Developing Innovative,

Integrated, and
Sustainable Urban Projects
using the CITIIS Model
Toolkit on Urban Infrastructure
Project Development
Published in June 2021 by the City Investments to
Innovate, Integrate and Sustain (CITIIS) program under
the National Institute of Urban Affairs (NIUA).

All rights reserved. No part of this report may be

reproduced in any form by an electronic or mechanical
means, including information storage and retrieval
systems, without permission from the publishers.
 Developing Innovative,
Integrated, and
Sustainable Urban Projects
using the CITIIS Model
Toolkit on Urban Infrastructure
Project Development
 Messages

The Smart Cities Mission aims to create an urban ecosystem that represents
a comprehensive development of institutional, physical, social and
economic infrastructure to improve ease of living, and attracting people and
investments to Indian cities. Launched as a complement to the Smart Cities
Mission, the CITIIS program has successfully developed reference models

in the urban ecosystem.

Shri Hardeep Singh Puri

Hon’ble Minister of State (I/C),
Housing & Urban Affairs, Government of India

ii MESSAGES
I am happy to note that the CITIIS project is producing tangible and
valuable outputs such as this Toolkit, well in line with the overall objectives
of India’s Smart City Mission. Creating knowledge and sharing experiences
helps to sustain a common vision for sustainable cities. The EU is glad to
have contributed to the CITIIS project in the form of technical assistance,

on the ground. I trust that this toolkit will promote further climate
smart infrastructure projects.

Mr. H.E. Ugo Astuto

Ambassador
Delegation of the European Union to India

Learnings and knowledge created from India’s lighthouse Smart cities

should continue to inspire other cities to replicate and adapt solutions. In
this regard, the CITIIS program presents a good example of a
structured approach towards urban management.

Shri Durga Shanker Mishra

Secretary
Ministry of Housing and Urban Affairs,
Government of India

As an extension to the Smart Cities Mission, the CITIIS program has

demonstrated the way in which urban programs can contribute in
transforming the country into a digitally empowered society and a knowledge
economy. It is setting a template for future development, establishing new
concepts and developing institutional and professional capacity in
12 Indian cities.

Shri Kunal Kumar

Joint Secretary and Mission Director (Smart Cities Mission)
Ministry of Housing and Urban Affairs,
Government of India

MESSAGES iii
 Messages

to test and adopt best practices for urban development. The tools developed
during the maturation phase of the program played a structuring role in
enhancing the level of innovation, integration, sustainability and
relevance in the projects.

Mr. Bruno Bosle

Country Director
AFD-India

CITIIS presents a good example of the importance of robust urban

management. By committing to structured project development, focused
capacity enhancement and knowledge sharing, the program focuses
on increasing the preparedness of 12 Smart City SPVs from the inception
of the project to ensure effective and outcome-oriented
implementation.

Mr. Hitesh Vaidya

Director
National Institute of Urban Affairs, India

Through many novel planning approaches, CITIIS has pushed the envelope
on designing inclusive, sustainable and innovative urban projects. I am sure
that our cities and local urban governments can learn a lot from the tools
and resources developed in this toolkit, and will easily be able to
integrate them in their urban planning methods.

Mr. Lal Chhandama

Director SC-I (Smart Cities)
Ministry of Housing and Urban Affairs

iv MESSAGES
and adaptability. The CITIIS program presents a unique approach to solving
some of the key challenges faced by Indian cities by incorporating these
values in the program design. Over the last three years, CITIIS has built
strong coalitions with various stakeholders, enabling us to have a more
holistic understanding of city needs and the tools required to address those
needs. This toolkit encapsulates the learnings from the program and will
undoubtedly help other cities and local governments in holistically planning
urban development projects in an integrated, innovative and
sustainable manner.

Ms. Neha Singh

Deputy Director
Ministry of Housing and Urban Affairs

From pioneering a unique project planning approach called the ‘Maturation

Phase’ wherein SPVs spent dedicated time and resources towards
strengthening all facets of a project through targeted actions to instituting
a innovative mentorship program to assist and facilitate SPVs in planning
and executing their operations, CITIIS has reinforced the basic principles
of urban management as well as introduced new concepts and
knowledge.

Mr. Naim Keruwala

Program Coordinator and Team Lead — CITIIS
National Institute of Urban Affairs, India

MESSAGES v
Acknowledgements

towards ensuring robust urban management, and would not have been possible
without the collaboration of multiple program stakeholders and domain experts. We
extend our gratitude to all our partner organisations whose collective work has been
synthesized in this guidebook.

We are extremely grateful to our program partners, including the Ministry of Housing
and Urban Affairs (MoHUA), Agence Française de Développement (AFD) and the
European Union (EU) for providing strategic guidance and an enabling environment
for implementing an innovative program like CITIIS. We are especially thankful for
the active participation of Shri Kunal Kumar, Joint Secretary and Mission Director
(SCM), Shri Lal Chhandama, Director (SCM), and Ms. Neha Singh, Deputy Director
from the MoHUA, Ms. Ms. Clemence
ClemenceVidal
Vidaldede
la Blache,
Blache, Ms. Juliette Le Pannérer, and
Ms. Fanny Ragot from the AFD and Ms. Smita Singh from the EU.

NIUA partnered with various organisations and independent practitioners to prepare

tools and template for different stages of urban infrastructure project development,

implementor in India. We would specially like to thank our partners:

based out of France for their collaboration in designing the maturation phase

report. Special mention to Mr. Adrien Faugere and Ms. Blanche Varlet for their
active engagement with the team.

The CEPT Research and Development Foundation (CRDF) for their contribution
in developing template for Feasibility and Detailed Project Report teamplates.
templates.
Special mention to Mr. Darshan Parikh, Director, CRDF for bringing his domain
expertise in preparing of the standard model documentation.

from France, for working with all our 12 smart city partners in bottom-up
development of this methodology. Special mention to Lionel Cauchard and
Mr. Victor de Gall du Tertre for facilitating 36 hours of on-line participatory
workshops with each of the 12 cities.

Mohankumar, also a Domestic Expert in CITIIS for her valuable contribution in

preparing the Communications and Outreach Toolkit.

Last but not the least, this work would not have been possible without the openness
and involvement of the SPVs who are pushing the needle of innovation each day and
our technical assistance team for helping them do so.

ACKNOWLEDGEMENTS vii
Contents

CITY INVESTMENTS TO INNOVATE, INTEGRATE, AND SUSTAIN ....................... 3

1. INTRODUCTION ................................................................................................ 4
1. Purpose of the Toolkit ................................................................................................................... 6
2. Navigating the Toolkit ................................................................................................................... 8

2. PROJECT READINESS ....................................................................................... 10

1. Project Roadmap.......................................................................................................................... 12
2. Project Logical Framework ......................................................................................................... 15
3. Organisational Readiness Assessment ..................................................................................... 17
4. Stakeholder Mapping .................................................................................................................. 19
5. ................................................................................................................................. 21

3. PROJECT STRUCTURING .................................................................................. 24

6. Global Best Practices Review ...................................................................................................... 26
7. Environmental and Social Safeguards Screening .................................................................... 27
8. Baseline Studies ........................................................................................................................... 34
9. Stakeholder Engagement Plan (SEP)......................................................................................... 38
10. Communications and Outreach Plan (COP) ............................................................................. 42

4. DESIGN FEASIBILITY ....................................................................................... 46

11. Environment and Social Impact Assessment ........................................................................... 48
12. Feasibility Study ........................................................................................................................... 54
13. Project Scenario Co-design ......................................................................................................... 59
14. Pilot Project Implementation ..................................................................................................... 60

5. DESIGN SOLUTION .......................................................................................... 62

15. E&S Management Plan (ESMP) .................................................................................................. 64
16. Monitoring and Evaluation Plan ................................................................................................ 67
17. Detailed Project Report (DPR) .................................................................................................... 76

6. PROJECT MATURITY ....................................................................................... 80

18. Additional Training Needs Assessment .................................................................................... 82
19. Capacity Building Plan ................................................................................................................. 84
20. Design Evaluation Report ........................................................................................................... 86
 City Investments To Innovate, Integrate, and Sustain Program
City Investments To Innovate, Integrate, and Sustain (CITIIS) is the main component of the ‘Supporting Smart
Cities Mission for a more Inclusive and Sustainable Urban Development in India,’ initiative launched by the Ministry
of Housing and Urban Affairs (MoHUA), Government of India in 2018. The program is supported by the Agence
Française de Développement (AFD) and the European Union (EU) and is being coordinated and managed by the
Program Management Unit (PMU) at the National Institute of Urban Affairs (NIUA). External aid to the tune of EUR
100 million has been provided to twelve Smart City Special Purpose Vehicles (SPVs) in the form of loan, and EUR 6
million has been made available for technical support to the program.

CITIIS was launched as a complementary instrument to India’s Smart Cities Mission (SCM), to assist Indian cities in
implementing urban infrastructure projects that are integrated, innovation-driven, and sustainable. The program
comprises three components that have been operationalised at the city, state and national levels.

Component I
thematic areas of urban infrastructure development viz., sustainable mobility, public open spaces, e-governance
and ICT, and social and organisational innovation in low-income settlements. This was operationalised through the
City Innovation Challenge (that led to project selection) and a tailored mentorship program – a pool of 14 experts

delivery.

Component II entails capacity development activities at the state level. Component II of the program aims to
leverage state partnership to undertake capacity building of smart cities by promoting organisational learning and
knowledge sharing through state-level advisory services..

Component III entails the promotion of integrated urban management at the national level, by promoting results-
based management – through a customised monitoring and evaluation framework, technology adoption through
the CITIIS management platform, and knowledge capitalisation.

CITIIS PROGRAM 3
1
Introduction
1. Purpose of the Toolkit

2. Navigating the Toolkit

INTRODUCTION 5
1 Introduction
1. Purpose of the Toolkit
2. Navigating the Toolkit

1. Purpose of the Toolkit

Urban infrastructure projects are complex in nature, regardless of the scale and scope. Every infrastructure project
entails the development of management structures to ensure quality service delivery, in addition to the construction
of physical assets. In CITIIS, 12 SPVs were tasked with developing innovative, integrated, and sustainable urban
development projects that provided potential for scalability. In this endeavour, the SPVs used a customised approach
for planning and design – this approach has been generalised in this Toolkit document for future urban projects.
The goal of the Toolkit is to increase the preparedness of project implementors and ensure that the bottlenecks
encountered in implementation are remediated in the planning and design stages itself. In CITIIS, this process
of a detailed examination and structured approach to project planning was called the ‘Maturation Phase’, the

comprehensive stakeholder engagement, strategic monitoring, and strategic knowledge capitalisation and peer-
learning in the project lifecycle.

One of the biggest challenges in urban management today is making project

Project Initiation
designs robust and adaptive. The Toolkit attempts to provide a structured
and standardised approach that can be adopted by a diverse set of urban

scrutinises the Project Development phase, and provides a process template Project Development
for urban managers to utilise. The Project Development phase is at the heart
of the project lifecycle, where project plans and designs are documented;
Implementation
The plans created during this phase help the project team to manage time,
cost, quality, changes, risk and other related issues.
Operations and Maintenance
The Project Development phase can be grouped as a 20-step process that
emphasises a structured approach, beginning from conceptualisation to
project structuring and meaningful engagement of all project stakeholders.
Project Closure
The Toolkit outlines a step-by-step approach to project development by
deconstructing the elements of the process, and suggests tools for each
step. As presented in Table 1 below, the Project Development process can be

– Project Readiness; Project Structuring; Design Feasibility; Design Solution; and Project Maturity.

Over the course of the design development of the project (the duration of which varies with the nature and scale
of the project), many steps of the framework work in tandem providing feedback to one another and to the
framework. The richness of one activity, positioned appropriately and complemented by others, helps improve
the overall maturity of the project plans even as project implementors are able to expeditiously complete Project
Development activities.

6 INTRODUCTION
Table 1: Typical Project Development process

Project
Development
Activities

Project Roadmap

Project Logical
PLF Workshop
Project Readiness

Framework

Organisational
Readiness
Assessment

Stakeholder
Mapping

Recruitment of additional team personnel

Global Best
Practices Review
Project Structuring

Environmental and
Social Safeguards E&S Training
Screening

Baseline Studies Technical Training 1

Stakeholder
Engagement Plan

Communications
Communications Webinar
and Outreach Plan

E&S Impact
Assessment (ESIA)
Design Feasibility

Feasibility Study Technical Training 2

Project Scenarios
Co-design

Pilot Project
Implementation

E&S Management
M&E Training
Design Solution

Plan (ESMP)

Monitoring and
Evaluation Plan

Detailed Project Technical

Report (DPR) Training 3

Additional Training
Project Maturity

Needs Assessment

Capacity Building
Plan

Design Evaluation
Report

We believe that a Project Development process can range between 6-9 months, depending on the domain and
scale of the proposal. Table 1 gives a proportional representation of the inter-relationships and time dependencies
between the activities. However, the duration and sequence of these activities may vary based on the nature of the

INTRODUCTION 7
2. Navigating the Toolkit

Activity Key Considerations References

Project Project Roadmap The purpose of a Project Project Roadmap Template

Readiness Roadmap
How is Project Roadmap different
from a Project Management
Plan?
Tips for building a Project
Roadmap that clearly lays down
the project’s vision

Project Logical Project Logical Framework

Framework (PLF) Logical Framework Approach Template
STAGE 1

Step-by-step breakdown of Reference material: CITIIS

building a Project Logical Workbook on PLF
Framework

Organisational Assessing organisational Checklist of Considerations for

Readiness processes and systems preparing an Organisational
Assessment Readiness Assessment

Stakeholder Conducting a stakeholder Stakeholder Mapping Matrix

Mapping mapping exercise using concepts

building complementary skill sets

Project Global Best Adopting global best practices CITIIS resource books on best
Structuring Practices Review practices

Environmental and The importance of E&S E&S Screening Template

Social Safeguards safeguards
Screening Why and how to conduct E&S
screening?

Baseline Studies Relevance of conducting baseline Checklist of Content for a

studies for improved project Baseline Report
structuring
STAGE 2

Steps involved in commissioning

a baseline study

Stakeholder Elements of a Stakeholder Checklist of activities for

Engagement Plan Engagement Plan preparing an SEP and Work
(SEP) Plan Template

Communications Communications and Outreach Checklist of Content of a

and Outreach Plan for an urban infrastructure Communications and Outreach
(COP) project Plan
Components and steps to Reference material: CITIIS Toolkit
prepare an effective COP on Developing an Effective
Communications

8 INTRODUCTION
 Activity Key Considerations References

Design E&S Impact Assessing environmental and Typical Structure of an E&S

Feasibility Assessment (ESIA) social impacts Impact Assessment Report
Steps involved in conducting Reference material: Guidance
E&S impact assessments for Notes on EIA and SIA
infrastructure projects

Feasibility Study Approach for preparing a Feasibility Report Template

Feasibility Study

Project Scenarios Relevance of co-design in urban Reference material: CITIIS Pocket

STAGE 3

Co-design infrastructure project Reference Book on User Centered

Various dimensions of a Design
typical co-design process in an
infrastructure project

Pilot Project Stages in pilot project

Implementation design and implementation
– conceptualization,
implementation, and
institutionalisation
Types of upscaling models for
pilots

Design E&S Management Essential components of E&S Checklist of Content for an

Solution Plan (ESMP) monitoring and management Environmental and Social
plans Management Plan
STAGE 4

Monitoring and Preparing an M&E plan to M&E Plan Template

Evaluation Plan periodically track progress and Reference material: CITIIS
evaluate impact of the project Workbook on M&E
across various interventions

Detailed Project Typical approach to preparing a Detailed Project Report

Report (DPR) detailed project report Template

Project Additional Training Conducting a Training Needs Suggestive Note on Training

Maturity Needs Assessment Assessment for assessing Needs Assessment
domains areas where additional
skill sets are required on the
project

Capacity Building Preparing a strategic document Capacity Building Plan

STAGE 5

Plan for capacity enhancement at Template

individual and organisational

Design Evaluation Design assessment of the project Template for Design Evaluation
Report before the implementation Report
phase to gauge gaps and risks,
and plan for appropriate course
correction and mitigation

INTRODUCTION 9
2
Project
Readiness
1. Project Roadmap

2. Project Logical Framework

3. Organisational Readiness Assessment

4. Stakeholder Mapping

5.
2 Project Readiness

1. Project Roadmap
a. Purpose of a Project Roadmap
An essential part of planning an urban infrastructure project is strategy and the need to communicate the vision
clearly with all stakeholders. That is where project roadmaps come in handy. They help stakeholders understand
project goals, targets, allocated resources, and expected deliverables, all plotted out on a timeline.

A project roadmap serves as a simple, easy-to-follow document for all key stakeholders to visualise the project
from a strategic standpoint and make critical decisions without having to sift through the minute details of lengthy

given time, details of resource allocation for the project, and whether the project is on track to achieve all its strategic
goals within the envisaged timeframe.

b. How is the Project Roadmap different from a Project Management Plan?

A Project Roadmap provides a high-level, strategic view and does not delve into the day-to-day tasks or a detailed
view of what everyone in the project is working on. In addition, it guides reporting on major milestones achieved
by the project.

A project management plan provides the task-level details of a project, presented on a timeline, to help project
managers assign responsibilities and track all aspects of a project at a granular level. It is an internal document
of the project team to maintain an up-to-date viewing of the project progress. The project management plan is a
working document and is updated on a periodic basis. A good practice is to append an updated project management
plan to different versions of the Project Roadmap as they are prepared.

c. Tips for building a Project Roadmap that clearly lays down the project’s vision
Listed below are few tips on key components that should work their way into the project roadmap.

1. Clearly ascertain all the objectives of the project

beginning of the project. It is therefore important to answer the question, ‘what are we aiming to achieve’ in

What is the messaging?

Who is the target audience?
What is the project scope?

12 PROJECT READINESS | PROJECT ROADMAP

2. List key project activities and strategic milestones that indicate achievement of project completion levels

3. List all project deliverables clearly as they are the tangible results generated through the design development
phase

4. Indicate a plan for resource management on the project

5. Depending on the overall project duration, prepare a timeline of activities that will later help to monitor and
evaluate project progress

6. List down all anticipated risks that may come in the way of project completion so that appropriate mitigation
and management can be undertaken

7. Keep your roadmap updated at all times and accessible to all members in the project team

A. Project Roadmap Template

1. Overview

City xxxx

Project Owner xxxx

Project Name xxxx

Project Core Team List names and contact details of core members of the team
such as the project in-charge, managers, and specialists

Date
version number)

2. Project Vision and Objectives

[Provide a general Introduction to the project, including its strategic vision and a broad set of objectives as
formulated at the time of the project kick-off]

3. Status of Project Development Activities

[Insert details regarding activities already led by the project team before preparing the project roadmap]

Examples listed as under for reference

I. Initiated stakeholder engagement with senior political leaders

II. Mobilisation of funds complete

III. Core project team onboarded

4. Activity and Timeline Schedule for the Project Development Phase

[Insert details of the planned activities and documentation to be prepared and the timeline of completion for
each. It is advised to update the roadmap again at the end of the project development phase to accommodate key
activities of implementation as well as operations and maintenance (O&M) phase]

PROJECT READINESS | PROJECT ROADMAP 13

Examples listed as under for reference

W1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

1 Project Roadmap

2 Project Logical Framework

3 Organisational Readiness Assessment

4 Stakeholder Mapping

6 Global Best Practices Review

Environmental and Social Safeguards

7
Screening

8 Baseline Studies

9 Stakeholder Engagement Plan

10 Communications and Outreach Plan

11 E&S Impact Assessment (ESIA)

12 Feasibility Study

13 Project Scenarios Co-design

14 Pilot Project Implementation

15 E&S Management Plan (ESMP)

16 Monitoring and Evaluation Plan

17 Detailed Project Report (DPR)

18 Additional Training Needs Assessment

19 Capacity Building Plan

20 Design Evaluation Report

5. Resource Management
[List down the resources allocated to the project at the beginning, to decide whether to increase or decrease
allocated resources at a later stage, depending on the need]

6. Areas of Concern

may need attention in future stages of planning and implementing the project. These risks should be addressed at
different points in the project lifecycle by planning appropriate mitigation and management measures]

7. Additional Elements
[This section may include any additional strategic comment, such as a broad strategy for knowledge capture,
stakeholder engagement and communications and outreach for the project]

8. Annexure
Annexure 1: Project Management Plan

[Insert a detailed project management plan for the project development phase of the project. This plan should list

and a clear demarcation of roles and responsibilities for each activity. It is understood that all details may not be
available at the beginning of the project and should be updated as details emerge. Both the Project Management
Plan And The Roadmap are working documents that are regularly updated throughout the lifecycle of the project.
Hence, it is important to update the roadmap towards the end of the project development phase, and add all key
activities planned during implementation, and operations and maintenance (O&M) stages]

14 PROJECT READINESS | PROJECT ROADMAP

 2. Project Logical Framework

The Logical Framework Approach (LFA) is a highly effective strategic planning and project management methodology

an integrated package of tools for analysing and solving planning problems and for designing and managing their
solutions. The product of this analytical approach is the ‘logframe’ (the PLF matrix), which summarises what the
project intends to do and how, what the key assumptions are, and how outputs and outcomes will be monitored
and evaluated. The best time to start the development of a log frame is early in project design, and it should be
thought as an ‘aid to thinking’. It allows information to be analysed and organised in a structured way, so that the

the project’s overall goals, informed decisions can be made. It should, therefore, be integrated within the planning
phase of the project and be consistent with the project narrative in other project documents.

b. What steps are involved in building a Project Logical Framework (PLF)?

themselves the four critical questions to make strategic decisions during the design development phase.

Tip: Before you start, get a load of stationery together – ideally a big sheet of paper with a lot of post-it notes. Then start

1. Where are we right now?

This step involves identifying the core problem to be solved, what causes the problem, and how will it
manifest as an effect. This can be done using the problem tree analysis– at the top of your page write
down the problem your project will tackle, and then develop an overall cause and effect narrative for

2. Where do we want to go?

This step helps the project implementor to formulate a long-term vision for the project. It starts by stating

vision statement may take multiple iterations. The tool deployed here is called “envisioning.”

3. How do we get there?

This step helps the project implementor to graphically depict how change should come about by creating
a logical sequence of outcomes, outputs, and activities while also assessing risks and outcomes. Referred
as the Results Chain Analysis, it helps bring together everything done so far in the process – problem tree,
stakeholder analysis, and envisioning.

4. How do we know we are going in the right direction?

From time to time during the implementation, the project implementor might need to verify whether
their actions or activities are leading to the intended result and impact or not. They can do so by pre-
deciding what the measure of impact is, where the measurement can be extracted from and identifying
various points in our project timeline when they should look at these measurements – which is also called
as the monitoring and evaluation process in a project.
PLANNING TOOL

B
End Point

A
1. Where are 3. How do 2. Where do we
Start Point
we get there
M&E

PROJECT READINESS | PROJECT LOGICAL FRAMEWORK 15

c. What is the outcome of adopting a Logical Framework Approach?

matrix is called the Project Logical Framework (PLF).

A standard log frame is divided into four rows, which are long to short-term objectives ranging from top to bottom.

Goal (overall aim)

Activities (what tasks need to be done in order for the output to be achieved)

These are achieved and measured by the headings from left to right.

Project summary (explaining the objectives)

Risks and assumptions (external conditions needed to get results)

B. Project Logical Framework Template

The project logical framework matrix is a standardised compilation of

and assumptions.

Project Chain Indicators

Summary and Targets Assumptions

Long-term Vision

Outcomes

Outputs

Activities

For step-by-step guidance on how to build a project’s PLF, refer to

the ‘Project Logical Framework Workbook for Strategic Planning of Urban
Projects,’ prepared by the National Institute of Urban Affairs, through
the CITIIS Program Management Unit. The workbook has four
primary tools can be used sequentially to arrive at a PLF for a project.

Available here:

16 PROJECT READINESS | PROJECT LOGICAL FRAMEWORK

 3. Organisational Readiness Assessment
An Organisational Readiness Assessment is a measurement of the preparedness of the project implementor to
undertake a new project. Conducting a readiness assessment gives the knowledge and understanding about the
possibility of success of the proposed project, given the current capacities, culture and commitment levels of the
organisation. The most commonly adopted tool for the purpose is to host group discussions and simultaneously
conduct a readiness assessment by using an anonymous survey to collect feedback from everyone in the
organisation.

Typically, readiness is gauged across the following aspects:

1. Technical readiness and capacity – gauging technical capacity at the individual and organisational

skills needed in project personnel in the team

2. Institutional readiness – gauging the readiness of the implementor to operate in the wider local
institutional environment consisting of multiple departments as infrastructure projects require
engagement at the appropriate stages with all the relevant stakeholders and to keep them involved as

3. Readiness of the support infrastructure – checking that the necessary support infrastructure, including
requisite software and hardware for a conducive working environment

4. Project Governance and decision-making – assessing the level of leadership support to the project
across levels of governance

5. Ability to adapt to change – assessing the ability of the organisation to adapt to sudden changes or
transitions in the given social, economic, and political environments and by minimising risks and charting
a new course of action

In addition to the above, the assessment gives the project implementor the ability to address any potential
organisational issues before they become big problems as the project advances. It saves the organisation, time and

Tip: The best way to conduct an organisational readiness assessment is through a third party. They will be able to look at
the organisation and the proposed project objectively and prepare a realistic assessment without any bias.1

C. Checklist of Considerations for preparing an Organisational

Readiness Assessment

A readiness assessment reviews the elements of people, processes, technology, physical resources and
organisational systems, and the interactions among them to gauge capacity to plan and implement the project.
In a broad sense, the assessment aims to gauge readiness along three main factors – capacity, commitment, and
culture (the universally recognised 3 C’s in organisational change readiness).

1. Capacity
Adequacy and availability of individual and organisational resources
Quality of skill sets at individual and organisational levels
The accuracy of information gathering for assessing 1 and 2. How solid is the database that we are using to
make our judgments about quality of a capacity?
Accessibility to human and institutional resources – how easily can they be mobilised?

PROJECT READINESS | ORGANISATIONAL READINESS ASSESSMENT 17

The categorisation of capacity assessment can be done as per the following table.

People CEO, partners, project manager, operational staff, specialists etc

Considerations Knowledge, skills, experience, availability

Project management, procurement, contract mangement, technical studies,

Processes
social impact, communications

Considerations Familiarity, complexity, skills, role clarity

Technology and
Infrastructure

Expertise to manage, availability as per need, and adequacy as per project

Considerations
scale

Physical Resources

Considerations Adequacy and availability

Organisational systems Team retention, knowledge transfer, culture

Considerations

2. Commitment
A readiness assessment should test the “resolve” of everyone involved in the project – from the top leadership to
the manager who will have to make it work over time, to external partners and other team members and employees
who will need to do the work during and after implementation. To gauge commitment at the individual and
organisational level, multiple factors should be studied in tandem, including level of involvement in the project, skill

assessment with a series of interviews, focus group meetings, or workshops (in addition to, or instead of, a survey),

as:

What are some good reasons for not getting involved in the proposed project (no time, no motivation, etc.)?
What are some good reasons for getting involved in the proposed project?

3. Culture
Culture is often pointed to as one of the most prominent causes of failure in programs and projects. Gauging the
openness to new ideas, innovation, and the readiness to adapt to change are important strategic coniderations for
a project. The degree of the organisation’s preference for collaboration and building partnerships with the goal of
moving away from the ‘conventional’ approaches of doing things is an overiding value.

18 PROJECT READINESS | ORGANISATIONAL READINESS ASSESSMENT

 4. Stakeholder Mapping

project.

Stakeholder Mapping provides a clear picture of who the stakeholders are and helps determine strategies for

a. Identifying stakeholders

project.

be used as template.

Stakeholder Contact Impact What is How How Strategy for

Name Person How much How much important could the could the engaging
Phone, Email, does the to the stakeholder stakeholder the
Website, project do they contribute to block the stakeholder
Address impact have over the project? project?
them? (Low, the project?
Medium, (Low,
High) Medium,
High)

EXAMPLE High High Maintaining Agree for Going on Monthly

Aanganwadi 9023XXXXXX working strike group
workers conditions interventions meetings
of child care proposed
centres

b. Stakeholder Mapping matrix

Typically in a mapping exercise, stakeholders are plotted against two variables, most commonly the level of interest

determine the success of the project. This mapping also assists with the prioritisation of resources and provides a
foundation for communications and outreach activities of the project.

engagement should intensify and deepen in terms of the frequency. The Stakeholder Mapping matrix lays the base

effective Stakeholder Engagement Plan.

PROJECT READINESS | STAKEHOLDER MAPPING 19

D. Stakeholder Mapping Matrix

Monitor regularly Actively engage

High

Engage as needed
Anticipate needs Keep satisifed
Medium

Inform and consult as needed

Inform completely
Essential
information
Low

Inform Monitor closely

Low contact

Low Medium High

Level of Interest

20 PROJECT READINESS | STAKEHOLDER MAPPING

 5.

To assess current staff strengths with the perspective of the needs of the project
To capitalise on current staff strengths

What work needs to be done on the project?

How many people do we need for the purpose?
What skills and experience are necessary to do this work?

each person in the team by suggesting ways to capitalise on the administrative, technical, and managerial skills of
the existing staff – focusing on not just capacity creation, but on its effective utilisation, and retention.

a.

Step 1: Prepare an organisational chart for the existing team

part of the project team. This will present a clearer picture of existing human resources available for the project. List
all details of the core members of the project team, their names, their designations, role and responsibilities, skill
sets, and roles and responsibilities in the project.

Step 2: Evaluate project goals and components and undertake a skills mapping exercise
At this stage, the project team should revisit the key strategic activities listed in the project roadmap to identify the
nature of additional skills and resources that will be needed on the project team. An easy and effective way to do
this is by tabulating existing and required skills and resources.

Step 3: Envision needs

The skills and resources mapping will reveal capacity gaps both at the human resources level and at an institutional

positions on the team. A good way to undertake the envisioning exercise is to ask yourself the following questions.

Do we lack staff with the right expertise in functional and sectoral areas?
Do we have geographical constraints for onboarding staff?

partnership?

Step 4: Develop a solution plan

The plan itself should outline the staff needed, and at what time in the project’s phase. It should differentiate full-
time versus contingent staff and identify the nature of the role function – from entry level to executive. The plan

collaborations and partnerships.

last between 2-4 weeks. The aim should be to have the entire project team on board prior or during the Project
Structuring phase.

PROJECT READINESS | STAFFING PLAN 21

thing is to present the information in an easily consumable format.

a. Organisational Chart

team]

b. Project Core Team

Name of the
Position Education Skillset Contact details
Team Member
1 [examples given below]

Strategic leadership and

2 SPV CEO
foresight

Project management and

3 Project In-charge
overall operations

4 E&S Safeguards

Public
Communications and
5 Engagements and
Outreach

Urban resilience, Landscape

International
6 Architecture, Urban
Mentor
infrastructure project planning

Social impact, Architecture and

7 Domestic Expert Urban Design, Participatory
planning

c. Support Team

Years of
Name of the Area of
Position Education professional
Team Member Expertise
experience
[to be

1 Team Lead
[Summarise work experience and role in the current project]
2 Lead Engineer
[Summarise work experience and role in the current project]
3 Hydraulic Engineer
4 [Summarise work experience and role in the current project]
5 Structural Engineer

22 PROJECT READINESS | STAFFING PLAN

 Years of
Name of the Area of
Position Education professional
Team Member Expertise
experience
6 [Summarise work experience and role in the current project]
7
8 [Summarise work experience and role in the current project]
9 Urban Designer
10 [Summarise work experience and role in the current project]
11 Junior Planner
12 [Summarise work experience and role in the current project]
13 Social Expert
14 [Summarise work experience and role in the current project]
15 Environmental Specialist
16 [Summarise work experience and role in the current project]
17 Procurement Expert
18 [Summarise work experience and role in the current project]
19 Civil Engineer
20 [Summarise work experience and role in the current project]
21 Electrical Engineer
22 [Summarise work experience and role in the current project]
23 …….n

d. Needs Assessment for additional skills

[List down the key additional skills needed on the project. Alongside list down the mode of procurement, project
phase in which these skills will be required, and for what time]

Expertise/skills required Project phase Procurement strategy Duration

Trainings and knowledge Project Planning and

1 Transversal Experts 3 years
management implementation phase

2 User-centered design Project Planning Individual consultant 2 weeks

Project Planning and

3 Gender Individual consultant 6 weeks
implementation phase

Project
4 Individual consultant 2 weeks
Implementation

5 ..n

e. Partnerships

PROJECT READINESS | STAFFING PLAN 23

3
Project
Structuring
6. Global Best Practices Review

7. Environmental and Social Safeguards

Screening

8. Baseline Studies

9. Stakeholder Engagement Plan

10. Communications and Outreach Plan

3 Project Structuring

6. Global Best Practices Review

Best practices are projects or solutions that have been proven to work well by ensuring desired results and can be
recommended as a model. It is a successful intervention which has been tested and validated, and deserves to be

Though there is no rule to categorise a solution as a ‘best’ practice, the interpretation of the term is contextual.
What is ‘good’ or ‘innovative’ in one context may be less so in another. Globally, cities are extremely creative in

and adopt tried and tested measures without having to reinvent the wheel.

The project implementor must carry out a comprehensive review that align with the overall vision and components
of their projects. The process should include preparation of an exhaustive inventory of practices contributed by all
members in the team, followed by a review and shortlisting of those that are relevant to the project. The shortlisting
of best practices for further assessment and adoption can be based on the following three criteria.

1. Level of alignment with the proposed project components

2. Evidence base: an assessment of available information and secondary literature on the project
3. Transferability: how suitable the practice is for adapting to different contexts and transferring to their
cities.

Note: There has been emphasis on introducing and strengthening global best practices of project design,
implementation, monitoring and evaluation, community engagement as well as environmental and social safeguards
across all projects in CITIIS since the beginning. With a strong emphasis on new strategies for partnerships and
collaboration and enhancing institutional capacities for implementing projects, an exhaustive inventory of good
practices across sectors of sustainable urban mobility, public open spaces, social and organisational innovation in
low-income settlements, and urban e-governance and ICT have been captured and documented as best practice
resource books. Access them here:

26 PROJECT STRUCTURING | GLOBAL BEST PRACTICES REVIEW

 7. Environmental and Social Safeguards Screening
Environmental and Social (E&S) Safeguards are designed to avoid, minimise, reduce, or mitigate the adverse
environmental and social risks and impacts of projects. During the Project Development Phase, safeguards aim to
assess the possible environmental and social risks and impacts associated with a project whereas in implementation,

focus of a typical safeguards process is to:

Anticipate and avoid risks and impacts

Where not possible to avoid, minimise or reduce risks to acceptable levels
Once impacts reduced, mitigate, compensate, and offset adverse impacts

a. Stages in a typical E&S Safeguards process

Generally, there are four key stages in Environmental and Social Impact Assessment and Management that are
undertaken at different points of time in a project’s overall lifecycle.

Step 1: E&S Screening

Step 2: E&S Impact Assessment (ESIA)
Step 3: E&S Mitigation Measures
Step 4: E&S Management Plan (ESMP)

b. E&S Screening

Impact Assessment.

Screening is a pre-requisite to the preparation of a comprehensive ESIA. It facilitates informed decision-making

by providing clear, well-structured, factual analysis of the effects, and consequences of proposed actions. It also

proposal.

Most proposals can be screened very quickly because they will have few impacts and can be screened out of the ESIA

projects, require a full ESIA because they will likely have major irreversible impacts on environmental resources
or on people’s health, livelihoods or cultural heritage. However, many projects with medium impacts require an
Environmental Management Plan (ESMP) which is a component of a full ESIA.

As an example: Major development projects – especially those involving natural resources, such as mining,
hydroelectric dams, or oil extraction certainly require an environmental and social impact assessment. However,

project:

requires large amounts of drinking water, energy

will result in extensive sewage production,

It is important that screening be done as early as possible in the development of the proposal in order for the
proponent and other stakeholders to be aware of possible ESIA obligations. It is also important that screening be
applied objectively, systematically, and consistently, so that the same decision would be reached if a third party
conducted the same process.

PROJECT READINESS | ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING 27

 F. E&S Screening Template (Checklist of Content + Template)

1. Cover Page

2. Table of Contents

3. List of abbreviations

4. Introduction
[Needs assessment and relevance of the project]

5. Project background
[Overview of the project including its project components]

6. Project Description for each component

[Description of components with supporting data and maps]

7. Key Environmental Acts and Regulations applicable for project activity

[Follows a hierarchy of applicable International, National, State, Local laws. Can be in a tabular format containing

regulator who will issue the permission, responsible agency for obtaining permission, likely timeline to obtain
the permission]

8.
[Group-wise list of stake holders and proposed consultation plan]

9. Preliminary environment and social impact

[Summarise the environmental and social impacts that are occurring in the project based on the analysis of the
E&S Self-Assessment Form (E&S Screening Survey)]

10. Impact Categorisation

[Categorisation as concluded in E&S Self-Assessment Form)]

11. Conclusion

The updated E&S Self-Assessment Form (Screening Survey) should be appended to the E&S Screening Report.

28 PROJECT STRUCTURING | ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING

a. Annexure 1: E&S Self-Assessment Form

Project Information

1 Name of the project implementor

2 Project Title

3 Focus Area

4 Location/City

Environmental - High/ Substantial/ Moderate/ Low> and/or

5 Category of the Project Category A/B>
Social - <A/ B/ C>

b. PART A: Environmental Screening Form

Explanatory Preliminary
Environment Screening criteria Assessment note for mitigation
Assessment measures

(1) (2) (3) (4) (5)

1 Is the project in an eco-sensitive area1 or adjoining an

eco-sensitive area or within 50 m of such area?

2 Would the proposed project have potential to generate

cumulative impacts with other known existing planned
activities?

3
environmental impacts during the construction stage
on?

3.1 Ecology

3.2 Conversion or degradation of

natural habitat or critical habitat

3.3 Water Direct discharge of run-off

from construction area, its
contamination due to improper
storage and disposal of excavation
spoils, wastes and other
construction materials, thus,
adversely affecting surface water

3.4

3.5
containment of surface water body

3.6 Flooding of adjacent areas

PROJECT READINESS | ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING 29

 Environment Screening criteria Assessment Explanatory Preliminary
note for mitigation
Assessment measures

3.7 Improper storage and handling

of substances leading to
contamination of soil and ground
water

3.8 Air Elevated dust and gaseous

pollutant emission

3.9

3.10 Site restoration Failure to restore temporary

construction sites

3.11 Health and safety Health risks due to unhygienic

conditions at workers’ camps

3.12 Safety hazards during construction

3.13 Surroundings
disruption to local community

3.14 Damage to existing infrastructure,

public utilities, amenities etc.

3.15 Project activities or released

pollutants have potential for
adverse (i) local, (ii) regional or (iii)
transboundary impact

3.16 Hazardous potential for the release, into

material the environment, of hazardous
materials (e.g. persistent organic
pollutants, ozone depleting

heavy metals, etc.) resulting from

their transportation, handling,

activities?

3.17 Wastes Management and disposal of

construction waste

4
environmental impacts during the operational stage
for:

4.1 Water Flooding of adjacent areas

4.2 Impacts to water quality due to

4.3

4.4 Soil Soil contamination

4.5 Air Elevated Dust and Gas emissions

30 PROJECT STRUCTURING | ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING

 Environment Screening criteria Assessment Explanatory Preliminary
note for mitigation
Assessment measures

4.6
exceeding carrying capacity on
approach roads

4.7 Health and

Safety due to unhygienic conditions at site

4.8 Safety hazards

4.9 Surroundings
disruption to local community;

4.10 Project activities or released

pollutants have potential for
adverse (i) local, (ii) regional or (iii)
transboundary impact

4.11 Wastes Management and disposal of

wastes during operation

5
environmental clearance either from the MoEFCC or
from a relevant state Government department?

clearance at all)

6 Does the project involve any prior clearance from the

MoEFCC or State Forest department for either the
conversion of forest land or for tree cutting?
If yes, which?

7 Please insert photographs and location maps (or their

reference in screening report, if inserted there) along
with this completed environmental information format
for screening

8 Would the proposed project be susceptible to or lead

to increased vulnerability to earthquakes, subsidence,

conditions?

PROJECT READINESS | ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING 31

c. PART B: Social Screening Form

Probable social impacts (tick and explain)

Social Screening criteria
Extent / Number
Yes No Possible
/ Remarks

(1) (2) (3) (4) (5) (6)

Is the land in the possession of Municipality or the

project implementor (please specify in remarks)?
1 Please provide a documentary evidence indicating the
allocation of the said land for this project.
What is the size of area?

Is the current ownership status of the proposed site

2
clear? Who is the current owner?

Are there any land transfer formalities to be completed

3
before using the site for proposed function?

4 fruit bearing and other trees), plantation and income

from it?

Will the project displace residential structures

5 (houses)? Are there any tribal households getting
displaced amongst them?

Will the project displace commercial structures (shops,

6
workshops, factory and other establishments)?

Will there be loss of structures other than buildings

7
tanks, etc.)?

Are any cultural properties (place of worship, religious

8 structure, memorial monument, cemetery, etc,)
affected or displaced?

Are any community properties (hand pump, well, tap,

9
chabutra, community hall, etc.) affected or displaced?

Are any tenants running enterprises or operating from

10
the structures that would be displaced?

Are there any tenants residing in the structures that

11
would be displaced?

Are there residential squatters within the proposed site

12
boundary?

13
within the proposed site boundary?

Will there be loss of incomes and livelihoods of

14

Will people face a loss of, or reduction in access to

common facilities, services, or natural resourcees and
15 of traditional and river-dependent communities (to
river and areas where they earn for their primary or
substantial livelihood)?

32 PROJECT STRUCTURING | ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING

 Probable social impacts (tick and explain)
Social Screening criteria
Extent / Number
Yes No Possible
/ Remarks

Will there be loss of existing access to private

16
properties and services?

Are there any tribal community members residing in

17

18 surrounding land users due to proposed activities on

the site?

Is the proposed project location subject to currently

approved land use plans (e.g. roads, settlements),
19
which could affect the environmental and social
sustainability of the project?

Is the proposed project likely to negatively affect

20 the income levels or employment opportunities of
vulnerable groups or women?

Are there any sensitive human receptors, e.g. school or

21
hospital within close proximity (50m) of the site?

Does the access to the candidate site pass through or

22 is close to any sensitive receptor (human or ecological)
as enumerated in Part A, Q 1?

Would the project cause increase in public health risks

to contagious diseases like COVID-19 or transmission
23
or communities in the project area, as a result of a
change in living and working conditions?

Would the proposed project have environmental and

24 social impacts that could affect indigenous people or
other vulnerable groups or women?

Is the proposed project likely to directly or indirectly

25
increase social inequalities now or in the future?

Will the project have negative human rights

26
implications for vulnerable groups?

27
labor?

28

PROJECT READINESS | ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING 33

 8. Baseline Studies
Baselines are data collected at the outset of a project to establish the pre-project conditions against which future
changes amongst a target population can be measured. Baseline information helps the project implementor
establish benchmarks and identify indicators for measuring project progress against those indicators. Benchmarks
provide the basis of comparison, to be used at a later date when measuring change or impact. Indicators are

Once the project is implemented, the baseline data gathered in the initial stages of the project development
phase facilitates the monitoring and evaluation at a later stage

Baseline information is collected and used for planning purposes by the project implementor. Information

concretise the goals and objectives of a proposed intervention

Also, one valuable result of baseline data collection is that it helps mobilise several categories of participants,
including administrators, implementation agency, the local community, other personnel, and encourages
them to contribute to the planning as well as implementation of the proposed project

Tip:

most effective when read in tandem.

Mostly, in a multi-component infrastructure project, the project implementor may have to commission baseline
data collection to various agencies depending on the nature of surveys and investigation that are required. In such
a situation, the steps explained below emphasise the importance of writing a detailed and comprehensive Terms

surveys, resource personnel to be deployed for data collection, survey tools and methods, and the time required
to conduct the study. Regardless of who undertakes the baseline data collection, it is important to have a clearly

c. Steps to Commission a Baseline Study

Step 1: Decide whether a Baseline Study is needed and what kind of baseline data is needed
The decision to undertake a particular type of baseline study is taken on the basis of what kind of data is already
available with the project implementor.

As an example, for a project doing an intervention along a water body, this could include studies such as the
topographical survey, bathymetry survey, geomorphological study, existing land use, ownership and infrastructure
study, site accessibility study and baseline socio-economic surveys, among others.

consultants)
The Terms of Reference (ToR) is the guide which helps the project implementor to plan surveys and data collection,
and also the only document that can enable them to monitor and control the quality and adequacy of data collected
by survey consultants. Hence, it is important to spend time and resources to prepare a comprehensive Terms of

help ensure a good quality and comprehensive baseline study.

Step 2.1: Give a background of the project

Give a brief summary of the proposed project, including its vision and objectives, its history and
conceptualisation, details of the implementation agency, primary and secondary stakeholders.

Step 2.2: Establish relevant objectives and scope for the studies
The baseline information may be collected for the following one or more purposes.

To provide information for planning a project; as an example, a baseline socio-economic survey aids
the collection of information about local concerns that can help make informed design decisions

34 PROJECT STRUCTURING | BASELINE STUDIES

 To identify benchmarks and indicators for future evaluations
To provide data that can be used for project monitoring in the implementation phase

Studies commissioned by the project implementer may include (but not limited to)

Baseline socio- Community surveys/

economic surveys Issues of local concern

General Demographic Natural Resource Management Public Opinion surveys

Information, Topographical Survey
Household Surveys Bathymetry Survey Stakeholder
(HH) Geomorphological Study Engagement exercises
Social and economic Geotechnical Investigation
organisation of the Hydraulic and Hydrological Study
Household Environmental Study
Existing Land use, Ownership and Infrastructure Study
Study of Existing Open spaces and Waterbodies

Physical Infrastructure
Transportation Surveys
Travel Behaviour
Origin – Destination Survey

Accessibility Studies
Water and Sanitation
Environment Studies – Air, water, soil, noise etc. (overlap
with NRM studies)
Housing (overlap with HH surveys)
Solid Waste Management

Health
Government Sponsored Health Services
Community Health Infrastructure
Community Health Status
Household Hygiene and Health

Education
Infrastructure
Budgets
Personnel
Enrollments

Step 2.3: Establish the need for resource personnel

The exact need of resource personnel would largely depend on the kind of the study, the particular

project implementor should list the range of competencies required to undertake the study. A few
questions the project implementor can ask themselves to establish the size and nature of team
required are listed below:

1. What is the scope of the project?

2.
3.
4. How much time is available? (Ideally, pt. 2 should determine the time needed, but for
practical considerations, this is a relevant question to ask as most urban infrastructure
projects are implemented in a time-bound manner.

PROJECT READINESS | BASELINE STUDIES 35

 Most ideally, ensure that there is a core team in place with the relevant skills and expertise needed

may choose to mobilise consultants with relevant domain knowledge and capacities to conduct
investigation in a time-bound manner. Also, a support team comprising locally-based personnel
who are acquainted with the prevalent socio-economic conditions of the area is crucial, especially
when the project requires collection of household and community level socio-economic data. The
size of the core and support teams would depend on the nature and scale of the project.2

Step 2.4: Establish the methodology for data collection (if outsourcing the study to a consultant)
The project implementation team may use a combination of methods in accordance with the
project requirements. The methods of data collection include both primary and secondary sources.

Some methods of collecting primary data include:

1.
2. Structured Field Surveys
3. Semi-structured, ‘conversational’ or ‘consultation’ interviews with informants
4. Direct observation
5. Focused Group Discussions
6. Public Meetings
7. Workshops
8. Co-design workshops and community-led surveys.

Secondary sources: Data collected indirectly from published records or documents such as project

Step 2.5: Establish the time plan, and reporting procedure (if outsourcing the study to a consultant)
The project implementors must estimate the time required for the baseline studies, by dividing

preparation of the report. Local circumstances and external factors may affect the timeline, and
and hence, must be accounted while planning. Some questions the project implementor must ask
themselves to prepare a fair estimate of time are listed below.

1. When is the information needed in the design process?

2.
3.
4. Would the political scenario impact the roll out of surveys and project activities?

estimated in advance. If the project implementor decides to outsource the study, it is suggested

in expected and most relevant formats, and that raw data is converted into knowledge and
information (wherever needed) that is easy to comprehend. Tools such as tables, graphs, maps
can be used for presentation.

2
The CITIIS projects span between INR 15 – 200 crores, across four themes. Below is a suggested team composition for conducting studies during
the project structuring phase, derived from methodologies adopted for the commissioning of studies across the 12 projects.
•
Architect(s), Urban Planners(s), Economist(s), Sociologist(s) etc. – a 4-6-member core team that is responsible to lead the commissioning of
the study
•
•
•
grassroots

36 PROJECT STRUCTURING | BASELINE STUDIES

Step 3: Review the Final Report (if outsourcing the study to a consultant)
It is critical to ensure that the objectives of undertaking the baseline study have been met. A careful review of the
report must be done to ensure the following.

1.
2. Data and Information is adequate to make informed decisions and plan next steps

Upon preparation of the Baseline Study, the next step in the project structuration phase is to collate, organise and
study all of a project’s relevant factors — including economic, technical, legal, and scheduling considerations—to
ascertain the likelihood of completing the project successfully. This is ensure by conducting appropriate feasibility
studies and subsequently preparing the Detailed Project Report.

G. Checklist of content for a Baseline Study

(Adopted from reports prepared by SPV teams under the CITIIS program)

a.

b. Background of the project

Demography – state and city levels
Detailed description of the project site

c. Objectives of the Baseline Study

d. Methodology

e. Findings
Socio-economic Information (process description of primary and secondary data collection through
surveys, see column 1 of Table 4) and consolidation of survey results through appropriate presentation tools.
(data consolidation of various surveys and investigations rolled out as a part of
the study, see column 2 of Table 4)
Findings from Public Opinion survey (listing of observational data, feedback, poll results)

f. Information Synthesis: Assessment of data to identify

Core problem areas
Available local resource and opportunities
Constraints or threats

g. Conclusions and Way Forward

h. Annexures

(All supporting documents – full length data sheets, ToRs, survey templates, Consultant contracts, etc.)

PROJECT READINESS | BASELINE STUDIES 37

 9. Stakeholder Engagement Plan (SEP)
A stakeholder engagement plan (SEP) is a detailed strategy for engaging and communicating with project
stakeholders in an appropriate and timely manner. The aim of an SEP is to ensure that all relevant information

engagement activity can be undertaken with either one or a combination of four objectives — engagement for
information dissemination, collaboration, for design input, and to assist in decision making for implementation.

The scope and level of detail of the plan should be commensurate and proportionate with the nature and scale,
potential risks, and impacts of the project and the concerns of the stakeholders who may be affected by or are
interested in the project. The SEP should be clear and concise, and must focus on the following.

It is important to identify what information will be in the public domain, in what languages, and where it
will be located
It should explain the opportunities for public consultation, provide a deadline for comments, and explain

It should explain how comments will be assessed and considered

It should also describe the project’s grievance mechanism and how to access this mechanism
The SEP should also commit to releasing routine information on the project’s environmental and social
performance, including opportunities for consultation and how grievances will be managed3

H. Checklist of content/activities for preparing an SEP

1.
2. Brief summary of previous stakeholder engagement activities
3.
4. Stakeholder engagement objectives
5. Stakeholder engagement methodology and work plan
6. Grievance redressal mechanism
7. Annexures

1. Introduction/Project Description

interventions. Include a site plan, demarcating the location and the surrounding area, showing communities and
proximity to sensitive sites, and include any built-up elements, or other temporary tenements that may be impacted
from the project].

2. Brief summary of previous stakeholder engagement activities

[If consultation or disclosure activities have been undertaken to date on which the SEP is being drafted, including

a summary of those activities, the information disclosed, and where more detailed information on these previous
activities can be obtained (for example, a link, or physical location, or make available on request)].

3.

documented in the format given as under].

Disclosure as well as from the work products produced by the SPVs in the CITIIS program.

38 PROJECT STRUCTURING | STAKEHOLDER ENGAGEMENT PLAN (SEP)

 Community Stakeholder Key Language Preferred
group characteristics needs (accessibility,
means (e-mail, large print, child
phone, radio, care, daytime
letter) meetings

Example: Parents with Approximately Written Child care for

Village A young children 180 households language information, radio meetings()
affected; 300 late afternoon
children preferred timing

Village B Refugees 38 extended Language Visit with Graphics,

families, poverty alternative translator and education on
level civil society process
representative

4. Stakeholder engagement objectives

[Summarise the main goals and objectives of the Stakeholder Engagement Plan. This includes setting the vision and
level of ambition for future engagement, reviewing past engagement, and setting up the priorities which help to

5.
for implementation of stakeholder engagement activities with a suitable timeline.
Summarise the main goals of the stakeholder engagement plan and prepare a schedule for the various stakeholder
engagement activities: at what stages throughout the project’s life will they take place, with what periodicity, and
what decisions are being undertaken on which people’s comments and concerns. If decisions on public meetings,

aware of forthcoming opportunities to review information and provide their views.

6. Engagement activity planned for each category/type of stakeholder

to communicate this information to each of the stakeholder groups. Methods used may vary according to target
audience].

Essentially, stakeholder engagement activities can be grouped for the following four purposes.

Engagement for information disclosure

Engagement for collaboration activities
Engagement for design input
Engagement for decision-making and implementation

PROJECT READINESS | STAKEHOLDER ENGAGEMENT PLAN (SEP) 39

 Engagement for information disclosure Engagement for collaboration activities

Information about the project must be disclosed in Examples for collaborative engagement activities
the public domain. Various channels include:
Focus group discussions
Newspapers, posters, radio, television; Focus groups encourage discussion and work well
when reaching out to smaller or marginalized
Information centres and exhibitions or other visual
stakeholder groups. Active dialogue between members
displays;
is enhanced when asked focused questions, and a
comfortable environment is created.
documents and reports;
Community meetings
The face-to-face nature of these events provides a
great opportunity to demonstrate openness and
Website, social media transparency to stakeholders. It is important to
consider what will make the event compelling to
stakeholders and encourage attendance.

Surveys

questions to groups of people in order to identify

community opinion and are useful for mass outreach.

Web-based engagement
Online public participation is a useful way to reach and
engage with many stakeholders and can include using
social media, web- or cloud-based survey systems, and
online discussion platforms.

Engagement for design input Engagement for decision making and

implementation
Having participatory engagement through design
workshops by producing viable schemes through 3D Ensuring the engagement process is conducted
models, views, photomontages or physical models with adequate technical and facilitative support
can be engaged in a creative capacity while ensuring and manifests in a structured, collaborative design
viability of the resulting proposal processes where concerns and ideas are shared, and
the awareness of wider agendas exists
The aim of the engagement activity for enabling
effective decision-making is to reach consensus over
preferred solutions.

7. Purpose and timing of the engagement activity

[Provide information on timelines for project phases and planned stakeholder engagement activities].

8. Proposed strategy for information disclosure – including modes of communication

[Disclose relevant project information in an understandable format and the techniques are appropriate to the local
culture and customs].

9. Management Functions — available resources with roles and responsibilities for

implementing the stakeholder engagement activities
[In this section, the project implementor must indicate what resources will be devoted to managing and implementing
the SEP].

Firstly, details of the nodal person who is also the owner for the preparation and the implementation of the SEP
must be provided. In addition, a description of how stakeholder engagement activities will be incorporated into the

40 PROJECT STRUCTURING | STAKEHOLDER ENGAGEMENT PLAN (SEP)

 Who will be responsible for carrying out each of the stakeholder engagement activity and what are the

How will the process be documented, tracked, and managed (for example, stakeholder database, comments
register, and so forth)?

engagement in the project.

10. Review of comments and follow up

[Explain how comments will be gathered (written and oral comments) and reviewed, and commit to reporting back

11. Grievance redressal mechanism

[Describe the method and process by which the project affected persons as well as other stakeholders can bring
their grievances and concerns to the attention of the project team, while also specifying how they will be considered
and addressed. A sample checklist of considerations in this regard is listed below].

Is there an existing formal or informal grievance mechanism, and does it meet the compliance requirements

What process will be used to document complaints and concerns? Who will receive public grievances?
How will they be logged and monitored?
What time commitments will be made to acknowledge and resolve issues? Will there be ongoing
communication with the complainant throughout the process?
How will the existence of the grievance mechanism be communicated to all stakeholder groups? Are
separate processes needed for vulnerable stakeholders?
If a complaint is not considered appropriate to investigate, will an explanation be provided to the
complainant on why it could not be pursued?
A summary of implementation of the grievance mechanism should be provided to the public on a regular
basis after removing identifying information on individuals to protect their identities. How often will
reports go into the public domain to show that the process is being implemented?

The template for an SEP Work Plan is provided in the following section. This should be appended to the SEP report and
updated and monitored on regular intervals.

I. Template for the preparation of a Work Plan for Stakeholder

Engagement
Stakeholder Key Engagement Timeline Channel of Method of Roles and Follow-up
group/ Characteristics Activity / Communication documenting Responsibilities Strategy
Individual Techniques the Engagement

Description [Description of [Description [When [How will you [How will the [Who will anchor [Plans for
the category of the will the get access to this engagement and support the feedback or
of stakeholder engagement activity be activity be engagement continued
(primary or activity conducted?] recorded?] activity?] involvement]
secondary) and planned – refer
the nature of to Table 4 for
impact and level more insight]

the project]

PROJECT READINESS | STAKEHOLDER ENGAGEMENT PLAN (SEP) 41

 10. Communications and Outreach Plan (COP)
Communication is a crucial process embedded into every stage of a project’s lifecycle - from conceptualisation and
design, through implementation, until and even beyond the closure of the project. Outreach comprises tools and
techniques by which you reach and deliver your message to project stakeholders and engage with them.

a. What is a COP, and what are the components of an effective COP?

A Communications and Outreach Plan (COP) encompasses different strategies used to educate, engage, and
involve various stakeholders around the objectives of a project in order to ensure its succeeds in a measurable
way. Components of a strong COP include laying the groundwork, determining the target audience, deploying
effective tools and techniques, developing a budget, and timeline for implementation and documentation of all
communication activities.

b. Steps to prepare and implement a COP

Step 1: Review your project’s vision and objectives – A prerequisite to preparation of the COP is the understanding
of the overall project objectives is key to identify how communication will be organised. The project team must align
their communication objectives with the broad goals of the project.

Step 2: Identify the key message – Prepare an introduction about the project and include it in the COP while
drafting the document

by doing a SWOT analysis of the project, in the context of communication. Ask questions!
What have we got that we can use? (STRENGTH)
What could be a deterrent to our project communication? (WEAKNESS)

What might go wrong? (THREAT)

Step 4: Identify the target audience – Stakeholder mapping done in project readiness stage will help identify
key audience who should receive information on the project. In addition to catering to the primary stakeholders,
it is also important to know your secondary audience – those who are not targeted directly but are likely to hear
the message second hand. This will help you identify what messages you want to deliver, how and through which
channels.

Step 5: Assemble a core team – Involve your team members in setting up the communications strategy. CITIIS

communication and outreach activities.

Map out persons in the team that can be onboarded on the

communications team, led by a nodal person in charge of all communications and outreach work.

Step 7: Check for resources available and create a budget – A detailed budget, mentioning all the lines of
expenditure on communications and associated timeline of expenditure, must be prepared. This shall be a part of
the COP prepared for the project.4

Step 8: Identify communication tools –

groups to achieve your objectives and identify the best channels that you would use to reach each target group. The
choice of the communication channel should be made depending on the following.
The nature and type of audience
The message to be conveyed (information, or consultation, or feedback)
Cost-effectiveness of the channel
Scale of intended outreach

Arrive at a clear methodology to execute each

4 Under CITIIS, all SPVs have to utilise a minimum of two per cent of the total project cost for communication and outreach work in order to enhance
the participatory, outreach and visibility aspects of the project. Any project implementor can use this as a benchmark and carry out the preparation
of the COP, with a detailed budget, mentioning all the lines of expenditure on communications and associated timeline of expenditure.

42 PROJECT STRUCTURING | STAKEHOLDER ENGAGEMENT PLAN (SEP)

Step 10: Documentation of the communication activity –

Step 11: Evaluation – Besides being the only way you can tell if your communication has truly succeeded, evaluation:

Improves the effectiveness of your communication

Helps engage your audience
Helps your team deal with situational change in the project; and
Helps your organisation allocate resources more effectively

The evaluation of a communications strategy should give you the information to show progress on meeting the set
objectives, and whether or not you are closer to achieving your goal. The result of the evaluation should provide
you with an evaluation report that can form the basis of forming an action plan to revisit and revise the COP as and
when needed.

J. Checklist of content of a Communications and Outreach Plan

Section Content Description

Give a brief background of the project objectives,

1 Background of the project
components, and envisaged outcomes

This section should establish the rationale for

developing a communications and outreach plan.
Purpose of the COP in the Highlight the multi-stakeholder nature of the project
2
project and how the strategy shall play a crucial role in
strategising all stakeholder engagement in the
project.

‘Operational’ objectives.
Introduction Overarching project Strategic objectives are long-term goals that help
goals and COP
Objectives plans. In the case of CITIIS projects, these would
3 be objectives spanning for the entire project
Strategic Objectives duration.

Operational Objectives Operational objectives are daily, weekly or

monthly project benchmarks that implement
larger strategic objectives.

This section would list the main messages that need

Project Outcomes and Key
4 to be conveyed about the project, and shall align with
Messages
the overall outcomes envisaged in the project.

The communication strategy lists communication

Introduction and
activities planned across project phases for meeting
Background to the
operational and strategic objectives, mapping
1 Project’s Communications
communication activities to the target audience,
Communication Strategy
laying the groundwork, preparing a timeline and
and Outreach budget, and the plan for implementation.
Strategy

This section shall draw from Stakeholder Mapping

2 Target Audience and Stakeholder Engagement Plan documents
prepared in the project readiness stage.

PROJECT READINESS | COMMUNICATION AND OUTREACH PLAN 43

Section Content Description

This section shall list down activities planned across

different project phases in each of the project
3
Implementation Plan component, and the required communication and
outreach activity under each.

This section shall list down the tools and methods

Communication and
4 that shall be deployed in carrying out the targeted
Public Engagement Tools
communication activity.

The timeline and schedule of activities would be

5 a broad estimation of when each planned activity
activities
would be undertaken.

Communication [Under the CITIIS program, all SPVs may utilise a

and Outreach minimum of 2 per cent of the total project costs for
Strategy 6 Budget communication programs in order to enhance the
participatory, outreach and visibility aspects of the
project].

The marketing strategy would help you promote

could use a combination of methods to achieve this.

Plan for Marketing and
7
Promotion
Billboards in the city, announcements on radio and
television and by hosting public events.

[Branding for CITIIS projects included following the

8 Plan for Project Branding Branding and Communication Guidelines by the AFD
and the EU].

Plan for operationalising This shall include the following:

The SPV will identify a plan for execution against
Execution 1
in the Communications each activity and incorporate the information in
Strategy the COP.

Creating documentation as needed to successfully

List the type of
carry out a communication activity. E.g.: creating
documentation that
a factsheet, storyboard, or hosting an event,
Documentation 1
issuing a press release etc. The SPV must keep an
as a result of any
organised documentation of work, maps, and all
communication activity.
communication material generated in the project.

Evaluation is an ongoing, systematic process. It

1 Evaluation timeline should be included in all communication planning to
evaluate activities, plans and strategies.

Evaluation Evaluation techniques Evaluation techniques that are deployed depend on

2
Set Indicators the kind of data you have collected in the project.

Identify relevant indicators to monitor and evaluate

3 Evaluation response
your communication and outreach strategy.

44 PROJECT STRUCTURING | COMMUNICATION AND OUTREACH PLAN

 Section Content Description

Results of the evaluation will include interventions

that worked and did not work. Subsequently prepare
Evaluation 4 Evaluation report
a plan of action for any revisions needed in the
strategy.

K. Reference document: Toolkit on Developing

an Effective Communications and Outreach
Plan, CITIIS Toolkit
for Developing an Effective
Communications and Outreach Plan

Refer to the Toolkit on Developing an Effective Communications and Outreach Plan

for details on every step of preparation and implementation of the COP. It includes
guidelines for strategy, execution, documentation and evaluation phases of the COP

under the CITIIS Program. The toolkit may be used by local governments and
implementation agencies in urban areas to carry out their communication activities
more effectively, inform, inspire, and engage their citizenry in projects.

Available here:

PROJECT READINESS | COMMUNICATION AND OUTREACH PLAN 45

4 Design
Feasibility

46 PROJECT STRUCTURING | ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING

11. E&S Impact Assessment (ESIA)

12. Feasibility Study

13. Project Scenarios Co-design

14. Pilot Project Implementation

PROJECT READINESS | ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING 47

4 Design Feasibility

11. Environment and Social Impact Assessment (ESIA)

Environmental and Social Impact Assessment (ESIA) is an instrument to identify and assess the potential
environmental and social impacts of a proposed project, evaluate alternatives, and design appropriate mitigation,
management, and monitoring measures. It is the primary means of ensuring projects are environmentally and
socially sound and sustainable, and is used to inform decision-making.

a. Assessing Environmental Impacts

In order to assess environmental impacts of the project, certain project parameters have to be superimposed
upon the environment parameters. For this, the establishment of a present baseline scenario of environmental
parameters is undertaken. The environment parameters that are considered for baseline data collection and
subsequently the estimation of impacts are (a) Land; (b) Air; (c) Noise; (d) Water; (e) Biological; (f) Socio-economic;
(g) Solid waste management; (h) Building materials and technologies; (i) Energy conservation.

Note: Baseline data collection for each environmental parameter includes methods such as primary surveys, and empirical
methods described in the section on conducting baselines. Data collection is undertaken in the screening stage itself, that
aligns with the timeline for conducting baseline surveys. Hence, it is important to have an estimate of environmental data
needed for assessing impact so that the surveys can be integrated into the baseline and screening forms beforehand.

Read the table below to understand the various considerations that should be made while estimating impact across
different environmental parameters. It is important to note here that the impacts will vary from case to case, and
those listed in the table below are only indicative.

48 DESIGN FEASIBILITY | ENVIRONMENT AND SOCIAL IMPACT ASSESSMENT

Environmental parameter Considerations for Impact Assessment

Land Environment 1. Estimation of anticipated impacts on the surrounding land use pattern,
on infrastructure like housing, road network, environmentally sensitive
places etc.
2. Impact on the public utilities arising out of the utilities for the project
activities
3. Impact on the natural drainage system and soil erosion
4. Loss of productive soil and impact on natural drainage pattern
5. Assessment of soil erosion potential and the impact
6. Impact of construction activity on the fertility status of soil in the study area
7. Prediction of ground water pollution due to seepage of pollutants through
soil column

Air Environment It is necessary to predict the following, if any:

1. Prediction of point-source emissions

2. Prediction of air emissions from the vehicles during the construction and
operation phases

Noise Environment
2. Impact due to noise levels generated by existing
3. Impact due to present and future transportation activities
4. Operation of DG sets
5. Impact of noise due to work at night

Water Environment 1. Impact on water sources due to shifting of watercourses, if any.

4. Waste water generation.

5. Information regarding how the waste water is to be disposed of.

Biological Environment 1. Impact of construction activity on fauna

2. Pre and post-project topography, soil, and parent material conditions and

ecosystem diversity

Socio-Economic 1. Predict impact on the communities of the proposed activity

Environment 2. Impact on surroundings on socio-economic status is to be detailed
3. Present status of housing, public utilities, commercial structures,
transportation and the impact due to project
4. Impact of the project in construction and operational phases on socio cultural
aspects

Solid Waste Management 1. Impact of the project during construction and operational phases for
generation of waste is to be assessed in terms of increase in solid waste

2. Quantity to be calculated as per projections in Master Plan of the city

visits by monkeys
4. Assessment of other types of wastes such as e-waste, construction and
demolition waste, used oil, used batteries, etc

Building Materials and Anticipated issues and concerns: high consumption of resources and high
Technologies transportation cost

Energy Conservation Anticipated issues and concerns: High energy Consumption, Fossil fuel-based
energy, energy losses due to design features

DESIGN FEASIBILITY | ENVIRONMENT AND SOCIAL IMPACT ASSESSMENT 49

b. Assessing Social Impacts
Social impacts are changes that a project may induce on people and society that may affect employment, income,
production, way of life, culture, community, political systems, environment, health and well-being, personal and
property rights.

Types of Social Impacts

Break-up of community cohesion

Disintegration of social support systems
Disruption of women’s economic activities
Cultural
Loss of time-honoured sacred places of worship
Loss of archeological sites and other cultural property

Loss of agricultural lands, tress, wells

Loss of dwellings and other farm buildings
Loss of access to common property resources
Economic
Loss of shops, commercial buildings

Overall reduction in income due to above losses

School buildings
Public Infrastructure and services Hospitals
Roads
Street lighting

Assessing social impacts involves conducting a Social Impact Assessment (SIA) to identify and manage potential

Assessment has three major objectives.

1. Local understanding and support

By addressing local needs and priorities, the SIA process helps to strengthen local understanding and
support for the project.

2.
During implementation, the SIA provides information and continued stakeholder engagement to enable
adaptive, responsive, and cost-effective project management.

3. Evaluation of project outcomes and impacts

The SIA process includes establishing robust baseline data, providing the basis and means to evaluate
social outcomes and impacts of a project.

When conducting a Social Impact Assessment, the following considerations help identify the risks and impacts of
the project and its components.

1. Type and location: Is the project in a high-risk sector or does it include high-risk components? Is it located in
sensitive areas (e.g. in densely populated areas, near critical habitat, indigenous territories, protected areas,
etc.)?

2. Magnitude or intensity: Could an impact result in destruction or serious impairment of a social or environmental
feature or system, or deterioration of the economic, social or cultural well-being of a large number of people?

3. Manageability
impacts? Is a study required to understand if the impacts can be managed and which management measures
are needed?

4. Duration:
years) or long term?

50 DESIGN FEASIBILITY | ENVIRONMENT AND SOCIAL IMPACT ASSESSMENT

5. Reversibility: Is an impact reversible or irreversible?

6. Community involvement: Absence of community involvement is an inherent risk for the success and
sustainability of any project. Have project-affected communities been consulted in project planning and design?
Will they have a substantive role to play in the project going forward?

In order to correctly and effectively anticipate social impacts, it is suggested to choose a mix of quantitative and
qualitative techniques, including examples listed as under.

Quantitative Methods Land Acquisition Survey (persons with titles, those without titles and others
including tenants, sharecroppers should all be counted)
Census Survey
Socio-economic Survey (This should involve only a percentage of total
population selected on a random basis)
Other administrative records (such as NSS)

Qualitative Methods Key Informant Interviews

Focus Group Discussions (FGDs)
Participatory Rapid Appraisal
Public hearing

L. Typical structure of an E&S Impact Assessment report

presented her with certain additions.

Index Title Description

Cover Page

Table of Contents

List of Abbreviations

Glossary

Abbreviation

Purpose of the report

Brief description of nature, size, location of the project and its

Chapter 1 Introduction importance to the country, region
Scope of the study
Details of the regulatory scoping carried out (as per Terms of
References)

Condensed description of those aspects of the project (based on project

Feasibility study), likely to cause environmental effects. Details should be
provided to give clear picture of the following:
Type of project
Need of Project
Chapter 2 Project Description
boundary and project site layout)
Size or magnitude of operation (including associated activities required
by or for the project)
Proposed schedule for approval and implementation
Technology and process description

DESIGN FEASIBILITY | ENVIRONMENT AND SOCIAL IMPACT ASSESSMENT 51

Index Title Description

Project description, including drawings showing project layout,

components of project, etc. Schematic representations of the
feasibility drawings which give information important for EIA purpose
Description of mitigation measures incorporated into the project to
Chapter 2 Project Description
meet environmental standards, environmental operating conditions
or other EIA requirements (as required by scope)
Assessment of new and untested technology for the risk of
technological failure

Establishment of baseline for valued environmental components, as

Chapter 3 Baseline Data
Base maps of all environmental components

Details of investigated environmental impacts due to project location,

possible accidents, project design, project construction, regular
Environmental and
project
Chapter 4 Social Risks and
Irreversible and irretrievable commitments of environmental
Impacts
components

Assesses the feasibility of mitigating the environmental and social

impacts; the capital and recurrent costs of proposed mitigation
measures, and their suitability under local conditions; and the
Chapter 5 Mitigation Measures
institutional, training, and monitoring requirements for the proposed
mitigation measures

basis for this determination

In case the scoping exercise results in need for alternatives:

Description of each alternative
Analysis of
Chapter 6 Summary of adverse impacts of each alternative
Alternatives
Mitigation measures proposed for each alternative and selection of
alternative

Stakeholder consultation
Stakeholders
Risk assessment
Chapter 7 Engagement Plan/
Social Impact Assessment
Additional Studies
Resettlement and Rehabilitation Action Plans

Improvements in the Physical Infrastructure

Improvements in the social Infrastructure
Chapter 8
Employment potential-skilled; semi-skilled and unskilled

Disclosure of ESIA Mention the names of the Consultants engaged with their brief
Chapter 9
Team resume and nature of Consultancy rendered

Appendix

52 DESIGN FEASIBILITY | ENVIRONMENT AND SOCIAL IMPACT ASSESSMENT

 M. CITIIS Knowledge Products on E&S
Refer Guidance Note on Environmental Impact Assessment and
Management on Social Impact Assessment and Management.
They can serve as a handy reference for any project implementor
in India to gain insights about guidelines and procedures for
planning their project activities for E&S risk assessment, mitigation,
and management.

Available at:

DESIGN FEASIBILITY | ENVIRONMENT AND SOCIAL IMPACT ASSESSMENT 53

 12. Feasibility Study
Feasibility study, as the title suggests, lays out the potential solutions and their workability in the operational
environment wherein the project is proposed. A feasibility study is an analysis that takes all of a project’s relevant

ascertain the likelihood of completing the project successfully.

1 2
Market analysis and
project scope – this Social and
typically includes needs environment
analysis, options analysis, feasibility – key impact
assessments and
demand estimates mitigation
measures

7 3
Economic feasibility – Technical feasibility –
outlining the net economic technical design options
Considerations and their suitability based
including net social and of a Typical on market and demand
Feasibility Study estimates

6 4
Financial analysis Risk analysis – key risk
and due diligence – factors likely to impact the
revenue structure and project and their mitigation
measures; this includes
requirements (viability market demand risks,
contractual risk, and

5
Preliminary cost other relevant risks
estimates – based on
technical options with

54 DESIGN FEASIBILITY | FEASIBILITY STUDY

N. Template for a Feasibility Study report

Section Contents Guidance notes

1 Background and Introduction Introduce the project

Explain in brief the overall project
1.1 Background

1.2 Introduction to the project

1.3 Project introduction

1.4 Need for feasibility

1.5 Key takeaways of previous studies

1.6 The structure of feasibility report

2 Project background, scope, and

details
Outline the key reasons for taking up this project
2.1 City Demography and socio-
Outline and describe the project constituents and what
individual components are part of overall project ad what are
2.2 Need for the project
the project is implemented
2.3 Project overview and objectives Detail how the stakeholder engagement process was
utilised to not only evolve the project by addressing citizen
2.4 Key project components and aspirations and keeping them engaged in the process
outcomes

2.5 Stakeholder engagement process

for project selection and project
devleopment

2.6 Project development principles

and methodology

2.7 Best practices benchmarking

3 Technical feasibility Technical feasibility studies are carried out primarily to

analyse the possible design and engineering options that
3.1 Existing infrastructure could be applied and the different technologies that could be
assessment adopted for project implementation

3.1.1 Demand analysis Establish and accurately capture the existing conditions with
respect to the site and the project environs
3.1.2 Site suitability analysis
Establish that the proposed site is the best option for the
3.1.3 Mapping of existing infrastructure project

Gap assessment is to establish the gap in service standards

3.1.4 Benchmark current level of
services w.r.t standards

Existing situation analysis helps avoid duplication of facilities

DESIGN FEASIBILITY | FEASIBILITY STUDY 55

Section Contents Guidance notes

3.1.5 Gap assessment

infrastructure components. The studies with non-physical
3.1.6 Topographical survey infrastructure should adapt these elements to suit their study

3.1.7 Base Map

The technical studies for each set of projects will be different
and can have different constituents. This should be adapted
3.1.8 Geotechnical investigation to the nature of the project

3.1.9 Hydrology & Hydraulics

The overall range of design ideas along with the principles of
design for the project should be discussed

3.2 Technical design options and The array of design options, block cost estimates and key
feasibility challenges relating to each option should be elaborated here

3.2.1 Design ideas and principles

and prepare all detailed designs and engineering solutions
3.2.2 Stakeholder consultations on necessary to be developed

design option
that present the overall post-construction views of the facility
should be included in this report
3.2.3 Design options and relevant
challenges
An additional volume may be prepared with all relevant design
3.2.4 Final design option
and kept handy
3.2.5 Material selection
The Master Plan section is necessary for projects where a wide
3.2.6 Potential environmental and social set of components will be dealt with (e.g. riverfront, bio-diversity
impacts park etc.)

3.2.7 Final detailed design

3.3 Engineering solutions for

infrastructure components

3.4 Final master plan

3.4.1 Project components

3.4.2 Land use plan

3.4.3 Urban design for proposed

components

3.4.4 Land ownership assessment

3.5 Cost estimates for each

component

56 DESIGN FEASIBILITY | FEASIBILITY STUDY

Section Contents Guidance notes

4 Environmental and Social This should build upon the preliminary assessments carried
Feasibility out as part of ESIA

4.1 Environment impact assessment

and feasibility addressed here

This feasibility should be more comprehensive since the

4.1.1 feasibility will be informed by the master plan, detailed
designs, and engineering solutions
4.1.2 Impact on environmental
parameters

4.1.3 Overall environmental feasibility

4.2 Social impact assessment and

feasibility

4.2.1 Mapping of social infrastructure

4.2.2
activities

4.2.3
Project Impacted Persons (PIPs)

4.2.4 Relocation options for PIPs and

activities

4.2.5 Overall social feasibility

5 Financial feasibility

5.1 Estimation of capital costs

(including interest during model that captures all key assumptions such as debt, equity,
construction)
projections related to revenue realisation and overall key
5.2 Estimation of pre-operative
expenses

5.3
if any

5.4 Estimation of potential revenue

5.5 Funding sources

5.6 Estimation of O & M costs for 10-

15 years

5.7 Identify economic and social

5.8 Financial feasibility analysis

6 Risk analysis Risk analysis is critical to think through all the risks that can
impact the results of the project
6.1
Risk analysis allows proactive planning of measures to either
6.2 avoid the risks altogether or develop mitigation measures to
measures withstand the risk if it presents itself

DESIGN FEASIBILITY | FEASIBILITY STUDY 57

Section Contents Guidance notes

7 Procurement plan The procurement plan should identify all requirements of

7.1 Key procurement requirements hired to ensure project implementation

7.2 Overall procurement plan This should ideally be juxtaposed with the overall project
implementation plan

8 Implementation requirements The implementation requirements include the key pre-

implementation activities that are necessary to ensure that
8.1 Statutory, administrative, and the implementation moves ahead without any glitches
technical approvals process and
timelines One of the key implementation requirements is to think

8.2 Environmental-clearances – necessary to oversee smooth implementation) and

Central, State government or any
other agencies (airport etc.) departments, identifying the best suited agency and working
out implementation modalities with them)
8.3 Human resource and institutional
requirements

9 Annexures This list of annexures provided is only indicative and should

9.1 A1 – Concept plan for each option necessary.

9.2 A2 – Master plan for selected

options

9.3 A3 – Detailing of Engineering

solutions

9.4 A4 – Statutory policy and

regulations

9.5
details if applicable

58 DESIGN FEASIBILITY | FEASIBILITY STUDY

 13. Project Scenario Co-design
Co-design describes the process of bringing stakeholders into the project design process. At the heart of the
approach is a move towards user-led process design, possibly also leading to a user-led approach to the delivery
of projects. This type of co-design could be seen as part of a broader shift towards citizens and professional staff
working together for successfully delivering the project.

Adopting a participatory approach ensures equality of legitimacy and value inputs from all those involved, whether
suggestions entail large or small-scale changes. It should be conducted in conjunction with preparation of the
feasibility report. While preparing multiple scenarios for project implementation, the project implementor must

conduct a risk evaluation for each scenario.

a. Dimensions of a typical co-design process in an infrastructure project

Essentially, the project implementor can envisage co-design as having three dimensions.

a. Horizontal co-design – this involves learning and working with colleagues in parallel organisations, who
could be in the same city or region. An example of horizontal co-design would be joint working with
neighbouring municipalities or with other smart city SPVs in the state

b. Vertical co-design – working with stakeholders up and down the chain of project implementation, more

involving stakeholders in a project delivery, or working directly with citizens and end-users

c.
process able to shape the outcome together?

O. CITIIS Knowledge Product on User-Centered Design

In broad terms, user centered design (UCD) is a design philosophy
and a process in which the needs, wants, and limitations of the
end user are given attention at each stage of the design phase. Pocket
Adopting UCD for project development of urban infrastructure
Reference Book
projects leads to inclusive projects that have better acceptability for User Center Design
by citizens. Read the Pocket Reference Book prepared for CITIIS to
understand the 5 step UCD process.

This pocket reference book will arm you with

methodologies and tools that have been
discussed during the 2 day workshop on User
Centered Design. It contains most important
web-links for further reference and case study
references for Urban Development.

| PROJECT SCENARIO CO-DESIGN 59

 14. Pilot Project Implementation
A pilot project is an initial small-scale implementation that is used to prove the viability of a project idea. In cities,
pilots are set up to test or develop new technologies that improve sustainability and urban quality of life or urban
services. Typically, a pilot project has three stages, including conceptualising the pilot project, transforming pilot

can be transferred and realised more broadly.

Data storage and

consultations,
Integration and
design development,
alignment with the storage and
monitoring and
larger project
institutionalisation

Conceptualisation of Implementation of Institutionalisation of

demonstrated) demonstrated) are demonstrated)

In cities, pilot projects are mostly implemented by ULBs and involves multiple departments and partnerships. The
challenge lies in the successful implementation and subsequent scale-up. The scaling-up methodology depends on

Type 1, roll out, which involves scaling up a tested pilot solution to the entire city. Roll out is associated with
technologies, products or solutions that don’t fundamentally challenge the current state-of-the-art and are easily
adoptable for a city-wide rollout.

Type 2, is expansion, which involves expanding partners, adding the geographical coverage of the project and
adding functionality.

Type 3, is replication, where the solution that was developed in the pilot project is replicated in another context,
which can be another part of the city, or another city.

60 | PILOT PROJECT IMPLEMENTATION

5 Design
Solution

62 DESIGN FEASIBILITY | PROJECT SCENARIO CO-DESIGN

15. E&S Management Plan (ESMP)

16. Monitoring and Evaluation Plan

17. Detailed Project Report (DPR)

DESIGN FEASIBILITY | PROJECT SCENARIO CO-DESIGN 63

5 Design Solution

15. E&S Management Plan (ESMP)

An ESMP consists of the set of mitigation, monitoring, and institutional measures to be taken during implementation
and operations of a project to eliminate adverse environmental and social risks and impacts, offset them, or reduce
them to acceptable levels. Depending on the project, an ESMP may be prepared as a stand-alone document or the
content may be incorporated directly into the an ESIA.1 The contents of an ESMP comprise the following elements.

Mitigation measures
1.
involving indigenous people or involuntary resettlement)

2. Describes—with technical details—each mitigation measure, including the type of impact to which it
relates and the conditions under which it is required (e.g., continuously or in the event of contingencies),
together with designs, equipment descriptions, and operating procedures, as appropriate

3. Estimates any potential environmental and social impacts of these measures

4. Considers, and is consistent with, other mitigation plans required for the project (e.g., for involuntary
resettlement, indigenous peoples, or cultural heritage)

Monitoring
The ESMP provides technical details of monitoring measures, including the parameters to be measured through the

1
Please note that information in this section has been sourced from the World Bank’s ESF framework document. Available at:

64 DESIGN SOLUTION | E&S MANAGEMENT PLAN (ESMP)

Capacity development and Training

for carrying out the mitigation and monitoring measures (e.g., for operation, supervision, enforcement, monitoring

and social management capability in the agencies responsible for implementation, the ESMP recommends the
establishment or expansion of the parties responsible, the training of staff, or any necessary capacity enhancement
initiative.

Implementation Schedule and Cost estimates

For all three aspects (mitigation, monitoring, and capacity development), the ESMP provides (a) an implementation
schedule for measures that must be carried out as part of the project, showing phasing and coordination with
overall project implementation plans; and (b) the capital and recurrent cost estimates, and sources of funds for

Grievance redressal

scale and the potential risks and impacts of the project. It should be designed to address concerns promptly from
any project stakeholder, using an understandable and transparent process that provides timely feedback to those
concerned in a language they understand, without any retribution, and will operate in an independent and objective
manner.

The grievance mechanism may utilise existing grievance mechanisms, providing that they are properly designed
and implemented, address concerns promptly, and are readily accessible to such project workers.

Occupational Health and Safety Plan (OHSP)

Depending on the nature and the scale of the project, the ESMP comprises or is accompanied by an OHSP. An OHSP
lists down measures that need to be designed and implemented to address the following.

a.

b.
hazardous conditions or substances

c. Training of project workers and maintenance of training records

d. Documentation and reporting of occupational accidents, diseases and incidents

e. Emergency prevention and preparedness and response arrangements to emergency situations

f. Remedies for adverse impacts such as occupational injuries, deaths, disability and disease

Resettlement Action Plan

of the impacts expected from a project. Projects may use alternative nomenclature, depending on the scope of the
resettlement plan – for example, where a project involves only economic displacement, the resettlement plan may
be called a “livelihood plan” or where restrictions on access to legally designated parks and protected areas are
involved, the plan may take the form of a “process framework.”

The scope of requirements and level of detail of the resettlement plan vary with the magnitude and complexity
of resettlement. The plan is based on up-to-date and reliable information about (a) the proposed project and its
potential impacts on the displaced persons and other adversely affected groups, (b) appropriate and feasible
mitigation measures, and (c) the legal and institutional arrangements required for effective implementation of
resettlement measures.

Gender Action Plan

DESIGN SOLUTION | E&S MANAGEMENT PLAN (ESMP) 65

decision-making processes and structures), gender sensitive design of the project, equal and safe access.

Note:
of the project include a construction labour management plan, an emergency preparedness and response plan, tribal
management plan, and a climate vulnerability assessment plan. Please refer to the World Bank’s Environmental and Social
Safeguards Framework for details on preparation of these plans.

P. Checklist of content for an Environmental and Social

Management Plan

Index Title

Cover Page

Table of Contents

List of Abbreviations

Glossary

Chapter 1 Introduction

Chapter 2 Environment Management Plan

Chapter 3 Proposed Environment and Social Management Monitoring Plan

Chapter 4 Administrative Framework and Capacity Development And Training

Chapter 5 Implementation Schedule and Cost Estimates

Chapter 6

Chapter 7 (Optional) Occupational Health and Safety Plan

Chapter 8 (Optional) Construction Labour Management Plan

Chapter 9 (Optional) Emergency Preparedness and Response Plan

Chapter 10 (Optional) Tribal Management Plan

Chapter 11(Optional)

Chapter 12 (Optional) Climate Vulnerable Assessment Plan

Appendix

66 DESIGN SOLUTION | E&S MANAGEMENT PLAN (ESMP)

 16. Monitoring and Evaluation (M&E) Plan
M&E is a process of continual gathering of information and assessment of it in order to determine whether progress

unintended (positive or negative) effects from a project and its activities. It is an integral part of the project lifecycle
and of good management practice.

Monitoring: This type of assessment is performed while a project is being implemented, with the aim of improving
the project design and functioning while in action.

cost-effectiveness, etc.) with the aim of informing the design of future projects.

In broad terms, monitoring is carried out in order to track progress and performance as a basis for decision-making
at various steps in the process of an initiative or project. Evaluation, on the other hand, is a more generalised
assessment of data or experience to establish to what extent the initiative has achieved its goals or objectives

a. Purpose of undertaking Monitoring and Evaluation

The purpose of an M&E Plan is to guide the overall implementation of the project in tandem with the Project Logical
Framework by ensuring standardisation and coordination. Where, PLF helps in identifying broad outcomes (and
impact) the project intends to achieve, an M&E Plan elaborates on how well the interventions are being carried
out, in terms of technical quality, timely performance, organisational governance, budgetary performance, and
outcome achievement.

Broadly, there are four key reasons for undertaking M&E

1.
expenditure, actions and results are as agreed

2.
and physical resources committed to the project and improve performance

3. For strategic management: provision of information to inform setting and adjustment of objectives and
strategies

4.
staff and partners to effectively initiate and implement development initiatives

b. Monitoring and Evaluation methodology

For a typical urban infrastructure project, monitoring and evaluation should at least be done at two levels – project
and sector level.

At a sector level, monitoring and evaluation can:

improve project design through the feedback provided from mid-term, terminal and ex post evaluations

analysis of the outcomes and impact of interventions, and the strengths and weaknesses of their
implementation, enabling governments and organisations to develop a knowledge base of the types of
interventions that are successful

provide the evidential basis for building consensus between stakeholders

At project level, monitoring and evaluation can:

provide regular feedback on project performance and show any need for ‘mid-course’ corrections

identify problems early and propose solutions

DESIGN SOLUTION | MONITORING AND EVALUATION (M&E) PLAN 67

 monitor access to project services and outcomes by the target population

evaluate achievement of project objectives

incorporate stakeholder views and promote participation, ownership and accountability

Q. CITIIS Knowledge Product on M&E

Refer to an interactive workbook that is a step-by-step guide for urban
practitioners to understand varied M&E tools and methodology for selecting Monitoring
&
Evaluation
WORKBOOK

R. Suggestive template for a Monitoring and MEASURING WHAT WE ARE DOING AND WHAT WE ARE CHANGING

Evaluation Plan
Note: This is a typical M&E template, customised for CITIIS has additonal
sections on innovation evaluation framework to monitor innovation in
projects and program level progress.

1. Project description
Background

Project details

Project Logical Framework (PLF)

<Insert the latest draft of Project Logical Framework

Project
Means of Indicators
Chain Risks Assumptions
& Targets
summmary

Long Term
Gaol

Outcomes

Outputs

Activities

Has the PLF undergone revision(s) since last submission? If yes, please mention:

Items changed Changed by Endorsed by

68 DESIGN SOLUTION | MONITORING AND EVALUATION (M&E) PLAN

2. Project-level progress
Suggested frequency of reporting: Quarterly

a. Project Measures

Baseline
Frequency
Value _ Target Value Recorded
Output / of data
Data Calculation / Data (Year of _ (Expected Value,
S. No. Activity Unit collection
source Methodology manager Baseline year of Target Quarter
Indicators
Data achievement) 2020-21
(quarterly)
Collection)

1 Indicator -1

2 Indicator -2

3 Indicator -1

4 Indicator -2

b. E&S Monitoring

Data source As per Environment &

S. Output / Activity Yes / Monitoring Present
(If Social Commitment Plan
No. Indicators No period status
applicable) (ESCP) (if applicable)

Environmental Indicators

General Indicators

Status of internal
audit, site visit, E&S
1 documentation,
construction monitoring
report, etc.

Technical status of the

project and potential
changes to the initial
project (new activities,
extension of area of
2
closing…)
Every new
environmental risk

has been dealt with

Every newly introduced

E&S policy or changes
made to existing
3.
improvement initiatives

external audits, etc.)

DESIGN SOLUTION | MONITORING AND EVALUATION (M&E) PLAN 69

 Data source As per Environment &
S. Output / Activity Monitoring Present
YES/NO (If Social Commitment Plan
No. Indicators period Status
Applicable) (ESCP) (if applicable)

Compliance to E&S commitments

Implementation of

Consent conditions
1
and Environment
undertakings (Statutory
conditions)

Results of inspections
by local authorities, if
2.
any, or of third-party
audit

ESMP indicators

Number of non-
1.
compliances

Number and type of

2.
complaints

Accident statistics
within the project
owner and
subcontractors (near
3.
light injuries, incidents
resulting in more than
three days of absence,
fatalities)

Environment Indicators

ESMP such as: noise

4.
measurements,
wastewater discharge,
air quality analysis etc.

Implementation of
the measures of the
5. Environmental and
Social Management
Plan (ESMP)

Analysis of the

measures implemented,
6. of environmental
impacts and related
potential corrective
measures

70 DESIGN SOLUTION | MONITORING AND EVALUATION (M&E) PLAN

 Data source As per Environment &
S. Output / Activity Monitoring Present
YES/NO (If Social Commitment Plan
No. Indicators period Status
Applicable) (ESCP) (if applicable)

Social Indicators

General Indicators

Number of employees
during the reporting
period specifying if
1

project owner as
indicated in ESIA report

Every new social issue

2
has been dealt with as
per ESIA report

Compliance to E&S commitments

Implementation of
1 conditions precedent
and Social undertakings

Results of Social
Surveys, Local
Stakeholder meetings,
2 Focused Group
Discussions (FGDs) by
local authorities, if any,
or of third-party audit

ESMP Indicators

Resettlement Action
Plan (RAP), following
1 the monitoring

in ESIA report

Analysis of the

measures implemented,
2 of residual social
impacts and related
potential corrective
measures

E & S Major Event Indicators

Type of event No
Fatalities
Strikes

Pollutions (spills, explosions, uncontrolled discharges…)

Negative media attention

Other

DESIGN SOLUTION | MONITORING AND EVALUATION (M&E) PLAN 71

 Action Plan
Fundamental implemented Person
Major event Nature Consequences
cause responsible
implemented

For every major event

mentioned above, provide
a detailed explanation of
circumstances (nature,
fundamental causes),
consequences, and the action
plan implemented or to
be implemented (remedial
and preventive actions with
correspondent resources and
people on charge)

c. Physical Progress

Expected
Whether
progress level in
conjunction with Current If any Mitigation Responsible
Project / project
the Work plan progress level deviation, steps person,
Components update
submitted as (in percentage) justify why planned Designation
undertaken?
part of the DPR
(Y/N)
(in percentage)

<name of

<name of

d. Financial Progress

Total Project Cost (in INR crores)

Grant Received till date (in INR crores)

Current Utilization (in INR crores)

72 DESIGN SOLUTION | MONITORING AND EVALUATION (M&E) PLAN

1.
[Project Implementor s are suggested to choose indicators relevant to their own projects and omit other indicators]

Baseline
Value _ Target Value
Recorded Recorded Recorded
S. Data Calculation / Data (Year of _ (Expected
Indicators Unit Value, Value, Value,
No. source Methodology manager Baseline year of Target
2021 2022 2023
Data achievement)
Collection)

Education
Example:
Number of
refurbished
educational refurbished
1 Number
facility educational
(including facility by the
digital project
infrastructures)

Green Spaces
number of
Example: Green hectares of
Spaces created green spaces
3 Hectares
created of
by the project refurbished by
the project

Health

Housing

Public Open Spaces

Water and Sanitation

Transport

DESIGN SOLUTION | MONITORING AND EVALUATION (M&E) PLAN 73

2. Project Outcomes
Frequency Baseline
of data Value _ Target Value
Recorded Recorded Recorded
S. Outcome Data Calculation / collection Data (Year of _ (Expected
Unit Value, Value, Value,
No. Indicators source Methodology (quarterly/ manager Baseline year of Target
2021 2022 2023
bi-annually / Data achievement)
annually) Collection)

Indicator
1
-1
Indicator
2
-2

Indicator
5
-1

3. Project Evaluation Update

Organisational Readiness Assessment

Training Needs Assessment

a. Roles and Responsibilities

Role Name Responsibilities Status of recruitment (Complete / in-progress / pending)

b. Capacity Building

Training

Expected
Trainings / topics Mode of Members/roles Facilitated Status (Complete / in-
Date of
considered training by progress / pending)
Completion

c. Knowledge Capitalisation

Frequency of
data collection Recorded
Calculation / Data Baseline Target
S. No. Indicator Unit (quarterly/ Value,
Methodology Manager Value Value
bi-annually / 2021-23
annually)

74 DESIGN SOLUTION | MONITORING AND EVALUATION (M&E) PLAN

d. Peer-Exchange and Learning

Type of Members/roles
Location Event Expected Status
exchange
(Domestic / facilitated Date of (Complete / in-
(Physical / peer-exchange
International) by Completion progress / pending)
virtual) initiatives

e. Communications and Outreach

Number of
Tools and methods Expected Status
Activities Target participants
(physical engagements/ Date of (Complete / in-
planned group (gender disaggregated
digital / print, etc.) Completion progress / pending)
data)

f. Institutional coordination

Departments
Purpose of Mode of Frequency of Responsibilities Outputs of Review
/agencies
engagement engagement engagement / tasks shared engagement mechanism
involved

4. Data Management
What technology infrastructure is in place to capture the inputs for effective M&E?

What will be the mechanism for data storage? For how long will the data be stored?

DESIGN SOLUTION | MONITORING AND EVALUATION (M&E) PLAN 75

 17. Detailed Project Report (DPR)

It provide details of the basic programme, the roles and responsibilities, all the activities to be carried out and the
resources required and possible risk with recommended measure to counter them.

1
Project scope
and objectives
– lays out the
overall project and
2 Existing
situation
analysis – takes
stock of current
the objectives it circumstances and
aspires to achieve details out the state
of the current assets

TYPICAL
APPROACH TO
PREPARATION
OF A DPR

4 3
Project cost – Detailed design –
presents the presents the detailed
overall capital design of the overall
and operation and asset as well as
various components
of the asset
the projects

Over the years, the trend of relying more on the detailed project report has seen traction. Ideally, the DPR should

However, when the DPR for the same project is developed, a stark contrast in costs is observed. This departure in
costs between the feasibility and the DPR is quite common and can range between 10% to 400%. To avoid this pitfall,
higher emphasis should be placed on the feasibility study and it is expected to be detailed to provide for prudent
decision-making. The approach adopted for preparing the templates for feasibility study and DPR must consider
the following.

A logical sequence between feasibility study and detailed project report should be evident
Both reports together enable easy project implementation
The feasibility should inform the detailed project report

and can adopt them based on their relevance to the project at hand. Wherever possible, crisp guidelines are

76 DESIGN SOLUTION | DETAILED PROJECT REPORT (DPR)

S. Template for a Detailed Project Report

1 Background and Introduction Introduce the project

Explain in brief the overall project
1.1 Background The key takeaways from the feasibility are to ensure
that this report adheres to the most important points
1.2 Introduction to the project that feasibility has presented

1.3 Project introduction

1.4 Key takeaways of feasibility study

1.5 The structure of Detailed Project Report

2 Project rationale Set out the context of the project highlighting the key
issues being faced resulting in the conceptualisation

2.1 Context taking up this project

Outline and describe the project constituents and
2.1.1 City Demography and socio-economic what individual components are part of overall
project

2.1.2 Key issues the project is implemented

In the overall methodology, present a snapshot of
2.1.3 Need for the project how the project is conceptualised from ideation to
implementation
Chapters 1 and 2 might appear to be a repetition and
2.1.4
to a large extent it is reiterating some aspects of the
feasibility study. However, this is to ensure that the
2.2 Project overview and objectives reader / user of the document can understand and
appreciate the overall context of the project

2.2.1 Key project components and methodology

of project development

2.2.2 Key intended outcomes

2.3 The overall methodology

3 Existing Situation Analysis This section should highlight the existing situation in
all possible details including all the detailed surveys
and investigations that have been carried out
3.1 Soil investigation

3.2 Topographic surveys

DESIGN SOLUTION | DETAILED PROJECT REPORT (DPR) 77

3.2 Topographic surveys The technical studies for each set of projects will be
different and can have different constituents
The sample for Geotech investigation will increase to
3.3 Hydrological surveys ensure full site is workable for the project
Depending on the nature of the project, these titles
3.4 Climate studies
for all components of the project. This can include
designs for physical and non-physical infrastructure.
3.5 In case of non-physical infrastructure components,

3.6 Detailed Technical design

drawings that present the overall post- construction
views of the facility should be included in this report.
3.6.1 Final design option
An additional volume may be prepared with all
relevant design drawings (which will be required in
3.6.2 Architectural design and drawings, if any case for technical sanction) and kept handy
applicable

3.6.3 Structural design and drawings, if applicable

3.6.4 Material selection

3.6.5 Final detailed design

3.7 Engineering solutions for infrastructure

components

3.8 Cost estimates for each component

4 Environmental and Social Impact The feasibility study will have already carried out
Assessment potential EIAs and SIAs – in case the same have not
been carried out, this can be taken up here

4.1
impact assessment studies

4.2 Final mitigation measures for E&S impacts

5 Project Costing and Economic Analysis

are to be determined here. This section should
be informed by the analysis carried out under the
5.1 Final capital costs (including interest during
construction) overall costs for the project

5.2 Final pre-operative expenses

5.3 Estimation of O & M costs

78 DESIGN SOLUTION | DETAILED PROJECT REPORT (DPR)

5.4 Economic Analysis

5.4.1

5.4.2 Economic rate of return

6 Implementation plan An overall project implementation schedule

should be developed (GANTT Chart) for project
implementation
6.1 Project scheduling with respect to time and
cost This section and its contents should be further

the feasibility study and should now identify all key

6.2 Statutory administrative, technical and steps necessary to kick-start implementation
environmental approvals’ timelines

6.3 Human resource and institutional

requirements

7 Procurement plan The procurement plan here should differ from the

structures and number of work packages that are to

7.1 Final procurement requirements be taken up. This plan and its realisation should align
with the overall project implementation schedule
7.2 Overall procurement plan

8 Annexures The list of annexures provided is only indicative and

information necessary

DESIGN SOLUTION | DETAILED PROJECT REPORT (DPR) 79

6 Project
Maturity

80 DESIGN SOLUTION | E&S MANAGEMENT PLAN (ESMP)

18. Additional Training Needs Assessment

19. Capacity Building Plan

20. Design Evaluation Report

DESIGN SOLUTION | E&S MANAGEMENT PLAN (ESMP) 81

6 Project Maturity

18. Additional Training Needs Assessment

Training Needs Assessment (TNA) is the method of determining if a training need exists and, if it does, what training

Simply, Training Needs = Desired Organisational Capability – Current Capability of the Project Staff

Training may be needed when there is a gap between the desired performance and the current performance,
and the reason for that gap is lack of skill or knowledge. Training may only be able to resolve part of the problem.

become more effective. This process is called a Training Needs Assessment.

The purpose of TNA can be understood through the 5Ws: why, who, how, what, and when.

and (2) feasibility analysis

WHO is involved in the training? Involve appropriate parties to customise a training program to capture the

WHAT is the best way to conduct the training? Conduct an analysis to decide the format and content of the training

WHEN will training take place?

82 | ADDITIONAL TRAINING NEEDS ASSESSMENT

 T. Steps to Conduct a Training Needs Assessment

The person conducting the Training Needs Assessment must

clearly understand the overall organisation and department
goals as well as project priorities, so he or she can properly
assess the training options and identify which training
opportunities will contribute most to the overall success of
employees, the project, and the organisation as a whole.

Essentially, why is the organisation conducting a training

needs assessment? What is the end result that the employee,
manager or executive team is trying to accomplish? Will training
contribute to this accomplishment? Sometimes training is
not the answer. There may be other organisational issues
that would be best addressed through another means – for

or realigning a department, or employee engagement.

Step 2: Gap Analysis

Performing a gap analysis involves assessing the current state of a department’s or employee’s performance or
skills and comparing this to the desired level. The difference between the existing state and the desired state is the
gap. There are many different methods for conducting a gap analysis. Some gap analysis assessment tools are the
following:

HR records
Individual Interviews
Focus Groups
Surveys, questionnaires, and self-assessments

Step 3: Assessing Training Options

The gap analysis generates a list of training options
and needs. Now the list can be assessed based on
the goals and priorities of the organisation, both
currently and in the future.

Step 4: Evaluate TNA outcomes

The outcomes of the TNA process should help in
curating trainings as per organisational needs. In
addition, continuous monitoring of training targets
should be done to evaluate if any impact has been
achieved.

| ADDITIONAL TRAINING NEEDS ASSESSMENT 83

 19. Capacity Building Plan
Capacity Building Plan is a clear and practical plan, with a timeline, measurable indicators and a realistic budget, to

and indicators; and the resources required to implement change and to measure progress.

Capacity Building is much more than training. It includes:

Human resource development

understanding, skills, and training that enables them to perform effectively.

Organisational development is the elaboration of management structures, processes and procedures, not

(public, private, community), infrastructure and service development, etc.

Institutional framework development (at all levels) to enhance institutional capacities: to establish competent

and reporting systems, etc.

Once an assessment has been completed, a capacity building response must be created based on the following
considerations.

policies, procedures, resource management, organisation, leadership, frameworks, and communication.

Institutional arrangements can be strengthened by developing human resource policies and protocols for
recruitment, deployment and transfer, incentives systems, skills development, performance evaluation
systems, and ethics and values.

Leadership – Leadership by either an individual or an organisation can catalyse the achievement of project.
Strong leadership allows for easier adaption to changes and helps encourage the development of leadership
skills such as, priority setting, communication and strategic planning.

Knowledge – Knowledge is the foundation of capacity. Greater investments should be made in establishing
strong education systems and opportunities for continued learning and the development of professional
skills in the project staff.

84 |
 U. Template for Capacity Building Plan

Capacity Capacity Capacity Year Year

Priorities Budget
Strategies Required Strengths Actions 1 2
and Gaps
Progress Person Units No.
H M L Indicator In- Item costs of Total (INR)
charge (INR) units

Indicate Indicate Mapping Activities list Indicate Indicate Budget item to 20000.00 10 200,000.00
capacity of for capacity priority timeline here complete the
actions to existing enhancement here: (x) action - e.g.
address at individual and High (H), consultant
areas for and required Medium support
improvement organisation skillsets (M) or
level Low (L)

|
85
 20. Design Evaluation Report
The last step in a project development phase is the Design Evaluation Report. The purpose of the Design Evaluation
Report is to undertake a systematic and objective examination of the various activities undertaken by the project
implementor and to determine the relevance and level of achievement of project objectives envisaged at the
beginning of the project. In addition, a fair assessment of various aspects of the design phase, help feed lessons
learned into the decision-making processes.

The initial sections of the report entail a broad, strategic assessment of the project development phase. It can
comprise:

1. Assessing alignment of the project with the overall vision and goals
2. Relevance of studies conducted and the level of integration of results into the design.
3. Technical viability and coherence with design standards
4. Comprehensiveness of cost estimates
5. Comprehensiveness of Environmental and Social Safeguards measures
6.
7. Comprehensiveness of the procurement plan made by the project implementor

The assessment is made based on details in the project’s DPR, and each parameter is evaluated on a scale of 1-5,
where 1 is total deviation and 5 is complete alignment.

The second section of the Design Evaluation Report gauges the preparedness of the project implementor for
effective implementation of the project. It involves a broad assessment of the plan of implementation. The following
parameters are assessed.

1. Status of approvals for the work to commence

2. Adequacy of human resources for implementation phase
3. Adequacy of institutional resources for implementation phase
4. Comprehensiveness of the capacity building plan for the project team
5. Consistency of the monitoring and evaluation plan for the project
6. Comprehensiveness of the risk management system

It can be an effective tool for any project implementor, including urban local bodies and state departments to
effectively gauge their projects design through the lens of sustainability and participatory project design and
implementation and allows for a fair assessment before grounding a project, and can help mitigate risks, enable
course correction and inform effective decision making on the project.

V. Template for the Design Evaluation Report

Factsheet

Project Name

City

CEO

Project In-charge

Project Team

Project Components

Finalised Project components (as per the DPR)

Total Project Cost

Finalised Total Project Cost (as per the DPR)

Estimated timeline of the Implementation Phase

86 PROJECT MATURITY | DESIGN EVALUATION REPORT

1. Overview
Introduction

Activities led during the Project Development Phase

Key learnings from the Project Development Phase

Key remarks regarding the Implementation Phase

Project Development Phase

a. Assessment

Please provide your assessment in the table below as per the DPR

Sr. Parameter Evaluation Key observations

No.

1 The project continues to be in line with the 5 – Fully in line

selected project proposal and fully adheres to
the overall values and objectives 4 – Largely in line

3 – Part deviation

2 – Large deviation

1 – Total deviation

2 The key outcomes / outputs are consistent with 5 – Fully in line

the original proposal and the project values and
objectives 4 – Largely in line

3 – Part deviation

2 – Large deviation

1 – Total deviation

3 All necessary surveys and studies have been 5 – Comprehensive

carried out and the results have been factored
in the design process 4 – Largely comprehensive

3 – Partly comprehensive

1 – Total misalignment

4 The benchmarking / gap assessment fully 5 – Comprehensive

support the need analysis of the project
4 – Largely comprehensive

3 – Partly comprehensive

1 – Total misalignment

PROJECT MATURITY | DESIGN EVALUATION REPORT 87

 # Parameter Evaluation Key observations

5 Design options have been deliberated and the 5 – Consistent and

chosen option the most feasible Comprehensive

4 – Largely consistent and

comprehensive

3 – Partly consistent and

comprehensive

1 – Total misalignment

6 Cost estimates are comprehensive 5 – Comprehensive

4 – Largely comprehensive

3 – Partly comprehensive

2 – Requires relook

1 – Requires an overhaul

7 Environmental and social impacts have been 5 – Comprehensive

analysed comprehensively and proposed
mitigation measures are appropriate 4 – Largely comprehensive

3 – Partly comprehensive

1 – Total misalignment

8 Financial resources are being optimally 5 – Comprehensive and

leveraged and revenue estimates, if applicable, realistic
appear to be realistic and workable
4 – Largely comprehensive
and realistic

3 – Partly comprehensive and

realistic

2 – Requires reconsideration

1 – Requires overhaul

9 Financial sustainability has been assessed fully 5 – Financially sustainable

and project appears likely to sustain itself over project
time

sustainable

sustainable

2 – Sustainability is
questionable

1 – Unsustainable

88 PROJECT MATURITY | DESIGN EVALUATION REPORT

 # Parameter Evaluation Key observations

10 Economic inputs justify the outcomes targeted 5 – Fully justify

4 – Largely justify

3 – Partly justify

2 – Unsatisfactory

11 Procurement plan is comprehensive, detailed, 5 – Comprehensive

and workable
4 – Largely comprehensive

3 – Partly comprehensive

1 – Overhaul required

Project Readiness

Mitigation Measure Taken

Project Structuring

Mitigation Measure Taken

Design Feasibility

Mitigation Measure Taken

Design Solution

Mitigation Measure Taken

Project Maturity

Mitigation Measure Taken

PROJECT MATURITY | DESIGN EVALUATION REPORT 89

 Implementation Phase
Assessment of the Implementation Plan

# Parameters Evaluation Key Observations

1 All approvals are in place and 5 – All approvals in place
work can commence
4 – Most approvals in place
3 – Only part approvals in place

1 – Approvals not in place

2 All necessary human resources 5 – Fully in place
are in place. If not, the process
to acquiring the critical 4 – Largely in place; acquisition process
resources is advanced advanced
3 – Partly in place; acquisition process
initiated
2 – Most resources not in place;
acquisition process under
consideration
1 – No resources in place; acquisition
process not initiated
3 Institutional arrangement
(verticals / dept. / team) for

and in place

yet

4 Capacity building needs and / or

other support needs are pre- to address the requirements for

to address the requirements for

implementation

implementation

1 – Misalignment with the

project implementation

90 PROJECT MATURITY | DESIGN EVALUATION REPORT

# Parameters Evaluation Key Observations
5 Monitoring and evaluation plan 5 – Fully consistent and comprehensive
is consistent with the project
logical framework and clearly 4 – Largely consistent and
captures the key outputs / comprehensive
outcomes 3 – Partly consistent and
comprehensive

1 – Total misalignment with PLF

6 5 – Captures all key risks and
key risks and the mitigation/
management measures are well-
4 – Captures almost all key risks and

3 – Captures partly key risks and

2 – Captures partly key risks but

1 – Does not cover key risks and

Mitigation Measure Taken

c. Additional comments

PROJECT MATURITY | DESIGN EVALUATION REPORT 91

NOTES:

92 NOTES
NOTES:
City Investments To Innovate, Integrate, and Sustain (CITIIS) is the main
component of the ‘Supporting Smart Cities Mission for a more Inclusive
and Sustainable Urban Development in India Initiative’ launched by
the Ministry of Housing and Urban Affairs (MoHUA), Government
of India in 2018. The program is supported by the Agence Française
de Développement (AFD) and the European Union (EU), and is being
coordinated and managed by the Program Management Unit (PMU) at
the National Institute of Urban Affairs (NIUA). External aid to the tune
of EUR 100 million has been provided to twelve Smart City SPVs in the
form of loan, and EUR 6 million has been made available for technical
support to the program.

National Institute of Urban Affairs

National Institute of Urban Affairs

1st Floor, Core 4B, India Habitat Centre, Lodhi Road, New Delhi - 110003, INDIA
[email protected]; Phone: (+91 11) 24617517, 24617543, 24617595. Fax: (+91 11) 24617513
Website: citiis.niua.org, www.niua.org