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Document Date: 31 August 2014

Project No. 1743

Asia and the Pacific Division

Programme Management Department

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Odisha PTG Empowerment and Livelihoods Improvement

Programme (OPELIP)

Design Completion Report

Main report and appendices

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Odisha PTG Empowerment and Livelihoods Improvement Programme (OPELIP)


Contents

Currency Equivalents iv

Weights and Measures iv

Fiscal Year iv

Abbreviations and acronyms iv

Map of the Programme area vi

Executive Summary vii

Strategic context and rationale 1

A. Country and rural development context 1

B. Rationale 3

C. Project Approach 4

Programme description 5

A. Programme area and target group 5

B. Development objective and impact indicators 6

C. Outcomes/Components 7

D. Lessons learned and adherence to IFAD policies 17

Programme implementation 20

A. Implementation Approach 20

B. Organizational framework 20

C. Planning, M&E, learning and knowledge management 26

D. Financial management, procurement and governance 29

E. Supervision 33

F. Risk identification and mitigation 33

Programme costs, financing, benefits and sustainability 34

A. Programme costs 34

B. Programme financing 35

C. Summary benefits and economic analysis 36

D. Sustainability 37

List of Figures

Map of the Programme Area

List of Tables

Table 1: Target Group Description (Number of households by Social Groups) 5

Table 2: Role and Responsibility Matrix 23

Table 3: Risks and Risks Mitigation 33

Table 4: Programme Cost Summary (INR & USD) 34

Table 5: Programme Components by Financiers 35

Table 6: Number of Benefited Households, cumulative 36

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Appendices

Appendix 1: Country and rural context background 39

Appendix 2: Poverty, targeting and gender 47

Appendix 3: Country performance and lessons learned 57

Appendix 4: Detailed Programme Description 65

Appendix 5: Institutional aspects and implementation arrangements 81

Appendix 6: Planning, M&E and learning and knowledge management 99

Appendix 7: Financial management and disbursement arrangements 118

Appendix 8: Procurement 127

Appendix 9: Programme cost and financing 141

Appendix 10: Economic and Financial Analysis 147

Appendix 11: Draft programme implementation manual 157

Appendix 12: Compliance with IFAD policies 163

Appendix 13: Contents of the Project Life File 183

Working Papers (Not attached with Main Report)

WP-1: Socio-economic profiles of PTG communities

WP-2: Poverty, Targeting and Gender

WP-3: SHG and Rural Finance

WP-4: Community Institutions Development

WP-5: Natural Resource Management

WP-6: Livelihoods Improvement

WP-7: Community Infrastructure

WP-8: Mainstreaming Nutrition into OPELIP

WP-9: Project Costs and Financing

WP-10: Economic and Financial Analysis

WP-11: Environmental Screening and Scoping Note

WP-12: Monitoring & Evaluation and Knowledge Management

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Currency Equivalents

Currency Unit = Indian Rupee (INR)

USD 1.00 = INR 61

INR 1.00 = USD 0.016

Weights and Measures

1 kilogram (kg) = 2.204 pounds (lb)

1000 kg = 1 metric tonne (t)

1 kilometre (km) = 0.62 miles (mi)

1 metre (m) = 1.09 yards (yd)

1 square metre (m2

) = 10.76 square feet (ft2

)

1 acre (ac) = 0.405 ha

1 hectare (ha) = 2.47 acres

1 Lakh = 100,000

Fiscal Year

1 April to 31 March

Abbreviations and acronyms

AWPB Annual Work Plan and Budget

BPL Below Poverty Line

CAAA Controller of Aid, Accounts and Audit

CBO Community-based Organization

CCD Conservation-cum-Development Plan for PTGs by MoTA, GoI

CIG Common Interest Group

CRP Community Resource Person

DEA Department of Economic Affairs, Government of India

FFS Farmers Field School

FNGO Facilitating Non Governmental Organization

FRA Forests Rights Act

FRC Forests Rights Committee

FY Fiscal Year

GoI Government of India

GoO Government of Odisha

GP Gram Panchayat

IFAD International Fund for Agricultural Development

INR Indian Rupee ITDA Integrated Tribal Development Agency M&E Monitoring & Evaluation MIS Management Information System MoTA Ministry of Tribal Affairs, Government of India

MPA Micro Project Area

NGO Non-Governmental Organization NHM National Horticulture Mission NRHM National Rural Health Mission

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NRLM National Rural Livelihoods Mission

NTFP Non-Timber Forest Produce

OTELP IFAD-supported Odisha Tribal Empowerment and Livelihoods Programme

PD Programme Director

PESA Panchayat Extension to Scheduled Areas Act of India

PMU Programme Management Unit

PRA Participatory Rural Appraisal

PRI Panchayati Raj Institutions such as Palli Sabha, Gram Sabha

PTG Particularly Vulnerable Tribal Groups

SC Scheduled Castes

SCA Special Central Assistance to the Tribal People

SHG Self Help Group

SOE Statement of Expenditure ST Scheduled Tribes ST&SCD Schedule Tribes & Scheduled Castes Development Department of GoO TSP Tribal Sub Plan of Government of India

VDA Village Development Association

VDC Village Development Committee

Glossary Mo Jami Mo Dhia Scheme of GoO to distribute land & homestead sites to the landless

Mo Kudio My house, a scheme of GoO to provide houses to the landless

Palli Sabha The statutory village assembly of all adults in a village in Odisha

Podu Shifting Cultivation

Sarpanch The elected head of the statutory village council (Panchayat)

Vasundhara Scheme GoO Scheme for granting house sites & homestead land to landless

VSS Van Sakrakshan Samiti (Village forest protection committee)

Wadi Orchard development on agro-forestry model

Goda dhaan Rain-fed, upland paddy

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Map of the Programme area

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Executive Summary1

1. Background: This proposed new project builds on the success of the on-going IFAD-financed

Orissa Tribal Empowerment and Livelihoods Project (OTELP). The success of OTELP led to a

decision by the State Government to scale up OTELP activities across large areas of the State, with

State Government financing under a project title “OTELP-plus”. The success of OTELP also led to a

decision by the State Government to scale-up OTELP to the most challenging areas of Odisha – the

Particularly Vulnerable Tribal Groups (PTG) areas. A concept note for the “Odisha PTG

Empowerment and Livelihoods Improvement Programme” (OPELIP) prepared by the State

Government and was submitted to IFAD for consideration. This is the very first time that an external

development partner has been invited to work in PTG areas in Odisha. If successful it will offer an

opportunity for scaling-up a proven PTG development model to other States in India with PTG

population. IFAD fielded a Design Mission in March 2014 and the PDR reviewed was by the QE Panel

in May 2014. The present appraisal report is the outcome of the work carried out the IFAD Appraisal

Mission in July-August 2014 incorporating the comments of QE Panel and that of the Governments of

India and Odisha.

2. Poverty and Rural Development Context: In spite of India’s achievement of middle income

country status, eradication of rural poverty remains its key challenge. A worrying poverty landscape is

marked by a high proportion of malnourished children, 46% of all children under 3 years being too

small for their age or stunted, and 47% being underweight2. Rural poverty in India has a distinct

regional and occupational characteristic: the Scheduled Tribes (STs) are among the poorest, followed

by the Scheduled Castes (SCs). Among the STs, the PTGs are the poorest and most vulnerable.

Occupationally, farm workers, marginal and small farmers and artisans, and forest-dwellers are the

poorest. Rural poverty is highest in the central and eastern plateau states and in the rain-fed

undulating, hilly and mountainous parts of the country. There are 75 PTGs distributed across 14 or

more states in India including the Union Territory of Andaman and Nicobar Islands with a total

population of 1.36 million, which accounts for about 2% of the total tribal population in India3. Odisha

state has the largest number of PTGs; 13 out of 75. These 13 PTGs live across 17 scattered Micro-

project Agency areas (MPA) in the state. The proposed OPELIP is focused on these PTGs.

4. Rationale: While significant success has been achieved in reaching many ST’s in Odisha, PTGs

remain conspicuously unreached. The PTGs among the STs remain the most disadvantaged in

Odisha. They fare poorly on all development indicators such as food and nutrition security, literacy

and health. Focused engagement to promote and nurture community-based institutions of these

PTGs is necessary to enhance their self-confidence and reduce vulnerability. The PTGs are

overwhelmingly dependent on natural resources for their livelihoods such as rain-fed agriculture and

gathering of Non-Timber Forest Products (NTFP). But landlessness, characterized by lack of secure

tenure over land, and increasingly stringent regulations of forests and declining productivity, have all

driven the PTGs to migrate in search of wage labour, often to the neglect of their own faming systems.

As they depend on an ecologically complex natural resource base, they are also vulnerable to the

increased variability of weather due to climate change. Efforts are therefore needed to provide secure

tenure over land in order to reverse the downward spiral of low productivity and a declining resource

base. The ongoing, IFAD-supported OTELP has successfully demonstrated the feasibility of planning

1Mission composition: A M Alam (Mission Leader and Economic Analyst), Mr Shreekantha Shetty, (Institutions Specialist and

Deputy Mission Leader), Mr Deep Joshi (NRM and Infrastructure Expert), Ms Girija Srinivasan, (Micro-finance and Gender

Specialist) and Mr Venkatesh Tagat, Livelihoods Specialist all IFAD Consultants; and Mr Vincent Darlong, (M&E and KM

Expert), Mr Sankara Subramanium Sriram (Financial Management and Procurement Specialist) , Ms Meera Mishra (Project

Management Expert and Country Coordinator) from IFAD ICO, New Delhi and Mr Shankar A Kutty, Procurement Officer, IFAD,

Rome. Mr S N Senapathi, Senior Engineer and Mr D C Pal, Livestock Expert from OTELP accompanied the mission during

field visit. 2The Situation of Children in India: A Profile. UNICEF, May 2011.

3 Annual Report of Ministry of Tribal Affairs, Govt India

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and implementation of a number of development initiatives involving the tribal communities. A large

number of women SHGs under OTELP have enabled tribal women to participate in development

activities for the first time. Several livelihood schemes have also been piloted with success. It is now

time to build on the success of OTELP, and to adapt and scale-up these successes to PTG villages in

the State.

3. Approach: OPELIP has been designed to follow the successful bottom-up planning approach of

OTELP. Success in OTELP was attributed to the fact that the implementation process was owned by

tribal people. Putting tribal grass-roots institutions (such as SHGs and VDAs) in the driving seat

ensured the project was trusted by the local community. With local community institutions at the heart

of the project, the new design focuses on scaling-up activities that have already been tested and

proven to be successful in Odisha. The programme adopts an integrated approach, involving support

for improved access to land, natural resources, agricultural technologies, financial services, markets,

productive and social infrastructure, and essential social services. Given the extremely severe

malnutrition situation in PTG villages, the design has also piloted an approach of mainstreaming

“nutrition sensitive agriculture” activities across all the proposed project components.

4. Programme Area and Target Groups: OPELIP interventions will be implemented in 17 Micro-

Project Agency(MPA) areas located in twelve districts4 of Odisha namely Malkanagiri, Rayagada,

Angul, Deogarh, Ganjam, Nuapada, Keojhar, Sundergarh, Gajapati, Kandhamal, Kalahandi and

Mayurbhanj covering 13 PTGs living in some 1,019 villages and hamlets and 84 Gram Panchayats

(GPs). Overall, the programme will cover approximately 62,356 households, including PTG and other

ST and SC households.

5. Ownership, Harmonisation and Alignment: The State Government has been actively involved

with IFAD in the formulation and appraisal of OPELIP. The proposed OPELIP is built on the success

of OTELP as well as the lessons learned from other IFAD Projects in India. OPELIP is aligned with

the India COSOP 2010-2015 and compatible and supportive of other State Government initiatives. It

is also in line with strategies and policies for development of tribal and vulnerable communities of the

Governments of Odisha and India. The programme goal and objective is in alignment with the

objective of “faster and more inclusive growth” of the governments of Odisha and India.

6. Programme Goal and Objectives: The overall goal of OPELIP is to achieve ‘enhanced living

conditions and reduced poverty’5 of the target group households. This is sought to be achieved

through realizing the development objective of enabling improved livelihoods and food and nutrition

security primarily for 32,090 PTG households, 14,000 other tribal households and 16,356 other poor

and Schedules Caste (SC) households. This in turn will be achieved via building the capacity of the

target households, securing them their entitlements over land and forest, improving their agricultural

practices for enhanced production, promoting income-generating micro-enterprises for alternate

livelihoods and ensuring access to education, health and other services and improving community

infrastructure.

7. Components and Sub-components: The OPELIP will have four major components, namely (i)

Community empowerment, (ii) Natural Resource Management (NRM) and livelihoods enhancement;

(iii) Community infrastructure and drudgery reduction and (iv) Programme Management.

8. Component 1: Community Empowerment: This component will have two sub-components: (i)

promotion of village development associations for the planning and execution of need-based activities

of the community that cover natural resources management, community-based paralegal services,

community-based health, hygiene and nutrition education and community infrastructure; and (ii)

promotion of SHGs and rural finance services to enable social development of the SHG members

through facilitating group savings and credit and through building their capacity.

4 Malkangiri, Rayagada, Gajapati, Kandhamal and Kalahandi are the districts where IFAD-supported ongoing OTELP is under

implementation; OTELP however does not cover the PTG Micro-project areas. 5 Ref Project Concept Note, IFAD, Dec 2013

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9. Component 2: NRM and Livelihoods Enhancement: This component will have three sub-

components: (i) NRM, (ii) Food and nutrition security and (iii) livelihoods improvement. This

component will also have facilities for vocational training for the PTG youth and promoting PTG

culture and values.

10. Component 3: Community Infrastructure and drudgery reduction: Interventions under this

component will include inter alia: building critical social infrastructure such as schools, health clinics,

child-care centres (that are not included under any of the mainstream infrastructure development

programmes), storage structures along with drying yards, threshing floors, provision of weighing

scales, household storage bins for promoting value-addition and fair trade in villages, small market

yards and aggregation centres, facilities for food and NTFP processing units including small rice

hullers, upgrading village link roads, rural water supply, supply of smokeless wood-stoves and support

to operations and maintenance of village fuel-wood reserves.

11. Component 4: Programme Management: This component will have three sub-components as

follows: (i) a Programme Management Unit (PMU) will be set up within the ST and SC Development

Department, Government of Odisha in Bhubaneswar, (ii) the programme will strengthen the 17

existing MPAs with staff and facilities; and (iii) a Programme Monitoring and Evaluation and

Knowledge Management unit to be housed within the PMU. The policy initiatives aspects of the

programme will be part of PMU responsibilities.

12. Lessons Learned from IFAD projects: Key lessons from the on-going OTELP include the

following: (i) poverty of tribal groups can be effectively reduced by empowering the target group

communities and their institutions; (ii) selection of competent NGOs is critical for delivery of quality

services; (iii) developing livelihoods options for the tribal communities requires partnership with high

quality service providers; (iv) IFAD resources can be effectively converged with other resources to

have a multiplying effect and increased impacts; (v) there is a need for a contiguous project area to

ensure efficiency in implementation; (vi) smooth flow of counterpart funds is essential for smooth

implementation; and (vii) a dedicated project management unit with continuity of leadership

contributes to success. These lessons have been incorporated in the OPELIP programme design.

13. Programme costs and financing: Estimated total Programme costs for the eight-year

programme is USD 130.39 million. This is inclusive of all contingencies of USD 6.4 million, beneficiary

contribution of USD 3.0 million equivalents primarily in the form of labour and materials, and USD 75.9

million equivalents as counterpart funding from the government that includes staff salaries, rentals

and in the form of waiver of taxes and duties, and convergence funding and IFAD financing of USD

51.2 million. At the wrap up meeting, the Government of Odisha has agreed to commit financial

resources to meet IFAD’s counterpart funding expectation of 1:1.6 during implementation.

14. Benefits and beneficiaries: A total of 62,356 households (comprising 32,090 PTGs, 13,970

other Scheduled Tribe (ST) households, 5,486 SC households and 10,810 others) would directly

benefit from the programme. The programme investments yield an overall Internal Rate of Return of

23% with a net present value of INR 7,840 million and a benefit cost ratio of 1.85. The programme

remains viable if costs increased and/or benefits decreased by 25%. Farm model analysis shows

significant increases in food production from 510 kg to 1,020 kg per household and net incomes

increasing several folds over the existing levels.

15. Organisation and Management: The Ministry of Tribal Affairs (MoTA) at the National level is the

nodal agency and the Scheduled Tribes and Scheduled Castes Development Department (STSCDD),

Government of Odisha at the state level will be the Lead Programme Agency responsible for the

functions relating to planning, funds flow, monitoring and evaluation, gender mainstreaming and

knowledge management through the PMU as described above. A programme steering committee

under the Chief Secretary will provide overall policy guidance to OPELIP.

16. Planning: The Programme will follow the planning process undertaken by the respective Micro-

Project Agency but with specific modifications to reflect the objectives and purposes of OPELIP. A

draft Annual Work Plan and Budget will be drawn up by the PMU by consolidating all micro-plans in

consultation with the respective Micro-project and partner NGOs.

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17. Monitoring and Evaluation: The M&E system will aim at measuring progress and performance,

and be a learning tool to critically reflect on programme strategies and operations. The PMU will

establish an M&E unit which will support progress monitoring by programme field implementation

units and partner NGOs.

18. Learning and Knowledge Management: Information generated by the programme will be

disseminated through IFAD websites, newsletters, and thematic reports and at learning events. The

programme will develop a Knowledge Management strategy and appropriate action plans. This will

include internal learning through regular progress review meetings and the generation of knowledge

products, such as newsletters (in local languages), briefs, training materials, technical manuals,

booklets, posters, videos, etc.

19. Risks: There are a number of risks associated with the programme. The goal level risk is

reduced by government’s commitment in continuing the tribal development programmes and

enhancing investments. The development objective level risks are addressed by promoting and

supporting local governments and community institutions to build a coalition in favour of stability and

economic growth. The risk of the complex challenging institutional setting involving 17 MPAs will be

reduced by additional, qualified staffing and staff incentives. The output level risks like that crop

production adversely affected by changing weather patterns will be reduced through a number of

measures to mitigate the impacts of climate change. Other risk mitigation measures include: (i)

promotion of interventions that are profitable for the PTGs; (ii) enhancing communication links for

better access to markets and services; and (iii) ensuring community participation in programme

planning and implementation to ensure community support for the project, and insulation from the left

wing insurgency.

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OPELIP Logframe at Programme Design Completion Stage

Narrative Summary Key Performance Indicators Means of Verification Risks

Goal: Improved living conditions and reduced

poverty of the tribal communities.

- At least 46,500 households with

improvement in RIMS household asset index;

- At least 46,500 households have improved

food security.

-Between 5-10% reduction in prevalence of

stunting among children;

-IMR and MMR at par with State average

RIMS impact surveys at baseline, mid-term

and completion.

-No major adverse events that impact on tribal

households such as natural disaster etc

-Govt continues with its programmes for the

tribal development and other convergence

programmes are available to tribal households

-NGOs are available for working in the PTG

micro-project areas

Project Development Objective:

Improved food and nutrition security and

livelihood opportunities adapted to tribal

communities.

- Increased food production from 510 kg/hh to

1,020 kg/hh by at least 43,500 households;

-Average farm incomes increased from INR

2,865 per household to INR 30,790 for NRM

households; INR 30,310 for 19,000 livestock

households; INR 8,510 for 2,000 IGA hh.

-household indebtedness reduced by 50%

-all PTG hh have housing units and access to

DWS and roads

Annual outcome surveys;

Programme progress reports

Participatory gender and community

evaluations

-Policies for Tribal Development, political

stability and security situation allow

communities access to economic opportunities

and natural resources

Outcomes:

1.1 Empowered community institutions access

their entitlements

-1,019 VDAs and VDCs organised and

functional

-75% of VDCs effective in programme

implementation

Theamtic studies


Annual outcome surveys

-competent NGOs available and recruited

1.2. Strengthened women SHGs access

financial services

-3,800 SHGs organised and functional

-75% of SHGs with active internal savings and

lending with active bank accoount

-75% SHGs with at least 90% internal loan

recovery and bank loan repayment,

-at least 50% reduction in indebtedness of

PTGs

Theamtic studies



-Sustained policies of the government

2.1 Secured access to land for cultivation and

homestead and improved land productivity

-100% of PTG hh received land titles for

homestead

-75% of PTG hh received titles for agricultural

land

-43,500 hh reported reduced soil erosion and

improved production

-19,000 hh have access irrigation

-18,800 hh planted fruit & spices crops

Theamtic studies



NGOs reports

-Major natural disasters (drought, flood) do not

negate soil and water conservation works.

.

-Markets for cash crops accessible via local

roads, and profitable

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2.2 Improved access to inputs and increased

production

-31,000 hh have increased cereals, millets,

oilseeds and pulses crops production

Theamtic studies, Programme progress

reports, Annual outcome surveys

NGOs reports

-Inputs needed for agricultural technologies

available

2.3 Improved access to livelihood

opportunities and rural markets

-2,000 hh benefited from IGA

-8,500 hh benefited from producer collectives

Theamtic studies



NGOs reports

-access to markets established and prices

favourable

3.1 Improved access to social and economic

community infrastructure

-All households have access to water supplies

-84 small market yards and 34 food & NTFP

processing facilities benefit all hh;

-500 km of road alignments improved/paved

-1,019 O&M groups set up and operational

-100% villages with school toilets

-all PTG hh have housing units, access to

DWS and roads

Theamtic studies



NGOs reports

-Fund flow including from those of

convergence is smooth and timely;

-No Threats from extremist forces

3.2 Reduced drudgery to women -32,000 PTG hh benefit from kitchen gardens

-35,000 hh benefit from smokeless stoves

-31,500 hh benefit from fuelwood reserves

Theamtic studies


Annual outcome survey

-favourable policies for community forestry

Outputs:

1.1 Community institutions developement -1019 VDA/VDCs set up and capacitated

-1019 village development plans prepared and

implemented

-17 NGOs & 360 CRPs recruited

MIS reports


NGO reports

Community participatory reprots

-community respond positively to programme

interventions and initiatives

-competent NGOs recruited

1.2 SHG and rural financial services -3,800 SHG formed, capacitated & functional

-84 GPLF set up and capacitated

-PIP, VRF & CIF funds set up & operational

- -two cooperatives piloted

-pulses banks facilitated in all PTG villages

MIS reports


NGO reports


-women’s response is positive

-MPA responsible for NRLM

2.1 Natural resource management -43,500 hh provided land titles

-20,000 ha land developed

-12,500 hh provided fruit crops on podu land

-6,250 hh provided spices crop on podu

MIS reports


NGO reports


-LANDESA is recruited.

-Government policies continue

2.2 Food and nutrition security -62,000 hh provided facilities for crop

development

-several demonstrations set up

MIS reports


NGO reports


-communities respond to opportunities to

improve food and nutrition security, produce

products for sale

2.3 Livelihoods improvement -2000 hh supported for IGA

- 84 CSP models set up

MIS reports; Programme progress reports

NGO reports; Community participatory reprots

-communities respond to opportunities to

improve livelihoods in response to markets.

3.1 Community infrastructure development -300 water supply schemes constructed;

-500 km rural roads upgraded.

MIS reports


-funds from convergence available

-communities participate in construction

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-542 drying yards, 84 village markets, 250

aggregation centres constructed

NGO reports


3.2 Drudgery reduction interventions -35,000 smokeless stoves installed

-32,000 kitchen gardens supported

-84 milling units installed

-fuelwood reserves created in 540 villages

MIS reports


NGO reports


-funds from convergence available

-communities participate in construction

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Strategic context and rationale

A. Country and rural development context

Economic and social development

1. India has a population of over 1.2 billion, composed of several ethnic groups, speaking several

languages and more than 1,000 dialects. These groups identify themselves in more than 5,400 castes

and tribes and follow five major religions. India has an area of 3.28 million km2 covering 20 different

agro-ecological zones. Poverty remains a major issue, with 42% of the population living on less than

USD1.25 per day. In 2014, the Human Development Index of the United Nations Development

Programme (UNDP)6 ranked India 135th out of 185 UN member states. India’s economy is the tenth-

largest in the world by nominal GDP and the third-largest by its purchasing power parity (PPP)7. After

decades of limited growth, during the last 10 years its economic growth has taken off, with an average

GDP growth of 9% from 2002/03 to 2007/08, mainly led by the service sector. In 2010/11, despite the

financial crises, growth was 8.5%. Growth has slowed in recent years, and dropped to 5% for 2013-

14. Inflation is a major economic challenge for the country, and has a bearing on rural poverty and

growth in the rural sector.

2. There is a broad consensus that the recent growth has roots in the economic reforms

introduced in the early 1990s, which unleashed the enterprise of those adequately endowed with

infrastructure, resources, skills, power and influence. However, distribution of the benefits of growth to

poor rural people has been limited by: inadequate physical and social infrastructure; poor access to

services; low investment; a highly stratified and hierarchical social structure, characterized by

inequalities in assets, status and power; and ineffective, inefficient implementation of pro-poor

programmes, owing to governance failures. There is now a genuine and widespread recognition that,

without inclusive growth, the social and political consequences of rising inequalities could be very

adverse. About one third of Indian districts are affected by civil unrest and left-wing extremism, which

represent the main national internal security threat.

3. About 69% of India’s population live in rural areas, with over half employed in the agriculture

sector which contributes 16% of GDP. Although production of food grains reached a total of 264.4

million tons in 2013/148, growth in output is falling behind the 1.4% growth in population. India has 33

per cent of the world’s poor, and poverty has not fallen at the pace of economic growth. Nutritional

levels are unacceptably low, with 42.5% of children underweight for age, being one of the highest

rates globally. Malnutrition is linked to half of the child deaths and a quarter of cases of diseases. On

the Global Hunger Index9 of the IFPRI, India is ranked 63

rd out of 78 countries studied. With a score of

21.3, India remains in the orange category tagged ‘alarming’ level of hunger. Prevailing social

inequality and the low nutritional, educational, and social status of women are considered as key

factors contributing to high prevalence of malnutrition in children below the age of five.

4. Agricultural wage earners, smallholder farmers and casual workers in the non-farm sector

constitute the bulk of poor rural people. Within these categories, women and tribal communities are

the most deprived. In terms of gender deficit, India is ranked 101 among 136 countries by the World

Economic Forum Global Gender Gap Index 201310

. About 300 million young people (in 13 and 35 age

group) live in rural areas, most of them being forced to migrate seasonally or permanently, without the

skills and competencies required by the modern economy.

6Human Development Report 2014, UNDP, New York,

7“India”. International Monetary Fund

8 Country Economic Survey 2014

92013 Global Hunger Index IFPRI, Washington DC

10Global Gender Gap Report 2013: World Economic Forum, Geneva

http://en.wikipedia.org/wiki/List_of_countries_by_GDP_(nominal)


http://en.wikipedia.org/wiki/Gross_domestic_product

http://en.wikipedia.org/wiki/List_of_countries_by_GDP_(PPP)

http://en.wikipedia.org/wiki/Purchasing_power_parity

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Policies and programmes for Tribal Development

5. India’s tribal population is officially registered according to their distinct cultural and ethnic

features called “Scheduled Tribes (STs)”.The STs, with a population of 104.3 million as per 2011

Census constitutes approximately 8.6% of India’s population. Unlike the Scheduled Castes (SCs) who

are dispersed throughout the country, STs have traditionally been concentrated in about 15% of the

country’s geographical areas, characterised mainly with forests, hills, and undulating inaccessible

areas. The fact that most of them live in isolated groups in relatively remote areas has meant that they

have suffered from reduced access to basic services and fewer opportunities for economic

development. Out of the total ST population, approximately 2.6 million (2.5 per cent) belong to

“Particularly Vulnerable Tribal Groups” (PTGs). This classification is reserved for the most

disadvantages of all the ST communities. There are 75 identified PTGs spread across 17 States and

Union Territories in India11

.

6. The Planning Commission, Government of India (GoI) has reiterated various challenges and

persistent gaps in tribal development in India. Because of the remoteness of location of most ST

populations, the extent to which they can benefit from general development programmes of the

government has remained grossly limited. Hence there is an urgent need for special efforts to ensure

adequate flow of services and benefits to the STs. One of the key factors has been persistent poor

implementation of existing schemes in the tribal regions, in turn contributing to exceptionally high

levels of poverty among ST population. The decline in poverty rate is much slower among ST

populations than for the general population. The critical aspect is that the poverty gap has been

steadily rising among ST populations with the result that between 1993-94 and 2004-05, the share of

ST population amongst the poor in the country increased from 15.8 to 20.5%12

.

Poverty of PTGs in Odisha

7. Odisha is geographically the eighth largest State and the 11th most populous among Indian

States. Situated in a sub-tropical region, Odisha has varied topography and a complex ecology and is

fifth largest in terms of forest area, with 31% of the State’s geographical area classified as forests. The

State has vast mineral resources, about 98% of the country’s estimated reserves of chromate, 95% of

nickel, 78% of cobalt, 53% of Bauxite and 33% of iron-ore respectively. In spite of its rich natural

resource endowment Odisha continues to be one of the poorest States in India with high incidence of

poverty and low indices of human development.

8. At 33%, the head count poverty in Odisha in 2011-12 was fourth highest in India13

. Poverty

rates for rural populations are double those of their urban counterparts. STs are among the poorest,

followed by SCs. Poverty also has a regional imprint, with the hilly districts encompassing the Eastern

Ghats, the Northern Plateaus and the Central Table lands, together home to over 92% of Odisha’s

STs, being poorest compared to the fertile coastal districts

9. Odisha is home to 62 STs including 13 PTGs. The PTGs are concentrated in the Eastern

Ghats14

and the Northern Plateau15

; these two regions together are home to almost three-fourths of

the State’s ST population. Both these regions are characterised by rugged hilly terrain and high

rainfall and together account for most of the State’s area demarcated as forests. For the economic

and social development of the PTG tribal population, with the support of GoI, the State has

established 17 Micro-Project Agency (MPA) areas.

10. The PTGs gather non-timber forest produce (NTFPs) both for consumption and selling and this

occupies a significant space in their livelihood basket. Some of the PTGs, such as the Birhor,

Mankirdia and Hill-Kharia are still largely dependent on hunting and gathering of NTFP while the

Bondo, Didayi, Juang, Dongaria Kandha, Kutia Kandha, Lanjia Saora and Paudi Bhuiyan practice

11

Twelfth Five Year Plan (2012-2017): Social Sectors: Volume III. Planning Commission, Government of India, New Delhi, 2012 12

India Human Development Report 2011: Towards Social Inclusion Planning Commission, Government of India, New Delhi. 13

Press Note on Poverty in 2011-12, GoI, Planning Commission, 22nd

July 2013. 14

PTGs are concentrated in the districts of Gajapati, Kalahandi, Kandhamal, Koraput, Malkangiri, Nabarangapur, Nuapada,

Rayagada in the eastern ghats 15

The districts of Mayurbhanj, Sundargarh, Keonjhar, Jharsuguda

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shifting cultivation (podu cultivation). The Saora and Lanjia Saora are engaged in terrace cultivation

besides shifting cultivation and the Lodha and Chuktia Bhunjia have also taken to settled cultivation.

Overall, PTG agriculture is characterized by a combination of shifting cultivation and some settled

farming, including homestead cultivation. The main crops cultivated include maize, a wide variety of

millets, goda dhaan (short duration, rain-fed upland paddy), other varieties of rain-fed paddy, beans

and pulses (local variety of pigeon pea), Niger, mustard, sesame, and tubers. Among cereals, paddy

and maize are more prevalent in the northern and central regions while maize and millets are more

common in the south and west. (See Appendix-1 for more information)

B. Rationale

11. There are a number of factors which combine to provide a solid rationale for investing in this

proposed project: “Odisha PTG Empowerment and Livelihoods Improvement Programme (OPELIP)”.

These include: (i) the extreme poverty and malnutrition that characterises the PTG population in

Odisha; (ii) the availability of a tested IFAD model for integrated tribal development in Odisha, ready

for adaptation and scaling-up to PTG areas; (iii) the availability of an existing institutional structure in

PTG areas to implement the project; (iv) the close alignment with Government priorities, the

ownership of the State Government (in designing the concept for this new project), and the fact that

the Government selected IFAD as their key partner, in recognition of the successful partnership

implementing OTELP.

12. The PTGs among the STs remain the most disadvantaged in the State. They fare poorly on all

development indicators such as food and nutrition security, literacy and health. Given their high

dependence on an ecologically complex natural resource base, they are also highly vulnerable to

variability in weather and climate shocks. Although several provisions in the Indian Constitution seek

to ensure better quality of life for the PTGs, their economic status has not improved, and in many

cases it may have deteriorated, due to their inability to negotiate and cope with the consequences of

their involuntary integration with the mainstream economy, society, and cultural and political systems.

The livelihoods of PTGs are overwhelmingly dependent on natural resources. They derive their

livelihood from shifting cultivation, rain-fed agriculture and gathering of NTFPs. Settled farming is

relatively new to them and their farming practices are primitive, with rain-fed paddy and millets being

the main crops. There is high incidence of landlessness among the PTG. Given the ecological

complexity of their terrains, poor farming systems and lack of focus for the development of rain-fed

areas, the PTG areas have been suffering widespread land degradation. Declining productivity drives

them to migrate in search of wage labour, often to the neglect of their own faming systems. Efforts are

therefore needed to reverse this downward spiral of low productivity and declining resource base.

13. The ongoing IFAD-supported Odisha Tribal Empowerment and Livelihoods Programme

(OTELP) have successfully demonstrated an integrated development package in the tribal areas of

Odisha. Success was achieved through involving tribal groups in planning and implementation of

various development initiatives, especially the development of natural resources. OTELP organized

villages, and set up village level bodies. These bodies were also able to manage significant amounts

of funds for village development. A large number of women’s SHGs were also promoted under OTELP

and have enabled tribal women to begin participating in development activities. A detailed analysis of

the lessons learnt under OTELP is in Section D under Project Description. Encouraged by the

success of OTELP, the State Government requested IFAD to assist them with scaling-up the OTELP

approach into the PTG areas. This is the very first time that an external development partner has

been asked to work in these most remote and difficult areas of the State.

14. There is already an institutional structure to deliver services to the 17 PTG areas and these are

called Micro-project agencies (MPA). However, what has been lacking is a consolidated high intensity

integrated programme of support, targeted through these existing institutions, with clear targets and

time frames. The proposed programme would seek to deliver this by capitalizing on the institutional

development that has already taken place, and would seek to deliver a range of services to the PTGs

through appropriate development initiatives.

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15. Good nutrition increases learning abilities and labour productivity. Children whose growth is

stunted before the age of 2 will never catch up and suffer lifelong cognitive disabilities. Malnutrition in

childhood is also linked to increases in chronic diseases (diabetes, hypertension, heart disease). Over

their lifetime, malnourished adults will earn 10 percent less than well-nourished individuals and will

suffer from nutrition-related diseases, including anaemia, night blindness and goitre. The nutrition

situation among tribal groups is the worst in India16. One study revealed that half of all adults in STs

are malnourished. Another noted that of eight tribal groups, the average body-mass index (BMI) was

less than 18.5 in five of them. Given this severe situation, the proposed programme will place a major

emphasis on nutrition sensitive agriculture and has sought to ensure the mainstreaming of nutrition

issues through the entire project design.

16. The Governments of India and Odisha have been actively involved with IFAD in the design and

implementation of the on-going OTELP. The proposed “Odisha PTG Empowerment and Livelihoods

Improvement Programme (OPELIP)” is built on the experience-gained under OTELP as well as the

recommendations contained in the Government’s "Concept Paper for IFAD Loan Project17

". The

OPELIP concept is aligned with the India COSOP18

2010-2015 and compatible and supportive of

other donor initiatives. It is also in line with GoI/GoO's strategies and policies for development of tribal

and vulnerable communities. The programme goal and objective are in alignment with the objective of

“faster and more inclusive growth” of the governments of Odisha and India.

C. Project Approach

17. OPELIP has been designed to follow the successful bottom-up planning approach of OTELP.

Success in OTELP was attributed to the fact that the implementation process was owned by tribal

people. Putting tribal grass-roots institutions (SHGs and VDCs) in the driving seat ensured the project

was trusted by the target groups. With local community institutions at the heart of the project, the new

design focuses on scaling-up activities that have already been tested and proven to be successful in

Odisha. The project adopts an integrated approach, involving support for improved access to land,

natural resources, agricultural technologies, financial services, markets, productive and social

infrastructure, and essential social services. Finally, the design is deliberately aligned with major State

Government development programmes to ensure tribal communities receive maximum benefits from

convergence funding.

18. Another major element of the project approach is gender mainstreaming. In relation to the

proposed land allocation activities, the programme will ensure that land titles are given in joint names

of wife and husband and in case of woman headed households, in the name of the woman head of

the household. In allocating land for homesteads and cultivation, the programme would first provide

homestead and land titles to woman headed households, followed by households that do not possess

patta land. The third priority would be households that do not have any wet paddy land. In relation to

the land and water resource development activities, women will be given priority training in the setting

up of tree nurseries for any plantation activities. Land development activities will prioritize woman

headed households and those given FRA titles and others without wet paddy lands. Stabilisation of

shifting cultivation would include planting of fruit and forage trees to support rearing of small

ruminants. In developing community forests under FRA, nursery activities would be taken up by

women to raise forage and firewood trees. Priority would be given to plant local fast growing firewood

and forage trees to enhance availability of firewood and forage near villages with a view to reducing

drudgery to women. At least 50% of the participants in training for productivity enhancement would be

women. Emphasis would be given in setting up of demonstration plots to households that are

provided land pattas under FRA. Women would be given priority in training for production of

16

The National Family Health Survey 3 (2005-2006) shows that malnutrition is a serious problem in Odisha. Almost half (46%)

of all children are chronically malnourished (too short for their age). About one of five (19%) suffer from acute malnutrition (too

thin for their height). By international standards, these levels are very high. Energy and micronutrient deficiencies are also of

concern among adults. Forty-one percent of adult women suffer from malnutrition, with a Body Mass Index of (BMI) < 18.5.

Sixty-one percent of women are anaemic. 17

This document is available in Project Life File. 18

Country Strategic Opportunities Programme

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vegetables and in setting up vegetable nurseries. At least 50% of participants in farmer field schools

would be women. At least 25% of the CRPs for livestock care would be women.SHG mobilisation will

focus on women-headed households and other women from very vulnerable households. Women

keen to pursue income generation activity will be formed into new SHGs. PTGs are expected to form

exclusive homogeneous SHGs since they live in separate areas. The SHGs will be socially inclusive

and the members will self-select based on affinity.

19. A final element of the project approach relates to nutrition. Given the extremely severe

malnutrition situation in PTG villages, the design has mainstreamed “nutrition sensitive agriculture”

activities across the entire design. First the programme will implement activities related to nutrition

education which include training on various nutrition rich local food items, knowledge on causes,

impact and remedies of child malnutrition, training on processing and storage and introduction of

pulses bank on the lines of grain bank. The main target group will be the teachers and students of

residential schools and member of SHGs and GPLF. Second, the programme will implement

interventions that promote nutrition-sensitive agriculture by promoting millets, pulses, oil seeds and

vegetables. Third, the programme will promote nutrition-dense livelihood activities by promoting

backyard poultry, kitchen garden/vegetable farming and goat rearing. This approach coupled with

other improvements in drinking water, sanitation and health service is expected to reduce chronic

malnutrition amongst PTG children. The programme will prepare learning and training aids following

the learning by conversation methodology covering: (i) malnutrition and its impact on child

development; (ii) reproductive health care including issues in early marriage, (iii) health, hygiene and

sanitation; (iv) gender issues and (v) laws pertaining to ST welfare specifically women’s welfare

programme and entitlements.

Programme description

A. Programme area and target group

Project area and number of participating households

20. OPELIP interventions will be implemented in all 17 MPAs19

located in twelve districts of Odisha

namely Malkanagiri, Rayagada, Angul, Deogarh, Ganjam, Nuapada, Keonjhar, Sundergarh, Gajapati,

Kandhamal, Kalhandi and Mayurbhanj. This covers 13 PTGs living in some 542 villages within the

MPA areas and another 477 villages outside the MPA jurisdiction but within the 84 MPA Gram

Panchayats (GPs). (See a detailed map showing the locations of PTGs, Appendix-4). OPELIP adopts

an inclusive approach to targeting, as per the recommendations in the India Country Programme

Evaluation conducted by the IFAD’s Office of Evaluation and will cover some 62,356 households as

shown in Table-1 below.

Table 1: Target Group Description (Number of households by Social Groups)

Description # of

villages

PTGs Other

ST

SC Others Total

Households within MPA villages 542 20,514 5,138 2,259 3,576 31,487 Additional households outside MPA villages but within MPA GPs

477 11,577 8,827 3,227 7,238 30,869

Total households a/1,019 32,091 13,965 5,486 10,814 62,356 Total population - 133,479 63,074 24,409 46,186 261,148 Source: As per 2011 Census Data. a/ Number of villages are often quoted either 1019 or 1020

Targeting

21. Geographic targeting: The programme would adopt various targeting approaches as described

in Annex 1 of Appendix 2. The first of these would be geographic targeting. As described above, the

programme would work in a pre-defined number of MPA Gram Panchayats. Some of the programme

19

A list of Micro-project Agency area and category of the PTGs are given in Appendix-1

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interventions would necessarily benefit 100% of the population living in these Gram Panchayats (for

example village development planning and associated village institutions, and infrastructure such as

rural roads). Special efforts would be made to ensure that all members of the community, and in

particular the most vulnerable groups, are able to participate effectively in these village planning

events and in village institutions.

22. Targeting specific groups: In addition to geographic targeting, the programme would also target

specific categories of population (PTGs, women, youth, etc), and each component would have a

specific strategy. The SHG formation approach would follow NRLM norms. About 60% of SHG

members will be from the PTG households and the remaining members would come from other ST

households. The land allocation component would be targeted primarily to PTGs. PTGs will be the

major beneficiaries of land treatment works, irrigation development and other NRM related activities.

Among the PTGs, priority in land allocation, land and water resource development and productivity

enhancement would be given to woman-headed households and landless households. The crop

diversification and nutrition related activities would be targeted to all households. PTGs will be the

priority target group to receive support for fruit and spice crop development on shifting cultivation land.

Interventions like kitchen gardens, smokeless stoves, and solar lanterns would be targeted to all PTG

households. Livelihood interventions such as backyard poultry, goat-rearing clusters and producer

collectives will be supported in response to expressed interest from the PTG households and other

poor communities in order to facilitate creation of required economies of scale and marketing support.

Vocational training programmes would be targeted exclusively to youth groups.

23. Targeting women: Women are a priority target group. Women play a pivotal role in the well-

being of their families and the household economy, and yet they are particularly disadvantaged. They

need improved housing and improved sanitation facilities, and support for reducing their drudgery.

They need better land rights, better livelihood opportunities, and access to health and education

services. They also need training on reproductive health care, the importance of nutrition for young

children, and on their entitlements and rights. Pregnant and lactating mothers need special attention.

In view of this situation, women will be included in all the proposed village institutions.The SHG

component would be targeted exclusively to women. Land allocation and land development activities

would place first priority on reaching women headed households, and land titles would be issues

jointly in the name of husband and wife. Housing and habitat improvement and drudgery reduction

activities would be targeted exclusively to women headed households, which are estimated at 18% of

all households, and other highly vulnerable households. Quotas would be introduced into project

targets, for example, a 50% of Farmer Field School (FFS) participants and a 25% of livestock

Community Resource Persons (CRPs) would be women.

24. A summary of target groups is in Key File 4 and more information on Poverty, targeting and

gender in Appendix 2, with checklists showing compliance with IFAD policies for targeting, gender and

indigenous peoples in Appendix 12.

Scaling up

25. As in the case of OTELP, which was scaled-up by the State Government under the brand

“OTELP-plus”, it is expected that OPELIP will also be scaled-up in time. As this is the first externally

funded development intervention targeted to PTGs, it provides an opportunity to demonstrate a

workable model for PTG areas, which can then be scaled up to PTG areas in other States with large

PTG populations, such as Jharkhand and Chhattisgarh. A scaling up framework is outlined in

Appendix-12.

B. Development objective and impact indicators

26. The overall goal of OPELIP is to achieve ‘enhanced living conditions and reduced poverty’20

of

the target group households. This is sought to be achieved through realizing the development

objective of enabling improved livelihoods and food and nutrition security primarily for 32,090 PTG

20

Ref Project Concept Note, IFAD, Dec 2013

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households, 14,000 other tribal households and 16,356 other poor and SC households. This in turn

will be achieved via building the capacity of the target households, securing them their entitlements

over land and forest, improving their agricultural practices for enhanced production, promoting

income-generating micro-enterprises for alternate livelihoods and ensuring access to education,

health and other services and improving community infrastructure. To achieve the objective of

empowerment, the programme will promote women’s SHGs, organise village development

committees at village and Palli /Gram Sabhas for planning and implementation of programme

interventions and will train community resource persons (CRPs) to provide necessary services for

production and marketing and legal assistance. At development objective level, the indicators are: (i)

increase of at least 50% in incomes of PTG and other tribal households; (ii) increased household food

production by at least 70% over current levels and (iii) IMR and MMR at par with the state average.

C. Outcomes/Components

Outcomes

27. As summarised in the OPELIP Logframe, major outcomes of the OPELIP are 1,019 VDCs are

organised and functional, 3,800 SHGs and 84 GPLF are organised and functional, at least 50%

reduction in rural indebtedness, 100% of PTGs households received land titles for homestead and

75% of them land titles, 43,000 households received land and water management treatment

measures, 19,000 households have access to irrigation and almost equal number of households

planted fruits and spices crops, 31,000 households increased cereals, millets, pulses and oilseeds

production, 9000 households have IGA, all households have access to water supplies, market and

road connectivity, 32,000 PTG households have kitchen gardens and smokeless wood-stoves and

access to community fuel-wood reserves.

Components

28. OPELIP will have four major components, namely (i) community empowerment, (ii) Natural

Resource Management (NRM) and livelihoods enhancement; (iii) community infrastructure and

drudgery reduction and (iv) Programme Management. A description of the programme components is

given in Appendix-4, and summarized below.

Component-1: Community Empowerment (Total cost: USD 20.84 million including IFAD

resources of USD 15.31 million)

29. Empowerment is the key pre-requisite for development of the PTGs. This will be addressed

through a series of capacity building initiatives, entry point activities and mobilization of community-

based organizations. Accordingly, the community empowerment component will have two sub-

components, namely: (i) community institutions development; and (ii) promotion of SHGs and rural

finance.

(i) Community institutions Development

30. Major activities under this sub-component will include: (i) the engaging of the services of 17

NGOs supported by about 360 community resource persons (CRPs) each CRP being responsible for

two or more natural villages); (ii) Training of Trainers (ToT) through a Specialist NGO and capacity

building of CRPs; (iii) mobilization of VDCs and building capacity of VDC members; (iv)

implementation of entry point activities in all 1019 villages, as identified by the VDCs; and (v)

preparation of village development plans (VDPs) and facilitation of VDCs to implement activities

identified in the VDPs.

31. NGO services: At the grassroots, the programme will be implemented by some 17 facilitating

NGOs that are engaged for the purpose right from the beginning. Their services will be engaged at

least for a period of 7 years on continuing basis. The NGOs would select local village youth and train

them in micro-planning and book keeping and engage them as CRPs to assist the community. As the

target group households are mainly from PTG who remain isolated on account of language and

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distance barriers and are making slow transition into settled agriculture. On account this, the

programme will ensure engagement of NGOs with two levels of human resource for intensive

handholding of the PTGs: (i) each CRP of the NGOs covering two or more villages at the grassroots

level and (ii) a team of NGO professionals at the MPA level. The programme will also ensure

adequate training of the staff of NGO and MPA including exposure visits (Typical organisational set up

for an FNGO is in Chart-4, and cost estimates in Chart-9, Appendix-5 and more details in WP 4

Community Institutions Development and also see Para # 91 and 92). The NGOs will be responsible

for all villages covered by the Programme. Their team of professionals will include a NGO Coordinator

- Agriculture Officer, a Livelihood and Rural Finance Officer, Junior Engineer, Community Institutions

and Nutrition Officer and an Accounts Assistant. In the event, area of operation by a NGO is more

than 60 villages the programme will provide flexibility to engage additional number of professionals. In

addition, the NGOs will also engage adequate number of Village Agriculture Worker and Livestock

Inspectors. Each NGO will establish a field office at the MPA level.

32. ToT methodology: The programme will use TOT methodology to train the members of the

community. The programme will initially train the MPA staff and NGO staff with various programme

related activities. These staff will develop a plan for training members of the community. In addition,

the MPA and NGO staff will be sent on exposure visits to OTELP and other programme areas. The

training programmes proposed for the MPA and NGO staffs for community institution building activities

include: nutrition gender training and programme concepts and orientation. The programme will

engage organizations a specialist NGO such as Reach India that use “Learning by Conversation”

methodology for training in areas to cope with the low levels of literacy prevailing in the programme

area. This methodology comprises modules for capacity building of trainees with structured

conversation. These trainers thereafter will prepare cascading plans for training the community

members. Once the capacity of field functionaries is built, these persons will become the trainers for

conducting training programmes to the participating households. The programme will engage the

services of a specialised NGO such the Reach India in developing such ToT methodology.

33. Community mobilisation. Leaders of functional SHG and the CRPs engaged by the programme

will form the core group for effective mobilization of the community. A Village Development Association

(VDA) will be established at each natural village level. In case a village has less than 30 households,

a VDA will be formed for two villages. Traditional leaders as well as the leaders of the PRIs will be

involved in decision making. VDA will have the membership of all adult male and female members.

VDA will select/elect a four member (men and women in equal numbers) management committee

which will be called the VDC. Three out of four members will have to be from the PTGs. Two

committees already exist in these villages and they are: (i) Forest Rights and Conservation Committee

(FRCC); and (ii) Village Health and Education Committee (HEC). In addition, a Social and Financial

Audit Committee (SFAC) will be established. FRCC undertakes activities related to land allocation and

conservation. SFAC and HEC will be managed by only women preferably from functional SHGs.

SFAC will be responsible for conducting social audit and also for facilitating financial audit of the VDC

by the Chartered Accountants. HEC will also coordinate activities related to health, nutrition and

education related activities of the programme apart from monitoring the activities of Anganwadi and

ASHA workers and will also undertake social and nutrition focussed entry point activities.

34. Entry point interventions: Leaders of functional SHG and the CRPs will form the core group for

effective mobilization of the community. As a part of this mobilization process, thematic cultural

programmes will be organized focussing on alcoholism and associated exploitation and poverty, and

chronic malnutrition and its impact on future generation. The programme will implement several entry

point activities in order to gain the confidence of the community. The activities include: (i) introduction

of nutrition education and training on vegetable gardening, back yard poultry rearing and goat rearing

in residential schools; (ii) support for accessing entitlements under Government programmes; (iii)

earth work related to repair and maintenance of roads, irrigation channels, bunds and other small

scale NRM works; (iv) repair and maintenance of drinking water dug wells/bore wells including shade

with platform for washing and water harvesting structures for recharging these wells; and (v) nutrition

related training and cooking classes. The programme will allocate INR 175,000 per natural village for

undertaking entry point activities.

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35. Preparation of VDPs and their implementation: VDC will be responsible for implementation of

village level development activities. Entry Point activities implemented by the MPA with the support of

FNGO are expected to lead to preparation of a Village Development Plan (VDP); a village perspective

plan for five years. VDP will be a comprehensive resource development and usage plan for the entire

landscape of the village, focusing simultaneously on enhancing resource productivity, conserving the

resource base and setting in motion resource regeneration processes. VDP will cover land and water

resource development, productivity enhancement including crop diversification and irrigation related

activities, livelihood activities and rural infrastructure, VDP after approval by the VDA will be submitted

to the concerned MPA for approval. Based on the approved VDP, the VDC with support from NGO will

prepare AWPB each year. Funding for implementation of these plans will be released to the bank

account of VDCs or in some large contracts directly by the MPA to the suppliers and contractors.

(refer also Para # 50)

(ii) Promotion of women SHGs and Rural finance

36. Key interventions under this sub-component will include formation and strengthening of 3,800

SHGs, training of CRPs, formation of 84 Gram Panchayat level Cluster Forum (GPLFs), provision of

pro-poor funds and vulnerability reduction funds to SHGs and community investment funds to the

GPLF, and piloting two cooperative societies. The programme will implement all activities related to

SHG led savings and credit using systems and processes that are compliant with NRLM. MPAs will be

authorised to implement NRLM activities largely using programme funds to avoid duplication of efforts

between NRLM Society and MPAs in the programme area (Refer Appendix 4 – Detailed Programme

Description and working paper 3 – Self Help groups and Rural Financial Services for more

information).

37. Capacity Building of NGOs and CRPs: NGO staff, CRPs-GPLF, women leaders in the VDA and

leaders of functional SHGs will undertake exposure visits to OTELP or NRLM area to understand the

functioning of SHGs and federations. CRPs GPLF, who will be preferably women from the community,

will be imparted comprehensive training on good practices in formation and functioning of SHGs.

38. Formation of Gram Panchayat Cluster Level Forum (GPLF): Each GP will have a GPLF. Three

members out of the two women committees of each VDA (the Village Social and Financial Audit

Committee and the Village Health and Education Committee) of each village will form the initial

governing body of GPLF. The broad functions of GPLF will include: (i) formation and nurturing of

SHGs; (ii) promoting savings in different forms – financial savings in banks with deposit insurance

coverage, lentil banks to address nutrition security and savings within the groups for internal lending

amongst members; (iii) facilitate Business Correspondent to reach out to programme villages; (iv)

management of NRLM compliant funds; and (v) building capacity of members to facilitate progression

on social and economic growth trajectories.

39. Formation and revival of SHGs: CRP-GPLF will carry out a detailed mapping and assessment

of the status of the all SHG in the villages. The existing and functional groups will be strengthened

through capacity building measures. Defunct groups with no bank loans will be either revived or

closed down by distributing the savings to the members. For SHGs with overdue bank loans, case by

case analysis will be carried out. Wilful defaulters will be motivated to repay their overdue loans. In

case of non-wilful defaulters or issues relating to non-receipt/partial receipt of loans by the members,

the issue will be taken up with respective banks for one time settlement. Women keen to pursue any

income generation activity will be formed into new SHGs. In the inaccessible villages with limited

book keeping capacity, rotating savings and credit groups will be formed (ROSAC). Each month’s

savings will be lent out to a member who needs the loan for a fixed term. This will need minimal book

keeping. These will be given a choice to form SHGs once book keepers are available.

40. Capacity building of SHGs: Given the low literacy levels of the target group communities, the

programme will adopt appropriate techniques to build capacity. SHG members will be trained in: (i)

Good practices in SHG functioning and importance of panchasutri21

; (ii) financial literacy; (iii) health,

21

“Five Rules” for effective SHG mobilization as per NRLM guidelines and these are: (i) regular meeting; (ii) regular saving; (iii)

regular internal lending; (iv) regular repayment; and (v) regular book keeping

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nutrition, basic health care; and (iv) Reproductive health care. A training curriculum will be developed.

Trainings will follow “learning by conversation” methodology to ensure active participation and

absorption of key learning and will be delivered as part of SHG meetings. Women will be encouraged

to discuss issues affecting them during SHG meetings and GPLF meetings and motivated to take

common action.

41. Gender training: Though traditionally women’s position in tribal communities as compared to

that of mainstream society has been better, of late some of the bad practices of the mainstream

society such as preference for boys and polygamy have crept into tribal community. Violence against

women has been increasing due to alcoholism. Education of girl children is lagging behind and early

marriage causes health concerns for the mother as well as the children. Gender training for women

and men covering such aspects as patriarchy, governance, gender and livelihoods, woman and her

body, participation in external institutions etc., will be delivered to both men and women. Two

volunteers from each village will be intensively trained to enable them to participate in SHG, GPLF

and VDA meetings to help women and men to address gender concerns.

42. Rural Financial services: Rural finance intermediaries in the programme area comprise SHGs

(of which large numbers are defunct and with overdue loans), friends and relatives who provide

interest free short term loans, and a few village level money lenders who charge usurious rates of

interest and also usurp mortgaged land. Savings of SHGs are rarely used for internal lending. In

addition, banks do not have adequate branch coverage to service households in the programme area

and the transaction costs of the households to undertake banking transactions outstrip the regular

transaction values.

43. Considering above aspects, the programme will facilitate the following financial services to the

target groups: (i) encourage regular savings by the members either using contemporary SHG

methodology in village with access or Rotation savings in inaccessible villages; (ii) facilitate operations

of Business Correspondents of banks at GPLF level to facilitate household savings in scheduled

banks with deposit insurance; (iii) develop internal lending mechanisms using their own savings and

need-based credit linkages with banks: (iv) facilitate need based credit linkage including issuance of

Kisan credit cards and joint liability group financing; and (v) facilitate access to social security

schemes for insurance and pensions.

44. Provision of NRLM compliant funds: Compliant with NRLM processes, the programme will set

up three different funds: (i) Pro-poor Inclusion Fund (PIF) of up to INR 15,000 to each SHG to be

provided between 3 to 6 months of formation to enable some of its members to take up small

economic activity of their choice; (ii) Vulnerability Reduction Fund (VRF) of up to INR 250,000 per

GPLF will be provided which will be used as longer term low-interest loans for health, education of

children, loss of livelihood assets, debt redemption, etc; and (iii) The Community investment fund

(CIF) of up to INR 1,150,000 per GPLF (at the rate of INR 2,200 per member) will be provided on the

basis of simple household livelihood investment assessment to support for initiating or expansion of

individual income generation activity of SHG members; collective activity of SHGs or GPLF will also

be supported but these will be exceptions. Need-based bank linkages will also be promoted for

groups that require high credit demand. These funds will be deployed based on the proposed plans of

SHGs and the absorption capacity of women and thus in multiple instalments and may take longer

time than the usual NRLM guidelines. (Details are in Para # 12 of Appendix 4 – Detailed Programme

Description and Performance benchmarks to receive these funds in Annex 3, Annex 4 and Annex 5 of

the Working Paper 3 – Self Help Groups and Rural Financial Services).

45. Cluster level co-operatives: There is a strong case for formation of a local cooperative for

financial intermediation since the banks are situated far away and operating costs of dealing with

banks is high. A feasibility study for setting up community-owned cluster level cooperative can be

taken up during the third year of the programme, preferably one pilot in the northern part and the

other in the southern part. Two cooperatives are likely to be piloted for promotion of savings after a

thorough due diligence.

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Component-2: NRM and Livelihoods improvement (Total cost USD 39.42 million including IFAD


46. This component will have three sub-components: (i) natural resource management, (ii) food

and nutrition security and (iii) livelihoods improvement.

(i) Natural Resource Management:

47. Historically PTGs have been living deeper inside forests compared to other STs and some

PTGs, such as the Birhor and Mankirdia were nomadic until recently. Shifting cultivation even now

remains the principal cultivation technique for a large number of PTGs. Their transition from hunting,

gathering to shifting cultivation and eventually to settled farming has been slower and more recent

than other STs.. Being late entrants into settled agriculture and inhabiting remote locations deep

inside forests, most PTGs do not possess pattas (title document) for land that they have traditionally

been cultivating since long. This needs to be addressed to promote investment on land and also to

ensure security of tenure to land.. Their farming practices remain rudimentary with very low

productivity. Their farm tools are of poor quality and they do not adequate draft power. Springs and

streams present in many villages are not being used for irrigation and rainwater is not being

harnessed. Rain-fed cultivation is carried out on undulating land and hill slopes leading to progressive

soil erosion and land degradation.

48. Key interventions under this sub-component will include (i) engaging the services of the

specialist NGO for land surveys and issuing of land rights titles to PTGs, (ii) treatment of 20,000 ha of

arable land, construction of some 900 irrigation structures (such as diversion of run-off of the

streams), (iii) building the capacity of some 18,000 farmers in crop development and horticulture and

(iv) support to horticulture development, cereal food crops including oilseeds, pulses and tubers in

about 900 villages.

49. Land Allocation and Recording of Land rights: PTGs are not landless in literal sense. They

cultivate on both revenue and forest land but do have title for the land on which they till. Both the GoI

and GoO have enacted several acts to issue land title to PTGs and other STs. However, issues such

as issuance of title only for a small extent of land irrespective of the extent of land under occupation

and non-issuance of a map with boundaries for the land have been major challenges. The programme

will facilitate settlement of individual and community rights under Forest Rights Act (FRA) and

assignment of available revenue lands to the landless for homestead and agriculture under relevant

Government laws. Land titles will be issued in the names of both husband and wife. To implement this

activity, the programme will engage the services of a specialist NGO – LANDESA which is the only

organization in Odisha with the experience to implement this activity. LANDESA has agreed to

implement this activity on a turnkey basis and the GoO has agreed for pre-selection of LANDESA for

implementing this activity. (Details in Para # 18 of Appendix 4 – Detailed Programme Description and

Para # 51, 55 and 96 of the Working Paper 5 – Natural Resources Management and Para # 17 of the

Working Paper 6 – Livelihoods Support).

50. On a pilot basis, the programme will facilitate granting of community rights under section 3(1)(i)

of FRA and facilitate and finance soil and water conservation measures on such lands, followed by

planting of various forage, firewood and other trees and grasses of use to PTGs. This would reduce

women’s drudgery in firewood collection and improve water availability by recharging springs. Two

pilots will be taken-up in each MPA area.

51. Land and water resource development: The programme will finance and facilitate community

mobilisation and preparation of detailed village development plans (VDPs). These plans will include

inter alia: land shaping, small-scale diversion-based irrigation, lift-irrigation, storage structures,

rainwater harvesting, various measures to stabilise shifting cultivation lands, and, development of

lands covered under FRA. Land treatment works may include stabilisation of steep slopes by tree-

planting, drainage treatment and contour-trenching, stabilisation of shifting cultivation by terracing and

planting fruit crops and spices etc. The programme will finance the implementation of these plans

through the VDCs with technical assistance provided by the programme. In line with the programme

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objective of household food and nutrition security, about 30% of households will be provided with

access to irrigation facilities during main crop season mostly for growing rice and maize and wheat

and vegetables during winter season in the low-lying areas. The programme will focus on Irrigation

and rainwater run-off management to make use of available water resources from springs and

streams near villages and to moderate or divert the rainwater run-off from areas upstream of the

village so that farm land is not damaged and to harvest and store rainwater where suitable sites are

present. Irrigation will support improved crop production, cultivation of vegetables in

homesteads/backyards, protection of paddy crop in the course of erratic monsoon rains and enable

cultivation of winter crops, leading to enhanced yields and increased availability of food, including

vegetables.

52. Capacity building of the farmers: The activities to be supported by the programme will include

(i) crop productivity enhancement; (ii) promoting winter crops where irrigation is introduced or land

development activities have enhanced soil moisture; (iii) soil fertility enhancement; (iv) homestead

development as nutrition gardens; (v) providing power tillers and other farm equipment to alleviate the

draft power constraint; and (vii) research support as a pilot to identify and develop through selection

and farmer field trials more productive varieties of various nutrition dense and climate resilient crops

traditionally cultivated by the PTGs and promote production of seeds of promising varieties to supply

to the village seed banks.

53. Support to Agri-horticulture and podu stabilisation: The programme will take up agri-horticulture

on land presently used for podu cultivation or other land on steep slopes after settlement of titles

under FRA in the nature of alley cropping where fruit trees are planted at wide enough spacing to

facilitate cultivation of food crops, vegetables and spices. Land suited for settled cultivation, including

sloping land that can be developed for farming through land development activities will not be used for

agri-horticulture. Only of part of the land under shifting cultivation will be used for agri-horticulture. The

purpose is to bring a change in land use and promote sustainable use of land with steep slopes prone

to rapid erosion by combining fruit tree cultivation with alley cropping rather than taking up block

plantations of fruit trees. (Details are in Para # 22 of Appendix 4 – Detailed Programme Description

and Para # 74 and 75 of the Working Paper 5 – Natural Resources Management).

(ii) Food and Nutrition security

54. A community nutrition assessment will be part of the planning process and all activities

proposed under the programme will be investigated through a nutrition lens to ensure that crops and

activities promoted result in household nutrition security. The important features of nutrition planning

will include: (i) training of children in residential schools and SHG members on malnutrition, locally

available nutritious foods, preparation of nutritious food using local materials, sanitation and

alcoholism; (ii) focus on cultivating locally available traditional food crops, introduction of labour

savings food processing technologies to promote use of traditional crops, focus on promoting kitchen

gardens and other nutrition-sensitive crops; (iv) focus on nutrition-dense interventions such as kitchen

gardens, backyard poultry and goat rearing; and (v) promotion of convergence to address gaps in the

areas of food availability, health, water and sanitation.

55. PTGs grow a wide variety of nutrition dense crops, such as millets, short duration upland paddy

and maize, beans, tubers, oilseeds and pulses. But the cultivation of these crops is on the decline and

there is considerable potential for yield enhancement and introduction of new crops. Key interventions

under this sub-component would include (i) conducting some 7,000 demonstrations on farmers’ fields

through the farmers field school approach and (ii) provision of facilities for food and nutrition security

of the target group communities.

56. Conducting demonstrations through Farmer Field Schools: For disseminating information and

technology among the farmers and improving agricultural extension services, farmers would be

organised in to farmer field schools (FFS) with about 15 to 20 members with each such group. The

CSPs, trained by the facilities provided by the programme, will be the anchors of the FFS. At least one

or two FFSs in each village will be organised and provided support under the programme. The

programme in collaboration with Orissa University of Agriculture and Technology (OUAT) will take up

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the development of better agronomic and management practices, identification and development of

better varieties through selection and trials for millets, pulses, beans, oilseeds and tubers cultivated by

PTGs. The focus of these efforts will be to enhance food and nutrition security of the PTGs. In all

some 7,000 demonstrations will be carried out during the programme period. Limited availability of

draft power, especially for summer ploughing and during peak sowing season hampers farming

operations. Cultivation is often done manually even in flat, settled farming areas. Lack of availability of

quality seeds is another constraint in enhancing crop productivity. These constraints could be

alleviated by providing power tillers and other farm equipment for renting out to farmers. The

programme will also promote seed banks for existing crops as well as new crops being promoted.

57. Food and nutrition security: The programme will promote: (i) food and nutrition security and

productivity enhancement by identifying local varieties that add value to nutritional basket and also

identify new crops suitable locally, develop seed banks, train farmers and CRPs, undertake

demonstrations of more productive farming systems, provide improved farm tools, including power

tillers, establish vegetable and fruit tree nurseries and introduce new and innovative farming

techniques such as system of root intensification (SRI); (ii) diversification of the faming system of

PTGs to include fruits and vegetables as well as traditional cereals, such as sorghum or millets, or

bio-fortified crops that have been bred for higher nutrient values; (iii) provision of technical advice and

education on processing and storage and on health and nutrition (including food safety, home

preservation and preparation); and (iv) milling and hulling activities as one of their IGA specifically with

regard to traditional crops that are being neglected to facilitate use of fortification to combat

malnutrition and also value-addition.

(iii) Livelihoods Improvement:

58. PTGs and other ST are dependent largely on forest based livelihoods, wage employment and

agriculture including shifting cultivation. This sub-component will focus on homestead production and

forest-based livelihoods. The programme will support: (i) selection and training of community service

providers (CSP); (ii) household production support – such as expansion of kitchen gardens with their

produce for markets, backyard poultry, goat rearing and income generating activities; (iii) support for

producer collectives - aggregation, value addition and market linkage; (iv) support for NTFP

marketing; and (v) vocational training and strengthening PTG culture and traditions.

59. CSP training and support: Introduction of Poultry and Goat rearing in the tribal villages has not

met with success on account of lack of support services. The programme will identify a CSP to cover

5 villages and train each CSP. CSPs specialising in poultry will be trained and a mother unit (brooding

unit) and a backyard poultry unit will be provided to these CSPs. Mother unit package will comprise a

poultry shed for 1,000 day-old chicks and working capital support for feed and medicine for one

production cycle. Persons traditionally familiar with goat rearing will be trained as CSPs and goat units

will be provided to them. Each goat unit will include one buck and 5 does and feed support for one

production cycle. Support by a veterinarian (appointed by the MPA/NGO) will be provided to the

CSPs. Regular animal health camps will be organized and universal vaccination of all goats and

poultry birds will be ensured. Training to CSPs will include management practices, feeding practices

and preparation of feed using locally available raw materials, vaccination and basic veterinary care.

NGOs engaged by the programme will link up CSPs with veterinary hospitals or dispensaries and also

reliable sellers of veterinary products. A system of paying for the services of CSPs by the service

seeking households will be put in place to ensure sustainability beyond the Programme life.

60. Household production support: The programme will provide a kitchen garden package to all

interested households comprising materials and labour for establishing an enclosed kitchen garden

plot with water storage tank, hose for watering plants and planting materials. As sizes of kitchen

garden plots vary from 40m2 to 400m

2, appropriate facilities based on the SCAMPIS experiences in

developing kitchen gardens under the OTELP will be provided. (Details in Para # 29 of Appendix 4 –

Detailed Programme Description and Para # 63 and 64 of Working Paper 5 – Natural Resources

Management) Vegetables seeds will include radish, gourds, okra, chilli, onion, brinjal, yam, sweet

potato, amaranth, and also drumstick etc.

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61. The programme will support expansion of backyard poultry and goat rearing activities. The

programme will implement goat rearing and/or poultry packages to interested members from

functional SHGs. This will include training, materials for sheds, goats (5 does and 1 buck), and poultry

(10 birds) and feed. The partnering NGOs will provide appropriate design for use of local materials for

constructing housing for poultry and goat rearing. The unit cost package includes cost of materials to

be purchased from the market. Local materials and labour will be the contribution of the participating

households. The programme will support introduction of local breeds and also improved breeds of

bucks that have been tested and tried in the tribal setting. In addition, support will be provided to

Income Generating Activities (IGAs) which will be identified as part of the VDP preparation. Trained

CSPs will establish demonstration units; and the households selected for production support will be

trained in these demonstration units on management practices, feeding practices and feed

preparation using local raw materials. (Details in Para # 29 of Appendix 4 – Detailed Programme

Description and Para # 18, 19, 31, 32, 34, 35, 52 60, 66(a), 66(c), 66(d), 66 (e) and 67 (b) of Working

paper 6 – Livelihoods Support).

62. Support for Producer Collectives: The programme will provide support for aggregation, value

addition and market linkage in respect of both agricultural and horticultural products. However, the

major focus will be on NTFP (also called minor forest produce) which comprise medicinal plants, sal

and siali leaves, mushrooms, fruits, resins, bark, roots and tubers, leaves, flowers, seeds, honey, etc.

The aggregation related activities will be the initial building block of the Producer Collectives which will

be linked to implementation of minimum support prices for NTFP and improvement to haat bazars.

This process will be facilitated by the Livelihood Resource Agencies (LRA) to be engaged by the

programme. (See also Para # 93). Upon gaining adequate experience in aggregation and marketing

of NTFP, the Producer Collectives will be facilitated to explore value addition in respect of a few of the

NTFP, agricultural and horticultural products subject of availability of adequate raw materials within

the command area of the Livelihood Collectives and also financial viability of the proposed value

addition. (The details of activities to be supported are provided in (Details in Para # 32 of Appendix 4 –

Detailed Programme Description and Para # 70 to 75 and Annex 2 of the Working paper 6-

Livelihoods support)

63. Support for NTFP Marketing: Haat Bazars (temporary weekly markets) are the most important

market places frequented by the tribal and PTG households. The current exploitation of tribal sellers is

related to the barter system (without weighing), manipulations in weighing, inability to store at the haat

bazaars, inability to stay at the haat bazaar due to lack of basic facilities. Tribal Development

Cooperative Corporation (TDCC) of GoO is required to implement the minimum support price order of

the government for 10 NTFPs and for procuring NTFPs from the tribal peoples. The programme will

provide the required infrastructure support to improve haat bazaars and implement a minimum

support price.

64. Vocational training: The education system in India is largely designed to produce white-collar

workers. GoI has recently initiated efforts to emphasise vocational training largely for the students who

have passed either secondary or higher secondary schools. Drop-out rates are high amongst tribal

children in general and PTGs in particular before passing secondary school. Often these children lack

the interest to assimilate into agriculture-based livelihoods. The programme will therefore support skill

development for masons, plumbers, electricians, computer operators, and mobile telephone repairers,

etc for the PTG candidates. The criteria for selection of trainees will include: (i) a member of PTG; (ii)

a pass in the 7th grade examination; and (iii) aptitude and interest for taking up the vocation. The

programme will not only provide training, board and lodge costs but also compensate for loss of

wages. (Details in Para # 32 of Appendix 4 – Detailed Programme Description and Para # 86-90 and

100 to 102 of Working Paper 6 – Livelihoods Support)

65. Strengthening PTG Culture and their traditions: Values, social organisation, knowledge and

resource management aspects of the PTG communities would be understood before embarking upon

any form of change. PTGs possess precious experience and coping strategies of combating

environmental hardships and leading sustainable livelihoods, some of which are dying out. They have

a wealth of traditional knowledge in water harvesting, conserving agro-biodiversity for food, traditonal

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medicine, land use planning, etc. The traditional knowledge will be documented and where possible

efforts will be made to register intellectual propoerty rights.The programme will conduct knowledge

sharing workshops after having carried out detailed documentation traditional knowledge participated

by PTGs to ensure that tribal people themselves understand their value and resources and build their

confidence on improving on their skills and treasuring their unique knowledge.

Component-3: Community Infrastructure and Drudgery reduction (Total cost USD 47.25 million

including IFAD resources of USD 5.46)

66. This component will have two sub-components: (i) community infrastructure, and (ii) drudgery

reducing interventions. The first sub-component will be financed through national counterpart

contributions by convergence with on-going national and state programmes. The second sub-

component on drudgery reduction will be financed by IFAD.

(i) Community infrastructure:

67. PTG villages are characterised by poor housing, limited or no access to potable water round

the year, absence of sanitation facilities, limited or no access to electricity and limited or no road

connectivity. Some of the villages in the programme area do not have school buildings and in many

cases the school buildings are dilapidated and without drinking water and sanitation facilities. Many

villages do not have paved roads and drainage inside the settlements and children play in extremely

unhygienic conditions, especially during the rainy season. Though NTFPs constitute a major livelihood

source for PTGs, there are no platforms for drying and sorting these commodities and for storage to

facilitate collective marketing. With a view to addressing these constraints, the programme will support

construction of (i) some 300 drinking water schemes and some 542 school toilets, (ii) 4,000 housing

units and habitat development, (iii) 500 km of road connectivity and 50 km of electrification, (iv)

infrastructure for 542 drying yards, 84 market yards, 250 aggregation centres, 250 SHG work-sheds,

and (v) provision of power-tiller units and 2,000 irrigation pump-sets and 84 hydram units. O&M of

these facilities will be through a committee of the VDA and the village volunteers will be trained as

community mechanics. (Details in Para # 42 of Appendix 4 – Detailed Programme Description and

Para # 38, 44 and 51 of Working Paper 7 – Community Infrastructure and Drudgery Reduction).

68. Drinking water & sanitation: Every household will be provided access to drinking water and

toilet facilities. Household water connections will be given with an overhead tank, either filled through

gravity where a water source is available upstream or by pumping water from a tube well or stream if

electricity is available. Where neither is possible hand pumps with a platform will be provided at the

rate of one per ten or more households. (Details in Para # 42 of Appendix 4 – Detailed Programme

Description and Para # 16 and 35 of Working Paper 7 – Community Infrastructure and Drudgery

Reduction).

69. Housing & habitat development: Houses with separate cattle sheds and toilets will be provided

to all families not covered under schemes like Indira Awas Yojana (IAY or MKY), as far as possible

using local construction materials. Villages will be provided with cement concrete (CC) roads along

with drainage facilities within the habitation.

70. Roads, electricity, solar lighting: Programme villages will be provided all weather road

connectivity. Where possible villages will be connected to an electric grid. Solar lighting will be

provided at household level and for street lighting where there is no access to the electric grid.

71. Social service infrastructure: Many PTG villages do not have primary school and Anganwadi

buildings and none have a community centre. Where school buildings are present there are no toilets

and drinking water facility. The programme will construct a common facility centre in each PTG village,

construct primary schools where none exist with separate toilets for boys and girls and construct an

Anganwadi centre.

72. Economic infrastructure: The programme will construct a drying yard in each PTG village to

facilitate drying and cleaning of NTFPs and also provide weighing scales. Market yards will be

constructed in village clusters to facilitate buyer-seller meetings. Other interventions would also

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include mills and expellers to be managed by SHGs or the community, community buildings, power

tillers, etc.

73. (ii) Drudgery reducing interventions: The sub-component has resources to finance 35,000

smokeless wood-stoves, 20,000 solar lanterns, maintenance of fuel wood reserves in 540 villages to

reach some 31,500 households, and for construction of some 84 milling units for hulling rice, millets

etc. Practical needs of women include easy and year-round access to water, fuel-wood, diversified

food sources for nutrition, and reproductive and child health care services. Many of these are closely

linked to land use (including farming systems), land tenure and usufruct rights – which are strategic in

nature. Promotion of labour-intensive cash crops to the PTGs will be weighed against its adverse

impact on nutrition security and women’s access to food sources. OPELIP will therefore work on

expediting access to land tenure rights under FRA both for house-building and the community and

natural resource regeneration to protect water and fuel-wood sources, and protecting biodiversity on

and off-farm. Creating access to drinking water, providing smokeless cook-stoves, creating fuel-wood

reserves and promoting home-based nutrition gardens will also be good and community-acceptable

entry point activities to reduce drudgery. There is also scope for improved storage of food grains

through household storage bins and improved housing and solar home lighting. Reduced drudgery

can also be achieved through improvements in hauling, threshing, hulling, and milling of food grains.

Small scale processing units can enable women to spend more time on productive activities, and in

preparing nutritious foods such as millet.

Component-4: Programme Management (Total cost of USD 21.39 million including IFAD


74. The programme management has been designed based on lessons from OTELP and other

IFAD-supported projects in India. Accordingly, the programme will strengthen existing systems rather

than creating parallel ones. But it is recognized that there could be limitations in procuring qualified

staff due to remoteness of MPA areas. The MPAs are registered as Societies headed by the District

Collector and this model has been successful in overcoming the issues faced by the regular

government departments relating to transfer of unspent funds to the government treasury at the end

of each financial year, bureaucratic approval, sanction and payment processes and inability to

converge with other government-run programmes and departments. The Programme Management

component will have three sub-components, namely: (i) Programme Management Unit at the state

level; (ii) Management structure at MPA level; and (iii) Programme Monitoring and Evaluation and

knowledge Management. The programme will adhere to the affirmative action policies of GoO with

regard to human resource engagement which allow reservation of 33% of all positions to women and

also 22.5% to tribal candidates. In the event suitable candidates are not available under these

categories, PMU will be permitted to engage other candidates in view of the time bound nature of

programme implementation.

(i) Programme Management Unit (PMU)

75. For the overall management of the programme a PMU will be established in Bhubaneswar

under the STSCDD. The PMU will be headed by a full time Programme Director (PD) from the

government (preferably from the Indian Forest Service as the programme has a strong component on

FRA) who will report to the Commissioner and Secretary, STSCDD and work closely with the

Additional Secretary STSCDD and Director, Tribal Research Institute, Bhubaneswar. The PD will be

overall responsible for the management of the programme and fostering support, convergence with

key departments such as Rural Development, Forest, Agriculture, Women and Child Development etc.

The PD will be assisted in his/her functions by a full time Deputy Programme Director (DPD),

preferably from the market or on secondment, who will, in addition to his/her core programme related

functions be responsible for Planning, Knowledge Management and HR issues and a complement of

professionals including a Revenue Officer seconded from the Revenue Department to assist in

programme implementation (Details including the organisation chart of PMU are in Appendix 5 –

Institutional aspects and Implementation arrangements). The Programme will provide office

equipment such as computers and printers, photo-copying machine, internet facilities, office furniture,

office rent, training support for the staff, staff salaries and allowances, office-running costs, vehicles

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and vehicle hiring facilities and running costs etc. STSCDD will provide necessary office space. (For

detailed cost estimates, refer Table 4.1, WP-9) The programme will ensure provision of adequate

accident and medical insurance coverage for all contract staff at both PMU and MPA levels.

(ii) Programme Management at MPA level

76. OPELIP will be implemented in the field through the existing MPAs with the respective Special

Officer being overall in charge of the programme. The proposed organisational structure of an MPA

includes a Special Officer, who is a regular Government Officer; a Project Manager (on contractual

basis); a Junior Engineer (to be filled through either on secondment or on contract); a Junior

Agriculture Officer; one Accountant, one senior or junior Clerk cum Accountant; one Social Mobiliser

(on contractual basis); one Data Entry Operator and one peon. This staffing pattern may not be

appropriate in all cases as the MPA area coverage under OPELIP varies from 13 to 150 villages per

MPA. (Proposed MPA structure in shown in Chart-3, Appendix-5 and detailed cost estimates in Table-

4.2, WP-9). Many MPAs have limited or no connectivity by internet, phone or even roads which limits

their effectiveness. In this context, OPELIP will strengthen the capacity of these MPAs in three ways:

(i) strengthening the MPA with additional staff support; (ii) building the capacity of existing and new

staff through training, exposure, handholding etc; and (ii) improving the overall working environments

of the MPAs by office equipment, computer facilities with printers and internet through V-sats,

improving the office building and construction of new office buildings where needed and also

construction of camp offices, training and capacity building of the staff and provision of FNGO facilities

on continuing basis for each MPA.

(iii) Programme M&E and Knowledge management

77. The programme will make provisions for conducting baseline surveys, annual outcome surveys,

midterm review surveys, RIMS surveys, special studies, concurrent monitoring etc. Monitoring and

evaluation functions will be handled by the M&E team and the KM functions by the Manager-

Communications within the PMU under the guidance of the PD. The State Government has taken

several steps to address a number of key policy issues relating to the development of the tribal

population. Through the policy initiatives sub-component, the programme will support the

operationalizing these initiatives by: (i) providing a legal advocacy fund to assist tribal (in particular the

PTGs) and NGOs in pursuit of land alienation and restoration cases; (ii) establishing mobile squads

for detection of cases and enforcement of land restoration; and, (iii) funding of land surveying. The

programme will also provide funding for studies on key policy issues, dissemination of the findings

and engage in dialogue with the State Government on other unresolved policy areas. Detailed cost

estimates are in Table-4.3, WP-9.

D. Lessons learned and adherence to IFAD policies

(i) Lessons Learned from India Projects

78. Key lessons learned from IFAD projects in India are detailed in Appendix-3 and summarised

below:

Poverty can be effectively reduced through an empowerment process, which in turn requires investment in people’s institutions and in intangible assets. Each intervention should have an adequate implementation period, allowing sufficient time to establish and strengthen strong and sustainable grass-roots institutions.

The selection of qualified NGOs to undertake social mobilization activities is critical. Where highly capable local NGOs are not available, there is sometimes a need for national or regional Resource NGOs to undertake the role of mentor and trainer to the smaller local Facilitating NGOs. The process of selection of NGO partners needs to be completed promptly and without political interference. IFAD has been asked to participate as an observer in the selection process to ensure its fairness.

Developing livelihood opportunities for smallholder farmers and tribal communities in rain-fed areas requires broader partnerships that combine the competencies and resources of government, civil society and people’s organizations, and the corporate private sector.

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India allocates very large resources to agriculture and rural development through state and centrally sponsored schemes. Often these central schemes lack local level institutional mechanisms to deliver their services. IFAD projects, with their focus on building local level institutions often provide a perfect vehicle for delivery of central sector support. This so called “convergence” approach has proven highly effective in on-going IFAD projects, and significantly multiplies the impact of project interventions.

Undertaking fewer, focused projects with larger average loan size can contribute to lowering transaction and administrative costs for both the Government and IFAD and would permit greater attention to implementation support, learning and impact achievement.

(ii) Lessons from IFAD-supported tribal development projects (JTDP, CTDP and OTELP)

79. Key lessons from IFAD projects tribal development projects include:

Empowerment of Tribal community a prerequisite for poverty alleviation: Historically, tribal communities have been living in relative isolation. A distinct cause of their poverty in comparison to other poor communities is their inability to negotiate and cope with the consequences of their forced integration with the mainstream.22 This was effectively addressed through an empowerment process, which required investment in people’s institutions and these processes needed a long implementation period, allowing sufficient time to establish and nurture strong and sustainable grass-roots institutions.

Need for implementation in contiguous villages and Panchayats. JTDP used a watershed approach thus only parts of villages covered. As a result, the linkages with statutory Panchayat level schemes could not be established. This needs to be addressed by ensuring coverage of all villages in a selected Gram Panchayat and also selection of contiguous Panchayats for effective implementation.

Need for focus on Livelihoods Improvement: Promotion of livelihood activities is best done by mobilising the community into groups for shared services and aggregation along specific sector-activities, building capability to manage production, quality and marketing, and establishing necessary service and logistical linkages.

Financial service delivery: The SHG movement has helped tribal women to obtain credit for consumption-related activities and for establishing micro-enterprises. SHG members were able to get out of “debt traps” with money-lenders and improve family cash flow. But there is a limit to the impact of lending from internal group savings. SHG members needed larger-scale financing for establishing viable enterprises or income generating activities along with training.

Smooth counterpart funds flow needed: JTDS received funds from the State Welfare Department as a Treasury Advance based on the budget approved by the State Assembly. As a result, the programme had to provide all vouchers for verification to settle the advance before the next instalments were released. This led to substantial delay in release of funds, hampering programme implementation. It is necessary that the Government releases funds as grant-in-aid and agree for settlement of accounts based on utilisation certificates.

Need for capacity development of NGOs: JTDP engaged between 5 and 7 NGOs in each district, each working in clusters of 10 or more villages. Many could not employ competent staff due to limited budgets. It is necessary that there should be adequate budgets for engaging the services of NGOs. As there is a very high level of variations in capacities of NGOs, it is necessary to have a common strategy for training the NGOs in the programme context.

Building alliances of Gram Sabhas and Panchayats to make tribal laws work: JTDP had limited facilitation in enabling the Gram Sabhas and individual tribal beneficiaries to take advantage from various laws (such as FRA) enacted for the welfare and development of

22

The setting up of Scheduled Areas by the makers of the Indian Constitution and the later enactment of PESA as a separate

law for local self-governance in these areas as different from those applicable to other parts of the country is an

acknowledgement of this.

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tribal communities. Since Panchayat elections have been held, efforts should be in building strong alliances of Panchayats and Gram Sabhas for the benefit of tribal communities.

Need for fulltime Project Director and staff commitment: Both JTDP and CTDP got neither appropriate strategic direction nor established strong partnerships with the line departments due to the absence of a fulltime Project Director. This resulted in high staff turnover, in part due to a lack of management vision and in part due to the lack of HR policies. In this respect, OTELP’s performance has been better due to strong management and policy support, and continuity of management. Specific lessons learned from OTELP and incorporated in the design of OPELIP are summarised in Annex-1, Appendix-3.

(iii) Impact of OTELP

80. The impact of OTELP identified by an impact assessment study commissioned by OTELP23

in

2008 indicated substantial improvement in the overall well being of the participating households.

These included: (i) Increase in the average household incomes of the tribal households; (ii) About 18

percent of BPL households moved out of poverty; (iii) about 25 percent of these households,

indicating > 30 percent increase in income from agriculture; (iv) gradual reduction of out-migration of

the poor as well as very poor households; (v) significant reduction in the population dependent on

moneylenders as the primary source of credit from 37% to 15%; and (vi) higher level of gender

empowerment index 34 out of 100 compared to 23 in respect of control group. According to another

study24

conducted in 2011: (i) area under irrigation increased by 162% from 18 ha to about 47 ha per

VDC and overall cropping intensity increased by 22%; (ii) productivity of rain-fed paddy increased by

79%, that of maize and finger millet by 40% and pulses by 46%; (iii) in most cases double cropping

was possible and cash crops like vegetables, banana, lemon grass, groundnut and sunflower were

introduced; and (iv) average household incomes was INR 43,790 and this had significant bearing on

the reduction in out-migration from 18% to 4%. The study also indicated that water levels in wells

increased, leading to expansion in irrigated area and increased availability of water for domestic use

and livestock (but no quantified data were available). Malnutrition status across 12-23 month aged

children becomes central to the reduction of malnutrition among children and the findings showed a

significant difference in the below -3SD and -2SD figures of National Fifth Health Survey-III (NFHS-III)

and Project areas: {(-3SD 26% NFHS, and 23% Project) (-2SD 54% NFHS, 53% Project)}. There was

a significant difference of around 10 percentage point in 12-23 month age groups on the measure of

stunting. See Appendix 3: Country Performance and lessons learned.

Adherence to IFAD policies

81. The overarching goal of IFAD's strategic framework 2011-2015 is: enabling poor rural people to

improve their food security, raise their incomes and strengthen their resilience by building profitable

farm and non-farm enterprises that are sustainable and well integrated into local, national and global

value chains, and that can generate opportunities for wealth creation and employment in rural areas.

This is underpinned by four objectives: (i) a strengthened and more resilient natural resource and

economic asset base for poor rural women and men; (ii) enhanced access to a range of services for

poor rural women and men; (iii) strengthened capabilities (of both individual rural poor men and

women and their organizations) to take advantage of new opportunities; and (iv) improved institutional

and policy environments for the rural economies in which IFAD operates. OPELIP is fully in line with

this framework, focusing on profitable enterprises and value chains, as well as the resilience of the

natural resource base. OPELIP is also fully in line with both the strategic objectives of the IFAD

COSOP for India: (i) increased access to agricultural technologies and natural resources; and (ii)

increased access to financial services and value chains. It is also directed to one of the main target

groups identified in the COSOP – indigenous tribal groups. The programme design strongly adheres

to IFAD policies for poverty, targeting and gender, indigenous peoples, climate change, scaling-up,

good governance, and environment. Details are presented in Appendix-12.

23

Impact Assessment of OTELP in 2009 by Sambodhi Consultants, Bhubaneswar 24

Impact Assessment of Land and Water Management Interventions in Phase-I Areas of OTELP by the Overseas Projects and

Services Ltd, Bhubaneswar published in 2012.

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Programme implementation

A. Implementation Approach

82. The approach to programme implementation includes: (i) awareness generation; (ii) facilitating

grass-roots institutional development; (iii) supporting grassroots planning and implementation; (iv)

ensuring flow of resources to the PTG communities through their institutions; and (v) involving NGOs

in capacity building and awareness creation and also for the delivery of services as key service

providers. The implementation will be on the basis of inclusive approach and this would mean that all

communities and households residing within selected villages will form the target groups but special

emphasis will be given to the development of PTGs.

83. The programme will adopt a flexible, non-prescriptive, process-oriented approach to enable the

primary stakeholders to determine the scope of programme activities, and their timing, pace and

sequencing. The programme will mobilize and nurture capacity of community-based organizations in

each of the programme village to prepare and implement a VDP. A gradual and phased approach will

be adopted to ensure capacity building of the PTGs to take over implementation of activities.

Necessary systems and processes will be built to allow for handholding, supervision and evaluation of

performance.

B. Organizational framework

Executing Agencies

84. At national level the Department of Economic Affairs, Ministry of Finance, GoI will be the nodal

agency for this programme and the Ministry of Tribal Affairs, GoI will be involved for overall policy

guidance. At the state level, the STSCDD will be the Lead Programme Agency responsible for the

functions relating to planning, funds flow, monitoring and evaluation, gender mainstreaming and

knowledge management. A Programme Management Unit (PMU) set up within the STSCDD will have

overall responsibility for the day-to-day management of the Programme. Overall programme

management structure is shown in Chart-1, Appendix 5: Institutional Aspects and Implementation

Arrangements.

Management and Coordination Structure

85. Two broad principles will govern the management and coordination structure for OPELIP: (i)

strengthen the capacity of existing systems, especially the MPAs, rather than create alternative

systems; and (ii) recognise that extreme remoteness has a bearing on the availability of staff with

requisite qualifications and experience and, therefore, adopt a flexible approach in staffing. The

Special Officers currently in charge of the MPAs will be in charge of the OPELIP implementation at the

MPA level.

86. The programme management has been designed based on lessons from OTELP and other

IFAD-supported projects in India. The teams at PMU and MPA level will be a mix of government staff

on secondment and contractual staff from the market. The ongoing IFAD-supported OTELP will

provide assistance (technical, administrative, organisational) in the establishment of the PMU and

strengthening of MPAs in the beginning. The existing multi-purpose workers numbering about 80 and

who are currently engaged by some of the MPAs will be hired as CRPs by the NGOs. Hiring of staff

will be in a phased manner and need-based.

87. To ensure sustained attention to nutrition, staffing would be at three levels: (i) community

workers, primarily drawing on available government functionaries such as the ICDS teacher, ASHA

didi, or residential school cook or warden; (ii) a home extension agent (who will coordinate closely

with agricultural extension support) or social mobiliser to oversee community activities at MPA; and

(iii) a nutrition and gender specialist as part of the PMU team.

88. The Programme Director-OPELIP (PD-OPELIP) will report to the Secretary STSCDD whereas

the staff of the PMU will report to the PD-OPELIP. The Special Officer at MPA level will have a dual

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line of reporting- s/he will report to the District Collector (who is the Chairperson of their PMC) for

planning and facilitating implementation, and to the PD-OPELIP for administrative purposes and for

overall guidance.

89. OPELIP will be reviewed at the highest level by the Programme Steering Committee (PSC)

once a year and the Programme Management Committee (PMC) at least twice a year. In addition,

programme progress and outcomes will be reviewed during biannual Tripartite Project Review

Meetings, which are organized by DEA and IFAD and attended by Project/Programme Directors of all

IFAD-supported projects/programmes in India. IFAD will organise at least one Supervision Mission

every year to assess progress and provide support to enhance performance.

Programme Management

90. Programme Management: The Programme Management has been described in detail under

Programme Component 4 above. Key features being: (i) there should be a full-time Programme

Director preferably from the Indian Forest Service, who is supported by full-time staff members; and,

(ii) each MPA continues to be headed by Special Officers but at least with a minimum of three

continuous years of service and each MPA to be substantially strengthened both by additional human

resource and office facilities.

91. NGOs: The programme will engage an NGO for each MPA which is capable of implementing

the programme interventions in the area. The selected NGO will engage a multidisciplinary technical

team to support field level implementation. The role and responsibilities of the facilitating NGO will be

spelled out in a memorandum of understanding (MOU) to be entered into between the PMU and the

NGO, in a form and substance approved by the State Government and IFAD. The proposed

organizational chart of NGOs for programme implementation is provided in Chart-4, Appendix-5. The

programme will also engage the services of specialist technical NGOs with proven capacity who have

experience of working in Odisha in the tribal and/or PTG areas, such as REACH India (for capacity

building across all MPAs) and “LANDESA” for land survey and allocation related activities.

92. The salient features of the NGOs to be selected would be detailed in the Project Implementation

Manual (PIM) but broadly include: (i) experience of working in the tribal districts of Odisha; (ii)

experience of working with OTELP will be preferred; (iii) minimum five years of experience in working

in community empowerment, SHG mobilization and natural resources management; (iv) experience in

implementing projects funded by large donors with preference for multilateral and government

projects; (v) availability of at least five professionals specialized in community empowerment, SHG

mobilization and natural resources management fields on long term basis (min 3 years) with the

organization; and (vi) availability of up to date audited financial statements with a yearly resource

generation of at least INR 5.00 million

93. Livelihoods Resource Agencies (LRAs): The programme will engage LRAs to mobilise

households into Producer Groups and Livelihood Collectives. LRAs with competence to handle

activities related to aggregation, value addition and marketing in respect of various sub-sectors will be

recruited by the programme.

94. Other Government Departments: OPELIP will work closely with a number of State Government

departments and agencies such as Agriculture, Health, Women and Child Development, Forestry,

Rural Development etc. The programme will facilitate convergence of the programmes/ activities of

various departments through the MPAs. In view of the importance of nutrition, the Department of

Women and Child Development will post a staff to work under the Special Officer, responsible for co-

ordinating/ implementing nutrition related activities.

95. Village level structure: A Village Development Association (VDA) will be established in all MPA

villages and each such VDA may have about 30 to 60 households with one male and one female

representative from each household as members of the VDA. In some cases 2-3 small villages have

to form a VDA in the event these villages have fewer or inadequate number of households to organise

themselves in to a VDA. VDAs will set up a VDC and these VDCs will be responsible for

implementation of natural resource management and livelihoods related activities. For each VDA,

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there will be one VDC secretary and one CRP who will be selected from within the PTG communities.

Provisions will be made for the NGOs to bring on board technical experts to work in the field in

particular for microfinance and agriculture support.

Programme coordination and convergence

96. A Programme Steering Committee (PSC) will be established under the chairmanship of the

Chief Secretary (or alternate), GoO with representations from key line departments, District Collectors

of programme districts, independent development experts, a representative from a reputed Bank, with

the Commissioner cum Secretary of STSCDD as the member secretary, for effective governance and

to provide overall policy guidance to the programme. The PSC will review the progress of the

programme and ensure that its activities are coordinated with other development efforts in the state,

especially with the key line departments (Forest, Women and Child Development, Rural Development,

Agriculture etc).

97. In addition, at the State level, there will be a Programme Management Committee (PMC) with

the Commissioner cum Secretary, STSCDD as the Chairperson and PD of OPELIP as the Member

Secretary. The members will include Secretaries (or their nominees) of the Departments of Revenue,

Finance, Forest, Panchayati Raj, Rural Development, Women and Child Development and Planning

and Co-ordination along with Additional Secretary, STSCDD and Director, TRI. The PMC will meet

quarterly and be responsible for all management decisions for effective programme implementation,

including approving the Annual Work Plan and Budget.

98. At the MPA level a District Programme Implementation Committee (PIC) will be set up under the

Chairmanship of the District Collector with representation from ITDA, Forestry Department, and

NGOs, with the Special Officer of MPA as the member Secretary to approve AWPB, review

implementation progress and facilitate coordination with other line departments. The PIC will facilitate

convergence and co-ordination with relevant departments and schemes of the government.

Implementation Arrangements

99. Detailed implementation arrangements are provided in Appendix 5 - Institutional aspects and

implementation arrangements with implementation sequence in Chart 5, implementation

arrangements in Chart 6, roles and responsibility matrix in chart 7 and implementation phasing in

Chart 8.

100. Capacity building: Lessons regarding training and capacity building from the experience from

IFAD projects in India and elsewhere in Asia25

include the following. (i) Results of mass training

programmes, covering many thousands of rural people, have been generally disappointing. Reaching

ambitious numerical targets requires a huge effort and becomes the focus of programme

management, and quality is sacrificed. (ii) Post-training follow-up is a key factor in adoption of

technologies and skills learned in training courses. (iii) Top quality training is well worth the extra cost

- this may involve hands-on practical learning, good trainers (including farmers who have done what

they are now teaching), and training from top institutions. (iv) Capacity Building and skill development

can take place through a number of routes, and does not always need to involve formal training

courses.

101. Under OPELIP, capacity will be built for community members in the following ways: (i) day-to-

day contact with programme staff, NGO staff, and, technical service providers; (ii) day-to-day contact

and mentoring by CRPs and Social Mobilisers; (iii) contact with other government service providers

(ICDS, health etc); (iv) viewing of videos produced for knowledge sharing; (v) participation in

knowledge sharing and review meetings at the village and district levels; and, (vi) utilisation of mobile-

phone based information systems; etc. Additional capacity building will be provided for programme

staff via: (i) contact with other staff, especially technical experts at PMU; (ii) contact with other

agencies, especially GoO line departments; (iii) contact with agencies in other states and countries -

25

in particular see Bangladesh: Evaluation of Training Provided by Projects, E Mallorie and N Sardar, IFAD Case Study, 2011

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this may be partly facilitated by IFAD, and include contact with IFAD supported projects/programmes

in other states as well as other good practice models; and (iv) technical manuals and other materials.

Table 2: Role and Responsibility Matrix

Delivery

Agency

Functions Capacity Training requirements

addressed in PDR

PMU Overall Planning, coordination and

management. Fund flow and

financial management.

Supervision of MPAs.

Monitoring and Evaluation

Knowledge management.

New establishment and

competent human resource

will be recruited

Training in project concepts and

orientation.

Procurement and financial

management training.

Exposure visits

MPAs Field level planning, coordination

and management.

Funds flow and financial

management at the field level.

Supervision and technical support to

NGOs.

Coordination for convergence with

other government departments.

Monitoring and knowledge

management.

Weak management

capacity and addressed

through staff restructuring

and engagement of

competent staff.

Field level presence and

experience dealing with

PTG.


orientation.

Training on SHG mobilization

and financial inclusion.

Training on VDP preparation.

Training on natural resource

management.



Exposure visits.

LANDESA

(NGO)

Survey of land ownership of PTGs

and facilitation for land allocation.

Well experienced in land

allocation activities under

OTELP

Training of CRPs for survey and

identification of land under

occupation/cultivation by PTGs.

NGO Field level implementation

SHG and GPLF mobilization and

establishing savings and credit

systems.

VDA/VDC formation, VDP

preparation and facilitating VDCs to

implement VDPs.

Availability of NGOs with

capacity to implement

NRM, savings and credit

and rural infrastructure

activities.


orientation.





management.

VDA/VDC Preparation of village plans and

their implementation

Homogeneity within the

community

Training in VDP preparation and

VDP implementation

CRP and CSP training

TDCC Support for aggregation, value

addition and marketing including

promotion of producer collectives.

Support for haat bazaar

improvement and implementation of

minimum support price.

Authorized to implement


Experience in promoting

producer collectives.

Training and exposure visits

related to promotion of producer

collectives.

Livelihood

resource

Agency,

NGO

Facilitate the PTG and handhold

promotion of producer collectives

Agencies with experience

available in the programme

area

Agencies with core strength in

producer collective promotion

will be engaged.

102. Community empowerment component: The activities related to VDA mobilization, VDC

formation, SHG mobilization and capacity building of SHGs will be undertaken by the programme

engaged NGOs. Staff capacity at the level of NGOs will be strengthened with the trainers’ training

programmes. NGOs will engage one CRP for every two villages. This CRP will be the focal person for

land, water, livelihood, health, nutrition and education related activities. NGOs will also engage CSPs

to provide services to the community.

103. Promoting SHGs and Rural Finance: NGOs will be responsible for sub component

implementation including GPLF formation and strengthening, revival/mobilisation of SHGs, training of

SHG members, facilitating SHGs to implement social sector activities, facilitating flow of VRF, CIF to

GPLF and implementing the loan monitoring system. The Rural Finance Manager at the PMU will be

overall responsible for the implementation of the sub-component. The Livelihood and Rural Finance

mobiliser of each NGO will be primarily responsible for implementation at the level of each MPA. The

social mobilisation officer of the MPA will provide appropriate administrative support for

implementation and will also be operating the automated MIS to lessen the burden of book keeping on

SHGs and GPLF. Training institutions will be engaged for providing the training of trainers’

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programmes. CRPs – one per Gram Panchayat will be engaged for the implementation of the sub

component in the villages.

104. The broad functions of the GPLF will be to: (i) spearhead the formation and functioning and

monitoring of SHGs; (ii) provide training, book-keeping, auditing services to SHGs to function

vibrantly; (iii) promote dal poshak (pulses) bank, seed bank, facilitation for Banking Correspondent to

reach out to the villagers; (iv) management of VRF and CIF provided under OPELIP in compliance

with NRLM norms; (v) collective marketing of NTFPs and other produce; (vi) awareness raising and

training on adoption of better nutrition, sanitation and hygiene practices, addressing alcoholism,

drudgery reduction; (vii) improving access to relevant Government schemes and entitlements; and

(viii) grooming members to effectively participate in various institutions like VDA, Palli Sabha and

Gram Panchayat. The GPLF will be registered under the Societies Registration Act or other suitable

legal form. NGOs will facilitate setting up of accounting and loan monitoring systems for each GPLF.

The CRPs will be responsible for all work related to SHGs and rural finance.

105. In order to ensure common understanding on the strategies and approach to GPLF and SHG

development, an exposure visit cum harmonisation workshop will be conducted at the beginning of

the programme for all key functionaries. This will be followed by Training of Trainers (TOT) for field

functionaries on SHG mobilisation and other related topics. The training modules following the

methodology of learning by conversation will largely be followed. This methodology adopts adult

learning principles, is interactive, suited for illiterate groups and enables retention of training lessons.

106. Once the capacity of field functionaries is built, they will become the trainers for conducting

training programmes to the participating households. NGO staff and CRP GPLF will attend meetings

of the SHGs and train the members on various aspects related to SHG mobilisation and

empowerment issues. In addition, CRP GPLF will provide support for maintaining the books of

accounts of SHGs. This completely eliminates additional costs to conduct grassroots training and also

enables training of every member of the SHGs. For any training conducted out of the village the

members will be compensated for a day’s wage.

107. The GPLF along with the village health and education committee of the VDA will take up the

following initiatives to improve health and nutrition practices: (i) promote “dal poshak” banks which will

work on the principles of grain banks to improve protein intake of the households; (ii) enrol families

for health insurance such as Rashtriya Swasthya Bima Yojana26,

Biju Krushak Bima Yojana27

; (iii)

orient and promote institutional delivery and care of children; (iv) spread through local theatre and

drama key messages on nutrition, health, girl education, issues of early marriage and promotion of

savings; (v) provide systematic awareness and knowledge for mothers, adolescent girls and boys in

schools, anganwadi workers and ASHA workers, nutrition and need for providing nutritional food for

children in the 1,000 day window; (vi) provide incentive for marriage after 18; (vii) training on

preventive and post occurrence care for malaria; (viii) monitor mother and infant feeding through

anganwadi in convergence with DWCD; and (ix) promote kitchen gardens in the homestead land with

a variety of vegetables and fruit crops.

108. Nutrition awareness and education will be routed through the women’s SHGs. The programme

would build capacity among groups to ensure that their savings is used wisely (say, through nutrition

education or training in family budgeting) and that they welcome and adopt activities that promote

good nutrition, such as crop diversification and small business development for nutritious crops.

109. Natural Resources Management component: NGOs and CRPs are the main implementation

partners to implement natural resource management, health and nutrition, and income generating

activities. VDCs will facilitate identification of the beneficiary households and CSPs to receive training

and support. Funding for implementation will flow to the communities based on the approved AWPB.

LANDESA is a NGO with the domain knowledge of mapping land according to its classification as per

government prescribed categories with the help of village youth whom they train as Community

26

A Universal health insurance scheme for the benefit of BPL households, Government of India 27

Health insurance of Government of Odisha for farmer households

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Resource Persons (CRPs). The PMU will enter into an agreement with LANDESA to prepare three

sets of maps as follows: (i) a detailed cadastral maps of each programme village with due reference to

a landmark, delineating ownership, present usage and occupant and revenue category, authenticated

by the competent revenue officials in the district, (ii) a map of forest land in all categories of forests

that village people are using for shifting or settled cultivation, including the name of the occupant to

facilitate obtaining individual titles under FRA, and (iii) a map of forest land that the village has been

traditionally using to facilitate obtaining community title under FRA.

110. The MPA and PMU will facilitate support from the revenue and forest officials at the district and

sub-district levels to LANDESA in demarcating categories of land and will ensure availability of

existing revenue maps of each village. Implementation in remote villages should be taken up early so

that land development work can begin and people can begin to earn wages. The Revenue Officer in

the cadre of a Deputy Secretary seconded from the Revenue Department, GoO will be responsible for

coordinating this activity with the NGO, LANDESA.

111. The programme will support an Action Research and Extension Programme to be taken up by

OUAT. The PMU will sign a MoU with OUAT for a five year period for this purpose. OUAT will operate

through their existing field based Research Stations and the Krishi Vigyan Kendras (KVKs) operating

in the region.

112. Planning and implementation of NRM activities will be carried out by the VDCs with technical

support from the NGO responsible for the MPA area. All plans will be prepared with full participation of

the households benefiting from specific NRM activities. The NGO will assist the VDCs in procuring

inputs and materials to be procured from outside, such as pipes for irrigation, saplings for horticulture

and any construction materials not locally available. The VDCs will present detailed accounts of all

activities carried out in the VDA every quarter.

113. Livelihoods improvement sub-component: The NGOs will select the CSPs for training in

agriculture, poultry and goat rearing related activities. Once the CSPs are trained, NGOs will facilitate

establishment of demonstration units with these CSPs. The demonstration units will be owned by the

CSPs and it is expected that the income from this intervention will provide required financial strength

to the CSP to continue other activities in the village.

114. Homestead level interventions mostly suffer from lack of provision of support services. In

respect of both poultry and goat rearing, the issues related to universal vaccination and better

management practices have not received adequate attention. This will be addressed through CSPs.

Once the demonstration models with CSPs become operational, interested households will be

identified and a plan for supporting these households will be prepared and submitted to the VDA

through VDC. Once this plan is approved, the same will be incorporated into the AWPB for

implementation. Thereafter, the selected households will be trained in the demonstration units.

115. The livelihood models to be scaled-up require domain expertise and hands-on experience. The

Tribal Development Cooperative Corporation (TDCC) will engage Livelihood Resource Agencies

(LRAs) that have necessary domain knowledge and implementation experience in the respective sub-

sector. Hence, the livelihood collectives will start with aggregation and marketing and thereafter move

into a sub-sector based scaling up.

116. TDCC will be the implementing agency for the marketing support intervention. It will identify the

haat bazaars for development taking into account the haat bazaar land ownership and management

rights. TDCC will engage architects to make plans for comprehensive development of the haat

bazaars. Thereafter, approved plans will be handed over to the ITDA concerned for construction of

haat bazaars. At the same time, TDCC will also make plans for identification of SHGs for procurement

of minor forest products (MFPs), build their capacity and provide working capital for procurement of

MFP. TDCC will also set up a system of procurement of MFP from these SHGs by establishing a

procurement unit within the haat bazaar. In addition to this TDCC will also establish a management

and maintenance system for the redeveloped haat bazaars.

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117. MPAs with the support from the partner NGO will implement activities related to vocational

training. NGOs will provide a list of suitable organizations for training. MPAs will coordinate with PMU

and other agencies in the state involved in vocational training and identify suitable training institutes

for sending the selected boys and girls.

118. Community infrastructure and drudgery reduction component: MPAs will be the main

implementing agency. MPAs will implement large construction works by allocating these construction

tasks to ITDAs. In case of small infrastructure not requiring detailed design, MPA will either use force

account procedures or allocate the task to VDCs to undertake the activity as a part of the VDP. The

activities related to drudgery reduction will be implemented as a part of the entry point activities and

also as a part of the VDP. MPAs will be responsible for implementing entry point activities. VDCs in

collaboration with NGOs will take up implementation once VDAs/VDCs are established and their bank

accounts opened. Key institutions involved in the implementation of Community Infrastructure

components are given in Table below.

Agency Key Responsibilities for implementation

Public Works Department Roads and buildings and also their maintenance

Rural Development Department

(Rural Works & Rural Water Supply &

Sanitation)

Buildings, community centres

Rural water supplies, bore-holes, piped water supply, rural roads, including PMGSY

roads, and bridges, etc

Panchayati raj Department Rural Housing; CC Roads

Directorate of Soil & Water conservation All soil and water conservation works including water harvesting structures, check

dams, weirs etc

Minor irrigation Department Small-scale irrigation works

ITDA and MPA All categories of infrastructure interventions within their areas of operation.

Education Department School buildings, hostels etc

Women & Child Development Department Anganwadis

C. Planning, M&E, learning and knowledge management

Planning

119. Planning at the Village Level: The planning process will be initiated with the community at the

level of the natural village (or habitat, referred to as Palli) with the support of the NGO and respective

MPA. The preparation of the VDP may be ideally concluded within six months of formation of the

VDA/VDC. On the basis of the VDP, an AWPB will be prepared each year by October-November by

each VDA and sent to the respective MPA (a model VDP framework and AWPB will be provided in the

PIM).

120. Planning at the MPA level: The planning process at MPA level will essentially be consolidation

of the AWPBs from all the VDAs plus the incorporating of the AWPB related to activities for direct

implementation by the MPA. The AWPM would be forwarded to the PMU after approval by the PIC

headed by the District Magistrate and Collector. This exercise should ideally be completed by second

half of December every year. This process is detailed in Appendix 6: Planning, M&E, Learning and

Knowledge Management.

121. The PMU will consolidate the AWPBs from all the 17 MPAs preferably by December of each

year. The PMU will add other project management costs including budget for M&E and KM related

activities. The PMU will request STSC Development Department, GoO to make budgetary provisions

for the programme based on the estimates. PMU will send the AWPB to IFAD along with a

procurement plan for review by end of January each year. Based on the observations made by IFAD,

the PMU will finalise the AWPB for approval by the State Level Programme Management Committee

(PMC) chaired by the Secretary, STSC Development Department, GoO. The approved AWPB would

be used for reviewing performance and progress of the programme. Also see Para # 142 and 144.

Monitoring and evaluation

122. The Monitoring and Evaluation system of OPELIP will collect data and information to measure

performance and progress towards achieving objectives, and be a learning tool to provide information

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for critical reflection on project strategies and operations. It will support decision-making at various

levels and be a basis for results-based management. It will enable the programme to report to

Government and IFAD on its progress, results and impacts.

123. The participatory M&E system of programme progress will begin at VDC/VDA/village level, data

being collected by MPAs and NGOs on a monthly basis. The project will develop a learning system by

organising monthly/quarterly internal review meetings at the village/habitation, MPA and at the PMU. It

will develop an automated Management Information System (MIS) for analysis of data collected at the

village, habitation, Palli Sabha on a monthly basis to produce monthly/quarterly/half-yearly and annual

reports on physical and financial progress based on annual and total programme targets as reflected

in the programme AWPB. The M&E unit established at the PMU will take overall responsibility in

discharging the M&E functions of OPELIP. The half-yearly and annual reports will also contain

sections on analysis, interpretation and recommendations from process monitoring, lessons learnt

and best practices.

124. M&E would be guided by an M&E framework (which will detail what information/data to be

collected and how) as set out in the M&E plan (see Annex 1 and Annex 2, Appendix-6). The M&E unit

at the PMU will also undertake or support an M&E agency in monitoring of programme outcomes and

impacts, including undertaking Annual Outcome Surveys (AOS) and preparing Results Impact

Management System (RIMS) reports as per IFAD’s guidelines. The PMU will produce consolidated

annual/half-yearly reports on programme progress and results, and coordinate overall learning and

knowledge management.

125. The basic M&E framework is a system to collect analyse and report on data at three different

levels of programme implementation: (i) outputs; (ii) outcomes; and (iii) impact.

126. Output monitoring will measure the progress of activities and achievement of outputs against

annual targets in the annual work plan (AWP) for each programme component. Information on the

progress of the annual work plan will be measured against indicators in the plan, such as number of

VDC formed/supported, number of VDP prepared, numbers of people trained, numbers of SHGs

formed, and number of members in each group, length of irrigation canal constructed, area of land

irrigation, and so on. This can be linked to the financial expenditure on the concerned activities, and

data will be stored and report via a computerised Management Information System (MIS). Physical

and financial progress data and reports for each component and sub-component in each village will

be recorded in a computerised MIS. Wherever necessary, data will be collected disaggregated by

gender and social groups (STs, PTGs, SCs), particularly those related to training and access to

services (refer to RIMS 1st level results reporting requirement).

127. Outcome monitoring measures the immediate changes coming about as a result of

programme interventions. The outcome indicators to be monitored are outlined in the programme

logical framework. Outcome monitoring (for example number of households reporting reduced soil

erosion, adoption of improved methods or increases in sales of commercial crops, etc.) would be

achieved through Annual Outcome Surveys (AOS), with the interviewing of a sample of 200 to 400

farmers and households to gather data on indicators such as those listed above. An AOS may also

be carried out on a thematic basis in order to focus on a specific area of programme intervention,

such as NTFP-based enterprises created as a result of programme intervention and facilitation.

128. Related to outcome monitoring is process monitoring, which involves monitoring the processes

leading to outputs and outcomes. Specific areas where process monitoring will be useful in OPELIP

include effectiveness of SHG savings and lending, provision of technical and other support services,

and the functioning of community organisations. Information on these may be gathered via

participatory M&E (see section below on knowledge management and learning), as well as from the

records of community organisations. In OPELIP, where a high percentage of programme participants

are illiterate, audio-visuals would be one of the most effective process monitoring tools. Videos could

be made in local dialects/vernacular and shown in villages to disseminate key information and

messages. In addition, the Programme will undertake specific studies related to women’s

empowerment, community natural resource management, and benefits of programme services for

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disadvantaged groups such as landless households. Information on the effectiveness of training will

be assessed via KAP (Knowledge, Attitude and Practice) surveys carried out each year.

129. Impact evaluation is the process which will assess the contribution of OPELIP in achieving the

overall goal and objective of the programme. It will consist of baseline, mid-term and end-of-

programme surveys. This survey will be coordinated by the PMU M&E unit and contracted to an

external agency, with specific expertise in such assessments. Information to be collected will include

the impact level indicators of IFAD’s Results and Impact Monitoring System (RIMS). These include

mandatory ‘anchor indicators’ relating to household assets, food security and child malnutrition

(anthropometric data of children under five years of age). Other indicators of poverty will also be used,

such as quality of housing and sanitation, drinking water availability, cultivation, asset ownership, etc.

Data will also be collected to relate changes in all these indicators following participation in

programme activities and delivery of programme outputs. ToR for this survey will be in the draft PIM.

130. RIMS indicators: The Results and Impact Monitoring System (RIMS) of IFAD generates annual

report tables on a number of first and second level results indicators that correspond to the output and

outcome indicators. IFAD has produced a standard list of these indicators, but only some of these will

apply to OPELIP. Prior to mid-term review, the programme will report on only the first level results,

but after the mid-term it will report on second level indicators. These second level indicators are used

as evidence to support ratings of the effectiveness and likely sustainability of each component or

activity. The third level RIMS results are the anchor indicators used for impact assessment. OPELIP

will undertake baseline (PY 1), mid-term (PY 4) and end-line (PY 8) impact studies to capture RIMS

impact indicators.

131. OPELIP will establish a computerised MIS system preferably in the first year of programme

implementation. The M&E unit at PMU will develop common reporting formats to be used by all the

MPAs and NGOs for varying activities so that there is no discrepancy in the reporting of data on status

of progress of programme activities. All data would be gender disaggregated. Monthly, quarterly and

annual reports including RIMS reports would be produced. For IFAD corporate reporting, six monthly

and annual project progress reports, and annual RIMS reports are required.

132. Mid-Term Review Report (MTR): IFAD in cooperation with the Government will undertake a

mid-term review by the fourth year of the programme lifecycle to review programme achievements

and implementation constraints including issues relating to loan administration and financial

management. Any corrective measure would be addressed at MTR. A mutually agreed action plan will

be prepared based on the MTR findings. IFAD may appoint, in consultation with the Government, an

external agency to evaluate the impact of the programme if necessary.

133. Programme Completion Report (PCR): As the programme reaches completion point, the

PMU would prepare a draft PCR based on IFAD’s Guidelines for Programme Completion. IFAD and

the Government will then carry out a Programme Completion Review based on the information in the

PCR and other data. This review is usually done during the intervening period between the project

completion and closing dates.

Learning and knowledge management

134. Learning system: The programme learning system would comprise of monthly, quarterly and

annual review meetings, capturing information on progress, lessons and finding solutions for

implementation constraints. KM and lesson learning would be used as a tool for internal learning by

programme stakeholders such as staff of various implementing agencies, participating villagers and

farmers, both women and men. This will involve a series of regular meetings at village/cluster, MPA

and state levels. At these meetings, progress of programme activities will be reviewed and reasons

for success and failure identified. Participatory tools such as “most significant change”, “story telling”

and “participatory monitoring and evaluation” (PME) may be used at these meetings.

135. OPELIP will also use audio-video systems to disseminate information from farmer to farmer and

village to village. OPELIP will be encouraged to learn from KM culture and practices of OTELP

(including use of technical manuals prepared and tested by OTELP) and also participate in the Digital

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Green programme or learn from it for amplification of knowledge through combination of technology

and social organisation for community transformation.

136. Another key aspect of knowledge management is dissemination and communication of

knowledge and lessons to internal and external stakeholders. OPELIP will support this via: (i)

provision of village information kits – a set of programme related information, (ii) production and

printing of posters and leaflet sin local languages, (iii) production of audio visuals& videos for training,

capacity building, knowledge dissemination particularly among the communities, (iv) editing and

design of programme publications aimed at external audience, (v) printing of communication

materials, (vi) creation of an OPELIP website with information on the programme and the results

obtained including active participation in the IFAD Asia website, (vi) publicity and communication

videos, and (vii) an annual high level knowledge sharing event aimed at sharing results and

influencing policy, while also actively encouraging staff of PMU, MPAs and NGOs to document field

stories as often as possible in various thematic areas.

D. Financial management, procurement and governance

Fiscal Space of State of Odisha

137. The State Government is not facing any debt crisis28

because the fiscal deficit is in a

manageable position of 0.35 per cent of GSDP and most of the indicators of debt sustainability are

positive. During the three year period 2008-11, debt stabilization consistently remained positive

resulting in a continuous decline in debt/GSDP ratio from 32 per cent in 2008-09 to 23 per cent in

2010-11. This is a positive sign that debt is tending to be stable. The incremental non-debt receipts of

the State had been able to meet the incremental interest liabilities and incremental primary

expenditure during the period 2008-11. The negative resource gap during 2008-09 and 2009-10

turned positive during the current year. As far as the burden of interest payment is concerned, the

state is in a comfortable position because the ratio of interest payment to revenue receipts is 0.09.

See Appendix-7.

Financial Management Arrangements

138. Financing of the Programme: The Programme will be funded through IFAD financing, GoO

counterpart financing from State budgetary resources, funds from Article 275(1) Special Central

Assistance to Tribal Sub-Plan, funds from the Conservation-cum-Development Fund (CCD) and

beneficiary contributions. The resources from GoO (including funding from the GoI) will be clubbed

together as counterpart funding at the programme level, though the programme will track each of the

components of the counterpart funding separately for reporting purpose.

139. Programme implementation. The programme will be implemented in 17 MPAs covering 12

districts of the State. There are 17 separate MPAs, registered as Societies. The MPAs are separate

legal entities, which are governed by their respective Memorandum of Association. When the Finance

Manual and reporting formats are finalised, these will have to be approved by the respective

Governing Bodies for compliance. The Finance Manual and reporting formats should also be sent to

Ministry of Tribal Affairs, GoI for information.

140. Subsidiary Agreement. As the Government funds and IFAD financing are transferred to the

implementing agencies, through PMU of STSCDD, the PMU will enter into a Subsidiary Agreement

with each of the MPAs. Among other things, the provisions of the Subsidiary Agreement should

include (i) The MPAs declare its commitment to the goal and objective of the Programme and, in

furtherance of such goal and objective, they shall undertake to carry out the Programme in

accordance with the Financing Agreement and with the Programme Agreement; (ii) preparation of

annual plan and fund flow arrangements (iii) physical and financial reporting requirements (iv) auditing

and submission of Programme Financial Statements (v) adherence to IFAD Procurement Guidelines

28Source: CAG Audit Report on State Finances for the year ended 31

st March 2011

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and approved Procurement Plan; (vi) using bank interest earned for eligible expenditures and (vii)

applicability of IFAD Policy on Fraud and Anti-corruption.

141. Staffing. While a Finance Manager and an Assistant Manager will be appointed in the PMU, in

each of the 17 MPA an accountant will be appointed. All positions will have clear job descriptions

outlining duties and responsibilities.

142. Budgeting. During the programme implementation, the PMU will consolidate the annual work

plan and budget including the annual action plan for CCD of the Micro Projects and submit the

consolidated AWPB to the PMC for approval. After PMC approval and IFAD’s concurrence, STSCDD

will incorporate the budget approved net of beneficiary contribution and other funds from the GoI as a

line item in its budget for legislative sanction. STSCDD will also submit the AWPB for the funds from

the GoI to the Ministry of Tribal Affairs for accessing the funds at least 2 months before the start of the

programme year. Once approved, the annual budget shall be input in Tally, managed and monitored

using the software. The funds will be transferred to the PMU on non-lapsable basis and the funds for

implementation of planned activities will be transferred to the MPAs as Grant-in-Aid. While transferring

the Grant, details of the share of each of the funds to be specified, for effective tracking of utilisation.

PMU, OPELIP will adopt sound fund management practices so that adequate funding is available to

the MPAs for each quarter.

143. Disbursement arrangements and Flow of Funds. IFAD financing to the Programme will be

routed through a Designated Account denominated in United States Dollars maintained at the

Reserve Bank of India. Controller of Aid, Accounts and Audit, DEA, Ministry of Finance will administer

the Designated Account. IFAD will establish an Authorised Allocation for initial advance. It is

recommended that the Authorised Allocation may be established at USD 3 Million. However, the

quantum is subject to the agreement of both GoI and GoO at Loan Negotiations, as this will count for

the payment of interest and service charge.

144. The PMU of STSCDD will be responsible for preparing the AWPB for the programme by

consolidating the AWPBs of all MPAs and submitting the same to the State Level Programme

Management Committee and thereafter to the Finance Department of the GoO. This AWPB (net of

beneficiary contribution and GoO funds from CCD, Article 275 (1) and SCA to TSP) will be included as

a line item in the budget of the STSCDD and will be presented for legislative sanction from the State

Assembly of the GoO. Funds will flow from the STSCDD to the PMU bank account as non-lapsable

funds in one or two tranches and funds from PMU will be transferred to MPAs as Grant-in-Aid. IFAD’s

share of funds reimbursed to the GoO will flow to GoO through the prescribed national procedures for

budgetary support to State Governments. PMU will release funds to the Micro-projects based on the

approved AWPB for implementation of programme activities

145. For funds flow arrangements at OPELIP level, PMU will open a separate bank account in a bank

mutually acceptable to IFAD and STSCDD for undertaking programme activities. Each MPA will open a separate

bank account, in any bank mutually acceptable to GoO and IFAD, to receive the funds from PMU, OPELIP and to

meet all eligible expenditures. The bank account will be operated jointly by the Special Officer of the MPA and

another staff identified by the PMU.

146. Internal controls. Procedures and record maintenance at the MPA have to be significantly

strengthened by addressing the issues of non-availability of skilled finance staff, setting up of internal

controls, setting up of effective monitoring and review, introduction of accounting software, preparation

of a Finance Manual with guidance notes and above all capacity building of the finance staff. The

system of joint signatory for operating the bank accounts or appropriate authorization processes will

be introduced. Besides the Special Officer, the other signatory could be the Programme Manager or

other staff identified by the GoO. In this context, OPELIP will be building on the “fiduciary lessons”

learnt from the ongoing OTELP. Detailed procedures for recording, management and safeguard of

programme fixed assets will be detailed in the Programme Implementation Manual.

147. Accounting systems, policies, procedures and financial reporting. The financial accounting of

the OPELIP will be done through computerised accounting software (like Tally) at all levels, which will

be customised to generate financial reports for the GoO and IFAD specific reporting. Each MPA will

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submit the Monthly Progress Report to the PMU electronically. For the communication and data

transfer purposes, VSAT facilities are planned, which would enable data consolidation by PMU at

Bhubaneswar. PMU will prepare annual consolidated financial statements including data provided by

the MPAs. Financial reporting standards used for financial statements preparation will be accrual, the

ones used by the GoO.

148. Internal Audit. An internal auditor will be hired to provide continuous monitoring and review of

the financial systems and procedures. The internal auditor will be engaged immediately after the

Programme becomes effective. It would be a good practice to brief the appointed auditors on the

programme components, methods of implementation, monitoring arrangements, etc so that they could

deliver the reports effectively. The Internal Auditor will report directly to the Programme Director,

OPELIP.

149. External Audit. The external auditing arrangements for OPELIP will be established in two tiers –

(i) Independent External Auditor, (ii) Compliance and Performance Audit of the Office of Comptroller &

Auditor General (C&AG). As the PMU OPELIP will be a part of the STSCDD, Office of the C&AGl will

undertake Compliance and Performance Audit of the Department. However, due to heavy work load of

C&AG the timeline for submission of audit report to IFAD may not be ensured. In view of this, the

financial statements of the programme will be audited by an independent auditor (Chartered

Accountant firms) using ISA or Indian National Auditing Standards. The independent auditor will

review and follow-up on the recommendations/remedial measures prescribed by the previous

Audit/C&AG audit. The audit of the programme will be done as per the IFAD Project Audit Guidelines

in force. The audit report along with the Programme Financial Statements and other opinions of the

Auditor should be submitted to IFAD within 6 months of the end of the financial year.

150. Taxes: OPELIP is implemented remote areas. Except the expenditure on items which are

procured from big suppliers/service providers, the other expenditure is on Maximum Retail Price

which includes taxes. Excluding taxes from eligible expenditures for small payments places a real

administrative and accounting burden for the implementing agencies. IBRD following a country-

specific assessment allows financing for taxes that are not ‘excessive, discriminatory or otherwise

unreasonable’. It is expected that IFAD Executive Board in 2014 will take a final decision with regard

to aligning IFAD financing with that of IBRD.

Procurement Arrangements

151. Procurement of goods, works and services under OPELIP financed from resources provided or

administered by IFAD will be undertaken in accordance with IFAD’s Procurement Guidelines and

Handbook (dated September 2010) and as amended from time to time as an exception to the

provisions of the General Conditions.

152. National Competitive Bidding, Shopping and Direct Contracting. Goods and Civil works a

procured using NCB, Shopping and Direct Contracting will follow the procedures and processes

defined in the Project Implementation Manual (PIM) approved by Project Steering Committee and the

IFAD. The PIM shall also include details of selection method to be applied in case of consultancies

and services such as Quality and Cost Based Selection, Fixed Budget Selection, Least Cost

Selection, Consultants Qualification Selection and Single Source Selection.

153. All procurement for goods, works and services financed from resources funded or

administered by IFAD require bidding documents and the contracts to include a provision requiring

suppliers, contractors and consultants ensure compliance with IFAD zero tolerance to anticorruption

policy and to permit IFAD to inspect their accounts, records and other documents relating to the bid

submission and contract performance, and to have them audited by IFAD-appointed auditors.

154. Procurement involving community participation. Communities would be empowered to

undertake procurement as a service provider or an implementing unit through Village Development

Committees or as a SHG under a legal framework or through a Social Agreement for procurement

below a threshold of USD 10,000 equivalent. The operational and implementation arrangement would

be defined in the Project Implementation Manual which shall include implementation, administration,

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financial management and procurement related activities supported by the clearly define the roles and

responsibilities of the intermediaries who will assist the VDC/SHG in performing the activities. GoO

will issue an order permitting procurement involving community participation.

155. Procurement will be undertaken as per the Consolidated Procurement Plan submitted by PMU

approved by the Programme Management Committee (PMC) and approved by IFAD. IFAD prior-

review of procurement actions will be established at USD 100,000 for each contract of goods and civil

works, while for consultancy services and services, USD 50,000 would be the precribed thresholds.

The details of applicable post and prior review requirements and other risk mitigation measures would

be established under Annex 8 of the Main Design Report.

156. In order to ensure procurement is carried out in a timely and efficient manner, OPELIP will

include the procurement management responsiblities to the Deputy Programme Director, who would

be supported by the technical specialist (Managers) in the PMU and Project Managers in the MPA's.

The TOR's shall incorporate required provision and tis would also be detailed in the PIM

Governance

157. OPELIP would include a intregrated framework for good governance appended to the

Programme Implementation Manual. This framework is to ensure: (i) transparency, with information in

the public domain; (ii) accountability in the use of resources; and (iii) participation with the people

having a voice in decisions that may affect them. The involvement of affected communities in all

stages of programme implementation can simultaneously improve development of outcomes and

reduce the scope for fraud and corruption. Key features of this Governance Framework are a strong

framework for mitigating corrupt and fraudulent practices in the under the programme which include:

A computerised financial management system system (Tally ERP 9) with Remote Access,

Audit & Compliance Services, an Integrated Support Centre and Security management. The

ERP system would be enable the PMU in managing the MPA through it Branch Management

functionalities along with comprehensive functionalities such as Accounting, Finance,

Inventory, Purchase, Payroll and Branch Management. This will enable and improve

operational transperancy and effciency and management of the Project.

A functional PIM and Finance Manual and rolled out through a comprehensive traning by a

Chartered Accountancy Firm. This would also be supported by IFAD through periodic

implementation support missions.

A enabled and responsive human recourses at the PMU and MPA supported by Civil Society

Organisation

Decentralised and participatory planning, monitoring and decision making processes thorugh

Local Government and grassroots level participation in planning, monitoring and decision

making supported by Civil Society Organisation,

Setting up of Complaints and remedies mechanism.

Internal Audit and External Audit

Post and Prior Review processes of procurement in additional to the supervsion and

implementation support misson

Targeting of women and disadvantaged households

Rotation of group leaders of VDC, SHG, GPLF and social audit of programme group accounts

Regular Annual Outcome Surveys with programme outputs both in terms of coverage and

quality

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Reporting of results to respective District Collectors, PMU, STSCDD, Programme

Management Committees and Programme Steering Committee, IFAD, MoTA with key

information published on a programme website

E. Supervision

158. OPELIP will be directly supervised by IFAD. IFAD will field an annual Supervision Mission in

which the representatives of GoO will also participate. Normally the duration of the Supervision

Mission will be for about 15 days. The dates of the missions will be finalized in consultation with the

PD. The mission will be led by IFAD Staff and/or its consultants. At the end of the visit, the mission will

brief the GoO and GoI on the implementation progress. The agreed actions with timelines agreed with

the programme authorities and the Government will have to be complied within the time frame that

was agreed. A key learning is that the programme requires more intensive support in the initial years

of implementation to set up systems and to establish the vision and goal of the programme. As part of

this, IFAD will also field “implementation support missions” for a shorter duration of about 4-5 days to

address specific issues. The programme may request IFAD to arrange for specific technical inputs

during the implementation support missions.

F. Risk identification and mitigation

159. The programme faces several risks which include the lack of resources with the target groups

to invest in crop and horticulture development in particular for the purchase of inputs for timely use

despite receiving the programme support in initial years. Other key risks associated with the

programme are identified in the logframe. These relate to external factors such as economic growth,

market prices, climate change etc. and the responses of the target group households to opportunities

for development. These risks and risks mitigation measures are summarised in Table-3 below:

Table 3: Risks and Risks Mitigation

Risk Risks before

mitigation

Risk reduction approach Residual risk

Goal level risk: Govt unable to continue its

commitments to the development of PTG and

other STs.

Low

Continued support for the Tribal development is

available from GoI; GoO has committed to pursue the

development of PTGs by pooling all funds available

through convergence.

Very low

Development objective level risk: Political

instability and security situation do not allow

communities access to economic opportunities

and natural resources.

Medium

Promote and support local government and

grassroots institutions to build coalition in favour of

stability and economic progress

Low

Community empowerment level risk: PTGs do

not respond to opportunities of community

empowerment and improved livelihoods

Medium to high

Promote community institutions and provide them

training; promote interventions that are profitable to

the PTGs and improve market access

Medium to low

NRM component level risk: Prices for food and

fruit crops unfavourable, and inputs more

expensive and are not accessible

Medium Re-focus on market-oriented production; improve

access to inputs for timely cultivation; improve market

access

Low

Changes in weather patterns adversely affect

crop productions

Medium to low Technologies suitable for climate adaptation are put

into practice and PTGs and other STs provided

training on water-conservation, use of drought-

tolerant crop varieties, water-use efficiency etc

Low

Community infrastructure level risk: inadequate

flow of funds and threats from the left wing

extremists

Medium Adopt need-based planning; involve effectively

community participation in planning and

implementation

Medium to low

Project management level risk: complex and

challenging institutional settings of 17 micro-

project agencies

Medium to high Reorganise the MPA staff structure completely;

provide special incentives to motivate the staff and

enhance staff capacity

Medium to low

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160. One of the risks is that the delay in survey and allocation of land titles to the PTGs results in

delayed benefits to them. This risk will be reduced by engaging the services of the highly capable

NGO, LANDESA, for facilitating the processes of survey and land allocations, as done in OTELP.

Another risk is that inadequate extension and handholding support to the PTGs will limit the

sustainability of crop and livestock interventions. This will be reduced by (i) promotion of FFS and

training through demonstrations; (ii) support to producers’ collectives in aggregation and marketing

and also in facilitating the supply of critical inputs; and (iii) associating a dedicated NGO, Reach India,

in imparting training to the trainers. There are also risks associated with the continued clout that the

money-lenders hold on the target groups. This risk is reduced through the promotion and building the

capacity of SHGs and higher level GPLFs, and through provision of additional funds and financing

such as the PIP, VRF and CIF. Another risk is the possible use of top down approaches by the MPAs,

and this will need to be monitored closely by the PMU and by IFAD supervision missions. There is

also a risk that participatory PTG-led interventions may not take off in a timely manner and this risk is

reduced by intensive training and capacity building to the participating communities on continuing

basis by the NGOs. There is also a risk of complex and challenging institutional structure of 17 MPAs

and this is minimised through re-organisation of MPA structure, additional staff and other facilities and

the support of NGOs.

Programme costs, financing, benefits and sustainability

A. Programme costs

161. Key assumptions used in estimating the programme costs include (i) price contingencies

assumed at 5% and applied on all items, except for Grant and subsidies category and staff salaries,

financed by IFAD; (ii) exchange rate at INR 61 per USD; (iii) taxes as prevailing at the time of design

i.e. during July 2014 and broadly at 10%; (iv) an eight year implementation phase and the programme

starting in April 2015, (v) all unit costs were input in local currency unit, i.e. INR and (vi) taxes

excluded from IFAD financing rules.

162. The total indicative programme cost is estimated at INR 7,954.15 million (US$ 130.39 million)

including contingencies (USD 6.3 million) over an eight year period. Programme costs are organized

into four major components: (i) Community empowerment (16%of total base costs); (ii) Natural

resource management and livelihoods improvement (30% of total baseline costs); (iii) Community

infrastructure and drudgery reduction (37% of estimated baseline costs) and (iv) Programme

management (16 % of base costs) The component wise costs are summarized in Table 4 below.

Table 4: Programme Cost Summary (INR & USD)

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India

OPELIP Appraisal % Total

Components Project Cost Summary (INR '000) (US$ '000) Base

Total Total Costs

A. Community Empowerment

Community Institutions 864,524 14,173 11

Strengthening SHGs and Rural Finance 353,201 5,790 5

Subtotal Community Empowerment 1,217,726 19,963 16

B. Natural Resource Management and Livelihoods

Natural Resource Management 1,473,868 24,162 19

Food and Nutrition Security 283,800 4,652 4

Livelihoods Improvement 494,940 8,114 7

Subtotal Natural Resource Management and Livelihoods 2,252,608 36,928 30

C. Community Infrastructure and Drudgery Reduction

Community Infrastructure 2,549,930 41,802 34

Drudgery Reduction 275,900 4,523 4

Subtotal Community Infrastructure and Drudgery Reduction 2,825,830 46,325 37

D. Project Management

Programme Management Unit 258,055 4,230 3

Micro-Project Agency Unit 960,514 15,746 13

Subtotal Project Management 1,218,569 19,977 16

E. Monitoring and evaluation and KM 50,970 836 1

Total BASELINE COSTS 7,565,702 124,028 100

Physical Contingencies - - -

Price Contingencies 388,455 6,368 5

Total PROJECT COSTS 7,954,156 130,396 105

B. Programme financing

163. IFAD would provide a loan of about USD 51.2 million out of the 2013-15 PBAS allocation for

India. The Government will provide USD 76.18 million including the staff costs, operating costs and

annual budget allocation for the development of PTGs and other STs. Beneficiaries are expected to

make a contribution in terms of their own labour equivalent to USD 3.0 million. Programme costs by

financiers and components are summarised in Table-5 below.

Table 5: Programme Components by Financiers

India

OPELIP Appraisal

Disbursement Accounts by Financiers Local

(US$ '000) The Government IFAD Beneficiaries Total (Excl. Duties &

Amount % Amount % Amount % Amount % Taxes) Taxes

1. Civilwork 47,043 84.9 7,131 12.9 1,246 2.2 55,420 42.5 55,341 78

2. Training /a 2,423 16.4 11,761 79.8 559 3.8 14,744 11.3 13,473 1,270

3. Goods, services and inputs 15,978 43.9 19,187 52.8 1,197 3.3 36,362 27.9 33,881 2,481

4. Grants - - 7,149 100.0 - - 7,149 5.5 7,149 -

5. Salaries and allowances 7,858 71.7 3,095 28.3 - - 10,953 8.4 10,953 -

6. Operating costs 2,884 50.0 2,884 50.0 - - 5,768 4.4 5,768 -

Total PROJECT COSTS 76,185 58.4 51,209 39.3 3,002 2.3 130,396 100.0 126,567 3,829

_________________________________

\a Including capacity building

164. IFAD will provide the loan on Blend Terms, with interest on the principal amount outstanding at

a fixed rate of 1.25% per annum, plus a service charge of 0.75% per annum. The loan would have a

maturity period of 25 years, including a grace period of five years starting from the date of approval by

the Executive Board of IFAD.

165. The GoO contribution will be from the annual budget of the STSCDD in addition to the

budgetary support provided by GoI in the form of SCA-TSP, Article 275 and CCD. The Government

would cover the basic salary and allowances of all Government staff working on the programme and

the routine operational costs.

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166. Retro-active financing: With a view to ensuring that the OPELIP start up proceeds smooth,

following preparatory activities are proposed to be undertaken between April 2014 and March 2015

and accordingly the facilities for retro-active financing have been requested by the GoO. These

proposed expenditures will fall under two expenditure categories, namely (i) Goods, services and

inputs and (ii) Training and capacity building. The estimated total expenditure is USD 534,800 and

eligible IFAD financing will be of about USD 406,240 as detailed in Appendix-9. In view of the critical

importance of getting the land allocation process up and running quickly, the project would contract

the services of the NGO, LANDESA using sole-source procurement procedure. The selection of

LANDESA is due to their specialist knowledge and prior experience of this activity under the ongoing

IFAD-supported OTELP. See Appendix 9 and WP-9 for details.

C. Summary benefits and economic analysis

167. Benefits and Beneficiaries: The OPELIP will benefit a total of about 62,350 households. The

beneficiaries will include PTG households, ST households and others disadvantaged households.

Women-headed and poor households will be especially targeted under the programme. Economic

and financial analysis of the programme is summarised in Appendix-10 and details are provided in

WP-10. Table-6 below gives an estimate of the cumulative number of beneficiaries by year.

Table 6: Number of Benefited Households, cumulative

Table-6: Number of Benefited Households by year, cumulative

Subproject households a/

Project Year a/

1 2 3 4 5 6 7 8

-NRM households 0 0 10,870 21,740 45,850 45,850 45,850 45,850

-Livestock households 0 0 2,250 4,500 9,000 9,000 9,000 9,000

-IGA households 0 500 1,000 2,000 2,000 2,000 2,000 2,000

-Drudgery reducing hh 0 5,000 15,000 25,000 35,000 35,000 35,000 35,000

-other households b/ 0 7,400 25,900 44,400 62,350 62,350 62,350 62,350

Total 0 7,400 29,120 44,400 62,350 62,350 62,350 62,350

a/ cumulative by year; b/ such as households benefited by enhanced access to markets at village , GP and Haats

levels and rural roads and domestic water supplies.

168. The immediate benefits from the programme are increased productivity-through the introduction

of better management practices and improved farming practices. This response is expressed as

increased food production or household incomes. On an average, a household’s production benefits

increase from 510 kg/household to over 1,020 kg of cereals, pulses and oilseeds. In addition, average

household production also includes 857 kg of fruits, 357 kg of vegetables and tubers and 177 kg of

spices. Incomes, excluding the value of family labour increase from INR 2,285 to INR 26,120 (INR

21,480 per household from agriculture and horticulture, INR 4,365 from livestock and INR 275 from

IGA). This scenario reverses the present scenario of the target groups who secure large percentage

of their incomes from NTFP sales. Incremental productions also demand substantial increases in

labour-input from the existing level of 68 person-days per household per year to some 128 person-

days. In qualitative terms, minimised soil erosion, reduced runoff and increased infiltration, and

enhancement of organic contents of the soil are some of the benefits of the OPELIP interventions,

which have not been quantified.

169. There are also benefits in terms of positive social and environmental impacts. The social

benefits accrue mainly as a result of greater social cohesion among the target group communities due

to greater interaction with VDA and SHGs, security of land tenure due to the recognition of the

usufruct rights of the PTG and restoration of alienated land, increased recognition and participation of

the role of women and provision of capacity building and training opportunities and access to financial

service for a range of on-farm and off-farm activities. There is a positive impact on the environment as

a result of soil and water conservation and principles of sustainable natural resource management.

170. Economic analysis: Following key assumptions were used in the economic and financial

analysis of the Programme- (i) the benefits have been estimated over a 25 year timeframe using a

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discount rate of 8.5%; (ii) the benefits that have been included in computing the economic and

financial analysis include only those benefits which could be realistically quantified; (iii) use of a SCF

of 0.85 both for output and input prices, and (iv) average wage rate of INR 100 /person-day.

171. Current calculations show that the programme as a whole yields an Economic Rate of Return

(IRR) of 23%, a benefit-cost ratio of 1.85 and the Net Present Value of INR 7,840 million at a discount

rate of 8.5%. See Appendix-10 for details.

172. Sensitivity analysis was also undertaken to assess how varying the assumptions change the

economic parameters. Those aspects of the programme most sensitive to changes in the operating

environment such as delays in the programme benefits, reduction in benefits, increases in programme

costs or decreases in prices of agricultural output commodities was used to conduct the sensitivity

analysis. This analysis shows that the programme benefits are very robust and the investment in the

programme is sound under various adverse conditions including the simultaneous increases in costs

and decreases in benefits. Appendix-10 provides more details on the assumptions and the resulting

values. A switching value29

analysis was calculated for some of the key variables used in the

sensitivity analysis and it demonstrates that the costs would have to increase by 85% or benefits

would have to decrease by 46% for the NPV to be zero.

D. Sustainability

173. There are strong elements in the OPELIP that would enhance the likelihood of the sustainability

of the benefits for the target groups. The most significant investment of the programme is in land

survey and land allocation with land title rights provided to the PTGs. This is expected to trigger

sustained improvements in land use and overall productivity. The quality of the produce would be

ensured through the provision of quality seeds and seedlings by the programme and capacity

building. Marketing could be a constraint in the initial years but would be overcome with the

operations of producers’ collectives and the provision of market infrastructure as there are increasing

demands for the produce from the programme area. There is shortage of quality seeds and these

would be overcome with the provision of FFS and strengthening them through capacity building and

demonstrations. The increased capacity of the target groups to undertake intercropping and other

small enterprises through programme support would enhance the sustainability of their livelihoods.

174. There are other measures built into programme design which are expected to contribute to

institutional sustainability at the grassroots level. The organisation and strengthening of VDA and

VDCs are expected to enable them to continue their provision of services to its members. As SHGs

are promoted as member-owned institutions; they will continue to receive institutional development

support from GPLF. The programme will provide seed capital support which will hasten capital

formation and grounding on income generation activities. The SHGs will charge interest on loans

provided to their members and thus could pay for their expenses. The community investment funds

will ensure expansion of need-based income generation activities and the income from the CIF loans

will ensure financial sustainability of GPLF. Agreements reached between NRLM and MPAs will

ensure that beyond the programme period, MPAs will continue to nurture the GPLF and SHGs.

Alternatively, the grassroots institutions will be handed over to NRLM.

175. The programme would contribute to environmental and natural resource management

sustainability in several ways. The planting of fruit trees in the current shifting cultivation areas would

help to protect soils and improve productivity. The fruit trees and spices crops would provide the PTGs

and other STs a regular and more reliable source of incomes and reduce the temptation of

encroaching on forest lands. Besides, they would be provided technical training on good agriculture

practices, improved soil fertility and soil health management, eco-restoration techniques, planning

along contour lines to prevent erosion, organic farming etc.

29

Switching values are yet another measure of sensitivity analysis They demonstrate by how much a variable

would have to fall (if it is a benefit) or rise (if it is a cost) to make it not worth undertaking an option.

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176. IFAD-funded OTELP is considered a successful project in many respects primarily owing to its

institutional mechanism, grass-roots level planning and implementation, women-centric interventions,

effective involvement and participation of grass-roots organisation. The GoO has therefore formulated

a new programme called “OTELP Plus” using its own resources to continue with this programme and

also to expand into other Blocks of the district. This indicates government commitment to the

community institution development led processes for social and economic empowerment of tribal

households in general and PTG households in particular. Based on this experience, OPELIP has

expanded the convergence agenda by seeking GoO participation in a much larger proportion with

financial contribution which is 1.6 times the funds committed by IFAD.

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Appendix 1: Country and rural context background

39


1. Country background

1. With a population of over 1.2 billion composed of several ethnic groups, speaking several

languages and more than 1,000 dialects, identifying themselves in more than 5,400 castes and tribes,

following six major religions, and an area of 3.28 million km2

covering 20 different agro-ecological

zones, India is a country in diversity, often termed as a mini continent. Poverty remains a major issue,

with 41.6% of the population living on less than USD1.25 per day. In 2014 Human Development

Index of the United Nations Development Programme (UNDP)30

ranked India 135th out of 185 UN

member states.

2. The economy of India is the tenth-largest in the world by nominal GDP and the third-

largest by purchasing power parity(PPP)31

. After decades of limited growth, during the last 10 years

economic growth has taken off, with an average GDP growth of about 8.8% from 2002/03 to 2007/08,

mainly led by the service sector. In 2010/11, despite the financial crises, growth was 8.5% and it is

6.5% for 2011-12 and hovering around 5% for 2012-13. Inflation is a major economic challenge for the

country, and has a bearing on rural poverty and growth in the rural sector. While food inflation

moderated on the back of declining vegetable prices, headline inflation continues to be a matter of

concern. The inflation rate in India was recorded at 8.10% in February of 201432

.

3. There is a broad consensus that the recent growth has roots in the economic reforms

introduced in the early 1990s, which unleashed the enterprise of those adequately endowed with

infrastructure, resources, skills, power and influence. However, distribution of the benefits of growth to

poor rural people has been limited by: inadequate physical and social infrastructure; poor access to

services; low investment; a highly stratified and hierarchical social structure, characterized by

inequalities in assets, status and power; and ineffective, inefficient implementation of pro-poor

programmes, owing to governance failures. There is now a genuine and widespread recognition that,

without inclusive growth, the social and political consequences of rising inequalities could be very

adverse. About one third of Indian districts are affected by civil unrest and left-wing extremism, which

represent the main national internal security threat.

4. Despite this growth 72% of the population live in rural areas, with over half (52% in 2009)

employed in the agriculture sector which contributes 15.7% of GDP. Although production of food

grains reached a total of 264.4 million tons in 2013/14, growth in output is falling behind the 1.4% per

annum growth in population. Over the last decade, wheat yields have grown at a rate of 0.1% and

rice at 1.3% per annum and, with the area under cultivation remaining largely constant, there are

serious concerns about medium-term food security. Increasing population pressure has led to

fragmentation of land holdings with the number of operational holdings increasing from about

70 million in 1970 to 121 million in 2000. Over the same period, the average size of landholdings has

declined from 2.3 to 1.3 ha, and 10% of rural households are reported to be landless. Only 40% of

cultivated land is under irrigation, with groundwater levels and soil fertility rapidly depleting in the food

bowl of India. Over 121 million ha are degraded: 68% by water erosion, 20% by chemical

contamination and 10% by wind erosion.

5. India has 33 per cent of the world’s poor, and poverty has not fallen at the pace of economic

growth. Nutritional levels are unacceptably low, with 42.5% of children underweight for age, being one

of the highest rates globally. Malnutrition is linked to half of the child deaths and a quarter of cases of

diseases. On the Global Hunger Index33

of the IFPRI, India is ranked 63rd

out of 78 countries studied.

30

Human Development Report 2013, UNDP, New York, 31

“India”. International Monetary Fund 32

www.tradingeconomics.com/india/inflation-cpi 33

2013 Global Hunger Index. IFPRI, Washington DC

http://en.wikipedia.org/wiki/India


http://en.wikipedia.org/wiki/Gross_domestic_product



http://en.wikipedia.org/wiki/Purchasing_power_parity

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With a score of 21.3, India remains in the orange category tagged ‘alarming’ level of hunger.

Prevailing social inequality and the low nutritional, educational, and social status of women are

considered as key factors contributing to high prevalence of malnutrition in children below the age of

five.

6. Agricultural wage earners, smallholder farmers and casual workers in the non-farm sector constitute the bulk of poor rural people. Within these categories, women and tribal communities are the most deprived. In terms of gender deficit, India is ranked 101 among 136 countries by the World Economic Forum Global Gender Gap Index 2013

34. Finally, about 300 million young people (in India

this covers ages 13 to 35) live in rural areas, most of them being forced to migrate seasonally or permanently, without the skills and competencies required by the modern economy that India is rapidly becoming.

2. National rural poverty reduction strategy

7. The 12th Five-Year Plan (2012-2017) focusing for “faster, sustainable and more inclusive

growth” aims to raise agriculture outputs by 4% and bring down poverty by 10 percentage points by

the end of the 12th Plan and generate 500 million new jobs in non-farm sector. The agriculture growth

would stress on expanding irrigation, improving water management, bridging the knowledge gap,

fostering diversification, increasing food production to ensure food security, facilitating access to credit

and enabling access to markets. The 12th Five Year Plan further aims to address the critical mid-term

assessment of the 11th Five Year Plan (2007-2012) that underscored the urgency of increasing capital

formation and investments in agriculture, as well as of improving access to water and good quality

seed, replenishing soil nutrients, expanding agricultural research and extension, reforming land

tenancy systems and facilitating agricultural marketing.

8. There are several important policies, strategies and acts that provide the framework for

agriculture, forestry, rural development and tribal development, and which are central to IFAD’s efforts

in India. They include the National Agricultural Policy of 2000, the National Policy for Farmers of 2007,

the National Environment Policy of 2006, the National Forest Policy of 1988, the Protection of Plant

Varieties and Forest Rights Act 2006 and National Water Policy of 2001, and the Biological Diversity

Act of 2002.

9. Among several rural poverty programmes, the Mahatma Gandhi National Rural Employment

Guaranteed Scheme (MGNREGS) is now considered the largest rural employment programme in the

world. Its objective is not only to provide wage labour, but also to generate productive assets in the

process, which could lead to sustainable livelihood opportunities and thus gradually reduce

dependence on such a public works programme.

10. The Government, through the National Rainfed Area Authority (NRAA), has issued Common

Guidelines for Watershed Development. These were followed by the Integrated Watershed

Management Programme since 2008, which emphasizes capacity-building, M&E, learning and social

audit. It introduces a livelihoods perspective from the very inception of the project, with a special

emphasis on families without assets. It also delegates approval and oversight of watershed project

implementation to the states.

11. The National Rural Livelihood Mission (NRLM), under the Ministry of Rural Development

(MORD), aims to provide livelihood development opportunities to poor rural families. NRLM builds on

the experience of the highly subsidized Swarnjayanti Gram Swarozgar Yojana (SGSY), under which

most groups disappeared once the subsidy was received. Only 6% of the funds were used for training

and capacity-building and only 23% of the self-help groups (SHGs) graduated to the micro-enterprise

level, which was the objective of the SGSY. The NRLM, rolled out in 2010 with an initial allocation of

US$2 billion, emphasizes series of initiatives such as (a) formation, training and capacity-building of

SHGs and their federations; (b) state-level flexibility to respond to emerging demands; (c) hiring of

qualified professionals and facilitators/animators at the community level; (d) enhanced financial

34

Global Gender Gap Report 2013; World Economic Forum, Geneva

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support; (e) replacement of capital subsidy with interest subsidy as an incentive to repayment of

loans; (f) provision of multiple loans; (g) establishment of dedicated skills-training institutes in each

district; (h) improved monitoring and evaluation (M&E); and (i) facilitation of domestic and global

marketing linkages.

3. Tribal Development Strategy and Programme: An Overview

12. The STs, with a population of 104.28 million as per 2011 Census constituted 8.6% of the

country’s population. Unlike the Scheduled Caste (SCs) who are dispersed throughout the country,

STs have traditionally been concentrated in about 15% of the country’s geographical areas,

characterised mainly with forests, hills, and undulating inaccessible areas. The fact that most of them

live in isolated groups in relatively remote areas has made it more challenging to deliver essential

development services to them and has also made it much more difficult for them to benefit from the

acceleration of overall growth than is the case with SCs. Out of the total ST population, approximately

2.6 million (2.5 per cent) belong to the Particularly Vulnerable Tribal Groups (PVTGs) earlier referred

to as Primitive Tribal Groups (PTGs). There are 75 identified PVTGs spread across 17 States/UTs in

India35

.

13. The approach paper of the 12th Five Year Plan of the Planning Commission, Government of

India has reiterated various challenges and persistent gaps in tribal development in India. Because of

the remoteness of location of most ST population, the extent to which they can benefit from general

development programmes of the government remained grossly limited and hence the need for special

efforts to ensure adequate flow of benefits to the STs. Such requirement has been recognized in India

beginning with the 1st Five Year Plan in the early 1950s. Over time this strategy has evolved to a

multi-pronged strategy culminating in the objective enunciated in both the 11th

and 12th Five Year

Plans that the benefits of inclusive growth must extend fully to the ST population.

14. India Human Development Report 2011 of the Planning Commission, Government of India

(GoI) has candidly shown that the pace of development in all development indicators (such as

consumption expenditure, literacy and health) among the ST population remained much lower than

the all India average for most other communities. The report also highlighted the high dropout rates

(77% in Classes I to X in 2008-2009) among ST students as compared to other communities. One of

the key factors outlined have been persistent poor implementation of existing schemes in the tribal

regions, in turn contributing to exceptionally high levels of poverty among ST population with decline

in poverty rate being much slower among ST population than all India average. The critical aspect is

that the poverty gap has been steadily rising among ST population with the result that between 1993-

94 and 2004-05, the share of ST population amongst the poor in the country increased from 16% to

20.5%36

.

4. Central Assistance to Tribal Development

15. The First Five Year Plan (1951-56) emphasized the provision of additional financial resources

through a community development approach to address the problems of tribal people rather than

evolving a clear cut tribal development strategy. For this purpose, Special Multipurpose Tribal

Development Projects (MTDPs) were created but the MTDPs could not fully serve the interest of the

tribal people as the schemes were numerous and of general in nature. In the Third Five Year Plan

(1961-66) onwards different strategies were adopted by developing Tribal Development Blocks

(TDBs) where concentration of tribal population was 66% and above. Thus, by the end of Fourth Five

Year Plan (1969-74), there were 504 TDBs throughout the country. However, the TDBs too had

limitations as many tribal populations were living outside the TDB areas. Since the Fifth Five Year

Plan (1974-1979), the Government of India adopted the Tribal Sub-Plan approach along with existing

central assistance under Article 275 of the Constitution.

35

Twelfth Five Year Plan (2012-2017): Social Sectors: Volume III, Planning Commission, Government of India, New Delhi,

2012. 36

India Human Development Report 2011: Towards Social Inclusion. Planning Commission, Government of India, New Delhi.

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(a). Special Central Assistance to Tribal Sub-plan (SCA-TSP)

16. The Tribal Sub-Plan strategy was developed by an Expert Committee in 1972 and was adopted since the Fifth Five Year Plan (1974-1979). The Special Central Assistance to Tribal Sub-plan (SCA-TSP) administered by the Ministry of Tribal Affairs, GoI provides grant to the States Governments based on annual allocation made by the Planning Commission. This is an additive to the State Plan, for areas where State Plan provisions are not normally forthcoming to bring about rapid economic development to tribal communities. The SCA-TSP programme was launched during 1974 and till the end of the IX Five year Plan, the SCA to TSP was meant for filling up critical gaps in the family-based income- generating activities of TSP. From the Tenth Five Year Plan period (2002-2007), the objective and scope of SCA to TSP, was expanded to cover the employment-cum-income generation activities and infrastructure incidental thereto. Besides family-based activities, other activities run by the Self-Help Groups (SHGs)/ Community can also be taken up. The ultimate objective of extending SCA to TSP is to boost the demand-based income-generation programme and thus raise the economic and social status of tribal people.

17. The revised guidelines for implementation of SCA to TSP by the States were issued in May, 2003, and these were further modified in January 2008 focussing on (a) watershed based income generation programme, (b) specific income generation activities like skill and technology training, storage, small scale trading inputs etc., and (c) connectivity to markets, service delivery centres etc.

18. The SCA is released for economic development in the following areas and for the following categories of population: (i) Integrated Tribal Development Project and Integrated Tribal Development Agency (ITDP/ITDA) areas, which are generally contiguous areas of the size of at least Tehsil or Block or more in which the ST population is 50% or more of the total population; (ii) Modified Area Development Agency (MADA) pockets, which are identified pockets having 50% or more ST population with a minimum population of 10,000; (iii) Clusters, which are identified pockets having 50% ST population with a minimum population of 5,000; (iv) Particularly Vulnerable Tribal Groups (PTGs), characterized by a low rate of growth of population, pre-agricultural level of technology and extremely low level of literacy; (v) Dispersed tribal population - those tribal who fall outside the categories at (i) to (iv) above; (vi) Assistance for Margin Money Loan Programme from Tribal Finance and Development Corporations and (viii) Special Projects-Specific Project proposals that are also received and sanctioned.

19. Main features of guidelines laid down in May 2003 and read along with the procedural modifications prescribed in January 2008 are: (i) Support is given to the tribal population below the poverty line; (ii) 70% of the SCA to be used for primary schemes supporting family, SHGs, community-based employment and income generation in sectors such as, Agriculture/ Horticulture, Land Reforms, Watershed Development, Animal Husbandry, Ecology & Environment, development of Forests and Forest villages, Development of entrepreneurship in SSI, etc., and 30% for development of infrastructure incidental thereto; (iii) Priority to be accorded to the neglected tribal living in forest villages & synchronization of the programme with Joint Forest Management; (iv) Preparation of long-term area specific micro-plans for ITDAs/ITDPs; (v) 30% beneficiaries are to be women; and (vi) Adherence to the provisions of the Panchayats (Extension to Scheduled Areas) Act, 1996. SCA has to be an integral part of the Annual Plan of the State.

20. The Special Central Assistance (SCA) is provided by the Ministry of Tribal Affairs to the State Government as an additive to the State TSP. SCA is primarily meant for family-oriented income-generation schemes in sectors such as agriculture, horticulture, sericulture and animal husbandry cooperation. A part of SCA (not more than 30%) is also permitted to be used for development of infrastructure incidental to such income generating schemes. SCA is intended to be additive to State Plan efforts for tribal development and forms part of TSP strategy. The objective of the strategy is two folds: (i) Socio-economic development of STs and (ii) Protection of tribal against exploitation. Of the above, SCA primarily funds schemes/projects for economic development of STs.

(b). Central Assistance under Article 275

21. Article 275(1) of the Constitution of India guarantees grant from the consolidated fund of India

each year for promoting the welfare of STs and in pursuance of this Constitutional obligation, the

Ministry of Tribal Affairs provides fund through the “Special Area Programme Grants under Article

275(1) of the Constitution of India”. Under this Special Area Programme, a 100% grant is provided to

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meet the cost of such project for tribal development, undertaken by a State Government, for (i) raising

the level of administration of Scheduled Areas, and (ii) for welfare of the tribal people to bring them at

par with the rest of the State. The grants are provided to the States on the basis of the percentage of

ST population in the State. Focus of the programme should be on generation of community welfare

assets like schools, skilled teaching, nutritional support, drinking water, etc.; innovative grants strictly

are meant for innovative schemes - in terms of final output/ outcome or methods of delivery.

(c) Conservation-cum-Development (CCD) Plan for PTGs

26. GoI in the Ministry of Tribal Affairs (MoTA) re-strategized the development approaches of PTGs

during the 11th Five Year Plan (2007-2012) with focus on conservation of their culture along with their

socio-economic development. On the basis of the guidelines prepared by MoTA, the Government of

Odisha formulated Conservation-cum-Development (CCD) Plan for 13 PTGs located in 17 micro

project areas that are implemented through 17 Micro Project Agencies (MPA). The CCD plan is an

attempt for holistic development of the PTGs aiming to address critical felt needs of the PTGs by

improving infrastructure and providing basic facilities within their easy reach with a view to eliminate

poverty, increase literacy rate/level, ensure improved health status, overcome problem of food

insecurity and above all bring improvement in the quality of life and conserve their traditional culture37

.

Starting from the 11th Five Year Plan, the CCD Plan is continuing in the 12

th Five Year Plan (2012-

2017) with the following basic approaches:

Total development through an integrated approach by pulling resources from the Central

Government and State Government;

Bring about Government Organisations (GO), Gram Panchayats and NGO partnership to

address the development needs of the PTGs;

Encouraging peoples’ participation in development process through the involvement of

traditional institutions, including labour cooperatives, youth dormitory/assembly, SHGs, etc.

Provision of basic infrastructure and amenities like health, education, drinking water and

also all weather roads to all the PTG villages;

Restoration of hill slopes ravaged by shifting cultivation (podu) by way of raising

horticultural plantations thereby protecting natural environment and providing employment

and income to the PTGs;

Assistance for conservation and promotion of PTG traditions like village labour

cooperatives, traditional skills, arts and crafts, dances and songs, etc;

Ensuring social security through the provision of fireproof houses, grain banks and

coverage of all families under Janashree Bima Yojana38

.

27. The CCD Plan of Government of Odisha encompasses 17 micro projects for 13 PTGs. Since

the socio-economic indicators of the PTGs remain far below the State average of other STs and other

communities in the State, the CCD Plan for the 12th Five Year Plan (2012-2017), the thrust areas of

the CCD Plan include: (a) Social Sector Development (education complex for PTG boys; health and

nutrition; safe drinking water and sanitation); (b) Sustainable Livelihoods Development (agriculture,

horticulture, animal husbandry, irrigation, social security, promotion of SHGs, market linkage); (c)

Conservation of Culture (construction of community centres; promotion of traditional arts, crafts and

dances; construction of tribal museum in micro project area); (d) Infrastructure Development

(connectivity/roads, electrification and housing); (d) Capacity Building and Institutional Mechanism.

Each of the following 17 micro projects (Table 1) being implemented by GoO through 17 Micro Project

Agencies (MPAs) encompasses the elements of the above thrust areas.

37

Annual Report: 2012-13, ST & SC Development, Minorities & Backward Classes Welfare Department, Government of

Odisha, Bhubaneswar. 38

A scheme to provide life insurance protection to the rural and urban poor persons below poverty line and marginally above

the poverty line

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5. Tribal Development Strategy and Programme in Odisha

22. Prior to independence, the tribal areas in Odisha were administered according to the special laws such as the Ganjam and Vizagapatnam Act, 1839 and the then British Government generally followed a policy of Laissez faire on matter of tribal development. Later all these areas were declared as “Scheduled Districts” and their administration was conducted in accordance with Scheduled District Act, 1874. In the Govt. of India Act, 1919 these areas were removed with different degrees of exclusion such as “wholly excluded Areas” and “Areas of Modified Exclusion” which were changed in the Govt. of India Act, 1935 as “Excluded areas” and “Partially excluded areas”. The tribal tracts of Orissa were declared as “Partially excluded”

39. Today, most of these areas fall under what is known

as Fifth Scheduled Areas.

23. The philosophy of welfare state which emerged with independence has put the onus and responsibility on Government with regard to protection and advancement of the ST population in the country. In tune with the Government of India policy on tribal development, the state of Odisha also adopted and followed the strategy of Multipurpose Tribal Development Projects (MTDPs) in selected areas of tribal concentration pockets and thereafter the Community Development Block and Tribal Development Block models. These development efforts through Blocks resulted in diffusion of activities and in increasing the gap between tribal and non-tribal populations in various development indices, indicating the need for more systematic and concerted approaches to tribal development planning and implementation. The experience thus gained resulted in starting of Integrated Tribal Development Agencies (ITDAs) in areas of more backwardness during the Fifth Five Year Plan (1974-79) onwards. Today, there are 21 ITDAs in Odisha.

24. However, there remained a felt need to bring more tribal population under the gamut of development Programmes. Based on further findings it was revealed that some tribal families still remained uncovered as they were residing in isolated pockets. Hence, Modified Area Development Approach (MADA) was introduced by the end of Fifth Five Year Plan to areas having a population of 10,000 or more, with 50% tribal concentration. The area under tribal development was still increased during the Seventh Five Year Plan (1985-90) by adopting Cluster Approach wherein contiguous areas having a population of 5000 or more, of which 50% or more are tribals. Apart from this, the Particularly Vulnerable Tribal Groups (PTGs) or primitive tribal groups (PTGs) residing in remote areas were found to be extremely backward. A total of 13 PTGs were identified and 17 Micro Project Agencies (MPA) were set up aiming at all-round development of the primitive tribal groups building on the Conservation cum Development (CCD) Plan of the Government of India. The tribal families living outside the above project areas like ITDA, Micro Project, MADA, Cluster are covered under the Dispersed Tribal Development Programmes (DTDP) implemented through the Scheduled Caste and Scheduled Tribe Development Finance Cooperative Corporation Limited. Today there are 14 Cluster pockets and 46 MADA pockets in Odisha

40.

25. The GoO has also availed other central assistance for tribal development which included support for tribal research institutes, ST girls/boys hostels, ashram schools in TSP areas, establishment of vocational training centres in tribal areas, tribal cooperative marketing development, support for attending coaching centres for various professional courses and competitive exams, and grant-in-aid to voluntary organisations working for welfare for STs.

6. Ownership, Harmonisation and Alignment of OPELIP

28. Ownership, Harmonization and Alignment: Governments of India and Odisha have been

actively involved with IFAD in the design and implementation of on-going OTELP in Odisha for tribal

development. The programme, “Odisha PTG Empowerment and Livelihoods Improvement

Programme” is built on the on-going IFAD-supported OTELP in Odisha as well as the

recommendations contained in GoI/GoO's "Concept Paper for IFAD Loan Project". The OPELIP

concept is aligned with the India COSOP41

2010-2015 and compatible and supportive of other donor

initiatives and is in line with GoI/GoO's strategies and policies for development of tribal and vulnerable

39

www.gajapati.nic.in/Departments/itda/itdamain.htm‎ 40

SC & ST Development Department, Government of Odisha (www.orissa.gov.in/stsc/project_progress.htm) 41

Country Strategic Opportunities Programme

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45

communities. The programme goal and objective are in alignment with the objective of “faster and

more inclusive growth” as enunciated in the Approach Paper to India’s 12th Five Year Plan.

Table-1: List of micro projects and Micro Project Agency for PTGs in Odisha

District Block Name of PTG Name of PTG Micro Project Agency

Mayurbhanj Suliapada, &

Moroda

Lodha 1.Lodha Development Agency, Moroda

Karanjia & Jashipuir Hill Khadia/

Mankirdia/ Birhor

2.Hill Khadia & Mankirdia development Agency, Jashipur

Sundargarh Lahunipada Paudi Bhuyan 3.Paudi Bhuyan Development Agency, Khuntgaon

Angul Pallahara Paudi Bhuyan 4.Paudi Bhuyan Development Agency, Jamardihi

Deogarh Barkote Paudi Bhuyan 5.Paudi Bhuyan Development Agency, Rugudakudar

Keonjhar Banspal Juang 6.Juang Development Agency, Gonasika

Kandhamal Tumudibandha Kutiakandha 7.Kutiakandha Development Agency, Belghar

Kalahandi Lanjigarh Kutiakandha 8.Kutiakandha Development Agency, Lanjigarh

Rayagada Bisam Cuttack &

Muniguda

Dangria Kandha 9.Dangria kandha Development Agency, Kurli, Chatikana

Kalyansingpur Dangria Kandha 10.Dangria kandha Development Agency, Parsali

Gunupur Lanjia Saora 11.Lanjia saora Development Agency, Puttsing

Gajapati Mohana Saora 12.Saora Development Agency, Chandragiri

Gumma Lanjia Saora 13.Lanjia saora Development Agency, Seranga

Ganjam Patrapur Saora 14.Tumba Development Agency, Tumba

Malkanagiri Khairaput Bonda 15.Banda Development Agency, Mudulipada

Kudumulguma &

Khairput

Didayi 16.Didayi Development Agency, Kudumulguma

Nuapada Komna Chuktia Bhujia 17.Chuktia Bhujia Development Agency, Sunabeda

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Appendix 2: Poverty, targeting and gender

47


1. Introduction

1. Odisha is geographically the eighth largest State of India and the 11th most populous among

Indian States. Situated in a sub-tropical region, Odisha has a vastly varied topography and complex

ecology. Odisha is fifth largest among all Indian States in terms of forest area with 31% of the State’s

geographical area classified as forests. Due to its geological origins, the State has vast mineral

resources, about 98% of the country’s estimated reserves of chromate, 95% of nickel, 77.5% of

cobalt, 53% of bauxite and 33.4% of iron-ore, respectively. In spite of its rich natural resource

endowment Odisha continues to be one of the poorest States in India with high incidence of poverty

and low indices of human development.

2. At 33%, the head count poverty in Odisha in 2011-12 was fourth highest behind among the

dozen Indian States with more than 10 m poor42

. According to the Human Development Report of

UNDP43

for 2011, Odisha was at the bottom among 19 large Indian States in terms of Human

Development Index (0.442). It was 17th among the 19 States in terms of per capita income (PPP$,

2008), 14th in terms of life expectancy at birth, 15

th in terms of mean years of schooling and at the

bottom in terms of expected years of schooling at birth44

. Poverty is more than twice among rural

people (36%) compared to their urban counterparts (17%).STs are among the poorest, followed by

SCs. Poverty also has a regional imprint, with the hilly districts encompassing the Eastern Ghats, the

Northern Plateaus and the Central Table lands, together home to over 92% of Odisha’s STs, being

poorest compared to the fertile coastal districts.

2. Present Situation of Scheduled Tribe Communities in Odisha

3. Odisha is home to 62 STs with a population of 9.75 m (India 104.55 m) or 23% of the State’s

total population. Odisha has 13 PTGs (India 75). STs in Odisha are distinctly more rural (94%) than

the overall population (83%) in the State. STs are concentrated in the Eastern Ghats45 and the

Northern Plateau46; these two regions together are home to almost three-fourths of the State’s ST

population. Both these regions are characterised by a rugged hilly terrain and high rainfall and

together account for most of the State’s area demarcated as forests. The coastal plains and deltas

with the most fertile soils and most suited for agriculture account for less than 7.5% of the State’s ST

population. The Central Table Lands region, agriculturally the second most productive region of the

State has less than 18% of the State’s STs.

4. STs in Odisha like their counterparts in other States, are the poorest and score poorly on all

social development indicators. For instance, headcount poverty in Odisha declined the least among

STs compared to other groups during the five year period during 2004-05 and 2009-10 when the

State experienced major reduction in poverty compared to the country as a whole and two-thirds of

STs continued to be below the poverty line (see Table 1).

Table 1: Headcount poverty among Social Groups in Odisha

Year ST SC OBC Others All Odisha All India

2004-05 (%) 84.40 67.90 52.70 37.10 60.80 37.20

2009-10 (%) 66.00 47.10 25.60 24.50 39.20 29.80

Reduction (%) 18.40 20.80 27.10 12.60 21.60 7.40

Source: Government of Odisha, Economic Survey 2012-13

42

Press Note on Poverty in 2011-12, GoI, Planning Commission, 22nd

July 2013. 43

UNDP: Inequality-adjusted Human Development Report, 2011. 44

UNDP, op cit. 45

The districts of Gajapati, Kalahandi, Kandhamal, Koraput, Malkangiri, Nabarangapur, Nuapada, Rayagada. 46

The districts of Mayurbhanj, Sundargarh, Keonjhar, Jharsuguda.

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5. Given the nature of their habitat, forests have historically been the principal source of ST

livelihoods and the STs have traditionally considered forests as their inherited territory. Forests

provided the ST food besides forage for livestock, firewood for cooking, construction material and a

variety of herbs. State control over forests since the 1860s has progressively deprived the STs their

primary source of livelihood. Progressive loss of control over forests, declining forest cover,

increasingly stringent state regulation of forests, loss of forest lands to mining and infrastructure

projects, increasing population and exposure to the outside world has over the year brought about a

slow but steady change in the pattern of ST livelihood.

6. While forests continue to be a significant source of ST, and they maintain de facto usufruct

rights to the forest products and to shifting cultivation – podu- irrespective of the legal status of the

land, STs have also slowly taken to agriculture, beginning with podu and progressively adopting

settled farming. As STs are relatively new to farming, and cultivate hilly and undulating land that has

not been developed for farming, productivity of their agriculture is low. Unskilled work as farm and

construction workers is a supplemental source of livelihood.

7. The nature of tribal agriculture and their livelihoods in Odisha has also been affected by the

history of land tenure in areas populated by the STs. Much of the ST habitat in Odisha was ruled by

princely states and tribal people had free access to forests in an informal arrangement. STs,

especially in the interior forest regions inhabited by PTGs, did not possess legal title to land they

considered theirs, either as forest or as podu land. As a result, there is high incidence of recorded

landlessness among STs, especially the PTGs even as they cultivate land demarcated as forest or

various categories of government wasteland, where they are treated as encroachers.

3. Particularly Vulnerable Tribal Groups (PTGs) – their characteristics47

8. Inhabiting the more interior and often inaccessible forest regions, the 13 PTGs are the most

disadvantaged among STs. They are living in hilly and remote uphill locations in the fringes of the

forest making accessibility a problem and the terrain poses constraints in rural infrastructure

development such as roads, irrigation, electricity, communications network and markets. The

members of the PTG community have low level of literacy, lack development awareness and use pre-

agricultural level of technology. The habitations of PTG have inadequate health care facilities and

most of the PTG households live in abject poverty.

9. Livelihoods: PTGs are largely dependent on collection and sale of forest produce, shifting

cultivation and casual wage labour for their income. More and more PTGs including some of the

nomadic tribes – Birhor, Mankirdia and Hill-Kharia- are now moving into settled forms of livelihoods.

Subsistence farming is practiced often on shifting cultivation basis “Podu” on undulating land. Bondo,

Didayi, Juang, Dongaria Kandha, Kutia Kandha, Lanjia Saora, Paudi Bhuiyan largely practice shifting

cultivation. Overall, about 15% households do not have any land – not even homestead; the landless

households are more than 50% in some tribes such as Didayi, Dongaria Kondh.

10 About 50% of the PTG households do not have clear ownership to the land they are at present

cultivating, the investments for enhancing soil and land productivity is limited resulting in low

productivity. Agriculture is rain-fed, their knowledge of improved agricultural practices is limited and

crops grown include paddy, variety of traditional cereals and millets for consumption. In some areas

cash crops such as turmeric, ginger, oil seeds and plantation crops such mango, jackfruit are grown

but the income realisation is limited due to poor market linkages and exploitation by traders.

11. PTGs depend on minor forest produce for cash income as well as for food supplements.

Dwindling forest produce and climatic change has reduced the basket of produce and also the cash

income. Unsustainable harvesting of produce is also leading to over exploitation of resources as well

as environmental degradation.

47

This section draws from the data of Micro project profile, SC and ST Research training Institute, SC and ST Development

Department, Bhubaneswar and the three socio economic livelihood studies carried out specifically for the design purpose.

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49

12. Food security: PTG households with average landholding 1.7 acres and 5 members in its

family produce food that is sufficient for 4 to 5 months. Pubic Distribution System (PDS) of essential

food reaches out to even remote Gram Panchayats and provide basic food security. About 25% of the

households do not possess AAY/BPL cards and do not get subsidised food. Households meet their

other basic needs from wage incomes and NTFP sale. However, households face nutrition insecurity

since basket of foods lack diversity to provide balanced food and nutrients. The usual diet of rice and

salt or millets and salt with few vegetables does not fulfil the nutrient requirements. Protein and pulses

intake is limited to once a week in most groups. Milk is not consumed. One tenth of the children in the

age group of 0-6 years are reported to be severely malnourished but this figure can be higher as

observed during the field visits and as found by the survey reports. Malnutrition coupled with

degrading living environment is contributing to higher morbidity.

13. Basic development needs: Education - The level of human development opportunities as

viewed from access to basic services such as education, health, drinking water, sanitation and other

social services are limited for PTGs. The literacy levels of the PTGs are very low and ranges between

19% to 63% for the men and 8 to 42% for the women in different PTGs. In spite of the State

Government measures like free education, in PTG areas the education standards are poor- teachers

often do not turn up and schools are without the basic infrastructure. Often PTG children are unable to

compete with children of other community.

14. Water, housing and sanitation - PTG households’ access to drinking water is improving but

due to lack of/ dysfunctional tube wells, many households depend on open wells, streams and ponds

for drinking water as well as for other general purposes. In the absence of toilets, PTGs defecate in

the open. Skin diseases and diarrhoea widely prevalent in the programme areas are directly

attributable to the poor quality of water. About 35% of the households have accessed housing

facilities from Government of India and State Government schemes like Indira Awas Yojana (IAY) and

Mo Kudia. Others largely live in huts. Housing is largely one room tenement with little ventilation and

no toilets; often the few livestock the family owns are also housed in the same premises.

15. Health - Separate demographic data on PTGs is not readily available. The data as per a survey

conducted by RMRC, Bhubaneswar48 on four PTGs show that The Crude Birth Rate (CBR) per 1000

population of 18.31 in Bondo, 24.3 in Didayi, 22.3 in Juang and 21.6 in Kutia Kandha as against 20.1

for Odisha. The Crude Death Rate (CDR) per 1000 population of 19.2 in Bondo, 23.7 in Didayi, 21.2

in Juang and 20.9 in Kutia Kandha as against at 8.5 for Odisha49 which still has the highest CDR in

the country. The Life Expectancy of men is 48.7 years in Bondo, 57.1 years in Didayi, 49.6 years in

Juang and 50.7 years in Kutia Kandha as against 64.3 for men in Odisha.

16. Malaria, diarrhoea, skin diseases (scabies), respiratory disorders are widely prevalent. Health

seeking behaviour among these communities is limited due to the distance to the Health Centres

functional in most of the micro project areas. In some micro project areas mobile health check up vans

reach villages with motor able roads on a monthly/quarterly basis though few villages are

inaccessible.

17. Social security and entitlements - Government of India and Government of Odisha have a

number of social security schemes and other entitlements which these households access.

Employment Guarantee scheme (MGNREGA) is infrequently implemented and on an average

households get 20 to 30 days of employment as against 100 days a year that is their right.

Madhubabu Pension Yojana which provides pension for old aged, widowed and disabled, is accessed

by about 60% of those that are eligible. Other health insurance schemes such as Rashtriya Swasthya

Bhima Yojana, Biju Krushak Bima Yojana do not have deep penetration.

48

Amity School of natural Resources and sustainable development, Changing socio-economic condition and livelihood of

geographically isolated tribal community in Kandhamal and KBK districts of Orissa, submitted to Planning Commission,

Government of India,2010-11 49

Economic Survey, Odisha, 2012-13.

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18. Household assets: Households have very few assets largely utensils; agricultural implements

are minimal and rudimentary. Due to lack of extension support and frequent mortality of animals and

livestock, the households rear very few birds and animals. Alcoholism is a major drain on the

household income and in some PTGs both men and women are reported to be addicted.

19. Access to financial services: Households largely borrow from one another for meeting

emergent needs. Only few households borrow from the money lenders at usurious rates of interest

especially health. There are instances where the PTG households have borrowed from other tribal

and also from other castes and due to their inability to repay, have lost their access to land. There are

limited opportunities for households to save in institutions. Banks and post offices are located far

away and the transaction cost of travelling to bank outstrips the amount of savings to be deposited.

4. Situation of other Tribal and Scheduled Castes in programme area

20. The poverty situation of tribal, scheduled castes and even other castes living in the same

villages are not very different from PTGs; they are also equally affected by the remoteness and

inability to access basic services. They also have limited livelihood opportunities though they are

predominantly cultivators or agricultural labours. They tend small number of livestock such as poultry

birds, and goats; cattle and buffaloes. They have limited access to irrigation and mostly grow rain fed

low risk, low yielding rain-fed crops. As compared to PTG they are more vocal and more mobile.

21. To summarise, the incidence of poverty and deprivation is high among the PTGs, other tribal in

the programme area who are leading largely subsistence based way of life. They live in remote

habitats, in a state of isolation and due to the remoteness; their habitats have poor administrative and

infrastructure. Dwindling forest resources on which they are dependent on, limited availability of

productive land for livelihood activities, limited knowledge of improved production practices leading to

low agricultural productivity and negligible access to Government extension services are major

contributing factors for their poverty. Shifting cultivation practised by them is low yielding and also

results in natural resource degradation. Local small markets do not offer remunerative prices for their

produce. Poor banking outreach and services limit opportunities for mobilising safe savings. Low

education levels limits their employment opportunities and they often work as casual wage labour.

Migration to distant towns and cities is limited. Their access to basic services such as health,

education, cleans drinking water and sanitation, housing and nutritious foods are limited. High

incidence of vector borne diseases like malaria and alcoholism are major drains on the household

income. Thus the combination of the above factors contributes to high incidence of poverty among the

target groups.

5. Gender Issues in Target Groups

22. Position of women: PTGs and other tribal are patriarchal society; however tribal women and

girls do not experience the gender discrimination as seen among many other communities in India.

The sex ratio of PTGs is favourable for women - more than 1000 female per 1000 male. However, 5

tribes have less than 1000 sex ratio, the least being 943. There are gender disparities in terms of

literacy, access to health Services and other human development indicators. Women’s work is critical

to the survival of the tribal household both in terms of provisioning food, income and as well as

management of resources. Of late with the mainstreaming of tribal communities some of the gender

discrimination practices such as preference for boys, focus on education of boys over girls, polygamy

etc., are seeping into the tribal community as well.

23. Livelihoods: The PTG women play a crucial role in the households’ economy. Both men and

women are involved in collection and sale of minor forest produce. There is gender division of labour

in the agricultural activities. Clearing of podu land for shifting cultivation and ploughing of low land is

done by men. Women are either solely or jointly involved in other operations. Small livestock rearing

is largely by women and in some PTGs men decide on when and where to market the livestock. More

women than men participate in the casual labour work. The mobility of PTG women is restricted by

tradition and women largely work in the villages and adjacent forests. In most PTGs women manage

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the cash of the family. Work load on women is high since they carry out both productive and

reproductive functions. Child care is that of the women. Women have the responsibility for fetching

fuel, fodder and water for household purposes.

24. Education: Overall the literacy rate is low and the female literacy is even lower due to their

involvement in the labour force and household chores including cooking and looking after siblings.

Girls after puberty are dropping out due to lack of basic facilities in schools as well as lack of safe

means of travel if the secondary schools are far away. Illiteracy is affecting the women’s ability to

recognize the importance of health care and know how to seek it for themselves and their children.

Women do not have knowledge on their rights or confidence to claim them due to illiteracy.

25. Early marriage: Often among tribal communities girls are married off at the young age of 14 to

16. Early marriage deprives girls of their education, health and realising their potential. Early marriage

exposes the girls to the risks of too-early pregnancy, child bearing, and motherhood before they are

physically and psychologically ready. Young motherhood and child bearing contributes to the poor

health condition of both mother and children.

26. Health and nutrition: As per the Economic Survey of Odisha, 2012-13, prevalence of severe

malnutrition among children, mothers, old and indigent people is a matter of serious concern in the

State. National Family Health Survey (NFHS-3), 2005-06, Orissa, based on sample survey found that

51% of ST women had the body mass index of <18.5 indicating a high prevalence of nutritional

deficiency. 73% of ST women suffered from anaemia.

Table 2 – Body Mass Index and Anaemia among the different groups

Community BMI of less than <18.5% Anaemia <12 grams/dl

Women Men Women Men

ST 51 39 73 53

SC 50 45 64 35

OBC 39 34 58 25

other 32 29 53 23

27. The health indicators of the tribal women are the worst among the different castes. The gender

differentials in these indicators are also very sharp and portray the poor health of the women.

Institutional delivery is more common now as compared to home deliveries primarily due to the Janani

Suraksha Yojana50 (JSY) which incentivises institutional delivery. Mamata is a Odisha Government’s

initiative that offers conditional cash transfer for women51 to compensate for some wage loss, get

adequate rest and nutrition and influence positive health seeking behaviour. As per the socio

economic survey studies, Post Partum Haemorrhage (PPH), Toxaemia and Prolonged labour are

problems affecting pregnant mothers. Routine Immunization of children are done in the ICDS centres

by ANM; Through ICDS, both pregnant and lactating mothers are to receive fortified food supplements

and rations; this system is not functioning well in the villages distant from the Gram Panchayat and

even where they are given only half quantity of the eligible supplements delivered.

28. Anganwadi centres where children of age 3 to 5 get basic education and also free food are

operational only in revenue villages. Since the habitats are far away from the revenue village, children

may not walk down; in some places the anganwadi centres are not functioning well.

29. Often women eat last in the household, which further limits their in take of vegetables, pulses

and meat. Maternal buffering is reportedly common. This is the practice of a mother deliberately

limiting her own intake in order to ensure children get sufficient food. The living conditions affect the

50

Janani Suraksha Yojana is a safe motherhood intervention under the National Rural Health Mission (NHM). It is being

implemented with the objective of reducing maternal and neonatal mortality by promoting institutional delivery among poor

pregnant women. The mother belonging to BPL, STSC, will receive Rs.1400 for institutional delivery 51

Cash incentive of INR 5,000 is provided in four instalments. The first three instalments and amounts have been worked out

such that the beneficiary gets a reasonable amount every three months after the second trimester of pregnancy up to nine

months after delivery.

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health of the women; cooking with firewood in traditional stoves in poorly ventilated one room house

cum kitchen and the incomplete combustion and release of small particles affects their respiratory

system and health.

30. Land, forests and property right: Tribal women’s traditional ownership over land and housing is

limited. Although women shoulder heavy economic responsibilities as compared to men, the

customary laws deny them equal property rights and men normally inherit the property. Land for

cultivation and homestead land settled under FRA is registered in the names of husband, wife and

dependants. However, on being widowed, the woman loses control over the land which passes on to

the surviving males of the husband. This makes her position very vulnerable.

31. Violence against women: Violence against women is increasing due to alcoholism. Uncontrolled

drinking by men has led to physically beating, verbal and emotional abuse of the women. Rape in

work place and also trafficking as seen in other parts of the state are not common in the programme

area since the girls and women largely work in the villages; in southern districts PTG women do not

usually travel beyond their village.

32. Access to financial services: Women’s access to financial services has been largely through

self help groups in Odisha is the case in rest of India. Women have been formed into SHGs even in

the inaccessible villages. With little capacity building inputs on the concept and functioning, these

groups are not functioning well. Women’s savings are locked up in the defunct groups. There is very

limited internal lending even in well functioning groups.

33. Participation in Village Institutions: Participation of women in Pallisabha is limited though in

some PTGs the women participate in these sabhas. However, their effectiveness in their participation,

articulation of their demands and ensuring action is questionable.

34. In focus group discussions, women articulated their priority issues to be addressed in order to

improve their conditions, (i) drinking water, (ii) roads, electricity, solar lamps, irrigation (iii) effective

working of anganwadi, iv) bathing ghats, v) reduce alcoholism among men, vi) drudgery reducing

agricultural equipments, vii) training and skills for small animal rearing, viii) safe place to save money,

ix) savings to be returned from the defunct groups. Some of single women were requesting for

housing.

6. Poverty targeting for OPELIP

(a). Programme Area and Target Groups

35. Geographic targeting: Programme interventions will be implemented in all 17 Micro-project

areas located in twelve districts of Odisha namely Malkanagiri, Rayagada, Angul, Deogarh, Ganjam,

Nuapada, Keojhar, Sundergarh, Gajapati, Kandhamal, Kalhandi and Mayurbhanj covering 13 PTGs

living in some 542 villages within the MPA areas and an another 477 villages outside the MPA but

within the 84 MPA GPs as shown in Table-3 below.

Table-3: Target Group Description (Number of households)

Description # of

villages

PTGs Other

ST

SC Others Total

Households within MPA villages 542 20,514 5,138 2,259 3,576 31,487

Additional households outside

MPA villages but within MPA GPs

477 11,577 8,827 3,227 7,238 30,869

Total households 1,019 32,091 13,965 5,486 10,814 62,356

Total population - 133,479 63,074 24,409 46,186 261,148

1/ Source: As per 2011 Census Data.

36. Villages without road connectivity: These villages being without road connectivity are cut off

from other developmental services as well. Food security is an issue and markets are limited.

Programme will target these villages and form the community institutions for facilitating and initiating

the infrastructure development as a priority.

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(b). Targeting mechanism

37. The programme will adopt an inclusive approach targeting all households living in the

participating GP. The programme will seek to develop mechanism to ensure that special attention is

paid to marginalised groups, namely women, children, unemployed youth, hill cultivators, the landless

among the PTGs and other Tribal people.

38. While following an inclusive approach, the target households will also be classified based on

their vulnerability at the time of VDP preparation.

Table 4 – targeting as per vulnerability

Better off Traders and money lenders and families with a member in government job

Disadvantaged Households with access and title low land with or without shifting cultivation land.

Vulnerable Households with homestead title. No access or ownership of low land. Have

access to only shifting cultivation land with or without title.

Highly

vulnerable

Women headed households.

Households residing in villages that are not accessible by road.

Households with a physically/mentally challenged adult/child.

Households without title for homestead and revenue/forest land.

39. Since the very vulnerable households normally do not come forward to take up any programme

activities, special efforts will be made to identify them and include them in the programme efforts. The

programme will target highly vulnerable and vulnerable households for inclusion in community

institutions, SHGs and livelihood groups. While community infrastructure activity of the programme will

benefit all households in the villages, the activities aimed at individual households will be largely

targeted at highly vulnerable and vulnerable households.

(c). Target group description

40. Households without title for homestead: These households do not have any title to their

homestead. Many of them have access to some podu land (which may be considered as encroached)

but the land may not be registered in their names. These households are largely dependent on causal

labour and forest produce and hence suffer food insecurity. Livelihood security is also threatened due

to the depleting forest resources. Such households will be identified during the village mapping

exercise to be carried out for VDP preparation and will receive priority attention for land allocation

both homestead and agricultural land for ensuring that minimum 1 standard acre revenue/forest land

is the household. They will be targeted for inclusion in SHGs and in livelihood initiatives as well.

41. These households carry out rain-fed cultivation on undulating land and hill slopes without any

land development works, leading to progressive soil erosion and land degradation. Farming practices

are rudimentary with very low productivity. The farm tools are of poor quality and there is acute

shortage of draft power. Springs and streams present in many villages are not being used for irrigation

and rainwater is not being harnessed. These households though have some food security often have

to do casual labour and are dependent on casual labour and forest produce to provide food security.

Such households will be identified during the village mapping exercise to be carried out for VDP

preparation and will be the primary target group for land development and irrigation works and also for

ensuring that minimum 1 standard acre revenue/forest land to each household. They will be targeted

for inclusion in SHGs and in livelihood initiatives as well.

42. Households with settled land: These households also largely carry out rain fed cultivation

mostly paddy with rudimentary technology and implements. The productivity and yield is low.

However, comparatively they have better food security. These households will be involved in farmer

filed schools and other livelihood related training; they will be the least priority group.

43. Women: Women are the priority target group of the programme. Though women play a pivotal

role in the well-being of their families and household economy, they are disadvantaged due to limited

access to basic development services. Women are often malnourished. Their traditional livelihoods

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need to be strengthened and expanded with appropriate extension support and technical know-how.

They will need appropriate housing and sanitation conditions, drudgery reduction support, training on

reproductive health care, importance of nutrition for young children and also training to understand

their entitlements and rights and voice their issues. Pregnant and lactating mothers will need special

attention. Since women are the change agents, they will be included in all the village institutions.

44. Women headed households which form nearly 18% of the households, will be pro actively

included in the programme activities since they do not enjoy land rights, have limited livelihood

opportunities, live in poor housing and living conditions, have limited access to health and other

extension services and isolated.

45. Youth: Many youth in the age groups of 15 to 25 are mostly school dropouts and are engaged

in casual unskilled wage labour. Even school passed male youth are unable to find employment since

they lack basic skills required by most employers. Many youth are reluctant to take up agriculture or

forest based collections. High risk of male youth becoming involved in illegal activities and alcoholism

exist. Both boys and girls marry young and often live separately from their parents. Early marriage

and motherhood has a toll on the young girls’ health apart from affecting the health of the children.

46. Adolescent boys and girls in schools: The boys and girls under the age of 14 and those who are

studying in schools are largely the first generation school goers and learners. While they should learn

about their culture and heritage, it is also equally important that they receive basic knowledge and life

skills on health, hygiene, benefits of marriage after 18, evils of alcoholism etc., They are at an age

when behaviour and attitude changes can be easily brought about. Some of the very poor youth do

not continue their studies beyond school because the family’s financial situation does not permit them

to pay the entrance fees required and the scholarship is received later. They require short term

education loans at the least interest rates.

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Annex-1: Targeting strategy by Programme Component

Component/sub

component

Thrust activities Primary Target groups Likely outreach

Community Empowerment:

Community

institutions

VDP formation for village

development and livelihood

planning

Training on reproductive health

Training on nutrition and health,

effect of alcoholism, benefits of

marriage after 18

All households

Women and adolescent girls

Women, adolescent boys and

girls

100%

70% of the households

SHG and Rural

Finance

SHG formation and strengthening

Dal banks

Training on financial literacy,

gender issues including legal

rights.

Access to savings and credit

Women from vulnerable and

highly vulnerable interested in

income generation activity.

Women headed households.

70% of households

NRM and livelihoods improvement

NRM Reducing landlessness No home stead or agricultural

land;

20%

Land and water resource

management

First priority Households with

podu land,

There after Households with

settled land

70%

Village infrastructure all

Livelihoods

Home stead based livelihoods Women headed households as

part of functional SHGs.

Other SHG women.

At least 50; coverage

of all households

through one activity or

other

Value addition and NTFP based Largely women 14%

Market Access and haat bazaars All

Improvement of crops At least 50 % women 70% of the households

Vocational training Youth 1% of the households

Community Infrastructure:

Housing and habitat improvement Women headed households,

Other highly vulnerable and

vulnerable households

6%

Road, electricity, Drinking water

and solar lighting and other

infrastructure

Villages without these will be

the top priority

100%

Drudgery reduction Women headed households

Highly vulnerable and

vulnerable households

50 to 100% of

households for

different initiatives

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Appendix 3: Country performance and lessons learned

57


1. Overall Lessons

1. In 2009 the independent IFAD Office of Evaluation (IOE) carried out the first country programme evaluation (CPE) since IFAD began operations in India in 1978. The CPE team affirmed the value of IFAD’s role in addressing rural poverty and highlighted IFAD’s particular contributions to promoting pro-poor innovation and serving as a demonstrator of the design, implementation, supervision and M&E of pro-poor and rural development projects. The CPE rated the overall performance of the India portfolio as satisfactory, but called for increased operational efficiency, and a more strategic and systematic approach to the replication and scaling up of pro-poor innovations. The evaluation recommended that, while continuing to focus on rural women and tribal communities, more attention should be devoted to smallholder farming households. It recommended discontinuing the practice of two projects funded by one loan and supported by one supervision budget. The CPE suggested enhanced engagement with the private sector, in line with corporate social responsibility, to enable and facilitate provision of services and development of inclusive market/value chains.

2. Some of the key lessons learned by the overall IFAD programme in India include:

Poverty can be effectively reduced through an empowerment process, which in turn requires investment in people’s institutions and in intangible assets. Each intervention should have an adequate implementation period, allowing sufficient time to establish and strengthen strong and sustainable grass-roots institutions.

The selection of qualified resource NGOs and facilitating NGOs is critical. The process of selection needs to be completed promptly and without political interference. IFAD has been asked to participate as an observer in the selection process to ensure its fairness.

Developing livelihood opportunities for smallholder farmers and tribal communities in rainfed and areas marginal to agricultural development requires broader partnerships that combine the competencies and resources of government, civil society and people’s organizations, and the corporate private sector.

India allocates very large resources to agriculture and rural development through state and centrally sponsored schemes. Ensuring convergence with such efforts would multiply the impact of project interventions.

Undertaking fewer, focused projects with larger average loan size can contribute to lowering transaction and administrative costs for both the Government and IFAD and would permit greater attention to implementation support, learning and impact achievement.

2. Lessons from IFAD-supported JTDP, CTDP and OTELP

3. Some of the key lessons learned by tribal development projects India include:

Empowerment of Tribal community a prerequisite for poverty alleviation: Historically, tribal communities have been living in relative isolation and were thus away from the mainstream economy, society and cultural and political system. A distinct cause of vulnerability and powerlessness among STs in comparison to other poor communities is their inability to negotiate and cope with the consequences of their forced integration with the mainstream.52 This was effectively addressed through an empowerment process, which required investment in people’s institutions as intangible social assets so that tribal people gained experience through guided practice of managing new systems and technologies and effectively negotiating with the mainstream society and institutions of the diku

53 (outsiders). Each intervention needed long

implementation period, allowing sufficient time to establish and nurture strong and sustainable grass-roots institutions.

52

The setting up of Scheduled Areas by the makers of the Indian Constitution and the later enactment of PESA as a separate

law for local self-governance in these areas as different from those applicable to other parts of the country is an

acknowledgement of this. 53

Diku is a term used by tribal communities in Jharkhand to denote non-tribal persons.

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Need for implementation in contiguous villages and Panchayats. JTDP has covered all the villages in an identified watershed but the coverage of villages within a Panchayat/block remained low. As a result, implementing agencies were not able to deploy quality staff, management and supervision costs were high, the linkages with statutory Panchayats (e.g. for MGNREGA) level schemes could not be established and there were able to develop livelihood interventions effectively. This needs to be addressed by ensuring coverage of all villages in a selected Gram Panchayat and also selection of contiguous Panchayats for effective implementation.

Need for focus on Livelihoods Improvement: Promotion of livelihood activities is best done by mobilising the community into Common Interest Groups for shared services and aggregation along specific sector-activities, building adequate capability to manage production, quality and marketing, and establishing necessary service and logistical linkages.

Smooth counterpart funds flow needed: JTDS received funds from the State Welfare Department as a Treasury Advance based on the budget approved by the State Assembly. As a result, the programme had to provide all vouchers for verification to settle the advance before the next instalments were released. This led to substantial delay in release of funds, hampering programme implementation. It is necessary that the Government releases funds as grant-in-aid and agree for settlement of accounts based on utilisation certificates.

Need for capacitating NGOs: JTDP engaged between 5 and 7 NGOs in each district, each working in clusters of 10 villages. Many of them with the exception of a few large NGOs could not employ competent staff due to limited budgets (large NGOs either subsidised staff costs or were working in nearby villages outside JTDP and OTELP clusters), had little ability to develop context-specific solutions. Dealing with a large number of partner NGOs also increased the workload of the District PMUs. It is necessary that there should be adequate budgets for engaging the services of NGOs and also to engage resource NGOs or Technical Support Agency at higher level for mentoring. As there is a very high level of variations in capacities of NGOs, it is necessary to have a common strategy for training the NGOs.

Limited PTG interventions and need for special focus on PTGs: JTDP, CTDP and OTELP were designed to test and demonstrate a workable model for tribal development, the PTGs remained away as they required much longer mentoring and nurturing to realize the advantage of development programmes.

Building alliances of Gram Sabhas and Panchayats to make tribal laws work: JTDP had limited facilitation in enabling the Gram Sabhas and individual tribal beneficiaries to take advantage from various laws (such as FRA) enacted for the welfare and development of tribal communities. Since Panchayat elections have been held, efforts should be in building strong alliances of Panchayats and Gram Sabhas so as to take best advantages from existing laws for the benefit of tribal communities.

Need for fulltime Project Director and committed staff support: Both JTDP and CTDP did not get adequate strategic direction and could not establish strong partnerships with various government departments for convergence due to the absence of a fulltime Project Director. In addition, there was high staff turnover, in part due to a lack of clear organisational vision and also because of absence of supportive HR policies. In this respect, OTELP’s performance has been better due to strong management and policy support.

In addition to above key lessons, specific lessons learned from OTELP and incorporated in the design of OPELIP are summarised in Annex-1, Appendix-3

3. Impact of OTELP

4. The impact of OTELP identified by an impact assessment study commissioned by OPTELP in

2009 indicated substantial improvement in the overall well being of the participating households.

These include:

Increase in the average household income by 15 percent over the baseline and approximately 18 percent of households had moved out of poverty;

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A significant contributor to the increased household income is increase in income from agriculture, with 25 percent of these households, indicating > 30 percent increase in income from agriculture. Regression analysis shows that the increase in agriculture income is attributed to accessing agricultural information, getting agricultural support services and undertaking soil and moisture conservation activities on their farms.

The food security scenario has improved significantly during the last few years. Almost half of the households both in BPL and APL categories indicated availability of enough food throughout the year. There has been a gradual reduction of migration of the poor as well as very poor households in the project area (VP-17.8% to 4.3%, Poor-5% to 1.7%).

There has been a significant reduction in the population which was dependent on moneylenders as the primary source of credit. As of now only 15 percent (37% Pre Project) show propensity towards moneylenders. This reduction can be attributed to availability of credit from other sources viz banks, SHGs etc. The credit seeking behaviour in control areas is similar to the project as the access to institutions viz. bank has been historically better in the control areas.

Malnutrition status across 12-23 month aged children becomes central to the reduction of

malnutrition among children. Findings showed a significant difference in the below -3SD and -

2SD figures of NFHS-III and Project areas: {(-3SD 26% NFHS, and 23% Project) (-2SD 54%

NFHS, 53% Project)}. There was a significant difference of around 10 percentage point in 12-

23 month age groups on the measure of stunting.

The gender empowerment index was developed to assess the overall well being of women. The overall empowerment index, arrived by assessing the weighted average of individual indices viz. Involvement in livelihood activities Index, Access to information index, Access to institutions index, household level decision making index, for project comes to 34 (out of 100), while the same for control group is 23. The difference in empowerment index can be primarily attributed to better access to information and better involvement in livelihood activities of women in the project areas.

Collective marketing is one of the key market-based interventions that targets enhanced

returns to the primary producers/ collectors. These however, are of a very limited scale as

well as being sporadic. These need to be consolidated in terms of scale and shaped as

supply-chain interventions rather than collective marketing interventions.

5. Impact assessment of land and water management54

interventions in phase 1 areas of OTELP

was carried out in 2011 and the following were the general observations and conclusions of the study:

The OTELP interventions influenced different aspects like agricultural production systems,

environment and socio-economic conditions of the Tribal. OTELP gave greater emphasis to

construction of diversion weirs and check dams and leading the water to the crop fields

through water courses. This resulted in the increase in area irrigated: from about 18 ha/VDC

before the project to about 47.54 ha/VDC (162% increase) by end of the project.

The water harvesting structures were created by the VDCs with technical support from ITDA

and FNGOs. Local materials were mostly used for construction of these structures and in

addition the beneficiaries also provided free-labour, which was possible due to peoples’

cooperation.

The land and water management interventions have supported sustainable production of

food, fodder, fuel wood and meaningfully addressed the social, economical and cultural

issues of the Tribal community. The interventions have led to increased agricultural

54

Impact Assessment of Land and Water Management of Phase-I area of OTELP by the Overseas Project and

Services Ltd, Bhubaneswar, published in 2012.

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production, promotion of fishery and livestock, afforestation, horticultural plantation, income

and employment generation at large.

The stone terraces constructed across the slope have reduced soil erosion and runoff flow

and the WHS have retained runoff water for a longer duration, which has been used for

lifesaving irrigation. In most cases double cropping has become possible. Cash crops like

vegetables, banana, lemon grass, groundnut and sunflower have been introduced in many

villages.

The very concept of watershed “village soil in village and village water in village” has become

true in programme areas barring few exceptions.

The changes in cropping patterns have taken place both in additional area brought under well

irrigation from the fallow lands and in area under rain-fed cultivation. The area under paddy

and vegetables has substantially increased. The gross cropped area of 163 ha/VDC has

increased to 198 ha/VDC (21.55% increase).

Details Area in ha

During 2005-06 During 2010-11 % change

Irrigated area 18.12 47.54 162

Cropped area 163.13 198.29 22

Area planted with fruits 2.63 7.70 193

The study showed that the cropping intensity has increased 12% over baseline. Productivity

of rainfed paddy increased by 79%, maize and ragi by 40% and pulses by 46% and irrigated

paddy by 93%.

Crops Yield in Kg/ha

During 2005-06 During 2010-11 % change

Paddy, rainfed 1670 2994 79

Maize, rainfed 1250 1750 40

Ragi, rainfed 930 1300 40

Pulses, rainfed 375 550 46

Paddy, irrigated 1833 3546 93

Raagi, irrigated 1050 1450 38

The OTELP interventions helped the rural farm and non-farm households to enhance their

incomes. The average household income increased to INR 43790. This was possible due to

increased agricultural production and enhanced earning from wage employment. This had

significant bearing on the reduction in out-migration.

The study indicated that water levels in wells increased, leading to expansion in irrigated area

and increased availability of water to domestic use and livestock but no quantified data are

available.

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Annex-1: Lessons Learnt from OTELP and adopted in OPELIP Design

Key lessons learnt from OTELP

Lessons adopted in OPELIP design

OTELP created 358 registered VDC and empowered them

with training and capacity building. Community empowerment

and capacity building55 was the key to improving the

livelihoods of the tribal communities.

This lesson has been adopted in OPELIP design

OTELP organised 4,27356 SHGs and provided them strong

hand-holding support; of them 95% are fully functional with

savings and credit; and their internal lending reduced money-

lenders activities significantly. These SHGs are grouped in to

241 federations.

This approach has been included in the OPELIP design by

associating partner NGOs for capacity building and hand-

holding support.

Approach that yielded positive results included awareness

creation of 944 village communities, grass-roots planning by

involving them, targeting complete village for inclusive

development, partnering with 14 FNGOs and ensuring

smooth flow of funds.

This is the core aspect of OPELIP design

Formation and strengthening of SHGs should also be

accompanied by livelihoods planning. Some 4,320 solar

lamps built by women’s group were supplied to SC&ST

Department Schools.

This approach is adopted in OPELIP design

The VDCs should work in close association with Gram / Palli

Panchayats for convergence.

One third of the members of VDCs will be from Palli

Panchayats.

OTELP adopted ‘micro-watershed approach’ for NRM and in

the process, several villages and their households were left

out as they fell outside the micro-watershed.

Under OPELIP Gram or Palli Panchayats will be taken as a

unit area for planning and thus all households within a GP will

be covered. Further these plans will be subject to ‘Climate

Vulnerability Assessment’ either with the support of

participating NGO or District Soil Conservation Offices.

Where needed staff capacity in climate vulnerability

assessment will be enhanced through exposure cum training

OTELP covered all the villages in a micro-watershed but the

coverage of villages in a Gram Panchayat was low. As a

result, FNGOs were unable to deploy quality staff for

implementation supervision.

OPELIP will cover all villages within a Gram Sabha and this

will encourage NGOs to deploy better and quality staff for

implementation support and supervision.

In the absence of decentralised powers for approval, most of

the ‘Gram Sabha resource management plans’ did not get the

full funding support.

Under OPELIP respective MPA has powers for sanction and

approval of micro-project based resource management plans;

and these plans will also get convergence support at district

level as District Collector is the chairman of the Micro-project

Society

As villagers were scattered securing the services of

competent FNGOs was always a constraint; FNGOs were not

offered longer term contracts resulting in implementation

delays.

Under OPELIP villages form a contiguous area and therefore

securing the services of competent NGO will be possible and

they will also be offered longer term contracts with favourable

terms.

Involving local resource persons enabled faster disposal of

land allotments for 8,610 households under Forest Rights

Act (FRA)57

The OPELIP will use this strategy while handling all FRA

cases.

Enterprises provided to individuals performed better than

enterprises provided to groups.

OPELIP uses this approach in the design and criteria will be

laid out for individual and group enterprises at Appraisal

55

OTELP organised some 578 community mobilisation camps, training programme to 805 SHG leaders in book-keeping,

leadership, management etc, and 1076 training programme for VDC members on leadership and book-keeping. 56

Of 4273 SHGs 2307 are graded A, 1296 graded B, 470 graded C and the remaining 200 are to be graded. Average saving

per SHG is INR 26,530. All groups meet regularly and 95% of them regular in saving. They were able to mobilise some INR 104

million through linkages with banks. Nearly 70% households have access to rural financial services: 35% loans for non-farm

activities, 55% for agricultural and production activities and 11% for consumption expenditures (as on April 2013). 57

On the basis of the success rate, the government has expanded the Land Allocation Programme from 1042 OTELP villages

to about 118 TSP Blocks in the State

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Performance of SHG-bank linkages has been mostly

unsatisfactory with tribal SHGs.

In OPELIP design, piloting of two women cooperatives

proposed as SHG-bank linkage is even harder to achieve in

PTG areas.

Full time Programme Director for strategic guidance,

competent staff for field level operations, OTELP

management structures and associating NGOs accelerated


This is emphasised under OPELIP along with better service

conditions for staff and building their capacity.

Training and refresher training of staff at all levels, training

VDC office-bearers, SHG leaders enabled them to perform

better.

These lessons have been built in to OPELIP design.

Additional core staffs have been added to each MPA and

services of NGO have been also provided on continuing

basis.

The OTELP field implementation units are embedded within

ITDA, which are also registered, independent body under the

District Collector. This enabled convergence with other

programmes

The MPAs are registered independent entities, of which the

District Collector is the chairman. Aggregated micro-project

convergence plans of OPELIP will be discussed and

approved at this level.

For want of favourable terms and adequate remunerations for

the FNGO field staff, progress in some areas lagged.

This is emphasised under OPELIP and appropriate TOR for

engaging the services of NGOs will be proposed at appraisal.

OTELP adopted participatory approach in planning and

implementation; and used locally available masons and

technicians and it was thus not affected by local left-wing

extremists.

The OPELIP will adopt the similar approach at the time of its

implementation

Villages with access to markets and other support facilities

performed better than those villages lacking these facilities.

Community infrastructure for connecting to schools, markets,

health care centres, child care centres etc is included as one

of the programme components under OPELIP.

Drudgery reducing interventions enabled women to take part

more effectively in other livelihoods activities58

These are area specific: access to water, nutritional food

security, access to fuel wood, use of smokeless stoves,

access to health services and child care etc to quote a few.

These and other facilities are part of OPELIP design.

The Palli Sabha/ Gram Sabha needed intensive training and

capacity building and hand-holding support of FNGOs in

order to ensure that these grassroots entities performed well

This lesson is built in to OPELIP design and for each micro-

project; the services of NGO will be provided. The NGOs will

be responsible for capacity building, organising SHGs and

strengthening them and providing hand-holding support on

continuing basis, facilitating in the preparation of village

development plan including the convergence plans, book-

keeping, community participation in procurement etc

Village Social and Financial Audit Sub-committee of the Palli

Sabha/ Gram Sabha was responsible for oversight and the

members of the committee were provided training facilitated

by FNGOs.

This lesson has been built in to OPELIP design and similar

such committees have been proposed.

58

Piloting Flexi-biogas unit, compressed earth block units, demo of smokeless stoves, xylem Treadle pumps are some of new

initiatives undertaken under OTELP. Source: OTELP Annual Report 2013.

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Annex-2: India Country Programme – Key Statistics and Achievements

i). Active Country Programme as of 1 February 2014

Project Name and brief description Approval

Date

Total

Project

Cost

USD’000

Effective

Date

IFAD

Loan & Grant

Amount

USD’000

% Disbursed

Orissa Tribal Empowerment and Livelihoods

Programme

23 Apr 2002 91,154 15 Jul 2003 19,996

98%

Tejaswini Rural Women’s Empowerment

Programme

13 Dec 2005 208,687 23 Jul 2007 39,448 62%

Post-Tsunami Sustainable Livelihoods

Programme for the Coastal Communities of

Tamil Nadu

19 Apr 2005 68,591 09 Jul 2007 14,958 93%

Women’s Empowerment and Livelihoods

Programme in the Mid-Gangetic Plains

14 Dec 2006 52,472 04 Dec

2009

30,169 13%

Mitigating Poverty in Western Rajasthan Project 24 Apr 2008 62,335 11 Dec

2008

30,361 22%

Convergence of Agricultural Interventions in

Maharashtra’s Distressed Districts Programme

30 Apr 2009 118,645 04 Dec

2009

40,101 17%

North-Eastern Region Community –

Phase II

17 Dec 2009 38,200 12 Jul 2010 20,000 53%

Integrated Livelihoods Support Project 13 Dec 2011 258,789 01 Feb

2012

89,910 2%

Jharkhand Tribal Empowerment and Livelihoods

Project

21 Sept 2012 115,500 51,000 nil

Livelihoods and Market Access Project,

Meghalaya

ii). IFAD Loan Disbursement in India 2006-2013 (SDR) as at end of December 2013

Project 2006 2007 2008 2009 2010 2011 2012 2013

SDR SDR SDR SDR SDR SDR SDR SDR

JCTDP 506 1 351 518 808 401 3 452 493 2 098 143 861 841 3 528 204

NMF 538 9 999 347 550 654

OTELP 585 515 417 1 559 658 719 566 955 811 4 068 951 3 161 918 4 019 292

OTELP 585 DFID Grant (GBP converted in SDR)

2 910 828 2 029 815 1 910 149 436 165 383 000

LIPH 624 1 346 811 1 374 973 2 349 016 2 330 714 4 130 016 4 390 664 3 381 260 2 049 239

PT Tamil 662 651 670 63 754 346 842 744 048 2 583 601 1 075 537 3 765 092

PT Tamil 691

Tejaswini 682 1 936 876 1 407 825 2 443 289 3 349 371 4 508 708 3 640 521

WELP 710 1 267 283 179 973 576 574 585 241

C-AIM 779 1 359 545 314 407 338 077 2 512 269

MPOWER 748 1 260 160 149 725 794 023 741 526 1 172 970

NER 794 1 559 452 2 558 211 2 472 618

ILSP 1 316 032

JTELP

India Total 13 213 093 9 242 404 9 165 297 10 309 642 10 955 748 21 204 811 16 341 811 21 916 274

iii) Key Country Programme Achievements

Evaluation: The India Country Programme was rated 5 by the 2011 CPE; in 2012 one IOE Evaluation took place (for the National Microfinance Project), and it was rated 5.

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Replenishment: India continues to be the largest List C contributor (USD 30 million for IFAD 9);

IFAD 9 targets: India continues to be one of the largest contributors to the IFAD 9 outreach target (current number of active beneficiaries in India is 8.2 million);

Problem projects: Portfolio performance has improved dramatically. In 2010 there were 5 problem projects. In 2013 there were only 2 problem projects.

IFAD visibility: COM undertook a reputation analysis of selected countries in 2012. India achieved the highest score of all countries surveyed (74% of 1200 persons surveyed were familiar with IFAD, and 81% trusted IFAD);

Scaling-up: Scaling-up is happening across the programme. For example in the north-east, the World Bank is scaling-up IFAD’s NERCORMP. In Orissa, the State Government is scaling-up IFAD’s OTELP. In Uttarakhand and Jharkhand, the State Governments are scaling up IFAD projects.

Knowledge Management: IFAD has a high profile KM strategy in India with regular 6 monthly newsletters, flag ship publications, and internet based platforms. In recognition of IFAD’s achievements, the Ministry of Finance requested IFAD to set up a Government KM/innovation website;

Policy support: IFAD is being requested to assist Government in a number of policy initiatives. For example, the Ministry of Tribal Affairs has asked IFAD for technical assistance in the design and implementation of the national Tribal Sub Plan.

Innovation: IFAD continues to finance innovations in India, and currently has 8 agricultural research grants, and two new grants under development (both focusing on innovation). IFAD financed a national innovation workshop in September 2013 to support scaling-up of promising technology at the State level. The workshop had strong support from the Ministry of Agriculture in Delhi, and strong representation from State Governments.

iv). Selected Country Programme Results for 2013

Project actual hhs

reached 2013 Number of

SHGs Active SHG members

Active Borrowers Active Savers

Value of Savings INR

NERCORMP 20 826 1 504 20 578 20010 20 578

OTELP 126 180 4 273 49 902 36630 46 409 113 360 000

ULIPH 47 000 3 560 36 856 14554 36 856 90 300 000

MLIPH 44 429 2 387 25 256 8889 25 256 19 100 000

Tejeswini MH 867 936 66 304 867 936 867 936 1 986 000 000

Tejeswini MP 165 148 12 446 165 148 14038 165 148 160 366 710

PTSLP 129 723 5 310 81 145 16821 81 145 493 000 000

WELP MGP 92 500 7 727 92 500

MPOWER 46 975 4 547 46 677 46 677 47 900 000

CAIM 100 000 7 968 79 680 79 680

1 640 717 116 026 1 465 678 110 942 1 369 685 2 910 026 710

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Appendix 4: Detailed Programme Description

65


1. Components and location Map

OPELIP has four components and these are: (i) Community Empowerment; (ii) Natural Resources

Management and Livelihoods improvement; (iii) Community Infrastructure and Drudgery reduction;

and (iv) Programme Management. Scattered locations of the 17 Micro-project areas are shown in the

map below. Outreach of OPELIP including households reached are summarised in Annex-1 and

linkages between components and sub-components are presented in Annex-2.

2. Component 1- Community Empowerment

1. Rationale: PTGs remain mostly dependent on forest-based livelihoods and hence their

interaction with the mainstream communities remains limited. Though several government

programmes have been initiated in the past, their impact on the livelihoods of the tribal communities

has not been proportionate to the investments made. The main reason being inadequate investment

in building capacity of the tribal communities to engage effectively with the non-tribal world on fair

terms and demand their entitlements. The rationale for the Community empowerment component

emanates from the pre-eminence of empowerment as the basic building block for development of

rural communities in general and tribal communities in particular. High transaction costs to access

banks and also tendency to enter to exploitative relationships remain the main issues to be

addressed. There is no alternative but to enhance the financial literacy and savings habits through

SHG mobilization.

2. Expected outcomes, output and outreach: The expected outcomes from this component

include: (i) At least 75% of SHG with active internal saving and lending; (ii) about 90% of SHG

members borrow at least four times from the SHG; (iii) VDC decisions accepted by Gram Sabhas; (iv)

MICRO-PROJECT AREAS

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Appendix 4: Detailed programme description

66

nealy 84 GS sub-committees formed and tap govt schemes; (v) 50% decline in rural indebtedness;

and (vi) 75% of VDAs implement 80% of plan allocations. OPELIP will organise 1,019 VDAs and

equal number of VDCs, prepare and implement 1019 VDPs, mobilise 3,800 women SHGs and

organise 84 GPLFs. The programme will engage 17 NGOs and 360 CRPs. This component will reach

all 62,356 households targeted by the programme.

3. The Community Empowerment Component has two sub-components: (i) Community

Institutions; and (ii) Promotion of SHGs and Rural finance.

(a) Sub-component: Community Institutions

4. Leaders of functional SHG and the CRPs will form the core group for effective mobilization of

the community. The community mobilization will start with frequent field visits and night halts. As a part

of this mobilization process, thematic cultural programmes will be organized focussing on alcoholism

and associated exploitation and poverty, and chronic malnutrition and its impact on future generation.

The programme will implement several entry point activities in order to gain the confidence of the

community. The programme will allocate INR 175,000 per natural village for undertaking entry point

activities.

5. A Village Development Association (VDA) will be established at each natural village level. In

case a village has less than 30 households, a VDA will be formed for two villages. Traditional leaders

as well as the leaders of the PRIs will be involved in decision making. VDA will have the membership

of all adult male and female members. VDA will select/elect a four member (men and women in equal

numbers) management committee which will be called the Village Development Committee (VDC).

Three out of four members will have to be from the PTGs.

6. VDC will be responsible for implementation of village level development activities. Mobilization

of community, exposure visits and capacity building activities will be the building blocks. Entry Point

activities will be implemented by the MPA/NGO. These preparatory activities are expected to lead to

preparation of a Village Development Plan (VDP); a village perspective plan for five years. VDP will be

a comprehensive resource development and usage plan for the entire landscape of the village,

focusing simultaneously on enhancing resource productivity, conserving the resource base and

setting in motion resource regeneration processes. VDP will cover land and water resource

development, productivity enhancement including crop diversification and irrigation related activities,

livelihood activities and rural infrastructure, VDP after approval by the VDA will be submitted to the

concerned MPA for approval. Based on the approved VDP, the VDC with support from NGO will

prepare AWPB each year. Funding for implementation of these plans will be released to the bank

account of VDCs or in some large contracts directly by the MPA to the suppliers and contractors.

7. Two committees already exist in these villages and they are: (i) Forest Rights and Conservation

Committee (FRCC); and (ii) Village Health and Education Committee (HEC). In addition, a Social and

Financial Audit Committee (SFAC) will be established. FRCC undertakes activities related to land

allocation and conservation. SFAC and HEC will be managed by only women preferably from

functional SHGs. SFAC will be responsible for conducting social audit and also for facilitating financial

audit of the VDC by the Chartered Accountants. HEC will also coordinate activities related to health,

nutrition and education related activities of the programme apart from monitoring the activities of

Anganwadi and ASHA workers and will also undertake social and nutrition focussed entry point

activities.

8. At the grass-roots, the programme will be implemented by NGOs engaged for the purpose. The

programme households are dominantly the PTG who remain isolated on account of language and

distance barriers but now are making slow transition into settled agriculture. On account this

programme will ensure intensive engagement of NGOs with two levels of human resource for

intensive handholding of the PTGs: each CRP covering 2-3 villages at the grassroots level and a team

of NGO professionals at the MPA level. The programme will also ensure adequate training of the staff

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of NGO and MPA including exposure visits (Details are presented Para 40 of Working paper 4 –

Community Institutions Development.

(b) Sub-component: Promotion of Self Help Groups (SHG) and Rural Finance

9. The programme will invest in the capacity building through exposure visits and training of the

programme implementation staff of PMU, MPAs and NGOs including CRPs on the good practices in

formation and nurturing of grassroots institutions. A GPLF will be established in each GP with three

women leaders from each village – out of the members of Village financial and social audit committee

and Village health and education committee forming governing body. A CRP per GPLF will be

employed by the NGO in the initial years and the leaders along with the CRP will carry out mapping of

existing SHGs, revive/dissolve defunct SHGs, and mobilise women to join self help groups. The broad

functions of the GPLF will include: (i) form and nurture SHGs apart from providing training, book

keeping services; (ii) promote savings in different forms – Dal Poshak Bank (lentil/pulse Bank),

facilitation for Business Correspondent to reach out to the programme villages; individual household

savings will be with any of the scheduled banks which have deposit insurance covered,(iii)

management of vulnerability reduction fund and Community investment funds; (iv) awareness raising

and training on adoption of better nutrition, sanitation and hygiene practices, addressing alcoholism

and drudgery reduction; and (v) grooming members to effectively participate in various institutions like

VDA, Palli Sabha and Gram Panchayat.

10. Formation and strengthening of Self Help Groups: The SHG led savings and credit activities

will be implemented in compliance with NRLM requirements and in this respect the MPAs will be

responsible for the implementation NRLM in the programme area (Details in Para 50 of Working paper

3 – Self Help groups and Rural Financial Services). NGOs with the help of CRPs will carry out a

detailed mapping and assessment of the status of the self help groups in the villages. SHGs accounts

will be audited and bank loan details will be reconciled. New group formation will focus on activity

based groups to pursue individual income generation activity. Rotation savings and credit groups

(ROSCAs) will be formed in inaccessible villages with limited book keeping capacity. After 2 years of

functioning, these ROSCAs will be encouraged to function as SHGs if they so desired. Given the lack

of focus on good practices in the current set of SHGs, the mobilisation efforts will be process oriented.

Given the low literacy levels, the programme will adopt appropriate learning techniques to build

capacity of SHGs. SHGs will be facilitated to establish Dal Poshak Banks which will work on the

principles of grain banks to improve protein intake of the households. The group meetings will devote

adequate attention to the social, gender issues faced in the households and community. Need based

credit linkages will be promoted with banks.

11. Community Funds: Compliant with NRLM processes, the programme will set up three different

funds: (i) Pro-poor Inclusion Fund (PIF) of up to INR 15,000 to each SHG will be provided between 3

and 6 months of formation to enable its members to take up small activity since their savings are very

small to take credit for any meaningful activity; (ii) Vulnerability Reduction Fund (VRF) of up to INR

250,000 per GPLF will be provided which will be used as longer term low-interest loans for debt

redemption, health, education of children, loss of livelihood assets etc; (the maximum loan size will be

INR 10,000 and maximum loan term will be 2 years)and (iii) The Community investment fund (CIF) of

up to INR 1,150,000 per GPLF (or at the rate of INR 2,200 per member) will be provided on the basis

of simple household assessment to support for initiating or expansion of individual income generation

activity of SHG members; collective activity of SHGs or GPLF will also be supported but these will be

exceptions. Need-based bank linkages will also be promoted for groups with higher credit demand.

The fund infusion will be slower and more process oriented than the normal NRLM procedures to

ensure proper utilisation and management of these funds. Performance benchmarks to receive these

funds in Annex 3, Annex 4 and Annex 5 of the Working Paper 3 – Self Help Groups and Rural

Financial Services.

12. Promotion of Cooperatives, and Financial Services: There is a strong case for formation of

a local cooperative since the banks are located far away from the PTG villages and habitats and

operating costs of dealing with banks are high. A feasibility study for setting up community-owned

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cluster level co operative will be taken up during the third year of the programme. Based on the

results, two co operatives are likely to be piloted for promotion of savings after thorough due diligence.

The savings and credit aspects of the programme will be NRLM compliant and MPAs will be

empowered through appropriate Government Orders for implementing NRLM in their service area to

avoid duplication of efforts between the NRLM Society and MPAs. MIS of the programme related to

SHG mobilization will be NRLM compliant with required information sharing. The programme will

facilitate opening of savings bank account of SHGs. Systems for safe savings will be put in place in

remote areas where high transaction costs are incurred for accessing banks. Programme will facilitate

the operations of Business Correspondents of banks for the programme area and focus on credit will

be need based.

13. Gender participation: The programme will achieve required gender balance in community-

based institutions such as VDAs VDCs and other such grass-roots bodies, which will have of equal

number of men and women. The SFACs, HECs, GPLFs and SHGs will be “only women” focussed

community institutions. This will enable addressing gender issues in general and women issues in

particular. The programme intends to strengthen the GPLF and HEC which will undertake

interventions relating to nutrition. It will address nutrition education and raise awareness of mothers on

causes, impact and remedial measures related to child malnutrition.

3. Component 2 – Natural Resources Management and Livelihoods Support

14. Rationale: Forest resources and land and water have been the main sources of livelihoods for

the PTGs; seasonal migration to nearby plains and to far off cities in a few cases is of relatively recent

vintage. Unlike other ST groups, the PTGs are relatively new to farming—which indeed is a key

rationale for putting them into a distinct category among the ST by the government. Yet most have

taken to agriculture, settled as well as shifting, and rearing of small stock. The level of education

among PTGs, even among the youth and children is very low and the limited education a few do

possess is of poor quality, making them least likely candidates for modern urban sector jobs.

Therefore, securing PTGs’ access and rights to natural resources and improving the management of

these resources remains the key to enhance PTG livelihood in the medium term. Introduction of

poultry and goat interventions have not met with success in tribal villages mainly on account of lack of

focus and investment into support services to address issues of predation, diseases and feeding.

These homestead based livelihood activities of PTGs will have to be strengthened with training,

support services, demonstrations and production support. NTFP being another most important

livelihood, efforts for aggregation, value addition and marketing need support.

15. Expected outcomes, output and outreach: The programme is expected to result in allocation

of homestead sites to all PTGs without title for homestead sites and title for revenue/forest land for at

least 70% of the PTG households. It is estimated that 12,500 households will have land title for

homestead sites and 43,500 households will have at least one standard acre59

of cultivable land. The

land development activities will benefit approximately 43,500 households (20,000 ha); approximately

30% households (19,000 households) will benefit from irrigation and 50% (31,000) households from

crop demonstrations. Approximately 40% (18,800) PTG households will benefit from agri-horticulture

plantations on podu land. The programme will support 32,000 (51%) for kitchen garden, 5000 (8%)

households in backyard poultry, 4000 households (6%) in goat rearing, 8500 households through

producer collectives and 500 youth through vocational training. The programme will also establish 34

NTFP collection centres within the haat bazaars that will be upgraded. This component has three sub-

components: (i) Natural Resources Management; (ii) Food and Nutrition security, and (iii) Livelihoods

improvement.

(a) Sub-component: Natural Resources Management

59

As per the Orissa Land Reforms Act, 1960, ‘standard acre’ is a measure of land equivalent to one acre of Class I land, 1.5

acres of Class II land, 3 acres of Class III land or 4.5 acres of Class IV land. Class I land is irrigated land in which two or more

crops can be grown in a year, Class II land is irrigated land in which only one crop can be grown in a year, Class III land is un-

irrigated land in which paddy can be grown once in a year and Class IV land is all other land.

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16. Under this subcomponent, the programme will implement activities related to land allocation

and recording of land rights, land and water resource development, productivity enhancement and

nutrition-sensitive agriculture, and agri-horticulture, podu stabilization and community forestry.

17. Land Allocation and Recording of Land Rights: PTGs households undertake shifting cultivation

on both Revenue and Forest land but do not have title documents for these lands. Under Forest

Rights Act and other relevant acts of the state government, provision has been made to allocate title

for land under cultivation by tribal households including PTGs. Implementation of this these acts have

been slow and this programme will make special efforts by engaging a specialized agency to ensure

allocation of title in the name of both husband and wife availability for the land under cultivation by the

PTGs (Details in para 51, 55 and 96 of the Working Paper 5 – Natural Resources Management and

Para 17 of the Working Paper 6 – Livelihoods Support).

18. The activities will include: (i) Preparation of detailed village maps for all households and maps

of forest land under use/occupation by ST households; (ii) Allocation of 0.10 acre of Revenue Land

and titles for homestead to households that do not have homestead land or title to the homestead

land occupied by them; (ii) Allocation of eligible Revenue Land for agriculture to every household that

does not have agriculture land or legal title to land currently being cultivated by it so that every

household has agriculture land equivalent to at least one standard acre; (iii) Recording of Rights for all

ST households up to 4 ha per household of forest land occupied by them under FRA including land

under podu cultivation, settled cultivation, horticulture or homestead; and (iv) Recording of Rights for

the village under section 3(1)(i) of FRA on forest traditionally management by the community. The

services of LANDESA, a NGO that has developed this unique domain knowledge and a methodology

of working through local village youth trained by them as CRPs and local Revenue Officials will be

used for this purpose.

19. Land and Water Resource Development: The programme will facilitate the development of land

and water resources available to the target households. Activities would include, (i) in-situ

management of rainwater through mechanical measures such as land levelling, bund making,

terracing, contour trenching, etc., biological measures such as plantations and protecting farmland by

constructing diversion bunds for safe disposal of excess rainwater run-off where necessary; and (ii)

micro and small-scale irrigation development, including harnessing water from springs and streams,

diverting run-off to provide protective irrigation to paddy crop, provision of irrigation to homestead

gardens and harvesting rainwater where perennial surface water is not available and suitable sites are

present. The programme will facilitate prepare of a sub-plan for natural resource management

activities as part of the Village Development Plan (VDP) preparation with technical guidance of the

NGO facilitators. Specific treatment and development activities for each patch will be identified in

consultation with the households owning the patch and demarcated on the map. It will include

potential sites for harvesting rainwater by constructing check dams and measures to minimise the

harmful effects of run-off and building of irrigation and run-off management systems.

20. Irrigation and rainwater run-off management. This will focus on making use of available

water resources from springs and streams near villages and to moderate or divert the rainwater run-

off from areas upstream of the village so that farm land is not damaged and to harvest and store

rainwater where suitable sites are present. Irrigation will support improved crop production, cultivation

of vegetables in homesteads/backyards, protection of paddy crop in the course of erratic monsoon

rains and enable cultivation of winter crops, leading to higher farming intensity, higher yields and

increased availability of food, including vegetables. Following activities would be taken up:

(a) Diversion-based irrigation: Potential sites demarcated during the planning process would be developed for diversion based irrigation. These will tap perennial or semi-perennial sources of water from springs and streams upstream of the village. Where necessary, a weir would be constructed to divert the water into buried PVC pipes via a stilling basin to transport water to the agricultural fields. PVC pipes are preferred as these are much cheaper than masonry channels, are easy to install, can be installed in much shorter time, have long life and are free of maintenance. This has been demonstrated in OTELP areas where the switch was made five years ago from masonry to PVC on the

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recommendation of a Supervision Mission. Where it is not feasible to dig ditches to bury pipes due to a rocky terrain masonry channels may be used. Where the flow is not adequate a storage tank may be constructed upstream of the irrigated area to store water at night when irrigation is typically not done.

(b) Lift irrigation or pump irrigation: While most villages are likely to have perennial streams or springs upstream,

60 in some cases the water sources, such as streams or

ponds, may be only downstream from the agricultural land. In such cases, lift irrigation comprising of a pump of suitable capacity, buried PVC pipes for transporting water to the fields and a safe pump house will be taken up. Where grid electricity is available, electric pumps will be used with the cost of extending electric connection to the pump from the grid included in project cost; else diesel pumps may be installed.

(c) Protective irrigation through diversion channels: Paddy during the rainy season is typically cultivated as a rain-fed crop in these parts due to the high rainfall. The crop is vulnerable to water stress if there are long breaks in the monsoon rains even as water may be available in nearby seasonal streams that swell up during the monsoons. Where suitable sites are present, protective irrigation will be provided to save paddy crop during breaks in the monsoon rains by diverting rainwater run-off from nearby streams and catchments to paddy fields during the rainy season. These typically are earthen channels along contours and do not require masonry works.

(d) Rainwater harvesting structures: While in-situ rainwater harvesting will be done where suitable sites are available as described above, ex-situ rainwater harvesting and storage structures may be constructed to store rainwater for use in irrigation downstream, drinking by cattle in villages where perennial sources of water are not available nearby to enable diversion or lift based water supply for drinking and irrigation. The need for such structures is likely to be limited in the project villages due to the presence of springs and streams in the MPA areas as transporting water from such sources would be more reliable and cost effective.

As far as possible, irrigation will also be provided to homesteads for cultivation of vegetables.

Irrigation may also be provided to podu sites where agri-horticulture is planned to irrigate the saplings

during the initial years of establishment. Small ponds as sources of drinking water for cattle may be

integrated with diversion based irrigation as no energy is required to transport water. Sites selected for

irrigation should be such that the total cost does not exceed INR 100,000/ha, including the cost of weir

where needed and a pump house.

21. Support to Productivity Enhancement: The activities to be taken up by the programme are (i)

crop productivity enhancement through better farming practices such as seed selection and treatment

to sift out immature seeds, sowing germinated seed, seed replacement, selection of crops suited to

prevailing agro-ecological conditions, crop planning and rotation, timely sowing, proper seed rate, line

sowing, weeding, system of root intensification (SRI) and water management; (ii) promoting winter

crops where irrigation is introduced or land development activities have enhanced soil moisture to

grow oil seeds, pulses and vegetables by setting up demonstration plots; (iii) soil fertility enhancement

by promoting compost, use of Rhizobia with pulse crops, cultivation of green manure crops and

Gliricidia hedges; (iv) homestead development as nutrition gardens by fencing, setting up trellises and

providing micro-irrigation using a drum based drip irrigation system to cultivate leafy vegetables fruit

trees such as drumstick and papaya; (v) providing power tillers and other farm equipment to alleviate

the draft power constraint; (vi) promotion of farmer field schools; and (vii) research support as a pilot

to identify and develop through selection and farmer field trials more productive varieties of various

nutrition dense and climate resilient crops traditionally cultivated by the PTGs, such as millets, pulses,

beans, oilseeds and tubers cultivated by PTGs and promote production of seeds of promising

varieties to supply to the village seed banks.

22. Agri-horticulture and podu stabilisation: The programme will take up agri-horticulture on land

presently used for podu cultivation or other land on steep slopes after settlement of titles under FRA in

60

This was the experience during field visits by the Mission Teams.

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the nature of alley cropping where fruit trees are planted at wide enough spacing to facilitate

cultivation of food crops, vegetables and spices. Land suited for settled cultivation, including sloping

land that can be developed for farming through land development activities will not be used for agri-

horticulture. Only of part of the land under shifting cultivation will be used for agri-horticulture. Agri-

horticulture would include cultivation of fruit trees, such as mango, litchi, citrus, guava, etc. depending

on the agro-climatic conditions in rows far enough apart so that seasonal crops, including cereals,

oilseeds, vegetables, pulses and spices can be cultivated between rows of fruit trees in the manner of

alley farming. The purpose is to bring a change in land use and promote sustainable use of land with

steep slopes prone to rapid erosion by combining fruit tree cultivation with alley cropping rather than

taking up block plantations of fruit trees (Details in Para 74 and 75 of the Working Paper 5 – Natural

Resources Management.

23. Development of denuded forest areas under Community Forest Rights: On a pilot basis, the

programme will facilitate granting of community rights under section 3(1)(i) of FRA and facilitate and

finance soil and water conservation measures on such lands, followed by planting of various forage,

firewood and other trees and grasses of use to PTGs. This would reduce women’s drudgery in

firewood collection and improve water availability by recharging springs. Two pilots will be taken-up in

each MPA area.

(b) Sub-component: Food and Nutrition Security

24. Food and Nutrition security: The programme will promote: (i) food security and productivity

enhancement by identifying local varieties that add value to nutritional basket and also identify new

crops suitable locally, develop seed banks, train farmers and CRPs, undertake demonstrations of

more productive farming systems, provide improved farm tools, including power tillers, establish

vegetable and fruit tree nurseries and introduce new and innovative farming techniques such as

system of root intensification (SRI); (ii) diversification of the faming system of PTGs to include fruits

and vegetables as well as traditional cereals, such as sorghum or millets, or bio-fortified crops that

have been bred for higher nutrient values; (iii) provision of technical advice and education on

processing and storage and on health and nutrition (including food safety, home preservation and

preparation); and (iv) milling and hulling activities as one of their IGA specifically with regard to

traditional crops that are being neglected to facilitate use of fortification to combat malnutrition and

also value-addition.

25. Farmer Field Schools: For disseminating information and technology among the farmers and

improving agricultural extension services, farmers would be organised in to farmer field schools (FFS)

with about 15 to 20 members with each such group. The CSPs, trained by the facilities provided by

the programme, will be the anchors of the FFS. At least one or two FFSs in each village will be

organised and provided support under the programme. The programme in collaboration with Orissa

University of Agriculture and Technology (OUAT) will take up the development of better agronomic and

management practices, identification and development of better varieties through selection and trials

for millets, pulses, beans, oilseeds and tubers cultivated by PTGs. The focus of these efforts will be to

enhance food and nutrition security of the PTGs.

26. Integrating nutrition aspects under other Components: A community nutrition assessment will

be part of the planning process to identify needs in the areas of food, health, water and sanitation, and

care. All activities proposed under the programme will be investigated through a nutrition lens to

ensure that crops and activities promoted result in household nutrition security improvement. The

programme has mainstreamed nutrition concerns into other components of the programme. It has

incorporated four important features to achieve this and these are: (i) training of children in residential

schools and SHG members on reasons for high levels of malnutrition among Tribal, impact of chronic

malnutrition, locally available nutritious foods, preparation of nutritious food using local materials,

sanitation and its impact on health and malnutrition and effects of alcoholism on the household’s

financial health and happiness; (ii) focus on cultivating locally available traditional food crops and

introduction of labour savings food processing technologies to promote use of traditional crops; (iii)

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focus on promoting kitchen gardens and other nutrition-sensitive crops such as pulses, millets and oil

seeds to address malnutrition; (iv) focus on nutrition-dense interventions such as backyard poultry

and goat rearing that not only provide access to protein rich food to PTG households but also

increase their incomes; and (v) promotion of convergence to address gaps in the areas of food

availability, health, water and sanitation.

(c) Sub-component: Livelihoods Improvement

27. Under this sub-component, the programme will support: (i) CSP training and support; (ii)

household production support – kitchen garden, backyard poultry, goat rearing and income generating

activities; (iii) support for producer collectives - aggregation, value addition and market linkage; (iv)

Support for NTFP Marketing; and (iv) Vocational training. The activities related to livelihood

improvement including kitchen gardening, backyard poultry, goat rearing, other income generating

activities, NTFP aggregation, value addition and marketing and vocational training largely self select

households that undertake shifting cultivation on small extent of forest land. Support for these

activities will be directed to households based on interest of households and also inclusion in the

livelihoods improvement sub-plan of the VDA. CSPs will be focal point for training households and

handholding them to implement livelihood related activities.

28. CSP training and support: Introduction of Poultry and Goat rearing in the tribal villages has not

met with success on account of lack of support services. The programme will identify a Community

Service Provider (CSP) to cover about 5 villages. CSP-Poultry person will be trained in all aspects

related to poultry. A demonstration unit comprising a mother unit and a backyard poultry unit will be

provides to these CSPs. CSP-Goat rearing will be trained in goat rearing techniques. These CSPs will

be provided with a goat rearing unit. These CSPs will be supported by a Veterinarian appointed by the

MPA/NGO. Regular animal health camps will be organized and ensure universal vaccination of all

goats and poultry birds to reduce the mortality of these animals and castration of local bucks to

improve breed quality. The training programme will be conducted in specialized livestock training

institutes.

29. Household production support: The programme will promote kitchen garden and micro-irrigation

using a drum based drip irrigation system similar to that used in SCAMPIS will be promoted. The

programme will provide a kit comprising seed, water storage tank and hose and other materials.

(Details in Para 63 and 64 of Working Paper 5 – Natural Resources Management) The programme

will support expansion of backyard poultry and goat rearing activities. The programme will implement

goat rearing and/or poultry packages to interested households from functional SHGs. This will include

training, materials for sheds, goats (5 does and 1 buck), and poultry (10 birds) and feed. The

programme will also focus on housing for poultry and goats, mitigation of mortality from diseases

through universal vaccination and first aid using programme trained CSPs facilitated by the Livestock

Inspectors and Veterinarians, feeding using locally available materials and breed improvement

measures through castration. The CSPs will be linked to reliable suppliers of vet products and a

system of paying for their services the community will be put in place to ensure sustainability. The

programme will not introduce any exotic breeds and the focus will be on breeds that have performed

well in the programme area (Details in Para 18, 19, 31, 32, 34, 35, 52 60, 66(a), 66(c), 66(d), 66 (e)

and 67 (b) of Working paper 6 – Livelihoods Support).

30. Rural ST households typically supplement farm incomes through various small scale artisanal

production activities such as vegetable cultivation, honey collection and bee-keeping and NTFP

collection and trade. In addition, several opportunities in the service sector also emerge. IGAs will be

identified as part of the VDP preparation. The beneficiaries will be identified by the VDCs with the

facilitation of NGOs. They will be chosen from among the poorest households, such as women

headed households, old people without family support systems and PTGs. Finances for IGAs will be

routed through the GPLF/VDCs.

31. Support for Producer Collectives: The programme will provide support for aggregation, value

addition and market linkage in respect of both agricultural and horticultural products. However, the

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major focus will be on NTFP (also called minor forest produce) which comprise medicinal plants, sal

and siali leaves, mushrooms, fruits, resins, bark, roots and tubers, leaves, flowers, seeds, honey, etc.

Aggregation and collective marketing allows farmers to realize profits that are higher by 10-15%, than

the former individual selling approach. A 60% increase in household annual incomes under the

collective marketing initiative has been reported in the OTELP programme areas.61

Value addition

also offers high potential for increasing farm gate prices.

32. There exists potential for aggregation, value addition and marketing in some of the agricultural

and horticultural products and largely in case of NTFP. TDCC will implement this activity and the

handholding support will be provided by the Livelihood Resource Agencies (LRAs) to be engaged by

TDCC. LRAs will initially support aggregation of NTFP and other agricultural produce. This activity will

be linked up with implementation of minimum support price by TDCC. LRAs will mobilize the

community, promote producer collective and train the community members in benefits of aggregation

and joint marketing. LRAs will also facilitate the community to identify new markets, reduce layers of

market intermediaries and also explore new markets. Once the community gathers enough

experience in aggregation and marketing, facilitation will be provided for value addition and marketing.

Potential activities for value addition and marketing include: (i) Siali and sal leaf plate making and

marketing; (ii) apiculture, wild honey collection, processing and marketing; (iii) Sabai rope making with

introduction of sabai grass cultivation and diversification into value added products and marketing; (iv)

bamboo products – both traditional and contemporary craft – value addition and marketing; (v)

turmeric and ginger cultivation and village level processing and marketing; (vi) Mulberry cultivation

and silk worm rearing; (vii) Tasar cocoon collection; and (viii) making of hill broom. The programme

will support one producer collective in each MPA. LRAs will train the members of producer collectives

in value addition, procure equipments for value addition and help in establishing a business plan for

implementation by the collective (Details in Para 70 to 75 and Annex 2 of the Working paper 6-

Livelihoods Support).

33. Support for NTFP Marketing: Haat Bazars (temporary weekly markets) are the most important

market places frequented by the tribal and PTG households. Barter system without weighing,

manipulations in weighing, inability to store at the haat bazaars, inability to stay at the haat bazaar

due to lack of basic facilities result in exploitation of tribal sellers. Tribal Development Cooperative

Corporation (TDCC) is required to implement the minimum support price order of the government for

10 NTFPs and procure NTFPs from the tribal. The programme will provide required infrastructural

support to improve haat bazaars and to implement minimum support price.

34. Vocational training: The education system in India is largely designed to produce white-collar

workers. GoI has initiated efforts to emphasise on vocational training. Drop-out rate is high amongst

tribal children in general and PTGs in particular before passing secondary school. Often these

children lack the interest to assimilate into agriculture based livelihoods. MPAs will use the training

providers already shortlisted by STSCFDC for providing vocational training to tribal youth. STSCFDC

has already shortlisted 50 training providers. The criteria for selection of participants under the

programme will include: (i) member of a PTG; (ii) should have passed at least 7th grade; and (iii) has

interest and aptitude for taking up identified vocation as determined by a counselling team. The

programme will support skill development in masonry and plumbing, maintenance of anti-drudgery

interventions, electrician, computer training, mobile telephone repair and any other vocation of interest

to youth. In order ensure that the PTG youth shun away from vocational training due to financial

problems, the programme will not only allocate funds for training, board and lodge but also

compensate for loss of wages during the training period (Details in para 86-90 and 100 to 102 of

Working Paper 6 – Livelihoods Support)

35. Strengthening PTG culture and their traditions: Values, social organisation, knowledge and

resource management aspects of the PTG communities would be understood before embarking upon

any form of change. PTGs have wealth of traditional knowledge in water harvesting, masonry,

conserving agro-biodiversity for food, traditonal medicine, use planning, etc. The traditional

61

Case study 19, India, Orissa Tribal Empowerment and Livelihoods Programme (OTELP)

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knowledge will be documented and where possible efforts will be made to register intellectual

propoerty rights. Their languages and knowledge need to documented and preserved i.e., kept alive

through use and adaptation. The programme will conduct knowledge sharing workshops amongst the

PTGs after carrying gout detailed documentation traditional knowledge to ensure that tribal people

themselves understand their value and resources and build their confidence on improving on their

skills and treasuring their unique knowledge.

36. Gender mainstreaming: Production interventions are more effective when they are sensitive

to gender roles and combined with nutrition education and therefore improvements in traditional

supply chains can help reduce losses and increase diversity of choices for the PTG households. The

livelihood activities proposed are mostly self selecting. Homestead-based activities with low level of

investment generally self select vulnerable households and also the control over resources generated

from these investments remains with women. As the programme focuses on PTGs with inclusive

approach to saturate the geography with PTGs, poverty targeting will be sharp.

37. OPELIP has integrated gender concerns at all levels of programme design and these include:

(i) women centric SHG and GPLF mobilization; (ii) equal representation for men and women in VDAs

and their committees making women equal stakeholders in the development process; (iii) focus on

drudgery reduction interventions to reduce the work load of women; (iv) focus on agri-horticulture and

agro-forestry on a part of podu land to reduce work load of women in podu cultivation; (v) focus on

small stock that provide control over resources to women; and (vi) preference to women in

appointment subject to other things being equal and also stress of implementation of GoO rules on

quota for women while appointing staff for programme positions.

4. Component 3 – Community Infrastructure and Drudgery reduction

38. Rationale: Many PTG communities in the programme areas are deprived these basic services

and infrastructure, leading to a poor quality of life and contributing to low levels of human

development. Drudgery of tribal women has increased with increased time and efforts to fetch drinking

water and fuel wood. Drudgery and health hazards related to inhaling of smoke from open cooking,

lack of toilets and safe drinking water remain major issues in tribal households. Lack of appropriate

implements also increases drudgery in agricultural activities. This component intends to address

these issues.

39. Expected outcomes, output and outreach: The programme intends to provide access to

water supplies to all households. The programme will provide housing facilities to 4000 households,

construct 84 market yards and 500 km of access roads. The programme will also establish 34 food

and NTFP processing units. The programme will benefit all 62,356 households through community

infrastructure. Drudgery reduction activities such as smokeless Chula (cooking stove), milling units

and fuel wood reserves will benefit about 56% (35,000), 100% (62,356) and 51% (31,500) households

respectively.

(a) Sub-component: Community Infrastructure

40. PTG villages are characterised by poor housing, limited or no access to potable water round the

year, absence of sanitation facilities, limited or no access to electricity, limited or no road connectivity,

dilapidated school building and lack of drinking water and sanitation facilities in the schools. Though

NTFPs constitute a major livelihood source for PTGs, there are no platforms for drying and sorting

these and for storage to facilitate collective marketing. In order to address these issue. the

programme will support: (i) some 300 drinking water schemes, some 50 primary school buildings and

542 school toilets and 542 community halls, (ii) 4,000 housing units 30,000 toilets for individual

households, (iii) 100 km of road connectivity, 50 units of village CC roads, 100 km inter-village

cemented tracks, 50 km grid electrification and 200 solar lighting systems, (iv) infrastructure for 542

drying yards, 84 market yards, 250 aggregation centres, 250 SHG work-sheds, (v) supply 84 power-

tiller units and 10,000 seed storage bins, and (vi) setting up of 17 water purification pilots one in each

MPA area.

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41. Every household will be provided access to drinking water and toilet facilities. Villages will be

linked with cement concrete (CC) roads along with drainage facilities. Programme villages will be

provided all weather road connectivity. Where possible villages will be connected to an electric grid.

Solar lighting will be provided at household level and for street lighting where there is no access to the

electric grid. The programme will provide community centres, toilets in village schools. The

programme will construct a drying yard in each PTG village to facilitate drying and cleaning of NTFP

and also provide weighing scales. Market yards will be constructed in village clusters to facilitate

buyer-seller meets. Other interventions would also include mills and expellers to be managed by

SHGs/community, community buildings, tractor-trolley, power tillers, etc.

42. Availability of perennial supply of water per se is not a constraint as far as provisioning drinking

water is concerned as most villages have perennial streams or springs nearby. Therefore, harvesting

of run-off from infrastructure to be built under the programme (roofs, roads, borrow pits, etc.) is not

being considered as an option. However, rainwater harvesting as part of land and water resource

development is included in the programme (Details in Para 16 and 35 of Working Paper 7 –

Community Infrastructure and Drudgery Reduction).

43. The programme will establish a committee for O&M within the VDA and volunteers will be

identified and trained as community mechanics. Maintenance costs for other infrastructure will be

sourced from the respective Gram Panchayat or the respective lien department. (Details in Para 38,

44 and 51 of Working Paper 7 – Community Infrastructure and Drudgery Reduction).

(b) Sub-component: Drudgery Reduction

44. The programme will support drudgery reduction activities. Women have to walk long distances

to collect fuel wood, fodder and water, inhale smoke in case of cooking and also sit or stand in a

certain posture for long hours while working in the field or in the house. The programme support will

include 35,000 smokeless stoves, 20,000 solar lanterns, establishment of fuel 2,200 ha of community

wood reserves, drinking water supply, and 84 milling units. The programme will involve the community

in designing and testing smokeless stoves and other anti-drudgery measures. In addition to this, the

programme will allocate funds for preserving tribal culture. This will include support for cultural

festivals, youth dormitories and improvements to the sacred sites and places of worship within the

village. The programme will also support studies and survey and establish a legal defence fund.

45. Community infrastructure is a gender and target neutral. All households in the programme area

will benefit from this component. However, drudgery reduction interventions will be focussed more in

favour of women with a view to reducing their work burden in collecting water, fuel-wood, milling

grains etc.

5. Component 4 - Project Management

46. The programme will strengthen existing delivery institutions rather than creating parallel ones,

where possible. The limitations in engaging qualified and experienced staff due to remoteness of MPA

areas will be addressed by providing hardship allowances. The teams at PMU and MPA level will be a

mix of staff on secondment and contractual staff from the market. The Programme Management

component will have three sub-components, namely (i) Programme Management arrangement at the

state level; (ii) management structure at MPA and field level and (iii) Programme Monitoring and

Evaluation and knowledge Management.

(a) Sub-Component: Programme management unit (PMU)

47. For the overall management of the programme, a PMU will be established in Bhubaneswar

under the STSCDD, This will be notified through the issuance of a Government Order. The PMU will

be headed by a full time Programme Director (PD) from the government (preferably from the Indian

Forest Service as the programme has a strong component on activities related to Forest Rights Act)

who will report to the Commissioner and Secretary, STSCDD and work closely with the Additional

Secretary, STSCDD and Director Tribal Research Institute. The PD will be responsible for the

management of the programme and fostering support/ convergence with key departments such as

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Rural Development, Forest, Agriculture, Women and Child Development etc. The PD will be assisted

in his/her functions by a full time Deputy Programme Director (DPD), preferably from the market who

will, in addition to his/her core programme related functions be responsible for Planning, HR issues

and Procurement.

48. The team at the PMU will consist of a mix of technical experts for co-ordinating and providing

guidance to the field-based teams and a set of administrative, management and finance support staff.

These would include a Manager (Livelihoods, NRM and Convergence); a Manager (Rural finance and

Community Institutions); a Manager (Planning, MIS, M&E and KM); a Manager (Communications and

KM); a Manager (Nutrition and Gender), a Senior Engineer, a Manager (Finance) and an

Administrative Officer. Other support staff will include two Accounts Assistants, one M&E and MIS

Assistant, two Executive Assistants, a Data Entry Operators and support staff. The Programme will

provide office equipment such as computers and printers, photo-copying machine, internet facilities,

office furniture, office rent, training support for the staff, staff salaries and allowances, office-running

costs, vehicles and vehicle hiring facilities and running costs etc. STSCDD will provide necessary

office space.

(b) Sub-component: Programme Management at MPA and field level

49. OPELIP will be implemented in the field through the existing MPAs with the respective Special

Officer being overall in charge of the management of the programme. Recognising the need for

strengthening their capacity, a Government Order (GO) has been issued in May 2013 for restructuring

the MPA by adding 3 new positions, abolishing 3 existing positions and redefining the tasks of the two

other cadre staff. Following this GO each MPA will a Special Officer, who is a regular Government

Officer; a Project Manager (on contractual basis); a Junior Engineer (to be filled through either on

secondment or on contract); a Junior Agriculture Officer; an Accountant, a senior or junior Clerk cum

Accountant; a Social Mobiliser (on contractual basis); one Data Entry Operator and one peon.

Uniform staffing pattern for all MPAs may not be appropriate as the area coverage under OPELIP

varies from 13 to about 150 villages.

50. Many MPAs have limited or no connectivity by internet, phone or even roads which limits their

effectiveness. In this context, the OPELIP will strengthen the capacity of these MPAs in three ways: (i)

strengthening the MPA with additional staff support; (ii) building their capacity of existing and new staff

through training, exposure, handholding etc. The Accountant will build capacity of senior or the junior

Clerk to handle accounts; and (ii) improving overall working environments.

(c) Sub-component: Programme M&E and Knowledge management

51. The programme will make provisions for conducting baseline surveys, annual outcome surveys,

midterm surveys, special studies, etc. Monitoring and Evaluation and knowledge management

functions will be handled by the M&E team within the PMU under the guidance of the APD.

52. Support for policy initiatives: GoO has taken several steps to address a number of key policy

issues relating to the development of the Tribal. Through the policy initiatives sub-component, the

programme will support the operationalizing these initiatives by: (i) providing a legal defence fund to

assist tribal in particular the PTGs and NGOs in pursuit of land alienation or restoration cases; (ii)

establishing mobile squads for detection of cases and enforcement of land restoration; and (iii)

funding land surveying. Programme will also provide funding for studies on key policy issues,

dissemination of the findings and engage in dialogue with the GoO on other unresolved policy areas.

6. Programme Implementation (detailed description in Appendix-5)

53. The approach to programme implementation will include (i) promoting processes of awareness

generation, creating facilities for legal literacy, undertaking social analysis and mobilisation of

communities for self-selecting group formation among disadvantaged women and marginalised

groups; (ii) creating facilities and resources for grassroots planning and implementation; (iii) ensuring

flow of resources directly to the PTG communities through their institutions; and (iv) involving and

associating NGOs in capacity building and awareness creation and also for the delivery of services as

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key service providers. The programme will adopt a flexible, non-prescriptive, process-oriented

approach to enable the primary stakeholders to determine the scope of programme activities, and

their timing, pace and sequencing. The programme will mobilize and nurture capacity of community

based organizations in each of the programme village to prepare and implement a VDP. A gradual

and phased approach will be adopted to ensure capacity building of the PTGs to take over

implementation of activities including fund management with intensive support from NGOs.

54. PMU established within the STSCDD, GoO at the state level will be the Lead Programme

Agency responsible for the functions related to planning, funds flow, monitoring and evaluation,

gender mainstreaming and knowledge management. A Programme Steering Committee (PSC) will be

established under the chairmanship of the Chief Secretary (or alternate), GoO will the key

coordination mechanism for policy guidance and a Programme Management Committee (PMC) with

the Commissioner cum Secretary, STSCDD as the Chairperson will coordinate programme

management. The MPAs, supported by NGOs are responsible for the project implementation at MPA

level. A District Programme Implementation Committee will be established at each MPA under the

Chairmanship of the District Collector to guide programme implementation and also to facilitate

convergence. A Village Development Association (VDA) will be established in all MPA villages and

each such VDA will have about 30 to 60 households with one male and one female representative

from each household as member of the VDA. In some cases 2-3 small villages have to form a VDA in

the event these villages have fewer or inadequate number of households to organise themselves in to

a VDA. VDAs will establish a VDC and these VDCs will be responsible for implementation of natural

resource management and livelihood related activities. Detailed Implementation arrangements are

provided in Appendix 5- Institutional aspects and Implementation arrangements.

7. Programme Investments (detailed cost enstimates in Appendix 9 & WP 9)

55. The total programme cost over an 8 year period has been estimated at INR 7,955.77 million

(USD 130.42 million). IFAD will contribute about INR 3,141 million (USD 51.5 million).62

The rest will

have to come from GoO in the form of (i) resources allocated under Article 275 (1), (ii) SCA to TSP;

(iii) Conservation-cum-development (CCD) and other funds from convergence. The beneficiaries are

expected to contribute INR 183 million (USD 3.0 million) mainly as contribution to land and water

management sub-component and livelihood sub-plan implementation. Details are presented in

Appendix-9 and more in WP-9.

56. A graphic representation indicating cumulative investment by year under major activities and

also yearly investments by the programme are provided in Annex 3 and Annex 4 respectively. Annual

investment pattern indicates that the programme will reach maximum investment during 3rd

and 4th

year and start declining from 5th year.

62

Exchange rate of USD 1 =INR 61

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Annex 1: OPELIP Outreach

Component/ Interventions Coverage

# of households targeted

Percentage to Total

Community Empowerment

-Number of VDA organised 1019 100%

-Number of VDA membership, 2 per households 124,712

-Total number of households 62,356 100%

-Villages covered by VDA organisation 1,019 100%

-Number of SHG mobilised 3,800 70%

-PTG SHGs 2,246

-Non-PTG ST SHGs 752

-Other SHGs 505

-Coverage of population 70%

NRM Component: Households benefiting from

-homestead land titles 12,500 20%

-cultivable land titles 43,500 70%

-land treatment 43,500 70%

-irrigation facilities 19,000 30%

-cereal crops development 31,000 50%

-oilseeds, pulses and tuber crops development 31,000 50%

-income generating activities 12,500 20%

-Kitchen garden 32,000 51%

-backyard poultry in clusters 5,000 8%

-Goat-rearing in clusters 4,000 6%

-Producers collectives 8,500 14%

-vocational training 500 1%

Community infrastructure & drudgery reduction Component:

-households benefiting from infrastructure 62,356 100%

-housing facilities 4,000 6%

-smokeless stoves 35,000 56%

-solar lanterns 20,000 32%

-fuel wood reserves 31,500 51%

-milling, hauling units 62,356 100%

-domestic water supplies 100%

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Annex-2: OPELIP: Programme Components and linkages to outcomes and Goal

SUB COMPONENT 1.1: Community institutions Act 1.1.1: 1020 VDA/VDC organised and capacitated Act 1.1.2: 1020 village development plans prepared SUB COMPONENT 1.2: SHG and Rural financial services Act 1.2.1: 3800 SHGs organised and capacitated Act 1.2.2: 84 GPCF formed and capacitated Act 1.2.3: PIP, VRF & CIF funds set up and supported

Development Objective: Improved food and nutrition security and livelihoods opportunities adapted to Tribal communities

Outcome 1: 1.1: Empowered community institutions access their entitlements 1.2: Strengthened women SHGs access financial services

Outcome 3 : 3.1 Improved access to social and economic infrastructure 3.2: Reduced drudgery to women

Component 1: Community Empowerment

Sub-component 1.1 village development associations

Sub-component 1.2 SHGs and rural financial services

CAPACITY BUILDING & HANDHOLDING

Component 3: Community Infrastructure and drudgery reduction

Sub-component 3.1 Community infrastructure

Sub-component 3.2 Drudgery reducing interventions

INFRASTRUCTURE AND DRUDGERY REDUCTION

SUB COMPONENT 3.1: Community infrastructure Act 3.1.1: 300 water supply schemes, 500 km of rural roads, 542 drying yards, 84 village markets, 250 aggregation centres provided SUB COMPONENT 3.2: Drudgery reductions interventions Act 3.2.1: 35,000 smokeless stoves, 84 milling unit provided Act 3.2.2: fuel wood reserves in 540 villages and kitchen gardens to 32,00 households :

Component 4: Programme Management

- 4.1. Project Management Unit in Bhubaneswar - 4.2: MPA Project Management Units in 17 MPA areas

- 4.3: Monitoring and evaluation and knowledge management

Strategic goal: Improved living conditions and reduced poverty of the Tribal communities

Outcome 2: 2.1: Secured access to land and improved land productivity 2.2: Improved access to inputs and services and increased productivity 2.3: Improved access to livelihoods opportunities and markets

SUB COMPONENT 2.1: Natural resource management Act 2.1.1: 45,000 households provided with land titles Act 2.1.2: 20,000 ha land developed; fruit crops & spices planted SUB COMPONENT 2.2: Food and nutrition security Act 2.2.1: 62,000 households provided facilities for crop development Act 2.2.2: several demonstrations set up SUB COMPONENT 2.3: Livelihoods enhancement Act 2.3.1: 2,000 households provided IGA Act 2.3.2: 84 CSP models set up

Component 2: NRM and Livelihoods Enhancement

Sub-component 2.1 NRM and food and nutrition security

Sub-component: 2.2 Livelihoods improvement

LIVELIHOODS ENHANCEMENT

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Annex-4: Total Project Costs by year

-

5,000

10,000

15,000

20,000

25,000

30,000

35,000

1 2 3 4 5 6 7 8

Year

Am

ou

nt

(US

D 0

00

)

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Appendix 5: Institutional aspects and implementation arrangements

81


1. Introduction

1. This appendix describes the entities responsible for programme implementation; programme

management and coordination arrangements with organization charts and a proposed approach to

capacity building.

2. The approach to programme implementation will include: (i) promoting processes of awareness

generation, creating facilities for legal literacy, undertaking social analysis and mobilisation of

communities for self-selecting group formation among disadvantaged women and marginalised

groups; (ii) creating facilities and resources for grassroots planning and implementation; (iii) ensuring

flow of resources directly to the PTG communities through their institutions; and (iv) involving and

associating NGOs in capacity building and awareness creation and also for the delivery of services as

key service providers. The implementation will be on the basis of inclusive approach and this would

mean that all communities and households residing within selected villages will form the target groups

but special emphasis will be given to the development of PTGs, in particular when implementing

household level activities.

3. The programme will adopt a flexible, non-prescriptive, process-oriented approach to enable the

primary stakeholders to determine the scope of programme activities, and their timing, pace and

sequencing. The programme will mobilize and nurture capacity of community based organizations in

each of the programme village to prepare and implement a VDP. A gradual and phased approach will

be adopted to ensure capacity building of the PTGs to take over implementation of activities including

fund management. Necessary systems and processes will be built to allow for handholding, intensive

supervision and evaluation of performance.

2. Institutional arrangement for implementation

4. At the central level the Department of Economic Affairs will be the nodal agency for this

programme and the Ministry of Tribal Affairs will be involved for overall policy guidance. At the state

level, the ST and SC Development Department (STSCDD) will be the Lead Programme Agency

responsible for the functions related to planning, funds flow, monitoring and evaluation, gender

mainstreaming and knowledge management. A Programme Management Unit (PMU) will be set up

within the STSCDD for this purpose. Detailed programme management structure is provided in

Chart 1.

5. Programme management unit (PMU) at the state level: For the overall management of the

programme a PMU will be established in Bhubaneswar under the STSCDD. The establishment of the

PMU will be notified through the issuance of a Government Order. The PMU will be headed by a full

time Programme Director (PD) from the government (preferably from the Indian Forest Service as the

programme has a strong component on land rights and Forest Rights Act) who will report to the

Commissioner and Secretary, STSCDD and work closely with the Additional Secretary, STSCDD and

Director Tribal Research Institute. The PD will be overall responsible for the management of the

programme and fostering support/ convergence with key departments such as Rural Development,

Forest, Agriculture, Women and Child Development etc. The PD will be assisted in his/her functions

by a full time Deputy Programme Director (DPD), preferably from the market who will, in addition to

his/her core programme related functions be responsible for Planning, Knowledge Management and

HR issues. The organizational chart of PMU is provided in Chart 2.

6. The team at the PMU will consist of a mix of technical experts for co-ordinating and providing

guidance to the field-based teams and a set of administrative, management and finance support staff.

These would include a Manager (NRM), a Manager (Livelihoods and Convergence); a Manager

(Rural finance and Community Institutions); a Manager (Planning, MIS and M&E ); a Manager

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(Nutrition and Gender), a Senior Engineer, a Manager (Finance), a Manager (GIS), a Systems

Analyst, a Manager (Communications and KM) and an Administrative Officer. Other support staff will

include two Accounts Assistants, one M&E and MIS Assistant, two Executive Assistants, two support

staff and two drivers. One Revenue Officer in the grade of Deputy Secretary will be also a part of the

PMU team in Bhubaneswar. The Programme will provide necessary office equipment such as

computers and printers, photo-copying machine, internet facilities, office furniture, office rent, training

support for the staff, staff salaries and allowances, office-running costs, vehicles and vehicle hiring

facilities and running costs etc. STSCDD will provide necessary office space.

7. Micro Project Implementation Team (MPIT) at MPA level: There are in all 17 MPAs covering 13

PTGs. OPELIP will be implemented in the field through the existing MPAs with the respective Special

Officer being overall in charge of the management of the programme activities in the area. The MPAs

are registered as Societies and the District Collector of the respective district is the Chairperson.

Society model is important for ensuring flexibility in programme management that include speedy local

level clearances and also non-lapsable budget allocation to MPAs.

8. Recognising the need for strengthening their capacity the GoO issued orders in May 2013 for

restructuring the MPAs by adding 3 new positions, abolishing 3 existing positions and redefining the

tasks of the two other cadre staff. Following this GO each MPA is expected to have a Special Officer;

a Junior Engineer; a Junior Agriculture Officer; a senior or Junior Clerk; Field Assistants/Social

Mobilizers (on contractual basis in MPAs without Field Assistants); a Project Manager (contract

basis), a MIS Asst -Data Entry Operator (contract basis) and a peon. In addition, the programme will

engage an Accountant (on contract basis) and also provide competitive salary structure to the Project

Manager as against INR 20,000 proposed in the GO. The programme will allocate funds for engaging

Assistant Engineers on a task based contract and necessary administrative clearances will be

provided to authorize these Assistant Engineers to provide technical sanction and approve check

measurement. The proposed organizational chart of MPA is provided in Chart 3. It is recommended to

continue with staff already in position and that the new positions be filled up closer to the start of

OPELIP so that the staff skills could match the needs of the programme. Their role and

responsibilities will be detailed in the Programme Implementation Manual. Uniform staffing pattern for

all MPAs may not be appropriate as the area coverage under OPELIP by each MPA varies from 13 to

about 150 villages.

9. Many MPAs have limited or no connectivity by internet, phone or even roads which limits their

effectiveness. The staff members in these MPAs face many hardships. The combined effect is that is

hard to fill many positions. It has been very hard for the MPAs to get Junior Engineers in position.

Inability to attract qualified professionals has adversely impacted the programme effectiveness. In

this context, the OPELIP will strengthen the capacity of these MPAs in three ways: (i) strengthening

the MPAs with additional staff support; (ii) building the capacity of existing and new staff through

training, exposure, handholding etc. (e. g. the Accountant will build capacity of senior or the junior

Clerk to handle accounts); and (iii) improving overall working environment to keep the staff motivated

and enhance effectiveness (e. g. by improving infrastructure, connectivity, providing hardship

allowances, etc.).

10. Village level structure: A Village Development Association (VDA) will be established in all MPA

villages and each such VDA will have about 30 to 60 households with one male and one female

representative from each household as member of the VDA. In some cases 2-3 small villages have to

form a VDA in the event these villages have fewer or inadequate number of households to organise

themselves in to a VDA. VDAs will establish a VDC and these VDCs will be responsible for

implementation of natural resource management and livelihood related activities. In each village or

habitation, there will be one VDC secretary supported by a Community Resource Person who will be

selected from within the PTG communities. CRP will cover 2-3 villages. The programme will identify

NGO partners to work closely with the MPAs in implementing activities at the grass-roots level.

Provisions will be made for the NGOs to bring on board technical experts to work in the field in

particular for microfinance, agriculture, etc.)

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11. NGOs: The programme will engage a NGO for each MPA which are capable of implementing

the programme interventions in the area. The selected NGO will engage a multidisciplinary technical

team to support field level implementation. The role and responsibilities of the facilitating NGO will be

spelled out in a memorandum of understanding (MOU) to be entered into between the PMU and the

NGO, in a form and substance approved by the GoO and IFAD. The proposed organizational chart of

NGOs for programme implementation is provided in Chart 4. The programme will also engage the

services of NGOs with proven capacity who have experience of working in Odisha in the Tribal and/or

PTG areas, such as REACH India (for capacity building across all MPAs) and “LANDESA ” for land

allocation related activities. NGOs that have been engaged by OTELP and have performed well will

be given preference.

12. PTGs grow a wide range of crops but their farming practices remain rudimentary. They have

limited interaction with other communities. As a result, introduction of new technologies and farming

practices will be time-consuming. Isolation in terms of distance and language barriers also add to the

difficulties relating to delivery of programme services. In view of this, the programme has established

two tier implementation structures comprising professionals at the level of MPAs and also

professionals at the level of NGOs. The NGO structure will be intensive with CRPs at the village level

and each CRP covering 2-3 natural villages, Village Agriculture Worker and Livestock Inspectors at

20-25 villages and each NGO covering 50-60 villages. NGOs will be engaged for the full duration of

the programme except the last year to ensure intensive handholding of the community.

13. Livelihood Resource Agencies (LRAs): The programme will engage LRAs to mobilise

households into Producer Groups and Livelihood Collectives. LRAs with competence to handle

activities related to aggregation, value addition and marketing in respect of various sub-sectors will be

recruited by the programme.

14. Other Government departments: OPELIP will work closely with a number of GoO departments

and agencies such as agriculture, health, women and child development, forestry, rural development

etc. The programme will facilitate convergence of the programmes/ activities of various departments

through the MPA. In view of the importance of nutrition issues, the Department of Women and Child

Development will post a staff to work under the SO, responsible for co-ordinating/ implementing

nutrition related activities.

15. The programme implementation will be the joint effort of PMU, MPAs, NGOs, VDAs, TDCC,

Livelihood Resource Agencies and the LANDESA. The functions, capacity and training requirements

of these agencies are provided in below:

Delivery

Agency

Functions Capacity Training requirement

PMU Overall Planning, coordination and

management.

Fund flow and financial

management.

Supervision of MPAs.

Monitoring and Evaluation

Knowledge management.

New establishment and

competent human resource

will be recruited


orientation.



Exposure visits

MPAs Field level planning, coordination

and management.

Funds flow and financial

management at the field level.

Supervision and technical support to

NGOs.

Coordination for convergence with

other government departments.

Monitoring and knowledge

management.

Weak management

capacity and addressed

through staff restructuring

and engagement of

competent staff.

Field level presence and

experience dealing with

PTG.


orientation.





management.



Exposure visits.

LANDESA Survey of land ownership of PTGs

and facilitation for land allocation.

Well experienced in land

allocation activities under

OTELP

Training of CRPs for survey and

identification of land under

occupation/cultivation by PTGs.

NGO Field level implementation Availability of NGOs with Training in project concepts and

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SHG and GPLF mobilization and

establishing savings and credit

systems.

VDA/VDC formation, VDP

preparation and facilitating VDCs to

implement VDPs.

capacity to implement

NRM, savings and credit

and rural infrastructure

activities.

orientation.





management.

VDA/VDC Preparation of village plans and

their implementation

Homogeneity within the

community

Training in VDP preparation and

VDP implementation

CRP and CSP training

TDCC Support for aggregation, value

addition and marketing including

promotion of producer collectives.

Support for haat bazaar

rimprovement and implementation

of minimum support price.

Authorized to implement


Experience in promoting

producer collectives.

Training and exposure visits

related to promotion of producer

collectives.

Livelihood

resource

Agency

Facilitate the PTG and handhold

promotion of producer collectives

Agencies with experience

available in the programme

area

Agencies with core strength in

producer collective promotion

will be engaged.

3. Programme Management and staffing

16. Overall approach: Two broad principles will govern the management and co-ordination structure

for OPELIP: (i) Strengthen capacity of existing systems, especially the Micro Project Agencies, rather

than create alternative systems; and (ii) Recognise that extreme remoteness has a bearing on the

availability of staff with requisite qualifications and experience and, therefore, adopt a flexible

approach in staffing. Alignment to the existing structures will be manifested most notably in the context

of the MPAs/ MPITs. The Special officer currently in charge of the Micro projects will be in charge of

the OPELIP implementation at the MPA level covering all populations being targeted under the

programme.

17. Staffing: The programme management has been designed based on lessons from OTELP and

other IFAD-supported projects in India. The programme will strengthen existing systems rather than

creating parallel ones, where possible. It is also recognized that there could be limitations in procuring

qualified staff due to remoteness of MPA areas - an issue that will be addressed by providing

allowances to attract good candidates and adjusting ToRs if necessary. The teams at state and MPA

level will be a mix of government staff on secondment and contractual staff from the market. The

ongoing IFAD-supported OTELP will provide assistance (technical, administrative, organisational) in

the establishment of the PMU and strengthening of MPAs in the beginning.

18. It must be noted that in view of the proposed increase in the flow of funds (under CCD, SCA to

TSP and Article 275 (1)) and based on the review of existing staff the GoO decided in May 2013 to

restructure the MPAs. As per the Government order the proposed new staffing structure will be as

follows:

Existing positions Positions after

restructuring

Existing

strength

Strength after

restructuring

Remarks

Special officer Special officer 17 17 Regular cadre staff

Jr. Agriculture officer Jr. Agriculture Officer 19 17 Contractual

Junior Engineer Junior Engineer 8 17 New position

Welfare Extension

Officer

Post abolished 12 0 Those in position will be deployed against vacant

positions to Blocks

Sr. Clerk Sr. Clerk cum

Accountant

13 6 Overall each MPA will have one Clerk cum Accountant

(Senior or Junior)

Jr. Clerk Jr. Clerk cum

Accountant

13 11

Field Assistant Field Assistant 12 0 They will be assigned the work of Social Mobilisers

Driver Driver 16 9 MPA will hire taxis depending on availability.

Amin Post abolished 8 0 Only one Amin currently in position. Will be repatriated

to RDD

Chainman Post abolished 7 0 3 chainman currently in position will be repatriated to

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RDD

Peon Peon 29 23

Project Manager 0 17 New position. Contractual staff; to be filled through

advertisement

Social Mobiliser 0 17 8 new posts while 9 existing Field Assistants will be

deployed as Social Mobilisers. New posts to be filled

through advertisement. Must be PTG.

Data Entry Operator 0 17 New post. Contractual staff. Position to be filled

throughout sourcing agency

19. In addition, nine MPAs had used a part of their social mobilisation funds for hiring Multi-purpose

workers (MPWs) on a nominal honorarium of INR 2,000-3,000. They have effectively worked as the

link between the PTGs and the MPAs. Currently there are approximately 80 MPWs with some MPA

having 3 MPWs and others having 16 MPWs. However, as they were not hired under any sanctioned

position they do not have an assured position and for the past few months their services have been

discontinued and they have not received any honorarium. Given their rich experience of working with

the communities the programme will absorb them, where possible, as Community Resource Persons

(CRPs) to be hired through the NGOs working at each MPA level. Hiring of staff will be in a phased

manner, starting with those who are essential for setting up the programme and subsequently bringing

in technical staff as the implementation rolls out.

20. To ensure sustained attention to nutrition, staffing would be at three levels: community workers,

primarily drawing on available government functionaries such as the ICDS teacher, ASHA didi, or

residential school cook or warden; a home extension agent (who will coordinate closely with

agricultural extension support) or social mobiliser to oversee community activities at MPA; and a

nutrition and gender specialist as part of the PMU team.

21. Staff recruitment: The staff for the programme both at PMU and MPA level will be a mix of

government functionaries on deputation and contractual staff hired by the respective agencies or

PMU. While recruiting staff, especially at the MPA level, the programme will take into consideration

lessons learned under OTELP as well as the challenges posed by the remoteness and difficult

working conditions in several MPAs. Lessons from OTELP suggest that it is impractical to aim very

high in terms of experience and qualification. Therefore, while the programme should initially advertise

the agreed ToRs, there should be ample flexibility to revise this should the response be unsatisfactory.

Emphasis should be laid on the attitude of the individuals being hired as they would need to work in

very remote areas. As such effort should be made to hire from nearby geographic areas. In most

cases written exams should not be undertaken while recruiting as this will create constraints in getting

good, local, skilled persons with the right attitude. The emphasis should be on interviews. Interview

panels should not only include government functionaries such as the Special Officer or the PD but

also external subject matter experts. The programme and NGO staff will be preferably tribal;

preference will be given to female candidates with similar qualification and experience. Government of

Odisha has quota of 22.5% of Tribal people and 33% women in the employment of staff and the

programme will follow the government rules. In the event suitable candidates are not available under

these categories, PMU will be permitted to engage other candidates in view of the time bound nature

of programme implementation.

22. Reporting: The PD will report to the Secretary STSCDD whereas the staff of the PMU will report

to the PD. The Special Officer at MPA level will have a dual line of reporting- s/he will report to the

District Collector (who is the Chairperson of their PMC) for planning and facilitating implementation,

and to the PD OPELIP for administrative purposes and for overall guidance.

23. Programme Review: OPELIP will be reviewed at the highest level by the PSC once a year and

the PMC at the state level twice a year and the MPA level PMC twice a year. In addition, programme

progress and outcomes will be reviewed during biannual Tripartite Project Review Meetings, which

are organized by DEA and IFAD and attended by Project/Programme Directors of all IFAD-supported

projects/programmes in India. IFAD will organise at least one Supervision Mission every year to

assess progress and provide support to enhance performance.

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4. Programme coordination and convergence

24. The Ministry of Tribal Affairs (MoTA) at the national level is the nodal agency and the STSCDD,

GoO at the state level will be the Lead Programme Agency responsible for the functions related to

planning, funds flow, monitoring and evaluation, gender mainstreaming and knowledge management.

A Programme Steering Committee (PSC) will be established under the chairmanship of the Chief

Secretary (or alternate), GoO with representations from key line departments, District Collectors of

programme districts, independent development experts, a representative from a reputed Bank, with

the Commissioner cum Secretary of STSCDD as the member secretary, for effective governance and

to provide overall policy guidance to the programme. Coordination at the highest level will also be the

responsibility of the PSC. This will review the progress of the programme and ensure that its activities

are coordinated with other development efforts in the state, especially with the key line departments

(Forest, Women and Child Development, Rural Development, Agriculture, etc.). In addition, all the

Supervision Missions that are to be fielded by IFAD will hold wrap up meetings with the Chief

Secretary or alternate.

25. In addition, at the State level, the programme will establish a Programme Management

Committee (PMC) with the Commissioner cum Secretary, STSCDD as the Chairperson and PD of

OPELIP as the Member Secretary. The members will include Secretaries (or their nominees) of the

Departments of Revenue, Finance, Forest, Panchayati Raj, Rural Development, Women and Child

Development and Planning and Co-ordination along with Additional Secretary, STSCDD and

Director, TRI. This committee will meet quarterly and make required management decisions for

effective programme implementation, including approving the Annual Work Plan and Budget.

26. At the MPA level a Programme Implementation Committee (PIC) will be set up under the

Chairmanship of the District Collector with representation from ITDA, Forestry Department and NGO

with the Special Officer of MPA as the member Secretary to approve AWPB, review implementation

progress and facilitate coordination with other line departments. The PIC will facilitate convergence

and co-ordination with relevant

departments and schemes of the

government. A Government Order will be

issued notifying that the Special Officer,

MPA will be overall in charge for the

implementation of OPELIP at the Micro

Project level covering all villages within the

GPs being serviced using an inclusive

approach. The implementation sequencing

is provided in the Figure below and the

implementation steps are provided in Chart

5. A graphic presentation of implementation

arrangements is provided in Chart 6,

responsibility matrix in Chart 7 and the

implementation phasing in Chart 8.

27. Mechanisms for delivery and interagency coordination will need to be well thought-out.

Lessons have been learned from OTELP and can also be drawn from public and private sector efforts

to work multi-sectorally and with multiple actors. Although time-consuming, a process involving a

series of in-depth meetings and encounters (not just one-off sessions) to get everyone to understand

the programme, its importance, and their roles and responsibilities has proved successful in other

contexts.

OPELIP Implementation Sequence

Setting up of PMU by STSCDD

Staff Recruitment for MPA by STSCDD

NGOs recruitment Land survey & allotment

Capacity building by NGOs

VDPs Preparation

Implementation of Entry point activities

Organising SHGs, GPCLFs

Formation of VDAs and VDCs

Implementation of community

infrastructure

Drudgery reducing interventions

Implementation of NRM L&W

Implementation of NRM Crops

Implementation of livelihoods activities

Maintenance by Target group, community & MPAs

Training community institutions

MPA staff strengthening

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5. Capacity building

28. Lessons regarding training and capacity building from the experience from IFAD projects in

India and elsewhere in Asia63

include:

Results of mass training programmes, covering many thousands of rural people, has been

generally disappointing. Reaching ambitious numerical targets requires a huge effort and

becomes the focus of programme management, and quality is sacrificed.

Post-training follow-up is a key factor in adoption of technologies and skills learned in training

courses.

Top quality training is well worth the extra cost - this may involve hands-on practical learning,

good trainers (including farmers who have done what they are now teaching), and training

from top institutions.

Capacity building and skill development can take place through a number of routes, and does

not always need to involve formal training courses. .

29. Approach to capacity building: Special Officer, MPA will be overall in charge for the

implementation of OPELIP at the Micro Project level covering all villages within the GPs being

serviced using an inclusive approach. Mechanisms for delivery and interagency coordination will need

to be well thought-out. Lessons have been learned from OTELP and can also be drawn from public

and private sector.

30. An important conclusion to be drawn from these lessons is the need for flexibility in capacity

building plans. Too often programme management thinks that by following a detailed cost table line-

by-line, they will achieve the objectives of the programme and training courses are provided because

they are in the cost table, not because they are really needed.

31. Capacity will be built for community members in the following ways:

Day-to-day contact with programme staff, FNGO staff, technical service providers as and when

they come in.

Day-to-day contact and mentoring by CRPs and Social Mobilisers of MPIT.

Contact with other government service providers (ICDS, health, etc.).

Viewing of videos produced for knowledge sharing

Participation in knowledge sharing and review meetings at the village and district levels

Utilisation of mobile-phone based information systems

32. Additional capacity building will be provided for programme staff via:

Contact with other staff, especially technical experts at PMU.

Contact with other agencies, especially GoO line departments

Contact with agencies in other states and countries - this may be partly facilitated by IFAD, and

include contact with IFAD supported projects/programmes in other states as well as other

good practice models.

Technical manuals and other materials.

63

in particular see Bangladesh: Evaluation of Training Provided by Projects, E Mallorie and N Sarder, IFAD Case Study, 2011

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Chart-1:OPELIP Programme Management Structure

Programme Steering

CommitteeProgramme Steering

Committee

Programme ManagementCommittee

Programme ManagementCommittee

STSC Development

DepartmentSTSC Development

Department

Programme Management

UnitProgramme Management

Unit

Micro-project AgenciesMicro-project Agencies

NGOsNGOs

VDA, VDCVDA, VDC

GP Cluster ForumsGP Cluster Forums

Producers’ CollectivesProducers’ Collectives

SHGsSHGs

Farmers Field SchoolsFarmers Field Schools

District Programme Implementation

CommitteesDistrict Programme Implementation

Committees

Participating HouseholdsParticipating Households

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* Assisted by Assistants

Chart-2: OPELIP Programme Management Unit, Bhubaneswar

Programme DirectorProgramme Director

Admin OfficerAdmin Officer

Deputy Programme

DirectorDeputy Programme

Director

Executive AssistantsExecutive Assistants

Deputy Programme


Director

Senior EngineerSenior Engineer

Manager NRMManager NRM

Manager, GISManager, GIS

Manager FinanceManager Finance

System AnalystSystem Analyst

Manager,

Livelihoods & ConvergenceManager,

Livelihoods & Convergence

Accounts AssistantsAccounts Assistants

Manager, MIS & KM *Manager, MIS & KM *

Manager, Community

Institutions & Rural FinanceManager, Community

Institutions & Rural Finance

Manager, Gender & NutritionManager, Gender & Nutrition

Manager, Communications & KM Programme Coordinator (Land Allocations)

Programme DirectorProgramme Director

Admin OfficerAdmin Officer

Deputy Programme


Director

Executive AssistantsExecutive Assistants

Deputy Programme


Director

Senior EngineerSenior Engineer

Manager NRMManager NRM

Manager, GISManager, GIS

Manager FinanceManager Finance

System AnalystSystem Analyst

Manager,

Livelihoods & ConvergenceManager,

Livelihoods & Convergence

Accounts AssistantsAccounts Assistants

Manager, MIS & KM *Manager, MIS & KM *

Manager, Community

Institutions & Rural FinanceManager, Community

Institutions & Rural Finance

Manager, Gender & NutritionManager, Gender & Nutrition

Manager, Communications & KM Programme Coordinator (Land Allocations)

Micro-project AgenciesMicro-project Agencies

Chart-3: OPELIP Micro-project Agency level Structure

Chairman MPA

(District Collector)Chairman MPA

(District Collector)

Special OfficerSpecial Officer

Project ManagerProject Manager

Asst/ Junior

EngineerAsst/ Junior

Engineer

Junior

Agricultural

Officer

Junior

Agricultural

Officer

AccountantAccountant

Community

Mobiliser

(Field Assistants)

Community

Mobiliser

(Field Assistants)

Nutrition

Focal PointNutrition

Focal Point

NGONGO

ClerkClerk

MIS Data Entry

OperatorMIS Data Entry

Operator

Chairman MPA

(District Collector)Chairman MPA

(District Collector)

Special OfficerSpecial Officer

Project ManagerProject Manager

Asst/ Junior

EngineerAsst/ Junior

Engineer

Junior

Agricultural

Officer

Junior

Agricultural

Officer

AccountantAccountant

Community

Mobiliser

(Field Assistants)

Community

Mobiliser

(Field Assistants)

Nutrition

Focal PointNutrition

Focal Point

NGONGO

ClerkClerk

MIS Data Entry

OperatorMIS Data Entry

Operator

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Chart-4: OPELIP: NGO Structure at MPA Level

NGO Coordinator,

Team Leader (Agriculture)

Junior

Engineer

Community

Institutions/

Nutrition Officer

Livelihoods

Rural Finance

Officer

Community Resource

Persons (CRPs)

Producers Groups VDCs SHG, GPLF

Accounts

Assistant

Village Agriculture

Worker *

Livestock

Inspector *

* CSPs are under VAW & LI

NGO Coordinator,

Team Leader (Agriculture)

Junior

Engineer

Community

Institutions/

Nutrition Officer

Livelihoods

Rural Finance

Officer

Community Resource

Persons (CRPs)

Producers Groups VDCs SHG, GPLF

Accounts

Assistant

Village Agriculture

Worker *

Livestock

Inspector *

* CSPs are under VAW & LI

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Chart-5: OPELIP Implementation Steps

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Chart-6: OPELIP Implementation Arrangements

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Chart-7: Responsibility Matrix

Sub-Component Major activities Implementing Agency

Facilitating Agency

Supervisory Agency

Community Institutions

NGO Recruitment PMU PMU

Recruitment of Capacity building agencies PMU PMU

Training of Trainers Service provider MPA PMU

NGO mobilization MPA PMU

PRA and Data Collection NGO MPA PMU

CRP selection and training NGO MPA PMU

VDA, VDC formation NGO MPA PMU

Identification and implementation of Entry Point Activities

VDA/VDC NGO MPA

Social Audits VDA/SFAC NGO MPA

SHG and Rural Finance

CRP selection and training NGO MPA PMU

Establishing, training, handholding of GPLF NGO MPA PMU

Mobilization of new SHGs and revitalization of existing SHGs NGO MPA PMU

Capacity building of SHGs NGO MPA PMU

Provision of seed capital to SHGs, PIF, CIF and VRF to GPLF MPA NGOs PMU

Building savings and credit systems of SHGs NGO MPA PMU

Establishing pulse banks SHGs NGOs MPA

Training on Gender related aspects NGO MPA PMU

Piloting Cooperatives Specialized Agency

TDCC PMU

Community Infrastructure -Gravity based Piped Drinking Water Systems (PDWS)

Formation of O&M Committees VDA, VDC NGO MPA

Selection of water supply mechanics VDA, VDC NGO MPA

Training of Water Supply mechanics RWSS MPA PMU

Identification of site and alignment VDC NGO MPA

Design, cost estimation and proposal preparation NGO MPA

Approval of plans for PDWS MPA PMU

Implementation of activities VDC NGO MPA

Community Infrastructure - Hand Pumps for Drinking Water

Identification of villages & preparation of proposals

VDA, VDC NGO MPA

Installation of Hand pumps RWSS NGO MPA

Training water supply mechanics RWSS NGO MPA

Community Infrastructure -Water purification pilots


NGO MPA PMU

Design, cost estimation and proposal preparation NGO MPA PMU

Implementation of activities NGO MPA PMU

Training of Water Supply mechanics Service Provider NGO MPA

Community Infrastructure - Primary School Buildings

Identification of villages NGO with VDCs MPA

Preparation of proposals MPA PMU

Construction of buildings Education Department

MPA PMU

Community Infrastructure - Connecting Roads

Identification of need NGO with VDCs MPA

Preparation of proposals MPA PMU

Construction of roads Rural Roads Department MPA, BDO PMU

Community Infrastructure – Toilets

Identification of projects VDA, VDC NGO MPA

Preparation of proposals NGO MPA

Construction RRD NGO MPA

Community Infrastructure - Market Yards

Identification of need NGO with VDCs MPA

Preparation of designs and proposals Line Dept MPA PMU

Construction MPA MPA PMU

Community Infrastructure - Community buildings, drying platforms, intra village CC roads

Identification of projects VDA, VDC NGO MPA

Preparation of proposals NGO MPA

Construction VDC, RRD NGO MPA

Community Infrastructure -Drudgery Reduction

Preparation of activities for drudgery reduction VDA, VDC NGO MPA

Approval of plans for drudgery reduction MPA PMU

Implementation of activities VDA, VDC NGO MPA

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NRM-Land allocation

Recruitment of LANDESSA PMU PMU

Identification of CRPs and training LANDESA MPA PMU

Survey and preparation of Maps LANDESA MPA PMU

Demarcation of plots LANDESA MPA PMU

Issuance of title documents LANDESA MPA PMU

NRM and Food and Nutrition

VDP preparation VDA/VDC NGO MPA

VDP approval and release of funds MPA PMU

Implementation of simple interventions VDA, VDC NGO MPA

Implementation of complex interventions NGO, MPA MPA PMU

Implementation of Crop intensification activities NGO MPA PMU

Implementation of agri-horticulture activities NGO MPA PMU

Implementation of farmer field schools NGO MPA PMU

Livelihoods enhancement

Identification and training of CSPs-Poultry NGO MPA PMU

Identification and training of CSPs-goat rearing NGO MPA PMU

Establishment of demonstrations with CSPs NGO MPA PMU

Establishment of preventive vet care for poultry and goats using CSPs NGO MPA PMU

Identification of beneficiaries for goat and poultry interventions NGO MPA PMU

Provision of support for goat and poultry interventions NGO MPA PMU

Identification and improvement to Haat bazars TDCC MPA PMU

Implementation of MSP for NTFPs TDCC MPA PMU

Recruitment of Specialized agency for promoting Livelihood collectives TDCC PMU

Mobilization of livelihood collectives Specialized NGO MPA PMU

Support for aggregation and value addition by livelihood collectives

Specialized NGO MPA PMU

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Chart - 8: Implementation sequencing by sub-component

Major activities Start up

Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 Year 7 Year 8

HY1 HY2 HY1 HY2 HY1 HY2 HY1 HY2 HY1 HY2 HY1 HY2 HY1 HY2 HY1 HY2

Start up Activities

PMU Establishment

Staff recruitment

MPA audit

Baseline survey

Community Institutions

NGO Recruitment

Recruitment of Capacity building agencies

Training of Trainers

NGO mobilization

PRA and Data Collection

CRP selection and training

VDA/VDC formation

Identification and implementation of Entry Point Activities

Social Audits

SHG and Rural Finance

CRP - GPLF selection and training

Establishing GPLF and training/handholding the GPLF, SHG mapping

Mobilization of new SHGs and revitalization of existing SHGs

Capacity building of SHGs

Provision of seed capital to SHGs, CIF and VRF to GPLF

Building savings and credit systems of SHGs

Establishing pulse banks

Training on Gender related aspects

Piloting Cooperatives

Community Infrastructure - Gravity based piped drinking water systems

Formation of O&M Committee

Selection of water supply mechanics

Training of Water Supply mechanics

Identification of site and alignment

Design, cost estimation and proposal preparation

Approval of plans for PDWS

Implementation of activities

Community Infrastructure-Hand pumps ofr Drinking water


Installation of Hand-pumps

Training water supply mechanics

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Community Infrastructure - Water purification pilots


Design, cost estimation and proposal preparation


Training of Water Supply mechanics

Community Infrastructure - Primary school buildings

Identification of villages

Preparation of proposals

Construction of buildings

Community Infrastructure - Connecting roads

Identification of need


Construction of roads

Community Infrastructure- Toilets

Identification of projects


Construction

Community Infrastructure-Market yards

Identification of need

Preparation of designs and proposals

Construction

Community Infrastructure - other infra

Identification of projects


Construction

Community Infrastructure - Drudgery reduction

Preparation of activities for drudgery reduction

Approval of plans for drudgery reduction

Implementation

NRM-Land allocation

Recruitment of LANDESSA

Identification of CRPs and training

Survey and preparation of Maps

Demarcation of plots

Issuance of title documents

NRM-Food and nutrition

VDP preparation and approval

AWPB approval and implemnetation of simple interventions

AWPB approval and implementation of complex interventions

Implementation of Crop intensification activities

Implementation of agri-horticulture activities

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Livelihood enhancement

Implementation of farmer field schools

Identification and training of CSPs-Poultry

Identification and training of CSPs-goat rearing

Establishment of demonstrations with CSPs

Establishment of preventive vet care for poultry and goats using CSPs

Identification of beneficiaries for goat and poultry interventions

Provision of support for goat and poultry interventions

Identification and improvement to Haat bazaars

Implementation of MSP for NTFPs

Recruitment of Specialized agency for promoting Livelihood collectives

Mobilization of livelihood collectives

Support for aggregation and value addition by livelihood collectives

Vocation training

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Chart – 9: FNGO Services: Cost estimates by year (Amount in 000 INR)

Quantities Amount in INR

No Unit 15/16 16/17 17/18 18/19 19/20 20/21 21/22 Total

Unit cost INR 15/16 16/17 17/18 18/19 19/20 20/21 21/22 Total

A Equipment

1 Bicycles-CRPs No. 30 30 3,000 90,000 0 0 0 0 0 0 90,000

2 Laptop computers /a No 5 0 0 0 0 0 0 2 25,000 125,000 0 0 0 0 0 0 125,000

3 Printers /b No 2 0 0 0 0 0 0 1 7,500 15,000 0 0 0 0 0 0 15,000

4 Other equipment-NGO office Set 1 0 0 0 0 0 0 1 15,000 15,000 0 0 0 0 0 0 15,000

5 Furniture-NGO office Set 1 0 0 0 0 0 0 1 25,000 25,000 0 0 0 0 0 0 25,000

B FNGO operational costs

6 User charges - Motorbikes per_month 24 48 48 48 48 48 6 264 2,000 48,000 96,000 96,000 96,000 96,000 96,000 12,000 540,000

7 NGO travel and O&M costs per_month 24 48 48 48 48 48 6 264 20,000 480,000 960,000 960,000 960,000 960,000 960,000 120,000 5,400,000

8 CRP allowances per_month 180 360 360 360 360 360 1980 1,000 180,000 360,000 360,000 360,000 360,000 360,000 0 1,980,000

9 Management costs per_month 6 12 12 12 12 12 3 66 25,000 150,000 300,000 300,000 300,000 300,000 300,000 75,000 1,725,000

C Salary

10 Agriculture Officer pers_month 6 12 12 12 12 12 6 72 35,000 210,000 420,000 420,000 420,000 420,000 420,000 210,000 2,520,000

11 Junior engineer pers_month 6 12 12 12 6 0 0 66 35,000 210,000 420,000 420,000 420,000 210,000 0 0 1,680,000 12 Community Institution and nutrition officer pers_month 6 12 12 12 12 0 0 66 35,000 210,000 420,000 420,000 420,000 420,000 0 0 1,890,000 13 Livelihoods and Rural finance officer pers_month 6 12 12 12 12 12 0 66 35,000 210,000 420,000 420,000 420,000 420,000 420,000 0 2,310,000 14 Additional salary for the NGO Coordinator \1 pers_month 6 12 12 12 12 12 0 66 5,000 30,000 60,000 60,000 60,000 60,000 60,000 0 330,000

15 Village Agriculture Worker\2 pers_month 36 48 48 48 48 48 0 276 12,000 432,000 576,000 576,000 576,000 576,000 576,000 0 3,312,000

16 Livestock Inspector\2 pers_month 24 36 36 36 36 36 0 204 12,000 288,000 432,000 432,000 432,000 432,000 432,000 0 2,448,000

17 Project Assistant- Accounts pers_month 6 12 12 12 12 12 6 72 15,000 90,000 180,000 180,000 180,000 180,000 180,000 0 990,000

18 CRP\3 pers_month 90 360 360 360 360 360 90 1890 4,500 405,000 1,620,000 1,620,000 1,620,000 1,620,000 1,620,000 405,000 8,910,000

Sub-Total 3,213,000 6,264,000 6,264,000 6,264,000 6,054,000 5,424,000 822,000 34,305,000

Service Tax @ 12.5% 401,625 783,000 783,000 783,000 756,750 678,000 102,750 4,288,125

Total 3,614,625 7,047,000 7,047,000 7,047,000 6,810,750 6,102,000 924,750 38,593,125

\1 One of the profesionals will be the Coordinator and will receive additional salary

\2 One Village Agriculture Worker and One Livestock assistant for 1200 households

\3 One CRP to cover 120-150 households in 2-3 villages

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Appendix 6: Monitoring and Evaluation and Knowledge Management

99

Appendix 6: Planning, M&E and learning and knowledge management

1. Introduction

1. M&E is important management function to track project progress and support the decision-

making processes at all level. In IFAD-funded projects, all projects have M&E activities to gather

information to assess progress against implementation plan (which is monitoring) and all projects

gather information to assess the outcomes and impact the project has achieved (which is evaluation).

Good performing project collect accurate information and produce timely quality reports. Great

projects collect accurate information and not only produce good reports but also use the information

to make decisions that improve efficiencies and enhance project impacts. The key purpose of good

M&E is to obtain accurate information that will be used by decision makers in the project to improve

and ensure proper use of resources as well as to maximize the results and benefits achieved from

these resources. The M&E system in IFAD-funded projects are expected to perform and achieve four

essential objectives: (a) to monitor and manage project progress; (b) asses project outcomes and

impact; (c) capture and disseminate lessons learned and good practices; and (d) build local capacities

for M&E.

2. M&E in OPELIP

2. The spectrum of M&E contour in any IFAD project, as also in OPELIP, encompasses planning,

monitoring and evaluation. The M&E Unit of OPELIP has the overarching responsibility for all these

entities to be carried out in a timely manner.

(a). Planning process in OPELIP

3. Planning at the Village Level: The planning process will be initiated with the community at the

village (or habitat, also referred to as Palli) with the support of FNGO and respective Micro Project

Agency (MPA). Following the community mobilisation and institution building (Village Development

Committee or VDC and Village Development Association or VDA) and their adequate capacity

building, and using participatory assessment methodology, the VDC will make the Village

Development Plan (VDP). Each VDP would be for five years period divided into early implementation

plan. Preparation of VDP will follow on-going OTELP’s existing methodology of preparing Village

Development and Livelihoods Plan (VDLP). The VDP will have plan for livelihoods, community

resource management, community infrastructures, IGAs, etc. as per the project component64

. The

VDP after review at the Palli Sabha or general meeting of VDA will be sent to Micro Project Agency for

approval. The preparation of VDP may be ideally concluded within six months of formation of

VDA/VDC. On the basis of the perspective plan or VDP, the village-level AWPB will be prepared each

year by October-November by each VDC and sent to respective MPA (model Planning template at

VDC level is given PIM).

4. Planning at the MPA level: The planning process at MPA level will be to consolidate the

AWPBs from all the VDCs under its jurisdiction as MPAs AWPB and forwarding thereafter to PMU

after approval by the District Level Programme Implementation Committee (PIC) headed by the

District Magistrate and Collector. This exercise should ideally be completed by second half of

December every year (model AWPB at MPA level is given in PIM.

5. Planning at the PMU level: The PMU will consolidate the AWPBs from all the 17 Micro Project

Agencies (MPA) preferably by December of each year. PMU will add other project management cost

including budget for M&E and KM related activities. PMU will request SCST Welfare Department,

64

Detail model of VDP preparation is given elsewhere in the PIM.

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GoO to make budgetary provisions for the project based on the estimates. PMU will send the AWPB

to IFAD along with the procurement plan for review/no objection by end of January each year. Based

on the observations made by IFAD, PMU will finalise the AWPB for approval by the State Level

Programme Management Committee (SLPMC) chaired by the Secretary, SCST Welfare Department,

Government of Odisha. The approved AWPB would be used for reviewing performance and progress

of the project. Subsequently, the M&E Unit of PMU will also plan for undertaking other M&E related

activities which are outlined in relevant section below. These include planning for conducting M&E

trainings, Result Impact Management System (RIMS), Annual Outcome Survey (AOS), Exit cum Post-

Project Sustainability, Knowledge Management Strategy and Action Plan (model AWPB template at

PMU level is given in the PIM.

(b). M&E Framework in OPELIP

6. The Monitoring and Evaluation system of the OPELIP will collect data and information to

measure performance and progress towards objectives, and be a learning tool to provide information

for critical reflection on project strategies and operations for development impacts. It will support

decision-making at various levels and be a basis for results-based management. It will enable the

project to report to Government and IFAD on its progress, results and impacts.

7. The participatory M&E system of project progress will begin at VDC/VDA/village level,

project data being collected by FNGO through the CRP/VDC Secretary on a monthly basis. The

FNGO will collate data from all villages and forward it to MPA or MPIT (Micro Project Implementation

Team), which in turn will forward to the PMU. The project will develop a learning system by organising

monthly/quarterly internal review meetings at the village/habitation, MPA/MPIT and at the PMU. It will

develop an automated Management Information System (MIS) for analysis of data collected at the

village/habitation/Palli Sabhas on a monthly basis to produce monthly/quarterly/half-yearly and annual

reports on physical and financial progress based on annual and total project targets as reflected in the

project AWPB. The M&E unit established at the PMU will take overall responsibility in discharging the

M&E functions of OPELIP. The half-yearly and annual reports will also contain sections on analysis,

interpretation and recommendations from process monitoring, lessons learnt and best practices.

8. In PME, the primary stakeholders – including the project target communities – are active

participants in all stages of project cycle, not just sources of information. PME focuses on building the

capacity of the local communities to analyse, reflect and take decisions and actions. PME attempts to

provide opportunities for joint learning of various stakeholders at various levels of the project cycle.

PME facilitates greater stakeholder commitment and ownership on the project activities, in turn

empowering them to take corrective actions to help themselves. In the field implementation,

participatory M&E is a kind of social process; it generally involves intense negotiations between

different target communities having different needs, expectations and worldviews. In a way PME is

also a kind of political process which addresses issues of equity, power and social transformation.

Above all, PME could be a highly flexible process, continuously evolving and adapting to the

programme specific circumstances and needs. PME is but the building block for successful M&E

system in all IFAD projects and the project staffs need to be oriented and sensitized on the need for

sharing of project information and knowledge on regular basis with all stakeholders including the

project target communities with open mind and transparent attitudes.

9. The PMU will undertake process monitoring along with FNGOs through quarterly field visits

in randomly selected villages/habitations in micro project areas to assess process of implementation,

constraints in implementation and assess targeting and distribution of immediate benefits from project

activities to different target groups. The M&E unit in the PMU will support this output and activity

monitoring. In addition it will implement a programme of outcome and impact monitoring, as well as

producing consolidated reports on project progress and results, and coordinating overall learning and

knowledge management.

10. The M&E would be guided by an M&E framework and indicators as outlined in Annex 1. The

M&E unit at PMU will also undertake or support an M&E agency in monitoring of programme outcome

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and impacts including undertaking Annual Outcome Survey (AOS) and Results Impact Management

System (RIMS) as per IFAD’s guidelines. The PMU will produce consolidated annual/half-yearly

reports on project progress and results, and coordinate overall learning and knowledge management.

11. The basic M&E framework is a system for systematic collection, analysis and reporting of

information/data at three different levels of project implementation: (i) outputs; (ii) outcomes; and

(iii) impact. In effect, M&E framework encompasses result-chain approach that also monitors inputs

and activities.

13. Output monitoring will measure the

progress of activities and achievement of

outputs against annual targets in the annual

work plan & budget (AWPP) for each project

component. AWPB outlines the inputs and

activities to be undertaken and at the end of

each each month/quarter/year would be

measured as outputs. Information on the

progress of the annual work plan will be

measured against indicators in the plan, such

as number of VDC formed/supported, number

of VDP prepared, numbers of people trained,

numbers of SHGs formed, and number of members in each group, length of irrigation canal

constructed, area of land irrigation, and so on. This can be linked to the financial expenditure on the

concerned activities, and data will be stored and report via a computerised Management Information

System (MIS). The type of output data to be collected and monitored will be carefully dovetailed with

the project logical framework indicators. The computerised MIS will also record village profiles for

each village where the project is working, which will be drawn up before work starts to collect basic

human, economic and natural resource information against which progress can be measured.

Physical and financial progress data and reports for each component/sub-component in each village

will be recorded in the computerised MIS. Data would be collected by field implementation agencies

such as Field NGOs, MPWs, MPAs and service providers, and other implementation units, including

information from the registers and accounts kept by VDCs/community organisations supported by

OPELIP. Wherever necessary, data will be collected disaggregated by gender and social groups

(STs, PTGs, SCs), particularly those related to training and access to services (refer to RIMS 1st level

results reporting requirement).

14. Although outcome monitoring would appear to be a straightforward process, the experience of

recent IFAD in India and elsewhere have highlighted the need to pay desired attention to the details of

how data is collected (formats used, frequency of data collection, etc) and reported. It is not unknown

for different project offices or reporting entities (such as district project offices or NGOs) using different

standards for reporting - for example some may report activities in terms of villages covered and

others report in terms of numbers of farmers or even households. Overlapping components can

mean households participate in more than one activity with the risk of double counting when

calculating the number of households reached by project services. These problems can be

overcome by training of staff responsible for progress reporting (from PMUs, MPAs and NGOs) to use

a common reporting format and carefully defining how participating households will be counted. The

M&E Unit at PMU will take the lead in harmonizing all the different formats for data collection and

reporting (A few suggested formats are given at the end of this write-up based on on-going OTELP

experiences of data collection particularly at the village level).

15. Outcome monitoring measures the immediate changes coming about as a result of project

interventions. The outcome indicators to be monitored are outlined in the project logical framework.

However, since outcome monitoring are not always easy for M&E staff in the project to collect

information (such as number of HHs reporting reduced soil erosion, adoption of improved methods or

Inputs: the financial, human and material resources

necessary to produce the intended outputs of a project.

Activities: action taken or work performed in a project to

produce a specific output by using inputs such as funds,

technical assistance and other types of resources.

Outputs: tangible immediate results that are produced

through the implementation of activities.

Outcomes: short-term and medium-term effects of an

intervention’s outputs.

Impacts: long term positive and negative effects

produced by a development intervention.

(Source: RIMS Handbook 2014)

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increases in sales of commercial crops, etc.), the project will conduct Annual Outcome Surveys (AOS)

as per IFAD’s guidelines, interviewing a sample of 200 to 400 farmers/households to gather data on

indicators such as those listed above (more details in the project logframe). An AOS may also be

carried out on a thematic basis in order to focus on a specific area of project intervention, such as

NTFP-based enterprises created as a result of project intervention and facilitation.

16. Related to outcome monitoring is process monitoring, which involves monitoring the

processes leading to outputs and outcomes. Specific areas where progress monitoring will be useful

in OPELIP include effectiveness of SHG savings and lending, provision of technical and other support

services, and the functioning of community organisations. Information on these may be gathered via

Participatory M&E or PME (see section on PME and below on knowledge management and learning),

as well as from the records of community organisations. In OPELIP, where high percentage of project

participants are illiterate, audio-visuals would be one of the most effective process monitoring tools;

videos could be made describing in local dialects/vernacular on project processes and results in a

particular project village that can be shown in other villages to disseminate key information and

messages. In addition, the Project will undertake specific studies related to women’s empowerment,

community natural resource management and benefit of project services for disadvantaged groups

such as landless households. Information on the effectiveness of training will be assessed via KAP

(Knowledge, Attitude and Practice) surveys carried out each year65

.

17. Impact evaluation is the process which will assess the contribution of OPELIP in achieving

the overall goal of the project. It will consist of baseline, mid-term66

and end-of-project surveys. This

survey will be coordinated by the PMU M&E unit and contracted to an external agency, with specific

expertise in such assessments. Information to be collected will include the impact level indicators of

IFAD’s Results and Impact Monitoring System (RIMS). These include mandatory ‘anchor indicators’

relating to household assets, food security and child malnutrition (anthropometric data of children

under five years of age). Other indicators of poverty will also be used, such as quality of housing and

sanitation, drinking water availability, cultivation, asset ownership, etc. Data will also be collected to

relate changes in all these indicators following participation in project activities and delivery of project

outputs.

3. Other M&E related tasks to be performed by PMU M&E Unit

(a). Results and Impact Monitoring System (RIMS)

18. Results and Impacts Management System (RIMS)67

is a framework adopted by IFAD for

measuring and reporting results and impacts achieved by the project. RIMS report is to be prepared

by each project each year. RIMS looks at three levels of results:

19. First Level Results: First level results correspond to the project activities and outputs; the

results measure financial and physical progress, mostly quantitative and reported on an annual

basis68

. Many of these activities or outputs results will also correspond to the project logical

framework. Project outputs are measured through simple quantitative indicators (example, “number of

people trained in livestock production”, usually reported by sex-disaggregated data). However, this

output indicator does not provide information on whether the training succeeded well or useful, such

as whether the training has improved in the livestock production technology, or whether livestock

mortality has reduced by improved livestock management practices following the training, or how

many more number of people has taken up livestock activity following the training. Such outcomes are

reported in the second level results.

65

KAP survey is being attempted based on experiences gained from JTELP project in Jharkhand. 66

Mid-term survey is no longer a requirement. Project may make its own judgment. 67

For details see “RIMS First and Second Level Results Handbook, IFAD, April 2014”. 68

IFAD projects in India prepare Annual RIMS Report for a calendar year, i.e. 1st January to 31

st December. In effect, the data

is collation from the first 3 quarter results of current FY and last quarter of previous FY. Annual RIMS Report is to be submitted

to IFAD by 31st March. Thus, OPELIP’s Annual RIMS Report 2014 would mean data from 1

st January 2014 to 31

st December

2014 (assuming at least completion of one year implementation period), which will be reported by 31st March 2015.

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20. Second Level Results: RIMS second level results correspond to the project outcomes, which

measure improved functionality or behavioural change, are more qualitative and normally take longer

to realize. This level corresponds to either the output or objective level of the project logframe.

Measuring outcomes means analysing changes in the behaviours and performance of households,

individuals, groups or institutions. The second level results in RIMS are in the form of assessment,

looking at the extent to which a given project activity has been successful in reaching specific

outcome, which is the assessment of effectiveness; it also looks at the extent to which the benefits

are likely to be sustained after the end of the project support, which is the assessment of

sustainability. Various methods (such as studies, participatory approaches, questionnaire-based

surveys, focus group discussions, etc) can be employed for measuring the changes from outputs to

outcomes.

21. Third-level results: Third-level results correspond to project impact, which is measuring

combined effects of the first and second level results, are quantitative (eg. Households reporting

increased assets) and are measured usually at three points during project life (baseline or

benchmark, mid-term69

and completion or endline). These refer to the goal and objective level of the

project logframe. The third level RIMS results are the anchor indicators and relate to household

assets, food security and child malnutrition (anthropometric data of children under five years of age).

OPELIP will undertake baseline (at Project Year One or PY 1), mid-term (PY 4) and end-line (Last

year of Project Year or PY 8) study. An annex is provided showing the RIMS indicators to be

considered during the baseline, mid-term and end-line study Annex 2.

22. Measuring and Reporting First and Second Level Results: The RIMS first and second level

results have been groups in the following categories:

- Natural resources (land and water) - Agricultural technologies and production - Rural financial services - Markets - Rural enterprise development and employment - Policy and community programming - Social infrastructure - Total outreach

23. RIMS Handbook70

provides clear guidelines on whole range of conducting, measuring and

reporting RIMS results. The selection of first level indicators and second level indicators will be done

on the basis of specific project characteristics or relevance to OPELIP. However, it is best that the

M&E staffs of OPELIP undergo a brief training on RIMS, which would be provided at the time of

project start-up workshop or can be provided separately as part of the implementation support to the

project. All indicators would be reported on sex-disaggregated basis and to the extent relevant

differentiation between indigenous/tribal people and non-tribal peoples would also be reported.

(b). Annual Outcome Survey (AOS)

24. The AOS is a household survey that is undertaken annually by project staff and will cover a

small sample of 200 households selected randomly in project areas (project beneficiaries) and 200

households selected randomly in non-project areas (non-beneficiaries, to be used as a comparison

group). IFAD has developed a standard methodology called RIMS, primarily intended to document

end-of-project impact. As such, it does not provide regular or timely information about results that can

be used to take corrective action during project implementation. The Annual Outcome Survey (AOS)

is a tool to monitor how well a project is doing through a systematic process of learning by doing.

More specially, the AOS is intended to set out to identify positive and negative changes taking place

at the household level, provide early evidence of project success or failure, provide time performance

information so that corrective actions may be taken as required, and also assess targeting efficiency.

That is why samples are taken both from project villages and non-project villages for comparisons.

69

Mid-term survey is now optional. 70

See RIMS First and Second Level Results Handbook, April 2014, IFAD.

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25. How and when to conduct the AOS: Annual Outcome Survey is conducted annually starting

from the 2nd

year of project implementation. The Technical Guide for Conducting Annual Outcome

Survey71

has been developed by IFAD, which would be provided to OPELIP at the time of start-up or

as part of the PIM. For OPELIP, the AOS will be conducted from PY 2 using simple household (HH)

survey that project staff can easily conduct with a small but representative sample of project

communities. Like all other projects in India, OPELIP will conduct the AOS in the first quarter of the

calendar year (January to March) or last quarter of the financial year. This period in most part of India,

as also in OPELIP, coincides with the relatively off-season when farmers have more time to

participate in the surveys. The HH survey will focus on quantitative data (e.g., the number of women

participating in training, the % of HH that have adopted new farming technology, the % of female-

headed HH that have increased profit, the number of HH taking loan to improve farming practices and

so on). These findings from HH survey are complemented by qualitative data that provide more in-

depth explanations of why and how some outcomes were better achieved or not achieved. Such

qualitative data are generated through focused group discussion, key informant interviews, etc. One

of the key areas of attention in AOS is in developing questionnaires as appropriate to the project. On

the basis of IFAD’s technical guidelines for AOS, most questionnaires for OPELIP AOS would be

developed around key thematic areas. As reporting Annual Outcome Survey is important, IFAD’s

technical guideline for conducting AOS will be given in PIM.

26. Additionally, it is important that gender dimensions are appropriately reflected in the AOS.

While trying to focus on activities and outputs, it is important that gender-specific information should

be collected such as women participating in or indirectly benefiting from project activities. A practical

approach is to review project logframe having gender-sensitive indicators, gender issues being

adequately reflected in the M&E plan, updating the HH survey tool to align with the revised log-frame

and providing skills to enumerators and project staff in quantitative and qualitative data collection

methodologies especially to cover issues that matter differently to women and men.

(c). Special studies

27. The OPELIP M&E and KM unit may carry out, or commission, a number of special studies.

Some of these studies could include topics such as: (i) health and nutrition among the PTGs including

housing and settlement patterns; (ii) production and productivity (cropping system studies in

agriculture and horticulture crops); (iii) environment and NRM (impact of soil and water conservation

measures, flow monitoring and flood discharge in micro-watersheds); (iv) forest/NTFP based

livelihoods; (v) migration dynamics; (vi) indebtedness among PTGs; and (vii) Forest Rights Acts and

the PTGs including Community Forest Resources. Cost effectiveness studies will be also undertaken

to assess delivery systems and implementation methodology/approaches adopted by OPELIP and

other agencies implementing similar activities. All the studies must be carried out through gender

lens.

4. Gender in M&E

28. Integrating gender dimension in M&E is imperative in all IFAD projects. Integrating gender into

M&E system helps to measure the extent to which a project has addressed the different needs of

women and men, and has made an impact on their lives and overall social and economic well-being.

It also facilitates to improve project performance during implementation, allows for mid-term course

correction, and makes it possible to derive lessons for future projects.

29. OPELIP will clearly identify the extent to which the project has reached women and the degree

to which they have benefited from project activities and outputs. This involves gender disaggregation

of data on project activities and outputs to see if women have fully participated in group membership,

group leadership, training, livelihoods activities, SHGs credit activities and enterprise support.

Further gender disaggregation is needed to see if women have benefited in terms of outcomes - such

as increasing production - or impacts - increased income and assets. As some indicators are better

measured on a household basis, these need to be disaggregated by gender of the household head.

71

See the Technical Guidelines: Conducting an Annual Outcome Survey, IFAD.

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Special studies may also be undertaken on measures to reduce women's drudgery (especially

provision of domestic water and fuel-wood supply) and on other issues regarding women's welfare

and empowerment (for example access to health services, and household decision making). Further

details on gender-related monitoring are in Working Paper on Poverty, Gender and Targeting. Some

ideas of gender-sensitive monitoring indicators72

in OPELIP AOS could be developed using the

following table:

Particulars Questionnaire / issues to identify gender-sensitive indicators

Gender division of labour - What is the gender division of labour or work burden at the household level? In other words, who is more responsible for working in the household, women or men?

- When the project got started, has the mam/male started sharing household work with the woman/female, or woman has to work more?

Gender differences in

access and control over

resources (e.g. income,

employment, land, social

services

- Who controls income in the household? Do the man and woman equally contribute in decision making on expenditure relating to household income?

- Who participated in the project training more, female or male? What have been the outcomes of training in applying the knowledge to household economics?

- In whose name is the land under the household control? Do both man and woman equally contribute in deciding the types of crops to be grown in the household land?

- What different kinds of social services do the man and woman receive or enjoy? What influences do these services have into the woman’s health and ability to access information?


information and

knowledge

- Are there gender difference in accessing the same information (about amount of information and how to access)?

- Are there any differences in economic opportunities between man and woman due to different amount of information accessed?

Decision making patterns

in the household and

community

- Who in the household has the decision power? (compare with the contribution of man and woman in the total household income; whether person contributing the most in total income has the decision power).

- The participation of female and male in activities of community (the voice and respectfulness opinions in community activities).

Women and men’s

attitude and self-

confidence

- The difference between female and male about self-confidence in all different project and community activities (on participation and responsibility).


vulnerability and coping

strategy

- Differences in dealing problems and in adjusting to external shock.

5. Indigenous/Tribal People in M&E

30. In line with IFAD’s policy on engagement with indigenous and tribal people, OPELIP will develop

an M&E system that would capture indicators specific to tribal development issues. Wherever

applicable the data would be sex-disaggregated. Examples to be captured in M&E would be the

followings:

- Area (in acre) of land devoted to tribal traditional crops (eg. Millets); - Number of tribal HHs or people adopting traditional techniques; - Number of tribal HHs or people blending traditional system with new technologies; - Number of seed banks established for keeping/storing traditional tribal seeds varieties; - Number of tribal HHs or people served by the seed banks that keep tribal seed varieties; - Number of tribal HHs or people rearing local varieties of poultry birds; - Number of tribal HHs or people dependent on forest NTFPs; - Number of tribal HHs or people dependent on forests foods; etc. - Number of Lanjia Soura HHs or people practicing Idtal Art. - Number of Kandh HHs or people practicing/dependent on Dokhra Craft.

72

Modified from M&E Manual Guide for IFAD funded Projects in Vietnam.

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- Number of Dangaria Kandh HHs or people practicing traditional “ Dangaria Shawl” making. - Number of Bonda HHs or people practicing in traditional “Bonda Ringa” jewellery making.

6. Implementation Responsibilities of M&E

31. M&E Staff: OPELIP will establish a single unit for combined tasks of M&E and KM activities

at the PMU (on KM activities see below additional information under Learning and Knowledge

Management). The PMU will have the overall responsibility for the implementation and coordination

of M&E activities as well as the KM activities under the charge of Senior Manager (M&E, MIS & KM).

The Project Manager (PM) at the MPA with Data Entry Operator and Team Leader/Coordinator at the

NGOs would be the counterparts on all issues and responsibilities relating to M&E and KM at the

respective MPA level. The Social Mobilizer at the MPA and Community Resource Person (CRP) at

the NGO in coordination with VDCs could also have M&E functions and responsibilities as required.

32. In the first year of the project, the M&E staff will focus on establishing a functional M&E

system for the project. This would include reviewing the results framework and indictors with

management to ensure that they are relevant, refining the M&E plan, M&E matrix, assessing staff

training needs on M&E, organising M&E trainings at all level (PMU, MPA and village), coordinating

the baseline survey, designing the various reporting formats, developing databases, setting up the

MIS, preparing the AWPB, initiation of VDPs and training of the VDCs, etc. From the second year,

the M&E staff will focus on timely conduct of Annual Progress Report, RIMS and AOS (more details

under step by step implementation arrangements).

(a). M&E staff in the PMU

33. The M&E and KM unit at PMU will have a small team comprising a Manager (Planning, M&E,

MIS), a Manager Communications and Project Assistant MIS. The Manager (Planning, M&E and

MIS) would report to the Deputy Project Director (DPD) and would be responsible for coordinating

project planning - such as consolidation of the AWPB; conducting, preparation and submission of

project reports (such as Annual/Half Yearly Progress Report, RIMS and AOS); consolidating project

knowledge management particularly learning and communication. The manager will be responsible

for supervision of timely data collection and entry, data analysis and report writing, as also for issues

relating to project documentation, preparation/consolidation of learning and preparation/dissemination

of communication/learning materials. The MIS Assistant will undertake the computer data entry,

preliminary data analysis and also support activities relating to knowledge management. OPELIP

would encourage/explore use of tablet computers or data-enabled mobile phones for field data

collection that could eliminate the need for data entry, as data will be entered directly into

tablets/phones rather than using a paper questionnaire and uploaded directly into a survey database.

(b). M&E in the MPA level and Village or Community level

34. The Project Manager (PM) at the MPA office would be overall responsible for M&E and KM at

the SDA level. The PM would be assisted by MIS Assistant/Data Entry Operator these staff will be

responsible for managing and coordinating monitoring of activities and outputs, and for working with

field NGOs and service providers on reporting of their activities. The Social Mobilizers at the MPAs

and CRPs at the NGOs will be responsible for most field data collection at village level. The VDCs are

also to maintain some basic activities data with financial expenditure (based on the VDP and AWPB).

At all level, the data ought to be sex-disaggregated (for example, the number of male and female

attending a training on livestock management in addition to the total number of people attending the

training).

(c). Technical agency for M&E

35. OPELIP will source the services of a technical agency through standard procurement system.

The technical assistance from an M&E support agency will build capacity of the unit, provide support

for data interpretation, and enable the M&E unit to carry out high quality work. Capacity building in

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M&E for project staff will be undertaken through structured orientation training programme, refresher

training, and information sharing. In addition IFAD will facilitate linkages with other agencies and

support the use of the IFAD M&E tool kit. The on-going OTELP has used the services of

organisations like Sambodhi for impact studies; KITT School of Rural Management (KSRM) and

Institute of Social Welfare & Research (ISWAR), both located at Bhubaneswar for Annual Outcome

Surveys.

(d). Key M&E tasks and implementation arrangements

36. During the design (formulation and appraisal) processes, several aspects of M&E tasks are

addressed, identified and outlined. Some of these include establishing the scope and purpose of the

M&E system, indicate key performance questions and indicators along with associated monitoring

mechanism, outline the organisational arrangements for M&E, develop terms of reference for M&E

tasks, establish indicative M&E budget along with M&E timeframe including M&E planning and M&E

matrix. Overall key M&E tasks and implementation steps are summarised in Table below:

Key stages of

project cycle

Key M&E tasks73

Project initiation

(loan

effectiveness) to

project start-up

workshop (usually

the PY 1)

Recruitment of all M&E staffs;

Review the project design/detail project report in relation to M&E with key stakeholders;

Review the PIM in relation to the section on M&E and KM in particular;

Develop a detailed M&E plan and system including appreciation of project M&E culture and practices that would emerged or required to be developed taking into consideration the various project results chain;

Review and development various M&E formats (data collection and reporting formats);

Undertake and complete the baseline surveys;

Develop project MIS (outsource the task);

Prepare the knowledge management strategy and link it up with

Put in place necessary conditions and capacities for M&E to be implemented.

Main

implementation

period

Ensure all data and information needs for management and key stakeholders are regularly met;

Coordinate information gathering and analysis, as also data storage and data management;

Facilitate and support regular review meetings and processes with all implementers and stakeholders;

Prepare for and facilitate the project reviews/review meetings (monthly/quarterly/half-yearly/yearly or annual);

Coordinate/prepare for supervision missions; implementation support missions, etc.

Conduct focused studies on emerging questions including documentation of good practices;

Disseminate / communicate project results with various stakeholders;

Prepare/undertake and ensure timely submissions of various reports as per IFAD’s norms and requirements including documentation of success case studies, half-yearly/annual progress report, Annual Outcome Survey, Annual RIMS Report, and so on.

Prepare the KM strategy and action plan; integrate M&E and KM.

Prepare the draft Exit Strategy cum Post Project Sustainability.

Consolidate the various types of supervision mission and implementation support mission feedback.

Mid-term Collate information for the mid-term review (MTR);

Coordinate for conduct of the MTR;

Facilitate internal review processes to prepare the external review processes.

Adjust the M&E system as required.

Revise the draft exit strategy and post-project sustainability.

Organise project workshop to review, share and disseminate changes proposed at MTR with all project staffs and partners.

73

Should be read along with the overall KM tasks (as Manager M&E/MIS is also responsible for KM in OPELIP

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Phasing-out and

completion

Assess what the implementers and communities can do to sustain project interventions, impacts and M&E/KM activities could be sustained after closing down; implement these specific ideas; revise and update the project exit strategy and post-project sustainability document.

Undertake end-line surveys.

Organise workshops to review the key elements of project exit and post-project sustainability strategy.

Organise workshops and field studies with key stakeholders to assess project impacts; identify lessons learned for next phase of the project and/or other projects to be designed in future.

Prepare the Project Completion Report (PCR) as per IFAD’s guidelines.

Facilitate and coordinate IFAD’s PCR validation mission.

Organise closure workshop to share and disseminate lessons learned with all key stakeholders.

7. Annual M&E Activities Calendar

37. OPELIP will develop its annual M&E activities calendar. The calendar outlines the key M&E

activities and reporting requirements to be performed by the project by which date or month. Based

on this template through a consultative process OPELIP M&E unit will eventually develop a detailed

M&E activities calendar in order to roll out a robust M&E system in the project.

Key activities April May June July Aug Sep Oct Nov Dec Jan Feb March

M& E Activities at the PMU / MPA /NGOs

Annual Progress

Performance

Review & NGO

performance

Review

AWPB preparation

and submission

Annual Progress

Report

Half-yearly

Progress Report

Annual RIMS

Report submission

Annual Outcome

Survey Report

submission

Quarterly Results

Report Preparation

(Outputs/ 1st Level

Results)

Quarterly Review

Meetings at PMU &

MPA

Focus Groups and

Key Informant

Interviews (Theme

or Output based)

Data Collection for

physical and

financial progress

by MPA and NGOs

M& E Activities Specifically at Village/VDC level

VDA/VDC level for

PME meetings

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SHG meetings and

data recording

Data Recording by

Producer Groups,

VDCs & GPLF

Committees

8. Management Information System (MIS)

38. OPLIP will establish a computerised MIS system in the first year of project implementation. It

will include information on all aspects of project related information and characteristics such as village

profiles, physical and financial progress, impact evaluation analysis and reports, RIMS first and

second level indicator tracking, and other pertinent information. Initially the MIS may be run

manually in MS Excel to create a database of key project information, and automated in the second

year of the project using database software. The MIS would then be able to generate, monthly,

quarterly and annual progress reports on physical and financial progress and on project outcomes.

The objective would be to have an integrated system that would allow data entry and report

generation at the district (i.e. at each Micro Project Level) as well as central level. OPELIP can draw

lessons from the good MIS being used in OTELP. OPELIP would require outsourcing expert external

agency to develop MIS. One of the important aspects would be to validate the data before entry into

the MIS. Who would do this data validation at village /NGO / MPA levels need to be addressed as

part of the project management system. Furthermore, OPELIP will try to build a GIS-linked MIS in the

project. The lessons learnt from the on-going JICA-funded Orissa/Odisha Forestry Sector

Development Project (OFSDP) would be extremely useful. OPELIP can seek assistance from the

OFSDP for this purpose and OPELIP can engage appropriate M&E agency to design the system.

9. Reporting and Communicating Project Results

39. The M&E unit at PMU will develop common reporting formats to be used by all the MPAs and

NGOs for different activities so that there is no discrepancy in the reporting of data on status of

progress of project activities; compilation and analysis of data will be immediate for timely reporting

and communication. All data would be gender disaggregated and the analytical reports are to be used

for taking timely corrective actions and to learn from implementation experiences to further improve

project management effectiveness and efficiency. Monthly, quarterly and annual reports including

reports from studies would be produced by the Project. For IFAD corporate reporting, Half-yearly,

Annual Progress Report and RIMS Annual Reports are required to be prepared.

40. Monthly Progress Reports (MPR) will be prepared from the project MIS developed to generate

information at the Village/VDC/Palli Sabha and MPA levels for reporting to the PMU. Information in

the report will contain component/sub-component wise physical and financial progress against annual

targets. This report will form the basis for monthly progress reviews at all levels.

41. Quarterly Progress Reports (QPR). Besides reporting physical and financial progress this

report will contain information on challenges encountered in implementation and corrective actions

and solutions to address constraints as well as communities response to project initiated activities.

QPR would also be useful for consolidating RIMS Annual Report each year to be carried out for a

calendar year (1st January to 31

st December). For this purpose, the indicators to be monitored,

reported should be harmonized to the extent possible with project logframe and RIMS indicators (1st

level results up to mid-term and 2nd

level results after mid-term).

42. Half yearly and Annual Progress Reports (HR/AR) will be prepared from information compiled

by the PMU on component/sub-component wise physical and financial progress, and loan category

wise financial progress. The information will be generated via the project MIS and could contain

summarised information and data from villages and MPAs, and also findings from PME and annual

outcome surveys, showing progress towards development objectives, usefulness of training

(information from KAP surveys), benefits from component/sub-component interventions, gender

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issues and knowledge management. The reports could be dovetailed with case studies of successful

interventions. Some sample of reporting formats are included in the draft PIM (Project Implementation

Manual) and OPELIP may well take advantage of OTELP in this regard. The PMU will prepare the

half-yearly progress report by the end of October and the annual progress report by the end of May

every year and send to IFAD India Country Office and other stakeholders.

43. RIMS Annual Report. The key RIMS indicators corresponding to the project components are

included in the project’s Logical Framework and will be reported annually by the end of December. In

the first year the project information on RIMS first level indicators (list of indicators included in RIMS

Handbook) associated with outputs would be reported. After mid-term review the report will include

ratings of effectiveness and sustainability of 2nd

level indicators, validated from the results of annual

outcome surveys. A standard table will be included in the PIM for this report. Additionally, OPELIP will

have the advantage of experiences of OTELP in preparing RIMS Annual Report.

44. Annual Outcome Survey (AOS) Report: Each year the project will undertake AOS between

January to March and report to IFAD by April. The first AOS will be done in the second year of project

implementation after completing a full first year of project implementation. AOS in OPELIP will be for a

calendar year (January to December).

45. Mid-Term Review Report (MTR): IFAD in cooperation with the Government would undertake a

mid-term review by the fourth year of the project lifecycle to review project achievements and

implementation constraints including issues relating to loan administration and financial management.

Any corrective measure would be addressed at MTR. A mutually agreed action plan will be prepared

based on the MTR findings. IFAD may appoint, in consultation with the Government, an external

agency to evaluate the impact of the project if necessary.

46. Project Completion Report (PCR): As the project reaches completion point, the PMU would

prepare a draft Project Completion Report based on IFAD’s Guidelines for Project Completion. IFAD

and the Government will then carry out a Project Completion Review based on the information in the

Project Completion Report and other data. This review is usually done during the intervening period of

project/loan closing date and project/loan ending date.

47. Case studies on project innovations and success stories74

: OPELIP will undertake case studies

of project innovations and success stories on regular basis and report them through Annual Progress

Report and in the India Country Newsletters. The project will also report them and communicate

through its IFADAsia webpage managed by IFAD.

10. Learning and Knowledge Management (KM)

48. Staffing: Learning and knowledge management would be key element of OPELIP. In

OPELIP, the M&E and KM functions are integrated via Manager (Planning, M&E, MIS and KM) under

the overall charge of Additional Project Director. While the KM functions in the project would be cross-

cutting and would be responsibility of every sector head and/or subject matter specialist in PMU, the

PM at MPA and team leader/coordinator of NGO would also be actively engaged to perform KM

activities of the project.

(a). Knowledge Management in OPELIP

49. OPELIP will prepare a Knowledge Management Strategy building on IFAD’s Knowledge

Management Strategy in the first year of project implementation. The staffs responsible for KM

activities would undergo training on KM; an outline of the training module will be provided in the PIM.

50. The project learning system would comprise of various activities relating to M&E and KM

functions. Some of these would include monthly, quarterly and annual review meetings; NGO review

meetings; capturing information on progress, lessons and finding solutions for implementation

74

IFAD’s Communication Division has brought out a guideline for preparing case studies in the field. This will be provided at the

time of start-up workshop.

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constraints. KM and lesson learning would be used as a tool for internal learning by project

stakeholders such as staff of various implementing agencies, participating villagers and farmers, both

women and men. This will involve a series of regular meetings at village/cluster, MPA and state

levels. At these meetings, progress of project activities will be reviewed and reasons for success and

failure identified. Participatory tools such as “most significant change”, “story telling” and

“participatory monitoring and evaluation” (PME) may be used at these meetings.

51. OPELIP will be encouraged to learn from KM culture and practices of OTELP (including use

of technical manuals prepared and tested by OTELP) and also participate in the Digital Green

programme or learn from it for amplification of knowledge through combination of technology and

social organisation for community transformation. Another approach in sharing knowledge are

"Learning Routes" - a continuous process of in-the-field training that seeks to broaden and diversify

the markets of rural technical services, placing special value on the best experiences and knowledge

of institutions, associations, communities and rural families. Each Route is organized thematically

around experiences, case studies and best practices on innovative rural and local development.

(b). Enhancing Use of Knowledge from M&E

52. In all IFAD-funded projects, each monitoring and evaluation activity has a purpose. The

significance of M&E in projects are critical; when done and used correctly, M&E contributes to

strengthening the basis for managing results, foster learning and generate knowledge for all the

stakeholders including IFAD, Government and Communities. Thus, knowledge gained from M&E is at

the core of IFAD-funded projects. IFAD and government will use and apply learning from M&E to

improve the overall performance and quality of results of ongoing and future projects and strategies.

M&E is now oriented to generating knowledge and learning. Projects are now designed with emphasis

not only on the inputs, outputs and processes but on development results as outcome. OPELIP would

use its M&E data and information for improved learning enhancing accountability of the project for

learning, use the knowledge and learning from M&E for project planning, implementation and

improved monitoring, and document innovations and success stories so as to contribute in the overall

local, national and global knowledge pool in development particularly in the areas of tribal

development and poverty eradication.

(c). Knowledge Products, Dissemination and Communication

53. OPELIP will endeavour developing various knowledge products depending on the target

audience and information needs. The knowledge products could be in the forms of publications,

documented case stories, photo documentation, videos, charts, manuals, etc. The M&E unit of

OPELIP will take lead in knowledge products development and dissemination by involving all subject

matter specialists in the project including providing capacity training on knowledge management as

appropriate. However, for meaningful learning and knowledge sharing, knowledge products should be

of quality with clearly identified audience and purpose. The characteristics of good knowledge

products75

have the following elements:

- Based on an assessment of needs and demand for the product among targeted users to ensure relevance, effectiveness, usefulness and value of the knowledge product.

- Designed for a specific audience, taking into consideration functional needs and technical levels.

- Relevant for decision-making needs. - Knowledge products brought out timely. - Written in clear and easily understandable language. - Data is presented in a clear and coherent manner; all data and information being from project

M&E without any bias, both successful and failure cases. - Knowledge products developed through participatory process and validated through quality

assurance processes with relevant stakeholders or peer reviewed appropriately.

75

Adopted from the “Handbook on Planning, Monitoring and Evaluating for Development Results”, UNDP, 2009

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- The knowledge products should be easily accessible to the target audience through most effective and efficient means, and timely.

- Consistency in presentation of products to enhance visibility and learning.

54. Practical tips for developing knowledge products from project M&E and dissemination of the

products could include the following steps:

- Identify the target audiences and their information needs. - Collect and keep at hand the contact information of all key stakeholders. - Identify and determine the types of knowledge products to be developed (keep in mind the

availability of project resources for this purpose as also the capacity of the project to develop the knowledge products, directly or through outsourced).

- Select and determine types of knowledge products that meet the target audience’s information needs.

- Identify language requirements per product and audience. - Determine most likely efficient forms and dissemination methods for each knowledge product. - Monitor feedback and measure results of dissemination efforts as also quality of knowledge

products.

(c). Knowledge Sharing and Learning Culture

55. OPELIP will continuously endeavour to capture and disseminate lessons learned, successful

case studies and good practices. The project will adopt various knowledge sharing methods and tools

including designing and facilitating knowledge events such as meetings and workshops. Some of the -

practical approaches and strategies to knowledge sharing and learning culture as also methods and

tools would include:

- Building strong network by conducting periodic workshops/seminars/conferences on issues of tribal development and thematic areas of contemporary relevance.

- Conduct monthly/quarterly/half-yearly/yearly review meetings. - Developing skills and competencies of project staffs to improve human resources in the areas

of knowledge management. - Tailoring knowledge management activities closely to the needs of project staff and

stakeholders. - Developing and actively using project website, newsletter, etc. and contributing in the IFADAsia

website. - Adoption of specific knowledge sharing methodologies and tools

76 with capacity building

components, such as: Tools treasure hunt Video storytelling Speed sharing Chat show Jumpstart storytelling World Café Peer Assist

11. Institutional Mechanism and Terms of Reference of key M&E-KM Units

56. The institutional framework for M&E Unit at OPELIP with the responsibility of planning, M&E

and KM will have the following rough structures. While Project Director would have the overall

responsibility, the Additional Project Director would have direct functional responsibility and oversight

on the M&E-KM unit of the project. Learning from the OTELP experiences, the key M&E-KM staffs

would have the following tasks and responsibilities. This section may be read with the Terms of

Reference for Technical Assistance for M&E, RFP for baseline survey and training module for M&E

may be seen in the PIM.

76

Details are available at “Introducing Knowledge Sharing Methods and Tools: A Facilitator’s Guide” by Allison Hewlitt and

Lucie Lamoureux. IDRC-IFAD, 2010

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Annex 1

OPELIP – M&E Matrix

Results Hierarchy Performance Questions Indicators Data to be collected Data Collection

Method

Respon-

sibility

Goal:

Improved living

conditions and reduced

poverty of the tribal

/PTGs communities

Has the living conditions of

communities improved?

-Stunting of children under 5 years of

age (target: 5% reduction)

-Underweight of children under 5 years

of age (target: 10% reduction)

-Household asset index (Target: 50%

increase after inflation adjustment)

Age, weight & height of children (both

boys and girls) of the age group 0-6

years

RIMS Anthropometric

Survey (Baseline, Mid

Term and End Term)

PMU

Project Development Objective:

Enable improved

livelihoods and food

security for PTG, other

poor tribal and SC

households

Has the livelihoods of

PTGs improved?

-Increase in income (target: 50%

increase after inflation adjustment).

-Improvement in food production by at

least 70% over current levels.

-Reduction in IMR and MMR (target : on

par with state average)

a. Income from all sources - agriculture,

forest, livestock, others

b. Literacy levels

c. IMR and MMR

Baseline survey and

Impact assessment

studies

RIMS Anthropometric

Survey (Baseline, Mid

Term and End Term)

PMU

Outcomes:

1. Strengthening PTG communities and non-PTG communities providing effective support to their members access to rural financial services enhanced

Has effective community

organizations mobilized?

Utilization of VDP allocation (target 75%

of VDCs utilizing 80% allocation)

VDP allocation and VDP utilization be

village

Baseline survey and

Impact assessment

studies

Project MIS

PMU

Has access to financial

services improved?

Improvement in access to financial

services (savings, credit, insurance, and

pension) by the PTG and Non PTG

households (target: 75% of SHGs with

regular savings and internal lending and

repayment rate of 75%)

a. No. of SHG members with regular

savings and internal lending.

b. Loan repayment rate of internal

lending by SHGs

Baseline survey and

Impact assessment

studies

Project MIS

PMU

Has the dependence on

local money lenders/

traders reduced over time?

Reduction in household indebtedness :

( target - 50% decline in indebtedness

from moneylender)

No. of households with loan from

money lenders and quantum of loan

Baseline survey and

Impact assessment

studies

Project MIS

PMU

2. Food and nutrition security situations improved

Has the food security and

nutrition security situation

improved?

-Land allocation to PTGs (target –

100% PTG households with one

standard acre of land).

-Increase in cropping intensity (target

a). No. of PTGs that have received land

title for revenue/forest land and extent

of land.

b). Cropping intensity of farmers in

Baseline survey and

Impact assessment

studies

Project MIS

PMU

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. 50% increase in cropping intensity by

50% of the farmers)

3) Increase in agri-horticulture (target -

50% of the PTGs adopting agric-

horticulture)

programme villages.

c) No. of PTG households and extent of

land under agro-horticulture.

3. Diversification in sources of income.

Has the source of income

of PTGs diversified.

-Reduction in mortality of goats (target –

10% mortality)

-CSPs continue to be active after 6th

project year (target – 80% of the CSPs)

a. Mortality rate of goats in the

programme area.

b. No. of CSPs operating in the area

and charging service fee.

Baseline survey and

Impact assessment

studies

Project MIS

PMU

4. Community and social infrastructure improved.

Has the community

infrastructure status

improved in PTG villages?

-Village approach road improved

(target- 100% of villages with

connectivity to main road).

-Housing of PTGs with permanent roof

(target- 100% of PTGs with permanent

roof).

-Household with access to safe drinking

water (target- 100% of PTG households

with access to safe drinking water

a. No. of villages with connected to

main road.

b. No. of PTG households with

temporary roofs.

c. No. of PTG households with access

to safe drinking water.

Baseline survey and

Impact assessment

studies

Project MIS

PMU

Output:

1. Community Empowerment

Has the project been able

to develop the community

institutions/ organizations?

Has the project been able

to provide training and

exposures to the

community members and

their institutions?

-Community Organization formed by

type and category (VDC, SHG etc.)

-SHGs and GPLFs formed .

-CIF, DRF and VRF released to the

SHGs/GPRLF.

-Cumulative repayment/NPA of SHGs

and GPRLF

-No. of CRPs- Empowerment and CRP-

SHGs promoted

-No. of training programmes conducted:

(i) empowerment; and (ii) nutrition and

health.

a. No. of SHG, VDC, GPRLF formed. b. Type of ??? activity and amount spent

by village c. No. of members covered under these

institutions (gender disaggregated) d. Repayment rate/NPA of SNG and

GPLF lending. e. No. of recipient SHGs/GPLFs and

quantum of CIF, DRF and VRF released.

f. No. of CRPs (by type) promoted and trained.

g. No. persons trained by type of training.

h. No. of exposure visits and no. of persons.

Project MIS PMU/MPA

2. NRM and Livelihoods Enhancement:

Have the communities

prepared NRM plans and

implementing it?

-Land allocation to PTGs

-VDPs prepared and implemented.

-Cropping intensity and area under

cultivation of rice, pulses, oilseeds,

a. No. of PTG households and extent of land allocated by (i) homestead; (ii) revenue land; (ii) forest

b. Type of entry point activities

Project MIS PMU/MPA

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increased agriculture and

horticulture production?


started alternative means

for livelihoods with

emphasis on nutrition

dense activities

vegetables and millets.

-Nutrition dense interventions

implemented and amount spent by village.

c. No. of village micro plans, plan outlay and utilization.

d. Area under cultivation and cropping intensity by crop (emphasis on nutrition sensitive crops).

e. New technologies introduced and no. of households practicing new technologies.

f. No. of village micro plans / VDLP implemented.

g. No. of households and extent of land under horticulture.

h. No. of seed banks/ grain banks promoted and functioning

i. No. of CSPs promoted by activity. j. No. of kitchen garden, backyard

poultry and goat units promoted. k. No. of producer collectives promoted. l. No. of NTFP marketing centres

established. m. No. of vocational training conducted. n. No. and type of activity for

strengthening PTG culture and tradition.

3. Community Infrastructure and Drudgery Reduction

Has the community

assessed and planned for

village infrastructure needs

for their village?

Time saved in collection of water

Qty of fire-wood saved

Enhanced income due to market access

Community infrastructure projects

planned and implemented by type

Community infrastructure projects

implemented directly by communities

Community collected contributions

(voluntary labour, etc.) for maintenance

of infrastructure.

a. No. and type of drinking water projects implemented.

b. No. of schools with toilets. c. Total km of CC road and access road. d. No. of people trained in improved HH

food processing /handling e. No. of post-harvest infrastructures

created f. No. of small scale irrigation structures

built g. No. of solar lights provided h. No. of smokeless chulas installed

Project MIS PMU/MPA

INDIA Odisha PTG Empowerment and Livelihood Improvement Programme Design Completion Report

Appendix 7: Financial management and disbursement arrangements

117

Annex 2: RIMS indicators for baseline, mid-term and end-line survey77

Indicators

Value at

Indicators

Value at

Baseline

(PY 1)

Mid-term

(PY 4)

End-

line

(PY 8)

Baseline

(PY 1)

Mid-

term

(PY 4)

End-

line

(PY 8)

Gender of household head Types of animals owned

Male headed households Households owning pigs

Women headed households Households owning cattle

Child malnutrition Households owning goats

Weight for age of children

under 5

Households owning chickens

Height for age of children

under 5

Sources of drinking water

Weight for height of children

under 5

Total households with safe

source of water

Piped into households

Piped into yard

Public tap

Tube-well

Literacy rate Protected dug well

Women’s literacy rate (age 15-

24)

Protected spring

Men’s literacy rate (age 15-24) Unprotected dug well

Unprotected spring

Flooring material in the

household

Pond, river or stream

Carpet

Cement Type of household sanitation

Ceramic Total households with safe

sanitation

Vinyl Flush toilet

Polished wood Pour/flush latrine

Palm/Bamboo Improved pit latrine

Wood planks Open pit latrine/traditional

latrine

Dung No facility/bush/field

Earth/sand

Asset Ownership

Cultivation Access to electricity

Households cultivating farmland Ownership of a radio

Households not cultivating

farmland

Ownership of a TV

Households cultivating with

power tillers

Ownership of a bicycle


animals

Ownership of a motorcycle


hand tools

Ownership of a vehicle

Type of fuel used for cooking

Firewood/straw

Electricity

77

While undertaking baseline survey, OPELIP may however wish to include other socio-economic indicators for inclusion in the

survey particularly keeping in mind the needs/requirements of the government. The questionnaire therefore needs to be

carefully developed. This is usually what might be called as “RIMs Plus” surveys. Additional indicators would be in respective

WPs.

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1. An assessment of financial management (FM) capacity of the Micro Project Agencies (MPAs)

for the Odisha PTG Empowerment and Livelihood Improvement Programme was conducted during

the Formulation. Subsequent to the comments of Country Programme Management Team, Quality

Assurance Panel and Quality Enhancement Panel, the assessments and implementation

arrangements were revised or modified during Design Completion Mission.

1. Country Public Financial Management Performance Assessment

2. Public Expenditure and Financial Accountability (PEFA) Public Financial Management (PFM) Performance Assessment Report for India was conducted by National Institute of Public Finance and Policy in 2010 on the request of the World Bank. The objective of this PFM performance report is to assess the current status of the PFM system in India at the central government level. The coverage of the assessment was limited to the central government level and the State Governments were not covered under the study. The State Governments were mandated with substantial functional responsibilities involving both social and economic sectors. The study was a diagnostic assessment of the 28 high level indicators of the PEFA Performance Measurement Framework. The six critical dimensions of PFM performance assessment provided by the PEFA framework are credibility of the budget, comprehensiveness and transparency, policy-based budgeting, predictability and control in budget execution, accounting, recording and reporting, and external scrutiny and audit. 3. The major assessment of the study on each of these dimensions is below.

The higher expenditure out-turn as against the budget estimates, largely in the revenue expenditure rather than the capital expenditure, certainly adversely affects budget credibility, as it indicates poor planning and implementation of expenditures and non-regard for the sanctity of the budget estimates.

India has achieved a reasonably high level of fiscal transparency and the comprehensiveness of the fiscal information publicly available has improved in recent years. After the adoption of Fiscal Responsibility and Budget Management Act (FRBM), the government started presenting fiscal policy strategy documents and projected major fiscal indicators in the medium term.

A multi-year perspective in expenditure planning and budgeting has been lacking in India.

Recording and Management of Cash Balances, Debt and Guarantees by the government of India have improved significantly. India has also been able to comply with both IMF's Special Data Dissemination Standard (SDDS) and World Bank's Quarterly External Debt Statistics (QEDS).

Aggregate fiscal discipline, an elaborate expenditure control mechanism exists in India; debt strategy and debt management practices are reasonably well developed; Parliamentary control over budgetary practice and expenditure control is established following the Constitutional provisions.

Internal audit is conducted in a routine manner and the results of these in improving the financial management system are insignificant.

The Constitution of India has provided the Comptroller and Auditor General of India (CAG) as a high independent statutory authority. The Constitution prescribes exhaustive safeguards for the independent functioning of CAG. The range of audit performed by the CAG includes regularity (financial) audit, regularity (compliance) audit, IT audit and performance audit. The audit assists Parliament in exercising financial control over the executive to ensure that funds approved have been utilized with due regard to economy and efficiency.

4. State level: The Orissa General Financial Rules follows generally the provisions contained in

the General Financial Rules of the Government of India with some state specific modifications and

apply for the financial transactions of the State Government. The third edition of the OGFR (with

corrections up to 31st August 2000) is currently used. The Financial Rules describe primarily the

financial powers of different authorities subordinate to the State Government and the procedure



119

prescribed by the Governor which should be followed by them in the securing and spending of funds

necessary for the discharge of these functions entrusted to them. In the matter of receipt, custody and

disbursement of Government moneys, these rules are supplementary to the rules in the Orissa

Treasury Code and should be applied in conjunction with them.

5. Department of SC/ST Development is the Lead Department for implementing the OPELIP.

IFAD-assisted Odisha Tribal Empowerment and Livelihood Programme is also being implemented by

this department. This department is the nodal department for welfare and development of scheduled

castes and tribal communities. Besides the State funds, the Department also receives Tribal Sub Plan

funds, SCA to TSP funds and funds provided under Article 275 of the Constitution of India. Each of

these funds are provided by the Government of India to the State for specific implementation of

activities for the welfare of the SC/ST communities. The quantum of these funds is determined by the

percentage of SC/ST population to the total population. OPELIP will be implemented through 17 Micro

Project Agencies.

6. The Lead Programme Agency for implementation of OPELIP will be the Programme

Management Unit housed in the SC/ST Development Department. The PMU will be established after

the effectiveness of the IFAD assisted Programme. As such the Financial Management Assessment

of the LPA could not be performed. An assessment of the implementation agencies have been carried

out and based on the assessment and review, implementation arrangements are recommended.

2. Assessment of Project Implementation Agency

7. The programme will be implemented in 17 Micro Project areas covering 12 districts of the State.

There are 17 separate Micro Project Agencies, registered as Societies. Initially the Societies were

established from 1978-79 and some of them subsequently in mid 1980s and early 1990s. The Staff

positions in these Societies are sparse and only clerical staffs undertakes the recording of financial

transactions. The Society is governed by a Governing Body chaired by the Collector of the District and

Vice-Chairperson is the Project Administrator of the Integrated Tribal Development Agency (ITDA).

The Special Officer is the Member Secretary of the Governing Body. The Micro projects are

functioning under the administrative control of Commissioner-cum-Secretary, SCSTDD.

8. Performance audit of the Micro Project Agencies by the C&AG for the year ending 31st March

2009 indicates the following:

i) There were huge differences between the Perspective Plan and CCD projections, Annual

Action Plan approved and the funds received.

ii) Even the reduced funding received by the Micro Project agencies was not fully spent.

iii) Perspective Plan of 2002-07 excluded 4241 PTG households of Hill Khadia and

Mankirdia and Lanjia Soura PTGs from the purview of developmental planning

iv) Non-submission of Utilisation Certificates for the Grants-in-Aid received.

v) Scheme / programmes included in the AAPs of the micro projects were not PTG-specific but were similar to those implemented for development of STs. No specific importance was given for framing and implementing schemes/programme/activities that are required to augment traditional sources of income and skills of PTGs.

vi) In spite of 80 per cent spending, the physical achievement in all the components fell short by 15 to 76 per cent.

vii) Non-availability of sufficient technical manpower.

9. While the PMU will take advantage of the existing skills and experience of the OTELP PMU,

major control risks are identified in the 17 micro-project agencies where the project’s PIUs will be

established. Main issues are summarized as follows:

There is no dedicated finance staff in any of the Micro projects and only a Junior Clerk/Senior Clerk is available for accounting and record keeping with no computer literacy.

Micro projects maintain only very few accounts, manage multiple bank accounts without any reliable control in place

Due to lack of staff, segregation of duties is not applied

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The stock registers, asset registers and financial records are not maintained or kept updated

The turnover of the staff is very high. Except the Clerk, the other staff are transferred within a year.

Instead of audit by a Chartered Accountant (as per the Memorandum of Association of the Society), only Departmental Internal Audit is carried out. The frequency of the Departmental audit is once in three years.

No financial statements are prepared, except funds allotted, available opening balance, expenditure for the period and the closing balance. No expenditure analysis in relation to the physical achievements is done.

There is an alarming pendency of audit observations yet to be settled. On an average, each of the micro project has more than 300 unsettled audit observations from 1979-80 onwards. No effective follow up to settle these are done. The alarming rate of pendency is highlighted in the Departmental Audit Reports as well as in the C&AG Audit Reports.

10. The overall project control risks before mitigation actions are rated as High.The analysis of the

risks identified and their mitigation measures are indicated below:

Risk category Initial FM risk rating (H/M/L) Proposed risk mitigation measures Residual risk rating (H/M/L)

Inherent Risks

1. Entity Level There are multiple entities at different geographic and remote locations.

H The entities’ roles and responsibilities has been included in the Programme design. There will be NGO partners to assist the MPAs in implementation of activities. PMU will have continuous oversight functions. The reporting from the different locations will be done through V-SAT facilities.

M

2. Project Level As the PMU, OPELIP is a newly established entity, financial management procedures, internal control systems have to be designed.

H

SCSTDD will engage a qualified Chartered Accountant firm prior to entry into force to prepare the Finance Manual setting up the chart of accounts, formats, standard operational procedures for recording and reconciling financial transactions and also conduct trainings on these to the staff. The manual will be incorporated into the Programme Implementation Manual. The PIM should be approved by IFAD.

M

Control Risks

Staffing The project management lack sufficient financial management capacity to perform the necessary FM functions.

H

PMU OPELIP will recruit qualified finance staff with clear terms of reference from open market or existing government staff on deputation for the PMU and ensure that the tenure of the government staff should be at least for two year period. Through TA for preparation of finance manual and training, the capacities of PMU and MPA accounts staff will be built. IFAD will also provide capacity building and support during start-up and later.

L

Budgeting Lack of a comprehensive budget formulation and less than satisfactory execution

M An annual work plan and budget will be prepared by each Micro projects and the financial budgets will be linked to physical outputs. This will provide a consolidated projection for each programme year and all sources of funding to undertake the activities will be indicated. PMU OPELIP will consolidate the annual plans and submit to IFAD for comments. The approved annual work plan will also be used as a management tool to identify the bottlenecks in implementation. The monthly financial reporting of the implementing units will be used for variance analysis and corrective measures.

L

Funds flow & Disbursement Arrangements

M For OPELIP, separate bank accounts and Books of Accounts will be opened fresh for each of the funding sources. IFAD financing to OPELIP will flow through the Designated Account to Ministry of Finance and then to Government of Odisha. Government of Odisha pre-finances the programme expenditures as per the approved AWPB. PMU, in turn transfer funds to implementing units on quarterly basis. Disbursement arrangements will be similar to other India

L



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projects.

Internal Controls H Currently, at micro project level number and skill of staff are very limited. In order to address the constraint and set-up correct segregation of duties, micro project offices will be reinforced with additional skilled staff which will be duly trained. The PIM will be prepared in a manner to become a useful reference guide for the discharge of the finance function

M

Accounting

H

Limited available human resources skilled for the finance function at micro project entity level due to the remote location of the agencies represent a serious constraint. At the MPA level, accounting software will be introduced and only Cash book, Vouchers, Advances Register and Bank reconciliation will be done. Using the software, PMU would synchronise the transactions into financier-wise, component/sub-component and category wise details. PMU will prepare a code-based activity list so that errors are minimised.

M

Financial Reporting and Monitoring

H

Limited available human resources skilled for the finance function at micro project entity level due to the remote location of the agencies represent a serious constraint. As explained above, only basic accounting based on codes will be done at MPA level. PMU using the accounting software further customised to generate IFAD specific report and financial statements will have the responsibility for financial reporting and monitoring. PMU will be strengthened with additional accounting staff for these tasks.

M

Internal Audit

H

Internal Audit will be undertaken for every quarter by a Chartered Accountant firm, engaged annually by PMU.

L

Audit No effective follow-up and settlement of audit observations. Frequency of the audit is not annual

H Government of Odisha will provide an assurance that for OPELIP efficient and effective financial reporting and audit arrangements will be made. While pending audit observations and objected expenditure are outside the ambit of IFAD financing, Government of Odisha will complete the audit of all the MPAs up to 2013-14 before Loan Negotiations and submit an Action Plan to resolve the pending observations by January 2015. .

M

Overall Project Fiduciary Risk

H M

H=High, M=Medium, L= Low

3. Summary of Risk Assessment

11. ST&SCDD is currently executing the OTELP project since 2004. In the last few years, OTELP

has been rated as high/medium risk from a fiduciary point of view. Starting 2010 IFAD supported very

much the enhancement of the FM function and currently OTELP has acceptable FM arrangements in

place. OPELIP PMU will benefit from the support of OTELP PMU which will facilitate establishment

and operations of the new PMU office. The main challenge is represented by the use of the 17 micro-

project agencies as OPELIP operational branches. Main weaknesses to be addressed are related to

number and skills of staff, internal control mechanisms in place, accounting and financial reporting,

audit.

12. In order to address these serious weaknesses, the entire financial management practices and

procedures of OPELIP will have to be laid out clearly disclosing PIUs staffing needs and roles,

establishing proper maintenance of accounts, monitoring and review of the financial achievements

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against the budget projections, internal controls, internal audit, capacity building of finance staff,

financial reporting and external audit by a chartered accountant firm.

13. The overall risk rating assigned at this stage is high before any mitigation measures are put in

place; it decreases to medium with the application of basic FM practices. Practical risk mitigation

measures are described in detail above.

4. Programme financing

14. The total programme cost over eight years has been estimated at INR 7,955.77 million (USD

130.42 million). IFAD will contribute about USD 51.5 million.78

The rest will have to come from GoO in

the form of (i) resources allocated under Article 275 (1), (ii) SCA to TSP; (iii) Conservation-cum-

development (CCD) and other funds from convergence. The beneficiaries are expected to contribute

INR 183 million (USD 3.0 million) mainly as contribution to land and water management sub-

component and livelihood sub-plan implementation. Detailed cost estimates are given in WP-9.

5. Implementation arrangements

(a). Fund flow arrangements

15. IFAD financing to the Programme will be routed through a Designated Account denominated in

United States Dollars maintained at the Reserve Bank of India. Controller of Aid, Accounts and Audit,

DEA, Ministry of Finance will administer the Designated Account. IFAD will establish an Authorised

Allocation for initial advance. Once the Programme enters into force, on the request of CAA&A, IFAD

will disburse initial deposit up to the authorised allocation to the Designated Account. The initial

deposit will be recovered as per the policy indicated in the Loan Disbursement Handbook. It is

recommended that the Authorised Allocation may be established at USD 3 Million. However, the

quantum is subject to the agreement of both Government of India and Government of Odisha at Loan

Negotiations, as this will count for the payment of service charge. The methods of disbursement and

the formats for submission of the withdrawal applications will be detailed in the Letter to the Borrower

and the Loan Disbursement Handbook to be provided to the Government of Odisha after the

Programme enters into force.

16. Government of India will pass on the IFAD financing to the State under the back-to-back

arrangement, i.e. on the same terms of financing agreed with IFAD. The project is financed through

blend terms, and shall be subject to interest on the principal amount outstanding at a fixed rate of

1.25% per annum, a service charge of 0.75% and shall have a maturity period of 25 years, including a

grace period of five years. The repayment of the principal and interest, service charges of the

financing will be borne by the Government of Odisha including the foreign exchange risks. However,

Government of India through the office of CAA&A will execute the repayments as per the amortisation

schedule agreed during the Loan Negotiations and as per the national systems adjust the repayments

with the State Government.

17. It is to be noted that IFAD financing will be denominated in Special Drawing Rights. Total

project costs including government contributions will be indicated in the operational currency of United

States Dollars and in Indian Rupee based on the exchange rate at the time of Design Completion

Mission. Depending on the foreign exchange rate fluctuations, the Indian Rupee equivalent of IFAD

Financing and Government counterpart contributions may increase or decrease. The increase or

decrease of INR equivalent financing will be adjusted during the Mid Term Review of the Programme.

During Loan Negotiations also this fact will be stressed for the understanding of the Government of

Odisha so that the project costs are capped at INR level.

78

Exchange rate of USD 1 =INR 61



123

Funds Flow Chart

IFAD

CAA&A, MoF

(Designated

Account)

GoO

STSCDD

PMU

OPELIP

Micro-project

Agencies

STSCDD

Other

Programme

Parties

Fund flow

Financial Reporting

Funds Flow and Financial Reporting Arrangements under OPELIP

18. The SCSTDD, Government

of Odisha (SC/ST Development

Department) will transfer the

funds including its counterpart

funding as per the approved

Annual Work Plan & Budget to

the Project Management Unit for

OPELIP as per the State

procedures. The funds from

Tribal Sub-Plan, SCA to TSP and

Article 275 of the Constitution and

the State funds will comprise the

Government funding. The

Government of Odisha will pre-

finance the projected

expenditures of the programme

and when the expenditures are reported to IFAD as per the formats and thresholds agreed, IFAD

financing will flow to the Government. The funds received from the Government of Odisha will be kept

in a Project Accounts at PMU level and at the Micro Project Level. The funds received from the

Government by the PMU OPELIP will not lapse at the end of the fiscal year by a separate

Government Order. To establish the trail of IFAD financing, the Government of Odisha (SCSTDD)

should specify the quantum of each of the funding sources and IFAD financing in each of the

transfers.

(b). Customised Bank Application Software

19. A review of the Customised Bank Application Software, developed by National Informatics

Centre, Odisha and implemented through Axis Bank by Odisha Model Tribal Education Society

(OMTES) was conducted during design completion. The features of this pilot software are: (i)

Allotment of funds is done based on the approved budget and allocated per component and sub-

components (ii) Two levels – initiator and authoriser with separate passwords (iii) When the

transaction is approved, cheques are printed locally with numbered stationery provided by the bank

(iv) The funds maintained in one bank account in Bhubaneswar (iv) Provides real time information on

the transaction.

20. CBA is only a payment monitoring software and does not maintain books of accounts. The

books of accounts have to be maintained in accounting software (like Tally). Also CBA handles only

one financier (Government funds). The advances are not separately dealt with (payment and

liquidation). For generation of financial statements, accounting software needs to be used. In effect

two types of software in conjunction have to be used, which would be difficult and increase the

workload. Under OPELIP, there are multiple sources of funding and particularly in IFAD financing and

government counterpart funding are mixed. In view of complexity of the financing pattern and

activities, fund flow to community organizations, skill level at the MPA level, etc., the CBA is not

recommended for implementation under OPELIP.

21. Accounting Software The financial accounting of the OPELIP will be done through a

computerised accounting software (like Tally) at all levels, which will be customised as per pre-

assigned numeric codes linked to the Component, Sub-Component, Loan Categories and funding

sources to generate financial reports for the Government of Odisha and IFAD specific reporting. The

customisation should be in such a way that component, sub-component, category and each of the

funding sources to be collated through the software. Also necessary control features should be

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enabled. Considering the skill level at MPA, the software will only have budget projections

(component, sub-component, activity and financier), cash book for each of the financiers, advances

and assets linked to cash book and bank reconciliation. PMU, OPELIP will consolidate the

expenditure data using synchronisation feature of the software will generate financial statements and

other reporting and also prepare MPA-wise reporting.

22. Disbursement The disbursement of IFAD financing will have (i) Advance payment to

Designated Account (ii) Reimbursement of Government financed expenditure (iii) Direct Payment to

the vendors of services and equipments/materials. The disbursement will be under two types (i)

Statement of Expenditure and (ii) Documented Claim. In line with ‘Medium risk’ identified in the Risk

Assessment, the recommended SoE threshold will be USD 50,000 for payment of eligible

expenditure. Any single payment exceeding USD 50,000 will be submitted through documented

procedures. The procedures for SoE and other disbursement methods will be as per the Loan

Disbursement Handbook and the Letter to the Borrower. IFAD will follow the Risk Based

Disbursement procedures for each of the withdrawal application submitted.

23. The categories of disbursement in Schedule 2 of the Project Financing Agreement is

established in line with IFAD new Loan and Grants System. The categories proposed are Works,

Goods, Supplies and Inputs, Grants and Subsidies, Training, Salaries and allowances, Operating

Costs. Each of the component expenditure according to the disbursement accounts in COSTAB will

be grouped together in the Categories. IFAD financing for eligible expenditure will be indicated as a

percentage. The recommended percentages are indicated in the Working Paper on Project Costs.

There will also be an Unallocated Category, which could be used to reallocate the funds among the

categories, either at mid term review or when some of the categories have reached the maximum

disbursement limit.

(c). Financial Management

24. In PMU, the finance staff will comprise a Finance Manager and two Accounts Assistants. In the

MPAs one accountant will be appointed. All the position will have clear job descriptions outlining

duties and responsibilities.

25. Budgeting. During the programme implementation, the PMU, OPELIP will prepare its AWPB

and consolidated financial projections to the PMC for approval. The individual MPA AWPBs will be

annexed and only the financial projections will be consolidated. After PMC approval, STSCDD will

incorporate the budget approved net of beneficiary contribution and other funds from the Government

of India as a line item in its budget for legislative sanction. STSCDD will also submit the AWPB for the

funds from the Government of India to the Ministry of Tribal Affairs for accessing the funds at least 2

months before the start of the programme year. Once approved, the annual budget shall be input in

Tally, managed and monitored using the software. The funds will be transferred to the PMU on non-

lapsable basis and the funds for implementation of planned activities will be transferred to the Micro

Project agencies as Grant-in-Aid. While transferring the Grant, details of the share of each of the

funds to be specified, for effective tracking of utilisation. PMU, OPELIP will adopt a sound fund

management practices so that adequate funding is available to the Micro Project agencies for each

quarter.

26. Internal controls. Procedures and record maintenance at the Micro Project agencies have to

be significantly strengthened by addressing the issues of non-availability of skilled finance staff,

setting up of internal controls, setting up of effective monitoring and review, introduction of accounting

software, preparation of a Finance Manual with guidance notes and above all capacity building of the

finance staff. As preparation of the finance manual is a pre-requisite for sound financial management,

a Chartered Accountant firm or Accounting Consultancy firm should be engaged. The cost of

engaging the services will be included in the retroactive financing. The system of joint signatory for

operating the bank accounts or appropriate authorization processes will have to be introduced.

Besides the Special Officer, the other signatory could be the Programme Manager or other staff

identified by the Government of Odisha. .



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27. Accounting systems, policies, procedures and financial reporting. PMU and each of the

MPAs will open separate bank accounts to receive OPELIP programme funds and maintain separate

books of accounts for each of the financier. Each Micro Project agencies will submit the Monthly

Progress Report to the PMU electronically. For the communication and data transfer purposes, VSAT

facilities are planned, which would enable data consolidation by PMU at Bhubaneswar. PMU will

prepare annual consolidated financial statements including data provided by the MPAs. The

accounting will be done on cash basis. The financial reporting formats will be included in the Finance

Manual, which will form part of the Programme Implementation Manual.

28. Internal Audit. An internal auditor will be engaged to provide continuous monitoring and review

of the financial systems and procedures. The internal auditor will be engaged immediately after the

Programme enters into force. The internal auditor will submit quarterly reports and one consolidated

report at the end of the fiscal year. The Internal Auditor will report directly to the Project Director,

OPELIP. The observations and recommendations of the internal auditor and the action taken report

on the recommendations should be informed to PMC at each of its meetings. IFAD Supervision

Missions and Implementation Support Missions will also review the compliance to the internal audit

observations.

29. External Audit. The external auditing arrangements for OPELIP will be established in two tiers

– (i) Independent External Auditor, (ii) Compliance and Performance Audit of the Office of C&AG. As

the PMU OPELIP will be a part of the STSCDD, Office of the Comptroller & Auditor General will

undertake Compliance and Performance Audit of the Department. However, due to heavy work load

of C&AG the timeline for submission of audit report to IFAD may not be ensured. In view of this it is

recommended that the financial statements of the projects be audited by private Chartered

Accountant using standards generally accepted in the country and prescribed by ICAI. The

independent auditor will review and follow-up on the recommendations/remedial measures prescribed

by the previous Departmental Audit/CAG audit. The audit of the project will be done as per the IFAD

Project Audit Guidelines in force. The audit report along with the Project Financial Statements and

other opinions of the Auditor should be submitted to IFAD within 6 months of the end of the financial

year, i.e. by 30th September every year.

30. Taxes: OPELIP will be implemented in wide geographical area; some of them are very remote.

Except the expenditure on items which are procured from big suppliers/service providers, the other

expenditure is on Maximum Retail Price which includes taxes. Excluding taxes from eligible

expenditures for small payments places a real administrative and accounting burden for the

implementing agencies. IBRD following a country-specific assessment allows financing for taxes that

are not ‘excessive, discriminatory or otherwise unreasonable. Under current financing pattern, IFAD

will not reimburse 100% of eligible expenditure and the Government counterpart contribution for

eligible expenditure will be much higher than the current tax rates.


preparatory activities are proposed to be undertaken between April 2014 and date of entry into force

and accordingly the facilities for retro-active financing have been requested by the GoO. These

proposed expenditures will fall under three expenditure categories, namely (i) Goods, services and

inputs (ii) Training and capacity building; and (iii) Salary and allowances. The estimated total

expenditure is USD 534,800 and eligible IFAD financing will be of about USD 406,240. The details

and amount of retroactive financing will be indicated in the Financing Agreement. The retroactive

financing, initially pre-financed by Government of Odisha from its resources and will be eligible for

reimbursement after the Programme enters into force.

6. Key issues and agreements

32. Prior to entry into force of the programme, STSCDD should provide to IFAD duly certified

copies of closing balances of all cash books and all bank accounts being maintained for government

funds along with certified bank statements of each bank accounts of each MPA as on 31 March 2015.

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33. PMU OPELIP will engage a Chartered Accountant firm or Accounting Consultancy firm to

prepare the finance manual including the accounting standards, formats and also train the Finance

Staff on the financial management practices and procedures. The cost of this engagement is included

in the retroactive financing.

34. Government of Odisha will complete the audit of all the MPAs up to 2013-14 before Loan

Negotiations and submit an Action Plan to resolve the pending observations by January 2015

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Appendix 8: Procurement

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1. Country Level Procurement Framework

1. In India, there is no law exclusively governing public procurement of goods by the departments and ministries at the Central level or at the State level. Rules and directives in this regard provided in the General Financial Rules (GFR). An important number of instructions, issued by the Central Vigilance Commission (CVC), supplement these regulations. No central authority exists that is exclusively responsible for defining procurement policies, overseeing compliance and grievance redressal systems. A limited control and oversight functions are exercised by the Comptroller and Auditor General and the Central Vigilance Commission. As per the rules and procedures on procurement stipulated in the GFR the Departments have been delegated full powers to make their own arrangements for procurement of goods and each of the Department has issued office orders to define the process. In the Government departments, no dedicated staff available with procurement skills. In the absence of required procurement expertise, a Department can procure goods through the Central Purchase Organization, Directorate General of Supplies and Disposals (DGS&D). Tenders for contracts above a threshold size are issued and are reported by the respective departments. While the advertisements for procurement for goods, works and services are published, the data on actual procurement and the award of the contracts by the Departments are not publicly available.

2. A complaint mechanism to address protests/grievances redressal does not exist. The contract provisions provide for dispute resolution through mutual consultation for the contracts awarded. In case the mutual consultation is not successful, the affected party (usually the contract winner) can initiate arbitration under Indian Arbitration and Conciliation Act, 1996 to settle the disputes and/or differences. The option for complaint/protest available to the unsuccessful bidders is usually to approach the judiciary. However, considering the backlog of cases at the lower level civil courts and higher judiciary, the costs/time delays are not proportional to the value of the contract. Hence, protests/complaints are taken to the judiciary only in cases of large contracts.

3. While the procurement of goods and works have been generally done by the Government departments over the years, the procurement of consultancy services are new to government departments. As the consultancy services are knowledge-based, the Government departments find it extremely difficult to precisely prepare the terms of reference, deliverables, monitoring formats and contract management.

4. The Public Procurement Bill, which aims to provide the legal framework for the processes of public procurement, has been introduced in the Parliament, but it is yet to be approved by the Parliament. With the end of the 13

thLok Sabha, this Bill will have to be reintroduced in the next Lok

Sabha when reconstituted.

2. State Level Procurement Framework

5. Government of Odisha has issued OM No.42280/F Codes 27/11 dated 26th September 2011

on the guidelines for engagement of consultants and outsourcing of services. It had also issued OM No.4939/F Codes 27/11 dated 13

th February 2012 for procurement of goods. Pending revision of

Odisha General Financial Rules, 2005 these guidelines were issued to lay down the detailed instructions. These instructions are to be followed in conjunction with the provisions of Manuals issued by the Department of Expenditure, Ministry of Finance However, procurement of goods for Externally Aided Projects funded by loan or grant from bilateral/ multilateral donor agencies would be guided by the procurement procedures envisaged in the respective loan/ credit agreement.

6. The Manuals issued by the Department of Expenditure, Ministry of Finance contain detailed instructions and Standard Bidding Documents which could be adopted with required modifications. The Manual of engagement of consultants specify the selection methods with thresholds. Any procurement above the threshold of INR 1.0 Million has to be advertised except on single source selection.

7. These guidelines and manuals are mainly for the procurement under Government Departments. It does not have the Community Procurement guidelines.

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8. The Civil works in Government of Odisha is regulated by Odisha Public Works Department Code (Vol.I& II), 2013. Detailed instructions on the administrative powers at each level for approval and undertaking works are indicated; though no standard bidding documents are not prescribed. Each department will have to prepare the tender documents as per their specifications and nature of the works.

9. E-Procurement Government of Odisha vide FA.R.3/08-1027/W., dated 24th January 2009

has issued guidelines/procedure to be followed in introduction of e-procurement in Government of Odisha. All tenders for civil works above INR 2 million to be hosted in the e-Procurement portal (https://tendersorissa.gov.in). E-procurement has been fully applicable in four major Engineering Departments, Works, Rural Development Department, Water Resources and Housing & Urban Development. A State Procurement Cell in Works Department with the Engineer-in-Chief (Civil) as the Chief Procurement Officer. Under the system, the prospective contractors, using DSC will have to register with the portal and fill up the protected tender document. The securities for the bid will be mailed separately to the tender inviting authority. For evaluation of the bids, the submitted bid documents will have to be downloaded and printed.

3. Key lessons on procurement in IFAD Country Portfolio

10. Performance ratings of IFAD Projects in India identify significant weaknesses in the project compliances of procurement performance primarily associated with non-compliances and weaknesses in the preparation of bid documentation, technical specifications, evaluation of bids, contract management and performance assessments. These weaknesses are further aggravated due to lack of adequate qualified and trained procurement staff in the programme management units and weakness in procurement record keeping. As the projects/programmes are mainly rural development in nature being implemented in remote and inaccessible areas, the size of the procurement is small except engagement of NGOs, vehicles. Civil works are for construction of small buildings and facilities.

11. Under OTELP, the procurement of goods and consultancy services follow IFAD Procurement Guidelines and community procurement guidelines. As the implementation was mainly through community based institutions for very small amounts, only local shopping or direct contracting methods were used. In the case of PMU and ITDA procurement, the value of the procurement is small. The performance rating of procurement for OTELP was moderately satisfactory.

4. Procurement assessment of Micro Project Agencies

12. Micro project agencies’ procurement involves civil works (small connecting roads, buildings for school complex, multipurpose community centres, etc) and procurement of materials of seeds, planting materials, vehicle hire, etc. Seeds and planting materials are sourced from the Government agencies; hence no competitive bidding was undertaken. Works with the value of less than INR 500,000 are executed departmentally with a mix of Force Account and community participation. The materials are sourced by the Micro project as per the district level rate contract and execution is done by the communities with the supervision of the Junior Engineer. Any works above the estimated cost of INR 50,000 is advertised. For works, technical approval up to INR 500,000 is provided by the Assistant Engineer and technical sanction any works beyond INR 500,000 is provided by the Executive Engineer and administrative approval is provided by the District Collector.

13. Micro project agencies lack qualified staff to undertake the procurement. The Junior Engineers are contractual staff, most of the time, with less than one year of experience. The turnover of the engineers is also very high leading to delay in timely execution of works. In many cases, the proper processes are not followed. The quality of construction is not monitored and reviewed by the Special Officers. Many of the audit observations relate to civil works done departmentally and the difference between the rate in original administrative approval and the rate in works bills. As per the norms, the bill for payment should be verified and countersigned by both the Junior Engineer and the Asst. Engineer of the district. But in practice, only a sample of works is verified by the AE.

14. It is a fact that the staff in the micro project agencies is not exposed to the principles of the procurement and no capacity building activities were undertaken to build their skill sets. Frequent turnover of Special Officer and the Junior Engineer impacts negatively on the procurement.

https://tendersorissa.gov.in/

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5. Procurement arrangements under OPELIP

15. Procurement. Procurement of goods, works and services under OPELIP financed from resources provided or administered by IFAD will be undertaken in accordance with IFAD’s Procurement Guidelines and Handbook (dated September 2010) and as amended from time to time as an exception to the provisions of the General Conditions.

16. National Competitive Bidding, Shopping and Direct Contracting. Goods and Civil works a procured using NCB, Shopping and Direct Contracting will follow the procedures and processes defined in the Project Implementation Manual approved by Project Steering Committee and the IFAD. The PIM shall also include details of selection method to be applied in case of consultancies and services such as Quality and Cost Based Selection, Fixed Budget Selection, Least Cost Selection, Consultants Qualification Selection and Single Source Selection.

17. The procedures would be adapted and adopted in accordance with the provisions of IFAD Procurement Guidelines and the Procurement Handbook with the following emphasis to mitigate risk ensuring compliance to the provisions of the Procurement Guidelines:

(i) Registration of Bidders: registration previous to bidding as a due diligence

process for screening bidders legal and fiscal capacity. It is also usual to use

registration as a means for prequalification, especially for civil works and in some

cases service providers.

(ii) Open Bid National/Local Competitive Bidding: The Project will impose through

the Project Implementation Manual (PIM) the use of well-formulated bidding

documents which will result in bid submissions that are free from qualifications.

The PIM would expand and articulate the following rules and procedures for the

implementation of OPELIP:

(iii) Effective Advertisement. Advertisement should be broad enough (using the

appropriate media), giving enough time to bidders for preparing their bid. To the

extent possible, bidding opportunities should also be advertised electronically. The

minimum requirement should be: (i) Mandatory publication in one local newspaper

in addition to the official gazette (if existent); (ii) Web-page: if the borrower (or the

Country) has a web-page, all bidding opportunities should be advertised; (iii)

advertisement in United Nations Development Business or other electronic means

such as the Odisha Government e-Procurement systems as applicable.

(iv) Eligibility. Eligibility criteria and procedures should not deny bidders access to a

bidding process or an award for reasons which are not related to their qualification

to carry out the contract. Consequently the procedures should: (i) Be based on the

ability of bidders to carry out the contract and should not include additional

restrictions (not related to such ability); (ii) No restrictions to foreign bidders; (iii)

Local blacklisting for fraud and corruption carried out with due process and with

rights for accused firms to defend themselves.

(v) Qualification of Bidders. The procedures should define post qualification as the

preferred rule. Prequalification should be restricted to civil works especially for

large or complex contracts or for special cases with due justification. The review of

bidders’ qualification should be conducted by examining whether the bidder does

or does not meet qualification criteria and not by using a point system reflecting

the bidders’ qualification. Conducting a pre-selection instead of a pre-qualification

should not be accepted, i.e., pre-qualification means that all candidates who have

been determined to be qualified should be invited to bid whereas pre-selection

means that the government agency is free to invite any of those candidates but

does not have to invite all of them. No bidder should be disqualified due to

bureaucratic or non-substantial reasons.

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(vi) Standard Bidding Documents & Standard Contract: Standard Bidding

Documents are of paramount importance for transparency, speed of the process,

increase competition and creation of capacity (standardization of procedures). The

SBD to be used in all local open bidding processes would be described in the PIM

and it should include: (i).Time to submit bid: minimum 30 days; (ii). Bids may be

submitted by post or by hand; (iii) Budget: could be disclosed (if local legislation so

requires); (iv). Clear instructions on how to buy bidding documents indicating

address and price to buy the bidding documents. However, bidders who decide to

submit a bid without having bought the bidding documents should not be

disqualified, submitting their bids under their own risk; (v) Clarifications to bidding

documents should be in writing only; (vi) Amendments to bidding documents

should be advertised with the same procedure used for advertisement of bidding

documents; (vii) Number of Envelopes: use the same procedure for NCB (one

envelope); (viii) Evaluation Criteria: the bid evaluation criteria should be non-

discriminatory. It should be disclosed and rigorously quantified in monetary terms

to define the “lowest evaluated bidder”. This allows to indisputably identify the

lowest evaluated responsive bid. Quantifying bid evaluation criteria in monetary

terms is the only method that leads to transparent evaluation and that allows

bidders to submit an effective protest to the awarding authority.

(vii) Language (bidding documents and contract). The language of commercial use

in the country.

(viii) Bid Prices (and Payments): The PIM should define in the bidding documents, the

price (and payments) conditions: (i) the local (or any internationally used) currency

could be used; (ii) for countries with high inflation all contracts should have price

adjustment; (iii) for countries with stable currency, price adjustment should be

included for contracts longer than 12 months; (iv) the method of payment should

be defined in the bidding document; (v) the currency of payment should be the

same of the bid prices; (vi) the employer should automatically pay interest for late

payments; (vii) price adjustment formulas should not be used in bid evaluation.

(ix) Bid & Performance security: The PIM would prescribe the generally accepted

practice used in the local market (securities issued by banks or by sureties).

Alternative methods (like automatic penalty to bidders failing to honour a bid) in

lieu of bid securities could be accepted. Retention of payment could also be used

instead of performance security.

(x) Through an effective mechanism to submit protests pertaining to contract award.

More generally, the private partner in a government contract must be proactive in

implementing competitive mechanisms and, in fact, should be a guardian of those

mechanisms exactly in the same manner as government agencies. The goal in the

protest handling system should be:

- Complaints should be accepted at any time. Those received before bids are

submitted should be addressed before bid opening. All others should be taken

into account but the response should be announced only after award is

recommended.

- The PIM would outline an administrative process for dealing with complaints

including an independent reviewer for the answers provided by the procuring

entity

- The protests should be submitted to an independent entity and not simply to

the supervisor of the contracting agency. Specifically, tender committees, which

are the arm of the government, can only carry administrative reviews. Their

membership does not allow for arbitration or quasi-arbitration of the dispute and

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therefore an independent protest mechanism should be provided in order to

review award disputes before the contract award is final;

- When protests are submitted before award they may lead to revisit the award of

the contract; when protests are submitted after the award, their only

consequence should be the bidder’s entitlement to compensatory damages for

the cost of bid preparation.

- Contracts should include a system for settlement of disputes. The use of a

Dispute Resolution board should be encouraged before disputes be submitted

to arbitration or to courts.

(xi) Bid Opening. Public bid opening of all bids, and recording of the opening in

minutes signed by all bidders in attendance is required. In addition:

- Late Bids should be rejected

- Procedures for bid opening should be the same as those used for ICB.

- Minutes should follow the same procedure as for ICB

- Safeguard of price envelope (when two envelopes is used)

(xii) Confidentiality. After bid opening and until contract award, all information about

bids and their evaluation should be confidential. For transparency reasons, the

evaluation report and all non-proprietary information could be made available to

the public after an award recommendation has been published.

(xiii) Evaluation of Bids. Bids should be evaluated by an independent evaluation

committee to the defined in the PIM at the level of the PMU, MPA special

consideration for:

- Clarification of bids: should follow the same procedures used for NCB

- Responsiveness: should follow the same procedures used for NCB

- Qualification of the bidder should be conducted separately from the evaluation

of its bid

- Lowest evaluated cost criteria: The award should be made to the bidder having

submitted the lowest evaluated responsive bid.

- Use of a point system to evaluate bids: scoring is an indirect way to express the

outcome of post-qualification or of the technical analysis of the bid a point

system should not be accepted. We recognize that a point system may better

suited for complex systems, however, it would be extremely exceptional that

such procurement would not follow ICB.

- Rejection of all bids: borrower may reject all bids if: (i). all bids are not

responsive; (ii) the price offered by the lowest bidder is substantially higher

than the confirmed good estimate for the contract; (iii) the process was not

competitive, i.e., only few bids (less than 3) were offered although several

bidders could be interested in bidding.

(xiv) Award Criteria. The award should be made to the bidder having submitted the

lowest evaluated responsive bid. Award of contract should be without negotiations,

since negotiations would lead bidders not to submit their best bid at the time of bid

submission and would affect the perception of transparency, one of the main

benefits deriving from public bidding.

16. National or Local Shopping. Procurement procedures other than open competitive bidding

must be restricted and contained within appropriate limits. Restricted bidding is appropriate for small

value contracts, and situations in which there is only a very small number of potential candidates.

Consequently, very specific thresholds should be defined below which this method of procurement

could be applied. In addition the following minimum requirements should apply:

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i). Number of invitees & criteria for choosing:

- Minimum of 3 proposals received. However, the process should be open to

whoever wants to bid, even if not invited.

- Invited firms should not be repeated, if possible. Except if other firms do not

exist

ii) Standard request for bids. Simplified document asking proposals by letter, by fax or

using electronic means

iii) Evaluation.

- Minimum price or

- Combination of price and delivery time, in which case delivery time would be

evaluated in monetary terms added to price. Minimum overall evaluated price

would result in award.

16. Consultants and Service Provider Selection Process: The PIM shall elaborate the

provision as prescribed in the Procurement Handbook in term of selection of consultants in line with

the Provisions of IFAD Procurement Guidelines. In this case this minimum requirements should

prevail:

i) Registration: The same conditions described for bidder for goods and works above should

be complied with.

ii) Advertising: Borrowers should advertise the assignment for expression of interest by

firms. The advertisement should include:

- Mandatory publication in one local newspaper, in addition to the official gazette

(if existent).

- Web-page: if the borrower (or the Country) has a web-page the bidding

opportunities should be advertised including UN Development Business or

other electronic means as the Odisha Government e-Procurement systems as

applicable.

iii) Short-List: Borrowers should use a short-list of 3 to 6 firms to request proposals. This

short-list may result from comparing qualifications and experience among firms that have

expressed interest.

iv) Standard RFP & Standard Contract: The standard RFP would be described and included

in the PIM similar to that used for Selection of consultants

v) Selection Process: Short-list; QCBS (other methods when justified) to be elaborated in the PIM.

vi) Award criteria: highest combined score (preferably using the following range between 70% to 90% for the technical score and 30% to 10% for the price)

18. All procurement for goods, works and services financed from resources funded or

administered by IFAD require bidding documents and the contracts to include a provision requiring

suppliers, contractors and consultants ensure compliance with IFAD zero tolerance to anticorruption

policy and to permit IFAD to inspect their accounts, records and other documents relating to the bid

submission and contract performance, and to have them audited by IFAD-appointed auditors.

19. Procurement involving community participation. Communities would be empowered to

undertake procurement as a service provider or an implementing unit through Village Development

Committees/ Village Development Committees or as a SHG under a legal framework or through a

Social Agreement for procurement below a threshold of USD 10,000 equivalent. The operational and

implementation arrangement would be defined in the Project Implementation Manual which shall

include implementation, administration, financial management and procurement related activities

supported by the clearly define the roles and responsibilities of the intermediaries who will assist the

VDC/SHG in performing the activities. GoO will issue an order permitting procurement involving

community participation.

20. Procurement will be as per the Consolidated Procurement Plan submitted by PMU, OPELIP

and approved by IFAD. PMU, OPELIP will submit a 18-month Procurement Plan immediately after the

project enters into force and in the subsequent programme years submit an annual Procurement Plan.

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21. As provided in appendix I, paragraph 1 of IFAD’s Procurement Guidelines, IFAD review of and

no objection to the consolidated procurement plan is compulsory and the 18 month procurement plans

submitted by the Recipient must include as a minimum:

i) A brief description of each procurement activity to be undertaken during the period and name of the implementing agency responsible for the procurement.;

ii) The estimate value of each procurement activity; iii) The method of procurement to be adopted for each procurement activity and; iv) The method of review IFAD will undertake for each procurement activity indicating either

post review or prior review. 22. Any changes and amendments to the procurement plan shall be subject to IFAD’s No Objection

6. Procurement Methods and Thresholds

23. Procurement of Goods and Works. Methods for procurement of goods/works as per

thresholds is established as follows:

(a) Goods

i) National Competitive Bidding (NCB), for contract values greater than USD 25,000. ii) National shopping for contracts less than USD 25,000 up to USD 2,000, iii) Direct contracting for contracts below USD2,000 iv) Procurement involving community participation. Communities would be empowered to

undertake procurement as a service provider or an implementing unit through Village Development Committees/ Village Development Committees or as a SHG under a legal framework or through a Social Agreement for procurement below a threshold of USD 10,000 equivalent through direct contracts or local shopping

(b) Works

i) National Competitive Bidding (NCB), for contract values greater than USD 50,000. ii) National shopping for contracts less than USD 50,000 iii) Direct contracting for contracts below USD2,000 iv) Procurement involving community participation. Communities would be empowered to

undertake procurement as a service provider or an implementing unit through Village Development Committees/ Village Development Committees or as a SHG under a legal framework or through a Social Agreement for procurement below a threshold of USD 10,000 equivalent through direct contracts or local shopping

24. Consultancy and Services. Consulting service will include project management technical

assistance, implementation support technical assistance for different components, conducting

studies, mobilisation/establishment of community groups, technical training and strengthening

of community groups, and monitoring and evaluation. Services would be provided by consulting

firms and individual consultants.

i) Each contract for the selection of consultancy services estimated to cost USD 50,000 equivalent or above, shall be selected in accordance with the IFAD Procurement Guidelines following any one of the selection methods listed below:

- Quality and Cost Based Selection

- Fixed Budget Selection

- Least Cost Selection

ii) Each contract for the selection of consultancy services estimated to cost below

USD50,000 equivalent, shall be selected in accordance with the IFAD Procurement Guidelines following any one of the selection methods listed below:

- Quality and Cost Based Selection

- Fixed Budget Selection

- Least Cost Selection

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- Selection Based on Consultants Qualification

- Single Source Selection

25. Selection of individual consultants. Individual consultants are selected on the basis of their

qualifications for the assignment of at least three candidates among those who have expressed

interest in the assignment or have been approached directly by PMU or Implementing Agencies.

Individuals employed by the PMU and MPA shall meet all relevant qualifications and shall be fully

capable of carrying out the assignment. Capability is judged on the basis of academic background,

experience and, as appropriate, knowledge of the local conditions, such as local language, culture,

administrative system, and government organization.

26. Consultancy Services and Individuals consultants may be selected on a sole-source basis

with due justification in exceptional cases such as: (a) tasks that are a continuation of previous work

that the consultant has carried out and for which the consultant was selected competitively; (b)

assignments lasting less than six months; (c) emergency situations resulting from natural disasters;

and (d) when the individual consultant or consulting firm is the only consultant qualified for the

assignment.

27. LANDESA, an agency with the specialised expertise and experience in land allocation was

identified as an implementation partner for OPELIP given its specialised knowledge and experience in

partnering with government and civil society organisation to help secure land rights for rural

communities. LANDESA is currently engaged by the State of West Bengal, Odisha, Karnataka, Uttar

Pradesh and Andhra Pradesh, Telengana in India. As a strategy for up-scaling its intervention and

success under OTELP requested to mission to include LANDESA as strategic partner under OPELIP.

The STSCDD would enter into a MOU/contract with LANDESA for implementing the land allocation

related activities under retroactive financing.

7. Review of Procurement Decisions by IFAD

28. IFAD will undertake to review the provisions for the procurement of good, works and services

to ensure that the procurement process is carried out in conformity with its Procurement Guidelines.

For the purposes of IFAD’s Procurement Guidelines, the following procurement decisions shall be

subject to prior review by the Fund for the award of any contract for goods, equipment, materials,

works, consultancy and services under FARM.

i) Procurement of goods, materials and works

- Prequalification documents and shortlist when prequalification is undertaken;

- Bid Documents for goods, materials and works;

- Evaluation Report and Recommendation for Award; and

- Contract and amendments.

ii) Procurement of consultancy services and services

- Prequalification documents and shortlist when prequalification is undertaken;

- Request for Proposal;

- Technical evaluation report;

- Combined (technical and financial) evaluation report and the recommendation

for award; and

- Contract and amendments.

29. Prior or Post Review. Except as IFAD may otherwise agree, the prior or post which applies to

various procurement of good, works and consultant recruitments shall be defined as follows:

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Procurement Method Type of Review

Prior or Post Comments

Procurement of Goods and Works

ICB Works and Goods Prior All Contracts NCB Works and Goods

Prior Except procurement valued below USD

100,000 Shopping for works (quotations) Post Shopping for goods (quotations) Post Direct Works Prior Except procurement valued below USD 2,000 Direct Goods Prior Except procurement valued below USD 2,000

Recruitment of Consulting Firms

Quality and Cost-Based Selection (QCBS) Prior Except procurement valued below USD 50,000 Fixed Budged Selection (FBS) Prior Except procurement valued below USD 50,000 Least Cost Selection (LCS) Prior Except procurement valued below USD 50,000 Selection Based of Consultants Qualification

Prior Except procurement valued below USD 50,000

Sole Source Selection (SSS) Prior All contracts

Recruitment of Individual Consultants

Individual Consultants Prior Except procurement valued below USD 20,000

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First 18 Month Procurement Plan for OPELIP

Country/Organization: India

Project/Programme: OPELIP

Loan/Grant Number: Loan

Issue of

Invitation for

Bids

Estimated

Amount in INR

000

Procurement

Method

Pre or Post

Qualification

Prior or Post

Review

4.1 & 4.2 19 Vehicles 1 13,300 LS Prior

4.2 68 Motor cycles 1 3,400 LS Post

4.1 & 4.278 Laptops, 73 Desktop Computers, 20 Printers Scanners and Photocopier,

Printers, 37 PrintersMultiple 9,133 LS Prior

4.1 & 4.2 Furniture set for 17 MPA and PMU Multiple 650 LS Post

4.1 & 4.2Office equipment set for PMU and 17 MPA ( fax machine, digital camera, TV, LCD

projector, Airconditioners etc)Multiple 3,470 LS Post

4.1 & 4.2 Water filters Multiple 540 LS Post

4.1 & 4.2 Genset, silent mode 1 3,800 LS Post PMU

4.1 & 4.2 Office Furnishing Multiple 1,900 LS Post PMU

4.1 & 4.2 Invertors 1 1,800 LS Post PMU

4.1 & 4.2 V sat with broadband connection 1 1,275 LS Post MPA

Total 39,268

Notes:

1 Procurement of Goods Thresholds

i. National Competitive Bidding (NCB), for contract values greater than USD 25,000.

ii. National shopping for contracts USD 2,000 up to USD 25,000 equivalent

iii. Direct contracting for contracts below USD2,000

2 Procurement of vehicles, motorcyles, computers, desktops, scanners, printers could be undertaken applying Local Shopping from DGS&D Catalog of Rate Contracts as opposed to NCB as precribed above. DGS&D

rates contracts provide a catalog of vehicles and office equiment (computer, laptop etc) at a lower discounted rate in comparision with prevailing market price.

Sl. No. Description Lot NumberComponent

iv. Procurement involving community participation. Communities would be empowered to undertake procurement as a service provider or an implementing unit through Village Development

Committees/ Village Development Committees or as a SHG under a legal framework or through a Social Agreement for procurement below a threshold of USD 10,000 equivalent through direct

contracts or local shopping


Basic Data

First 18 Months Procurement Plan (GOODS)

Remarks

SCSTDD, Odisha

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Issue of

Invitation for

Bids

Lumpsum or

BOQ

Procurement

Method

Estimated

Amount in

INR 000

Pre or Post

Qualification

Prior or

Post

Review

1 4.2 New Office buildings for MPAs 10 BOQ NCB 12,150 Prior

2 4.2 Renovation of existing buildings of MPAs 7 BOQ NCB 7,000 Prior

3 4.2 Camp offices for MPAs 17 BOQ NCB 27,540 Prior

4 1.1Entry Point Works (small works in 1020 villages) implemented involving community

participationMultiple Lumpsum DC 178,500 Post

PMU

Total 225,190

Notes:

1 Procurement of Civil Works Thresholds

i. National Competitive Bidding (NCB), for contract values greater than USD 50,000.

ii. National shopping for contracts valued USD 2,000 upto to USD 50,000 equivalent

iii. Direct contracting for contracts below USD2,000

Component

iv. Procurement involving community participation. Communities would be empowered to undertake procurement as a service provider or an implementing unit through Village Development Committees/ Village Development Committees or as a SHG

under a legal framework or through a Social Agreement for procurement below a threshold of USD 10,000 equivalent through direct contracts or local shopping

Remarks


SCSTDD, Odisha

First 18 Months Procurement Plan (WORKS)

Sl. No. DescriptionLot

Number

Basic Data

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1.1NGO contracts for 17 MPA (including Training of VDA members in VDP, AWPB and book-keeping) inclusive of NGO Staff training

and CRP training FBS LS 183,946 Prior

1.1 MPW's (80 positions) from April 2014 to March 2015 Seconded Staff LS 4,320 Post

1.1 TOT under Component 1.1 and TOT to NGO Staff and CRP under Component 1.2 SSS LS 61,699 Prior

1.1 & 1.2 RNGO - NGO Staff Training and CRP Training under Component 1.1 and TOT to NGO staff including CRP under Component 1.2 QCBS LS 21,835 Prior

2.1 Land rights allocation, LANDESA (Direct contract) sole-source basis LS 150,000 Prior

3.1 Feasibility Studies (Civil Works Component - multiple contracts) SIC Time Based 42,000 Post

4.1 & 4.3 Internal Audit (1 service provider for PMU and 17 MPA's and VDA Accounts) QCBS Time Based 3,500 Prior

4.1 & 4.3 External Audit (1 service provider for PMU and 17 MPA's) QCBS Time Based 2,200 Prior

4.2 TA Assistant Engineers (Multiple Contracts for 17 MPA's) SIC Time Based 10,200 Post

4.1 Baseline Survey QCBS LS 10,000 Prior

4.1 TA for Finance Manual and training CQS LS 500 Prior

4.1 Accounting software (software installation, reconfiguration and training) SSS LS 500 Prior

4.1 National Consultants (Multiple Contracts) SSS Time Based 4,000 Post

4.1 Staff Recruitment (Advertisement, Meeting etc) SSS LS 500 Post

4.1 NGO Selection (Advertisement, Meeting etc) SSS LS 500 Post

4.3 Concurrent Monitoring (Multiple contracts with external agencies) SSS LS 3,721 Post

PMU Staff 4.1 State Programme Director Seconded Staff Time Based 3,000 Post

4.1 Deputy Programme Director SIC Time Based 1,800 Post

4.1 Senior Engineer SIC Time Based 1,200 Post

4.1 Manager Finance SIC Time Based 1,200 Post

4.1 Manager NRM SIC Time Based 1,200 Post

4.1 Manager Livelihoods & convergene SIC Time Based 1,200 Post

4.1 Manager Nutrition and Gender SIC Time Based 1,200 Post

4.1 Manager Planning, MIS and M&E SIC Time Based 1,200 Post

4.1 Manager Rural finance and CI SIC Time Based 1,200 Post

4.1 Manager GIS SIC Time Based 1,200 Post

4.1 Manager system anlysis SIC Time Based 1,200 Post

4.1 Manager, Communications & KM SIC Time Based 1,200 Post

4.1 Accounts Assistants (2 Positions) SIC Time Based 750 Post

4.1 Project Assistant MIS SIC Time Based 600 Post

4.1 Executive Assistants SIC Time Based 750 Post

4.1 Support staff ( 2 positions) SIC Time Based 450 Post

4.1 Drivers (2 positions) SIC Time Based 450 Post

Lumpsum or Time BasedComponent


Sl. No. Description Selection Method, Qty

First 18 Months Procurement Plan (SERVICES)

Prior or Post

Review

SCSTDD, Odisha

Estimated Amount in INR

000

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MPA Staff 4.2 17 Special Officers Seconded Staff Time Based 20,400 Post

4.2 17 Junior Engineers Seconded Staff Time Based 16,320 Post

4.2 17 Junior Agricultural Officers Seconded Staff Time Based 12,240 Post

4.2 17 Senior Clerk or Accountants Seconded Staff Time Based 8,160 Post

4.2 17 Field Assistants (Nutrition focal point) Seconded Staff Time Based 8,160 Post

4.2 17 Drivers Seconded Staff Time Based 4,080 Post

4.2 17 Peons Seconded Staff Time Based 2,856 Post

4.2 17 Project Managers SIC Time Based 16,320 Post

4.2 17 Accountants SIC Time Based 12,240 Post

4.2 17 Social Mobilisers SIC Time Based 8,160 Post

4.2 17 Project Assistants SIC Time Based 8,160 Post

4.2 17 Data entry operators -MIS SIC Time Based 8,160 Post

Total 644,477

Notes:

1 Procurement of Consultancy Services and Services Thresholds

a. Quality and Cost Based Selection (QCBS)

b. Fixed Budget Selection (FBS)

c. Least Cost Selection (LCS)

a. Quality and Cost Based Selection (QCBS)

b. Fixed Budget Selection (FBS)

c. Least Cost Selection (LCS)

d. Selection Based on Consultants Qualification (SBCQ)

e. Single Source Selection (SSS)

2

3

Selection of individual consultants. Individual consultants are selected on the basis of their qualifications for the assignment of at least three candidates among those who have expressed interest in the assignment or

have been approached directly by PMU or Implementing Agencies. Individuals employed by the PMU and MPA shall meet all relevant qualifications and shall be fully capable of carrying out the assignment. Capability is

judged on the basis of academic background, experience and, as appropriate, knowledge of the local conditions, such as local language, culture, administrative system, and government organization.

Lumpsum or Time BasedComponent

i. Each contract for the selection of consultancy services estimated to cost USD 50,000 equivalent or above, shall be selected in accordance with the IFAD Procurement Guidelines following any one of the selection

methods listed below:

ii. Each contract for the selection of consultancy services estimated to cost below USD50,000 equivalent, shall be selected in accordance with the IFAD Procurement Guidelines following any one of the selection methods

listed below:

Consultancy Services and Individuals consultants may be selected on a sole-source basis with due justification in exceptional cases such as: (a) tasks that are a continuation of previous work that the consultant has

carried out and for which the consultant was selected competitively; (b) assignments lasting less than six months; (c) emergency situations resulting from natural disasters; and (d) when the individual consultant or

consulting firm is the only consultant qualified for the assignment.


Sl. No. Description Selection Method, Qty

First 18 Months Procurement Plan (SERVICES)

Prior or Post

Review

SCSTDD, Odisha

Estimated Amount in INR

000

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Appendix 1- : Programme Costs and Financing

141

Appendix 9: Programme cost and financing

1. Main Assumptions (a). Physical and Price Contingencies

1. As all project interventions are on a project mode, no specific physical contingencies have been applied. Price contingencies at 5% have been applied in following manner: component 1, component 2 and component 3 on all IFAD financing activities and under component-4, price contingencies applied only to investment costs. No price contingencies applied to Grant and subsidies. These will be further reviewed at the design completion mission. As the current domestic inflation rate is 5%, price contingencies assumed at constant rate of 5%. Foreign inflation rate has been assumed at 2%. All unit costs are estimated in Indian Rupees (INR). Detailed cost estimates by component and year are provided in WP 9.

(b). Exchange Rates

2. The initial exchange rate for the analysis has been set at INR 61 to one USD, the rate prevailing at the time of data collection (July 2014). Exchange rates during implementation phase and the foreign exchange rates forecasts for the Project costs estimates, and conversions from current INR values into USD are calculated using current exchange rate (INR/USD). Both foreign and local inflation rates are compounded at mid-year.

(c). Taxes and Duties

3. Taxes and duties have been estimated using the prevailing prices in March 2014. All items, which contained implicit duties and taxes, have accordingly been accounted for. Consulting services and surveys are contracted or sourced out and contracted entities are responsible of their national tax liabilities and a flat rate of 10% is assumed. A tax rate of 10% has been assumed for goods and equipment, office operations costs, service providers’ contracts, civil work, training etc.

4. Starting from the baseline-cost, annual amounts are calculated for contingencies, which may occur during the project implementation. Such contingencies include both physical events, specific to each type of activity, and price contingencies deriving from both domestic inflation. The resulting price contingencies calculated have been added to all expenditure categories, except the categories mentioned above.

(d). Project Life and Fiscal Year

5. The Project life is 8 year starting in April 2015 and expected to be completed in March 2023. Cost estimates for the project period have accordingly been calculated. Fiscal year for India is from April to March.

(e). Unit costs

6. Unit costs together with physical units have been identified for most items and these are input

in domestic currency unit, namely INR. In certain instances a lump sum allocations have been computed so as to give flexibility in procurement or for the implementation of such activity/task. Vehicles and office equipment such as laptops, printers, desk-tops and furniture and materials are categorized under equipment category. It is noted that “all unit costs are indicative and are used for the purposes of estimating the overall project costs. These are, therefore, subject to changes and revision during project implementation and also at the time of preparing Annual Work Plans and Budgets”.

(f). Financiers

8. The Project will be financed by the following financiers: (i) IFAD, (ii) Government of Odisha including funds available from convergence, (iii) beneficiaries. The convergence funds will be pooled from all on-going, government-sponsored schemes. These are in particular Special Central Assistance to Tribal Sub-Plan (SCA-TSP), Article 275, Conservation cum Development (CCD),

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Appendix 10: Economic and Financial Analysis

142

MGNEGS, National Food Security Mission, RKVY, Indra Awas Yojna, State Housing Scheme for the

PTGs and Tribal, NRLM, National Horticulture Mission etc.

2. Project Costs

(a). Total Project Costs

9. Total Project Costs is estimated at USD 130.39 million. This is inclusive of all contingencies, IFAD loan of USD 51.2 million, beneficiary contribution of USD 3.00 million equivalents primarily in the form of labour and materials, and USD 76.18 million equivalents as counterpart funding from the government including staff salaries, rentals and in the form of waiver of taxes and duties and convergence. See Table 1 below.

Table-1: Total Project Costs by Financiers India

OPELIP Appraisal

Components by Financiers Local




Community Institutions 6,449 40.0 9,653 60.0 - - 16,102 12.3 14,792 1,309

Strengthening SHGs and Rural Finance 602 9.6 5,654 90.4 - - 6,256 4.8 6,054 202

Subtotal Community Empowerment 7,051 31.5 15,307 68.5 - - 22,357 17.1 20,846 1,511


Natural Resource Management 13,718 56.2 8,584 35.2 2,116 8.7 24,418 18.7 23,222 1,196

Food and Nutrition Security 961 17.4 4,574 82.6 - - 5,534 4.2 5,534 -

Livelihoods Improvement 1,313 13.9 7,565 80.2 559 5.9 9,437 7.2 8,682 755

Subtotal Natural Resource Management and Livelihoods 15,991 40.6 20,723 52.6 2,676 6.8 39,390 30.2 37,439 1,951


Community Infrastructure 40,641 97.1 1,126 2.7 69 0.2 41,836 32.1 41,836 -

Drudgery Reduction 826 15.2 4,333 80.0 257 4.8 5,416 4.2 5,416 -

Subtotal Community Infrastructure and Drudgery Reduction 41,467 87.8 5,459 11.6 327 0.7 47,253 36.2 47,253 -


Programme Management Unit 1,861 42.2 2,547 57.8 - - 4,408 3.4 4,293 114

Micro-Project Agency Unit 9,615 60.2 6,369 39.8 - - 15,984 12.3 15,731 253

Subtotal Project Management 11,476 56.3 8,916 43.7 - - 20,392 15.6 20,025 367

E. Monitoring and evaluation and KM 201 20.0 803 80.0 - - 1,004 0.8 1,004 -


(b). Project Costs by Project Component

10. Project costs are organized into FOUR components: (i) Community empowerment (16% of total base costs); (ii) NRM and Livelihoods Support (30% of total baseline costs); (iii) Community infrastructure and drudgery reduction (37% of baseline costs); and (iv) Project Management (16% of estimated baseline costs). Project baseline costs together with contingencies are summarised in Table 2 below

Table-2: Total Project Costs by Project Components

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India

OPELIP Appraisal % Total

Components Project Cost Summary (INR '000) (US$ '000) Base

Total Total Costs


Community Institutions 864,524 14,173 11

Strengthening SHGs and Rural Finance 353,201 5,790 5

Subtotal Community Empowerment 1,217,726 19,963 16


Natural Resource Management 1,473,868 24,162 19

Food and Nutrition Security 283,800 4,652 4

Livelihoods Improvement 494,940 8,114 7

Subtotal Natural Resource Management and Livelihoods 2,252,608 36,928 30


Community Infrastructure 2,549,930 41,802 34

Drudgery Reduction 275,900 4,523 4

Subtotal Community Infrastructure and Drudgery Reduction 2,825,830 46,325 37


Programme Management Unit 258,055 4,230 3

Micro-Project Agency Unit 960,514 15,746 13

Subtotal Project Management 1,218,569 19,977 16

E. Monitoring and evaluation and KM 50,970 836 1

Total BASELINE COSTS 7,565,702 124,028 100

Physical Contingencies - - -

Price Contingencies 388,455 6,368 5

Total PROJECT COSTS 7,954,156 130,396 105

(c). Project Investment and Recurrent Costs

11. Total investment costs are estimated at USD 113.67 million and these accounts for about 87.2% of the total project costs and the balance, USD 16.72 million are recurrent costs. Civil works account for about 42.5%, followed by training and capacity building including consulting services 27.9%, goods, goods, services and inputs 11.3%, grants and subsidies 5.5% of the total project costs. The recurrent costs are incremental salary and allowances (8.4%) and office operating costs (4.4%) account for 12.8% of the total estimated cost. Refer to WP-9,Table-6, Appendix-1 for details.

(d). Project Costs by Disbursement Accounts

12. Disbursement accounts, derived from the expenditure accounts described above, provide the basis for determining the financing plan for the Project. In estimating the semester disbursement, a ratio of 4:6 has been assumed between first and second semester for each fiscal year. The disbursement accounts have been organised into following categories as presented in Table 3 below.

Table-3: Disbursement Accounts by Financiers India

OPELIP Appraisal

Disbursement Accounts by Financiers Local



1. Civilwork 47,043 84.9 7,131 12.9 1,246 2.2 55,420 42.5 55,341 78

2. Training /a 2,423 16.4 11,761 79.8 559 3.8 14,744 11.3 13,473 1,270

3. Goods, services and inputs 15,978 43.9 19,187 52.8 1,197 3.3 36,362 27.9 33,881 2,481

4. Grants - - 7,149 100.0 - - 7,149 5.5 7,149 -

5. Salaries and allowances 7,858 71.7 3,095 28.3 - - 10,953 8.4 10,953 -

6. Operating costs 2,884 50.0 2,884 50.0 - - 5,768 4.4 5,768 -


_________________________________


(e). Project Costs by Procurement Accounts

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Annex-4 Project Costs and IFAD financing by Year

0

5000

10000

15000

20000

25000

30000

35000

1 2 3 4 5 6 7 8Year

Am

ou

nt

in U

SD

Total cost

IFAD financing

13. Procurement accounts are identical to those of expenditure accounts except that all accounts are treated under one group whereas the expenditure accounts are grouped into two: namely investment and recurrent costs accounts by default. All three costab accounts are maintained in identical format in order to get results without any errors. Proposed procurement arrangements by procurement method are summarised in Table 4 below.

Table-4: Procurement Arrangements by Procurement Methods India

OPELIP Appraisal Procurement Method

Procurement Arrangements Community

(US$ '000) Local Consulting Participation

Competitive Services: Local Direct in

Bidding FB Shopping Contracting Procurement N.B.F. Total

A. Civil work 2,655 - 111 - 12,459 40,194 55,420

(2,124) (89) (4,918) (7,131)

B. Training /a - - 14,636 108 - - 14,744

(11,675) (86) (11,761)

C. Goods, services and inputs - 12,639 6,620 3,250 13,853 - 36,362

(6,320) (5,108) (2,578) (5,181) (19,187)

D. Grants - - - 7,149 - - 7,149

(7,149) (7,149)

E. Salaries and allowances - - - 5,121 - 5,832 10,953

(2,560) (535) (3,095)

F. Operating costs - - 5,768 - - - 5,768

(2,884) (2,884)

Total 2,655 12,639 27,135 15,628 26,312 46,027 130,396

(2,124) (6,320) (19,757) (12,374) (10,099) (535) (51,209)

_________________________________

Note: Figures in parenthesis are the respective amounts financed by IFAD


Procurement of goods and services financed by the IFAD loan will be made in accordance with IFAD procurement regulations.

3. Project Financing

(a). Financing plan

14 The proposed financiers for the Project are IFAD, the Government of Odisha and the

beneficiaries. IFAD will finance about USD 51.20 million about 40% of total project costs, the

government counterpart funding will be about USD 76.18 million equivalents including taxes and the

beneficiaries USD 3.0 million mostly in the form of labour.

15 The PMU or the Lead Programme Agency

may procure the vehicles, motorcycles, and

computers and also TA and Service Providers’

Services. The procurement of all other goods, civil

works and services financed by the IFAD financing

will be the responsibility of the respective

implementing agencies, such as the Micro-project

Agencies. Materials, labour and inputs will be

procured through respective community organisation

using the procurement by community participation.

Inputs used by project groups for production

purposes will be purchased by the group using grant

funds from the project.

(b). Retroactive Financing

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following preparatory activities are proposed to be undertaken between April 2014 and March 2015

and accordingly the facilities for retro-active financing will be provided. These proposed expenditures

will fall under two expenditure categories, namely (i) Goods, services and inputs and (ii) Training and

capacity building. The estimated total expenditure is USD 534,800 and eligible IFAD financing would

be of about USD 406,240 as detailed below.

Component/ Sub-component Disbursement Account

Category

Estimated

expenditure

(000 USD)

Amount to be

reimbursed by IFAD

(000 USD) Community Empowerment Comp:1

-wages to multi-purpose workers a/ Goods, services and inputs 1/ 72,000 36,000

NRM and Livelihoods Comp: 2

-engaging the services of LANDESA b/ Training & capacity building 2/ 320,000 256,000

Project Management Comp: 4

-baseline survey c/ Training & Capacity building 134,400 107,520

-preparation of finance manual c/ Training & capacity building 8,400 6,720

Total 534,800 406,240

1/ At IFAD financing rule of 50% of total expenditure

2/ At IFAD financing rule of 80% of total expenditure

a/ Refer to Detailed Table # 1.1

b/ Refer to Detailed Table # 2.1

c/ Refer to Detailed Table # 4.1

Draft Schedule 2 for Finance Agreement

Disbursement Account category Total

expenditures

(US$ 000)

IFAD Financing

Amount

(US$ 000)

Notes

1. Works, civil works (CW_DA) 55,420 7,131 For land treatment, NTFP

aggregation centres, piloting

water purification plants, seed

storage bins to PTGs, youth

dormentary, office buildings and

their renovation and camp offices

at 80% of total expenditure

2. Training and Capacity building (TRC_DA) 14,744 11,761 At 80% of total expenditures

3. Goods, services and inputs (GSI_DA) 1/ 36,362 19,187 At 80% of total expenditures

including expenditures on

LANDESA but NGO contracts at

50% of total expenditures

4. Grants and subsidies (GAS_DA) 7,149 7,149 Provided to VDCs, SHGs and

their federations, Orissa

Agricultural Univesity and

vocational training at 100%

5. Salaries and allowances (SAA_DA) 2/ 10,953 3,095 For all incremental staff except

those staff who are seconded

from Govt at 50% of total

expenditures

6. Operating costs (OPC_DA) 2/ 5,768 2,884 At 50% of total expenditure

Total 130,396 51,209

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1. Financial Analysis 79

(a). Assumptions

1. The following assumptions have been made while carrying out Economic and Financial

Analysis.

The participating PTG households respond to the introduction of new packages of

practices and cultivation techniques but in a much slower pace.

They are willing to organise themselves in to viable community institutions such as

VDA, VDC, SHGs through training and capacity building and participate effectively


Some 43,500 Tribal people, the PTGs in particular receive land ownership titles

which are facilitated by OPELIP. Land productivity is improved through appropriate

land treatment packages such as bunding and other soil and water conservation

measures.

Most villages have perennial or seasonal streams that are tapped for irrigation.

Crop productivity improved through line-sowing, use of quality of seeds, seed

treatment, weeding, mulching, with the use of improved, farm tools and implements.

By improving the market information systems, organising the target groups through

producers’ collectives and providing marketing support and other attendant facilities

the participating households are able to realise increased prices for their produce.

The PTGs tend small ruminants and poultry birds but on a very restricted scale and

these are up-scaled with the support of supply of quality breed and chicks and

appropriate paravet services thereby reducing the mortality rates.

Under OPELIP, some 62,350 households participate in: improving dryland

agriculture, (30,450 ha), pursuing irrigated agriculture (6,080 ha), horticulture and

spices crops on existing podu land (7,500 ha), kitchen gardens on homestead

land (35,000 kitchen gardens under 350ha) and 9,000 livestock activities and

2,000 household IGA activities.

Productivity increases under rainfed conditions are assumed at levels ranging

between 25% and 60% as these increases are achieved due to in situ soil and

moisture conservation practices, improved cultivation practices and use of quality

seeds. There is wide gap between current production and potential.

For the purposes of analysis an average wage rate of INR 100/personday for both

male and female labour has been assumed although the farm-wages are often

lower than this rate. Further, for the purposes of analysis “under WOP situation”,

proxy values of family labour has been considered and included as income.

(b). Household or Farm Models

2. Using budgets for a range of different crops and income generating activities, 5 farm

models and 4 activity models were prepared to broadly illustrate the OPELIP’s expected

79

Details are presented in WP-10, “Economic and Financial Analysis of OPELIP”

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impact on the incomes, and use of household labour adopting and/or adapting both on-farm

and non-farm. These are summarised below:

Dry-land crops80

model: the model is assumed based on an area of 0.7 ha per

household primarily with rainfed crops such as paddy (0.1 ha), maize (0.1ha), ragi

(0.2ha), millet (0.2ha), Niger (0.1ha), black gram, cow pea, sesame, horse gram etc

are inter-cropped. These crops are already being cultivated but productivity

enhancements are achieved through timely sowing, line-sowing, weeding, use of

quality seeds. This model covers some 30,450 ha area involving some 43,500

households.

Irrigated farm model: Various irrigation facilities provided under OPELIP create an

incremental potential area of 6,080 ha covering some 19,000 households. It has been

assumed that households plants paddy (0.2ha) and maize (0.1ha) during the main

crop season followed by wheat (0.1ha), vegetables (0.1 ha) such as cucumber, okra,

tomato, onion etc. Average landholding is 0.32 ha.

Horticulture farm model: A horticulture model has a diverse variety of fruit crops such

as mango (0.116 ha), cashew (0.1 ha), oranges, banana, litchi, lime and pineapple

each 0.016 ha, Jack fruit (0.032 ha) etc. A farm model covers an area of 0.4 ha and

crop distribution has been assumed based on field conditions, which vary between

MPAs. This model covers some 5,000 ha involving 12,500 households and uses

existing podu land.

Spices farm model: A spices crop model has an area of 0.4 ha and two crops of

turmeric (0.2 ha) and ginger (0.2ha) are planted. In all, this model covers some 6,250

households and 2,500 ha and uses existing podu land.

Kitchen garden household model: each kitchen garden model has an area of 100 m2

and mostly vegetables are planted and have also a drumstick plant. Each household

is provided seeds, a set of farm and garden tools, drum-based drip system for

watering, technology support. Crop combinations include radish, Gourd vegetables,

okra, chilli, onion, brinjal, tomato, sweet potato, yam and Amaranthus and other leafy

vegetables. In all 32,000 households participate covering a total homestead land area

of 350 ha.

Backyard poultry model: Each model has a 10 bird-unit with facilities for shelter,

equipment, feed supply at 50 gm per bird, medicine and technical support. Each

entrepreneur takes at least 5 batches during a year with a mortality rate at 5%. In all

5,000 households are covered under OPELIP.

Goat-keeping model: This is a 5 does and one buck model. This includes construction

of goat-shed, supply of does and buck, equipment and providing insurance coverage,

feed etc to the participating household. In all 4,000 households participate.

IGA model: In all 2,000 households participate in this model. About 60% activities

relating to value-addition to NTFP such as honey, arrow roots, wax, tassar cocoon

etc, 20% making improved hill-brooms and remaining 20% engaged in lac production

and sales. More data will be collected in next mission and appropriate adjustments

will be made.

80

Crop yields have been assumed based on the following documents: Indicative cost-benefit analysis

of Agricultural and horticultural crops by Dr S R Dash, Nature’s Agro-care, Bhubaneswar, 2013; Manual

on Agricultural Production Technology-2008; Consultations with the Scientists at Odisha University of

Agriculture and Technology and Data received from MPA during the mission’s field visits. All yield

projections are at very conservative levels.

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Drudgery reducing benefits model: This is a notional model; and assumes that the

participating households benefit from the drudgery reducing interventions of OPELIP

such as (i) saving of fuel wood at 5 kg per day per household through the use of

smokeless wood-stoves, (ii) 36 labour-days saved per household per year due to

other interventions such as closeness to domestic water supply, hauling and milling,

reduced time-spent in fuel-wood collection etc and a labour-day notionally valued at

INR 70 per day and (iii) increased availability of fuel-wood (at 25 bundles per year

per household valued at INR 875) due to conservation measures adopted at the

respective fuel-wood reserves. In all 35,000 households participate. This model is

subject to further check and validation.

Village market models These models are also notional and these assume that all

households in the project area benefit from the market facilities created under the

programmes and benefits mostly in the form of enhanced price margins: (i) each GP

level market benefit some 740 households and each household benefiting some INR

200 per year, (ii) each village aggregation centre benefiting some 80 households and

each household getting INR 100 in the form of enhanced price margins; (iii) each

TDCC collection centre benefiting 940 households at INR 200 per household and (iv)

each haat bazaar benefiting some 940 households and each getting INR 100 as

enhanced price margins or savings. Details are presented in WP-10 and the details

are summarised in Table-1 below.

Table-1: Summary Results of unit farm and activity model (Financial)

Farm/ Activity Model Gross Income Input

Cost

Labour BCR FIRR NPV

(INR) (INR) (INR) (ratio) (%) (INR)

Dryland crop model (0.7 ha) 22,125 820 9,230 5.33 66,770

Irrigated crop model (0.32 ha) 21,320 1,945 8,715 2.85 73,096

Horticulture model (0.4 ha) 78,620 2,920 2,150 8.58 298,730

Spices crops model (0.4 ha) 72,000 30,000 14,600 1.61 177,710

Kitchen garden model (100 m2 1,630 215 510 2.24 6,460

Poultry model (10 birds unit) 10,800 3,950 5,000 1.16 4,190

Goat-keeping model (5+1) 88,000 3,800 18,000 2.35 245,710

IGA model (value-addition) 15,900 3,690 3,700 2.07 54,470

(c). Sub-project Models

3. NRM subproject: This subproject model includes (i) 43,500 dryland crop development

households, (ii) 19,000 irrigated crop households, (iii) 12,500 horticulture households and 6,250

spices cultivation households using the existing podu land and (iv) 32,000 kitchen garden

households participating in phased manner over a three to four year period.

4. Livestock subproject: In all 9,000 households participate in a phased manner over a 3

year period.

5. IGA subprojects: In all 2,000 households are covered over the project implementation. Of

these, 60% households go for NTFP collection and their value-additions such as primary

processing, grading; 20% households opt for improved production of hill-brooms for upmarket

consumption and the remaining 20% pursue lac production.

6. Drudgery reduction benefits subproject: Improvement of rural roads, water supply,

supply of smokeless wood-stoves, milling and hauling facilities etc reduce overall drudgery of the

PTG communities in particular their women. Notional values used in the analysis covering some

35,000 households.

7. Village markets benefits subproject: Market benefits from improvement of 84 village

market-yards, 250 village aggregation centres, facilities to 34 TDCC marketing system and the

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setting up of 34 haat bazaar. These facilities cover all households. This subproject model is

notional and the details are presented in Appendix-26 B.

8. Results of analysis of these THREE subprojects, namely NRM, Livestock and IGA

whose direct benefits such as net incomes, production costs, labour and input etc are

quantifiable are summarised in Table 2 below and details in Appendix-20 to 26, WP-10:

(d). Household incomes

9. Results of analysis of three subproject models (excluding the notional models) in terms

of household incomes, production costs, labour and input etc are summarised in Table 2

below:

Table 2: Summary Results of Subproject (Financial) Models: INR per household 1/

Details NRM (INR/hh) Livestock (INR/hh) IGA (INR/hh)

WOP WP WOP a/ WP WOP a/ WP

Gross income (INR) 10,398 47,520 1,500 45,100 2,200 15,900

Purchased Inputs (INR) 472 5,060 - 4,020 - 3,690

Labour (INR) 7,061 11,670 - 10,780 - 3,700

Net income (INR) 2,865 30,790 1,500 30,310 2,200 8,510 1/ At full development stage and assuming all labour requirements met by households themselves.

a/ Notional proxy values of labour under WOP

2. Economic analysis

(a). Assumptions

A twenty five-year analysis period has been assumed, which included an 8 year

project investment period.

Agricultural goods move freely within the project area in response to market signals.

All agricultural inputs and outputs that are traded are valued at their border prices as

of March-July 2014. These have been adjusted to allow for transport and marketing

costs to give an economic value at farm gate.

Economic investment costs are net of taxes and price contingencies, credit, office

rent etc. All costs directly associated with the incremental production are included in

full, including incremental farm inputs and family labour.

A standard conversion factor (SCF) of 0.85 is applied to both traded and non-traded

items for adjusting financial prices.

The average financial rural wage rate is taken to be the best estimate of the

economic value of labour81

. The financial price of labour (INR 100) reflects seasonal

variation in employment opportunities in the project area. The financial wage rate is

thus taken to reflect the value of the marginal product of agricultural male and female

labour without the project;

The analysis includes only on-farm benefits and including attributable benefits from

soil and water conservation, irrigated agriculture, horticulture and spices cultivation,

kitchen garden under NRM and benefits from the livestock farms including the

notional benefits from the drudgery reduction;

81

From the year 2011-12 data, four trends stand out: first, poverty is falling sharply, second, rural wages are rising

sharply, third farmers are shifting from cereals to superior foods and fourth, the MGNREGA has not been the key

driver of higher wages in rural area, Source, Rising Rural Wages, Times of India, 7 July 2013 .

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All costs and benefits are relating to investments made on targeted project area

households and the resultants benefits;

Time required for the full development has been assumed over ten years including

farming system development, dissemination of information and technology transfer,

and establishment of improved farming practices including changes at grassroots

levels and their institutions, improved access to markets, road improvement etc;

No significant changes or shifts in cropping patters are assumed but the key

assumptions have been adoption of appropriate agronomic practices including inter-

cropping, crop rotation, conservation farming etc and these reflect in cultivation of off-

season vegetables, spices, fruit crops;

The analysis employs an Opportunity Cost of Capital (OCC) at 8.5%.

(b). Costs - Benefits Streams and Analysis

10. The project economic costs were calculated from the financial project costs excluding

price contingencies, subsidies, development credit, taxes and duties. Recurrent costs for

continued extension/training support, operations and maintenance and periodic replacement

of vehicles have been included. Economic prices for inputs and output models were estimated

by applying the conversion factors on the financial prices.

11. Production Benefits: The farm productions are direct output from the respective models,

which were based on the respective production models. It is assumed that about 62,350

households in receipt of NRM and improved agriculture and farming practices achieve

productivity increases ranging from 25 to 60% due to enhanced soil-moisture, use of better

seeds, soil and water conservation practices, capacity building, additional irrigation facilities

provided etc. Considerable number of these households also receives facilities of vegetable

production through home gardens (35,000 households), orchard development (12,500

households), spices cultivation (6,250 households) livestock development (9,000 households),

etc. Under IGA development some 2,000 households benefit mostly in the form of enhanced

price margins that accrue to the beneficiaries.

12. Environmentally-related aspects of the project are its integrated natural resources

management including land treatment to agricultural development, a focus on community-based

village development and the encouragement of alternative income generating opportunities for

the poor. All these interventions yield substantial environmental benefits that have not been

quantified in the economic analysis, for the following reasons: (i) farmers may not perceive

degradation of their lands as a result of declining soil fertility and soil erosion and thus

underestimate the potential benefits of soil and water conservation measures over the longer

terms; and (ii) communities, lacking assured property rights over forests that they access to, for

fuel and fodder, may not regulate their harvests to ensure sustainable use of the forests, ie open

access may result in overexploitation. In case of road development and improving the

connectivity, only the existing road alignments or foot-paths are improved and no felling of

existing trees are allowed. The provision of smokeless to wood-stoves to all PTG households

improves the overall health of the households and at the same time reduces fuel-wood

consumption.

13. Project Performance Indicators: Cost-benefit analysis yields an overall IRR of 23%.

The estimated NPV for an 8.5% discount rate is INR 7,840 million and the BCR of 1.85. A

positive NPV under the current Opportunity Cost of Capital (OCC) of 8.5% and even at a 25%

discounted rate indicates that the project investments are robust. A sensitivity analysis of the

project is presented in Table 3 below.

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OPELIP Incremental Costs and Benefits

-1500

-1000

-500

0

500

1000

1500

2000

2500

3000

3500

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Year

Millio

n IN

R

Total benefits

Total costs

Net benefits

Table-3: Sensitivity analysis

Scenario

Base

Case

Cost Increases by Benefits down by

20% 25% 20% 25%

IRR 23 18 17 17 16

NPV (million INR) 7,840 5,925 5,462 4,370 3,518

BCR 1.85 1.53 1.47 1.47 1.38

.

14. If benefits delayed by two years (in effect, if the project’s production activities take

longer to become established) then the IRR declines to 18%. Under extreme scenario of

costs increases by 25% and benefits decline by 25% over the base-case, an IRR of 11% is

obtained. See Table at the end of this text.

15. As the proposed investments

are targeted at Particularly

Vulnerable Tribal Groups (PTGs),

who are extremely poor, living in

the remote area locations that are

devoid of any access to good

communication, road network,

markets, agricultural support

services, health services,

community infrastructure and who

are till depend up on foods

gathered from the nearby forests

both for own consumption and

selling and the hardships

experienced by the target group in particular the women, the resulting base case IRR of 23%

and worst scenario case of 11% is considered more than justified.

3. Benefits and Beneficiaries

16. Beneficiaries: The project will cover some 62,350 households from 1,019 villages

falling under 84 Gram Panchayats in 12 districts of Odisha. These households are targeted

for livelihoods enhancement and social development. All households in each village will be

directly benefited by the project interventions including the vulnerable population and the

landless. All households are benefited by enhanced access to rural markets such as 250

village aggregation centres, 84 GP level market yards and 34 TDCC-managed marketing

systems for NTFP. Number of beneficiary households by subproject and year are shown in

Table 4 below.

Table-4: Number of Benefited Households, cumulative

Subproject households a/

Project Year a/

1 2 3 4 5 6 7 8

-NRM households 0 0 10,870 21,740 45,850 45,850 45,850 45,850

-Livestock households 0 0 2,250 4,500 9,000 9,000 9,000 9,000

-IGA households 0 500 1,000 2,000 2,000 2,000 2,000 2,000

-Drudgery reducing

households

0 5,000 15,000 25,000 35,000 35,000 35,000 35,000

-other households b/ 0 7,400 25,900 44,400 62,350 62,350 62,350 62,350

Total 0 7,400 29,120 44,400 62,350 62,350 62,350 62,350

a/ cumulative by year

b/ such as households benefited by enhanced access to markets at village , GP and Haats levels

17. Benefits: The immediate benefits from the project are increased productivity-through

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the introduction of better management practices, improved farming practices. This response

is expressed as increased household incomes. On an average, a household’s production

benefits will increase from 510 kg/household to over 1,020 kg of cereals, pulses and oilseeds.

In addition, average household production also includes 857 kg of fruits, 357 kg of vegetables

and tubers and 177 kg of spices. Incomes, excluding the value of family labour increase from

INR 2,285 to INR 26,120: INR 21,480 per household from agriculture, INR 4,365 from

livestock and INR 275 from IGA. This reverses the present scenario of the target groups

realising large incomes from NTFP collections and sales. In qualitative terms, minimised soil

erosion, reduced runoff and increased infiltration, and enhancement of organic contents of the

soil are some of the benefits of the OPELIP interventions, which have not been quantified.

There are substantial increases on demand on family labour from the existing level of 68

person-days per household to some 128 person-days.

Table-5: Household food production & Incomes at full development stage

Households

Food production: Kg / hh a/ Incomes/hh b/

WOP WP WOP WP

All households 508 1,020 2,285 26,120 a/ Cereals, pulses and oilseeds only and excludes tuber, fruits, vegetables, spices.

b/ Incomes exclude household labour-days 68 person-days under WOP and 128 person-days under with project

situation.

18. Other benefits: Additional benefits come from the OPELIP’s capacity building

interventions. First, at the end of the project, all participating villages will have the benefit and

advantages of the services of their societies, which are capacitated and provided fund support

for various social and economic developments. Secondly, women from the poor and very

poor groups will be participating in and managing their social and economic development and

will have better access to markets and inputs and marketing their products.

4. Risks and sustainability

19. There are a number of risks associated with OPELIP. These relate to farm technology,

reluctance on the part of the farmers, inadequate extension and market linkages and poor

price margins to farmers, inadequate flow of funds from the convergence programme,

institutional credit, lack of service providers and poor coordination and institutional support

and policy risks. These issues and risks are addressed in the project design as described

below:

Risks Risk description Probability of

occurrence

Mitigation measures in

programme design

Comparative

sensitivity

analysis result

(Proxy)

Institutional Delay in technology

transfer/lack of quality planting

materials slowing down the

uptake rates and production

Weak technical and

management capacities of

NGOs and MPAs

High to

Medium

FFS promoted and facilitated;

Extensive training and

demonstrations of crop

cultivations, livestock, IGA etc

Competent NGO recruited;

MPA strengthened with

additional staff and facilities

Benefits lag by

2 years:

IRR= 18%

NPV= 6142

million

BCR= 1.67

Lack of financial capacity to

invest in agriculture and other

occupations

High to

Medium

SHGs promoted and

empowered compliance with

NRLM;

VRF, PIF, CIF funds are

provided to GP level cluster

forums;

Decline in

benefits by

20%:

IRR=17%

NPV=4370

million

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Risks Risk description Probability of

occurrence

Mitigation measures in

programme design

Comparative

sensitivity

analysis result

(Proxy)

BCR= 1.47

Market Inadequate profit margins due

to poor access, lack of

transport and of market

information

Lack of capacities of PTG to

negotiate fair deals with private

investors

High to

medium

Market information, improved

technology advice, promotion

of producers’ collectives and

market linkages.

Improvement of local markets

and rural roads; empowering

the producers’ collective and

training them;

Provision of market

infrastructure and facilities

through TDCC

Decline in

benefits and

increases in

cost by 20%:

IRR= 13%

NPV=2518

million

BCR=1.23

Lower market prices for

commodities

Medium Diversified production and

improved market information;

production of off-season

vegetables

Policy Lack of commitment to

investing in the welfare

development and slowing down

funds flow

Medium More convergence funds

organised; regular funds from

TSP and CCD ensured

Farm operating

costs increase

by 20%:

IRR=18%

NPV= 5925

million

BCR=1.53

Others Remoteness of Tribal villages

and difficulty of access during

rainy season

High Promotion of products that

combine high farmer margin for

small volumes and are easy to

transport

Decline in

benefits by

25%:

IRR= 16%

NPV=3518

million

BCR=1.38

Climate change risks of

delayed rainfall, abnormal

rainfall, etc

Medium Training farmers on climate

change risks and crop

diversification

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155

ECONOMIC ANALYSIS

0.085 8.5%

(Million INR)

Details 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Benefits

Incremental benefits - 37 411 826 1,549 1,679 1,804 1,953 2,067 2,198 2,347 2,489 2,603 2,697 2,740 2,775 2,803 2,832 2,860 2,888

Total benefits 0 37 411 826 1549 1679 1804 1953 2067 2198 2347 2489 2603 2697 2740 2775 2803 2832 2860 2888

Incremental Costs

Investment costs 404 955 1,335 1,424 1,062 529 187 152

Production costs 54 217 420 624 595 596 602 602 604 600 603 604 610 609 614 606 605 605 610

Total costs 404 1009 1552 1844 1686 1124 784 754 602 604 600 603 604 610 609 614 606 605 605 610

Net benefits -404 -972 -1141 -1018 -137 555 1021 1199 1465 1594 1747 1886 1999 2087 2130 2161 2197 2227 2255 2278

Basecase results: Benefits lagged by 2 year

NPV of benefit streams discounted at 8.5% 17,034 NPV of benefit streams discounted at 8.5% 15,336

NPV of costs stream discounted at 8.5% 9,194 NPV of costs stream discounted at 8.5% 9,194

NPV of project discounted at 8.5% 7,840 NPV of project discounted at 8.5% 6,142

BCR- discounted benefits & costs at 8.5% 1.85 BCR- discounted benefits & costs at 8.5% 1.67

IRR IRR23%

Project: OPELIP Appraisal July 2014

Country: India

Project Year

18%

Discount rate:DR

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Both cost increase & benefits down

Project Performance indicators 10% 15% 20% 25% 10% 15% 20% 25% 10% 15% 20% 25%

NPV of at discount rate of 8.5% 6,851 6,388 5,925 5,462 6,073 5,221 4,370 3,518 5,147 3,833 2,518 1,203

BCR at discount rate of 8.5% 1.67 1.60 1.53 1.47 1.66 1.56 1.47 1.38 1.51 1.36 1.23 1.10

IRR 21% 19% 18% 17% 20% 19% 17% 16% 18% 15% 13% 11%

Switching Value Analysis:

Switching Value: Appraisal

Total Benefits at 8.5% DR 17,034 9,194 -46

Total Costs at 8.5% DR 9,194 17,034 85

Results of Sensitivity Analysis:

Costs increased by Benefits down by

Switching value % change

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157

Appendix 11: Draft programme implementation manual

Programme Implementation Manual is a fundamental document for running the Programme, containing detailed instructions, processes and information on how to implement various components of the programme, monitoring and evaluation systems, reporting requirements during the life cycle of the Programme. The importance of the PIM is recognized in the Financing Agreement and submission and approval of the PIM would be a condition for disbursement. It promotes good management, administration, internal controls and a standardized approach to various tasks. It is to understand that PIM is a ‘living document’ and should be updated regularly on the basis of learning of project implementation. The PIM will serve the purpose of one-stop reference point on the project implementation. It defines the roles and responsibilities for all processes and transactions, and includes references to other key documents or contains them as attachments (Financing Agreement, Letter to the Borrower and Disbursement Handbook, Procurement Guidelines and Handbook, Audit Guidelines, etc.). The draft PIM will be prepared after Loan Negotiation and the key positions of the PMU are in place. Broadly, the sections of the PIM are as below:

Cover Page (paste photographs relevant to OPELIP) Font sizes: TABLE OF CONTENTS Currency Equivalent Weights and Measures Fiscal Year Abbreviations and Acronyms

PART-ONE Chapter 1: Introduction and background (One Page) Describe the purpose and objectives of PIM, mention who will use this PIM, indicate the advantages of using PIM, list documents referred in developing the PIM and also include the Project Team which worked on the document and date of preparation. Write a paragraph acknowledging the support and

cooperation received from senior staff and IFAD CPM. Please state that the PIM is a dynamic

document and it should be updated as when required by the PMU staff.

Chapter 2: OPELIP Project Summary (about 10 pages) Briefly describe the background to the project (refer Project Design Report), outline key factors for the success of the project such critical staff, fund flow, procurement, community participation etc, Describe the project area, target groups and project goal and objectives; Describe the project components, their phasing and financing plan; outline the risks and mitigation measures; describe the environmental impact of the project; Indicate expected project output and outcome. Describe the exit strategy of the project; Include a matrix to show selection criteria for project interventions with columns: types of intervention; facilities offered, targeting criteria, role of community, PMU and local community in the selection and identification of target activities and beneficiaries etc Attach Programme Logframe at the end of Chapter;

Chapter 3: OPELIP Cost Estimates (to be extracted from WP) Insert Tables showing the project cost estimates by component and year for the following:

Community institutions SHG and Rural Finance Natural Resources Management Food and Nutrition Security Livelihoods Improvement

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Community infrastructure Drudgery reducing interventions Project Management Unit MPA Units Monitoring & Evaluation and Knowledge Management

Insert key SUMMARY cost tables as reference Add commentary notes on unit costs used and scope for flexibility during implementation; Attach Cost Tables containing both physical and financial units.

Chapter 4: OPELIP Organisation and Management Briefly describe coordination arrangements, project steering committees, and their roles and functions, arrangements for meeting etc, coordination arrangements at grassroots levels, organisation structure of PMU, staff structure and their duties and responsibilities, Arrangements for implementation of project interventions, agencies responsible for the implementation of various project components and subcomponents, etc. Develop and provide a matrix with following columns: Project intervention, coverage, implementation responsibility, procurement, timeline and schedule of implementation etc Briefly indicate PMU staff responsibilities or TORs and recruitment of staff and procedures for recruitment. Provide an outline of duties and responsibilities of individual staff and also indicate the need for gender balance in staff structure etc.

Chapter 5: NGO selection processes: selection criteria – pre-qualification; TOR and

management structure, Model contract or MOU for NGO engagement; key responsibilities of NGO and NGOs

Chapter 6: Procurement Procedures Describe general conditions of procurement and methods of procurement under IFAD procurement Regulations; Describe the procurement procedures under IFAD procurement in detail and as applicable to OPELIP; Describe approval authorities; review mechanisms: prior and ex-post review; review of pre-qualification bidders; describe the procurement committees at different level and thresholds for approvals at different level; prepare 18-month procurement plan and attach it at the end of the chapter; Use one of the existing templates used by the Society or in its absence follow the template provided by IFAD.

Chapter 7: Finance Management (to be extracted from LTB) Provide a brief introduction regarding purpose of this section. One or two paragraphs on project costs and financing arrangements; Describe in brief the flow of fund mechanism; Describe type of accounts: designated account, project account, subproject account etc and their operations; Describe the disbursement procedures and withdrawals (to be obtained from the Letter to the Borrower and its attachments) Include checklist for sending withdrawal applications; Describe audit procedures and arrangements in place for conducting effective audit for each year and also describe arrangement for internal audit and its procedures; Identify annual audit statements and indicate how these statements are prepared and forwarded to IFAD and other entities; indicate how project completion report will be carried out and required financial statements. Indicate a list of registers and records to be maintained at PMU office such as contract record, individual contract monitoring form etc Fiduciary Aspects Capacity Assessment Tool Terms of Reference for internal auditors

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PART-TWO: PROGRAMME COMPONENTS Chapter 7: Community institutions Key factors for success

Objective and purpose of subcomponent

Activities and interventions

Implementation procedures, steps and stages

Indicators for M&E

TOR for VDAs & VDCs

Chapter 8: SHGs Key factors for success

Objective and purpose of subcomponent

Description of Activities proposed including criteria for selection

Implementation procedures, steps and stages

Outcome and outcome indicators

Chapter 9: Rural Finance Purpose and objective of this subcomponent Factors responsible for success Activities and interventions proposed Description of each activity and selection criteria Operational procedures and NRLM compliant processes Outcome and outcome indicators

Chapter 10: NRM-Land and water resources development Objective and purpose of the subcomponent Factors responsible for success Proposed activities and their description Arrangements for implementation Procedures for operating village development fund Outcome and outcome indicators

Chapter 11: NRM- Productivity enhancement and crop diversification Purpose and objective of this sub-component Key factors for success Proposed activities and their description Arrangements for implementation Outcome and outcome indicators

Chapter 12: Nutrition Security Aspects and checklist Purpose and objective of this sub-component Key factors for success Proposed activities and their description Arrangements for implementation including criteria for selection Outcome and outcome indicators

Chapter 13: Livelihoods improvement including vocational training Purpose and objective of this sub-component Key factors for success Proposed activities and their description Arrangements for implementation Outcome and outcome indicators

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Chapter 14: Community infrastructure Purpose and objective of this sub-component Key factors for success Proposed activities and their description Arrangements for implementation Outcome and outcome indicators

Chapter 15: Drudgery reducing interventions Purpose and objective of this sub-component Key factors for success Proposed activities and their description Arrangements for implementation Outcome and outcome indicators

PART-THREE: M&E, KM AND AWPB Chapter 16: Monitoring and Evaluation and Knowledge Management Purpose of MIS and approach to the development of MIS for the project Project M&E framework: (i) first level output monitoring; (ii) second level outcome monitoring and (iii) third level impact evaluation; Indicators for output monitoring; Indicators for outcome monitoring; Indicators for impact evaluation; Impact assessment indicators and anchor indicators, which have also been included at the impact level of Logical Framework. Specific studies required and their cost estimates Baseline surveys Annual Outcome Surveys: Key aspects Guidelines for KAP surveys TOR for impact survey Annual RIMS reporting Table Reporting and communication: annual reports

Chapter 17: Guidelines for preparing Annual Work Plan and Budget Purpose and objective of this section General introduction on the preparation of AWP&B All annual plans can be prepared based on the concept of result-oriented approach. This can be effectively done using both Cost Tables and Project Logframe.

Objective and expected result of component Indicators for monitoring and RIMS Quarterly targets for implementation (physical) Appraisal Target (physical) AWP&B Target (physical) Unit cost for the proposed activity Achievements by Appraisal estimates and Annual Plan estimates Budget estimates by Appraisal and Annual plan Financing rule Budget Category Procurement Method etc Procurement Plan

Key Tools for the preparation of AWP&B are: project Logframe, detailed costables, AWP&B template,

financing plan, financing rules in the procurement methods, Finance Agreement, last project progress

report

Chapter 18: Guidelines for preparing Annual Outcome Surveys

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KEY ANNEXES 1. Project Logframe, updated (Chapter 2) 2. Criteria for selection and identification of project interventions Matrix (Chapter 2) 3. Cost Tables by components with financing rules (Chapter 3) 4. TOR for PMU staff (Chapter 4) 5. Project Organisation Charts (Chapter 4) 6. An 18-month Procurement Plan (Chapter 5) 7. Sample Chart of Accounts 8. Designated Account reconciliation statement 9. Checklist for Withdrawal Application 10. Sample financial statement 11. Sample Fixed Asset register 12. Sample form for Record of Contracts (Chapter 6) 13. Sample form for tracking contracts (Chapter 6) 14. Staff and community training programme/Calendar (Chapter 9) 15. Indicators for output, outcome and impact monitoring (Chapter 17) 16. RIMS Indicators (Chapter 17) 17. Template for AWPB (Chapter 18) 18. Template for the preparation of Annual Outcome Surveys 19. List Tables for IFAD Supervision Missions

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163


1. IFAD’s KEY FEATURES OF GENDER-SENSITIVE DESIGN

IFAD Policy OPELIP Design response

1. The project design report contains – and

project implementation is based on -

gender-disaggregated poverty data and an

analysis of gender differences in the

activities or sectors concerned, as well as

an analysis of each project activity from the

gender perspective to address any

unintentional barriers to women’s

participation.

The programme design is based on the analysis of gender

differences and adequate safeguards have been built to

ensure equal participation. The committees to be established

at the village level will have either 50% participation of women

(VDCs and FRCCs) or only women committees (SFACs and

HECs). The programme has two streams of activities. SHG.

Drudgery reduction and livelihood streams directly focus on

women whereas the land and water, crop, horticulture and

rural infrastructure focus on both men and women. The

appendix on Detailed Project Description provides details of

gender mainstreaming for each component.

2. The project design report articulates – or

the project implements – actions with aim

to:

Expand women’s economic empowerment through access to and control over productive and household assets;

OPELIP focuses on livelihoods where women are the primary

workforce. Specific actions will be taken to promote the role of

women in management of farm and related enterprises. About

70% of the women will be facilitated to form SHGs and will be

facilitated to access financial service and undertake livelihood

related activities. The programme intends to create a Cluster

level forum with Vulnerability reduction fund and Community

Investment which will be controlled and managed by women.

The programme also proposes to invest in kitchen garden,

backyard poultry and goat rearing which places the control

over these productive resources in the hands of women. Land

allotment will be in the joint names of husband and wife.

Strengthen women’s decision-making role in the household and community, and their representation in membership and leadership of local institutions;

SHGs will provide required space for women to be leaders and

decision makers and enable their effective participation in

other male dominated community organizations.

The programme will enable women to take active roles in

decision-making processes of the community and its

institutions like VDA, VDC, SHGs and Gram sabha level

cluster forums.

Achieve a reduced workload and an equitable workload balance between women and men.

The introduction of new technologies and enterprises aim to

reduce the workload of women; special interventions to reduce

the drudgery of women have been included as one of the sub-

components to balance workload.

3. The project design report includes one

paragraph in the targeting section that

explains what the project will deliver from a

gender perspective.

Yes, please refer to Para # 18, 22 and 23 of Main Report

4. The project design report describes the

key elements for operationalizing the

gender strategy, with respect to the

relevant project components.

Yes, please refer to Annex 1, Appendix-2

5. The design document describes - and

the project implements - operational

measures to ensure gender- equitable

participation in, and benefit from, project

activities. These will generally include:

5.1 Allocating adequate human and financial resources to implement the gender strategy

Adequate human resources in PMU and MPAs including

CRPs have been provided. The programme will also provide

adequate financial resources for developing and implementing

a gender strategy. A Gender and Nutrition Manager at PMU

will spearhead gender and women empowerment related

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activities. Social Mobilizer at the MPU will be the focal point for

gender and nutrition at the MPU level.

5.2 Ensuring and supporting women’s

active participation in project-related

activities, decision-making bodies and

committees, including setting specific

targets for participation

Equal participation and representation in VDCs, FRCCs,

HECs, FFS, CRPs and also NGO staff. SHGs, GPLFs, SFACs

will be only women organizations.

5.3 Ensuring that project/programme

management arrangements

(composition of the project management

unit/programme coordination unit,

project terms of reference for staff and

implementing partners, etc.) reflect

attention to gender equality and

women’s empowerment concerns

This has been addressed in the design; while gender balance

is possible at PMU level, it is difficult to ensure at MPA levels

due to remoteness of locations and difficulties in getting proper

persons.

5.4 Ensuring direct project/programme

outreach to women (for example

through appropriate numbers and

qualification of field staff), especially

where women’s mobility is limited

Experience of JTDP and OTELP shows that project staffs

have no problem in reaching women. A significant proportion

of CRPs and partner NGO staff will be women.

5.5 Identifying opportunities to support

strategic partnerships with government

and others development organizations

for networking and policy dialogue

The programme intends to converge with other line

departments for coordinated efforts to reach the target

households. One such coordination worked out during design

includes the agreement reached to place an officer from the

Women and Child Development Department within MPA to

coordinate activities related to women and children

6. The project’s logical framework, M&E,

MIS and learning systems specify in design

– and project M&E unit collects, analyses

and interprets sex- and age-disaggregated

performance and impact data, including

specific indicators on gender equality and

women’s empowerment.

These have been incorporated as part of project knowledge

management and M&E and other learning systems.

2. IFAD Targeting Policy- Checklist for Design

OPELIP Design RESPONSE

1. Does the main target group - those

expected to benefit most- correspond to

IFAD’s target group as defined by the

Targeting Policy (poorer households and

food insecure)?

Yes. PTG households are the poorest and highly vulnerable.

The focus of programme activities including community

institution building will be on the PTGs. A major thrust is to

improve food security and livelihoods of the PTG population.

2. Have target sub-groups been identified

and described according to their different

socio-economic characteristics, assets and

livelihoods - with attention to gender and

youth differences? (Matrix on target group

characteristics completed?)

The programme targets are PTGs, other STs and the poor SC

households. Yes, Target sub-groups have been identified and

described and specific matrix on target group characteristics

have been completed and provided in Appendix-2

3. Is evidence provided of interest in and

likely uptake of the proposed activities by the

identified target sub-groups? What is the

evidence? (Matrix on analysis of project

components and activities by principal

beneficiary groups completed?)

A matrix showing the evidence of interest in and likely uptake

of proposed intervention provided. This is based on mission’s

assessment during field visits to all micro-project areas and

interaction with the target group communities. A matrix on

analysis of project components and activities by principal

beneficiary groups completed.

4. Does the design document describe a

feasible and operational targeting strategy in

line with the Targeting Policy, involving some

or all of the following measures and methods:

4.1 Geographic targeting – based on poverty A matrix showing the geographic targeting is included; each

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data or proxy indicators to identify, for area-

based projects or programmes, geographic

areas (and within these, communities) with

high concentrations of poor people

MPA area has geographically targeted PTGs.

4.2 Direct targeting - when services or

resources are to be channelled to specific

individuals or households

For direct targeting, appropriate selection criteria have been

set out. This is a PTG focussed programme and these groups

will be the major beneficiaries of this programme. The target

sub-groups have been identified in details with a vulnerability

matrix.

4.3 Self targeting – when goods and services

respond to the priority needs, resource

endowments and livelihood strategies of

target groups

A mechanism for self-targeting has been outlined and

specified for example in accessing smokeless stoves, solar

lanterns for individuals and milling and hulling and hauling

facilities for groups. SHG mobilization self targets the

households that are mostly highly vulnerable and vulnerable.

4.4 Empowering measures - including

information and communication, focused

capacity- and confidence-building measures,

organisational support, in order to empower

and encourage the more active participation

and inclusion in planning and decision

making of people who traditionally have less

voice and power

The Community empowerment strategies under the OPELIP

ensure active participation of people who traditionally have

less voice and power. Participatory processes will be

employed to seek participation of the poorest. VDCs will be

empowered to plan, manage financial resources and

implement most of the programme activities.

4.5 Enabling measures –to strengthen

stakeholders’ and partners’ attitude and

commitment to poverty targeting, gender

equality and women’s empowerment,

including policy dialogue, awareness-raising

and capacity-building

OPELIP programme design includes all enabling measures to

strengthen stakeholders’ and partners’ attitude and

commitment to poverty targeting, gender equality and

women’s empowerment

4.6 Attention to procedural measures - that

could militate against participation by the

intended target groups

The programme design has put in adequate procedural

measures to ensure participation of PTGs who are the

intended target group. This includes targeting of villages with

PTG population. Ensuring inclusion of PTGs in all community

organization building efforts and also formation of committees

at the village level.

4.7 Operational measures - appropriate

project/programme management

arrangements, staffing, selection of

implementation partners and service

providers

Yes; the programme will be managed by the STSCDD which

is sensitive to the interests of Scheduled tribes in general and

PTGs in particular. MPAs have been established the GoO in

the programme area with the specific mandate of addressing

the concerns of PTGs.

5. Monitoring targeting performance. Does

the design document specify that targeting

performance will be monitored using

participatory M&E, and also be assessed at

mid-term review? Does the M&E framework

allow for the collection/analysis of sex-

disaggregated data and are there gender-

sensitive indicators against which to

monitor/evaluate outputs, outcomes and

impacts?

Yes; the programme design document specifies use of

participatory M&E and also allows for collection and analysis

of gender disaggregated data.

3. Adaptation to Climate Change

Goal: To maximize IFAD’s impact on rural poverty in a changing climate

Statements of purpose: OPELIP response

1. To support innovative approaches to helping

smallholder producers build their resilience to

climate change.

Climate resilient livelihoods – including improved food crop

production with irrigation and watershed conservation works.

Introduction of risk reduction measures such as shifts in

cropping patterns, diversified production technologies, rainwater

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harvesting are emphasised.

2. To help smallholder farmers take advantage

of available mitigation incentives and funding.

No specific plans in project design to mobilise additional funds

for mitigation, but opportunities may arise during implementation

3. To inform a more coherent dialogue on

climate change, rural development, agriculture

and food security.

M&E systems will generate information on the outcomes of

project activities focused on climate resilience. Lessons will be

disseminated via knowledge management activities. Services of

Odisha University of Agriculture and Technology will be availed

in developing climate-resilient crop varieties and cultivation

technologies that are adaptable by the PTGs.

4. Good governance framework

This Good Governance Framework is based on the following key principals:

Transparency is the foundation for accountability and participation. Information in the public domain and an open &

visible decision-making processes signals that there is nothing to hide.

Accountability implies probity in how resources are mobilized and used, and for what ends.

Participation (or inclusion) represents the “demand side” of good governance, and implies that people should have a

voice in the decisions that may affect them. The involvement of affected communities in all stages of projects can

simultaneously improve development outcomes and reduce the scope for fraud and corruption.

Project

processes

Actions to be taken Accountability and

transparency

Participation and

inclusion

Guidelines/regulations

to be followed

Targeting Ensure inclusion of disadvantaged groups in project activities. This requires targeting policies and monitoring of composition of PGs etc.

Progress reports Outcome surveys IFAD supervision reports

Report back to VDA and VDC on composition of all groups

IFAD appraisal report OPELIP group

formation guidelines as in PIM

Planning

(project

level)

Annual plans for project activities need to conform to GoO processes and IFAD appraisal, and be approved by PSC and IFAD

PMU report to PSC IFAD & GoO approval of

AWPB Progress reports on

implementation of AWPB

PRA at design stage got feedback from local people.

Disclosure of AWPB

GoO procedure for annual budget

IFAD AWPB guidelines as in PIM

Planning

(local level)

Participation in plans at local level by Palli Sabha and field level groups

Progress reports with information on GS participation )

Progress reports feedback to Palli sabha and all other groups

Participatory planning guidelines

Procurement Transparent and efficient procurement process to ensure best quality/price.

IFAD implementation support to train staff in procurement processes.

IFAD prior reviews

External audits cover procurement processes

IFAD supervision missions spot check procurements

IFAD technical audits if needed to check value for money and leakages.

PSC and IFAD receive audit report

IFAD supervision reports and any technical audits to IFAD & GoO.

VDA involved in checking procurement and community level procurement

GoO Procurement Regulations

IFAD procurement guidelines

Annual procurement plan

Physical

activities

and outputs

Need to monitor progress in terms of quantity and quality.

Outcome surveys check on outputs delivered to beneficiaries’ households.

Progress reports of implementing agencies

Project website IFAD supervision reports

assess progress

Internal coordination workshops

Project progress reports to IFAD & PSC

Government budget IFAD appraisal report Producer Collective

plans and guidelines as in PIM

Financial

management

Minimise cash transactions Training of SHGs,

producers’ collectives, group leaders etc in accounts and book-

Consolidated financial statements

Internal audit External audit IFAD supervision mission

CBO accounts discussed and agreed with all members.

Rotation of group

IFAD financial reporting guidelines

Government accounting systems

ToR for internal and

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keeping. IFAD implementation

support will train staff in project accounting and financial processes.

reports will check financial statements & accounting system

leaders and regular elections.

Audit report to PSC & IFAD

Consolidated financial statements to IFAD

IFAD supervision reports to IFAD & GoO.

external audit as in PIM

Results and

impact

Reporting of outcomes and results

Knowledge management to utilise information generated

IFAD supervision reports IFAD RIMS indicators

reporting outcomes Annual Outcome Surveys

Project website with results of M&E

Experience sharing publications and workshops.

Project M&E guidelines

IFAD RIMS guidelines

Project KM strategy

Complaints

remedies

Complaints procedure Ethical code for staff to

avoid conflicts of interest and including sanctions for fraudulent and corrupt practices

Investigative processes Reports to PSC & IFAD

Feedback to village / Palli sabha if needed

MPA complaints guidelines

Staff ethical code PIM Manual

guidelines

5. CHECKLIST FOR INDIGENOUS PEOPLES IN PROJECT DESIGN AND IMPLEMENTATION

SCORE

(1-6) Issues

1. The project design report is in line with IFAD

Policy on Engagement with Indigenous Peoples and

takes into account the socio economic and cultural

specificities of the indigenous peoples’ communities

living in the project area. It provides baseline

information on their demographic, social, cultural,

and political characteristics; the land and territories

that they have traditionally owned or customarily

used or occupied; and the natural resources they

manage or depend upon.

6 The design report has coherently addressed all issues

in relevant section of the document. The design

mission has also engaged local resource persons

having long years of experience in working with the

tribal people of the state to provide information of most

of these issues. Additionally, the design mission has

taken advantage of the data available at the Scheduled

Caste Scheduled Tribes Research & Training Institute

located at Bhubaneswar. Refer to WP on Poverty,

Targeting and Gender and WP on Socio-Economic

Conditions of the PTGs.

2. The project design report includes disaggregated

data by indigenous group and geographical location

6 Refer to Project file; also working papers on Poverty,

Targeting and Gender; Socio-Economic Conditions of

the PTGs and Nutrition Aspects of PTGs.

3. The project design report identifies, interventions

which respond to the needs and priorities as

expressed by the targeted indigenous peoples’

communities and which build on their knowledge,

cultural systems, and institutions.

6

Refer to Section on implementation mechanism and

focus on promotion of engendered community-based

institutions such as Village Development Association

(VDA), Village Development Committee (VDC) and

Women Self Help Groups (SHG) in all project villages

including support to Youth Groups specially focusing

on traditional cultural development, protection of ‘tribal

sacred places’ and tribal institutions such as ‘youth

dormitory’ still in existence among some of the target

communities.

4. The design document describes – and the project/programme

implements – operational measures to ensure IPs equitable

participation in, and benefit from, project activities. These will

generally include:

4.1. Ensuring that representatives of the indigenous

peoples’ communities, partners of the project, are

present at all stages of the project cycle and that a

consultation plan leading to their Free, Prior and

Informed Consent is embedded in the project design

6 Nearly 75% of project participants would be tribal

people (of which nearly 70% would be PTGs). VDC

(selected/elected among members of VDA, which has

representatives from every household in the village by

adult male and female) is the village/grassroots level

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SCORE

(1-6) Issues

and the consultation and participation process is

documented

planning and executing body and also responsible for

community-based procurement on behalf of VDA; while

the VDA is the village-level decision-making body,

VDC is the executive body of the VDA. VDC has equal

representation by men and women. All activities in the

village would be planned by VDC with consultation/

approval in the assembly of VDA and reflected as the

Village Development and Livelihoods Plan (VDLP). In

mix villages (settlements of both tribal people and

others), due care has been taken to have

equal/adequate representation of the tribal people in all

village institutions.

4.2. Ensuring that project/programme activities are

co-created and co-managed by the indigenous

peoples communities

6 Natural resources management plans are co-created

and co-managed by the respective VDCs in

association VDAs that will include all the households in

a given village.

4.3 Ensuring the service-providers and extension

workers used by the project (public or private) have

the capacity and are trained to reach out to

indigenous peoples.

6 All service providers to be recruited or engaged with

would be either NGOs or government agencies who

have already been working in the programme areas

and many of them with the project target communities.

So these organisations already have adequate

experience of working with local tribal communities

including the Particularly Vulnerable Tribal Groups

(PTGs). The project will also promote Community

Resource Persons (CRPs) as Service Providers from

among the beneficiaries who would be resource

persons and extension service providers at community

level. Both the CRPs and the Social Mobilizers to be

recruited at each MPA would be adequately trained

and oriented to reach out to the target beneficiaries.

4.4 Ensuring that the project design report includes

measures to strengthen a) the social, legal and

technical capacity of the government institutions to

address IPs issues in the project area; b) IPs’

institutions and organizations in the project area

5 These issues are incorporated in relevant section of

the design document. Examples include capacity

building (social, legal and technical capacity) of the

government staff at MPA and staff from key line

departments working in MPA areas with the PTGs.

Another example is strengthening of traditional culture

and practices of the PTGs.

4.5 Ensuring that information disclosure on the

project is in accordance with prevailing IPs’ customs

and traditions and printed material is written in the

IPs language

5 OPELIP will work in 17 Micro Project Area (areas with

concentration of 13 PTGs) spread over 12 districts in

Odisha. Unfortunately, most PTGs do not have written

scripts of their language/dialects, except the Lanjia

Sauras, who use Roman scripts to write their

language. Many PTGs covered under MPA, which will

also form the programme areas for OPELIP, are able

to understand Oriya, which is the official language of

the state of Odisha. Medium of teaching in schools

covered under MPA is in Oriya with limited

introduction/usage of English in some residential

schools. To the extent possible, all printed materials

developed would be as read and understood by the

project communities (PTGs).

5. M&E mechanisms are participatory and adapted

to capture indigenous peoples’ perceptions and

perspectives. M&E systems include specific

indicators to measure the well-being, poverty and

sustainability in a way that is relevant to indigenous

peoples.

6 All the issues have been addressed in the design

document; also refer Appendix 6 on Planning,

Monitoring &Evaluation and Knowledge Management

along with Logical framework, and section on Food and

Nutrition.

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SCORE

(1-6) Issues

AVERAGE SCORE 5.5

6. Scaling-up Framework

Main interventions to be scaled up:

(i) Community empowerment of PTG through the formation of VDCs and SHGs; (ii) Natural resource management using user groups and convergence; (iii) Promotion of kitchen gardens & dryland horticulture through FFS (iv) Livelihoods enhancement through agriculture, horticulture, livestock, etc (v) Community infrastructure involving user groups for management (vi) Drudgery reducing interventions for women (vi) Land allotment to the landless Tribal

Whose idea? Proposal is by the Government of Odisha. Community empowerment and enhancement of livelihoods for Tribal are done by IFAD projects including the ongoing OTELP in the State

Piloting/testing/evaluation These are already tested in the State and evaluations are available, in particular for OTELP (Source: OTELP Annual Outcome Survey 2012) -Some 4,273 SHGs organised and functional with saving INR 26,530/SHG - 70% hh access to rural financial services; -Money-lenders grip on the community reduced; -358 VDC registered and managing village resources; -Village level social and financial audit sub-committee functional; -Some 175,368 ha land treated and 11,280 ha of non-arable land converted into arable land; -irrigated area increased from 464 ha in 2005 to 17,130 ha; -Cropped area increased by 18,634 ha; -About 80% hh have access to domestic water supply; -Some 26,040 hh benefited by land allotment including 8,610 under FRA; -About 93% hh reported enhanced incomes; -About 94% hh are food-secure; -Land ownership increased from 86% to 91%; -69% increased agricultural production and 55% hh adopt improved production practices; -93% hh have increased herd size due to reduction in mortality rates;

Vision / Target scale State government placing emphasis on development of all PTG households in the state, while protecting natural resources from effects of climate change and preservation of PTG traditions and culture.

Drivers:

Champions Government: Chief Minister, Chief Secretary, Commissioner and Secretary ST&SC Development Department, Additional Chief Secretaries of Development and Finance.

External catalysts Opportunities to take advantage of financial support available from Govt of India under TSP; unique PTG landscapes offer potential for producing crops for food security and markets.

Local drivers Potential for development, available natural resources base, potential for market development by improving communication network and overall expectation of the PTG population willing to adopt improved technologies

Incentives Economic incentives: with more education and exposure to the modern world, PTG households want more incomes and food security Political incentives: political leaders need to deliver a growing local economy for the Tribal that is not left behind by other areas within the state. Social incentives: communities willing to organise into affinity groups and undertake development interventions within their area availing all resources and opportunities provided by the Programme

Spaces:

Policy, legal and regulatory space Government policies allow space for OPELIP. A number of state and national programmes have resources that OPELIP will use - such as for NRM, NRLM, community infrastructure, small irrigation works and investment in livestock farming, development of local markets, investment for women drudgery reduction activities etc.

Financial and fiscal space OPELIP is part of the Tribal Development Plan, which is getting significant resources from both state and national governments. The government has also assured to commit additional funds, at least to maintain 1:1.6 ratio and has not

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placed any specific limit on its contributions.

Political space Tribal Sub-Plan is the National Programme with assured budgetary support from both GoO and GoI aiming at overall development of the Tribal and poverty reduction.

Institutional / organisation space The ST&SC Development Department, Govt of Odisha is the lead programme agency under which a programme management unit will be set up for the day-today management. There are 17 Micro-project offices each of 17 PTG areas. The implementation capacity of each Micro-project will be improved with additional core staff, capacity building through training and exposure visits, office buildings and equipment, camp offices and facilities for travel and connectivity through V sat etc

Natural Resource / environmental space

OPELIP has a strong NRM and environmental element, with potential for climate change adaptation, rainfed agriculture and water resource development.

Cultural space Traditional institutions play a major role in governance in the project areas and these are gradually integrated with the newly introduced PRI system of governance. But lack of formal land title is a disincentive to individual investment in land resources. OPELIP will work closely with traditional institutions to ensure the landless PTGs have access to land.

Partnerships Implementation of OPELIP will be supported by competent, local NGOs. State Forest Department is implementing Simplipal Livelihoods Programme within the Simplipal Forest Reserve. Lessons from ongoing 17 Micro-projects will add value to OPELIP in terms of understanding the socio-economic conditions of the PTGs and their aspirations. OPELIP will also draw lessons from ongoing OTELP for the project management.

Knowledge / learning space OPELIP will establish and support facilities for KM and M&E in line with the experience gained under other Tribal development projects, in particular the OTELP.

Implementing space OPELIP will have a PMU within STSCDD, GoO in line with the OTELP model. The PMU will have staff at state and Micro-project levels with monitoring and finance functions, and will link with other government programmes. At the Micro-project level, the OPELIP will have implementation units for its programme components and activities in the field.

Pathways:

Time horizon Phase 1: Development and piloting: 2015 to 2023 – OPELIP Phase 2: Scaling up - government programmes: 2023 onwards continuous

Dimensions (i) Outreach: OPELIP participating households = 62,500; (ii) Horizontal: OPELIP to cover all PTG and non-PTG households in the state; (iii) Vertical: Possible replication to other states where PTGs habitat; (iv) Functional: activities to be refined and developed based on learning

Scaling up milestones Appropriate milestones to be identified

Role of drivers and spaces Policy, institutional, fiscal and political spaces all show the priority being given to IFAD's support for OPELIP. Local level drivers show that rural people will be receptive to the proposed interventions.

IFAD's role The government has selected IFAD to be its key external partner for PTG development for first time. The government is looking to IFAD to contribute its experience and expertise to the programme - this being of greater importance than financial resources. In particular IFAD's approaches and abilities are being sought in the area of capacity building and community empowerment and rural financial services.

Impact of scaling up processes The programme will result in improved livelihoods and living standards for all PTGs and non-PTGs living the PTG enclaves in the state, and the testing of a number of innovations could generate results for replication in other states with PTG population in India.

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7. Environmental Screening and Scoping Note

Description of Programme and components

33. The overall Goal of OPELIP is ‘enhanced living conditions and reduced poverty’82

. This is

sought to be achieved via the development objective of enabling improved livelihoods and food and

nutrition security primarily for 32,090 PTG households and 19,450 other poor Tribal and SC

households’. This in turn would be achieved via building the capacity of the target households,

securing them their entitlements over land and forest, improving their agricultural practices for

enhanced production, promoting micro-enterprises for alternate livelihoods and ensuring access to

education, health and other services and improving community infrastructure. The Programme will

have four major components, namely (i) Community empowerment, (ii) NRM and Livelihoods

enhancement; (iii) Community infrastructure and drudgery reduction and (iv) Programme

Management.

Component 1: Community empowerment

34. Component-1: Community Empowerment: PTGs remain one of the most vulnerable social

groups in India. Their impoverishment is linked to isolation, degradation of natural resources and

resultant impact on availability of water and forest based livelihoods, and inadequate development of

alternate sources of livelihood. Despite the fact that the government has implemented various policies

and programmes for their development, inability of PTGs to navigate the complex bureaucratic

processes required for realizing these benefits has hindered their development. Empowerment is the

key pre-requisite for development of the PTGs. This will be addressed through a series of capacity

building initiatives, entry point activities and mobilization of community-based organizations.

Accordingly, the Community empowerment component will have two sub-components, namely: (i)

Community Institutions development; and (ii) Promotion of SHGs and Rural Finance

35. Community institutions: Major interventions will be engaging the services of 17 FNGOs

supported by about 510 CRPs (one CRP for two natural villages), preparation of village development

plans, building the capacity of CRPs and VDCs, ToT through the NGO Reach India and entry point

activities in all 1020 villages as identified by the VDCs.

36. Promotion of SHGs and Rural finance: Key interventions under this sub-component will

include formation and strengthening of 3,500 SHGs, training of 84 GP level CRPs, formation of 84

cluster level forums, provision of pro-poor funds and vulnerability reduction funds to SHGs and

community investment funds to the GPLF and piloting two cooperative societies.

Component 2 - NRM and Livelihoods Enhancement

37. This component will have three sub-components: (i) Natural Resource Management, (ii) food

and nutrition security and (iii) livelihoods improvement

38. Natural Resources Management: This sub-component will address (i) issues of landlessness by

recording rights under FRA comprehensively and distributing available revenue land under extant

GoO policies, (ii) developing land and water resources through appropriate engineering and biological

measures, and (iii) development of denuded forest areas near habitations as community forests by

granting Community Pattas (titles) under FRA Section 3(1)(i)83

. Key interventions will include building

the capacity of some 18,000 farmers in crop development and horticulture, engaging the services of

LANDESA for land survey and issuing of land rights titles to PTGs, treatment of 20,000 ha of arable

land, construction of some 900 irrigation structures and support to horticulture development, cereal

food crops including oilseeds, pulses and tubers in about 900 villages.

82

Ref Project Concept Note, IFAD, Dec 2013 83 The provision reads, “right to protect, regenerate or conserve or manage any community forest resource which they

have been traditionally protecting or conserving for sustainable use.”

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39. (ii) Food and Nutrition security: PTGs grow a wide variety of nutrition dense crops, such as millets, short duration upland paddy and maize, beans, tubers, oilseeds and pulses maize. Cultivation of these crops is on the decline and there has not been any attempt to improve productivity through seed selection, exchange and improved management. Following various NRM interventions, more productive techniques and productive seed varieties can be introduced to address food and nutrition security. Lands presently under podu cultivation are in various stages of degradation, thereby increasing food insecurity and malnutrition. These could be used for horticulture combined with intercropping and need urgent attention. Key interventions under this sub-component would include conducting some 7,000 demonstrations on farmers’ fields, facilities for seeds production, compost-making and kitchen gardens through 3,500 SHGs etc.

40. (iii) Livelihoods Improvement: PTGs and other ST are dependent largely on forest based livelihoods, wage employment and agriculture including shifting cultivation. This sub-component will focus on homestead production and forest-based livelihoods. The programme will support: (i) Scaling up existing livelihoods including nutrition sensitive livelihoods; (ii) Support for value addition and NTFP based livelihoods; (iii) Marketing Support; and (iv) Vocational training.

Component 3: Community Infrastructure and drudgery reduction

41. (i) Community infrastructure: PTG villages are characterised by poor housing, limited or no access to potable water round the year, absence of sanitation facilities, limited or no access to electricity and limited or no road connectivity. Some of the villages in the programme area do not have school buildings and in many cases the school buildings are dilapidated and without drinking water and sanitation facilities. Many villages do not have paved roads and drainage inside the settlements and children play in extremely unhygienic conditions, especially during the rainy season. Though NTFPs constitute a major livelihood source for PTGs, there are no platforms for drying and sorting these and for storage to facilitate collective marketing. The programme will support (i) some 300 drinking water schemes and some 542 school toilets, (ii) 4000 housing units and habitat development, (iii) 500 km of road connectivity and 50 km electrification, (iv) infrastructure for 542 drying yards, 84 market yards, 250 aggregation centres, 250 SHG work-sheds, (v) supply of tractor and power-tiller units and 2,000 irrigation pump-sets and 84 hydram units.

42. (ii) Drudgery reduction interventions: Practical needs of women include easy and year-round access to water, fuel-wood, diversified food sources for nutrition, and reproductive and child health care services. Many of these are closely linked to land use (including farming systems), land tenure and usufruct rights – which are strategic in nature. Promotion of labour-intensive cash crops to the PTGs will be weighed against its adverse impact on nutrition security and women’s access to food sources. Creating access to drinking water, providing some 35,000 smokeless cook-stoves, creating fuel-wood reserves and promoting several home-based nutrition gardens will also be good entry point activities as well. There is scope for improved storage of food grains through storage bins and improved housing, solar home lighting, reducing drudgery related to hauling, threshing, hulling, milling of food grains through individual or community owned small scale equipment and tools. The programme will also support construction of some 84 milling units for hulling rice, millet etc.

Component 4: Project Management

43. This component will have four sub-components, namely: (i) Programme Management Unit to be

established in Bhubaneswar under SC&STD; (ii) Programme Implementation Units at micro-project

levels; (iii) Programme Monitoring and Evaluation and knowledge Management; and (iv) facilities for

policy initiatives. The PMU will be headed by a full time Programme Director who will report to the

Commissioner and Secretary, STSC Development Department. The programme will provide facilities

for staff salaries and allowances, vehicle hiring and operating costs, office equipment and office

running costs etc. In addition the programme will provide office building with V-sat facilities, one fully

furnished camp office, maintenance facilities, staff training and capacity building etc for each PIU.

Monitoring and evaluation and knowledge management functions will be entirely handled by the M&E

Section to be housed within the PMU. The unit will be adequately supported with office equipment,

staff and all other facilities for operations and maintenance.

A. Major Site Characteristics

(i) Socio-economic context of Odisha

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44. Situated on the eastern seaboard, Odisha is geographically the 9th largest State of India with an

area of 15.57 million hectares (Mha). It has a large coastline of 480 km and a Continental Shelf of 2.4 Mha. The States of West Bengal in the North East, Jharkhand in the North, Chhattisgarh in the West, Andhra Pradesh in the South and the Bay of Bengal in the East constitute the boundaries of Odisha. The State has 30 administrative districts, 314 development blocks, 6,173 Gram Panchayats and 47,127 villages. It is the 11

th most populous among Indian States with a population of 41.97 million

with a decadal growth rate of 14% (previous decade 16%, India 18%). With 83% of its population living in villages (India 69%), Odisha is the third most rural among the 20 largest Indian States behind Bihar (89%) and Assam (86%).

45. Odisha has abundant surface and groundwater resources, criss-crossed as it is with a network of several large rivers like Mahanadi, Brahmani, Kolab, Baitarni, Indravati and Rushikulya besides several smaller rivers and streams, replenished by the State’s long-term average rainfall of over 1500

84 mm. The coastal plains and deltas and the central table lands and valleys constitute highly

fertile agricultural lands. Odisha is fifth largest among all Indian States in terms of forest area with about 37% of the State’s geographical area classified as forests of all categories. Besides a large coast line, the State has the world’s second largest lagoon, the Chilka Lake, with its rich fishery resources.

46. The State has vast mineral resources, including coal, iron-ore, manganese-ore, bauxite, chromites, etc. These are concentrated in the north and west, in the hilly regions. The State has over 98% of India’s estimated reserves of chromites, 95% of nickel, 77% of cobalt, 53% of bauxite and 33% of iron-ore. Other important mineral resources of the State are limestone, China clay, quartz, precious and semi-precious stones, copper, vanadium, etc.

85

47. In spite of its rich natural resource endowment, Odisha continues to be one of the poorest States in India with high incidence of poverty and low indices of human development. Nineteen out of 30 districts in Odisha are assessed to be severely or extremely food insecure and these include eight programme districts of Keojhar, Kalahandi, Ganjam, Nuapada, Rayagada, Gajapati, Malkangiri and Kandhamal

86.

(ii) Scheduled Tribes and PTGs in Odisha

48. Odisha is home to the largest number of Scheduled Tribes (62) in India, with 23% of its population from among the tribes. The State has the third largest population of Scheduled Tribes (STs) and has the largest number (13) of PTGs

87 in the country.

49. PTGs constitute a small segment of the STs nationally, as well as in Odisha. They constitute about 9% of the total ST population in Odisha

88. Typically inhabiting the more interior forest regions

and often poorly connected areas, they tend to be located in specific geographic pockets with each endogamous tribe comprising a small population. Overall they are the most disadvantaged even among the ST and much more isolated from the mainstream than others STs. The Detailed Project Reports commissioned by GoO for the Conservation-cum-Development (CCD) programme paint a dismal picture, with single-digit female literacy rates in many cases, high incidence of landlessness, high proportion (in some cases every household in a village) below the poverty line, poor outreach of basic public services and physical isolation in the absence of roads and other communications infrastructure. As per data available form SC&ST Research and Training Institute, headcount poverty among PTGs is over 79%, 37% of them are landless and average landholding per household is 0.60 ha (less than 0.15 ha per capita).

89

(iii) Physical features

84

Source: Status of Agriculture, Orissa, 2008, Directorate of Agriculture & Food Production, GoO 85

Orissa Reference Annual 2005 (www.Orissa.gov.in) 86

Source: Food Security Atlas of Rural Orissa, United Nations World Food Programme, New Delhi, 2008 87

The term originally used by GoI was Primitive Tribal Groups and has now been replaced by Particularly Vulnerable Tribal

Groups, with the same abbreviation. Notified by GoI, PTGs have low rate of population growth or declining population, pre-

agricultural level of technology and extremely low literacy rates. There are 75 PTGs across 17 States and Union Territories in

India. 88

PTG data is from the 2001 census as data for the 2011 census is yet to be released. 89

Source: Micro-project Profile, SC&ST Research and Training Institute, SC&ST Development Department, Bhubaneswar.

http://www.orissa.gov.in/

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50. Physical features: Situated in the sub-tropical region, Odisha has a vastly varied topography and complex ecology, encompassing in its boundaries the sea coast and coastal plains of India in the east and forest covered low mountain ranges, including the 1,672 m high Deomali Hill in the south, and wide expanse of fairly open plains in the southwest and west, the table lands in the centre and the plateaus in the north. The Eastern Ghats stretching along the eastern coast of India run through the middle of the State with varying altitudes, in most cases below 1,000 m. It has five distinct physiographic regions, namely the coastal plains, the northern uplands, the erosive plains of Mahanadi and other river valleys, the south western hilly region and the western subdued plateau. Elevations range between 100 m and 600 m MSL

51. Climatic conditions: The State has a sub-humid climate, characterised by high temperatures and humidity during greater parts of the year, a short and mild winter and long and hot summer. Over 80% of the rain is brought by the south-west monsoon, breaking in the coastal areas in early June, engulfing the entire State by early July and ending by early to mid-October. The coastal region is visited by cyclonic storms of varying intensity almost every year, often causing major dislocation and destruction.

(iv) Natural resources in the Programme area

52. Location of the Programme districts: The programme would be implemented in specific pockets of 12 out of the 30 districts in the State, encompassing a small geography where the PTGs are concentrated. All these 12 programme districts are outside the coastal plains. Of these, Mayurbhanj, Keonjhar and Sundargarh districts and the programme areas of Angul and Deogarh districts are situated in the northern uplands that constitute the extension of the Chhotanagpur plateau; Kandhamal and Ganjam districts and the programme areas of Gajapati are in the south-western hilly region in the Eastern Ghats as are the project areas in Kalahandi, Malkangiri and Rayagada flanking the western subdued plateau. The Nuapada is in the Sonabeda plateau on the north-western fringes of the Mahanadi basin.

53. The OPELIP areas differ from each other in terms of their terrain features. The plateaus represent a rolling terrain, with wider valleys, interspersed with hilly outcrops. The hilly regions are steeper with narrow valleys. All the programme areas are in the remote and more rugged parts of the districts in forests and forest fringes.

54. Forest resources and podu cultivation: Forests are the single largest land use category in the programme districts except in Ganjam and Kalahandi where the PTG settlements are in the hilly enclave of otherwise a flat terrain comprising farmland. Since the PTGs generally live in forests and forest fringe villages and hamlets, the share of forest land, uncultivable wastelands and cultivable wastelands would be even higher in the programme areas than are generally reported. The land use data (typically collected by departments of agriculture or revenue) does not include land presently being used for podu (shifting) cultivation—an important category of land use as far as the PTGs are concerned—since such land use is presently treated as encroachment and is included in the overall area under forest if it is inside notified forests or various categories of wasteland if it is revenue land and is not part of any kind of notified forest. Estimates of land under shifting cultivation vary greatly and what does become clear is that podu has for a long time been a significant land use category in the ST habitat and this kind of cultivation has been most prevalent among the PTGs.

55. Similarly, forest and revenue land under settled cultivation by the PTGs and others without legal title is also treated as encroachment and therefore not recorded. Limited cultivated land, coupled with poorly developed agriculture implies limited availability of work as agricultural workers. On the other hand, the presence of extensive forests makes NTFP collection a potentially significant source of livelihoods.

56. Soil types: Typically, the soils found are red, red lateritic, yellow and brown forest soils, black soils in certain patches and alluvial in gentler plateaus and in valleys. Given high rainfall and a sloping terrain, soils suffer considerable leaching, would be acidic and deficient in nitrogen. Soils would tend to have adequate potash, moderate levels of phosphorus and organic carbon because of proximity to forests.

57. Water resources: Situated in forests and forest fringes in high rainfall regions, the programme area has abundant surface water resources with big and small perennial streams fed by several

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springs. However, due to the hilly terrain there are significant local variations with more water in villages situated in the foothills compared to villages in the steeper slopes and on plateaus.

58. Data regarding irrigation potential are not available. However, the Mission came across potential for small diversion based and lift-irrigation from springs and streams in most villages visited. The MPAs have implemented small diversion based irrigation projects in some of the villages, especially to provide irrigation during the kharif season by diverting rainwater runoff by constructing diversion weirs on seasonal and perennial streams and building earthen or cement concrete channels to the paddy fields. Overall there appear to be opportunities for more such projects and also for lifting water from streams.

59. Climate change effects: Indicative climate change effects across sectors projected by the State Government in the course of preparing its Climate Change Action Plan are presented in Table 12 and WP-11. Erratic rainfall and flooding would affect food production and food security. South-western Odisha, typically the most climate stressed region would be most affected though the coastal region where 40% of the State’s rice is produced would perhaps most affect food availability. Rising temperatures, leading to rising sea levels would lead to coastal erosion; sea water ingress and increasing threat of cyclones.

60. PTGs depend significantly on collection of NTFPs for their livelihoods. Various wild fruits, nuts

and flowers are a major part of the NTFP basket. Climate change can affect the production of these.

For example, unseasoned flowering of wild mango and mahua (Madhuca longifolia) as happened in

200090

can affect production of important NTFPs. Flowering of sal seed (Shorea robusta) also is

affected by climatic changes. Sal seed is an important NTFP in northern and eastern regions for the

PTGs. Lac cultivation is practiced extensively by PTGs in northern and eastern districts. The survival

of lac insect (Kerria lacca) is greatly affected by high temperatures.

B. Key Issues in Natural Resource Management

61. Use of natural resources of land, water and forests for various forms of agriculture and farm-based income generating activities and NTFP collection and processing are and will remain the livelihood anchors for the PTG as they are still largely in the pre-primary stages of economic development and the level of literacy even among children and youth is very low. Securing access to and improving the management of these resources is therefore a key to enhance PTG livelihood. The key issues pertaining to resource management that affect PTGs in particular and STs in general are summarised in the following.

(i) Land tenure and access to forests

62. Land tenure and access to forests: In most parts of India land ownership in tribal areas remains a vexed issue, rooted in the history of evolution of state forests. The situation is perhaps most complex in Odisha because of large area under forests, a large population of STs and the political history of the State in the recent past and corresponding changes in forest laws, policies and management.

63. Among all STs, the PTGs historically lived deeper inside forests and some, such as Birhors and Mankadias were nomadic until recently. Their transition from hunting gathering to podu (shifting cultivation) and eventually to settled farming has been slower and more recent than other STs. Podu even now remains a significant cultivation technique for a majority of the PTGs in the programme area and collection of NTFPs for consumption and trade remains a key contributor to livelihoods, often ahead of farming. Being late colonisers of farmland, there is high incidence of de jure landlessness among PTGs though most practice podu and/or settled cultivation on land classified as forests or Revenue wastes not assigned to them in government records.

64. Odisha has been the third best performer among States that have received and settled FRA claims behind Tripura and Kerala

91, having settled over 300,000 (over 60%) individual claims till June

2013. However, the average area per household over which claims have been settled is only 1.6 acres (against permitted 10 acres). According to the base line data collected by the State SC&ST Research Institute, about 70% of the PTG households in the MPA areas had been issued titles under

90

Centre for Science & Environment, Orissa Factsheet, http://www.freewebs.com/epgorissa/climateorissa.pdf 91

The two together issued less than half the titles issued in Odisha.

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FRA and the average area per household over which titles had been issued was 1.72 acres92

. Community rights recorded in the State to manage forest land were less than 2,000 till June 2013.

65. PTGs typically would be the least well served in the implementation of FRA or any other law for that matter as they have very low rates of literacy, are more remote and isolated than other STs and are least conversant with written laws and legal procedures among all STs. This was corroborated in the course of field visits by the Mission; some households had received titles for as little as 0.10 acre and often the recipients neither knew where the land was located nor had a map, which is mandatory under the law. Further, only 70% PTG households have been issued titles even after the Law has been on the Statutes for eight years where as virtually all PTGs practice podu and in many cases their settled farming itself is on land notified as forests. Also, the local governance institutions, such as the Gram/Palli sabha are less effective in PTG areas.

66. Landlessness among PTGs: Data about the extent of landlessness among PTGs in the State is not available. But a study conducted by the SC&ST Research and Training Institute, Bhubaneshwar

93

indicates about 37% PTGs as being landless. Data from the DPRs indicates 24% landless but also 26% as without house sites. Given that several PTGs principally practice podu for which is considered an illegal encroachment and others cultivate only small parcels of land, the extent of landlessness or near landlessness is likely to be high.

67. Section 2(d) of FRA defines forest land as: “forest land” means land of any description falling within any forest area and includes unclassified forests, undemarcated forests, existing or deemed forests, protected forests, reserved forests, Sanctuaries and National parks. This would mean not only forests under the control of the Forest Department but also those controlled by the Revenue Department are eligible for recording of rights. In the course of field visits the Mission came across instances where rights had not been recorded and no explanation given as the land in question was not under the purview of the Forest Department. Given the history of evolution of forests in Odisha, this may be an important issue.

68. Lack of secure access to land through legal title renders the PTG vulnerable to harassment by local functionaries of the Forest and Revenue agencies. In case of podu, which over the years has been looked down upon and eventually criminalised, restrictions on access intensify the use of whatever land the users have managed to occupy, leading to its degradation. Further, it creates no incentive for land development, such as terracing, making bunds, rainwater harvesting, etc. It also deprives the users of government programmes, such as MGNREGS and bank credit for investment on land as these require secure tenure and land records. Finally, lack of tenure dis-incentivises more sustainable land uses, such as horticulture that have long gestation periods. Insecurity of tenure thus not only impoverishes the PTGs but also perpetuates ecologically harmful land use systems.

(ii) Resource management practices

69. NTFP and agriculture: Gathering of NTFPs for consumption and trade is carried out by all PTGs and occupies a significant space in the PTGs’ livelihood basket. Some, such as Birhor, Mankirdia and Hill-Kharia are still largely dependent on hunting and gathering of NTFP. Bondo, Didayi, Juang, Dongaria Kandha, Kutia Kandha, Lanjia Saora and Paudi Bhuiyan carry out podu. Saora and Lanjia Saora are engaged in some terrace cultivation besides shifting cultivation and Lodha and Chuktia Bhunjia also have taken to settled cultivation. Overall, a combination of podu and some settled farming, including homestead cultivation, defines PTG agriculture. Cultivation of maize, a wide variety of millets, goda dhaan (short duration, rain-fed upland paddy) and other varieties of rain-fed paddy, beans and pulses (local variety of pigeon pea), Niger, mustard, sesame and tubers is carried out under podu as well as settled farming regimes. Among cereals, paddy and maize are more prevalent in the northern and central regions while maize and millets are more common in the south and west. 70. Podu cultivation: Podu continues to be a widespread farming practice among PTGs. Reliable and up-to-date estimates of land under podu in the State are not available. Further, interpretation of available data is difficult due to ambiguity about whether or not podu fallows (land left to regenerate in between cultivation periods) are considered as being under podu, and whether wastelands classified as scrub or degraded notified forest land also includes abandoned or fallow podu land. Podu land is

92

Micro-project Profile, SC&ST Research and Training Institute, GoO, SC&ST Development Department, Bhubaneswar 93

Micro-project Profile, op. cit

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typically used for three years with 3 to 7 year rotation cycles. There are also instances where erstwhile podu land is cultivated regularly

94 as alternative sites are not available due to restrictions on the use of

forests. As administration of forest laws becomes more stringent, access to forests becomes restricted, leading to shorter fallows. As podu cycles become shorter, there is limited time for regeneration, forests get reduced to scrub and podu productivity itself declines. Thus, mere restrictions on podu without providing secure titles and systematic attempts to enable cultivators to convert podu lands into a viable settled cultivation regime, such as a combination of land and rainwater management, planting of horticultural crops and introducing alley cropping could have counterintuitive ecological effects.

71. Constraints to settled agriculture: PTGs are new to settled cultivation unlike the other STs. Coverage under settled cultivation is quite limited both by availability of land as well as limited know-how, lack of extension services and absence of draft power. Cultivation of a second (winter) crop is by and large absent. Where settled cultivation is being carried out there has been no land development, leading to high run-off and soil erosion during the monsoons. Rainwater during the monsoons in some cases is diverted to fields where settled cultivation of paddy is carried out. However, there has been minimal development of available surface water resources, such as springs, streams and rivers. Most villages do have perennial or semi-perennial streams nearby that could be tapped economically for irrigation. Quality of farm tools, such as wooden plough is very poor. Overall, productivity is very low and modern farming techniques were conspicuous by their absence in most villages visited by the Mission except in small oases promoted by MPA or local NGOs. Homestead land is only marginally used for cultivation.

(iii) Mining Leases and the Rights of Gram Sabhas

72. Mining is an important economic activity in Odisha, accounting for 7.5% of the State’s GDP95

(agriculture 17.5%) in 2011-12. Coal, iron ore and bauxite are the principal mining products of the State. Iron ore is a major export from the State, accounting for 96.2% of the minerals exported from the State. Mining is primarily in the northern districts of Angul, Sundargarh, Jharsuguda, Sambalpur, eastern districts of Keonjhar and Mayurbhanj and southern districts of Rayagada, Kalahandi and Koraput. The northern districts primarily produce coal; the eastern districts iron ore and the southern districts bauxite.

73. Mining has been a major arena of contestation for the STs, with the famous Niyamgiri mining case that reached India’s Supreme Court. In a landmark judgement, the Supreme Court decided that under the provisions of the Forest Rights Act, STs had a right to decide whether or not to permit mining on lands traditionally used and managed by them

96. As per the judgement, the Dongaria

Kondhs, one of the PTGs covered under this programme in the Niyamgiri Hills across Rayagada and Kalahandi were to decide by conducting Gram Sabhas as per the provisions of PESA whether the mining leases granted by the government in their habitat were to be allowed. To ensure that the Gram Sabhas were free and fair the Court also directed that the proceedings be held in the presence of the local District Judge. The Dongaria Kondha decided not to permit mining and the mining license was thus revoked

97.

74. Other than this particular instance where the mining license has now been revoked, none of the programme sites are presently earmarked for mining.

Legal and Institutional Framework for Environmental and Natural Resources Management

The various policy pronouncements of the Government of India acknowledge the need to strike a

balance between development and environmental conservation. Conservation issues came to the fore

from the mid-1970s, culminating in the 1980 Conservation Act, somewhat tipping the balance towards

conservation. The subsequent policy pronouncements, such as the 1992 Conservation Policy and

Strategy Statement and its sequel in 2006 seek to bring back the balance, clearly articulating

concerns about livelihood security for the poor. India is a signatory to International Agreements and

94

Perhaps the land listed as “underutilized degraded notified forest land (agriculture) in Table 6 represents podu land now

being used regularly for farming. 95

Government of Odisha, Economic Survey 2012-13. 96

http://www.thehindu.com/news/national/other-states/court-directs-gram-sabhas-to-take-a-call-on-vedantas-mining-

project/article4629659.ece 97

http://www.downtoearth.org.in/content/niyamgiri-answers

http://www.downtoearth.org.in/content/niyamgiri-answers

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Conventions on Biological Diversity and Desertification. The key legislations and policies that regulate

the use of environmental and natural resources, including relevant Odisha State laws and policies are:

Forest (Conservation) Act, 1980 with Amendments made in 1988; which controls the delineation

of forest areas for non-forest uses. The Rules under the Act get amended from time to time, the

latest being Forest (Conservation) Amendment Rules, 2004.

GoI JFM Circular of June 1990 and the subsequent Guidelines in 2000 and 2002 regarding

Joint Forest management based on Forest Conservation Act 1988.

The Wildlife (Protection) Act 1972 (last amended in 2006); which provides guidelines for the

management of wildlife and protected areas by both the central government and the states in

the respective areas under their jurisdiction.

The Environment Act (amended in 1993); which deals exclusively with environmental issues

and regulations. The GoI's Environmental Assessment Policy states that all policies,

programmes and projects, including formal land-use activities, which may have a significant

impact on the environment, must be subjected to an Environmental Impact Assessment (EIA).

The National Conservation Strategy and Policy Statement on Environment and Development

adopted by GoI in June, 1992 provide the basis for integration of environmental concerns in the

policies and programmes of different sectors. It emphasizes sustainable lifestyles and the

proper management and conservation of resources.

National Environment Policy, 2006: The major principles of the policy include the right to

development and equity along with environmental standard setting and a precautionary

approach. The key objectives enunciated in the policy are: conservation of critical environment,

livelihood security for the poor, integration of environmental concerns in development,

efficiency in using environmental resources, good governance in environmental management

and enhancement of resources for environmental conservation

The Panchayats (Extension to The Scheduled Areas) Act, 1996: The Act is applicable to the

Fifth Schedule areas and draws its force from the Fifth Schedule of the Indian Constitution. The

concept of creating Scheduled areas was drawn by the makers of India’s Constitution from the

notion of “partially excluded” (Schedule V) and “excluded” (Schedule VI) areas acknowledged

by the colonial government,98

granting tribes full (in the northeast) or partial (mainland India)

autonomy in local governance according to extant customs, including administration of natural

resources. Inter alia, it states: “Every Gram Sabha shall be competent to safeguard and

preserve the traditions and customs of the people, their cultural identity, community resources

and the customary mode of dispute resolution. Every Gram Sabha shall approve the plans,

programmes and projects for social and economic development before such plans,

programmes and projects are taken up for implementation by the Panchayat at the village level

and be responsible for the identification or selection of persons as beneficiaries under the

poverty alleviation and other programmes.” This Act vests the ownership of Minor Forest

Produce on Gram Panchayats in Scheduled areas. The decision of Government of Orissa to do

away with the monopolies in collection and trading in 69 items of MFP is in consonance with

the spirit of PESA Act.

The Scheduled Tribes and Other Traditional Forest Dwellers (Recognition of Forest Rights) Act,

2006: this Act seeks to soften the effects of the Forest Conservation Act 1980 on STs recorded

as ‘encroachers’ or illegal occupants of forest land.

Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and

Resettlement Act, 2013 (30 of 2013): This law became effective from 1 January 2014 and

98

The Government of India (Excluded and Partially Excluded Areas) Order 1936

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provides for an elaborate process, including social and environmental impact assessment, and

payment of fair compensation in land acquisition.

Mines and Minerals (Development and Regulation) Act, 1957

Orissa Survey and Settlement Act (1958)

Orissa Prevention of Land Encroachment Act 1972 (Amended in 1982): The 1982 amendment

for settlement of two (later amended to one) ‘standard acres’99

of 'unobjectionable' land (i.e.

government wasteland) with 'eligible' beneficiaries (e.g. landless).

The Orissa Government Land Settlement Act, 1962

The Orissa Land Reforms Act, 1960

Odisha Joint Forest Management Resolution, 2011

Mo Jami Mo Diha (My Land and My Homestead), programme launched by GoO in 2007 to

ensure possession of alienated homestead and land within a stipulated time

75. The progressive policies and laws that attempt to create a balance between the development

goals, especially those affecting poor people, especially the STs, often suffer due to poor

implementation. Limited administrative capacity in the implementing agencies, overlapping

responsibilities (sometimes even contradictory provisions of different laws/policies) a general apathy

and absence of a redress mechanism are the key constraints to effective implementation of laws and

policies.

76. Institutional framework: The institutional setup involves a number of national, regional and State

institutions responsible for the management of the environment and natural resources in the project

area. At the National level, the Ministry of Forests and Environment is responsible for the

implementation of forest and environment related laws and policies and Acts. The Forestry

Department, through its District Forest Officers, is responsible for the management of the state forests

and the control of various rights. Village community participation in forestry is encouraged through

Joint Forestry Management (JFM) programmes. Vana Samrakshyana Samiti (VSS) have been

established in villages where JFMs are already in place. At the State level, the Integrated Tribal

Development Agency is responsible for empowering the tribal communities to gain greater control

over their own development and to manage their natural resources. Laws pertaining to government

land outside the state forests are implemented by the Revenue Department headed at the district

level by the Deputy Commissioner.

D. Potential Social and Environmental Impacts and Risks of OPELIP

(i) Social impacts and risks

77. OPELIP will lead to a number of positive social impacts. It will work in a focused and intensive way with the most isolated and marginalised social groups in India, the PTGs. It will prioritize working with women-headed households, those without homestead sites and landless and also reach out to other disadvantaged communities such as STs and SCs. Programme interventions, especially those envisaged under the Community Empowerment component, will enhance women’s self-confidence and lead to their overall empowerment, by organising them, providing opportunities and skills to participate in decision-making processes in the community. Women and men from target households will learn new skills in farming and learn about and exercise their rights and entitlements. They will also learn new livelihood skills. Food and nutrition security would be enhanced with increased crop productivity and production of nutrition dense crops. Community-based institutions promoted by the

99

As per the Orissa Land Reforms Act, 1960, ‘standard acre’ is a measure of land equivalent to one acre of Class I land, 1.5

acres of Class II land, 3 acres of Class III land or 4.5 acres of Class IV land. Class I land is irrigated land in which two or more

crops can be grown in a year, Class II land is irrigated land in which only one crop can be grown in a year, Class III land is un-

irrigated land in which paddy can be grown once in a year and Class IV land is all other land.

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programme will enable the PTGs and other vulnerable groups to deal more effectively with the wider socio-economic environment. Secure titles to homesteads and land for cultivation under FRA and various State Government programmes will provide social, economic and livelihood security to the PTGs, restore their sense of dignity, reduce livelihood risks, reduce vulnerability to harassment by local officials and moderate conflicts arising from competing claims on land notified as forest in the past without regard to due processes. CRPs, CSPs and women and men as members of the VDC and as SHG leaders will gain experience of managing community affairs and economic projects. Overall the community leadership pool in the programme villages will be enhanced. Improved road connectivity would facilitate PTGs to access economic opportunities and various public services. Activities aimed at reduction of drudgery would reduce women’s workload and enhance women’s quality of life.

78. No major social risks are anticipated from the programme.

(ii) Environmental impacts and risks

79. Overall, OPELIP will have positive impacts on the natural resources and environment. Under the NRM and livelihoods component, the programme would ensure secure titles to PTG households on land under their de facto occupation, thereby incentivising them to adopt more sustainable land use regimes, make investments on land development and minimise further encroachment of forest land. The programme would also promote land development, rainwater harvesting and soil conservation activities, such as land levelling, making field bunds, terracing, check dams, etc. This, besides reducing soil erosion would improve rainwater percolation, leading to rejuvenation of springs, improvement in micro-climate locally and enhanced availability of surface and groundwater in the post-monsoon period. Development of localised, small scale irrigation would lead to intensive cultivation of land more suitable for settled farming, reduce post-kharif fallows that cause soil degradation and promote better use of presently idle and poorly kept homestead lands. Promotion of horticulture and resource conservation activities on podu lands would arrest and reverse land degradation. Development of community forests on degraded forest land allocated under Community Rights provision of FRA would reverse degradation of these lands and reduce pressure on existing forests. As he programme areas are sparsely populated and rich in surface water resources in the form of springs and streams, the pressure on water resources due to intensification is likely to be minimal. Also, as the programme would emphasize cultivation of traditional nutrition dense crops, such as millets and pulses, the demand on water and use of chemical inputs is expected to be minimal.

E. Environmental Category

80. OPELIP is not likely to have any adverse environmental impacts on the programme area. The programme envisages working in only 84 out of the 6,234 Gram Panchayats in the State; it would have no adverse global environmental effects for the State. It will instead have beneficial impacts through the development of an environmentally sensitive approach including the development of plantations, community forestry, soil and water conservation measures, rainwater harvesting, etc. However, it is by requirement classified as Category B as it will operate in fragile areas with poor quality soils.

F. Components Requiring Environmental & Social Assessment

81. There is no need for further information to complete the ESA. There are no components that would require an ESA.

G. Recommended Features of Project Design and Implementation to Improve NRM and

Mitigate Environmental Concerns

82. Development activities taken up under the programme would inevitably be site specific, vary across MPAs and these would be spelt out in the course of preparing the Village Development Plans. In designing OPELIP activities in the course of village planning, the programme should take into account the nature of the terrain, the physical and social isolation of target communities and their limited know-how regarding intensive resource use regime. Some broad considerations to be taken on board at the time of village planning are outlined below:

(a) Site characteristics should be carefully considered while designing land and water development activities. For example, terracing should not be taken up on shallow soils and

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on steep slopes.

(b) As far as possible, use of open channels should be avoided to convey irrigation water and PVC should be used as it is virtually maintenance free and uses much less ground space. Similarly, as far as possible electric water lifting devices should be used as these require less maintenance and inputs such as diesel not locally available.

(c) Rights of existing downstream uses of water, if any, should be ascertained while designing irrigation projects to minimise water-use conflicts and ensure equitable resource use. Priority should be accorded to domestic water use over irrigation use.

(d) Earthen tiles should be used while constructing houses and various community buildings in place of the cement tiles that are being used widely at present in various government housing programmes. Village people met in the course of field visits by the Mission said cement tiles trap heat inside the house.

(e) Care should be taken to provide adequate drainage while constructing CC roads and lanes inside the village as well as in constructing village roads. Disposal of waste water should similarly be taken care of while installing drinking water facilities as malaria is endemic in the programme area.

(f) Village roads should be designed to minimize negative impact on the local environment. Roads should be aligned to ensure minimum or no felling of trees and minimal risk of soil erosion and landslides. In this respect, existing alignments would be improved, upgraded and strengthened.

(g) As far as possible green manure and composts should be used rather than chemical fertilisers.

(h) Promotion of locally cultivated crops should be encouraged rather than inducting exotics and hybrids. The programme villages are repositories of a rich endowment of food crops that are nutrition dense and climate resilient. These must be harnessed.

(i) Community forestry to be taken up by the programme should strike a judicious balance between local varieties of firewood, forage and NTFP yielding species and new species.

(j) In taking up horticulture a balance should be sought between species such as cashew nut that require less management and water but have distant and specialised markets, drumstick and papaya that can be a source of nutrition for the family and mango, litchi, etc. that are more remunerative, quick yielding and have a local market but require better management.

H. Consultation with Beneficiaries, Civil Society and General Public

83. The mission interacted with the rural communities and village leaders from the programme areas during both the inception mission in November 2013 and design mission in March 2014. Consultations were also held with NGOs. Additionally, the mission consulted concerned government agencies, OTELP staff, the Vice Chancellor and senior faculty of Odisha University of Agriculture and Technology, SRLM Directorate, etc.

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Odisha PTG Empowerment and Livelihood Improvement Programme


Appendix 13: Contents of the Project Life File

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Appendix 13: Contents of the Project Life File

Project Reported submitted by GoO to IFAD

Draft Inception Report

Project Concept Note

Pre-formulation study report: Kandhamal, Kalahandi and Naupada

Pre-formulation study report: Mayurbhanj, Keonjhar, Sundergarh, Deogarh & Angul districts

Pre-formulation study report: Gajapati, Rayagada and Malkanagiri districts

Aide Memoire of the Inception Mission (November 2013)

Aide Memoire of Detailed Design Mission (March 2014)

Aide Memoire of Design Completion Mission (July 2014)

PDR Main Report of Detailed Design Mission April 2014

Programme Design Mission: KEY FILES (1 to 5)

List of Working Papers of Design Completion Mission

OPELIP WP-1: Socio-economic Profiles of PTG Communities

OPELIP WP-2: Poverty, Targeting and Gender

OPELIP WP-3: SHG and Rural Financial Services

OPELIP WP-4: Community Institutions Development

OPELIP WP-5 Natural Resource Management

OPELIP WP-6: Livelihoods Improvement

OPELIP WP-7: Community Infrastructure and Drudgery reduction

OPELIP WP-8: Mainstreaming Nutrition into OPELIP

OPELIP WP-9: Programme Costs and Financing

OPELIP WP-10 Economic and Financial Analysis

OPELIP WP-11 Environmental Screening and Scoping Note

OPELIP WP-12 Monitoring and Evaluation and Knowledge Management