1

2

Index

1 Vision, Mission, Main Objectives, Scope : 3

2 Guiding Principles : 4

3 Coverage : 4

4 Sunset Clause : 4

5 Mechanism & Process : 4

6 Structure : 5

7 Scope & Role of NCF : 6

8 Focus Areas : 7

9 Major Ongoing CSR Programmes 7

10 Fund Allocation & Expenditure : 8

11 Planning & Implementation : 9

12 Broad Procedure for Consideration of Proposals : 10

13 Guiding Principles for Selection of CSR initiatives : 11

14 Implementation, Monitoring, Evaluation &

Reporting & MIS

: 12 – 13

Annexures

14 Annexure – I - Implementation Strategy : 15 – 17 15 Annexure – II - Monitoring & Evaluation Strategy : 18 – 19

16 Annexure – III - Focus Areas – Details : 20 – 24 17 Annexure – IV - Major Ongoing CSR Programmes : 25 – 26

18 Annexure – V - Schedule-VII of Companies Act : 27 19 Annexure – VI – Working Mechanism : 28 20 Annexure – VII - Guidelines for CSR Fund

Allocation

: 29

21 Annexure – VIII - Specific details required for

examination of CSR proposals - Format

: 30

22 Annexure – IX - Fund release pattern & mechanism

: 31 – 32

23 Annexure – X - Indicative Outlay linked Costs for Baseline Survey, Monitoring & Evaluation, Impact Assessment of CSR initiatives

33

24 Annexure – XI - Indicative Outlay linked Project Management Cost

34

3

1.0 Vision

To strive for excellence in promoting Sustainable Development and improvement in quality of life of surrounding communities through CSR

initiatives, based on ethical, transparent, accountable and sound governance practices.

2.0 Mission

To emerge as a responsible corporate leader in Sustainable CSR Initiatives through innovative partnerships/programmes, strategic collaborations and

stakeholders engagement in order to promote inclusive community growth.

3.0 Main Objectives

Ensure increased commitment at all levels in the organization, to operate its business in an economically, socially & environmentally sustainable manner, while recognizing the interests of all its stakeholders.

To take up programmes directly or in partnership which benefit the communities in & around its work centres, in enhancing the quality of life

& economic well-being of the local communities.

To generate, through its CSR activities, goodwill and pride for NMDC among stakeholders and help reinforce a positive & socially responsible image of NMDC as a corporate entity.

4.0 Scope

This Policy of CSR encompasses Formulation, Implementation, Monitoring,

Evaluation, Documentation and Reporting of CSR activities taken up by NMDC anywhere in India.

This Policy is intended to be in conformity with the provisions of Companies Act, 2013 and DPE Guidelines on CSR. In case of any

contradiction between this policy and provisions of the Companies Act, the later shall prevail.

Any new provision arising out of amendments to Companies Act, 2013 or Rules made there under or any new/amended DPE guidelines shall be construed to be a part of this policy. However, such new provisions shall be

specifically incorporated in the policy appropriately.

List of CSR activities specified in Schedule VII of Companies Act 2013 and NMDC’s CSR projects is given as Annexures.

4

5.0 Guiding principles

Corporate Social Responsibility is the Company’s commitment to its

stakeholders to conduct business in an economically, socially and

environmentally sustainable manner that is transparent, accountable and

ethical.

In pursuance of the above objective, the Company shall comply with the

Companies Act 2013 and the CSR Rules 2014 framed there under and will

be guided by CSR Guidelines issued by DPE from time to time.

6.0 Coverage

The geographical coverage of CSR activities would be spread across the Nation. However, preference for CSR spend shall be given to areas where NMDC’s Projects are under operation.

This Policy does not cover activities undertaken in pursuance of NMDC’s

normal course of business and also activities exclusively for benefit of NMDC’s employees or their families which are being undertaken.

7.0 Sunset Clause

This policy will be subject to review after a period of 3 years. During the

currency of this policy, in case of any perceived conflict between the CSR Rules 2014 & the policy, due to any amendments to the CSR Rules, the

former shall prevail in all circumstances.

8.0 Mechanism & Process

Towards fulfillment of its commitments for CSR and implementation of its

Policy for CSR, mechanism to be adopted is detailed in section 9.0.

5

9.0 Structure

The structure for consideration & approval of CSR initiatives and

mechanism for focused & effective implementation of the CSR activities of

the Company through NMDC CSR Foundation (NCF) is described hereunder:

A three-tier structure, comprising of the Board, CSR & Sustainability

Committee (Board level committee) of 3 or more Directors & headed by an

Independent Director, and NCF officials headed by a CEO shall oversee the

CSR agenda of the company.

All proposals received will be examined by NCF and put up to the CSR &

Sustainability Committee.

The CSR & Sustainability Committee shall examine the proposals received

along with recommendations from NCF & recommend to the Board, the

activities to be undertaken by the Company.

The decision regarding taking up CSR activities shall vest with the Board of

Directors of NMDC within the ambit of Companies Act 2013 & CSR Rules

2014.

Any activity undertaken by the delegated Authority shall have to be ratified

by the Board of Directors.

NCF will be responsible for implementing the approved CSR initiatives.

The organizational structure and modalities of functioning of NCF shall be

detailed in the operational manual of NCF.

The CSR & Sustainability Committee shall review the progress of CSR

initiatives implemented by NCF.

Working Mechanism is given in Annexure – VI.

6

9.1 Scope & Role of NCF

After the CSR activities are recommended by the Board, NCF shall be

responsible for all aspects of planning & implementation of the CSR

initiatives of the Company.

NCF shall also be responsible for baseline survey / need assessment

to facilitate management decision on the requirement of the proposed

initiative and its scope.

NCF shall liaise with various stakeholders for proper planning and

implementation of CSR initiatives. It shall hire services of

Organizations / individuals on contract basis to expedite the process

of planning, ensuring convergence with Govt. schemes,

implementation, monitoring, evaluation, impact assessment, and shall

be responsible for ensuring, stakeholder / community partnership to

address the aspect of sustainability of the CSR programmes.

NCF will also be responsible for putting in place & maintenance of

MIS including data w.r.t. physical progress, financials, Output &

Outcomes, along with documentary proof, generation of reports and

periodic submission of the same to the CSR & Sustainability

Committee.

7

10.0 Focus Areas

Prime Focus Areas

Employment enhancing Vocational Skills including Skill

Up-gradation

Drinking Water including integrated water shed development &

Sanitation

Promotion of Education- special Education in primary schools with

special focus on Districts in which NMDC projects are located

Health

Rural Development Projects

Ensuring Environmental Sustainability

Sustainable Natural Resource Management

Other Focus Areas

Promoting gender equality and empowering women - Setting up Homes

& Hostels for women and Orphans; Setting up Homes, daycare centre

and such other facilities for senior citizens and measures for reducing

inequalities faced by Socially and Economically backward groups

Eradicating Hunger, Poverty & Malnutrition

Reducing Child Mortality & Improving Maternal Health

Promotion of Sports

Detailed list of works under Focus areas is given Annexure – III.

Schedule– VII is given in Annexure – V.

11.0 Major Ongoing CSR Programmes

Presently, NMDC is running various CSR programmes under different

focus areas. Major ongoing CSR programmes are listed in Annexure-IV.

Continuance, enhancement of coverage under the programmes will be

based on need and availability of funds.

All the Ongoing CSR programmes shall be monitored / evaluated. Based on

the evaluation, the CSR & Sustainability Committee shall recommend

continuance or otherwise.

8

12.0 Fund Allocation & Expenditure

The Budget provision towards CSR initiatives shall be at least 2% (two

percent) of the average net profit of the Company (PBT) made during the 3

immediately preceding financial years calculated in terms of Section 198 of

the Companies Act 2013.

If the budget allocated in a year remains un-utilized, the Board shall in its

report made as per provisions of Companies Act, specify the reasons for not

spending the amount.

The surplus arising out of CSR shall not form part of business profit.

At least 80% of the annual budget earmarked for CSR activities shall have to

be spent on implementation of activities in the project mode.

The total Budgeted amount shall be distributed as per described below:

i) NMDC Projects / NMDC Establishments - Up to 88%

ii) Extended Local Area - Up to 1%

iii) Other Backward Districts - Up to 2%

iv) Other Areas - Up to 1%

v) Anywhere in the Country – Through NGOs - Up to 1%

vi) Natural Calamities - Up to 2%

vii) Emergency Needs/Unforeseen/Unanticipated - Up to 5%

requirements

Based on the emerging needs, every year, list of activities to be undertaken by the Company along with financial allocation against each activity will be recommended by the CSR & Sustainability Committee and approved by the

Board of Directors of the NMDC.

Guidelines for CSR Fund allocation are given in Annexure – VII.

The expenditure incurred on baseline survey / need assessment study, on

capacity building programs such as training, workshops, seminars,

conferences, etc. and on corporate communication strategies for engagement

of all stakeholders, whether internal or external, to implement the CSR

agenda of NMDC, shall be accounted for as CSR expenditure to the extent

that such expenditure is not exceeding 5% of the total CSR budget.

Budget/Expenditure for Impact Assessment/Monitoring & Evaluation of

CSR initiatives shall be accounted as part of the Project Expenditure.

9

13.0 Planning & Implementation

13.1 CSR projects are generally formulated based on inputs from State

Authorities/Village level consultation/Need assessment.

13.2 The plans may be dovetailed with specific government programmes.

Adequate care shall be taken to ensure that there is no duplication of

CSR projects with that of Government’s programmes and convergence

is achieved.

13.3 Focus of CSR initiatives should be primarily on asset creation. To the

extent possible, maintenance/operational expenditure of such assets

should not be borne by the Company.

Asset once created shall be transferred to a suitable agency for its

operation/maintenance.

13.4 As far as possible, it should be ensured that CSR schemes/projects to

be implemented should preferably not be open ended and CSR

activities shall be taken up in project mode.

13.5 Skill Development training courses may be devised to impart training

in fields which are vital to functioning of the Company.

13.6 Monitoring & Evaluation should be integral parts of any CSR initiative

and the project cost estimate shall include cost of Monitoring &

Evaluation.

13.7 NMDC’s contribution w.r.t. the CSR works taken up shall be

highlighted through suitable signage.

10

14.0 Broad procedure for consideration of proposals

14.1 Individual proposals have to be within the frame work of the CSR

Policy.

14.2 Every CSR / Sustainability proposal has to be projectized. This

involves defining activities, time frame, financial requirement,

organizational responsibilities, outcome / expected results and

sustainable aspects. The proposals will be examined and submitted

to the CSR & Sustainability Committee. Proforma specifying the

specific details required for examination of CSR proposals is given in

Annexure – VIII.

14.3 CSR proposals should to the extent possible focus on Capacity

building, Skill development and Infrastructure development for the

benefit of marginalized and under privileged sections of local

communities.

14.4 CSR proposals shall be formulated after getting feedback on the

expectations of the key stake-holders like Central/State Government

and/or District/Local Administration, Public Representatives, Gram-

Sabhas and Panchayat Raj Institutions so that the activities are

properly grounded.

14.5 Appropriate financial powers shall be delegated to Head of the

Projects for timely execution of CSR Projects.

14.6 The releasing of funds in phased manner shall be clearly defined in

the proposal to ensure proper utilization and submission of

periodical progress reports before release of installments.

14.7 Project proposals can be prepared by NCF on their own or through a

Consultant as may be necessary. The CSR Projects prepared by

State/District Authorities/Panchayat Raj Institutions at

District/Block/Village level or Local Bodies or reputed NGOs within

the purview of CSR policy may also be considered for implementation

with the approval of Competent Authority. However, such projects

submitted by NGOs shall be approved only after verification of their

credentials, capability and preparedness to work in the specified

locations and the projects submitted by Panchayat Raj Institutions

shall be routed through the District Collector concerned.

14.8 The proposals identified by NCF which are beyond capabilities and

preparedness of NMDC may be executed through reputed NGOs or

any other Agencies/ State Govt. or other PSUs or through Panchayat

Raj Institutions at District/Block/Village level or through Self-help

groups or through any other Agency as approved by CMD, as

considered appropriate by NMDC.

11

15.0 Guiding principles for selection of CSR initiatives

A three-tier structure, comprising of the Board, CSR & Sustainability

Committee (Board level committee) of 3 or more Directors & headed by an

Independent Director, and NCF officials headed by a CEO shall oversee the

CSR agenda of the company.

The CSR & Sustainability Committee shall recommend to the Board, the

activities to be undertaken by the Company.

The power to approve CSR activities shall vest with the Board of Directors

of NMDC as per Companies Act 2013 & CSR Rules 2014.

Any activity undertaken by the delegated Authority shall have to be ratified

by the Board of Directors.

CSR activities, in general, will be guided by the following:

a) Baseline Survey Report on the need assessment / Secondary Data.

b) Assessment of Needs through Stake-holder Consultation

c) Supplementing the Central/State Govt. Schemes to cross the ‘last mile’

in resource gap.

d) Preference will be given to the local area and areas around its

operations of NMDC

e) Priority shall be accorded to the stakeholders located in the periphery of

the operations of NMDC & directly impacted by it.

f) CSR Projects or programs or activities undertaken in India only shall be

accounted as CSR Expenditure.

g) In the selection or choice of CSR projects, NMDC shall avoid taking up

adhoc, one off, philanthropic activity, which does not contribute in any

way to social value creation, environment protection or sustainable

development.

h) Generally, the employees of NMDC shall not be the direct beneficiaries

of the activities undertaken with the budget allocated for CSR and

Sustainability initiatives in any given year. However, in case of facilities,

which have been primarily created for employees, specific cost incurred

on extending such facilities to SC/ST/underprivileged populace on pro-

rata basis to the extent of non-NMDC beneficiaries viz., cost of

medicines in Hospitals, Cost of fee subsidy extended in Schools, if any,

shall be borne from the CSR budget. The same shall be calculated on

pro-rata basis to the extent of cost incurred on extending the facilities to

non-NMDC stake holders.

12

16.0 Implementation

The CSR Projects/ Activities shall be implemented in any of the following ways as

below:-

A) Directly by NMDC.

B) Through NGOs / Voluntary Organizations/Trusts

C) Through concerned State/District Authorities/Panchayat Raj

Institutions at District / Block / Village level

D) Through/in-partnership with other PSUs

E) Through Local Urban bodies like Corporations / Municipalities etc

F) Through Self help groups

G) Any other Agency as approved by CMD

The detailed methodology to be adopted is given in Annexure – I.

17.0 Monitoring, Evaluation & Reporting

17.1 Monitoring

a) Monitoring of CSR projects shall go concurrently with

implementation, to assess if the progress is on expected lines in

terms of timelines, budgetary expenditure and achievement of

physical targets. Monitoring shall be done periodically with the help

of identified key performance indicators; the periodicity being

determined largely by the nature of performance indicators. Like

implementation, monitoring too shall be done in project mode with

continuous feedback mechanism, for mid-course correction in

implementation, whenever required.

b) Monitoring shall be performed by NMDC/NCF through its team of

officials specifically designated for this task or through an external

agency to help in mid-course correction, if required. However, the

final evaluation shall be entrusted to an external agency. The

external agency, if any, engaged for implementing a project shall not

be considered for the task of monitoring and evaluation because of

the likely conflict of interest involved in the assignment.

c) A software cum MIS shall be in place to enable tracking, monitoring

& dissemination of information w.r.t. CSR activities.

13

d) A dash board giving a bird’s eye view of the CSR programme of the

Company shall be available to the Senior Management for ready

reference & effective monitoring.

e) Data-base of persons who are given skill development training and

are gainfully employed subsequent to the training shall be

maintained, to have an assessment of the number of persons who

have actually benefitted from training under CSR.

f) The detailed Monitoring strategies to be adopted are given in

Annexure – II.

17.2 Evaluation

Independent Assessment of major CSR Projects of NMDC will be

taken up through specialized / independent agencies to assess &

improve the effectiveness of the initiatives.

Monitoring & Evaluation shall be done at two levels viz., Corporate

Level & Project Level.

17.3 Reporting

NMDC shall submit details of its CSR activities as per the Annexure

of CSR Rules 2014 as part of the Annual Report and place the details

on the Company’s website.

17.4 Management Information System (MIS)

MIS shall include data w.r.t. physical progress, financials, Output &

Outcomes, along with documentary proof.

For effective follow-up, each CSR project/activity shall be suitably

coded.

14

Annexures

15

Annexure - I

Implementation Strategy

1.0 The CSR Projects/ Activities shall be implemented in any of the following

ways as below:-

A) Directly by NMDC.

B) Through NGOs / Voluntary Organizations/Trusts

C) Through concerned State/District Authorities/Panchayat Raj

Institutions at District / Block / Village level

D) Through/in-partnership with other PSUs

E) Through Local Urban bodies like Corporations / Municipalities etc

F) Through Self help groups

G) Any other Agency as approved by CMD

Every Project will specify the implementation schedule indicating the starting

date, date of completion, likely benefits etc.,

The methodology of implementation shall be as follows:-

1(A) Directly by NMDC -

i) The activities which can be implemented by NMDC either directly or by

engaging Contractors for infrastructural development shall be taken up

by NMDC.

ii) The periodical activities such as conducting medical camps, distribution

of uniforms to schools, and also activities like donation of

Ambulances/medical equipments to hospitals etc., shall also be taken up

directly by NMDC.

iii) The activities which cannot be taken up directly by NMDC because of its

nature, size and other limitations, shall be considered for implementation

through other alternatives.

iv) The CSR works executed through contractors shall adopt the same

procedure as followed for award of contracts for other NMDC works.

v) For the purchase of materials connected with CSR activity, a local

purchase committee shall be constituted to carry out the purchases as

per the purchase procedure depending upon the value of the purchases.

vi) The activities related to areas other than the Projects, units & Offices of

NMDC shall be dealt directly at Head Office.

vii) To accelerate the pace of development/optimize utilization of resources,

especially of the backward regions, NMDC may join

hands/pool/resources with other CPSEs.

16

1(B) Through NGOs / Voluntary Organizations (VOs)/Trusts:- (Only those NGOs/VOs which are registered on NGO portal of NITI Aayog, & Trusts established by Central & State Govt.)

i) The proposals of the CSR Projects of long duration focusing on overall

sustainable development in a given time frame requiring a dedicated team

and full time attention shall be considered for implementation through

reputed NGOs/Voluntary Organizations /Trusts functioning in similar

activities.

ii) NMDC may collaborate with internationally/nationally reputed

Foundations / Organizations.

iii) The NGOs/VOs shall be identified based on their credentials and long

standing performance in respective fields. NGOs/VOs with proven

performance and tax exemption benefit shall be given preference.

iv) NGOs may also come forward on their own with specific proposals in the

field of their expertise, within the purview of CSR Policy. Such proposals

should be complete in all respects and supported by their credentials and

capabilities.

v) Every claim/installment of NGOs for the work completed should be

supported by proper bills and receipts / documents in support of the

claim. Release of funds as advance shall be against Bank Guarantee.

vi) NMDC may take up CSR programmes or projects through a Trust. If such

a Trust is not established by the Company, it shall have an established

track record of three years in undertaking similar programmes or projects.

vii) NMDC may collaborate with NGOs/VOs for CSR initiatives wherein

requisite infrastructure is created by NMDC and the operation &

maintenance of the facility is taken care by partnering NGOs/VOs.

1(C) Through Concerned State/District Authorities/Panchayat Raj

Institutions at District / Block / Village level

i) The CSR works which cannot be taken up by NMDC directly or through

NGOs /Voluntary Organizations/Trusts/ Contractors due to various

reasons/ constraints, shall be carried out with the help of respective State

/District Authorities.

ii) The State/District Authorities/Panchayat Raj Institutions at

District/Block/Village level may also submit specific CSR proposals. In

such cases, NMDC may release funds to the respective authorities for

initiation and implementation, provided the schemes match with that of

NMDC.

iii) Such CSR works implemented through the local bodies/ Agencies

nominated by the District Authorities/District or State Authorities the

funds shall be released in suitable installments based on the progress and

Utilization Certificate.

iv) Only first installment of fund shall be released as unsecured advance.

v) Detailed Fund release pattern shall be as specified in Annexure – IX.

17

1(D) Through /in-partnership with other PSUs

i) Joint projects with other PSUs may be finalized after thoroughly

deliberating upon clarity of role, financial outlay, implementing agency,

socio-economic gains to the community etc.

ii) The draft proposal shall be further discussed and recommendation

should be made by Board Level Sub-Committee on CSR & Sustainability.

iii) Thereafter, the recommendations shall be put up to Board for approval.

1(E) Through Local Urban bodies

i) Works which can not be taken up by NMDC directly due to various

constraints shall be carried out in partnership with Local Urban Bodies

ii) NMDC may release funds to the District Authorities/Local Urban Bodies

for initiation and implementation of the initiative.

iii) Such CSR works implemented through the local urban bodies nominated

by the District Authorities/District or State Authorities, the funds shall

be released in suitable installments based on the progress and Utilization

Certificate.

iv) Only first installment of fund shall be released as unsecured advance.

v) Detailed fund release pattern shall be as specified in Annexure-IX.

1(F) Through Self help groups

i) Self help groups (SHG), which are in existence for at least one year with

bank linkage and good repayment record can be considered for

implementing CSR initiatives under a tripartite agreement involving Govt.

Representative in the Gram Panchayat concerned.

ii) Every claim/installment of the SHG for the work completed should be

supported by proper bills and receipts / documents in support of the

claim.

1(G) Any other Agency approved by CMD

CSR initiatives can be implemented through any other agency approved by CMD.

Modalities and terms of payment for such agencies shall be worked out on case

to case by suitably adopting the broad guidelines used for various implementing

agencies.

18

Annexure-II

Monitoring & Evaluation Strategy

2.0. All CSR Projects/Activities shall be monitored directly or indirectly by NCF

for NMDC. The monitoring & evaluation strategy shall be as below:-

2(A) Projects directly taken up by NMDC -

i) The CSR Projects taken up by NMDC or through Contractors shall be

monitored & evaluated directly by NCF Wing/Department concerned.

ii) The award of contract for CSR works shall be finalized within the time

frame set by the Head of NMDC Project concerned for timely initiation of

the activity. Release of funds to contractors shall be defined in the work

order itself.

iii) The ongoing activities such as distribution of uniform to schools, medical

camps etc., shall be coordinated by NCF. All the required staff shall be

provided by the respective departments for the period of the activity.

iv) NCF shall draw a time frame from the date of initiation. Any delay noticed

while monitoring the activity, remedial measures may be taken for timely

completion of the Project.

2(B) Through NGOs /Voluntary Organizations -

i) The CSR Projects taken up through NGOs or through any Trust(s) shall be

monitored & evaluated jointly by NCF and respective organizations. An

evaluation format shall be prepared jointly by both NCF and Organization

for this purpose. Third party assessment required to assess the value

/utility and excellence of work & outcomes such as improved health,

education, infrastructure etc shall also betaken up.

ii) The periodicity of joint evaluation shall also be decided by both the parties

together. At times, any official from NCF or any other department of the

Project / HO may also independently review the performance by visiting the

sites. Joint evaluation report shall be base for release of funds.

iii) Release of funds after commencement of the activity shall be invariably

linked to the joint evaluation and achievement of results against the targets

till date.

iv) In case, the progress, as per the joint evaluation is not as per the target

and proportionate to the funds released, a higher level committee

constituted by Head of the Project with members from NMDC and the

respective NGO shall review the evaluation and submit the

report/recommendations.

v) Release of funds shall be made after fulfilling the targets, proportionate to

the funds released earlier. Self Sustainability of the activity shall be

established after its implementation in the given time frame.

19

2(C) Through State/District Authorities/Panchayat Raj Institutions at

District/Block/Village level/In partnership with other PSUs/Through Local

urban bodies/Through Self-help groups

i) The Projects taken up through State/District Authorities shall be

monitored & evaluated by both NMDC and the State Authority/respective

departments/agencies, either jointly or independently.

ii) Funds shall be provided by NMDC in suitable installments. After release of

the first installment for initiation of the work, further release of fund shall

be based on progress of the work by the joint inspection team consisting of

representatives from NMDC & State Authority/respective

departments/agencies and utilization certificate submitted by the

respective Agency.

2(D) Independent Assessment of CSR initiatives of NMDC

Independent Impact Assessment of CSR Projects of NMDC will be taken up

through specialized agencies to enable impartial assessment of work, ensure

objectivity, transparency and improve the effectiveness of the initiatives. The

external agency, if any, engaged for implementation of project shall not be

considered for monitoring or evaluation because of the likely conflict of

interest involved in the assignment.

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Annexure – III

3.0 Focus Areas

(Activities undertaken in pursuance of normal course of Business of the

Company can not be included under CSR)

3.1 Prime Focus Areas

3.1.1 Employment enhancing Vocational Skills including Skill

Upgradation

a. Skill development training for unemployed youth for better

employability & to promote self employment.

b. Vocational/ technical/professional training for youth.

c. Skill Up-gradation

d. Imparting training in agriculture to Small farming villages and

provide consultancy from experts.

e. Livelihood enhancement Projects

f. Special focus to cover children, women, elderly and the differently-

abled.

g. Any other related activity.

3.1.2 Drinking Water including integrated water shed development &

Sanitation

a. Setting up effluent treatment plant and sewage treatment plants.

b. Provide safe drinking water from impure water sources including by

sinking bore wells, tube wells, establishment of water treatment

plants etc.

c. Promotion of sanitation through proper drainage system and

construction of toilets.

d. Drinking water supply initiatives, water body restoration works,

Swachh Bharat Abhiyaan initiatives & initiatives for bringing about

behavioural change towards sanitation & hygiene etc.

e. Any other related activity including integrated water shed

development.

3.1.3 Promotion of Education including special Education in primary

schools with special focus on Districts in which NMDC projects

are located

a. Construction of school buildings & facilities including boundary

walls, separate toilets for boys & girls and provision of drinking

water.

b. Provision of uniforms, books, stationery, computer & Laboratory

equipments etc., to schools.

21

c. Scholarships/fellowships to deserving students to encourage

education.

d. Promotion of adult education with focus on women’s education etc.

e. Reducing the drop out of students & absenteeism through

counseling & other means.

f. Promote computer literacy and technology assisted learning through

provision of hardware and hard infrastructure.

g. To set up/ promote higher education through special coaching/

inputs to bridge the gap.

h. To promote Technical/ professional/ medical education by giving

financial assistance / opening institutions and providing

infrastructural support to promote education in Project areas.

i. Promote digital classrooms and e-education.

j. Any other activity to promote education in project areas.

3.1.4 Health

a. Promoting Preventive healthcare through operation of Mobile medical

Vans - Only hardware provision.

b. Providing free treatment to Adivasis at NMDC Project Hospitals in

Bailadila.

c. Health awareness campaigns on serious/chronic diseases on State

media-Radio and Doordarshan.

d. Organizing periodic health camps in collaboration with State Medical

Agencies.

e. Assistance for establishment of State Run Hospitals

f. Combating Human Immunodeficiency virus, acquired immune

deficiency syndrome, malaria and other diseases – through supply of

diagnostic kits, medicines.

g. Any other related activity.

3.1.5 Rural Development Projects

a. Development of roads, bridges, markets, transport facilities,

community welfare centers, beautification, other civic amenities etc.

b. Electrification of Public buildings in villages.

c. Infrastructure support in Villages with SC/ST /backward and other

socially backward populations.

d. Any other related Items

3.1.6 Ensuring Environmental Sustainability

a. Afforestation : Plantation of indigenous plants through afforestation

at NMDC Projects.

22

b. Bio-diversity and Wild life Management : Bio-diversity management

for conservation of native species of the region and maintaining

existing ecological processes.

c. Waste Water Management : Recycling of treated water in the process

through secondary waste water treatment.

d. Soil Management : Soil and Moisture conservation for improving soil

stability and plant life.

e. Green House Gas Inventory : Green House Gas Inventory at Bailadila

Complex, Donimalai and Kumaraswamy projects for mitigation of

Carbon Emission.

f. Carbon Management : Renewable Energy Certificates to offset

Carbon Foot Prints.

g. Energy Management : Energy management Audits for savings of

energy usage.

h. Non-Conventional Energy : Promote use of non-conventional energy.

i. Pollution Control : Monitoring of Environmental parameters to

maintain the pollution levels well within the norms prescribed by

State Pollution Control Boards and Central Pollution Boards in

respect of Ambient Air Quality, Water Quality parameters and

Ambient Noise levels.

j. Fugitive dust emission : Water sprinkling on mine haulage roads for

control of fugitive dust emissions. Mist water spray for dust

suppression at Crushing Plant.

k. Clear Water Discharge : Discharge of clear water from tailing dams to

downstream nallahs.

l. Increasing water use efficiency in Industry

m. Stabilization of Waste dumps : Geo Coir mats for stabilization of

waste dumps.

n. Water Conservation : Promote watershed development / water

harvesting / water conservation measures.

o. Ecological balance, Protection of Flora & Fauna, Animal welfare,

Agro-forestry, Conservation of Natural resources and Monitoring

quality of soil, air & water.

p. Any other related activity.

3.1.7 Sustainable Natural Resource Management

23

3.2 Other Focus Areas

3.2.1 Promoting gender equality and empowering women, Setting up

Homes & Hostels for women and Orphans; Setting up Homes,

daycare centre and such other facilities for senior citizens and

measures for reducing inequalities faced by Socially and

Economically backward groups.

Empowering women through Self help Groups (SHGs)

3.2.2 Eradicating Hunger, Poverty & Malnutrition

Supply of Mid-day meals, nutritious food for school/anganwadi

children in partnership with Govt. or reputed NGOs.

3.2.3 Reducing Child Mortality & Improving Maternal Health

a. Nutritional supplements to pregnant women, lactating mothers,

children between ages 1-5 years and adolescent girls directly or

through Govt. or reputed NGOs.

b. Supporting Govt. programmes for reducing Child mortality &

improving Maternal health.

c. Any other related activity.

3.2.4 Promotion of Sports

a. Providing assistance to various recognized sporting events.

b. Providing assistance to Individuals / teams directly or through

recognized sports organizations by way of provision of kits and

equipment.

c. Training to promote rural sports, nationally recognized sports,

Paralympic sports and Olympic sports through support for kits

and equipment.

d. Support to the sports of Archery & Handball in Chhattisgarh and

indigenous sporting activities around Bailadila Projects.

e. Any other related activity.

3.2.5 Others

a. Offering specialized support services to the physically handicapped

and mentally challenged people.

b. Protection of national heritage, art & culture including restoration

of buildings and sites of historical importance and works of art,

setting up public libraries, promotion & development of traditional

arts, Dance forms & handicrafts.

c. Contribution for funds provided to technology incubators located

within academic institutions which are approved by the Central

Govt.

24

d. Contribution to the Prime Minister’s Relief Fund or any other fund

set up by the Central Govt. for socio-economic development and

relief and welfare of the scheduled castes, the scheduled tribes,

other backward classes, minorities and women.

e. Activities w.r.t. Digital India programme of GoI permissible under

Schedule VII of Companies Act.

f. Any other related activity.

25

Annexure-IV

4.0 Ongoing CSR Programmes as on 01.08.2016

S.No. Focus Area / Activity Start

Date

End

Date

4(A) Education

1) NMDC Siksha Sahayog Yojana – Scholarship Scheme catering

to 18000 poor SC/ST students to enable them pursue their

education beyond VIIIth Class.

2008-09 Ongoing

2) NMDC Balika Siksha Yojana – Scheme to sponsor tribal girls

from Bastar Division to Nursing Courses

2011-12 Ongoing

3) Mid-day Meal Programme – Provision of Nutritious &

wholesome meal to 8000 Govt. school children in Bellary

District in partnership with M/s. Akshaya Patra

2008-09 Ongoing

4) Operation of NMDC Residential School at Nagarnar 2010-11 Ongoing

5) Operation of Polytechnic College & ITI in Dantewada District 2010-11 Ongoing

6) Operation of ITI at Nagarnar in Bastar District 2010-11 Ongoing

7) Support to operation of Astha Gurukul – Residential School for

SC/STs etc, Saksham – School for differently-abled children in

Education City at Dantewada

2015-16 Ongoing

4(B) Health

1) Providing free treatment to tribals at Project Hospitals in

Chhattisgarh

1967-68 Ongoing

2) Operation of Hospital on Wheels in Project areas 2009-10 Ongoing

3) Supplementing the efforts of State authorities for enabling

provision of modern medicare to BPL people

2005-06 2018-19

4) Supporting ‘Sanjeevani Kosh’ of Govt. of Chhattisgarh to refer

poor tribal patients for specialist treatment to higher medical

centres

2010-11 Ongoing

4(C) Drinking Water

1) Supporting ‘Nal-Jal Yojana’ of Govt. of Chhattisgarh 2013-14 2018-19

2) Supply of water to near by villages of NMDC Projects 1990-91 Ongoing

3) Installation & maintenance of hand pumps in surrounding

villages of NMDC Project 1970-71 Ongoing

4) Partnering with Govt. of Chhattisgarh for providing Solar based

drinking water facility in Schools & Villages

2011-12 2017-18

26

4(D) Integrated Village Development

Multi-dimensional development initiatives in 18 villages. The

canvas of developmental works including Support to

agricultural activities, Vocational Training, Academic support

to improve quality of education in 52 schools, Nutritional

support for children in 46 Anganwadi Centres, Program for

bringing about behavioural change w.r.t. Sanitation & personal

hygiene and Women empowerment through SHGs and other

activities

2008-09 2017-18

4(E) Skill Development

1) Skill Development programme for non-NMDC stakeholders in

Chhattisgarh & Karnataka through NSDC for Mining & Steel

Sector related Skills in Chhattisgarh

2015-16 2018-19

2) Skill Development programme for unemployed youth in

Districts of Madhya Pradesh

2015-16 2017-18

4(F) Sports & Culture

1) Financial Assistance to M/s.Chattisgarh Pradesh Archery

Association & M/s.Chhattisgarh Handball Association for

promotion of the sports in Chhatisgarh

2003-04 Ongoing

2) Promotion of traditional sports in surrounding villages of

NMDC Projects

2008-09 Ongoing

3) Support for conduct of Madai Melas/Jatra/Mahotsav etc for

conservation of cultural heritage of tribals

2008-09 Ongoing

4(G) Infrastructure Development

1) Development of various rural infrastructure viz., Roads,

Culverts, Bridges, Educational Institutions, Healthcare facilities

etc in partnership with State Authorities

1970-71 Ongoing

27

Annexure-V

5.0 Schedule – VII of Companies Act, 2013

I. Eradicating hunger, poverty and malnutrition, promoting health care

including preventive health care and sanitation including contribution to

Swachh Bharat Kosh set-up by the Central Government for the promotion of

sanitation and making available safe drinking water;

II. Promoting education, including special education and employment enhancing

vocation skills, especially among children, women, elderly, and the differently

abled and livelihood enhancement projects,

III. Promoting gender equality, empowering women, setting up homes and hostels

for women and orphans; setting up old age homes, day care centres and such

other facilities for senior citizens and measures for reducing inequalities faced

by socially and economically backward groups;

IV. Ensuring environmental sustainability, ecological balance, protection of flora

and fauna, animal welfare, agroforestry, conservation of natural resources and

maintaining quality of soil, air and water including contribution to Clean

Ganga Fund set-up by the Central Government for rejuvenation of river

Ganga;

V. Protection of national heritage, art and culture including restoration of

buildings and sites of historical importance and works of art; setting up public

libraries; promotion and development of traditional arts and handicrafts;

VI. Measures for the benefit of armed forces veterans, war widows and their

dependents;

VII. Training to promote rural sports, nationally recognized sports, paralympic

sports and Olympic sports;

VIII. Contribution to the Prime Minister's National Relief Fund or any other fund

set up by the Central Government for socio-economic development and relief

and welfare of the Scheduled Castes, the Scheduled Tribes, other backward

classes, minorities and women;

IX. Contributions or funds provided to technology incubators located within

academic institutions which are approved by the Central Government;

X. Rural development projects,

XI. Slum area development

28

Annexure-VI

6.0 Working Mechanism

Proposals prepared by

NCF Team at Projects

Proposals from

NGO’s

Proposals examined at

NCF,H.O. Level

Proposals examined by CSR &

Sustainability Committee

Proposals recommended by CSR & Sustainability

Committee submitted to Board for Approval

Proposals received

from State Authorities

Examination by NCF Team at

Projects & forwarding to

NCF,H.O. with

recommendations

In Principle Approval of

Competent Authority

Implementation of approved CSR initiatives, Monitoring,

Evaluation, Impact Assessment & Reporting by NCF

Review of progress of CSR initiatives by the CSR &

Sustainability Committee

29

30

Annexure-VIII

8.0 Specific Details required for examination of CSR proposals - Format

1

Focus Area:

o Education / o Drinking Water / o Health & Hygiene o Infrastructure o Integrated Village Development o Skill Development & Income Generation) /or items under Schedule VII

of Companies Act 2013

2 Name / Title of the Proposal

3 Aim & Objectives of the Proposal

4 Why Needed (Justification in terms of expected/benefits/outcomes or targets)

5 Type of Work: (New/Old/Purchase/ Others)

6

Nature of Work

o Social Engineering Project / o Infrastructural Development / o Operation & Management of Existing Institution / o Others (please specify)

7 Location: District, Block, Village / Gram Panchayat & Complete address

8

Details of Infrastructure / Proposal o Measurement, Dimensions, built up area etc in case of infrastructure

projects/ o For social engineering works - nature of resources being deployed in

terms of manpower/material etc and nature, tenure & terms of their engagement/deployment

o Operation and maintenance, details with respect to engagement of service providers i.e. nature of engagement etc.

o Others (please specify)

9 Estimated allocation sought for

10

Basis of Estimate(SOR/PWD/CPWD etc for infrastructure works, market rates / DGS&D rate for purchase proposals and other criteria for other proposals if any and the administrative cost shall not exceed the prescribed percentage)

11 Proposed duration of Completion/ Implementation

13 Nature of Fund requirement from NMDC

o Fully Funded o Partially Funded

14 Additional information if any (additional sheets may be attached including drawings, plans and other supporting documents based on need)

__________

Signature

31

Annexure-IX

9.0 Fund Release pattern in respect of CSR Works taken up in partnership with State Authorities / Panchayat Raj Institutions / Local

Urban Bodies

9.1(A) For Infrastructure Development Works with value above Rs.5.00 lakh

First installment of 40 % of the outlay - Release on signing of the MoU with

the State Authorities as unsecured advance,

The 2nd installment of 40% may be released on receipt of photographic evidence of progress of work to the extent of 35% of the total work along

with utilization certificate for the previous fund release, with both documents having been endorsed by the District Collector concerned or his

authorized representative. Subsequent to release of 2nd installment, the Project Authorities may conduct Joint inspection of the work to ensure that the progress is, as photographed.

The 3rd installment of 20 % may be released on receipt of photographic

evidence of progress of work to the extent of 75% of the total work along with utilization certificate for the previous funds release, with both

documents having been endorsed by the concerned District Collector or his authorized representative. Subsequent to completion of work, the Project Authorities may conduct Joint inspection of the work to ensure that the

work is complete in all respect and any deviation/adjustment, if necessary, will be addressed on case to case basis by seeking refund or adjusting the applicable amount from other works/future works being/to be taken up in

partnership with the State Government.

9.1(B) For Infrastructure Development Works with value below Rs.5.00 lakh

First installment of 80 % of the outlay - Release on signing of the MoU with the State Authorities as unsecured advance,

Release of balance 20% on receipt of utilization certificate for the earlier

fund release, duly endorsed by the District Collector concerned or his authorized representative and physical inspection by the Joint inspection

team.

32

9.2 For Purchase related Activities

For purchases up to Rs.1.00 lakh – Release of 100 % of the agreed amount

on signing of MoU and obtaining of Utilization Certificate after the purchase

for record purposes,

For purchases above Rs.1.00 lakh up to Rs.5.00 lakh – Release of 90 % of

the agreed amount on signing of MoU and the remaining 10 % on

submission of Utilization Certificate and Physical verification of purchase,

For purchases above Rs.5.00 lakh up to Rs.20.00 lakh – Release of 80 % of

the agreed amount on signing of MoU and releasing of the remaining 20 %

on submission of Utilization Certificate and physical verification of purchase

For purchases proposals above Rs.20.00 lakh - Release of 50 % of the

agreed amount on signing of MoU and the remaining on submission of

Utilization Certificate and physical verification of purchase.

For purchases of vehicles & equipment which are sold on full down payment

basis upto Rs.500.00 lakh – Release of 100 % of the agreed amount on

signing of MoU and physical verification on receipt of information w.r.t.

purchase made.

For CSR works to be taken up outside the local area of Chhattisgarh, Karnataka & Madhya Pradesh, MoUs shall be signed with the designated District Authority and payments shall be accordingly released to the

designated District Authority.

9.3 Fund Release pattern in respect of CSR Works taken up through

Self-help groups

Working capital requirement or 10% of the total out lay, whichever is lower - Release as unsecured advance on signing of tripartite agreement with the

Self-help group involving Gram Panchayat concerned

Cost of Equipment / Machinery – Release of funds to the extent of cost of

machinery/equipment, directly to the suppliers, as advance, if required.

Subsequent Installments shall be based on estimated value of the project and implementation schedule – Release of funds on receipt of proper

bills/receipts and utilization certificate for previous funds released and documentary proof of progress of work, verified by the designated Joint

Inspection team. Final installment restricted to the actual value of work.

33

Annexure-X

10.0 Indicative Outlay linked Costs for Baseline Survey, Monitoring &

Evaluation, Impact Assessment of CSR initiatives

S.No. Activity Indicative

cost as % of Total cost of

Project

1 Need Assessment / Baseline Survey Upto 1%

2 Monitoring & Evaluation Upto 3%

3 Impact Assessment Upto 1%

Due to large number of CSR works being taken up by NMDC with wide

variations in the quantum of work & types of activities, the above activities shall be conducted separately for each activity, instead, the same will be taken up through specialized agencies, for a set of activities clubbed together

on the basis of ‘focus area’, ‘area of implementation’, etc. Budget for each activity viz., ‘Need Assessment/Baseline Survey’, ‘Monitoring

& Evaluation’, ‘Impact Assessment’ shall be calculated for each activity, separately; however, they will be conducted for a group of activities.

34

Annexure-XI

11.0 Indicative Outlay linked Project Management Cost

The Project Management Cost (PMC) which shall include costs involved in the stages from conception of the project to its eventual implementation and subsequent closure of the project and shall depend on the nature of the

project, its duration etc. However, the same can amount to a maximum extent of upto 10% of the total

cost of the project.

The PMC shall be inclusive of the establishment, administrative & other cost, if any.