sub-projects under the DRIP. Care was taken to select only those activities which may have potential environmental and social impact. A scoping exercise was then carried out to select the environmental and social components which might get impacted by these activities. This was followed by a screening exercise for each activity to screen out the environmental and social components which are not impacted upon by the specific activity and retain those which do. An environmental and social management framework (ESMF) was then developed indicating the potential activities, the possible environmental and social impacts, the significance in terms of duration, extent, severity, reversibility, etc., possible mitigation measures, and executing, supervising and monitoring responsibilities. 2.0 APPLICATION OF ESMF

The ESMF will be used by the Water Resources Departments and Electricity Boards for sub-projects under the DRIP at the planning, implementation and post implementation phases to identify the environmental and social concerns, as well as the opportunities to be addressed, so that these could be integrated in the relevant project documents. There could be location-specific cases where a sub-project activity in isolation or in combination with other activities, may have substantial environmental and/or social impact. In such an eventuality, full environmental and social assessment may be required. There is a slight possibility that development of a resettlement action plan may also be called for, including relocation of cultural/common properties of the affected population. Similarly, tribal development plan may have to be prepared if a


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substantial section of the affected population are tribals. For any further details on ESMF, Consultant is advised to refer to relevant sections of Project Appraisal Document (PAD) and detailed ESMF of the project. 3.0 CONSULTATION AND COMMUNICATION

Dams are meant for social and economic benefits. At the same time, one has to ensure that environmental and social safeguards are adequately taken care of to avoid or minimize adverse effects. Stakeholders’ consultation plays a vital role in this regard, particularly, consultation with the local people who are not only potential beneficiaries but are also likely to be adversely affected by certain sub-project activities. It is, therefore, necessary to have detailed consultations with the local people which should include vulnerable groups like women, tribals and poor sections of the communities. A transparent, interactive communication and consultation is necessary to adequately address the problem areas and to ensure people’s cooperation. A local level coordination committee may be formed with adequate representation from all sections of the communities as well as the dam officials and the local administration. This may be started at the planning stage and will progress through implementation and post implementation stages with proper recording of all decisions. The periodicity of the consultations may be decided based on the local situation and significance of the activities to be taken up by the dam authorities from environmental and social angle. 4.0 M0NITORING AND EVALUATION

Monitoring and evaluation is primarily required to ensure proper and timely implementation of environmental and social mitigation measures identified in the planning stage, based on the ESMF. Monitoring at regular intervals from screening stage of dams from environmental angle and preparation of Environmental Management Plans of individual sub projects of each dam, during implementation and for a specified period (minimum one year) in the post implementation stages is necessary to identify and implement any change or improvement needed in the execution of the activity or in the mitigation measures. A monitoring and evaluation cell will be created at State level under the supervision of an official familiar with environmental and social issues of the sub-projects. This person will be given suitable training by the Consultant. In specific situations, one may consider appointing external agencies to carry out the monitoring and evaluation activities and report to the supervising official. The indicators to be monitored can be framed from the ESMF, taking into consideration the activities involved. The feedback received from monitoring and evaluation cell will be discussed with the implementing officials and the contractor and corrective actions will be taken, where necessary.

5.0 INSTITUTIONAL STRENGTHENING

For effective use of ESMF to address the environmental and social issues in DRIP, institutional strengthening would be required at following levels:


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Dam Sites Officials: Select officials at Assistant Engineer levels may be trained in the environmental and social assessment related to project activities. This will involve understanding of baseline environmental and social conditions, analysis and assessment of project impacts on environmental and social components; segregating of significant impacts; identifying mitigation and enhancement measures and development of an environmental and social management plan. Dam Authority at State Level : Suitable person or persons may be identified at a comparatively senior level who may be exposed to an awareness training programme for understanding and appreciation of the relevance and importance of environmental and social issues in general, and specific to the dam related activities. The objective would be to develop an understanding of sustainable development and the consequences of non-sustainable development. They will also be exposed to the objectives and application of ESMF to enable them to supervise the ESMF activities at the dam’s level effectively. Dam Authority at Central Level: Suitable senior level official may be identified to look after the ESMF application and implementation at dams in various states. The State level authority in each state would periodically send reports on the ESMF implementations to the official concerned for his review and instructions, where needed. The senior officials would also be given exposures to environmental and social issues of projects, similar to those given to the officials at the state level. 6.0 CONSULTANTS TASKS

The consultant will assist the CPMU and SPMUs with, but not limited to, the following tasks related to environmental and social monitoring:

Provide formal and on-the-job training to project staff at district, state, and central level to ensure that there is full awareness about the implementation of the ESMF;

Provide guidance and support to prepare formats of screening by collating data at the investigation stage to determine the environmental and social impacts, if any, including whether stand-alone Environmental Assessments (EA) and Environmental Management Plans (EMP) are needed based on the outline provided in the ESMF;

Based on the above, set up and monitor a reporting system that will show in a clear and transparent way whether there are any social and environmental issues related to the rehabilitation of the dams and the related mitigation actions and ensure that status report and compliance be displayed on web site of each state/ agency involved in the project;

Provide guidance and support to the implementation of adequate monitoring of social and environmental parameters;

As part of the construction supervision efforts, ensure that actions agreed to minimize environmental impact are being implemented; and

As needed, assist with the updating of the Environmental and Social Management Framework after the first year of project implementation, or at such later time as required.


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Annexure II DAM HEALTH AND REHABILITATION MONITORING APPLICATION

1.0 INTRODUCTION

With the establishment of ‘Dam Safety Organization’ (DSO) at central level and in different states, an immense amount of data is being generated and passed on to various state and central bodies. This volume of data is expected to increasemanyfold with the taking-up of rehabilitation works of old dams. In view of the importance of dam safety, there is an urgent need to collect and present the Dam’s Health and Rehabilitation related data in an organized manner, and with standard format and nomenclature. With this objective, Central Dam Safety Organisation, CWC has presently taken up the task of developing a ‘Dam Health and Rehabilitation Monitoring Application’, nicknamed ‘DHARMA’. Besides facilitating generation and long-term storage of voluminous data by numerous DSOs, the proposed DHARMA software will enable a systematic presentation and interpretation of data for effective monitoring of the health of dams by the concerned central and state organizations. The software will also help the decision making processes for effecting rehabilitation measures as and when needed. 2.0 KEY FEATURES

Some of the key features of the DHARMA development work in hand are:

The DSO concerned with a particular dam will be considered as the primary source of pertinent data in DHARMA. For this purpose, the software application - adequately configured for each DSO - will be supplied by CWC along with preliminary data already available in ‘National Register of Large Dams’. All other data will be generated by concerned DSO only, and no data will be keyed twice.

All dams will be given a unique ‘Project Identification Code’ (PIC). The ten digit identification alpha-numeric code (XX11XX1111) will carry tags of: state in which dam is situated (first set of two-digit alpha code), concerned DSO (first set of two-digit numeric code), category (second set of two-digit alpha code for High Height [HH], Medium Height [MH] and Low Height [LH] dams), and the serial number (second set of four-digit numeric code).

The application in general will be divided into seven modules. (1) The ‘Basic Feature’ module will contain such fundamental data as appearing in the ‘National Register of Large Dams’, besides providing tools for generating PIC in case of new dams; (2) The ‘Project Portfolio’ module will allow identification of all lateral/layered project components and also allow creation of component level photo album; (3) The ‘Engineering Feature’ module will allow entering of such information as: salient features, design, hydrology, geology, construction history, operation plan, instrumentation, maintenance schedule, earlier studies, safety related events, known deficiencies, etc.; (4) The ‘Stakeholders’ module will record pertinent information about organizations/ agencies responsible as/for owners, operations, beneficiaries, contractors, emergency action etc, besides enlisting the impact of possible dam failure, parties effected, and the emergency action plan; (5) The ‘Dam Health’ module will record the periodical observations of health inspection teams in a standard format; (6) The ‘Dam Rehabilitation’ module will catalogue such information on


66

periodical repairs as: type of work, technique involved, cost of work, agencies involved, extent of mitigation, etc.; (7) The ‘Analysis and Report’ module will provide varied tools for capturing time-series data of pertinent parameters for the purpose of analysis and report preparation.

The proposed software will allow multiple-level data processing (data entry, data editing, and data deletion) with adequate password protections. Most of the data will be captured through combo box provisions, thereby enabling standardization of data and limiting the scope of typographical work. The standardization will be made an evolving process with the help of ‘masters’ which will be periodically updated by DSO-CWC; and the updated master-table will be passed on to all DSOs. For flexibility of use, copying/ saving of data in multiple files will be permitted. Appropriate tool will also be provided for assimilation of data files received from various sources for creation of a holistic national level database by CWC.

To the extent digitized data is available in CWC, the basic and engineering data of all large dams will be captured before passing the customized applications to concerned DSOs. The missing basic/ engineering/ stakeholder data in case of large dams (and full historical data in case of other dams) will be captured by concerned DSOs. The health and rehabilitation related data will be captured by concerned DSOs on periodical basis, and such updated data file will be mailed to DSO-CWC on periodical basis for further assimilation.

3.0 DHARMA IMPLEMENTATION GROUP

Development of DHARMA is guided by a “DHARMA Implementation Group (DIG)‘which has been created for facilitating wider consultation and assimilation of practical conditions pertinent to the development and implementation of DHARMA. 4.0 STATUS OF DHARMA DEVELOPMENT

The DHARMA application is presently being developed with CWC’s in-house expertise. In view of a distributed data collection from remote stations, the ‘MS Access’ has been chosen for the backend database; and for the front end programming, ‘VB.NET’ has been used with a view of smooth transition to Web-based application in future. The first two modules (i.e. ‘Basic Features’ and ‘Project Portfolio’) have been completed and with this the overall layout and programme architecture have also been firmed up. (Some of the functional forms of DHARMA are shown in Plate I and II) 5.0 IMPLEMENTATION STRATEGY

Development of DHARMA software will be an evolutionary process and will be carried out with wider consultation with all DSOs. The module-wise development is proposed to be carried out in a phased manner; and even on completion of all modules, the software will be subjected to continuous process of up-gradation. Since capturing of vast historical data will be a fairly time-consuming exercise, it is proposed to be carried out pari-passu with the software development. Hence, release of early versions of software will be effected with the module-wise development and with appropriate precautions for data compatibility requirements.


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Plate I

Login Page of DHARMA

The ‘Module Tab’ with start-up Form

Form of Customization


68

Plate II

The ‘General Information’ Tab under Basic Features Module

The ‘Benefits’ Tab under Basic Features Module

Project Portfolio Module

IV. Appendices Appendix A – Description of Services .

69

Annexure – III TYPE OF EXPERTISE REQUIRED

S.No. Activity Description Expertise Required 1. Project management

1.1. Project planning & programming Water Resources Engineering and Management Expertise

1.2. Procurement Management Procurement Expertise 1.3. Financial management Financial Management Expertise

1.4. Project Monitoring Water Resources Engineering and

Management Expertise

1.5. Document Management and Dissemination System

IT Expertise

2. Design Flood Review 2.1. Vetting of Design Flood Analysis Hydrologists

2.2. Review of options to cater for the increased design flood

Hydrology, Hydro mechanical and Dam Operation Expertise

3. Design Review 3.1. Seismic Design Review Earthquake Design Expertise 3.2. Structural Safety Review Dam Design Expertise

3.3. Hydro-mechanical equipment Review Hydro-mechanical Expertise

3.4. Dam Instrumentation Review Dam Instrumentation Expertise 3.5. Overall Dam Rehabilitation Design Review Dam Design and Construction Expertise 3.6. Desiltation of Reservoirs Desiltation and Environmental Expertise

4. Third Party Supervision 4.1. Periodical Site Inspection Construction Management Expertise 4.2. Assessing Supervision System Construction Management Expertise 4.3. Assessing Quality Control System Quality Control Expertise 4.4. Assessing ESMF Compliances Environment & Social Expertise

5. Dam Safety Institutional Strengthening 5.1. Capacity Building for DRIP Implementation Institutional Development Expertise

5.2. Revision of existing guidelines Dam Safety and Dam Design Expertise

5.3. Formulation of new guidelines for dam safety Dam Safety and Dam Design Expertise

5.4. Development of Dam Design Review Manual Dam Design Expertise

5.5. Development of implementation of DHARMA Technical/Managerial Expertise in various dam safety aspects, Data Base and Software development expertise

5.6. Identification of Dam Analysis and Design Software Requirements

Dam Safety and Dam Design Expertise

5.7. ISO 9001 certification for CDSO ISO advisor

5.8. Dam Safety Trainings, study tours and conferences

Dam Safety and Training Expertise

5.9. National Website for Dam safety Information Dam Safety and Web Development expertise

5.10. Development of in-house expertise of select educational institutes

Dam Safety Expertise and Institutional Development Expertise

N° Name of Staff Q1

FOREIGN STAFF 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60

1 Brian SUTCLIFFE Team Leader Int 2 2 2 2 1 2 2 2 2 2 2 2 2 2 2 1 2 2 2 2 2 2 2 2 2 2 2 1 2 2 2 2 2 2 2 2 2 2 2 1 2 2 2 2 2 2 2 2 2 2 2 1 2 2 2 2 2 2 2 2 60

2 FRASER William Robert Procurement Specialist Int 1 1 0 0 1 1 1 0 0 0 1 1 1 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 12

3 Michel ALBIENTZ Financial Management Specialist Int 1 1 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 12

4 Swaran Singh Jaggi Software Development / MIS Specialist Int 2 2 2 2 0 0 0 0 0 3 3 1 1 0 0 2 2 0 0 0 0 2 2 0 0 0 0 2 2 0 0 0 0 2 2 0 0 0 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 1 0 0 0 18

5 Edward Eugene Flint Dam Safety specialist Int 7 7 7 7 7 7 7 7 7 7 0 0 0 0 6 7 6 6 6 6 6 7 7 7 7 7 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 24

6 Farhat JAVED Dam Instrumentation Specialist Int 0 1 1 1 1 1 1 1 1 1 1 1 1 0 0 1 1 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 18

7 Roman WOJTASIK Construction Management & Quality Control Expert Int 4 4 4 4 4 4 4 4 4 4 4 4 3 3 4 3 3 3 3 3 3 2 2 2 2 2 2 4 2 2 2 2 2 2 2 2 2 2 2 4 2 2 2 2 2 2 2 2 2 2 2 4 2 2 2 2 3 2 2 2 60

8 Zika SMILJKOVIC Dam Design engineer Int 3 3 3 3 3 3 0 3 3 3 3 3 3 3 3 3 3 3 0 3 3 3 3 3 3 3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 24

9 Derek RATCLIFF Environnemental specialist Int 0 0 0 0 0 2 2 0 0 0 0 0 0 0 0 0 0 0 0 2 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6

10 Roger Havery McINTYRE Social specialist Int 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6

11 Antonio Porcheddu Dam Break Analysis & Emergency Action Plan Specialist Int 0 0 1 1 1 1 1 0 0 0 0 0 1 1 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 12

12 Manmohan RUPRAI Institutional Strengthening Specialist Int 0 0 0 0 1 1 1 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 2 0 0 0 0 0 0 0 2 0 0 0 0 0 0 2 0 0 0 0 1 0 0 0 0 1 0 0 0 12

13 Alasdair MacDONALD Hydrologist Int 2 2 2 2 2 2 2 0 2 2 2 2 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 12

14 Alfio BERNARDO Miscellaneous Expert (Seismic Design Expert) Int 0 1 1 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 4

15 Dominique CHODKIEWIEZ Miscellaneous Expert (Hydro-Mecha Expert) Int 0 0 1 1 1 0 0 0 1 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 12

16 Sanjay Giri Miscellaneous Expert (Desiltation Expert) Int 0 0 0 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 4

17 Mrs Anne TESSIER Miscellaneous Expert (ISO Expert) Int 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 40 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 300

LOCAL STAFF1 K. R. Subramanian Deputy Team Leader Nat ## 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 1 2 2 2 2 2 2 2 2 2 2 2 1 2 2 2 2 2 2 2 2 2 60

2 R K Visvanath Procurement specialist Nat ## 0 0 0 0 1 1 1 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 24

3 Mihir Kumar Sahu Financial Management Specialist Nat ## 1 1 1 1 0 0 0 1 1 0 0 0 1 0 0 1 0 1 0 0 1 0 1 0 0 1 0 1 0 0 1 0 1 0 0 1 0 1 0 0 1 0 0 0 1 0 1 0 0 1 0 0 1 0 0 1 1 0 0 0 24

4 G. Venkat Ravi Kumar Software Development / MIS Specialist Nat ## 2 2 2 2 2 2 2 0 2 3 3 3 2 2 2 0 2 2 2 2 2 2 2 2 0 2 2 2 2 2 2 2 2 0 2 2 2 2 2 2 2 2 0 2 2 2 2 2 2 2 0 2 2 2 2 2 2 1 1 1 54

5 Mithilesh Kumar Dam Safety specialist Nat ## 1 1 1 0 1 1 1 1 1 1 1 0 1 6 6 6 6 6 6 6 6 6 6 6 6 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 24

6 Dr. A K Dhawan Dam Instrumentation Specialist Nat ## 2 2 2 2 2 2 0 2 2 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 0 0 0 0 0 1 0 0 0 48

7 Mahesh Kumar Dodballapur VENKAPANDITConstruction Management & Quality Control Expert -Kerala Nat ## 4 4 4 0 4 4 4 4 4 4 4 4 3 0 3 3 3 3 3 3 3 2 2 2 2 2 0 2 2 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 3 2 2 2 15

8 P. Chidambaram Construction Management & Quality Control Expert - TN Nat 4 4 4 0 4 4 4 4 4 4 4 4 3 0 3 3 3 3 3 3 3 2 2 2 2 2 0 2 2 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 3 2 2 2 15

9 H K Garg Construction Management & Quality Control Expert -MP Nat 4 4 4 0 4 4 4 4 4 4 4 4 3 0 3 3 3 3 3 3 3 2 2 2 2 2 0 2 2 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 3 2 2 2 15

10 N K Mohapatra Construction Management & Quality Control Expert -Orissa Nat 4 4 4 0 4 4 4 4 4 4 4 4 3 0 3 3 3 3 3 3 3 2 2 2 2 2 0 2 2 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 3 2 2 2 15

11 Pramod Bhalchandra Deolalikar Dam Design engineer Nat ## 2 2 2 2 2 0 2 2 2 2 2 2 2 2 2 2 2 0 2 2 2 2 4 4 4 4 3 3 0 3 3 3 3 3 3 3 3 3 3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 36

12 To Be Named Environnemental specialist Nat ## 0 0 0 0 0 2 2 2 0 0 2 2 0 0 0 2 2 0 0 2 2 2 0 0 0 2 2 0 0 0 2 2 0 0 0 2 2 0 0 2 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 18

13 Dr. Sudesh Kaul Social specialist Nat ## 0 0 0 1 1 1 1 1 0 0 1 0 0 0 0 1 0 0 0 1 1 0 0 0 0 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 12

14 To Be Named Dam Break Analysis & Emergency Action Plan Specialist Nat ## 1 1 1 1 0 1 1 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 36

15 S K Agarwal Institutional Strengthening Specialist Nat ## 1 1 1 1 1 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 1 1 0 0 0 0 0 0 48

16 to be named Hydrologist Nat ## 2 2 2 2 0 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 0 2 2 2 2 0 2 2 2 2 2 2 2 2 2 0 2 2 2 2 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 36

17 Ravindra Anant OAK Miscellaneous Experts (Desiltation Expert) Nat ## 0 1 0 0 0 0 1 1 0 0 0 1 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6

18 To Be Named Miscellaneous Expert (Hydro-Mecha Expert, ISO, others) Nat ## 0 0 0 1 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 0 0 0 0 0 42528

Support Staff1 To Be Named

Design Engineers (2 Nos.), Office Manager, AutoCAD Draftman, GIS Specialist, Software Developer, at CPMU 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2

2 To Be Named 1 Site Engineer and 1 Computer Operator at each state sub unit2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2

## 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

INT : International NAT:National 1 1 Long Term / Permanent 2 2 Short term Note : Evaluated Experts

4th yearQ1 Q2 Q3 Q4

1st year 2nd year 3rd yearQ4 Q1 Q2 Q3 Q4

Deployment schedule for the Main Staff

Q1 Total Man months

Q2 Q3 Q4 Q1 Q2 Q36th year5th year

Q4Q1Q2 Q3

IV. Appendices .

71

Schematic diagram of the Work flow arrangement for the consultancy

CENTRAL WATER COMMISSION

D&R Wing

DSO

DSR Dte.

Consulting Firm

Project management

Planning & programming

Examination of proj. template and review of rehabilitation

proposal

Dam inspection & ensuring of

completeness of proposal

Examination of ESMF screening

Project prioritization &

scheduling

Trouble shooting for SPMUs

Asset management

Procurment managment

Examination of procurement

plans

Examination of rehabilitation

proposals in work package

Recommendation for prior review

by Bank

Prior review by CPMU

Financial managment

Examination of annual budget

plans

Processing for disbursement of

funds by Bank

Review of internal control system

Compilation of project audit

reports

Resolution of audit

observations

Project monitoring

Physical & finanncial progress

Monitoring and Evaluation

ESMF compliances

Quarterly and annual reports

Web based MIS

Document management & dissemination

Ensuring standards for

accuracy & presentation

Updating FAQ file

Guidance for managing

disclosure system

Design flood review

Design flood analysis

Options to cater for increased design flood

Review of free board &

additional spillway

Other options for safe reservoir

operation

Updated reservoir operation manual

Real-time data automation

system

Dam-break analysis &

emergency action plan

Design review

Seismic design review

Structural safety review

Hydro-mechanical equipment review

Dam instrumentaion

review

Rehabilitation design review

de-siltation of reservoirs

FE&SA Dte. Instrument. Dte.

HSO

Hyd(South) Dte.

Hyd (DSR) Dte.

Design NW&S

CMDD Embank. Dte. Gates Dte.

WP&P Wing

BPMO

Res. Oper. Dte.

EMO

WSRS Dte.

Legend:

Organizational Units

Typical functions under consultancy

Central Project Management Unit Work Flow

Assimilation of experience and tState Project Management Units

Appendix A – Description of Services

Annexure – V

Design review

mechanical

Third-party supervision

Periodical site inspections

Assessing supervision

system

Assessing quality control system

Assessing ESMF compliances

Dam safety institutional strengthning

Capacity building for DRIP

implementation

Revision of existing guidelines

Formulation of new guidelines

Development of dam design

review manual

Development & implementation

of DHARMA

Dam analysis & design software requirements

ISO 9001 certification of

DSO-CWC

Dam safety trainings, study

tours & conferences

National website for dam safety

information

WSRS Dte.

RM Wing

FMO

FFM Dte. FCA Dte.

Assimilation of experience and transfer of technology

Kerala

Kerala

TN SEB

TN WRD

Orissa

MP WRD


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Annexure - VI

Approach and Methodology proposed by Consultant 1.0 Introduction As per project implementation plan, the project will be implemented through CPMU at Central level and SPMUs at state level. The CPMU and SPMUs will be assisted by Engineering and Management (E&M) Consulting Firm for technical and managerial support. As Engineering and Management Consulting Firm, Egis shall provide support services on the following

Project management: Project planning and programming, procurement & financial management, project Monitoring, document management information dissemination system.

Technical Supports: o Design Reviews: Design flood review, design review including seismic

design, structural safety, hydro-mechanical parts, Dam instrumentation, overall dam rehabilitation, de-silting of reservoirs

o Third Party Supervision: Periodic site inspection, supervision system, quality control system, ESMF compliances

o Dam Safety Institutional Strengthening: Capacity building, revision of existing CWC’s guidelines, formulation of new guidelines, dam design review manual, development and implementation of application software DHARMA, data analysis and design software requirements, ISO certification of DSO-CWC. Dam safety trainings, study tours, exposure visits, conferences etc., website on dam safety information, development of dam safety expertise of academic and research institutions.

2.0 Project Management Egis shall provide technical and managerial support to the CPMU, SPMUs and SDSOs and other implementing partners e.g. State Electricity Boards (SEBs) and Water Resource Departments (WRDs) etc. On project management aspect, the focus of the Egis will be:

Project activities are implemented timely in a well-coordinated manner Documents and data are well maintained, organized and standardized. The information and data transfer is systematic, effective, clear and timely All technical and administrative/managerial support activities well organized and

response time is minimum Project planning, programming, procurement & financial management and project

monitoring are participatory, precise and effective.


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Egis will use project management tools to track all the major activities during the project, for which the Critical Path Method (CPM) will be used and CPM chart will be regularly updated and revised, as required. Presentation will be computerized in order to facilitate the frequent updating and revision. The critical path of each dam rehabilitation project will be determined and revision of the program will be updated as often as required. This tool gets clear information about tasks that should have priority. The Critical Path on the controlling operations will be given particular attention. From consultant’s experience, it has been noticed that most of time-related claims are linked to these activities. 2.1 Project planning & programming Egis will study the requirements at CPMU and SPMUs level to assess the priorities and accordingly the activities will be planned. The standard template form providing basic parameters /salient features of a dam, detailed information on technical, environmental, social and other implementation aspects will be studied, reviewed and improved (if necessary). Dam wise salient information will be extracted and web based MIS or project management software will be used to reflect the information, organize/implement and monitor different activities mentioned in a dam rehabilitation proposal. Egis shall carry out the following activities in reference to the dam rehabilitation proposals:

Examination of project template and review of rehabilitation proposal. Preliminary dam site inspection for ensuring completeness of State proposal, and

verification of additional investigation and rehabilitation requirements; Examination of ESMF screening carried out by SPMUs for segregation of dams into

low, medium, and high categories in terms of their potential social and environmental impacts;

Project prioritization and scheduling for rehabilitation based on project template, site inspection and ESMF screening;

Technical, managerial and trouble-shooting support to the SPMUs and the implementing agencies;

Guiding preparation of asset management plans so that a better justification can be made to government for adequate O&M budget and development of the asset management systems to minimize future risks of dam failures.

For complicated projects supporting SPMUs for detailed site inspection, detailed technical report and site specific Environmental Assessment (EA) and Environmental Management Plan (EMP).

The web based MIS shall reflect the progress of the different evaluation/ review activities by Egis and implementation activities at SPMUs and implementing partners. As a part of the planning & programming system, Egis will prepare a critical path diagram (as mentioned earlier), following the CPMU & SPMU’s inputs and the analysis of the main tasks of each activity. The planning and programming process will be detailed in the inception report.


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2.2 Procurement Management On behalf of Egis, procurement specialists with national and international experience have very good exposure and background of the World Bank’s procurement procedures for procurement of civil works, goods, consultancy services, contractual hiring etc. Egis specialists will support, guide and coordinate with CPMU, SPMUs for procurement needs and carry out the activities listed in the terms of reference listed below:

Egis’ procurement specialist will review the procurement plans submitted by SPMUs. However, the Egis experts will guide and facilitate the SPMUs’ staff in preparation of procurement plans if needed. Finally it will be reviewed for any deficiencies in planning or procedures, the modification will be suggested to finalize the procurement plans.

Dam wise rehabilitation proposals in work package will be checked for proper documentation, bidding process, bid evaluations, contract award and commercial aspects

For rehabilitation proposals of financial value greater than INR 25 crores, Egis will check for Quality and make its recommendations on the proposals submitted by SPMUs for prior review by World Bank as per Bank’s thresholds (of Rs 25 crores) for prior review;

Prior review of the proposals (Rs 5 crores to 25 crores) submitted by SPMUs as per thresholds for the review by CPMU.

Egis experts will help to identify various methods of procurements applied for procuring different plans, e.g. Procurements of civil works through NCB or in some cases ICB (as per threshold

fixed) Procurements of goods though ICB, NCB and shopping (as per threshold fixed) Consultancy hiring through Quality and Cost-Based Selection (QCBS), Quality-based

Selection (QBS), Fixed Budget Selection (FBS), Least Cost Selection (LSC), Selection Based on Consultants Qualifications (CQS), and Single Source Selection (SSS) and Wherever appropriate, Individual Consultants (IC) etc.

Egis shall be very particular about the uniformity, consistency in the procurement procedures, work specifications, and procure related documents of all implementing agencies. This will help in following and implementing well standardized and systematic procurement plans. Egis will develop, implement and maintain the web based MIS and will be used to track the procurement plans and implementations. For procurement procedures, Egis will actively coordinate for the training needs as per the requirements. The Procurement Experts will be helped by Hydro-Mechanical Expert, Civil Expert and Electro-mechanical Expert to handle the procurement part for major equipment.


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2.3 Financial Management

Egis will assist the administration of the project, especially regarding financial issues, and will establish the lines of responsibility with a view to optimize its efficiency. Egis will deploy the experts having national and international exposures for financial management. The existing system for fund flows, accounting and internal control in CWC and WRD will be followed as the arrangements are quite exhaustive and adequate to comply with the fiduciary requirements of the Bank. The Egis expert at CPMU and SPMU will contribute to the coordinating role in financial management of the project. At CPMU level, the financial experts will assist in periodic reviews of internal control system, whereas at SPMU level, the Egis financial expert will carry out the following activities as mentioned in the ToR for the E&M Consultancy as listed below:

Egis will review annual budget plans prepared and submitted by SPMUs. Egis will also provide its guidance and assistance in preparation of annual budget plans wherever required. Modifications will be suggested as per the financial management procedures to get it finalized.

The disbursement of funds will be based on quarterly Interim Unaudited Financial Reports (IUFR) in formats agreed with the Bank. Based on satisfactory IUFRs with

Regard to the previous releases, funds will be released on quarterly basis. For smooth flow of the funds, Egis Experts will follow-up, consolidation and submission of quarterly Interim Unaudited Financial Reports (IUFR) for disbursement of the credit/loan funds by the World Bank; efficient funds flow will pay a critical role in smooth implementation of the project

The financial experts will also assist periodic review of internal control system to verify whether internal controls as laid down in various rules and codes are operating effectively and whether timely corrective measures are being undertaken to address departures or non-compliances;

Tacking and follow-ups for compilation of the project audit reports of all implementing agencies (SPMUs, SDSOs, WRDs and SEBs) for submission to the World Bank within six months from the end of each financial year;

Follow-up for timely resolution of audit observations. Financial management experts and IT/MIS specialist of Egis will help to customize

the web-based financial reporting software (already in use to capture monthly component-wise expenditure, amount claimed, and scheme-wise contract details etc.) to facilitate the periodic reporting at CPMU and the Bank. The software will also provide the consolidated data on above parameters for all the implementing agencies

Overall, Financial Experts of Egis will contribute to smooth running of financial management system at different levels (CPMU, SPMUs and other IAs) which is a key to timely execution of physical activities by the implementing agencies.


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2.4 Project Monitoring

The project monitoring mechanism needed to review the progress of various activities under different project component and sub-components will be developed and implemented. The mechanism will focus the state wise consolidated figures of progress on different activities different components. For these monitoring needs the web based MIS (as stated earlier) will be used to track activity wise physical and financial progress of the project in different implementing states. Dam wise baseline information will be compiled to record the present conditions. The baseline information will be based on the data/information available in the project template and the preliminary inspection conducted for the purpose. The secondary information/reports may also be consulted to add to the above baseline information. The monitoring activities will include the following aspects at SPMU level:

Egis will collect and compile of physical and financial progresses; Egis team will undertake Monitoring and Evaluation (M&E) studies to capture the

following Measure input, output and outcome indicators Regular updating of information on progress towards achieving desired results To provide reporting to the State and Central governments and the Bank, Generating alerts for management , at SDSOs, SPMU, CPMU and the World Bank

regarding the current targets and potential problems/ hurdles in implementation so that timely remedial action can be initiated

Devise a methodology or process to communicate and reflect the progress through web based MIS or similar application. This will help to communicate the problems and the improvements between CPMU and SPMU

For all the dams, the Environment & Social Management Framework (ESMF) is required to be followed. The progress on compliances/mitigation measures will be captured through web based MIS for the social and environmental issues being addressed. These issues may be generated wherever; rehabilitation works involve change in the submergence area, new construction on safety aspects etc.

Progress Reports: The monitoring and evaluation mechanism as mentioned above will be helpful in generating information on almost real time basis. To review the progress on quarterly and annual basis Egis will compile the physical and financial progress of different activities under all three major DRIP components. The following will be covered under quarterly and annual reports:

Physical and financial progress under dam rehabilitation works Physical and financial progress under institutional strengthening activities. Progress on administrative, financial and procurement activities at SPMUs and

CPMU


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Quarterly Interim Unaudited Financial Reports (IUFRs) The updated summery on physical and financial performance indicators. Special studies/ success stories/ lessons learnt Problem areas and suggestions for improvements to keep track to the targets Strategies and actions to be taken to resolve the issues and accentuate targeted

progress. In a calendar year Egis will compile the progress in three quarterly reports and one annual report as per the financial year or calendar year (as required). The annual report shall cover progress in fourth quarter, information of the progress during the past year and an approved annual work plan and budget for the next year. Performance Indicators: Based on the project activities under three components, Egis will identify and finalize the performance/ progress indicators in consultation with CPMU. These indicators along with the performance evaluation criteria will be documented in the inception report of Egis. 2.5 Document Management and Dissemination The DRIP is being implemented in four states with active involvement of different bodies CPMU, SPMUs, SEBs, WRDs and CDSO and SDSOs. The information and data sharing will be huge task among the bodies. The documents generated and stored at different places need to be categorized and standardized for maintaining and sharing. The huge volume of data and documents need to be handled and shared with accuracy and in an organized manner for effective communication among the bodies and the individuals working for the project. Therefore, need is felt to have an effective document management, information and data dissemination system. Egis will study the existing information sharing and data and document control mechanism in place vis-à-vis the requirement of the project (i. e. likely information flow, data requirements at different levels). Egis will use its own experience and software in devising and implementing the system. The efforts will be made to standardize the documents presentation, maintain quality in management and dissemination process. Egis shall prepare the FAQs and most likely queries in advance well categorized component and task wise. The queries raised from in by the SPMUs or other implementation units will be documented and categorized time to time so that the similar queries are put at a common place on website or even communication through other means also should not be time taking. A Help file will also be developed and provided to use the system effectively. The MIS personal and other team members will contribute to make the system a success and play their proactive role.


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Egis will also help in compiling the various required document at CPMU and SPMU levels. Egis shall be proactive in managing the already created and self-created documents and its dissemination as per the requirements. Egis shall compile the “Project Rehabilitation Report” which will include the following:

Project Template; Site Inspection Reports; Design Flood Review Report; Detailed Computations of Design Review; Rehabilitation Design, Scope of Work Packages and Details of Awarded Contracts; Trouble Shooting (if any) and Records of Discussion thereof; Site-specific Environmental Assessment and Environmental Management plan (if

any); Relevant Photographs; and Project Completion Report.

EGIS has developed relevant software for document management, which are readily available and regularly maintained, optimized and updated. SIOUX & COMANCHE are intuitive databases providing greater speed, accuracy and security for the filing, tracking and archiving of documents, drawings and correspondence for an infrastructure site. These software work with a narrowband internet connection Egis Software Uses SIOUX This home-built software is for document management design

drawings, as-built drawings, procedures, test campaign, inspection sheets … It meets the challenge of speedy, real-time sharing of data on site and/or between site and project office by integrating and controlling each stage in the processing of project drawings and documentation. This system stands apart from usual collaborative platforms, which require a permanent broad-band link.

COMANCHE The home-built software is for correspondence management. EGIS has also expertise in the use of software packages developed by other institutions (such as MS project or Primavera). This Document Tool will have the capability to register documents in sets according to work packages, discipline group, purchase order or contract. Full revision and issue histories are recorded. It is also used to control document reviews within Egis Assistance Team and the client for review and approval of corresponding key documents during Feasibility and Execution phases. Egis will finalise a list of document in consultation CPMU and SPMUs which will be treated as controlled documents and be subject to document control procedures:


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2.6 Risk and Opportunity Management Egis team will work with CWC, and key stakeholders to capture risks and opportunities in the risk register. Mitigation strategies would be established for risks, and opportunities would be implemented if value is added to the project. Risks analysis will be performed and corresponding mitigation plans followed up at project level. Egis is also pleased to propose a Fidic Manager specialized in risk assessment, with extensive mega-project risk management experience. 2.7 Project Procedures Manual (PPM) The PPM will describe specific arrangements that have to be implemented by both of the Engineers that provide design and Contractor in order to achieve the quality standards and performances of the construction as by the contract. Egis will prepare a PPM that will clearly indicate the arrangements under the following points:

General organization of the site (task assignment, staff resources, organisation of the internal control),

Qualification of the personnel involved in the design & construction process, Detailed procedures for the review of the construction contractor Quality Control

(QC) as anticipated at the commencement of the works (check lists and control manuals)

Proposed measures to avoid or alleviate delays in the implementation Test and control procedures: Take over, test on completion, performance guarantee, Preparation of standard documents (task sheets, progress report) to fill in throughout

the implementation. Special attention will be paid to the identification, of each assignment, of the items requiring internal and/or external control: i.e., expressed in the ISO standardised terminology. 3.0 Design Flood Review 3.1 Vetting of Design Flood analysis Design Flood review and analysis is one of the most important activities envisaged under the DRIP for taking up rehabilitation and improvement works on a dam as the under-estimation of design flood may risk the safety of the dam structure as well as the population and other resources in the downstream of the dam. As per the Manual on Estimation of Design Flood (CWC, 2001) as well as BIS: 11223-1985, “Guidelines for Fixing Spillway Capacity”, the following criteria applies to determine the design flood of a spillway for a particular category of dam:


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Classification Gross Storage ( x106 m3)

Hydraulic Head (m)

Design Flood To Be Adopted

Small 0.5 - 10 7.5 –12 100 year return period Intermediate 10 - 60 12 –30 SPF Large > 60 > 30 PMF

The design flood study for a project is usually carried out using following two approaches.

Hydro-meteorological approach. Probabilistic approach (i.e. flood frequency analysis)

The Hydro-meteorological approach is the most rational method for flood estimation and generally recommended. The short term rainfall-runoff records at project site as well as of upper catchment along with physiographic characteristics are required for the study. This approach has been widely used for the estimation of design flood for the medium and large project. The design flood study by this approach take in to account all the vital physiographic as well as hydro-meteorological parameters of the project basin. The main advantage of this approach as compared to Probabilistic approach is that it gives a complete flood hydrograph which allows making a realistic determination of its moderating effect while passing through a reservoir or a river reach. The hydro-meteorological approach needs two basic inputs i.e. unit hydrograph and the design storm to arrive at the required flood. The unit hydrograph is the discharge hydrograph resulting from the 1 cm excess rainfall experienced uniformly over the basin at a uniform rate during a specific period of time. The unit hydrograph may be computed from the project specific observed hydrograph for few higher flood events. In absence of the essentially required hydro-meteorological data, a synthetic unit hydrograph (SUG) is developed using catchment physiographic characteristics. The Probabilistic approach is the most common procedure for the analysis of annual flood peak data of sufficiently longer duration at a gauged location. This approach can be applied to any type of hydro-meteorological data also, but it is widely used with flood data. Therefore, it is sometimes designated as flood frequency analysis. Wherever, long term annual series is not available at any site in or near the project catchment, the same would not be applied. It is understood that Hydrological Study Organisation, CWC have already undertaken the review of the Design Flood of 38 Dams in phase I of DRIP Implementation. Egis will play a proactive role in finalization of revised design flood of balance DRIP Dams and provide all the required services to the client in this respect. The broad methodology for review of design flood, Egis will follow outlined as given below:

Design Flood review is to be carried out based on Guidelines / Practices being followed by Central Water Commission as well as BIS: 11223-1985, “Guidelines for Fixing Spillway Capacity”.


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Design Flood studies to be carried out both by hydro-meteorological approach as well as probabilistic approach.

In hydro-meteorological approach, the physiographic parameters of the relevant catchment like catchment area, its centroid, equivalent slopes etc. would be verified by using topo sheets, GIS and image processing tools, / geographic data base available on the internet etc.

For deriving catchment specific Unit Hydrograph, the actual site specific observed short interval rainfall-runoff events would be analysed and the observed data will be subjected to necessary consistency and validation checks.

In the absence of the actual site specific observed short interval rainfall-runoff events, the synthetic Unit Hydrograph (UG) would be derived for the relevant catchment by various approaches like Flood Estimation Reports of CWC, Clark Model, Nash Model, other nationally and internationally available tools/ design aids etc. The most appropriate UG would be adopted for the convolution.

The relevant rainfall storm (PMP/ SPS/ 100 Yr Return Period Storm) for various durations like 1 day, 2 days and 3 days would be analyzed based on the IMD studies/ PMP Atlases/ other data available and the most appropriate value would be recommended for convolution. If considered necessary, storm analysis will be carried out.

While convoluting a storm value on the selected Unit Hydrograph, the bell system followed by CWC would be kept in view.

While applying probabilistic approach on observed flood peaks (converted to instantaneous peaks), various distributions like Normal, 2-Parameter Log Normal, Log Pearson Type-III, Gumbles etc. distributions would be applied and subjected to best fit distribution test for selecting the most appropriate distribution.

The most appropriate value of design flood would be recommended based on the above analysis.

Wherever required, sedimentation of live storage aspect would also be looked in to detail while finalizing design flood.

In case of selected important dams, newer technique of design flood estimation followed elsewhere in the world would be worked out and finalized in consultation with the HSO, CWC.

Though, the design flood studies would be carried out by the respective state governments, Egis will provide all necessary guidance in preparation of design flood studies for various dams. Various training programmes in project hydrology (basic as well as advanced), GIS tools, hydrological aids etc. would be conducted by the consultants. One international programme is also proposed on the advance hydrology.


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3.2 Review of options to cater for the increased design floods Under the dam rehabilitation measures, hydrological assessments and changed design flood create a need for reviewing for the safe disposal capacities of existing surplusing arrangements. The existing spillway capacity, the difference with the new design flood in combination with the existing arrangements will form the basis of the options to be considered for. Different options to negotiate with the increased design flood may the following:

Improvement in reservoir operations through different routing procedures and trials. Changes in the exiting spillway arrangements To change the existing shape of the waste weir/control structure so that it functions as

free fall ogee spillway. To lower the height of the waste weir body wall and to provide Kurri shutters with or

without change in shape of the spillway for obtaining higher coefficient discharge without loss of live storage.

To extend the length of the existing waste weir/spillway so as to accommodate the revised flood.

Combining gates with other solutions Opting for auxiliary or emergency spillway. Optimization of the embankment crest Any other innovative options as per the site conditions.

Egis will review the rehabilitation options suggested in the proposals for the part of increased design flood approved by HSO, CWC. Egis’s team of experts will review the any typical situation and will suggest solution or combination of solutions (if better than the mentioned in the rehabilitation proposal) In the situation of structural and topographical constraints, the improvement reservoir operations, and lowering of spillway crest with some shutter arrangements or similar as mentioned will be identified and checked for its techno-economic feasibility by Egis for arriving at the final solution in the regard. Other following options as per site feasibility will also be examined for its applicability:

building flood control retention basins upstream; developing an emergency action plan; controlled overtopping of the dam, provision of improved inflow flood forecasting lowering the spillway crest level and using fuse gates or other spillway control

systems; Egis will also optimize the reservoir operations including routing trials and procedures (and lowering reservoir levels) during floods wherever possible for adoption but for the dams when this flood cushion affects the benefits derived from the schemes other option will also be tried even in combination. For each of the Dams under DRIP, Egis will identify the best options of the safe flood release for different site and hydrologic condition in the different states. Egis shall document the related practices in reservoir operation manual. In this regard Egis will review the existing


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and the recent proposed reservoir operation plan/manual and suggest the modification and finalize the practices and operation plan. Egis will assist in finalization of reservoir operation manuals submitted by the SPMUs. Egis shall study and identify the equipments, instruments and software requirements for the real time data automation system (RTDAS) for capturing the data related to reservoir operations. Egis will assist PMU in finalization, procurement and implementation of RTDAS by the project authorities. The dam break analysis forms an integral part of the overall dam safety program. The hazards created by the flood resulting from a sudden, rapid, and uncontrolled release of water through a breach that forms in a dam need to be assessed to provide adequate safety measures in the event of such a catastrophic failure. The level of detail of hydrologic and hydraulic analyses needed to evaluate the consequences of a dam-breached flood depends on the danger to human life and the amount of property damage that would occur. If human fatalities are unlikely and if property damage potential is small, a simple procedure might provide an adequate description of the extent and timing of downstream flooding resulting from a dam failure. Besides computing the dam break flood hydrograph, a sensitivity analysis of various DAMBRK inputs is carried out and their effect on maximum discharge and elevation profiles is evaluated Egis’ dam break analyst will assist SPMU (wherever required) and review the dam break, inundation maps, emergency action plan etc. as submitted by the SPMU. The foregoing upgrading should be preceded by comprehensive hydraulic analysis of the water tract of Stream Inflow – Reservoir Retention – Dam Outlets, as well as by compound structural modelling of the system dam – dam abutments/foundations. The Hydrologic Engineering Centre (HEC) software package applicable reservoir system analysis can be inter alia a useful tool for reservoir – dam hydraulic interaction. 3.3 Operation and Maintenance manual Dams Break Events are usually aligned with catastrophic circumstances occurring during the dams’ lifespan, which usually are not a part of standard design criteria for dams engineering. They might be the cases of simultaneous propagation of unforeseen floods and maximum probable earthquakes, then unforeseen sliding of the reservoir slopes, and the like. A comprehensive rehabilitation program should reduce the consequences of those events to a minimum. The appropriate preparatory measures shall be an integral part of the operation and maintenance manuals of dams. In order to avoid or to foresee in due time the potential catastrophic events, the automation of reservoir monitoring then that of dams monitoring, both associated with comprehensive emergency program for downstream settlements, shall be the major section of Operation and Maintenance manuals. Here, the appropriate river training programs should be also used for simulation of the downstream flood wave propagation. Dam Break analysis shall be examined via analytical and numerical modeling of dam sustainability to prospective scenarios of its overtopping and the consequential erosion effects. A sensitivity analysis of overtopping depths then potential mechanisms of dam failure


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and progressive collapsing caused thereby shall be analyzed in depth via the foregoing models. The software packages, such as PLAXIS, ANSYS, then PHASE, can be beneficially supportable to Dam Break investigations. 4.0 Design Review Egis as Engineering & Management Consultants at CPMU will review the designs to ensure that the designs are based on:

Review of project design and construction documents; Adequate condition assessment of the project based on detailed inspection of project

features and a comprehensive dam inspection report; Review of instrumentation data; Proper identification of the problems based on adequate failure mode assessment and

risk analysis; Proper diagnosis of the root causes of the problem using latest computational tools

such as Geostudio 2007, Plaxisetc and existing information as well as results of any additional geotechnical investigations (if required);

The design review process will ensure that: The Proposed solutions and remedial measures will bring the dams in line with

internationally acceptable safety requirements and improve the performance and useful life of these dams;

The internal and external dam drainage arrangements are adequate; The proposed designs comply with Indian standards or State of the art procedures

contained in Manuals prepared by US Army Corps of Engineers or US Bureau of Reclamation.

State of the art construction techniques and materials are used for the rehabilitation of problematic structures

4.1 Seismic Design Review Earthquake Design Expertise Seismic Design Parameter: Egis will consider the seismic effects, while reviewing the design of dams falling under different seismic zones. Latest seismic parameters, national and international practices and related codes will be followed while reviewing the design for safety from the seismic effects under different seismic active zones. Egis will ensure that the impact of the works proposed under DRIP should no way make the dam structures unsafe against seismic forces anticipated in the different seismic active zones. For all the proposals submitted to the CPMU for different rehabilitation works, Egis would consider the following practices to carry out review of the design earthquake parameters, and the structural designs for seismic safety. The site specific seismic conditions and parameter affecting the safety will be identified by Egis, which include geological setting of the area, tectonic features and the history of


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earthquake occurrence in the region etc. The concepts and principles used in seismic study will involve the following.

Seismic Source Zones Design Earthquakes Seismic Evaluation Parameters

Egis shall carry out the detailed investigation reviews as per the standard national and international recommendations made (in accordance with IS: 4967 – 1968* and other international codes) for estimating the design seismic parameters. However, where such required data are not available and in the case of minor works and for preliminary design of major works, the seismic forces specified as the case may be, shall be considered. Different data inputs e.g. design parameters, Seismotectonic map, Seismotectonic section, Seismic History, Earthquake catalogue, Micro earthquake investigations, Local Geologic Setting Surface and subsurface exploration, Additional inputs on subsurface configuration of major faults etc. will be checked for availability and usability for the analysis. It is recognized that a dam or embankment vibrates when subjected to ground motion during an earthquake requiring thereby a dynamic analysis of the structure for its design. Nevertheless, currently accepted design procedure is based on the assumption that the portion of the dam above the rupture surface is rigid. Therefore, assume additional horizontal and vertical loads on the soil mass within the rupture surface shall be adopted. It is, however, desirable to carry out dynamic analysis for final design of important dams in order to estimate deformations in dams in probable future earthquakes. Egis shall carry out the dynamic analysis for the structural safety wherever required in the rehabilitation proposals For seismic analysis of concrete and masonry gravity dams the following standard practices shall be adopted by Egis:

Up to 100 m height the horizontal seismic coefficient shall be taken as 1.5 times seismic coefficient, (a) at the top of the dam reducing linearly to zero at the base. Vertical seismic coefficient shall be taken as 0.75 times the value of ah at the top of the dam reducing linearly to zero at the base.

For dams over 100 m height the response spectrum method shall be used for the design of the dams.

Both the seismic coefficient method (for dams up to 100 m height) is meant only for preliminary design of dams. For final design the desirable dynamic analysis will be used.

4.2 Structural Safety Review Dam Design Expertise The structural safety review will include the following two situations: (A) Where dam height is to be raised to accommodate the revised design flood

magnitudes


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Encountering with a situation when proposal of raising the dam height will be received for increased temporary storage by increasing maximum water level (MWL) to accommodate the revised design flood, Egis will carry out the critical review in terms of options and finally the stability analysis for the proposed section. The structural design of cross section and appurtenant works will be critically examined after site visit by the design and safety expert. Wherever required, the safe and stable cross section will be suggested. After detailed review & analysis of existing and proposed cross section, existing and proposed construction material and methodology/plan will be reviewed and for safety and feasibility (B) Safety review for the existing dam sections (proposed for rehabilitation )

Existing Condition assessment of the dams All the proposals on different aspects of dam rehabilitations will be reviewed for the following (not limited to) existing conditions and inspection of the dam site will be done by Egis wherever required:

General health of the Dam Strength and porosity of the dam material by conducting in-situ as well laboratory

tests Embankment crest for any signs of transverse and longitudinal cracks as well as

settlement. These cracks could be due to cross valley movements or settlements or could be related to the instability of the slopes. Cracks may also appear in the crest due to shrinkage. Appearance of these cracks generally requires further investigations to ensure structural integrity.

Upstream slope for any signs of movement or failure scarps, sinkholes and the integrity of slope protection (riprap); the transverse cracks could be due to differential settlement of the embankment whereas the longitudinal cracks could be due to differential settlements over foundation discontinuities or due to differential settlement between embankment zones.

Downstream slope for any signs of seepage and piping, slope movement and the integrity of slope protection as well as condition of the surface drains;

Condition of groins at the abutments. The embankment-abutment contact is vulnerable to cracking due to contact between dissimilar materials and can lead to piping failure. The groins are easily eroded by surface runoff leading to through flow and proper surface drains are required

Condition of dam toe. Seepage and sand boils are to be noted. Condition of outlet pipes and the head wall provided at the conduit exit. Piping along

conduits is a major concern and this area has to be observed closely. Condition of concrete with respect to its strength, cracking and degradation due to

Alkali-silica reaction and the condition of the joints provided in the concrete structures.

Existence of sinkholes at the embankment-concrete structure contact due to migration of fines through the broken joints;

Existence of any sand boils near the dam toe;


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Clearance of seepage discharge measured through seepage weirs; Existence of trees near the structures; Animal burrows. Condition of spillway including approach channel, overflow section, spillway chute,

discharge channel. In addition to the above, the history of the rehabilitation and remedial works already taken prior to the present proposal, Egis will review and assess for its effectiveness. The majority of the structural problems The main structural problems associated with the dams include:

Longitudinal cracking due to sliding along the upstream or downstream slopes Transverse cracking due to compressible alluvium in the central portion of the valley

or due to steep slopes in the foundation profile; Reduction of freeboard due to settlement of the embankment or its foundations Absence of filters that meet the current design standards leading to internal erosion; Seepage occurring from an unprotected/unfiltered exit leading to piping through the

dam or foundation. Properly designed filters are required to prevent piping in embankment dams.

Open joints in the rock foundation beneath the core of an embankment dam that were not treated with slush grout or dental concrete, leading to the possibility of piping of the embankment into the foundation. A similar concern exists if the embankment core material was placed directly against foundation soils that may not be filter compatible.

Piping and sinkhole formation; Piping of material into outlet conduits leaving a void adjacent to or beneath a conduit

or structure. This provides an unfiltered exit (into the void) closer to the reservoir than would otherwise exist and increases the average gradient. This can be especially problematic in low plasticity soils.

Piping of material from beneath concrete dams founded on alluvial soils leading to a rapid draining of the reservoir beneath the dam and possible failure of the structure.

Absence of engineering geology or rock mechanics evaluation for a concrete dam on the basis of apparent “good rock” due to its hardness, even though adversely oriented joints, faults, shears, foliation planes, or bedding planes can be observed in construction photos and downstream of the dam. Foundation instability could occur under a change in loading conditions.

Liquefaction of loose foundation or embankment soils. This can lead to deformation and loss of freeboard, perhaps leading to overtopping, or otherwise possibly leading to cracking and subsequent seepage erosion through the cracks.

Seismic soil-structure interaction between an embankment and spillway wall that can lead to separation at the contact and seepage erosion through the gap.

Fault displacement within the foundation of an embankment dam cracking the core and leading to seepage paths and internal erosion.


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Erosion of upstream riprap by wave action and the downstream slope protection by surface runoff resulting in erosion gullies.

Structural safety Review of the present rehabilitation proposals Egis will take a holistic view of present conditions, remedial or strengthening measures taken in the past the proposed design and construction methodology to analyze and review as per the national and international codes and guidelines on strength and stability of the dam section and appurtenant structures. Accordingly the proposed treatment for foundation, upstream and downstream slopes, drain and filter, rip-rap in earthen dam, etc. would be reviewed for necessity and effectives. 4.3 Hydro-mechanical equipment Review Hydro-mechanical Expertise Spillway gates are very important aspects in controlled spilling arrangements. The improper design and detailing may lead to fatigue damage or fracture. The consequences of failure of a gate present a potential for loss of life, impact the dam’s hydropower, flood control and water supply capabilities, and result in significant regional economic and environmental impacts. The failure of gate operating systems can render the flood control. Gate inoperable may result in potential dam overtopping. Catastrophic failure of a spillway gate or dewatering bulkhead would result in an uncontrolled release resulting in potential loss of life, downstream property damage, and economic impacts. Egis will review and assess the adequacy of the surplusing arrangements vis-à-vis conditions of gates and hoisting arrangements for the rehabilitation proposal reflecting need of enhanced capacities. Following will needed to be assessed:

Existing Conditions of the Gate, Gear and hoisting mechanism Rusting of gusset plate Reduction of X-Section of stiffener angles Manual operation Leakage of water

Based on the proposed design requirement and the actual existing discharging capacities the deficiencies would be identified. In accordance, the repair, maintenance or replacement needs of different hydro-mechanical parts will be reviewed. For the finalized design for gates and related arrangements, Egis will carry out the structural safety analysis. 4.4 Dam Instrumentation Review Dam Instrumentation Expertise The dam instrumentation part in the rehabilitation proposal is expected to be one of the important concern as the dams are quite older and lack of advanced instrumentation. The older instruments and equipment are expected to be defunct or malfunctioning due to ageing and lack of maintenance. Egis will ensure that rehabilitation proposal should reflect the


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requirements of updated and sufficient quantity of instruments. Egis will review the requirements, suitability and feasibility of the new and repair & maintenance of old instruments. Egis with all updated knowledge and experience may suggest the new instrumentation techniques and analysis software to get the enhanced automated arrangements and capabilities for data logging and information recording. The review and the suggestions will also be made on methodology and software to be used for analysing the data and information collected. Dam instrumentation is one means of determining trends in structural behaviour and performance. This process consists of collection, recording, analysis and presentation of data from measuring devices installed at or near dams. Some of the parameters to be monitored in the dams include:

Reservoir Water Levels, which provide a record of the loadings on the dam; Seepage, which may be measured at any point in the dam body, dam abutments or

even well downstream of the dam, and is probably the best indicator of a dam’s performance;

Rainfall (at dam and in catchment) which may relate to the amount of seepage; Pore water pressures and water table levels, which may be related to seepage,

reservoir levels and rainfall; Surface and internal movements; Stresses, which may be measured in embankments and in structural concrete; Seismic events, which may be measured on a regional or local basis by owners who

elect to install instruments for the collection of seismic data. It is expected that most of the dams to be taken for rehabilitation and improvement under DRIP have some kind of dam instrumentation such as; V – notch weirs ,survey monuments or horizontal and vertical movement monuments, vibrating wire piezometers, hydraulic piezometers, pneumatic piezometers and standpipe piezometers. Possibly in few dams there may be: earth pressure cells, hydraulic settlement cells, cross-arm settlement gauges, inclinometers, pendula (Normal & Inverted), strain meters, joint meters, extensometers, and seismographs. Since most instruments have limited life span and most of the DRIP dams are older than 25 years, it is anticipated that there may be a need for:

Repair or Upgrade of existing instruments Installation of new instruments Improve monitoring of instrumentation including setting of alarm levels Establish procedures for regular maintenance and calibration of instruments Train engineers and surveillance staff on dam surveillance and monitoring

Instrumentation of dams targeted to be rehabilitated under DRIP will be upgraded as required. Seepage measurement weirs provide reliable information regarding internal erosion problems and dam distress and these will be installed wherever missing/damaged.


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Piezometers (mostly of the standpipe and vibrating wire type) will be installed and, in the case of some dams, inclinometers may also be installed. Any damaged surface monuments or surface monuments affected by the remedial works will be replaced. Seismographs will also be installed, particularly at high dams in the high seismicity zones. Table below presents a list of anticipated instrumentation requirements.

Instrumentation Facilities and Related Equipment

Survey and Other

V-notch weirs CCTV Cameras Survey monuments

Water level recorders Toe lead-away drains Surface settlement points

Seismographs Stand-by generator Dip meters Rainfall recorders Pressure gauges Piezometers Readout units Inclinometers Extensometers

Egis will ensure that drilling for geotechnical investigations and instrument installation in existing dam embankments and foundations will be carefully designed and monitored to control the risk of damage to the embankment. Specialized drilling methods and equipment are required as well as engineering supervision to prevent hydraulic fracturing. Dry drilling using hollow stem augers is generally required to prevent hydraulic fracturing of the existing structure. Maintenance and calibration procedures for instrumentation have also to established and institutionalised. The instrumentation experts of consultant’s Team will assist and provide guidance in procurement, installation and commissioning of instrumentation and also provide guidance and assistance in initial training of monitoring staff. The experts will carry out review of the existing instrumentation at each dam and assess their performance by reviewing the instrumentation records. They will also review the proposed instrumentation to ensure that each proposed instrument provides valuable information confirming the design assumptions and yields information about any abnormal behaviour. The experts will provide guidance regarding most suitable data loggers and reliable/cost effective software for presenting data in a meaningful format for subsequent analysis by the dam surveillance team. 4.5 Overall Dam Rehabilitation Design Review Dam Design Overall rehabilitation design includes the appurtenant works that may be small in nature but affects the dam health with equal importance. Some of the common situation of needing remedial and corrective measure will be as per the following:

Seepage boils and leakage downstream of earth dams Deformity and erosion of upstream and downstream slopes including slope

sloughing/slips, and erosion of abutments and settlement and cracks along dam crests;


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Excessive seepage through masonry and concrete dams; and Cracks and pitting in concrete and masonry spillways and outlet gate structures and Erosion of energy dissipation systems and spill channels.

Egis experts’ team will inspect the dam on these aspects and review the proposed design/ works to check for:

Correctness in diagnosis Internal and external dam drainage arrangements and seepage measuring devices Sufficiency of proposed works/design, Accuracy in defining the scope of works etc.

Egis dam safety and design experts will perform the analysis for structural safety, other experimental or real experience of success and failure to tackle similar kind of deficiencies different. Egis will share its experience in terms of technological advances in plugging the above problems in terms of construction techniques and materials matching to the site specific requirements. Egis team will through its wide experience will suggest the modification in the rehabilitation proposal to increase the aesthetic values in addition to the stability safety aspects wherever the tourism potential is there. Egis will extend its expertise for this kind of experience in terms of architectural and landscaping also to make rich proposal for these kind of dam sites. Other eco-friendly requirements will also be kept in mind so that he local ecology is preserved. Egis will use both its experience and innovative approach for overall rehabilitation works as needed above; for there will be very diverse situations and problems though categorized mainly as above. 4.6 Desiltation of Reservoirs Desiltation and Environmental Expertise Sedimentation of Reservoirs and de-siltation The inflow of sediment into reservoirs get deposited on the reservoir bed causing losses in their capacities both in live and dead storages. Progressive losses of capacity due to sediment accumulation not only reduce the intended benefits but may also cause operational problems and as such the sedimentation is of vital concern to all storage projects. It is, therefore, essential to monitor the existing reservoirs at regular intervals and take suitable measures for controlling the sedimentation rates and also to given due considerations in the planning of future reservoirs. To assess the reservoir actual present capacities and revising the design following will be checked and suggested:

Silt storage of the existing reservoir is to be revised based on latest edition of IS. Code 5477 (Part -2): “Methods for fixing the capacities of reservoirs – Dead Storage” wherever feasible, actual sedimentation surveys be carried out.


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Sedimentation Surveys of reservoirs provide a very useful data regarding the silting rate correlated with land use and soil characteristics of catchment, reduction in the reservoir capacity which is the basic data needed to assess the useful life of the project. Such a data also provides basis for estimating the rate of sedimentation in the nearby reservoir projects.

The main objective of Sedimentation surveys is to find out storage loss consequent on the deposition of stream borne sediment in the reservoir, and to revise capacity curves on which proper operation of reservoir depends.

Frequent systematic capacity surveys are essential to achieve the objectives mentioned above.

The Sedimentation surveys will be useful in : - o Ascertaining useful life of reservoir. o Correcting the capacity curve for more efficient operation of the reservoir. o Enforcing better watershed management and undertaking climatic factors on

the rate of sedimentation. o Assessing regional silt indices for developing design data for planning of new

reservoirs. o Bringing efficiency and economy in control measures. o Forecasting hydro power generating capacity year to year. o Formulating guide lines to estimate sedimentation rate at the project

preparation stage.

To check the sedimentation: High and very high categories of erodible areas in direct draining sub-watersheds along the reservoir rim, should be treated as per soil conservation norms and guidelines already available in Ministry of Agriculture as well as in Bureau of Indian Standard (BIS) like IS: 6748 B (Part-I) – 1973 Code for Recommended practice for “Watershed Management Relating to Soil Conservation” and IS: 6518-1992 Code for Practice for “Control of Sediment in Reservoir”. The treatment would generally be for improving land to prevent movement of soil. It would also improve its hydro-geological behaviour. In general it would prevent degradation of land, increase productivity and also improve ecological balance between land water and the plant and animal life in the water shed directly draining into the reservoir.

Reviewing De-silting Plans and Proposals: The De-silting plans and proposal will be critically reviewed for techno-economic feasibility by Egis. The site inspection, survey reports, need assessment, the benefits and economic returns expected in the proposals would be evaluated thoroughly. If required separate additional study will be suggested or carried to make sure of the technical feasibility and anticipated cost benefit ratio is achieved through de-silting measure. Egis will also deeply review the environmental and social safeguard management plans. It would be ensured that issues are identified through proper study and the factual situation. The remedial and rehabilitation action clearly reflected in the ESMF plans.


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To review the de-silting proposals, Egis may also need to collect the information and evaluate on the following:

Review of availability of storage / yield. Hydrological studies to be reviewed compared with those made at the time of

preparation of the original Project Additional data to be collected during operation of the project and reasons for

variation to be analysed in respect of – (i) Rainfall (ii) Runoff (iii) Evaporation & (iv) Any other Changes in the upstream with drawls / divisions for industrial use, power generation, drinking requirement and other developments in the upper catchment to the extent which can be collected may be taken in consideration in review of yield.

It is to be ascertained whether water available is sufficient to meet the requirements for ensuring 75% dependability. If not, the possibility of augmenting the supplies requires to be explored.

Availability of river supplies and storages o Their efficiency to meet diversion requirements based on ten daily / monthly

reservoir operation tables, for sufficient number of years. o If the available supplies are not adequate and the head-works not capable to

divert the peak requirements into the canal system, the head-works, may be redesigned suitably based on proper investigations after examining the possibility of construction of feeder channel to feed reservoir.

o If there is no possibility of increasing storage / pondage to the required extent or providing the necessary back-up storage or supplementary water supplies by ground water, the cropping pattern/irrigation intensity/area to be irrigated may be suitably adjusted to match the availability of the supplies.

On de-silting techniques and approach There will be several points to be reviewed before analyzing the environmental aspects. De-silting activities should be done considering the regulations that are defined based on the contemporary trends and scientific approach. Reviewing the proposed approach of de-silting, for instance whether it is hydraulic technique such as usability of siphons and flushing to downstream (in case there are flushing facilities like de-silting sluices, etc.). In some cases, the amount of water, necessary for the flushing, may not be appropriate and even unacceptable due to water loss. On the other hand, dredging and excavation are difficult to carry out in remote areas and might be extremely costly. Properly and safely organized mining of the sediment deposits might be effective for these regions. This could be beneficial in terms of economical as well as environmental effectiveness, since it could lead to the reduction of the mining volumes from the river reaches (particularly in the downstream areas). Environmental contemplation The design and planning of the de-siltation process of the reservoirs should be an integral constituent of the integrated environmental management approach.


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From the environmental perspective, the following issues have to be addressed:

On how all the aspects of reservoir sedimentation processes have been incorporated in the de-silting proposal including catchment hydrological cycle and the erosion/sedimentation processes.

Sediment quality and assessment of pollutants’ accumulation and their consideration in the de-silting proposal.

Consideration of the habitat and ecosystem as well as the inhabitants in downstream areas.

Methodology for the quantification of water and sediment release during de-silting and its incorporation in design and planning. It is possible to use analytical/theoretical approach as well as cutting edge computational tools and technology to quantify the effect of different de-silting approach on the eco-morphological behaviour upstream and downstream of the reservoirs and, in turn, their interpretation and translation for the assessment of the environmental impacts.

Consideration of the norms and regulations that are set by the pollution control authorities, based on previous experiences, and their deliberation in current planning and programs. 5.0 Third Party Supervision Methodology The importance of quality control of construction works on head works (dams and appurtenant works) needs no emphasis. Irrigation project involve heavy expenditure and contribute to the prosperity of the state. There may be loss of human life and life of structures may also get reduced if projects are not executed properly. For above reasons, construction projects should proceed with diligence as per prescribed specifications. To ensure execution of works as per standard, constant control on quality is very necessary for which Egis will prepare a manual to guide field and quality control staff to maintain quality as per prescribed standards. The purpose of the Third Party Supervision services is to supervise the rehabilitation and improvement work from the CPMU & SPMU. Each state implementing agency will conduct the construction supervision in its state. Egis will tightly work with each agency and the CPMU in order to assess and support the construction management, quality control and Environmental and Social management. The essential components to provide high quality construction supervision are:

Success Keys Description Quality Assurance To ensure conformity with the specifications, it comprises the

monitoring of workmanship, materials, and performances. The quality of materials is tested for conformity to the specifications, in the laboratory or in-situ by the soils and materials personnel. The


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Success Keys Description Consultant will assess and implement the Quality system to ensure relevant Quality Control based on International acceptable standards.

Quantity control Comprises the regular check of each construction operation performed in accordance with the drawings and specifications in order to evaluate the works accomplished in the field. The quantities should be identified and listed in the monthly certificate of payment. In addition, the inspectors and surveyors within the scope of their routine inspection and measurement duties regularly report the work executed. The Consultant will provide his support to assess and suggest improvement on quantities, work implementation and financial management of construction.

Time schedule The Timeframe of each rehabilitation and improvement of dam should be followed strictly. 223 dams’ rehabilitations and improvements will be treated over the five (5) years project and time schedule is part of the success of the project.

Health and Safety standards:

Egis will be permanently aware of the situation of the Works regarding these particular issues.

Stages of Control: The quality control shall be exercised at three stages i.e.: - Selection of materials Processing of materials and Execution of works Means of Quality Control: Testing Supervision Compilations, analysis and interpretation of test results. Test procedures of quality control. Testing: Number of samples and sampling procedure shall conform to Indian Standard. Frequency Tests Communication of Test Results

Egis will provide its services as third party supervision for quality control. The quality control activity will include the following:

For each of such projects where active rehabilitation and improvement works are in progress, Egis shall undertake at least one project site visit per quarter; and these visits shall be carried out more often for dams with complicated designs and construction works.

Egis will periodically assess the supervisory mechanism of different agencies in the different states, the wherever required suggestions will be made to improve the


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existing mechanism. For this assessment, the supervising official, quality testing staff, contractors etc. will be interacted by Egis.

Egis will also conduct a limited sample testing (not less than 5% of the tests conducted by quality control unit) of the works of the inspection reports given by quality control departments of the State governments for authenticity and accuracy. The category tests will include as per the following

5.1 Periodical Site Inspection Construction Management Expertise Construction Engineers will define visit programs in accordance with CPMU and SPMUs to support works supervision phase for dams with complicated designs. They will undertake regular site visits and spend full time at different sites during peak construction period. Egis’ team will draw her attention on complicated designs and complex structural pathologies on masonry / concrete / arch / buttress / gravity dams. The Construction Engineers Egis will mobilize are particularly skilled on typical issues to be treated during dam rehabilitation as described here below,

Typical issues Description Enhancement of dams

In order to raise water level and therefore increase water storage prefab elements may be produce at site and then installed with pre stressing to the existing structure. The increase of the pushing effort resulting additional quantity of water to maintain may conduct to a vertical post tensioning (see point 9)

Enhancement of existing prestressing.

Old prestressed structure with new prestressing done with greased sheathed prestressed strands with monitoring of the tension of the strength. The old prestressed structures are usually bonded. The unknown tension of the cables may justify to installation of new greased sheathed cables with monitoring to bring an adequate answer to risk management.

Repair of masonry dam (piles)

Erection of struts to strengthen to seismic events the structure Strengthening with dry shot Crete Repair of joints with mastic or resins

Alkali reaction

Prestressing has already been used several times to contain alkali reaction. The scope is to create an opposing force to concrete expansion efforts.

Degradation of the concrete front face of the dam

Concrete local repair (patch repair) Demolition / de-conscruction of the non-structural old concrete

and local patching Dry shotcrete Carbon textile installation to limit seismic solicitation


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Typical issues Description Cracking

Cracks withdrawal / creep : cracking injection with epoxy (surface

cracks) Deep major cracking : grout injection with deep drilling

For active cracks, structural solutions repair can be implemented (ex prestressing) to compress and cancel concrete traction areas.

Counteract the effects of variation in temperature

Projecting a dry shotcrete layer(s) to add a screen(s) Prestressing to cancel traction in concrete

Use of flat jacks to establish a level of compression Constructive seal joint

repair in concrete dams

Degradation of “water stops” joints which create leaks increase Solutions:

Drilling + injections Fixing elastomeric seals on upstream face

Improving the static stability of the structure

For safety issues it may be necessary to increase the stability of the structure by adding a downward force by increasing the vertical profile by adding ballast or prestressing. In case of prestressing, the cables are anchored in the foundation to the upper part of the structure.

5.2 Assessing Supervision System Construction Management Expertise Consultant’s Experts will inspect the Construction works of selected sites at regular intervals and milestones and conduct an assessment of existing progress reports given by SPMU construction supervision teams. Egis has already developed through his experience in large dams and infrastructures construction supervision, a typical Quality Assurance Manual (QAM) whose main steps are described here below. Such a methodology will be proposed and discussed with state agencies for implementation. During preconstruction period:

Document control preparation with data base implementation, in order to sort efficiently all final drawings released for construction. Egis will the Software SIOUX.

Simplified work plan (A3 format) in order to get a synthetic view of the works derived from Contractor complex work plan.

Check the setting out of the Works, including the topographical surveys with its reference network and the geological and geotechnical surveys.

Geological surveys review of all excavated areas before covering them by concrete or by filling material.

Materials borrow areas review for concrete aggregates and for the fill dam material. Site installations inspection for the production of the aggregates for concrete (screening, washing, storing) and for preparation of fill dam material (if any).


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Installation for concrete production inspection; cement handling and storing (including concrete temperature control and aggregate humidity, reinforced bars storing and bending, structural steel and others).

Inspect, evaluate Contractor's facilities, especially laboratory items. During construction period During Excavation Works:

In case of blasting, review the excavation and blasting procedures for excavation works and for storing and handling the explosives.

In case of grouting / cut off wall implementation: review the drilling and grouting schedule and procedures, the drilling and grouting equipment including the system for collecting and storing the drilling and grouting parameters, the grout mix design, the grouting pressures, the refusal criteria.

During Civil and rock fill Works: Inspection of any pouring activities and reinforced concrete jobs. Inspection of construction material and advice requisite tests of materials and ensure

adherence to specifications and review and approve the sources of materials. Review construction works supervision procedures including all necessary

measurements and controls of the quality of the Works, assuring quality of the civil works during construction, continuously inspecting the concrete, soils and materials.

During Equipment mounting Works: Supervise equipment site delivery procedure. Supervise and ensure supply and erection of the mechanical, electrical equipment and

other related accessories are done according to the required standards. Inspect and test constructions and equipment for quality controls.

During post construction period

Advise and guide State quality control department regarding the Taking-Over procedures.

Monitor all performance tests in relation with the Contractor. Advise State quality control department regarding final payments certificate for

release of payment to the Contractor. Check as-built drawings and operation and maintenance manuals and review "as

built" drawings and plans. Reviewing O&M Manuals, prior to handing over of the project.

5.3 Assessing Quality Control System Quality Control Expertise Given the security stakes in dam rehabilitation projects, permanent quality of construction must be respected by Contractors. Egis will regularly check and suggest possible improvements to quality control procedures implemented by the supervision teams from SPMUs and quality tracking reports. These documents shall be collected and centralized in


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each SPMU to make them available to Egis. During site visits, Egis will also check that tests are conform to contract's requirements and made according to standards. Egis will conduct a limited sample testing (not less than 5% of the tests carried out by quality control unit) and propose possible additional quality tests. To ensure lesson learned will be properly implemented in the Future; Egis will prepare a technical book for Control System Quality. Such document will typically define the main milestones to follow-up in terms of quality management for technical site and laboratory tests. 5.4 Assessing ESMF Compliances Environment & Social Expertise Egis will periodically (on a monthly basis during screening and preparation stage and on a quarterly basis during construction stage) asses the quality of ESMF compliances of the state implementing agencies from screening of dam activities to preparation of Environmental Management Plan (EMP), wherever required, to ensure action agreed are being implemented. Egis will ensure the effective preparation and implementation of E&SM framework. In their regards the following activities will be taken up by the Social and Environmental Specialists

Monthly review during screening and preparation of ESMF/EM Plan Quarterly review during construction and implementation period Environmental audit at specified frequency on relevant dam sites

6.0 Dam Safety Institutional Strengthening Methodology The global management of DRIP involves a lot of different competences and expertise in technical thematic areas. Consequently, the field of action of the Institutional strengthening expert will be as wide as possible to coordinate Dam safety training & workshops, study tours and organizing conferences. Based on the focus of such trainings, Egis team of experts will develop the methodology described below to facilitate and provide trainings to the staff of DSO-CWC and SDSO of DRIP states. Relevance of Training Egis understands that capacity building is fundamental to enhance the ability of project professionals to initiate, design, organize and implement modernization interventions. It is seen that Training is essential to improve the skills of professionals. Consultant’s team has the required teaching skills as well as the specialised knowledge and experience to achieve the objectives for this Project. Consultant’s team of professionals will have the responsibility to achieve the broader objectives such as:-

Dam safety institutional strengthening Capacity building of participating States and CWC for the implementation of DRIP,


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to develop the training program in such a way that it fits in with a longer term planned structure,

to promote technology transfer between Egis and CWC to enhance each party's capability and to lay the successful foundation to undertake similar work in the future,

The institutional strengthening and capacity building program can concern: Dam Design review and development dam design review manual Dam safety inspection and expertise Review of existing CWC guidelines on dam safety and its revision Development and implementation of DHARMA Identification of Analysis and Design Software required for the monitoring of Dam

safety Development and Management of National web site on dam safety information Operation and Maintenance manual for dam safety Other technical trainings on subjects identified as needed for the project. Facilitating ISO certifications to DSO-CWC Development of dam safety expertise with select institutes like IITs, NITs, state

agencies, etc

The training program will involve key staff of all implementing agencies and personnel working in this project. Suitable staff will be identified at a comparatively senior level who are exposed to awareness & training programme for understanding and appreciation of the relevance and importance of technical, environmental and social issues in general, and specific to the dam related activities. The target for future organisational change lies not only with the present Senior Officers but consideration will also be given to the third or fourth level down from the current policy makers. This will ensure that the ongoing efforts and the aim of the training plan be carried forward. 6.1 Capacity Building for DRIP Implementation Institutional Development Expertise The methodology used for the construction of capacity building program is the following :

assessment of needs according to: a detailed diagnosis of the specificities of the project an evaluation of the institutional environment and framework the staffing plan of SDSO and DSO-CWC assessment of local existing skills Establishment of training programs for several years.


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At the beginning of the project, the Team Leader will assess and analyse the requirements and resources of the client and accordingly plan the strategy of training programs, having regard to the needs with the CWC staff and the broader needs of the implementing agencies, i.e. Kerala Water Resources Department/ Kerala Electricity Board, Madhya Pradesh Water Resources Department, Orissa Surface Water Resources Department, Tamil Nadu Water Resources Department/ Tamil Nadu Electricity Board, Central Water Commission. Egis will focus upon capacity building of participating states and CWC for the implementation of DRIP, and in the long term planning and guiding of dam operations. Egis will facilitate strengthening selected academic and research institutions for enhancing their capabilities in guiding the dam safety activities. This will be done in discussion with key staff of the implementing agencies. A review will be made of the resources available to determine the types and levels that would be appropriate for the meeting such requirement under the Project. In designing a suitable program, emphasis will be placed on maximising local resources as this will ensure the most efficient use of the project funds to obtain the best value. Resource Assessment The Team Leader’s first priority upon commencement of training will be to hold preliminary discussions and briefings with the appropriate Senior Officers of the Project Staff, CWC and State participating agencies. An assessment will be made of, what systems and methods are currently in use and how these can be best adapted or modified to suit the Project objectives. The existing technology and experience of the people currently employed by implementing agencies will be assessed as a first priority and will include data on the education, work experience and past training details of the personnel and will be reviewed in light of present and future work of these agencies. Method of Nomination - Participants The success of the technology upgrade will depend on establishment of a good working relationship between Egis team and the client staff. To achieve this, the purpose of the project and its benefits will be discussed at initial meetings and workshops where all tasks, duties and responsibilities of each member of the team will be fully understood. The identification of the training needs of the individual participants will depend largely on a review by the Egis Experts on the work and job descriptions of the personnel. Training Program The results of the `needs' analysis and resources reviews will then be used to develop a Training Plan for the Project. Egis will prepare formal transfer of technology plan based on the results of the needs and resources assessment. It will contain details of the training programs, the objectives which are to be achieved and will identify:-

the people to be trained the training needs


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suitable training activities resources required for the technology transfer a schedule of training activities program management and cost details.

The plan will provide guidelines for implementing the training programs and serve as a document for managing the training as well as monitoring and reporting progress. It will contain a firm program for the first training year of the project and outline for the remaining years. The plan will be reviewed annually and a firm program for the next year finalised. The final Training Program will be guided by a number of factors including the results of training needs assessments, specific training requirements of the staff of implementing agencies and the sequence of project activities. On-the-Job Training Egis Experts will provide On-the-job and in-the-field training to personnel of DSO-CWC, SDSO and implementation agencies duly considering their present job responsibilities so as to minimize dislocation of their day to day assignments. These fields of specialisation are as follows:

Procurement of works and goods, and selection of consultants under IBRD loans and IDA credits;

Financial management (including record keeping, internal controls, reporting, and audit compliance matters) for DRIP;

Environmental Management of dam projects, legal requirements and related environmental aspects, Project’s ESMF and its compliances, including on-the job

training to project staff to ensure that there is full awareness about environmental and social issues;

Modern practices for design flood reviews; Modern practices for dam design reviews, including seismic design review; Dam rehabilitation design, including both structural and non-structural interventions; Emergency action plans; Dam portfolio management; Modern construction methodologies; Modern practices for supervision and quality control; State-of-the-art practices for dam operation and risk based maintenance; International dam safety codes of practice, safety monitoring and inspection; Operation and use of sophisticated software/ equipment that are procured/ installed

under DRIP Formal Class Room Training Egis will organise Formal classroom training on subjects which are not included in routine job assignments of present staff of DSO and SDSO. The selection of trainees and location of training centres shall be done in consultation with the senior officers of CWC and other


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implementing agencies engaged with this project in such a manner that their out of station movement do not affect their assigned job responsibilities. This can be done either by appropriate temporary replacement or by introduction of dual responsibility at their assigned position and through organizing the training session during their least active period or during the monsoon season. Consultant’s financial proposal assumes that this category of training will be conducted using facilities provided by the client. Study Tours and Conferences Study tours will primarily include national and international study tours and trainings. Egis proposes to organise International training programs for different levels of personnel drawn from various stakeholders like CWC and participating state agencies. The Egis team of experts will facilitate CWC and States officials’ study tours and linking with other country agencies that have advanced dam safety programs, such as Canada, United States, Switzerland and France. It is understood that all expenses related to international trainings would be paid by CWC/ participating States directly. Egis will assist DSO-CWC proposed in organizing dam safety conferences proposed to be held in different States each year, preferably in all four participating States during the period of Consultancy. Programming and Scheduling Egis proposes to organize trainings more frequently in the first year. Thereafter, trainings will be organized at periodic intervals to ensure consistency in performance of the staff and help them to take to understand the DRIP requirement. Follow up trainings provide an opportunity to consider any mid-course corrections and help to overcome the problem associated with frequent transfers of staff. A detailed training calendar will be developed with DSO-CWC and SDSO and same will be presented in the Inception report. This calendar will display milestones to evaluate the effectiveness of training on regular basis. Evaluation of Training effectiveness Egis will introduce a formal system to assess and record the effectiveness of each training course. On-the-job training will be followed up to determine whether the methods which have been taught are being correctly applied. It is most important to assess how well an individual is assimilating the training he is receiving. Measuring this assimilation is difficult but is essential for at least the following reasons:

to identify gaps in the training courses, if large number of attendees are having difficulties or losing interest in the course which will be modified mid-course.

to identify gaps in the technical capability of the individual, and use this knowledge to restructure the course content to suit that person and others with the same problems.


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The observation is simply a matter of checking that trainees are able to perform the tasks for which they are responsible against the list of tasks for each main job function. Egis shall discuss the findings of the periodic evaluation with CWC Staff and remedial measures shall be recommended and included in the following courses. This continuous monitoring and evaluation will help ascertain the effectiveness and success of the program and help the DRIP staff to take the works with confidence independently. The final report as stated before will contain details of courses, programmes, success of implementation and continuation of the programme further with necessary improvements. 6.2 Revision of existing guidelines Dam Safety and Dam Design Expertise In view of change in hydrology regime of river system causing frequent floods, age of existing dams and associated instrumentation, Egis will revisit the existing guidelines of CWC to enhance the safety and life of dams. Moreover, safety of structure and people living downstream is of paramount importance considering environmental regulations & EIA guidelines of Govt. of India. Egis expert team will incorporate latest technological changes in the area of dam operation and management. The dam safety expert, dam break analyst, dam instrumentation expert and Environmental expert shall review and modify the following guidelines:

i. Safety inspection of dams including standard proforma for periodical inspections; - such guidelines to be modified incorporating the technological application and instrumentation for periodic monitoring of dams.

ii. Development and implementation of emergency action plans – it is important to emphasize the need for the development and its implementation. Awareness generation programmes for local population should be integral part of the guidelines that can play a very important role to protect the loss of life and assets.

6.3 Formulation of new guidelines for Dam Safety and Dam Design Expertise Egis will incorporate the innovations and technology development taken place in developed countries in the guidelines of dam safety and dam design. The specific experts (dam safety and dam design) of Egis team shall formulate new guidelines in the following areas of dam operation and management as per TOR.

i. Computing of inflow, outflow and storage, and reservoir data management; ii. Dam operations and maintenance;

iii. Hazard categorization of large dams; iv. Review of subsurface geological conditions of existing dams; v. Environmental impact assessment studies and Environmental Management of existing

dams; vi. Dam-break analysis;

vii. Sedimentation studies in existing reservoirs; viii. Monitoring and improvements of dam health;

ix. Site-specific seismic parameter studies;


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x. Instrumentations in large dams, including improvements in existing dams; xi. Risk analysis of dams

Some additional areas of concerns, particularly regular system of monitoring and skills of staff involved in dam operation will be added based on the discussion with CWC and SDSOs to meet the project requirement in the long run. 6.4 Development of Dam Design Review Manual Dam Design Expertise The dam design expert shall undertake development of a comprehensive dam design review manual. This would call for the experts to study such manual in details and interact with concerned state design directorates and design directorate of Central Water Commission to identify the issues requiring changes. In view of advances in construction methodology and instrumentation, Egis will draw the attention of dam safety and design organization. Egis shall share the issues with stakeholders and updated manual in workshops. Such changes will be focused and elaborated in review methodologies for different types of existing dams covering following aspects: (i) hydraulic safety assessment, (ii) structural safety assessment, and (iii) Rehabilitation design. 6.5 Development and Implementation of DHARMA The Dam Safety Organization (DSO) at CWC and SDSO in different states are engaged in capturing and collection of information and data on specified intervals to study the dam health related activities. In this regard, The Central Dam Safety Organization of CWC took up the task of establishing a system to collect, store, retrieve and utilize the information/ data in an organized manner by developing a software ‘Dam Health and Rehabilitation Monitoring Application -DHARMA’. Presently in house experts of CWC are engaged in development and application of different modules of DHARMA which are developed using MS Access, VB, dot NET, GIS etc. and make it web enabled. The following seven modules have been conceived in the software as described below :

I. Basic Feature Module II. Project Portfolio Modules

III. Engineering Feature Module IV. Stakeholders’ Module V. Dam Health Module

VI. Dam Rehabilitation Module VII. Analysis and Report Module

As expected in TOR, the DHARMA software will have multiple-level data processing (data entry, data editing, and data deletion) with adequate password protections. Egis will study the existing modules to improve them further and develop balance modules of DHARMA. Egis


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will help DSO-CWC to implement the same through NIC server to its wide application and streamline all the activities under the project. Software Requirement Studies Egis experts would make exhaustive exercise to assess the existing architecture and modules of the software DHARMA.The modules vis-à-vis software capabilities vis-à-vis gaps will be identified. The Experts including dam safety specialist, hydrologist, quality control specialist, dam design specialist, dam break analyst, dam instrumentation specialist, environment and social specialist together with software development specialist will form the software development team and interact with DHARMA Implementation Group (DIG) on understanding different aspects of the software, including the software requirement studies, documents, architecture finalized, frequent modifications taken up time to time. Egis will study the chronological development of this software to understand the past, present and future capabilities of the software. Hardware and software support required will be studied simultaneously. The evaluation of expectation anticipated from the software and achievement will be assessed by Egis to fulfill the gaps in existing modules and study the new requirements and expectation from the new modules. In this process, different state DSOs will also be consulted to identify the input and output capabilities of the software. The Egis team will be precise in carrying out the System Requirement Studies (SRS) for developing the balance modules under DHARMA. The following would considered while producing the SRS

I. Nature of the SRS; Deliberating on functionality, external interfaces, performance, attribute, design constraints etc.

II. Environment of the SRS; describing all software requirements III. Characteristics; Correct, Unambiguous, Complete, Consistent, Ranked for

importance and/or stability, Verifiable, Modifiable, h) Traceable. IV. Joint preparation of the SRS; would be prepared after wide consultation with

CDSO, State DSOs and other related organizations. V. Embedding design in the SRS; Subcomponent of a system and/or its interfaces

with other subcomponents VI. Embedding project requirements in the SRS; Cost, Delivery schedules, Reporting

procedures, Software development methods, and Quality assurance, validation and verification criteria; Acceptance procedures.

Considering, the above, the Egis will prepare the draft SRS and Final SRS Report detailing all the requirements. Development: Egis team members including Software Development Specialist will closely coordinate with DHARMA development team. The software development plan will be finalized in consultation with the software development team (already in place in CWC) dedicated to DHARMA only and efforts will be made to adhere to the development schedule.


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During the development of different modules, Egis will identify constraints and hurdles and discuss solutions to adhere time frame. These solution will be presented to CWC as and when required. Frequent reviews with software team will be made to keep track to the schedule for developing different modules. Implementation: Egis will present modules ready for implementation. Egis can also plan partial implementation of modules if required by CWC. The DHARMA with the available modules will be tested for its implementation and phase wise implementation in different organization (state DSOs etc.) will be planned. The Egis team will assist in integration of pertinent DHARMA data with the ‘Water Resources Information System (WRIS)’ on GIS platform presently under development in CWC. The Egis team members will facilitate implementation process in different ways including coordination between software users and DIG. The consultations with DSOs and other organization will be made during the testing and implementation of different modules of DHARMA. The feedback of the users would be promptly provided to software development group for any modifications. According to implementation plan, Egis will implement the training schedule for the officials and staff responsible in different organizations. The Egis team will develop the required training material for the purpose and organise trainings for project users under guidance from CWC. 6.6 Identification of Dam Analysis and Design Software Requirement The Dam Design Expert shall facilitate identification of software requirements of CWC for its effective organizational role at national level on dam safety. Accordingly, Egis shall identify the most suitable modern software for hydrological, hydraulic, and structural analysis of dams under different operational regimes and for dam break analysis. The Egis expert shall also guide the implementation of such software tools in CWC. Egis will advise CWC on procurement of Dam Analysis and Design software and facilitate CWC in operationalization of the software. 6.7 ISO 9001 certification for CDSO ISO advisor ISO Expert shall study the processes of all activities related to DRIP implementation in CDSO and advise on standardization. This would help to attain the implementation of ISO Certification. Thereafter, the Expert will facilitate to get ISO 9001 certification of DSO-CWC for Quality Management System and its continual (planned) improvement, and its one time renewal after initial three years. DSO-CWC shall ensure the implementation of ISO processes within DRIP and also support them to establish internal controls and facilitate the internal audit of ISO. DSO-CWC shall also facilitate the audit by ISO certifying agency. Expenses related to registration, certification and mandatory auditing would be paid by CWC directly.


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6.8 Dam Safety Trainings and conferences (a) Trainings on Dam Safety

Egis shall facilitate the organizing of targeted trainings on Dam Safety nationally and internationally. The focus of training and development of appropriate skills in CWC and participating States will be on application of modern tools/ practices in operation, maintenance and rehabilitation of dams. If required, Egis expert will modify the training subjects, staff requiring training, and level of training i.e. national and international and update training calendar. Essentially, Egis experts will cover following areas that will be reviewed based on the study and requirement during the course of implementation of the project. Potential Failure Mode Assessment (PFMA) developed by the US Federal Energy

Regulatory Commission; Portfolio Risk Assessment techniques using tools such as the United States Bureau

of Reclamation Risk Based Profile System; Failure Mode Effect and Criticality Analysis for electro-mechanical and hydraulic

control systems; hazard/vulnerability assessment and hazard ratings; dam-break analysis; reservoir sedimentation studies; and site-specific seismic parameter studies. Any specific subject that requires attention

Egis will facilitate organizing of trainings with the help of CWC especially at CWC (Delhi) and National Water Academy (Pune) or the project locations as per subject and scope of trainings. This will enhance the capacity of staff of participating States and CWC for better and faster implementation of DRIP. Egis shall use in-house team of experts to meet the requirement of training, support and sharing of advance knowledge in dam safety aspects with the officials of SDSO. In addition, some specific experts on hydraulic gates, seismic, desiltation, ISO, GIS & Remote Sensing will be hired to better the understanding of project and its implementation work and its implementation. (b) Overseas training program Egis will identify the locations and institutions of importance in dam safety based on the training requirements. Egis will facilitate the overseas training for the staff of CWC/ participating States and focus on:

the technical department of institutions maintaining dams and studying dam safety aspects, dam operators

manufacturers training centers for dam related equipments


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(c) National level dam safety conferences: Egis will facilitate CWC to organize national conference to exchange views on dam safety and record the learning for future action. This would help in understanding the issues of importance requiring different level of attention. This will also provide input for mid-course correction during DRIP implementation. The Experts from various participating states, CWC and institute of importance including IITs/ Research & training centre can also be invited to take part in the conference. Considering Social & Environment Framework of the World Bank, the participation from Project Affected Persons (PAP), Project Benefited Persons (PBP) and Social & Environment Experts can also be invited to understand their views to improve the dam safety scenario. Egis will assist DSO-CWC in organizing such national level conferences in different States each year, preferably in all four participating States (Tamil Nadu, Kerala, MP and Orissa) during the period of consultancy. 6.9 Study Tours The study tour is an important complement to the overseas training sessions, which allow the trainees to "visualize" what was presented during its courses. The objectives of these tours will be to:

have an image of the reality and visualizing the technology / processes for adoption discuss matters with the operating staff review and assess the existing technologies discover the up-to-date technology

Study tours will be organized at specialized centers / institutes to provide an exposure on operation & management of dam and dam safety related issues. Egis will identify the locations and establish the contacts with these institutions and agencies. Accordingly, program of study tours will be discussed & finalized with CWC and State Officials and CWC and States officials’ will deploy identified staff to take the benefit of such visits. At the end of study tour, a feedback session shall be organized by the Egis to record the learning so as to incorporate the same in DRIP implementation. Egis will facilitate national study tours for further dissemination for junior staff, if required by CWC. Egis will facilitate CWC to implement eight (8) overseas study tours in Canada, United States, Switzerland and France. These institutions will include equipment manufacturers, concession companies in charge of the management of dam facilities, research centres and institutes, etc. Egis propose to have visit to the following agencies:

US Bureau of Reclamation (USBR), USA US Geological Society (USGC), USA Hydro Brazil, Brazil


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Canada China France, Switzerland

Egis has already established relevant contacts with some dam related agencies or institutions in France to facilitate overseas visits which can be organized as below within a duration of 10 days: Duration

Training No.

Company Place Stakeholders Program of the day

D1 1 SHEM & CACG

Paris, France

Hydraulic structures safety division (Ministry of Sustainable development and ecology)

Institutional arrangement for hydraulic structures safety monitoring (Central level)

D2 2 SHEM & CACG

Toulouse, France

Head of regional hydraulic structures safety division (Ministry of Sustainable development and ecology)

Institutional arrangement for hydraulic structures safety monitoring (Regional level)

D3 3 SHEM & CACG

Tarbes, France (Indoor)

Director of Hydraulic Development, Member of the CFBR executive commission

Law and regulations framework presentation of hydraulic infrastructures monitoring

D4 4 SHEM & CACG


SHEM, Dam Safety Expert

Presentation and comments of the whole set of legal documents and operation procedures

D5 5 SHEM & CACG


JL. Brodin (CACG), senior Geotechnical engineer and monitoring specialist (CFBR member) and E Domps (SHEM), senior civil engineer and dam safety expert (CFBR member)

Constructive and monitoring devices


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Duration

Training No.

Company Place Stakeholders Program of the day

D6/D7/D8/D9

6 SHEM & CACG

Field visits,

JL.Brodin + operator (CACG) Safety expert + operator (SHEM)

Infrastructures visits (half group : 10 persons maximum for safety and accessibility reasons)

D10 7 Automation of dam and canal operations

6.10 National Website for Dam safety Information Dam Safety and Web Development expertise MIS / Software Development Experts (International & National) will be responsible to undertake development of the website for dissemination of national level dam safety information for general public, along with provision for password linked membership of professionals for dam safety trouble-shooting and discussions. Egis shall organize a workshop with the support from CWC to understand the requirement and amount of information (for public and users) that need to be displayed on web site. The members from CWC and participating states and research institutions will be provided easy access to the data pertaining to state and its inter-operability. Some user control will introduced at State DSOs for easy access and updation under the direction of CWC & NIC. The CWC shall facilitate the web hosting facilities for the website on NIC server which will be up-kept by the Egis for the period of Consultancy assignment. To upkeep the web site, periodic maintenance and controls will be exercised to regularly update the content by National MIS / Software Development Expert. 6.11 Development of in-house expertise of select academic and research institutions Based on present situation on dam safety issues, which are already identified under the project, Egis will organize a meeting of different stakeholders with the help of CWC in order to consolidate thrust areas that require specific attention in the project. The CWC will provide necessary funds to these institutes for the development of in-house dam safety expertise under this project. Egis will adopt the approach to interact with select institutions / educational institutes like IITs, Engineering colleges / universities, etc to assess their interest to participate in the development of expertise in the field of dam safety and rehabilitation activities. Accordingly, proposal from the select institutes shall be invited for development of dam safety expertise along with the requirement of lab facilities, hardware, software, trainings, study tours etc.


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This will help them to strengthen their capacity to support the efforts under DRIP. Based on the understanding with CWC, these institutes shall take up the development of expertise with an aim to organize some courses for engineers of state water resources department and support DRIP. This would disseminate the dam safety knowhow among engineers at state level and sensitize them towards this aspect. This would not only facilitate the transfer of knowledge but help state to implement and practice dam safety aspects in a more periodical and sustainable manner. In order to assess the impact of dam safety expertise & dissemination, the qualitative and quantitative milestones / indicators will be evolved. At the end of this exercise, a compendium on dam safety expertise & rehabilitation shall be prepared by the institutes under the project including the examples from developed countries. This would also facilitate in development of operation and management manual on dam safety. Egis team (majorly Dam safety expert, Construction Management Expert and Institutional strengthening Expert) shall provide input to this task.

IV. Appendices Appendix B – Reporting Requirements .

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APPENDIX B - REPORTING REQUIREMENTS

General Deliverables to be provided by the Consultant are: Sl. No.

Deliverables Submission Date No. of Copies (plus soft copy)

1 Draft inception report 60 days 20 2 final inception report (incorporating

CWC’s comments) 90 days

20

3 Regular brief monthly progress reports drawing attention to problematic issues.

Monthly 20

4 Quarterly and annual progress reports of : a) the overall project b) ESMF implementation and

environmental compliance c) financial management reports of the

overall project.

Completion of every quarter

20

5 Assessment reports of Consultancy at mid-term reviews of project

at end of PY2 and PY4

20

6 Draft withdrawal plan

by mid of PY4 20

7 Final withdrawal plan before PY5 20 8 Report for development of future strategy before 60

days of end of Consultancy

20

9 Draft Consultancy completion report before 60 days of end of Consultancy

20

10 Final completion report after Receipt of CWC’s and World Bank’s comments.

20

The Consultant shall also provide activity specific deliverables as per Scope of Consultancy. Such activity specific deliverables to be given by the Consultant during period of Consultancy shall include:

i. Standard Project Template Form as per time schedule indicated in final inception report.

IV. Appendices Appendix B – Reporting Requirements .

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ii. Web based Management Information System (MIS) as per time schedule indicated in final inception report.

iii. Quarterly Interim Unaudited Financial reports (IUFR) for disbursement of credit/loan funds by World Bank.

iv. Compilation of project audit reports of all IAs within six months from the end of each financial year.

v. Customization of financial reporting software of Hydrology Project II for its use in DRIP as per time schedule indicated in final inception report.

vi. Document Management and Dissemination System as per time schedule indicated in final inception report.

vii. ‘Project Rehabilitation Report’ of each project dam within 90 days of its work completion.

viii. Training calendar for the capacity building programs for DRIP implementation as per time schedule indicated in final inception report.

ix. Revised guidelines on dam safety as per list of guidelines and time schedule indicated in final inception report.

x. New guidelines on dam safety as per list of guidelines and time schedule indicated in final inception report.

xi. Dam Design Review Manual as per time schedule indicated in final inception report.

xii. System Requirement Studies (SRS) report for development of DHARMA as per schedule for the draft and final SRS indicated in final inception report.

xiii. Fully developed DHARMA software as per time schedule indicated in final inception report.

xiv. Training Calendar for DHARMA implementation and its implementation schedule as per time frame indicated in final inception report.

xv. Training material on application of modern tools/ practices in operation, maintenance and rehabilitation of dams for the national level trainings on dam safety as per time schedule indicated in final inception report.

xvi. National web site for dam safety information as per time schedule indicated in final inception report.

In case of deliverable being a document such as Guidelines, Manuals etc., the Consultant will provide 100 copies of hard bound volumes of the final approved material along with its 100 soft copy.

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