E-filing of forest clearance...

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E-filing of forest clearance applications

Detailed Project Report (DPR)

Ministry of Environment & Forests (‘MoEF’)

DPR for implementation of e-filing of forest clearance applications pertaining to developmental projects

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Document Control

Document Owner

Owner

Samidha Mittal, Ernst & Young (EY)

Review & Approval History

Revision No. Person Name Role Review Date Approval Date

1 Akshya Singhal EY 17 June 2013 18 June 2013 2 Samidha Mittal EY 23 Sep 2013 23 Sep 2013

Document Distribution

Name Title Date Version

Sh. R K Pathak Senior Technical Director, Environment & Forest Informatics Division, National Informatics Centre

27 November 2013 2

Sh. Shivpal Singh Nodal Officer, Ministry of Environment & Forests (MoEF) 26 Feb 2013 1

Project Name: Detailed project report for implementation of e-filing of forest clearance applications pertaining to developmental projects

Client Representatives:

1. Sh. Sanjay Gahlout, Deputy Director General, National Informatics Centre 2. Sh. R K Pathak, Senior Technical Director, Environment & Forest Informatics Division,

National Informatics Centre 3. Sh. Shivpal Singh, Senior Assistant Inspector General Forests, Ministry of Environment &

Forests (MoEF)

Start Date: 11 February 2013

End Date: -


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Table of Content

1 BACKGROUND ................................................................................................................................................ 5

1.1 ABOUT MINISTRY OF ENVIRONMENT & FORESTS ............................................................................................................ 5 1.2 POLICIES .................................................................................................................................................................. 6 1.3 REGULATORY FRAMEWORK ......................................................................................................................................... 7 1.4 FOREST CONSERVATION & RULES OF DIVERSION............................................................................................................. 7 1.5 NEED FOR STRENGTHENING INFRASTRUCTURE FOR FOREST & ENVIRONMENT CLEARANCE .................................................... 8

2 PROJECT OBJECTIVES & EXPECTED OUTCOMES .............................................................................................. 9

2.1 OBJECTIVE OF THE STUDY............................................................................................................................................ 9 2.2 EXPECTED OUTCOMES ................................................................................................................................................ 9

3 EXISTING FOREST CLEARANCE PROCESSES& KEY STAKEHOLDERS................................................................. 10

3.1 AS-IS FOREST CLEARANCE PROCESS ............................................................................................................................ 10 3.1.1 Submission of proposal .............................................................................................................................. 11 3.1.2 Scrutiny & processing ................................................................................................................................ 12 3.1.3 Grant of in-principle approval ................................................................................................................... 15 3.1.4 Submission of compliance report .............................................................................................................. 17 3.1.5 Issuance of diversion order........................................................................................................................ 18

3.2 PROJECT STAKEHOLDERS .......................................................................................................................................... 19

4 PROPOSED DESIGN ....................................................................................................................................... 21

4.1 THE “TO-BE” PROCESS............................................................................................................................................ 21 4.1.1 Submission of proposal .............................................................................................................................. 21 4.1.2 Scrutiny & processing ................................................................................................................................ 22 4.1.3 Grant of in-principle approval ................................................................................................................... 24 4.1.4 Submission of compliance report .............................................................................................................. 25 4.1.5 Issuance of diversion order........................................................................................................................ 26

4.2 KEY APPLICATION DESIGN PRINCIPLES ......................................................................................................................... 27 4.3 FUNCTIONAL ARCHITECTURE ..................................................................................................................................... 28

4.3.1 Application modules & key features ......................................................................................................... 30 4.3.2 Data layer ................................................................................................................................................... 30 Data principles ............................................................................................................................................................ 31 Data components ....................................................................................................................................................... 32

4.4 DEPLOYMENT ARCHITECTURE .................................................................................................................................... 33 4.4.1 ICT Infrastructure ....................................................................................................................................... 35 4.4.2 Data center ................................................................................................................................................. 35 4.4.3 Network ...................................................................................................................................................... 35

5 CHANGE MANAGEMENT AND CAPACITY BUILDING STRATEGY .................................................................... 36

5.1 STAKEHOLDER IDENTIFICATION .................................................................................................................................. 36 5.2 CONTEXT OF ‘CHANGE’ ............................................................................................................................................ 38 5.3 INITIATIVES FOR CHANGE MANAGEMENT..................................................................................................................... 38 5.4 KEY VEHICLES OF CHANGE MANAGEMENT .................................................................................................................. 39

5.4.1 Awareness and communication ................................................................................................................ 39


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5.5 MEASURING THE CHANGE ........................................................................................................................................ 42 5.6 CAPACITY BUILDING AND TRAINING PLAN ................................................................................................................... 42

5.6.1 Approach for Training ................................................................................................................................ 42 5.6.2 Training Plan .............................................................................................................................................. 43

5.7 OPERATIONAL ASPECTS OF TRAINING ......................................................................................................................... 45 5.8 RESISTANCE MANAGEMENT ...................................................................................................................................... 48

6 IMPLEMENTATION ROADMAP ..................................................................................................................... 49

6.1 PROCUREMENT PLAN ............................................................................................................................................... 50 6.2 PHASING ................................................................................................................................................................ 50 6.3 WORK PLAN ........................................................................................................................................................... 52

7 PROJECT MANAGEMENT AND GOVERNANCE STRUCTURE ........................................................................... 58

7.1 CENTRAL LEVEL STEERING COMMITTEE........................................................................................................................ 59 7.2 PROJECT MANAGEMENT UNIT (PMU)....................................................................................................................... 59


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1 Background

1.1 About ministry of environment & forests Ministry of Environment and Forest (MoEF) is the nodal agency in the administrative structure of the central government for the planning, promotion, co-ordination and overseeing the implementation of India's environmental and forestry policies and programs. The primary concerns of the Ministry are implementation of policies and programmes relating to conservation of the country's natural resources including its lakes and rivers, its biodiversity, forests and wildlife, ensuring the welfare of animals, and the prevention and abatement of pollution. The broad objectives of the Ministry are:

i. Increase the forest and tree cover to 33% of the geographical area of the country (Afforestation and regeneration of degraded Forests)

ii. Conservation of the existing forests, wildlife and water resources and survey of various areas for identification of new species (Protection of Forests, Conservation of rivers, Biodiversity Conservation, Conservation of Wetlands, Wildlife Conservation, Conservation of resources in the eco-sensitive zone, Capacity building, training and research in classical and molecular taxonomy)

iii. Control of Pollution - Air, Water, Noise and Industrial pollution (Better ambient water quality, Management of hazardous substances and Better Environmental governance)

These objectives are well supported by a set of legislative and regulatory measures, aimed at the preservation, conservation and protection of the environment. These acts, rules and regulations guide the ministry’s work in the following domains: Water pollution, air pollution, environment protection, public liability insurance, national environment appellate authority, national environment tribunal, animal welfare, wildlife, forest conservation, biodiversity and Indian forest services.

The role of the Centre in matters related to environment has evolved in a very round about manner. Under the constitutional scheme of division of powers, the subjects of “forests” and “protection of wild animals and birds” were in the state list. These were moved to the concurrent list in 1976 through the 42nd amendment. Environment as such does not find mention in any of the three lists. Land and water are state subjects, except regulation and development of inter-state rivers; only to the extent it is specifically declared by the Parliament to be required in public interest. Incidentally, by the 42nd amendment “protection and improvement of environment and safeguarding of forests and wildlife” was included in the directive principles of State policy and it was made a fundamental duty of every citizen of India “to protect and improve the natural environment including forests, lakes, rivers and wildlife and to have compassion for living creatures. Given this background, the Forest Conservation Act, 1980 could also be enacted by the Central Government as a consequence of the 42nd amendment. This Act made prior approval of Central Government mandatory for using forest land for non-forestry purposes and also laid down the pre-requisites for such diversions. The major functions of the Ministry therefore include:

Formulation of national policies on management of environment, forests and wildlife; Implementation of provisions of related legislations on forests, environment and wildlife, control of pollution of air and

water, etc. Survey and exploration of natural resources particularly of forests, flora, fauna, ecosystems, etc. Bio-diversity conservation including that of lakes and wetlands; Conservation, development, management and abatement of pollution of rivers Environmental research and development, education, training, information and awareness; Regulation of diversion of forest land for non forestry purposes; Environmental Impact Assessment; Wildlife conservation, preservation, protection planning, research, education, training and awareness; Afforestation and eco-development; Prevention of cruelty to animals; Administration and Management of subordinate and autonomous institutions of the Ministry; and


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Monitoring of implementation of central sector and centrally sponsored schemes funded by the Ministry.

The implementing structure consists of the Ministry of Environment and Forests, which is organized into a number of Divisions, supported by a number of institutions with varying degrees of autonomy such as Directorates, Boards, Subordinate Offices, Autonomous Institutions and Public Sector Undertakings. The major divisions in the Ministry are:

a) Environment b) Forests & Wildlife; c) National afforestation and Eco-Development Board; d) National River Conservation Directorate

There are six regional offices of the Ministry which are entrusted with the responsibility of monitoring and evaluation of on-going forestry development projects and schemes and follow up of implementation of conditions and safeguards laid down while granting environmental clearance of projects. The major supporting institutions include:

a) Central Pollution Control Board b) Botanical Survey of India c) Zoological Survey of India, d) Indira Gandhi National Forest Academy, Dehradun e) Forest Survey of India f) Indian Council for Forestry Research and Education g) Indian Institute of Forest Management h) Wildlife Institute of India i) National Biodiversity Authority j) National Tiger Conservation Authority k) National Ganga River Basin Authority l) National Green Tribunal

Ministry of Environment and Forests is also the primary nodal agency for granting clearances to any person, organization or Company or Department of the Central or State Government. It provides the following types of clearances:

Environment clearances Forest clearances GEAC clearances CDM approvals

1.2 Policies The broad vision of the Ministry with sustainable development as the core underlying theme is enshrined in a number of policy documents, both sector specific and overarching, brought out from time to time. These policy statements provide the conceptual and ideological underpinnings for the regulatory and institutional framework and the plans and schemes of the Ministry. The important policy statements are:

National Forest Policy, 1988 - This policy aims to increase the area under forests in the country to 33 % through massive afforestation programs and protection of the existing forest cover, regulating management of forest based industries and building on the symbiotic relationship between forests and the forest dwellers.


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National Conservation Strategy and Policy Statement on Environment and Development, 1992 - This policy document laid down a comprehensive agenda of action for protection and conservation of environment by promoting efficient use of water, interception, diversion and treatment of sewage, promoting clean fuels and clean technologies, setting up a chain of national parks, wildlife sanctuaries and biosphere reserves etc.

Policy Statement on Abatement of Pollution, 1992 - This policy statement focused on implementation, the polluters pay principle, critically polluted areas, assisting small industries to set up common treatment and disposal facilities, etc.

National Environment Policy, 2006 - This is the comprehensive policy statement intended to mainstream environmental concerns in all developmental activities. It outlines the strategies for addressing key environmental challenges facing in the country. The major principles of the policy include the right to development and equity along with environmental standard setting and a precautionary approach.

1.3 Regulatory framework Over the years, a number of laws have been enacted to help achieve the objectives of the Ministry. The regulatory framework consists of following major Acts:

The Indian Forest Act, 1927 The Wildlife (Protection) Act, 1972 The Water Prevention and Control of Pollution Act, 1974 The Water (Prevention and Control of Pollution) Cess Act, 1977 The Forest (Conservation) Act, 1980 The Air (Prevention and Control of Pollution) Act, 1981 The Environment (Protection), Act, 1986 The Public Liability Insurance Act, 1991 The Biological Diversity Act, 2002 The National Green Tribunal Act, 2010

1.4 Forest conservation & rules of diversion

The mandate of the Forest Conservation Division is to implement the Forest (Conservation) Act, 1980, which was enacted on 25th October, 1980. This Act deals with grant of forestry clearances for diversion of forest lands for non-forestry purposes in respect of development projects like power, roads, railways, irrigation, mining, schools, defence, drinking water, resettlement & rehabilitation of people etc.

The proposals for diversion of forest land under the Forest Conservation Act 1980 are received from the concerned State Government after due consultation with respective Gram Sabhas. The Gram Sabha has to provide its No Objection Certificate in this regard.

State/UT Government before diverting / de-reserving forest land for non-forest purposes requires prior approval of Central Government under section-II of the Forest (Conservation) Act 1980. The statute for forest diversion requires the diversion in two stages. In Stage-I (i.e. ‘in-principle approval’), the proposal is either agreed to or rejected. If agreed to, certain conditions largely relating to depositing the opportunity cost of forest land such as net present value (NPV), compensatory afforestation (CA) and other expenses towards mitigating the environmental damages (catchment area treatment, wildlife preservation, bio-diversity conservation and rehabilitation of displaced persons, if any) have to be fulfilled by the project authorities. Once this is done, Stage-II clearance is accorded by the Government. Following this the project authorities are handed over the forest land for use.

The system of prior forest and environmental clearances under the Forest (Conservation) Act, 1980 and the Environment (Protection) Act, 1986 has become well established and is a major step for ensuring sustainability right at the inception of a


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project. This has helped check diversion of forest land and ensure that the industries incorporate preventive and mitigative equipments, technologies and processes.

The FC Act checks diversion of forest land and provides for compensatory afforestation. The Supreme Court judgment in the Godavarman case substantially increased the funds available for this purpose by introducing the NPV concept. These initiatives have resulted in India being one of the very few countries in the world where the decline in forest cover was not only arrested but actually reversed, despite rapid economic development and increasing biotic pressure.

1.5 Need for strengthening infrastructure for forest & environment clearance

The clearance regime is now well established. It has helped proactively check environmental degradation and arrest indiscriminate diversion of forest areas. A range of direct and indirect benefits have been realized, viz. early withdrawal of environmentally unsound proposals, 'greening' of project designs, planning, policy and institutional reforms and increased public awareness. Sometimes there is clearly a trade-off between economic development and checking environmental degradation, between exploitation of natural resources and conservation. However, this trade off is not intractable and can be resolved, striking the right balance between economic development and environment, by making the project proponents amenable to regulations, through additional costs and use of superior technology. In the case of mining, for example, the experience in advance economies demonstrates that modern mining techniques and regulatory obligations can ensure that the environment is restored to its original pristine state or even better. With increasing GDP growth and new challenges, the present institutional infrastructure in the Ministry, however, is somewhat inadequate and could impact the compliance and monitoring of the new notifications’ objectives, and its full Environmental benefits. The new notifications have brought in more number of projects within the purview of the appraisal process. While the number and complexity of the projects being processed for environmental CRZ/EPZ clearance has increased manifold, the capacity and resources available with MoEF and its agencies to manage them have remained stagnant. Therefore, there is a need to strengthened infrastructure for better management of environmental and forest clearance systems.


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2 Project objectives & expected outcomes

2.1 Objective of the study

The Ministry of Environment and Forest (MoEF) envisages to implement e-filing system for grant of forest clearance which will transform the department into a ‘paper-less’ office. The key objectives of this study are:

Enhance efficiency, transparency & accountability Reduction in turnaround time per activity Enhance responsiveness through workflow automation & availability of real time information Enhance ease & convenience of citizens & businesses in accessing information and services Achieve standardization in processes across state & regional level

To achieve the above objectives the forest conservation division of ministry of environment and forests intends to:

Prepare workflow diagrams/ charts depicting various stages of processing of applications seeking prior approval of Central Government for diversion of Forest land for non-forest purpose.

Prepare checklist of the essential information/ documents to be provided while submitting forest clearance applications through e-filing process

Develop customized software for e-filing of forest clearance applications Assess hardware, manpower and other infrastructure required at various levels in the central and state / UT

Governments for operations and maintenance of the e-filing system. Asses training and skill upgradation required at various levels in the Central and State/UT Governments for

operations and maintenance of the e-filing system. Assess funds required (both recurring and non-recurring) for operations and maintenance of the e-filing system

2.2 Expected outcomes

Key outcomes expected from the project include the following:

a. Availability of real-time information and transformation to a paper-less process b. Reduction in turnaround time

Expected outcomes from ‘SI’:

a. The vendor shall provide services for development and testing of e-filing application. This would involve: Development of application modules (software) for e-filing of forest clearance and its integration with

other external applications like CAMPA Testing of the application developed under various ‘Use Cases’ and ‘scenarios’ User Acceptance Testing and user acceptance of solution

b. Supply, installation, integration, commissioning, management and maintenance of enabling infrastructure comprising of Office Hardware, Servers, Databases, Operating systems, Storage and Security equipment along with associated peripherals, accessories and services at DC/DR sites and office locations for the contract period

c. Data migration to new application database, if required d. Conduct relevant change management and capacity building activities for the contract period


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Forest clearance

01_FC_SUB

02_FC_SCR

03_FC_INP

04_FC_FUN

Submission of proposal

Scrut iny & processing

Grant of in-pr inciple approval

Submission of compliance report

Process objective

Submission of proposal Proposal submission by user agency to state forest department

Scrutiny & processing Proposal scrut iny conducted at var ious levels of forest conservation division of MoEF

Grant of in-principle approval Grant of approval by state government subject to compliance to certain condit ions

Submission of compliance report Compliance by user agency as required for compliance to stage I approval

Issuance of diversion order Grant of diversion order by state government for forest clearance

05_FC_DIV Issuance of diversion order

Process no. Process name

3 Existing forest clearance processes& key stakeholders

3.1 As-is forest clearance process

At the onset of the study, EY team assessed the current state of the ‘Forest Conservation Department’. The study was conducted at two hierarchical levels, i.e. at headquarter and Regional offices to ensure the comprehensive understanding of the processes in the department. Based on the study conducted, it is understood that following five processes encompass the comprehensive functioning of forest conservation department:

The above processes are detailed in the sections below.


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User agency (UA)

Nodal officer

Divisional forest officer

(DFO)

Obtain form A or B f rom state forest department

(SFD) or websiteA

Receive applicat ion along with required documents

from user agency

Submit completed applicat ion (Part I of Form A/ B) and

relevant documents at SFD

Issue acknowledgement

receipt t o UAB

1 2

3 4

Legend:Form A or B and required documents submit ted by user agency

Acknowledgement receipt issued by nodal off icer upon submission

A

B

Submission to DFO

directly?

N

Examine the proposal received

Completion check (Y/ N)?

Return the proposal t o user agency for re-

submission

76

Receive proposal along with documents from nodal of f icer or UA

Y

N

02. Scrut iny & processing

Y

8

3.1.1 Submission of proposal


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DFO

CCF/ CF

Conduct complet ion check on part I of form

submit ted by UA

1

Update Part -I details on the system and generate

applicat ion ID

2

Par t I complete (Y/ N)?

Return the proposal to user agency for re-

submissionN

Examine proposal & check compensatory af forestat ion

(CA) scheme ent it lement

Conduct site inspect ion &

enumerat ion of t rees

Prepare site inspect ion report & cert ify maps

3 4 5

C

Update part II of f orm A/ B on the

system

Y6

Ar ea > 1 Ha

(Y/ N)?

Create CA scheme including cost est imate

for plantat ion

Prepare site suitabilit y cert if icate and map for

CA scheme

UA entit led for CA on

forest land (Y/ N)?

N

YD

Send form A and required documents to

CCF for approvalY

A C D

789

Examine the form and documents received and forward to nodal of f icer, if sat isfactory

N

Approved (Y/ N)?

Proposal submit t ed with comments

N

Y

Applicat ion status updated on system

10

Applicat ion status updated on the system

11

12

01. Submission of proposal

Ident ify non-forest land

indicated by UA

Plant 10 t imes the no. of t rees to be felled

Ar ea > 40 Ha

(Y/ N) ?

CCF/ CF conducts sit e

inspect ion

Y

N

3.1.2 Scrutiny & processing


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Nodal officer

Examine the form and documents received and forward to state

government secretary, if sat isfactory

Approved (Y/ N)?

Examine the form and documents received

Update applicat ion status in system

Proposal submit t ed with comments

N13

14

State government secretary

PCCFProposal and relevant documents

forwarded to PCCF for informat ion and sending the same to state government

15

16

PA or ESZ impacted

(Y/ N)?N

Check if the requested forest area diversion is f rom protected area (PA) or economic safety zone (ESZ) under the

wildlif e protect ion act

17

Approved (Y/ N)?

Proposal not processed further & DFO updated

N

Send to state board for wildlife (chaired by CM) for obtaining approval

Y

Y

Approved (Y/ N)?

Proposal not processed further & DFO updated

N

18

19 Y

22Y

Gener al approval category (Y/ N)?

Grant approval for forest clearance

Y

N


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Examine the proposal further to determine area and purpose


Mining & Encr oachment

(Y/ N)?

22

Y

Proposal & documents sent to MoEF HQ for concurrence

Area up to 40 Ha (Y/ N)?

Proposal sent to MoEF HQ for concurrence

Proposal sent to concerned regional of f ice f or concurrence

03. Grant of in-principle approval

N

Y

Y N

23

2524

PA or ESZ

State government checks if PA or ESZ* is impacted

19 State government obtains approval f rom Supreme CourtPA Approved

(Y/ N)?

Proposal not processed f urther & DFO updated

N

State government obtains approval f rom Nat ional board for wildlife

ESZ

Y

Approved (Y/ N)?

Proposal not processed furt her & DFO updated

N

20

21

Obtain environmental clearance


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APCCF (C) MoEF

regional office (RO)

Receive all proposals up to 40 Ha

Receive all proposals

1

7

Examine proposal and all relevant

documents

2Present t he proposal t o

SAG

3Approved

(Y/ N)?

Proposal returned with comments

N

YCompile

recommendat ions of SAG

4

Mining or encroach

ment (Y/ N) ?

Proposal and relevant documents sent t o HQ for

approval

6

Y

E

Approval given on f ile and proposal & documents sent t o RO Director for

issuance of let t er

5

Director, RO (HQ)

Examine relevant details and documents

8Stage I in-pr inciple approval let t er issued to

State Government

9

Study all proposals and relevant documents

Send proposal to MoEFMinister for concurrence

10 11Receive approval f rom MoEF

minister on f ile

12Stage I in-principle approval let ter

issued to State Government

13

04. Submission of compliance report

N

Up to 5 Ha

except M & E

3.1.3 Grant of in-principle approval


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MoEF, HQ

Receive all proposals greater than 40 Ha

1Examine proposal and all relevant

document s

2

Present the proposal and relevant documents to

FAC

5

Proposal not processed further &

DFO updatedN

Y

Compile recommendat ions

of FAC

6

F

Area > 100 Ha (Y/ N)?

Inst ruct regional off ice to conduct site

inspect ion

APCCF (C), MoEF

regional office (RO)

Conduct site inspect ion and submits report

G

Study site inspect ion report and other

document s

3 4

Y

Approved (Y/ N)?

Approved (Y/N)?

Proposal not processed further &

DFO updatedN


Receive approval from MoEFminister on file

Stage I in-pr inciple approval let ter issued to State Government



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User agency (UA)

Nodal officer

DFOReceive stage I approval

let ter from state government

1Sends let ter to UA for complying to

fund t ransfer condit ions ment ioned in letter and provide undertaking

2

Receive letter and condit ions to be complied to before and

after start of project

3Requisite funds are t ransferred to bank account ment ioned in

let ter through RTGS

4Submit

compliance report to DFO

5

Examine compliance

report

6Send

information to nodal off icer

7

Send compliance report to concerned off icer at MoEF HQ

8

H

05. Issuance of diversion order

3.1.4 Submission of compliance report


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APCCF (C) RO

Receive compliance report from nodal officer

1Stage II approval letter issued

to state government

2

MoEF, HQ Receive compliance report from nodal officer

1Stage II approval letter issued

to state government

2

State government

DFO

User agency (UA)

Issue diversion order3

I

Receive diversion order and send to user agency

4

Receive diversion order & submit land hand-over report

5

J

3.1.5 Issuance of diversion order


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3.2 Project Stakeholders

The key stakeholders involved in the end – to – end process of application for forest diversion till the approval / rejection are presented below with the overview of their roles:

# Stakeholder Responsibility

1. User Agency (UA) The UA is responsible for submitting the proposal at the nodal office for the mandatory check for the completeness of the application. Once the nodal officer is certain that the proposal is complete, a receipt is presented which the UA is required to submit to the Divisional Forest Officer along with a copy of the proposal.

2. Divisional Forest Officer (DFO) OR Conservator of Forests (CF)

The officer is responsible for undertaking the following activities: ► Examining factual details ► Feasibility of the proposal ► Map certification ► Site inspections ► Enumeration of the trees

The findings are to be forwarded to the Nodal Officer within 90 days as per the Form A or B – Part II format specified.

3. Nodal Officer (Conservator of Forests)

The Nodal Officer is responsible for checking the completeness of the submitted application form within 10 days. If the forms are all complete, then the Nodal officer is required to submit a receipt to the UA. Upon receipt of Form A or B – Part II from the DFO / CF, the nodal officer is required to add recommendations and send the proposal to Principal Conservator of Forests for his / her comments or review.

4. Principal Chief Conservator of Forests (PCCF)

PCCF is required to review the recommendations of the nodal officer, add his / her recommendations and forward the proposal along with Part II, III and IV to the State or UT Secretary for Forest Department.

5. State / UT Government (Secretary of Forest Department)

The Secretary reviews the proposal and the attached recommendations and adds his / her recommendations and forwards the proposal as per the following three cases:

► Up to 5 hectares not inclusive of Mining or encroachments related proposals are to be taken care of by the State or UT Government

► Up to 40 hectares and inclusive of mining or encroachments related proposals are to be sent to MoEF including their recommendations

In case of clearing of naturally grown trees on the forest for the purpose of reforestation, a working plan or management plan is also required.

6. Regional Chief Conservator of Forests (RCCF)

Processes proposals between 5 – 40 hectares at regional level

7. SAG Committee at regional level for providing stage-I approval

8. Forest Advisory Committee, MoEF

The Forest Advisory Committee is responsible for handling all mining & encroachment related cases as well as proposals on forest diversion for areas above 40 hectares.

9. Regional Empowered Committee, MoEF

The committee is responsible for deciding the proposals for forest diversions up to 40 hectares not inclusive of mining and encroachment cases.

10. MoEF HQ Processes and scrutinizes proposals related to mining & encroachment and those where area is greater than 40 hectares


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User agency (UA)

Nodal officer

Login with ‘user ID’ and fil l in the details required as

per Form A/ B Part - I

Upload scanned document s as required in the space

provided

2 3

Legend:Required documents uploaded for regist rat ion by user agency (UA)

Required documents uploaded for proposal submission by UA

Manual processing

Automated processing

A

Receive e-mail not if icat ion upon successful submission

of proposal

02. Scrut iny & processing

7

B

UA selects relevant division / divisional officer for proposal considerat ion

4Regist er as user agency on MoEF website and generate

User ID

1

A

B

Generate proposal serial no. and update status as

“ Evaluat ion”

Submit digital maps along with DGPS readngs

5

6

Manual verif icat ion of document s

4 Proposed design

4.1 The “TO-BE” process

The “To-Be” processes have been designed based on automation requirements. Each sub-process is detailed in the following sub-sections.

4.1.1 Submission of proposal


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DFO

CCF/ CF

Check compensatory afforestat ion (CA) scheme

ent it lement for UA

Conduct physical sit e inspect ion &

enumerat ion of t rees

cert ify maps uploaded/

marked by UA

1 3

5Update par t II of form A/ B on the

system

6

Area > 1 Ha

(Y/ N)?

Input site suitabilit y parameters and generate sit e suitabilit y cer t if icate

UA ent it led for CA on

forest land (Y/ N)?

N

Y

Generate report including Par t I, II and other relevant

details

Y8

Examine the repor t and documents received and forward to nodal of ficer , if sat isfactory

Send report t o CCF for approval

13

14

Ident ify non-forest land

indicated by UA

Compliance requirement for UA generated by system – To plant 10 t imes the no. of t rees to be felled

Area > 40 Ha

(Y/ N) ?

CCF/ CF conducts sit e

inspect ion

Y

N

GIS based forest (sit e) assessment

on system

2

Enter site inspect ion details (suit abilit y and/ or violat ion/

penal CA) on system

4

N

7

12 11

15 Enter site inspect ion

details

16Enter

remarks or approve

17Send to

Nodal Officer for approval

18

Nodal officer

Create CA scheme based on cost est imate for plantat ion

determined by system

Generate map for CA

scheme

910

4.1.2 Scrutiny & processing


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Nodal officer

Examine the proposal report and

documents

Examine the proposal, report and remarks

(observat ions)

19


23

Check if the requested forest area diversion is from protected area (PA) or economic safety zone (ESZ) under the wildlife protect ion act

24

N

Approve or input remarks on

system

20Generate report and

send to state government secretary

21

E-mail notif icat ion sent to PCCF

22

General approval category (Y/ N)?

Approve and/ or provide remarks and forward to RCCF

for in-principle approvalY

Obtain required approvals

Examine the proposal fur ther to determine area and purpose


Mining & Encroachment

(Y/ N)?

25

Proposal & documents sent to MoEF HQ for concurrence

Area up to 40 Ha (Y/ N)?

Proposal sent to MoEF HQ for concurrence

Proposal sent to concerned regional office for concurrence

03. Grant of in-pr inciple approval

N

Y

Y N

26

2728


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RCCF, MoEFregional

office (RO)

MoEF, HQ

Receive all proposals up to 40 Ha

Receive all proposals

1

7

Examine proposal and all relevant

document s

2Present the proposal to

SAG commit tee

3Approved

(Y/N)?

Provide remarks and reject proposal and

forward to HQ

N

YCompile

recommendat ions of SAG on system

4

Mining or encroach

ment (Y/ N) ?

Proposal and relevant documents sent to HQ

for concurrence

6

Y

Approval given on system and proposal & documents sent to RO

Director for issuance of let ter

5

Director, ROExamine relevant

details and document s

8Stage I in-pr inciple approval let ter sent t o

State Government

9

Study all proposals and relevant document s


10 11Receive approval from MoEF

minister on system

12Stage I in-pr inciple approval let ter

issued to State Government

13


N

4.1.3 Grant of in-principle approval

Case 1: Process workflow for all proposals up to 40 Ha

Case 2: Process workflow doe all proposals greater than 40 Ha


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MoEF, HQ

Receive all proposals greater than 40 Ha and all proposals related to

mining & encroachment

1Examine proposal and all relevant

documents

2

Present the proposal and relevant documents to

FAC commit tee

5

Provide remarks and reject proposal (update status on

applicat ion for UA)N

Y

Compile recommendat ions of FAC on system

6

Area > 100 Ha (Y/ N)?

Inst ruct regional office to conduct site

inspect ion

RCCF, MoEFregional

office (RO)

Conduct site inspect ion and enter

details on system

Study site inspect ion report and other

document s

3 4

Y

Approved (Y/ N)?

Approved (Y/ N)?

Provide remarks and reject proposal

(update status on application for UA)

N


Receive approval from MoEFminister on f ile

Stage I in-pr inciple approval let ter issued to State Government


7

8 9

4.1.4 Submission of compliance report


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User agency (UA)

Nodal officer

DFOReceive stage I approval

from state government on system

1Send information to UA for complying to

fund t ransfer condit ions ment ioned in stage 1 approval and provide undertaking

2

Receive condit ions to be complied to before and after

start of project

3Requisite funds are t ransferred to bank account ment ioned in

let ter through RTGS

4Submit

compliance report to DFO on system

5

Examine compliance

report

6Send report &

informat ion to nodal off icer

7

Send compliance report to concerned off icer at MoEF HQ

8

05. Issuance of diversion order

Director (RO) MoEF,

HQReceive compliance report

from nodal officer

1Stage II approval let ter issued to state

government & status on system updated

2

MoEF, HQ Receive compliance report from nodal officer

1Stage II approval let ter issued to state

government & status on system updated

2

State government

DFO

User agency (UA)

Issue diversion order pr int -out3

Receive diversion order and send to user agency

4

Receive diversion order5

I

4.1.5 Issuance of diversion order


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4.2 Key application design principles

The section contains the description of the key design principles which are expected to provide indicative drivers to define the functional requirements for the system. The architecture principles which have been considered while designing the future state technology landscape for MoEF. # Application design principle Detail

1. Interoperability Software solutions and hardware infrastructure should conform to the defined industry standards that promote interoperability of data, applications and technology. Solution components should be standard based and adopt an open approach rather than support a specific technology or vendor.

2. N-tier model The logical design of components, subsystems, application systems and databases has been partitioned in the ICT blueprint. These partitions should have well-defined interfaces established. A change in a database or business rules can affect many large programs, if they are not partitioned. Logical boundaries are needed to separate components from each other. Modular design is more adaptive to changes in internal logic, platforms, and structures. It is the interfaces that allow partitioned components to interact well.

3. Extensibility & Scalability Applications must evolve to support new business requirements and make use of new technologies. The system shall be extensible and scalable to allow additional capacity/ bandwidth/ volume of users in future. Building scalability into the system up front, though it may involve larger initial cost, could save effort and time in the long run because there is less need to devote technical and management talent to upgrade systems on a more frequent basis. The infrastructure elements such as Data Center, Disaster Recovery infrastructure and network infrastructure have been designed keeping this principle in mind.

4. Parameterized application modules

Application modules should be parameterized to adjust to local variations and record information as per the events not allowing manual data entry (where applicable). For instance, certain attributes may not be available for data capture - the application should allow transaction while recording the gap in audit trail for future analysis and initiate corrective governance measures.

5. Service oriented architecture

The solution components must follow SOA principles to provide specific services using well defined interfaces. Identify opportunities for cross-functional components or subsystems and implement them in such a way that there is an opportunity for reuse.

6. Design for performance and reliability measurement

Applications and technology components (processors, network, etc.) should be implemented in such a manner that Service levels required like a sub-second response to beneficiary authentication is complied with. The application must allow efficient utilization and performance of underlying compute, network and security infrastructure. The deployment architecture must allow for fault tolerance and load balancing, and enable horizontal scaling of servers and storage upgrades without affecting solution uptime.

7. Ease of management Ease-of-use is a positive incentive for use of applications. It encourages users to work within the integrated information environment instead of developing isolated systems to accomplish the task outside of the enterprise’s integrated information environment. The knowledge required to operate one system will be similar to others if the look and feel of the applications are similar. By having ease-of-use principle,


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# Application design principle Detail training can be kept to a minimum thereby aiding IT change management and the risk of using a system improperly can be minimized.

4.3 Functional architecture

Based on the principles, the ICT blueprint has been depicted diagrammatically in figure shown below. As depicted in the diagram, the ICT blueprint consists of the following major components:

Application Layer Data Layer System Software and Services IT Security, Control and Monitoring Systems Data Center, Server Infrastructure and systems Network Infrastructure Communication Channels Interfaces/ Adapters IT Governance

Together, these components would enable automation and process improvements that have been discussed earlier. Figure below illustrates how various application modules will interact to enable automation of workflows within processes:


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SMS & Mailing Services

Workflow Management

Content Management

Audit Logs Management

NETWORK INFRASTRUCTURE (NICNET)

DATA CENTER INFRASTRUCTURE

IT SECURITY, CONTROL & MONIITORING SYSTEMS

Systems,

Software &

Services

Proposal master

User & CA entitlement master

GIS data layers

Registration Master

Land diversion master Data Layer

User transactions User MasterPA/ SEZ master

Proposal management

Payment & account management

Grant management

Registration GIS Applicat ion

Layer

MIS

IT GOVERNANCE

CAMPA

Interfaces

Banks

FSI (Forest survey of India)

SMS Gateway

Communication Channels

eMail

Intranet / Internet

GSM / CDMA Gateway

IVRS

User agency(UA)External Users


Head-Quarter UsersInternal Users

DFO/ CCF/ CF/ Nodal Officer

RCCF/ Director (RO)

Desktops/LaptopsDevices

Mobile Phones

FCA projects

State forest department (SFD)

Assessment

Diversion order management

Access & Identity Management

Enterprise Management

System

SLA Monitoring

ToolGIS Server


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4.3.1 Application modules & key features

Module Services ICT intervention in functional requirements

Registration User registration

► One –time enrolment of entity and users ► Capture details of users and entities on web-form and allow

upload of scanned documents ► Tagging of entities to respective states and state forest

departments ► Verifying if already registered ► Activation/De-activation of registration

Proposal Management

Proposal record Management

► Unified view of proposal details with details of projects undertaken

► Storage & retrieval of relevant documents ► Search services ► Role based access to proposal records ► View status of deforestation on GIS for aiding proposal scrutiny

Assessment Record & updation of services delivered

► Update of results of various scrutiny checks based on verification in workflow

► Update on status of approval to user through user account/ SMS or E-mail alert

► Record management with respect to proposal ► Generation / storage/ upload of various reports like site

suitability report, CA scheme, cost ► View status of deforestation on GIS for aiding proposal scrutiny

Payment & Account Management

Incentive Payment ► Calculation of due incentive amounts of user agencies in case compensatory afforestation is required

► Check on transaction closure ► Issuance of payment instructions

Grant management Scheme management ► MIS for grants awarded till date ► View ‘forest clearance’ projects on GIS for various purposes

Diversion management

► Generation of diversion order ► Update status on user account and inform user agency

MIS Reporting & Dashboard

► Generate required MIS ► Capability to generate customized MIS

4.3.2 Data layer

Data layer defines how data will be processed, stored and used. In particular, data architecture describes:

How data is persistently stored How components and processes reference and manipulate this data How external/legacy systems access the data Interfaces to data managed by external/legacy systems


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Implementation of common data operations

Data principles

The data strategy needs to be founded on clear, agreed-upon principles, such as the following:

S No. Data Principle Rationale Implication to the proposed solution 1. Data Availability

Data should be readily available to those with a legitimate need for it.

Data will be organized and managed so as to maximize its value.

2. Data simplicity

Enhance intuitiveness and minimize change management with respect to data interpretation and usage.

Maintain a “single version of truth”. Proposals & User agencies uniquely identified by Proposal No, & User agency ID (Composite of Agency + state) respectively

3. Data Creation All organization data should be captured once at the point of its creation.

Processes for data capture, validation, and processing should be automated wherever possible. Data should only be entered once.

Data should only be collected if it has known and documented use(s) and value.

Minimize multiple touch points of input data and capture it at source. Details are captured at the time of registration and only service transaction details are updated subsequently

4. Data Update Processes that update a given data item should be standard across the organization.

Ease of tracking of data update Ensure that there is a known method of data update and tracking subsequently.

5. Data Ownership All organization data will have an identified business owner and a technical owner.

Lack of a defined business and technical owner can lead to confusion as to who can manipulate the data. Every data source must have a defined custodian (a business role) responsible for the accuracy, integrity, and security of that data.

Identifying key data components and their locations

6. Data duplication Data should not be duplicated unless duplication is essential for practical reasons.

Data duplication leads to loss to data integrity over a period of time and must be minimized.

Data duplicated from the primary data source to be clearly identified as copies. E.g. Primary data source is defined as that stored in the DC. All data that is stored at terminals like desktops is considered as copies.

7. Data Identifiers Every object in the organization will contain a globally unique identifier.

To retrieve objects (or data) from other more authoritative sources for information, requestor should be able to make an unambiguous request. Unique identifiers provide an unambiguous name for the desired

Identify unique identifiers for the data


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S No. Data Principle Rationale Implication to the proposed solution data.

8. Data Security

Minimize losses due to inappropriate usage of sensitive data

Adequate data security standards to be adhered to.

Data components

Data components list specifies the list of data that the system is expected to handle as shown in the table below (indicative only). This list has been created by considering the data that has been captured before, generated during and after the re-designed/ proposed process from the perspectives of all users and stakeholders.

S No. Activity Data components

1. Registration of user agency and creation of user ID

► Organization Name ► Authorized signatory name & designation ► Address ► User ID

2 Online submission of proposal by user agency (scanned copies of documents to be uploaded)

► Project details: o Short narrative o 1:50000 scale map o Total cost of project o Justification for use of forest area o Cost benefit analysis o Likely employment to be generated

► Purpose wise break up of land ► Details of displacement of people

o Number of families o Number of SC/ST families o Rehabilitation plan

► Clearance under environment protection act ► Serial no. of proposal is generated only if complete required

details are filled in (system feature) 3 UA compensatory scheme

entitlement check

► Scheme entitlement list based on UA category

4 Enter site inspection details on system & update to part-II of form A/B

► Location of project/ scheme ► Observations on requirement of forest land ► Observations on violation of act ► Details of CA scheme ► District profile ► DFO recommendation ► GIS based update on application

5 Proposal scrutiny by CCF ► CCF recommendation ► Part-III of form A/B


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S No. Activity Data components

6 Proposal scrutiny by nodal officer ► Nodal officer recommendation ► Part-IV of form A/B completed ► Application status update on system

7 Proposal processing by state government

► Part-V of form A/B completed ► Grant of in-principle approval

8 Obtain recommendations from SAG or FAC committee as relevant

► Recommendations from committee ► Site inspection report prepared by regional office on HQ’s

instruction if area > 100 H

9 Grant of stage I in-principle approval

► Stage I in-principle approval including compliance conditions (18) required to be fulfilled by user agency:

o CA area o Cost of CA area o Bank account details for fund transfer o Other conditions as relevant

► Status updated on system 10 Funds transfer by user agency for

compensatory afforestation

► Transaction details

11 Submission of compliance report by user agency

► Compliance report

12 Issuance of diversion order by state government to DFO and user agency

► Compliance report ► Stage I approval ► Stage II approval ► Diversion order by state government

Alerts and Reminders 13 Change of status of proposal processing

14 Other defined alerts

4.4 Deployment architecture

The overall deployment architecture is presented as a schematic below:


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4.4.1 ICT Infrastructure

The proposed application shall be centrally hosted at data center and provided as a online services to registered user group

across the state forest departments and regional offices.

The end user interface shall be based on online application portal to have authorized access to the various application modules.

However, in case of remote users during “site inspection” the access shall be using the Hand-Held Device that shall contain the

Apps connecting to central servers hosting the business and database tier of application using mobile telephony. The Hand Held

device is enabled to have certain local persistence of field level data to enable offline service transactions in remote sites. This

would however require synchronization/download and upload of data with the central server by connecting with the desktop at

local state forest department.

4.4.2 Data center

Co-locating in a Government Data Center (NIC) has been adopted as the most optimal case. In this scenario, the implementing agency would be responsible for procuring or developing the ICT infrastructure like servers, OS, MoEF application and COTS product and using the services of an already existing Government Data Centre of NIC. In this case, the existing infrastructure and manpower availability can be utilized effectively by MoEF. Also the demand on the financial expenditure greatly reduces as the components of Data Centre like Building Management Systems, DC and DR location costs, EMS licenses, HVAC, DG and other components are already available and managed by the Data Centre Operator. The data dump site will be used to keep a data back-up on a periodic basis.

4.4.3 Network

NICNET and Internet will be used to access the web based solution by the user agencies, MoEF and State officers. We assume that all locations have internet / NICNET connectivity.


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5 Change Management and Capacity Building strategy

Whenever a significant change is introduced in a system that is accustomed to a particular way of working, adaptation to that change by people is usually the biggest hurdle. The identification of sources of the potential resistance and to develop a plan to manage that resistance is essential if the project’s risks are to be reduced and to increase the likelihood of successful implementation of the project.

Thus, for every change process, it is important to establish a very strong business case and then communicate the same to all stakeholders to get requisite support and also mitigate a lot of risks that might arise during the process. However the key to the smooth transition lies in the fact that the internal stakeholders or the employees have to be involved and make them comfortable with the process. Change management is the process of developing a planned approach to change in an organization. The objective is to maximize the collective benefits for all people involved in the change and minimize the risk associated with failure of implementing the change.

While the change management component of MoEF is significant in its own right due to the reason the inter linkages of the department with other departments, the activities and tasks relating to the change process have been intergrated with the overall IT implementation plan. This ensures that any dependencies and resource conflicts are identified. The attention to MoEF organization development and change management in IT implementation will result in a positive impact on productivity, job satisfaction, and other work attitudes, in the end, justifying the pursuit of change management effectiveness in IT initiatives

5.1 Stakeholder identification

e-filing Project, aims to target a large set of stakeholders, comprising of government officials across different hierarchies. The table below lists the stakeholders identified for the Change management. It is envisaged that a significant change would be experienced by these stakeholders on implementation of the e-filing Project. To assist in the easy transition from the current system to the proposed system, it becomes critical to undertake a planned and strategized change management and capacity building exercise to assist the stakeholders in adapting to the proposed system / new processes.

A close review of the impact on the above identified stakeholders reveals that employees should be prioritized for change management exercise, as they would be involved in all the three stages of the project implementation, as represented in the figure below:


1. User Agency (UA) The UA is responsible for submitting the proposal at the nodal office for the mandatory check for the completeness of the application. Once the nodal officer is certain that the proposal is complete, a receipt is presented which the UA is required to submit to the Divisional Forest Officer along with a copy of the proposal.

2. Divisional Forest Officer (DFO) OR Conservator of Forests (CF)

The officer is responsible for undertaking the following activities: ► Examining factual details ► Feasibility of the proposal ► Map certification ► Site inspections ► Enumeration of the trees

The findings are to be forwarded to the Nodal Officer within 90 days as per the Form A or B – Part II format specified.

3. Nodal Officer The Nodal Officer is responsible for checking the completeness of the submitted


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(Conservator of Forests) application form within 10 days. If the forms are all complete, then the Nodal officer is required to submit a receipt to the UA. Upon receipt of Form A or B – Part II from the DFO / CF, the nodal officer is required to add recommendations and send the proposal to Principal Conservator of Forests for his / her comments or review.

4. Principal Chief Conservator of Forests (PCCF)

PCCF is required to review the recommendations of the nodal officer, add his / her recommendations and forward the proposal along with Part II, III and IV to the State or UT Secretary for Forest Department.

5. State / UT Government (Secretary of Forest Department)

The Secretary reviews the proposal and the attached recommendations and adds his / her recommendations and forwards the proposal as per the following three cases:

► Up to 5 hectares not inclusive of Mining or encroachments related proposals are to be taken care of by the State or UT Government

► Up to 40 hectares and inclusive of mining or encroachments related proposals are to be sent to MoEF including their recommendations

In case of clearing of naturally grown trees on the forest for the purpose of reforestation, a working plan or management plan is also required.

6. Regional Chief Conservator of Forests (RCCF)

Processes proposals between 5 – 40 hectares at regional level

7. SAG Committee at regional level for providing stage-I approval

8. Forest Advisory Committee, MoEF

The Forest Advisory Committee is responsible for handling all mining & encroachment related cases as well as proposals on forest diversion for areas above 40 hectares.

9. Regional Empowered Committee, MoEF

The committee is responsible for deciding the proposals for forest diversions up to 40 hectares not inclusive of mining and encroachment cases.

10. MoEF HQ Processes and scrutinizes proposals related to mining & encroachment and those where area is greater than 40 hectares

The stakeholders identified above, are categorized into three groups, as follows, for the purpose of ease of training:

Top Management

State / UT Government (Secretary of Forest Department) Regional Chief Conservator of Forests (RCCF) Members from SAG/FAC/REC

Middle Management Divisional Forest Officer (DFO) / Conservator of Forests (CF) Principal Chief Conservator of Forests (PCCF) Members from SAG/FAC/REC

Executive Nodal Officer (Conservator of Forests) Members from SAG/FAC/REC


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5.2 Context of ‘Change’

As-Is study conducted for the key critical processes and the learning gained through the benchmark study presents a unique set of independent and inter-dependent issues and dedicated re-engineered solution(s) for the key processes. For a better understanding of the proposed change and ease in its adaptability, the change is communicated in context of the department. Some of the change management practices that have been implemented are summarized in the figure below:

5.3 Initiatives for change management

When an organization attempts a transformation focused on its operations, a sound plan and a robust execution strategy are not just enough. Another important factor in the success of this type of initiative—involving everything from simplifying processes and improving the efficiency of process is to modify an entire cycle of process and employees contribution.

To initiate change in the system the organization should communicated its vision very clearly to all the stakeholders. The executive management should answer the question to all its stakeholders - "why" this change is required in the organization and “how” it will improve the performance as a whole. So to enable this change management process in the department it should identify some leaders as Change agents. They will be chiefly being responsible for devising, managing and driving change management activities. The organization should define their roles and responsibilities very clearly. This coalition would act as a catalyst for the process.

To make the employees accept this change, the organization should follow the process as follows:-

These are the three key vehicles for driving change with distinct objectives of informing, educating and rewarding respectively. A comprehensive strategy needs to be developed for each of the three key vehicles for ensuring effective implementation of the project. It is important that these initiatives are taken place before implementing the computerization in the organization. This will help in initiating the basic comfort level within the organization for acceptance of change of using computers.

Change Agents - These are those within an organization or external who help facilitate strategic transformation within the organization. The most essential quality of an effective change agent is leadership. These leaders of change can be found throughout the organizational hierarchy. By way of their job title, status, expertise and importance these key people have the power to become change agents. MoEF should select these change agents based on such criteria. These are the employees across various levels in an organization, who lead a change project or business wide initiatives by designing, planning and


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building business support. In other words they are the early adaptors of the change process and are committed to the task of ensuring that the process goes through without any major hitches.

The process of preparing a change agents:- The change agents can be identified based on said above criteria like job title, status and expertise and individual ability to adapt the change. We estimate atleast 2 employees per function/ department would be selected for anchoring this role.

It is important to delineate roles and responsibilities of change agents.

All the change agents need to be trained in the skills of being able to communicate the benefits of the change and how to train others.

These individual change agents will form a team called change agent team targeting individual department/ function and driving specific areas. They shall drive the change initiative in individual department. Also setting up such a team at every department level will also ensure that there is involvement and engagement from all the stakeholders.

The role of change agents in the MoEF:-

i. Communicator of the vision

ii. Communicator of why this change has been adapted

iii. Share how these change process are going to benefits the whole organization and every individual involved with it.

iv. Early adapter for the changed processes and follow new system effectively

v. Contributing in making others understand these change process more effectively

vi. Share challenges and obstacles in implementing desired change so that any modification in plan/ improvement can be undertaken.

However, these change agents will be contributing to the department more in terms of delivery of change. This should be treated as additional responsibility of an individual whoever chooses to be the change agent above their regular roles and responsibilities. Also, given the understanding that it may not be possible for the same individual to continue working as change agent, substance of change management initiatives to continue becomes even more challenging. We recommend using train-the trainer workshops led by change agents themselves to transfer their experiences to the new set of employees identified as change agents. Since this forms an integral part of our project review and risk management, we shall assist the process as and when “passing –the-baton” needs to happen.

5.4 Key Vehicles of Change Management

5.4.1 Awareness and communication

Change management and poor communications among stakeholder groups on new developments is a key contributor to failure for many projects. Especially, when there change is about computerization of the organization a deeper level of cooperation is required from the internal stakeholders of the organization. This requires for interactive listening and communications by the organization to its internal stakeholders about the new process and why such a change has been adapted. How this will improve the efficiency of the organization and every employee as well.

The strategy should lay on a communication protocol that provides necessary information to each impacted audiences or stakeholder group to ensure maximum user acceptance, with minimum resistance and negative impact on performance.


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Communication plan will be designed to build stakeholders commitment to the project and to the new processes. The objective of the communication plan would be as follows:-

i. Build acceptance and ownership of the system across the organization and business units

ii. Build commitment to the system

iii. Sell the benefit of the system

iv. Manage user expectations and information needs

v. Provide information on available support and resources

vi. Provide information about the system to impact audiences and obtain their feedbacks

vii. Reduce uncertainty and fear of new technology and processes

Thus it becomes imperative to develop a framework to coordinate all communication efforts during any change process. It’s critical to ensure that consistent message is delivered to stakeholders at all levels and that decisions, events and activities are communicated in a timely manner through the right channels. Communication in fact needs to be made an integral part of the project team’s daily activities.

Before devising and communication strategy it is important for the process owner to answer the following questions:-

i. Who needs to know about the changes?

ii. What do they need to know about the changes?

iii. When do they need to know about the changes?

iv. How should information be communicated?

v. From whom should the information be communicated?

Once the above is done, a communication plan should be executed with focus on:-

i. Involving all team members and team leads during the development and review of the entire project.

ii. Developing focused and targeted communications at the right time to the correct audience

iii. Sending consistent messages using commonly understood terms in the commonly used languages

iv. Utilizing appropriate and effective communication vehicles depending upon unique audience group

v. Providing and encouraging the use of feedback channels for all department heads

vi. Providing timely responses to all questions and feedback received

vii. Providing a repository of questions and answer related to the project that is easily accessible to all team leaders.

viii. Conducting target communication workshops (train-the trainer format based on requirement) at various offices to quickly disseminate information

Aspects of a communication plan are:-

Specific phasing of communication (across phases / critical junctures of the Project and its outcomes)

Mode of communication – training, face to face interaction, newsletters, poster campaigns, SMS / MMS, email, circulars etc.


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The table below gives macro level awareness and communication plan for various stages of implementation:-

Stakeholder Mode of Delivery

Launch communication

Responsibility After 3 months After 6 months / 1 year

Top Management

Workshop

Seminar

Introduction to Initiative

Salient Features

Benefits

Major Changes at work place

Time Lines

Managing Director Status Update, Major Changes, Major Achievements, Action Required

Status Update, Major Changes, Major achievements, Action required, Skills gaps, Infrastructure gaps, Feedbacks & Suggestions

Middle Management

Trainings /

Workshops

Seminars


Salient Features

Benefits


Time Lines

Change agent as per department/ function

Status Update, Major Changes, Major Achievements, Action Required

Status Update, Major Changes, Major achievements, Action required, Skills gaps, Infrastructure gaps, Feedbacks & Suggestions

Executives Workshop

Seminar


Salient Features

Benefits


Change agent as per department/ function

Status update, Major changes, Action required, Major achievements

Status update, Major Changes, Action required, Major Achievements, Feedback & Suggestions


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5.5 Measuring the Change

It is essential to quantify or measure the variation in performance once the change has been introduced, accepted and applied. Performance or output can be measured in terms of effectiveness of communication, time taken to complete task, accuracy of data / information captured and outlook of the department officials and beneficiaries towards change.

Performance Measure

Output Indicator Significance of Change

Speed Time taken at each level for scrutiny of application and forwarding to next level

Report or MIS generation at State / Center

Turnaround time for an application Time can be allocated towards

knowledge / skill upgradation

Accuracy Accuracy and completeness of the application submitted

Improved accuracy and processing time for an application

Attitudinal Change Training attendance Voluntary participation in training , team

activities Readiness to working with external

consultants Acceptance and adaptation of performance

management measures

Improved performance Higher level of satisfaction Change is viewed as a crucial tool to

adapt to the changing environment and not as a threat or hindrance

5.6 Capacity Building and Training Plan

5.6.1 Approach for Training

Imparting the requisite training forms an integral component of the capacity building required for successful implementation for the Project. This section aims to provide a training strategy and implementation plan for each level by assessing the following components:


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5.6.2 Training Plan

Considering the scope of the e-filing project that entails significant changes in the way the current operations are conducted and for better management of information, internal stakeholders shall have to be trained primarily in the areas of:

1. Information management skills 2. Information technology skills 3. General management skills

A. Information technology skills

Information technology skills are technical skills necessary for successful implementation such as developing the IT infrastructure, exploring software solutions, network administration, implementation of security policies etc. As the implementation model of the project involves implementation with help of an outsourced implementing agency, the extent of IT skills to be imparted to existing employees may not be extensive. However, basic IT skills including working knowledge of applications and how they can be applied to improve work quality and efficiency must be provided to employees.

B. Information management skills

The key objective of imparting information management skills is for managers and senior officials to understand how technology can be an effective tool to improve existing processes. Officials are also expected to work in collaboration with either the internal or external experts, or several implementation parties to understand how effectively the technical solutions are catering to the internal processes.

C. General management skills

General management skills would include project and program management, change management, performance assessment, customer responsiveness and relationship management with the private sector.

Based on the above, key trainings areas have been identified under the following heads:-

i. Orientation Workshops ii. IT Training (Technology)

iii. Soft skill training It is believed that going forward a high level of competence in these categories would be required, so as to achieve objectives effectively. The matrix on the following page represents the key training requirements for employees.

# Area of training Broad overview of Content Type of training Trainees

i. Orientation Workshops

i. About the initiatives proposed Workshops/ Meetings/ Presentations

All employees at FCD - Senior, Middle and Junior level officials. ii. Mission, vision, objectives and

iii. Sub-objectives of the project

iv. Impact of the proposed initiatives


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v. Timelines within which the objectives are to be achieved

ii. IT Training (Technology) a. Software proposed

for TTD organisation (Sree Seva apps)

i. Objectives of the software Handholding training

Middle and Junior level Employees as per department/ function who are related to operation of software

ii. Functioning of software Web-based training iii. Impact of the proposed software

iv. Practice on demo software

b. Basic computer training

i. Using Internet – like sending emails etc.

Handholding training

Middle and Junior level Employees as per department/ function who are related to operation of software

ii. Updating website – content modification on website

Web-based training

iii. Basic software training such as MS office

III Soft skill a. Office administration i. Information dissemination skill Class room based –

Group discussion Middle and Junior level Employees as per department/ function who are related to operation of software

ii. Answering of Pilgrims queries more effectively

iii. Management of office data

iv. Preparation of meeting schedules/ process

b. Time Management i. Application of time management techniques into daily life

Class room based – Group discussion

All employees - Senior, Middle and Junior level officials.

ii. Make informed decisions about what do and when

iii. Apply a structured whole-brain process to shape current and future commitments

iv. Preparation of proactively schedule tasks, construct weekly plans and daily to-do lists

v. How to adopt strategies and techniques to handle procrastination and interruptions


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vi. How to develop a personal action plan to reap the most benefit of effort

c. Communication skill i. How to communicate effectively using simple, concise and direct language


All employees at TTD - Senior, Middle and Junior level officials.

ii. How to enhance active listening skills to anticipate and avoid common misunderstandings

iii. How to foster cross-cultural understanding in workplace

iv. How to eliminate the roadblocks

d. Management and leadership skills

v. Planning, coordinating, delegation, problem solving , decision making , understanding group needs and characteristics , knowing and understanding group resources , evaluation, time management


Senior and Middle level officials.

e. Customer satisfaction

i. How to adopt the skills and techniques that routinely deliver positive customer experiences


Middle and Junior level Employees as per department/ function who are related to operation of software in TTD ii. Maximize the value of customer

interactions iii. Deal effectively with difficult

customers and turn complaints into opportunities

iv. Contribute to a customer-centric culture and achieve greater personal growth and customer satisfaction

5.7 Operational aspects of Training As the implementation model of e-filing project is with help of an external entity specialized in systems integration, many application related trainings are in the scope of the implementing agency (‘IA’). IA shall impart necessary trainings to FCD employees for sensitizing and orienting employees for the modules developed. IA shall train all employees of those departments where developed modules are implemented. Trainings conducted by IA shall be classified broadly into two categories: i. Users of the application / modules developed by IA


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IA shall conduct general trainings for all the relevant officers at senior level and specialized trainings shall be conducted for full-time users at Middle level and junior level. IA shall ensure that minimum two level of trainings – Basic and Advance are conducted for each employee for each module. ii. IT Team In addition to the administrative staff, which shall be trained specifically for the module / application developed, IA shall also impart trainings to the IT team (20 members approx.), for subjects such as following:

a) Database schema b) Application configuration and maintenance c) Application hardware configuration d) DB & System Administration training e) Access control f) Firewall policies g) Infrastructure and Admin security h) DR related i) Training on operation and infrastructure j) Training on technology / Standards k) Practices adopted l) Asset management and coding m) Training on all modules of ERM tool n) Application change management o) Procedure / version control p) Technical Report writing

Scope of work for the training support desired from IA is classified in two stages and is briefed below: A. Pre Training 1 Preparing training program

Training plan to impart trainings for the application modules developed needs to be developed. The trainings shall be conducted with intent of capacity building of the employees, for operating the applications, once IA exits. IA shall prepare the plan with details such as number of participants, date and subject/module of training. The IA shall share training plan in advance, so that employees are timely informed and training sessions have high participation.

2 Preparation of training modules IA shall prepare training modules for the applications developed, and shall conduct the trainings in the phased manner.

3 Formation of training batches i. IA shall conduct a combing exercise for the employees to understand their training needs and forming groups with

similar need to enhance efficiency of the training program. This may be achieved through: a. Self-assessment questionnaires for employees, which may include the current level of IT knowledge, list

of IT trainings attended, Certifications for trainings etc. b. Objective type questionnaire to assess the current state of IT knowledge for the employee

4 Knowledge resources / Technical documents IA shall develop adequate training material such as Quick reference guide/ document, User Manual/ Handbook etc. Training material to be distributed to the employees shall be prepared in English.

5 Training announcement / tracking system


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Attendance shall be maintained by IA for the participants in each training. IA shall ensure that information regarding the trainings to be conducted for each level shall be formulated and communicated in advance to the employees, so that training session shall have 100% attendance.

B. Post trainings 1 IA shall take feedback for the trainings from employees after each session, so that program may be refined if

required. 2 IA shall enable online record maintenance for the trainings attendance for quick reference for the senior

management 3 IA shall give certification for the trainings conducted by them 4 On-line mode of training / self trainings for the modules shall also be made available for employees, for quick

reference / review 5 “Trouble shoot” option shall also be provided for the applications and made available online/ intranet for the

users / employees, for quick reference The above trainings may be imparted in train the trainer mode where certain trainers are entrusted to train a larger audience. The number, frequency and method of training of other areas such as information management and general management skills may similarly be adopted.


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5.8 Resistance Management

Resistance management is an essential part of the change management strategy. Its importance cannot be stressed enough as it is the very mechanism through which change has to be brought about within the entity and department levels. A well planned resistance management strategy deals with various types of resistance issues that may come up along the path of behavioral change of an employee expected during the implementation of this project. The table below presents the resistance management framework:

Cause of Resistance Impact of Resistance Resistance Management/ Proposed Action Comfort with “old /

routine” way of working Skepticism about the

new initiatives Uncertainty about the

benefits of the proposed changes.

Lack of IT and domain expertise

Inertia among department to cooperate and communicate information on time

Backlog of data Work done manually results in

errors and inconsistency Delays in report generation,

inaccuracy in data collected Source of error cannot be

tracked Undue delays due to lack of

communication and miscommunication

Information requests cannot be catered to in a timely and efficient manner

Inefficient tracking of effectiveness and implementation updates

Lack of co-ordination in evaluation and planning purposes

Communication with employees at all levels about the objectives of the project and the changes expected in implementation. This can be done through face-to-face meetings with homogeneous groups of employees in the department.

Training and skill development programs Workshops showing videos of the present

condition of work output, modus operandi and resultant inefficiencies. This should be followed by demonstrations of how the changes will correct existing flaws and remove bottlenecks.

Feedback sessions to gather opinion on the usefulness of training, etc

IT training – Basic, Intermediate, Advance – for various levels of staff Leadership training to ensure that main issues are correctly reported to senior officials on time


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Design Deliver Sustain

Acceptance & approval on DPR

Ident ify required resources (IT infrastructure, human resource,

communicat ion needs etc.) based on DPR

Devise strategy to mit igate foreseen risks

Finalize KPIs and methodology for measurement of project outcomes

Design strategy for IT hardware & software procurement

Set up the governance mechanism & report ing structure

Prepare project plan for applicat ion conceptualization, development & roll out

E-filing applicat ion development incorporating data capture, pre-defined

business rules & data storage

Develop back-end dashboard for monitor ing, tracking & analysis of KPIs

Provide applicat ion specific training to all stakeholders

Undertake test ing & acceptance of application

Supply, install and commission hardware

Monitor project implementat ion

Fund management and monitoring of various capital & operat ional expenses

Undertake periodic evaluat ion

Review reports generated from MIS

6 Implementation Roadmap

The approach for implementation has been presented as below:


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The key considerations to be taken into account during implementation are listed below:

6.1 Procurement plan

Implementation of e-filing project has been envisaged through coordinated efforts between Centre and States departments. This approach advocates laying down the common guidelines and project artifacts (e.g. RFP), along with a robust monitoring and implementation structure at the Center and anchoring the project implementation at the State. The project will be executed in a Service Procurement Model (SPM), where a Service Agency (SA) will be selected through a competitive bidding process by the States E-filing of forest clearance application development thus envisages procurement of goods & services in the following categories: System Integrator, Data center service provider, GIS ‘data layer’ provider.

6.2 Phasing

It is suggested that the project should be rolled out in phases as per the table below

Office Total offices Phase 1 implementation Phase 2 implementation

•Adequate number of computers

•Updated version of software/ operating systems etc.

•Peripheral devices - Printer, scanner, UPS etc.

IT Infrastructure

•Recruiting IT proficient staff

•Conducted trainings for existing employeesIT trained manpower

•Existing connectivity options: SWAN/ Broadband / Dial up connectivityInternet connectivity

System integrator► Supply, installation & commissioning of hardware► Maintenance of hardware components including servers, storage, network etc.► Software development & maintenance

1

Data center & network provider

► Use of exist ing infrast ructure, viz. NIC data center► Network: NICNET

2

GIS ‘data layer’ provider

► Provision of base layers for creating GIS maps and additional layers, e.g. NIC maps or FSI etc.

3


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Head quarter 2 2 -

Regional office 10 3 7

State forest department 34 10 24


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6.3 Work plan

The phases and activities to be undertaken during implementation presented in the project plan above are:

No. Area Scope of work

a. Approval of Detailed Project Report The DPR prepared shall be submitted to the Central government for approval and go-ahead for implementation.

b. Setting up of Program Management Committees & PMU (at Central, State and

Post the identification of offices for pilot phase implementation, program management committees at Central, State and Regional levels shall be formed. These committees shall perform their roles for implementation of e-filing project.

Months# Activities 1 2 3 4 5 6 7 8 9 101 Approval & acceptance of DPR

2 Establishment of project steering committee

3 Mobilizat ion of project monitoring unit

4 Identif ication of resources for implementat ion of e-filing of FCA (Forest clearance application)

5 Conceptualizing strategy for risk mit igation

6 Finalization of KPIs and monitoring & evaluat ion framework

7 Preparation of RFP for procurement of SI services

8 Bid process management & vendor (SI) on-boarding

9 Preparation of project plan for applicat ion development & roll - out

10 Preparation of software requirements specifications (SRS)*

11 Preparation of software design document (SDD)*

12 Application development

13 Procurement, deployment and commissioning of ICT Infrast ructure at DC/DR and Office locat ions

14 Test ing, User Acceptance and Solution go-live*

15 Operations and Maintenance phase (for three years)


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Regional level)

It may be noted that MoEF / FCD may take assistance of a consulting agency as an advisor to the Program Management Committee formed for further activities

Milestone Formation of Central Program Review Board, State Program Management Committee and Regional Program

Management Committees

c. Selection for pilot phase implementation Central team shall do a quick assessment of the availability of IT infrastructure in the State and Regional offices and the pilot states and Regional offices shall be finalized for implementation of the project in the phased manner

d. Preparation of Functional Requirement Study (FRS) and System Requirement Study (SRS)

The selected Implementation Agency (IA) shall prepare the Functional Requirement of the application; these functional requirements shall be vetted. On approval of the FRS the vendor shall proceed to prepare the System Requirement Specifications.

Milestone:

Functional Requirement Specification System Requirement Specification Sign off

e. Preparation, Approval & Release of RFP for Implementation Partner

As part of this phase, in-depth study of the project requirements shall be done to assess: a) needs of each stakeholder and b) finalize the procurement model

Based on the inputs obtained, Model Request for Proposal (RFP) for the selection of implementation agency shall be prepared at the central level.

RFP shall include all major tasks to be performed by the implementation agency like training, data digitization, supply and installation of Hardware and network equipment, customization and development of application, manage IT services and providing IT trained manpower.

Milestone Request for Proposal (RFP) document

f. Evaluation and Selection of Implementation Responses submitted by various agencies shall be evaluated by the evaluation committee/SMPC. Finally the


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Partner successful bidder shall be awarded the contract based on evaluation criteria of RFP.

Milestone Selection of Implementation Agency

Awarding contract and Contract Signing

g. Onsite assessment by Implementation Agency

The Implementation Agency (IA) must clearly understand e-filing project’s envisaged scenario requirements and proposed solution. IA must study the ICT infrastructure needs of the project and gather the detailed requirement, understand the setup and perform the gap analysis (if required) with the proposed solution as given in RFP.

Deliverables:

Inception report Sign off

h. Solution Design and Solution Architecture The vendor shall perform the following tasks:

1. Design of State Specific Application considering integration with Core Common Applications at Central / National level

2. Design of Workflow with well defined business rule for the application 3. Design of LAN and Internet connectivity as per requirement with proper documentation. 4. Design of Application Architecture 5. Design of Network & Security Architecture 6. Data Digitization and migration methodology. 7. Design of Overall IT Infrastructure 8. Design of Logical and Deployment Architecture 9. Design of Integrations methodology 10. Design of Quality Assurance Plan & Methodology 11. Design reports as required by SPMU

Deliverables:

Final Bill of Material (BOM) for Solution Implementation


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System Design, solution design and Architecture Document All Policy, Plan & Methodology Documents Sign off

i. Application Development

The selected Implementation Agency shall develop e-filing system based on the specifications finalized through the System Requirement Specifications and Solution design. Customisation of the applications developed at the state level are considered, as specified in “Application Development Costs” under ‘Annexure xxxx – Detailed Costs’ of the DPR.

Deliverables:

Delivery of e-filing Software by the Implementation vendor, Licenses, Operational/Technical manuals, library files, setup programs / software source code etc.

Sign off

j. Deployment of Hardware and Network Equipment

Implementation Agency shall be required to undertake all the necessary installation of DC. Installation shall mean, to install and configure / integrate every component and subsystem component, required for functioning of the e-filing system

Procurement of infrastructure/facilities as proposed by the implementation vendor in the Bill of Material (BOM) as per the requirements of new system. IA will be required to provide the proposed IT trained Manpower at each location as proposed in the solution.

Deliverables:

IT infrastructure required for new proposed solution/system. Infrastructure Delivery Certificates. IT trained manpower at each identified location Sign off

k. Data Digitization, Backlog data entry and Migration

Manpower supplied at FCD offices by the Implementation Agency with assistance of department officials, would collect data in paper or electronic form and would digitize it in the required manner for storage and retrieval by the system. The implementation agency shall be responsible for master data creation. Collection and entry of various historical data for creating Knowledge Data base for trend analysis, Decision support system and faster retrieval with


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document searching facilities.

Deliverables:

Meta Data & Master Data creation Data digitization and migration completion Sign Off

l. Comprehensive Training and Change Management

Implementation Agency shall impart training to relevant stakeholders and shall undertake Change Management interventions as identified during the previous stages and improvements thereupon.

Implementation Agency shall be required to train the officials as per the indicative training plan to enable them to effectively operate the system.

Also the Implementation vendor would deploy a single resource for data entry related tasks at all the levels.

Deliverables:

Training Plan & training strategy Undertake Change Management and training interventions as per training plan approved by SPMU Training outcomes monitoring Documentation such as Training material, User Manuals, Maintenance Manuals, etc on 1:1 basis. Sign off

m. Over all Testing and UAT The Implementation Agency shall design Test plan and Cases for the solution testing which will need to be approved by the Project management Committee.

The Implementation vendor shall perform the testing of the solution based on the approved test plan, document the results and shall fix the bugs found during the testing to the satisfaction of the SPMU. The implementation vendor shall arrange the equipment for testing. The test environment should match the roll-out environment as closely as possible. SPMU will sign-off on the testing environment. Following shall be the Scope of testing

1. All levels of testing will be conducted at the installation site. 2. Testing must demonstrate that the new systems satisfy the operational and technical performance criteria. 3. It shall be Agency’s responsibility during the tests to evaluate and recommend any further changes to the


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infrastructure & application 4. The Implementation Agency must outline the methodology that will be used for testing. 5. The Implementation Agency must define the various levels or types of testing that will be performed. 6. The Implementation Agency must provide necessary checklist/documentation that will be required for

testing. 7. The Implementation Agency must describe how the testing methodologies will conform to requirements. 8. The UAT shall be conducted with the real data.

Deliverables:

Testing approach, Plan and Test Cases. Documentation on the results of the software testing Error free e-PRI system Testing of IT infrastructure solution. Signoff

n. Solution Implementation (Go Live) and Operations & Maintenance

Implementation Agency (IA) shall be responsible for implementation of the e-filing system and overall system integration. IA shall also provide operations & maintenance support for a period of three years adhering to the Service Level Agreement (SLA) finalized between State Level Body and the IA.

Deliverables:

Completion of Solution Implementation All the relevant documents related to Implementation. Demonstration of few sample transaction of various departments on Live environment Sign off


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Steering committee

Technical team Strategic team

System integrator MoEF HQGIS data layer

provider

Project management unit

DC / DR & NW provider

Regional Office

State Forest Department

Legend

Supervision Co-ordinat ion & assistance

Technical team Technical team comprises of the system integrator & other service providers & is responsible for software applicat ion development & related hardware

Strategic team Strategic team comprises of members from head-quarters, regional off ices and state forest department to provide domain and funct ional inputs to technical team. This team is also responsible for review of repor ts submitted by technical team

Steering committee The steering committee monitors the project progress, reviews dashboard and provides overall guidance to both teams

NIC

Funct ional & domain expertsTechnology experts

7 Project management and Governance Structure

The design and implementation of e-filing project is a complex exercise under the federal structure which involves formulation of detailed scope and project plan with necessary commonalties at the National level while allowing adequate scope for interplay of local variations, rules, procedures and implementation at the Central level.

Some of the key issues that need to be addressed are: Clear Roles and Responsibilities Implementation Structure Reach till the grass root level Participation till Grass root level

Given the enormity and complexity of the project, the implementation of the same requires a robust and still flexible project governance and management structure. The objective of project management is ensuring the implementation of the project as per the defined requirements, timelines, deliverables and budget. The project monitoring teams will be responsible for managing the overall project execution by the selected Service agency(ies) and ensuring that key objectives of the project are met and issues are highlighted in a timely manner.

It is proposed to have well defined governance structure at Centre i.e. the Program review board with representatives from MoEF and FCD. The diagram below indicates an illustrative structure:


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7.1 Central level steering committee

The roles and responsibilities of the state level steering committee will be as below:

Monitor the design, deliver and sustain phases of the pilot project and the state-wide roll out of the project. Approve all deliverables by various agencies and stakeholders like procurement of handheld devices by the external vendor,

development of application by system integrator, approval of monitoring and evaluation plan prepared by PMU. Fund management of the project including regulation of capital and operational expenditure, release of funds are per

timelines, regulation of administrative and overhead expenses. Devise strategies and collaborations for mitigation of foreseen risks Coordination with different stakeholders and agencies and ensuring common understanding of project objectives between

stakeholders Appointment of PMU for pilot and state wide roll out Appointment of Third Party Auditor for independent assessment of the pilot project Development of strategies for issue resolution and escalation Devise strategy for new district assessment, modifications / changes in the project implementation structure, infrastructure

requirement, technology modifications etc. for state wide roll out Appraisal of RFPs, DRP and project assessment reports Review and approve changes to Project activities Appraisal of exit management and knowledge transfer plan developed by PMU

7.2 Project Management Unit (PMU)

The steering committee will appoint a project implementation and monitoring unit with representatives from various industrial domains relevant to the project implementation and monitoring. The PMU will comprise of members from stakeholder agencies and external consultants. The roles and responsibilities of PMU will be as below:

Providing the required inputs to the steering committee on regular basis Preparation of RFP for selection of system integrator in close coordination with the steering committee. Bid Process Management for the selection of the system integrator Resolve the issues raised by the bidders on the implementation process like scale, technology, and customization of core

application as per domain and standards Coordinate and monitor the development of software application with SI Ensure submission and approval of exit management plan by SI Coordinate and monitor the procurement of handheld devices from the vendor Undertake periodic evaluation of the pilot project as per the pre-defined key performance indicators under the supervision of

steering committee Ensuring the incorporation of open standards for interoperability, seamless data transfer between district and state in the

recommended solutions as per guidelines and standards. Assist the steering committee in designing the MIS reporting & monitoring frameworks for the project Ensure capacity building and change management training for stakeholders as per the finalized action plan Document the assessment based on periodic project evaluation and submit them to the steering committee for appraisal. Execute and monitor implementation of capacity building and change management activities Development of Exit Management and Knowledge Transfer plan for PMU


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PMU will have a provision to outsource the implementation wing to an external agency. The composition of the PMU will be as below:

Representative from Centre for e-Governance: For providing assistance on utilization and integration of SWAN and wireless technology

Representative from National Informatics Centre: For providing technical expertise towards development of software application and selection of vendors through an informed process.

External Consultant: The external consultant will be represented by a heterogeneous group comprising of Team Lead, Technology expert, Change management and capacity Building expert, Domain specialist, Monitoring and Evaluation expert.

Such representation in PMU will ensure assessment and selection of vendors in an informed manner, effective project monitoring and evaluation and achievement of project milestones in a time bound manner.


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