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Knowledge Needs Assessment Study Research Study Series Number 124 Synthesis Report PEARL-CA PROJECT 2013
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Knowledge Needs Assessment Study

Research Study Series Number 124

Synthesis Report

PEARL-CA PROJECT 2013

KNOWLEDGE NEEDS ASSESSMENT STUDY

Synthesis Report

Faridabad, Amritsar, Patna, Visakhapatnam, Coimbatore and Bhubaneswar

April 2013

NIUA Research Study Series Number 124

Prepared by

National Institute of Urban Affairs, New Delhi

In association with

School of Planning, Centre for Environmental Planning and Technology,Ahmedabad

With support of

Cities Alliance The World Bank Institute

i

PROJECT TEAM

ational Institute of Urban Affairs

Centre for Environmental Planning and Technology

Advisors

N

Director Jagan Shah

Coordinator PEARL Program Debjani Ghosh

Urban Specialist

and Lead Author Satmohini Isha Srivastava Ray

Research Team Poornima Singh

Kanha Ram Godha

Coordinator Saswat Bandyopadhyay

Research Associate Sarbeshwar Praharaj

D. Ajay Suri, Cities Alliance

Andre Herzog, World Bank Institute

Emil Francis de Quiros, World Bank Institute

Chetan Vaidya, NIUA

Vijay Dhar, NIUA

iiiii

The launch of Jawaharlal Nehru National Urban Renewal Mission (JNNURM) in 2005 brought about

a sea-change in the way urban areas are managed across India. However, even eight years

thereafter, urban local bodies are struggling to implement reforms, and to implement

infrastructure projects in a timely and cost effective manner. Efforts at capacity building of urban

local bodies have been deficient, both in terms of scope as well as the long term institutionalisation

of capacities.

To respond to this challenge, the Ministry of Urban Development, Government of India set-up a

Peer Experience and Reflective Learning (PEARL) Network with the purpose of providing

knowledge management solutions in JNNURM cities as well as networking them. The National

Institute of Urban Affairs (NIUA) has been serving as the National Coordinator of PEARL since its

inception. To bring in international knowledge and expertise into the network, NIUA teamed up

with Cities Alliance and World Bank Institute to create a Knowledge Network Support Unit (KNSU)

housed within NIUA.

Experience from around the world suggests that urban local bodies in India need to invest in

systematic knowledge management. Rather than depending solely on capacity building activities

that target individual capacity, the ULB should pursue institutionalisation of the capacity that is

created.

In the above context, this knowledge needs assessment (KNA) study is the need of the hour. For the

first time, internal processes and knowledge flow dimensions have been assessed to determine

how well knowledge flows happen. The study disaggregates findings according to various

hierarchies in urban local bodies making it more useful for planning knowledge management

interventions. The report indicates the need to include governance reforms within urban local

bodies to complement capacity building initiatives so that the knowledge can be sustained in the

mid- to long-run. The report also presents a number of useful recommendations, some of them

easily achievable, in terms of knowledge interventions that can create a lasting impact.

The KNA tool has been developed and presented in a manner that other urban local bodies can

undertake a self-assessment of their knowledge needs. I hope that all JNNURM urban local bodies

use this tool to undertake a self-assessment of knowledge needs to derive key barriers and

challenges to effective knowledge management. This will help them create sustainable capacities

within their institutions.

Jagan A. Shah

Director

FOREWORD

viv

The need to undertake a knowledge needs assessment study emerged from an international

workshop on knowledge management organised by National Institute of Urban Affairs in 2011 with

knowledge support of World Bank Institute and Cities Alliance, and under aegis of the Ministry of

Urban Development, Government of India. The workshop established a general consensus that in

context of achieving improved implementation of the Jawaharlal Nehru National Urban Renewal

Mission in target urban local bodies, India needs to move from traditional approaches of capacity

building towards a more holistic approach of knowledge management. However, knowledge

management being a relatively new area with limited international evidence - and almost no

national evidence - on what works, it was agreed that the first step would be to develop a KNA tool

and pilot KNA studies across selected ULBs.

Thus started a long partnership between Centre for Environmental Planning and Technology (CEPT)

Ahmedabad and NIUA; between the two, pilot KNA studies for eight urban local bodies were

undertaken. Of these eight, two were undertaken in the first phase based on which the KNA tool

was finalised, thereafter being followed by six additional studies in the second phase. This

Synthesis Report presents the overall findings of the six city KNA studies. I hope urban local bodies

and other stakeholders find conclusions of this report useful, both in terms of structuring

knowledge management interventions in urban local bodies, as well as for using the KNA tool for

purposes of self-assessment.

The journey of preparing this report has been long and arduous - yet professionally fulfilling - taking

close to two years to complete all stages of the study. The study faced numerous challenges which

the team overcame using alternate approaches. Lack of data and information pertaining to skills

and knowledge management, as well as lack of a culture of undertaking self-evaluation in Indian

urban local bodies were the two biggest challenges that we overcame.

The report is structured into three sections. The first section introduces the study and presents the

methodological aspects of the study. The second section presents the on-ground situation

observed across the pilot cities where the KNA was undertaken, while the third section presents

the overall trends and barriers identified along with a way forward. A series of annexes providing

detailed data and information collected are available in respective KNA study reports for the six

cities prepared by NIUA and CEPT.

There are innumerable people to thank whose support ensured that this report would reach its

logical conclusion. Unfortunately, there is space to mention just a few. Foremost, I thank staff and

officials of urban local bodies who supported us in this endeavour not only in terms of giving their

PREFACE

viivi

CONTENTS

ixviii

valuable time but also in terms of providing insightful inputs towards development of the KNA tool.

Thanks are due to Saswat Bandyopadhyay and Sarbeswar Praharaj from CEPT for their

resourcefulness and thought leadership, to Ajay Suri from Cities Alliance for his counselling,

troubleshooting and technical guidance, and to Andre Herzog, Emil Francis de Quiros, Victor

Vergara and Bhavna Bhatia from World Bank Institute for their knowledge guidance and support.

This report would have never seen the light of the day if NIUA had not bestowed its faith in my

ability to deliver this product; a special thanks to Jagan Shah Director NIUA, Debjani Ghosh

Coordinator PEARL, Kanha Ram, and Poornima Singh for their continued support, as well as to

Chetan Vaidya and Vijay Dhar for their guidance in the early stages of the study.

It was a privilege to work on this study and I sincerely hope the evidence it generates helps various

stakeholders in their respective domains develop informed interventions that create a better

knowledge environment within urban local bodies, something which is critical to take our cities,

and with it our country, into the next level of functioning.

Satmohini Ray

CONTENTS

PROJECT TEAM iii

FOREWORD v

PREFACE vii

List of Tables xi

List of Figures xii

Abbreviations xiii

SECTION 1 – BACKGROUND 1

1. Introduction 1

1.1 Purpose 1

1.2 Background 1

1.3 Need for Knowledge Management 2

1.4 Objectives 2

1.5 Rationale for City Selection 3

1.6 Methodology 3

1.7 Stakeholder Engagement 5

1.8 Project Organisation Structure 5

1.9 Structure of Report 6

2. Project Planning and Management 7

2.1 Risk and Limitations of KNA 7

2.2 Framework for Identification of KNAs 8

SECTION 2 – CASE STUDY FINDINGS 10

3. Current Status 10

3.1 City Profiles 10

3.2 Governance Structures 11

3.3 Staffing Pattern 15

3.4 Working Areas, Qualification and Language Proficiency 15

Table 3.1

Table 3.2

Table 3.3

Table 3.4

Table 3.5

Table 3.6

Table 3.7

Table 3.8

Table 3.9

Table 4.1

Table 4.2(a)

Table 4.2(b)

Table 4.2(c)

Table 4.2(d)

Table 4.3

Table 4.4

Table 4.5

Table 5.1

Demographic Information of Pilot ULBs 9

Profile of Pilot ULBs 9

Comparative Governance Structures 11

Key Institutions and Individuals Involved in

Implementation of JNNURM 13

Department-Wise and Class-Wise Staffing Patterns 15

Department-Wise Staff Skill and Proficiency Levels 16

Status of JNNURM Reforms 18

Status of JNNURM Projects 20

Reforms and Projects selected for Detailed Study 22

Stakeholder Mapping for Target Projects 23

Information Flow Analysis and Gap Assessment

for Senior Decision Makers 27

Information Flow Analysis and Gap Assessment for

Senior Technical Officers 29

Information Flow Analysis and Gap Assessment for

Mid-Level Officers 30

Information Flow Analysis and Gap Assessment

for Junior Officers 31

Commonly Used Information, Knowledge and Capacity

Development Products in ULBs 34

Information/Knowledge Needs Identified in ULBs 35

Critical Barriers Identified on Access to

Knowledge/Information in ULBs 37

Key Observations and Recommendations 39

LIST OF TABLES

xix

3.5 Status of JNNURM Reforms 18

3.6 Status of JNNURM Projects 20

3.7 Selection of Projects and Reforms for Study 21

4. Key Findings 21

4.1 Stakeholder mapping 21

4.2 Project Cycle Analysis 24

4.3 Information Network and Flow 26

4.4 Commonly Used Information, Knowledge and

Capacity Development Products 31

4.5 Information/Knowledge Needs and Summary of

Major Barriers Identified 31

SECTION 3 –WAY FORWARD 36

5. Study Findings and Way Forward 36

5.1 Observations and Recommendations 36

5.2 Way Forward 39

ANNEX 43

Annex 1.1 List of People Met 41

Annex 3.1(a) Administrative Structure, etc. 43

Annex 3.1(b) Organisation Structure of Studied City Corporations 45

Annex 3.2 JNNURM Reform Scorecard for selected cities 51

Figure 1.1 Stages of a KNA Exercise 4

Figure 1.2 KNA Study Project Organisation Structure 5

Figure 2.1 Five Stages Identified for Assessment of Existing Level of Information 7

Figure 2.2 The Six-Criteria Model for Assessing Flow of Information 8

Figure 4.1 Stakeholder Map 25

Figure 4.2 Project Development and Implementation Timelines 26

AMC :

BMC :

BUIDCo :

CDP :

CEPT :

CMC :

CMOH :

CPHEEO :

DEAS :

DPR :

GOI :

GVMC :

HUIDB :

JNNURM :

JNNURM-2 :

KM :

KNA :

KNSU :

M&E :

MCF :

MEPMA :

MoUD :

NBCC :

NGO :

NIUA :

O&M :

OD :

PEARL :

PMC :

PPP :

SPUR :

SWM :

ULB :

VUTCL :

WBI :

Amritsar Municipal Corporation

Bhubaneswar Municipal Corporation

Bihar Urban Infrastructure Development Company

City Development Plan

Centre for Environment Planning and Technology

Coimbatore Municipal Corporation

Chief Medical Officer, Health

Central Public Health and Environmental Engineering Organisation

Double Entry Accounting System

Detailed Project Report

Government of India

Greater Visakhapatnam Municipal Corporation

Haryana Urban Infrastructure Development Board

Jawaharlal Nehru National Urban Renewal Mission

Jawaharlal Nehru National Urban Renewal Mission Phase-II

Knowledge Management

Knowledge Needs Assessment

Knowledge Network Support Unit

Monitoring and Evaluation

Municipal Corporation of Faridabad

Mission for Elimination of Poverty in Municipal Areas

Ministry of Urban Development

National Buildings Construction Corporation Limited

Non-government Organisation

National Institute of Urban Affairs

Operation and Maintenance

Organisation Development

Peer Experience and Reflective Learning Network

Patna Municipal Corporation

Public Private Participation

Support Program for Urban Reforms in Bihar

Solid Waste Management

Urban Local Body

Visakhapatnam Urban Transport Company Limited

World Bank Institute

LIST OF FIGURES ABBREVIATIONS

xiiixii

1. Introduction

This report presents a synthesis of findings of knowledge needs assessment (KNA) studies

undertaken for six cities in India viz., Faridabad, Amritsar, Patna, Visakhapatnam, Coimbatore and

Bhubaneswar.

The purpose of this report is to inform knowledge management and capacity building initiatives

currently being undertaken through the Peer Experience and Reflective Learning Network(PEARL)

that was set-up by the Ministry of Urban Development (MoUD), Government of India (GOI)

towards providing knowledge management solutions in cities accessing the Jawaharlal Nehru

National Urban Renewal Mission (JNNURM).

National Institute of Urban Affairs (NIUA) is the National Coordinator of PEARL under JNNURM. A

PEARL Knowledge Network Support Unit (KNSU) has been set up by NIUA towards providing

knowledge management solutions in JNNURM cities; the Cities Alliance and the World Bank

Institute (WBI) are providing technical support to this initiative.

The challenge on JNNURM is two‐fold: low know‐how to implement reform components, and weak

capacities to structure and implement large infrastructure projects. The Knowledge Management

(KM) support being provided by KNSU is expected to facilitate PEARL provide state-of-art and

informed knowledge management support, with the overall purpose of ensuring that targeted

cities are able to access JNNURM better.

As part of the KM support exercise, KNSU commissioned two KNA studies for the west zone cities of

Rajkot and Ahmadabad as part of a pilot phase; the learning from these studies was shared at a

workshop in Ahmadabad on 8 April 2011. Based on the deliberations, it was decided to scale up the

pilot to six additional cities in India based on which comprehensive KM strategies and action plans

can be developed for JNNURM cities. Findings from these six additional cities were shared at a

workshop in Delhi on 27 April 2012. Feedbacks received were subsequently incorporated into

these individual KNA studies, and work initiated on preparation of a report to synthesise findings

from these individual KNA studies.

1.1 Purpose

1.2 Background

01xiv

The findings and recommendations of this report, as well as its timings, are opportune considering

that GOI is in the process of preparing and launching the second phase of JNNURM (JNNURM-2).

JNNURM-2 is likely to substantially increase emphasis on strengthening and internalisation of

capacities at the urban local body (ULB) level through improved knowledge management. Findings

of this report could facilitate decision makers in understanding where knowledge management

interventions need to be targeted.

The capacity building component set up under JNNURM (5% of the total sanction central

allocations) has not been very successful in delivering desired outcomes and envisioned results, as

demonstrated by JNNURM performance so far. The capacity building approach, so far, has been

inclined towards delivering structured training to ULBs and state officials. Lessons learnt

demonstrate a need to strengthen knowledge management – improving knowledge sharing and

learning. Key tenets of knowledge management include:

• focus on improving self‐knowledge as a sustainable means of creating institutional

capacities;

• identify barriers that impede knowledge development and address these – these barriers

could be organizational‐specific or program‐specific; and

• identify means of overcoming such barriers.

This study will help to:

• assess knowledge needs of cities to implement urban reforms and urban infrastructure

projects under JNNURM and JNNURM-2;

• identify benefits that ULBs (and state institutions) perceive will accrue to them from

peer‐/shared‐learning;

• assess the current state of learning, including obstacles and opportunities; and

• create the basic framework for knowledge management ‐ design an organizational and/or

program for knowledge support and sharing.

1.3 Need for Knowledge Management

1.4 Objectives

1.5 Rationale for City Selection

1.6. Methodology

A city ranking of all JNNURM cities of north, east and south India was undertaken based on the

following criteria:

• Population size ‐ cities with above 4 million population were scored 1, between 1‐4 million

were scored 2, below 1 million were scored 1 on the assumption that cities with population

of 1‐4 million are traditionally constrained by weak capacities to implement large

infrastructure projects, while cities with 4 million plus population have capacities to do so.

Cities with less than 1 million population were scored low on the assumption that the

magnitude of problems are not as critical as in the previous brackets.

• Proportion of ACA released for UIG projects ‐ states above 50% release as of December

2010 were scored 1, cities achieving between 30‐50% release were scored 2, while those

with below 30% release scored 3 on the assumption that cities with higher ACA utilization

have existing capacities to implement large infrastructure projects.

• City level (mandatory + optional) reforms implemented ‐ cities while had managed to

implement 80% of city‐level reforms as of Dec 2010 were scored 1; cities with 40‐80%

reforms completed were scored 2, while cities below 40% reforms completed were scored

3.

Based on the above criteria, cities/towns with highest scores were considered the weakest and

targeted for purpose of this study. The final list of six cities was selected from this lot based on ease

of access and probability of getting information from these cities.

KNA targeting local governments has hitherto been an uncharted territory in India. This mandated

the need to develop an approach that allowed flexibility for modifications based on initial learning

from the first two pilots undertaken earlier (Ahmadabad and Rajkot). The following approach was

developed in a consultative manner by all key stakeholders, both towards undertaking the KNA as

well as being able to adopt a critical approach towards testing the methodology for further

refinements.

1. Stakeholder consultation/participation ensuring buy‐in of all stakeholders. This had two

objectives: (a) having common understanding of objectives of knowledge support and

sharing (overall program), its challenges, and likely rewards; and (b) creating opportunity

0302

for stakeholder buy‐in and commitment (through open participation) and stimulate

dialogue and exploration about knowledge support and sharing.

2. Stakeholder mapping ensuring inclusion of all officials and staff (at all levels), elected

representatives, and other concerned stakeholders.

3. Assessing present levels of ULBs knowledge support and sharing assets and activities. This

included (a) identifying where institutional knowledge is located (including possible

repositories), and (b) identifying patterns of knowledge flow in the ULB. The latter being an

intensive and complex exercise focused on: (a) assessing needs of the ULB with respect to

JNNURM reforms and project implementation, (b) identifying unmet needs and capacity

gaps, and (c) identifying barriers for overcoming above needs. Identifying unmet needs and

capacities was further structured in respect to (a) staff (skills, incentives, and time), and (b)

program (procedures, tools, etc.).

4. Learning from past which included identifying (i) key learning from the past, (ii) behavioural

changes required for improved knowledge support and sharing, (iii) performance

incentives/disincentives required, (iv) stakeholder perception of potential solutions, and

(v) likely costs and benefits of potential solutions.

5. Identifying quick wins based on solutions identified above, i.e., solutions that are easy to

accept, easy to implement, and have the greatest returns – implementation focus should be

on these in the short‐term.

6. Balancing between organization and programmatic needs assessment was critical as a

programmatic need assessment alone could have missed out the overall context in which

the ULB works, while an organization needs assessment alone could have missed out the

finer details that lead to success/failure of JNNURM implementation. A balanced mix

between the two was therefore used.

Key target areas suggested for the assessment included (i) strategy formulation (including city

development plan, spatial plan and linkages with annual budgeting exercise), (ii) governance

(including assessing whether ULB is structured to respond to JNNURM challenges and citizen's

demand for quality services) (iii) culture and behaviours (norms and attitudes towards work, etc.),

(iv) technology and tools (in context of JNNURM and ULB as a whole), (v) policy, incentives and

participatory approach to planning and service delivery, (in context of JNNURM and ULB as a

whole), and (vi) monitoring and evaluation. Figure 1.1 presents the stages of the KNA exercises

undertaken.

1.7 Stakeholder Engagement

1.8 Project Organisation Structure

As can be seen from Figure 1.1, the entire exercise underwent a number of stakeholder

consultations. These consultations were held at city and state level while undertaking the city KNA

studies, while three national workshops were held to develop the approach and share findings of

the key outputs of the study. A list of key stakeholders engaged with is in Annex 1.1.

The KNSU is based out of NIUA and engages directly with the PEARL network housed out of NIUA.

The Director NIUA is the Project Director for this study; the team is extended technical support by

WBI and Cities Alliance. Centre for Environment Planning and Technology (CEPT) Ahmedabad is

NIUA's project partner in the initiative. The Project Director engages and reports directly to MoUD.

The project organisation structure is in Figure 1.2.

Figure 1.1: Stages of a KNA Exercise

0504

Collection of City Corporate PlanCollection of DPR's for UIG projects (city wise)Implementation status of UIG projectsImplementation status of Reforms (covering pro-poor reforms)

Collection of data regarding governance structureOrganogram of various departments in MCFStaffing pattern, filled and vacant posts, academic qualificatiion,experience and present responsibilities, etc.

Identification of staffs involvedin various stagesDiscussing access to information sources by both internal and external staffsDiscussion on various barriers in knowledge flow

Collection of data regarding accounting reforms and user chargesDiscussing access to information sources from officialsDiscussion on various barriers in knowledge flow

Assessment of InformationFindingsSummary of Observations/ResultsRecommendations

Stage V

Stage IV

Stage III

Stage II

Stage I

Figure 1.2: KNA Study Project Organisation Structure

1.9. Structure of Report

This report is structured into three sections and five chapters. Section 1 introduces the study and

presents the methodological aspects of the study. The introduction chapter presents the

background, objectives and rationale for the study, while the second chapter presents the risks and

limitations of the study as well as the framework for identification of KNA developed under the

pilot phase of this study and nuanced based on learning from the scale-up done across additional

six cities.

Section 2 presents the on-ground situation observed across the city KNA studies. Chapter 3

introduce the cities and present governance, staffing and status of JNNURM reforms and projects

in these cities, while Chapter 4 presents the analyses of key findings across these cities including

project cycle analysis, information network and flow, status of capacity development, and presents

knowledge needs identified as well as barriers in the city that hinder effective knowledge transfer.

Section 3 presents the way forward. Chapter 5 highlights key observations and trends observed,

recommendations of the study team, and the way forward in terms of converting the findings of

this study into implementable action points.

A series of Annexes providing detailed data and information collected are available in respected

KNA study reports by NIUA and CEPT.

Learning from the earlier pilot as well as this stage of the study, the following limitations have been

identified. It is important to recognize the following limitations as 'lessons learnt' rather than a

shortcoming of this study or this approach.

1. The information base in some cities was found very weak; even basic information on

project status was not available to start with in some cities. Some analysis had to be drawn

out from secondary studies in such cases.

2. It is not easy to collect/receive all the necessary information as ULBs struggle to provide

some of these (for e.g., information on present skill levels, education qualifications, training

records, etc.) as they are not attuned to responding to such requests.

3. ULB staffs are usually reluctant to provide objective self‐assessments of critical problem

areas/issues. Usually, this requires a period of long and intensive relationship building. This

has also to do with the weak system of feedbacks in the working cultures of ULBs in India. As

a result, feedback/inputs received usually are not objective and such risks have to be

subsumed. This problem may, however, be overcome if ULBs undertake KNA exercises using

a self‐assessment technique (or internalize a KNA approach) rather than a third‐party

leading the process.

4. Information is not always available in the form required and translating this to the needs of

the study can lead to 'information transmission losses'. For e.g., some ULBs maintain

2. Project Planning and Management

2.1 Risks and Limitations of KNA

Advisor

Ministry of Urban DevelopmentGovernment Of India

Technical Support and Client

Cities Alliance : Ajay SuriWBI : Andre Herzog

Key resposibilities

Technical backstoppingand knowledge support

Field Team

Urban Associates: NIUAPoornima Singh and Kanha Ram Godha

Case Study Cities

City Associate: MCF and MCAAnil Mehra, MCF and Avtar Singh, MCA

Programme Coordinator,

Saswat BandyopadhyayCEPT

Key resposibieties

Collection of Primary & Secondary informationPrimary analysis & inferences

Key responsibilities

Inputs in Informationcycle and gap identification Inputs in terms of project & reforms Data Support

Greater Vishakhapatnams

Coimbatore

Patna

Bhubaneshwar

NIUA

Programme Coordinator

VK Dhar

Urban Management Expert

Satmohini Ray

0706

registers of basic qualifications of all employees but not necessarily higher qualification.

Using this data only for assessing education qualification levels may lead to incorrect

observations.

5. The larger issue of who represents a ULB remains a concern. Is it the Mayor or the

Commissioner/Executive Officer or the General Body or staff of the ULB? Assessing the

knowledge needs of all these stakeholders within limited timeframe and restricted budgets

could lead to focusing on stakeholders on whom data is readily available.

6. The restricted resources available within this Project also means alternate (more elaborate)

approaches to undertaking a KNA is not possible. However, recognizing that this exercise

needs to be 'light' as ULBs may be required to self‐assessment themselves (or with limited

support), the proposed approach seems an optimal one.

The analytical study of infrastructure projects at its various stages helped the team identify

different links as well as flow of information along with gaps in knowledge understanding and

access. The study provided an opportunity to assess the level of information availability and flow at

five stages. This is presented in Figure 2.1.

Figure 2.1.: Five Stages Identified for Assessment of Existing Level of Information

2.2. Framework for Identification of KNAs

Using the above model, a six-criteria model was developed to derive an understanding of how

information/knowledge flows within and outside the organisation. The six criteria model includes

access, source, resources, opportunity, frequency and internal dissemination and is presented in

Figure 2.2.

Figure 2.2: The Six-Criteria Model for Assessing Flow of Information

Identification of Source of Information

Criteria for information flow

Analysis of information flow to individuals

Possible Barriers in knowledge flow

Strategies formulation for knowledge management

Questionnaires surveys,Interviews & GD with staffs of MCF

Selection of parameters through which information sources can be judged

Camparing each of the information sources with selected criteria

Identification of existing obstacles that creats gap between need and demand

Proposal of suitable moder which will augment sources as well as help in efficient use & management of knowledge

STAGES MODE OF OPERATION

Criteria

for

assessment

Access

Source

Resource

Oppertu-nity

Fre-quency

Internal Dissemi-

nation

Does the staff has access of perticular source of information?

What are the source of information? Whether it's coming from individual, communal, particular organisation or from outside sources?

Who spend time and money (resource) to access the information?

Does the staffs involved gets the oppertunity to access the completeinformation/knowledge ?

What id frequency (how many times) of one ask for information from particular sources ?

Does these information /knowledge percolates down to lower level of officials in the ULB

0908

SECTION 2 – CASE STUDY FINDINGS

3. Current Status

Getting an overall understanding of the six pilot ULBs is important for understanding the returns

received from them and analysed in this report. Table 3.1 presents demographic and service-level

information on the six ULBs. Barring Amritsar, all five cities demonstrate rapid urbanisation rate in

the previous decade with Faridabad and Visakhapatnam demonstrating over 50% increase in

population. In terms of basic services, most cities are struggling with providing adequate piped

water supply, solid waste management (SWM) services, and sewerage provision to their citizens.

Thus, the need for these cities to access JNNURM is clearly spelt out.

Table 3.1: Demographic Information of Pilot ULBs

3.1. City Profiles

Table 3.2 presents an overall picture of how the ULBs have performed under JNNURM so far, based

on their ability to utilise sanctioned funds. As seen, most ULBs have struggled with utilisation of

JNNURM fundson account of weak capacities to development and implement projects, as well as

implementation of the reforms agenda. Of the six pilots, Visakhapatnam with a 72% utilisation rate

has performed the best while Patna with a 4% utilisation has performed the worst.

Source: Census 2001, Census 2011, SLB 2010 (MoUD), SPUR (2011), Individual CDPs.

Name Area(sq.km)

Population (2001) in lakh

Population Water SWM Coverage (2010)

Sewarage Coverage (2010)

(2001) in Supply lakh Coverage

(2010)

Amritsar

Bhubaneswar

Coimbatore

Faridabad

Patna

Visakhapatnam

114.95

146.8

105.6

207.9

99.5

111.0

11.01

6.58

9.3

10.55

13.7

9.69

11.33

8.37

10.6

17.5

16.8

17.3

66.4%

45.0%

N.A.

N.A.

41.5%

N.A.

75.7%

28.2%

N.A.

N.A.

20%

N.A.

65.8%

17%

N.A.

N.A.

30%

N.A.

Table 3.2: Profile of Pilot ULBs

Source: JNNURM website access from www.jnnurm.nic.in on 08/04/2013

3.2. Governance Structures

The comparative governance structures are presented in Table 3.3. Annex 3.1 presents details of

governance structures of all study cities.

Organisation structure. Most ULBs present a horizontal organisation structure. Horizontal

organisation structures are beneficial where the organisation culture believes in cutting down mid-

level management allowing effective communication flows between the top and the bottom of the

organisation. Horizontal structures also work well if employees are high capacities to undertake

tasks and devolved decision making powers. However, most ULBs in India do not follow such work

ethos. Centralisation of decision making, communication with senior managers through pre-

determined formal channels, and weak capacities make a pre-dominantly horizontal organisation

structure ill-fitted. Also, large infrastructure project cycle management and reforms

implementation require a high degree of inter-departmental coordination in a horizontal

structure. Without informal and rapid means of communication between various departments, a

horizontal structure increases bureaucratic hurdles as information has to first go to the top of the

department and flow down from the top of the other concerned department. It may be concluded

therefore, that an organisation development exercise is required to determine how to improve

inter-departmental communication within a ULB. It is also important for this exercise to consider

increase in devolution of decision-making powers, increase in informal inter-departmental

communications, and capacity augmentation.

Name State Economic Driver(s) of the City

Amount of Resources Sanctioned byGOI (Rs. Crore)

Amritsar

Coimbatore

Visakhapatnam

Bhubaneswar

49%

34%

60%

64%

4%

72%774.00

116.56

669.92

285.63

292.52

314.59

81.67

242.00

458.60

412.72

349.54

291.15

Andhra Pradesh

Punjab

Odisha

TamilNadu

Haryana

Bihar

Faridabad

Patna

Tourism/religious,Industry

Administrative

commercial and

business hub

Industry,

Commerce

Administrative

Commercial

Trade

Commerce

Amount of Resources Released byGOI (Rs. Crore)

Proportion of ACAutilised

1110

Tab

le 3

.3:

Co

mp

arat

ive

Go

vern

ance

Str

uct

ure

s

Sou

rce:

all

da

ta c

olle

cted

by

NIU

A a

nd

CEP

T d

uri

ng

UK

NA

stu

dy,

20

11

/20

12

. Oth

er s

ou

rces

, wh

erev

er u

sed

, ha

ve b

een

sep

ara

tely

ind

ica

ted

.

Po

litic

al s

et-u

p. T

he

sen

ior-

mo

st d

ecis

ion

mak

er in

all

ULB

is t

he

May

or,

an

ele

cted

rep

rese

nta

tive

. Th

e M

ayo

r is

su

pp

ort

ed b

y va

rio

us

stan

din

g

com

mit

tees

, w

ard

co

mm

itte

es,

Co

un

cillo

rs,

etc.

in

dec

isio

n m

akin

g. H

ow

ever

, d

ay-t

o-d

ay a

ctiv

itie

s o

f th

e U

LB a

re l

ed b

y th

e M

un

icip

al

Co

mm

issi

on

er, a

n a

pp

oin

ted

civ

il se

rvan

t.

Staf

fin

g. S

taff

ing

is a

maj

or

con

cern

in m

ost

ULB

s. F

reez

e o

n n

ew r

ecru

itm

ents

hav

e m

ean

t th

at U

LBs

hav

e va

can

cies

of

bet

wee

n 2

0-3

0%

. Th

is

forc

es t

he

ULB

to

pro

mo

te p

erso

nn

el w

ho

are

no

t tr

ain

ed/e

xper

ien

ced

in s

pec

ialis

t ar

eas

to e

nsu

re m

id-

to s

enio

r-p

osi

tio

ns

are

cove

red

. Fo

r

exam

ple

, in

PM

C, t

he

tax

insp

ecto

rs in

clu

de

peo

ple

wh

o h

ave

bee

n p

rom

ote

d fr

om

co

nse

rvan

cy d

epar

tmen

t. T

his

cau

ses

bar

rier

s w

hen

refo

rms

init

iati

ves

on

pro

per

ty t

ax a

re in

itia

ted

. Th

e p

rop

osa

l of

JNN

UR

M-I

I to

loo

k at

cre

atio

n o

f m

un

icip

al c

adre

in e

ach

sta

te c

ou

ld b

e a

po

ten

tial

to

rest

ruct

ure

an

d in

du

ct s

taff

bas

ed o

n s

pec

ialis

t ski

lls a

nd

exp

erie

nce

. To

ove

rco

me

staf

fin

g sh

ort

age,

ULB

s h

ire

per

son

nel

on

co

ntr

act b

asis

. Sh

are

of

con

trac

tual

sta

ff r

ange

fro

m 2

5%

to

70

% w

ith

a m

ajo

rity

of

ULB

s re

po

rtin

g o

ver

50

% o

f th

eir

tota

l str

engt

h a

s co

ntr

actu

al.

Mo

st o

f th

ese

con

trac

tual

sta

ff is

use

d t

o d

eliv

er o

n-g

rou

nd

ser

vice

s (S

afai

Kar

amch

aris

, etc

.) b

ut,

man

y ta

ke u

p m

id-l

evel

po

siti

on

s al

so. S

ince

co

ntr

acts

are

alw

ays

do

ne

on

a y

earl

y b

asis

, it c

ause

s m

oti

vati

on

al is

sues

as

the

staf

f do

no

t hav

e lo

ng-

term

job

sec

uri

ty.

Tab

le 3

.4 p

rese

nts

det

ails

on

key

inst

itu

tio

ns

and

ind

ivid

ual

s th

at p

lay

an im

po

rtan

t ro

le in

imp

lem

enta

tio

n o

f th

e C

DP

in p

ilot c

itie

s.

CD

P p

rep

arat

ion

. CD

P p

rep

arat

ion

in a

ll U

LBs

was

led

by

exte

rnal

co

nsu

ltan

ts. A

s a

resu

lt, o

wn

ersh

ip o

f C

DP

is f

ou

nd

lim

ited

as

is in

stit

uti

on

al

mem

ory

of t

he

CD

P p

rep

arat

ion

exe

rcis

e. E

ven

if U

LBs

enga

ge c

on

sult

ants

in p

rep

arin

g C

DP

s, it

is im

po

rtan

t th

at th

e ex

erci

se is

dri

ven

fro

m w

ith

in

the

ULB

wit

h e

ffec

tive

cro

ss-d

epar

tmen

tal e

nga

gem

ent.

Th

is w

ill b

e cr

itic

al in

pre

par

atio

n o

f sec

on

d g

ener

atio

n C

DP

s u

nd

er JN

NU

RM

-2.

Share

of

contr

act

ual

staff to tota

l

staff

Am

rits

ar

Pu

nja

b

Vert

ical

Mayo

rS

enio

r D

eputy

Mayo

r

Deputy

Mayo

r

MC

A p

olit

ical w

ing:

65 C

ounci

llors

65 w

ard

s and

Ward

Counci

llors

Nin

e S

tandin

g

Com

mitt

ees

Sta

ff -

Regula

r 4295

N.A

.

1333/4

347

30.7

%

39 D

epart

ments

Sta

te

Typ

e o

f

Org

anais

atio

n

Str

uct

ure

Plit

ical

Set-

up

Sta

ndin

g

Com

mitt

ee

Str

uct

ure

Sta

ff

Vaca

nt/

Sanct

ioned

Post

sS

hare

of

vaca

nt post

s

Num

ber

of

Depart

ments

and C

ells

Fari

dab

ad

Hary

an

a

Horizo

nta

l

Mayo

r

Deputy

Moyo

r

Polit

ical w

ing -

40

mem

bers

35 w

ard

s and W

ard

C

ounci

llors

Mem

bers

of

Parlia

ment, a

nd

Sta

te L

egis

lativ

e

Ass

em

bly

mem

bers

Mem

bers

of C

ounci

lof th

e S

tate

and

mem

bers

of S

tate

Legis

lativ

e C

ounci

l

12 S

tandin

g C

om

mitt

ees

Sta

ff -

R

egula

r 4

347 ,

Contr

act

ual 1

510

25.7

%

882/4

295

20.5

%

15D

epart

ments

: 6

Cells

Bh

ub

an

esw

ar

Od

ish

a

Vert

ical

Mayo

r

Deputy

Mayo

r

60 W

ard

Counci

llors

Ward

Com

mitt

ees

with

the a

rea

Corp

ora

tors

as

the

Chairpers

on a

nd

repre

senta

tives

of

Mayo

r and M

unic

ipal

Com

mis

sioner

as

mem

bers

.

Nin

e S

tandin

gC

om

mitt

ees

Sta

ff-

Regula

r 1400,

Contr

act

ual 1

414

50.2

%

430/1

400

30.7

%

13 D

epart

ments

Patn

a

Bih

ar

Horizo

nta

l

Mayo

r

Deputy

Mayo

r

72 W

ard

C

ounci

llors

Mem

bers

of th

e

House

of P

eople

and T

he S

tate

Legis

lativ

e

Ass

em

bly

Mem

bers

of th

e

Counci

l of th

e

Sta

te L

egis

lativ

e

Counci

l

Nin

e S

tandin

g

Com

mitt

ees

Sta

ff -

Regula

r3606,

Contr

act

ual:

861 1

70.4

%

918/3

606

30.3

%

9 D

epart

ments

Vis

akh

ap

atn

am

A

nd

hra

Pra

desh

Horizo

nta

l

Mayo

r

72 W

ard

Coum

mitt

ees

repre

sente

d b

y A

rea S

abha

mem

ber,

Chaired

by

Corp

ora

tors

One S

tandin

gco

mm

ittee c

onsi

stin

g o

f all

Chairpers

ons

of th

e

ward

s co

mm

ittees

and

Mayo

r as

the C

hair

Sta

ff -

Regula

r 3176,

Contr

act

ual 7

329

69.8

%

N.A

.

N.A

.

7 D

epart

ments

Co

imb

ato

re

Tam

il N

ad

u

Horizo

nta

l

Mayo

r

Deputy

Mayo

r

100 W

ard

C

ounci

llors

Ward

Com

mitt

ee

is h

eaded b

y C

hairm

an

(ele

cted b

y C

ounci

llor

of th

at

part

icula

r Z

one

Six

funct

ional

Sta

ndin

g C

om

mitt

ees

Sta

ff-

Regula

r 4424

N.A

.

800/4

424

26.6

%

10 D

epart

ments

Sta

te a

nd the

mem

bers

of th

e

1312

Tab

le 3

.4:

Key

Inst

itu

tio

ns

and

Ind

ivid

ual

s In

volv

ed

in Im

ple

me

nta

tio

n o

f JN

NU

RM

Sou

rce:

all

da

ta c

olle

cted

by

NIU

A a

nd

CEP

T d

uri

ng

UK

NA

stu

dy,

20

11

/12

. Oth

er s

ou

rces

, wh

erev

er u

sed

, ha

ve b

een

sep

ara

tely

ind

ica

ted

(Pat

na,

Bh

ub

anes

war

, etc

.) a

nd

th

is m

ult

iplic

ity

of

inst

itu

tio

ns

led

to

su

bst

anti

al d

elay

s in

get

tin

g p

roje

cts

app

rove

d a

nd

imp

lem

ente

d. A

s w

e

pro

ceed

to

war

ds

JNN

UR

M-2

, it

may

be

use

ful

for

ULB

s an

d p

ara-

stat

al a

gen

cies

to

ass

ess

ho

w m

ult

iplic

ity

of

fun

ctio

ns

bet

wee

n v

ario

us

inst

itu

tio

ns

can

be

add

ress

ed.

The

ULB

s w

ere

fou

nd

to

hav

e va

can

cies

bet

wee

n 2

0%

an

d 3

0%

(re

fer

Tab

le 3

.3)

wit

h a

n a

ggre

gate

vac

ancy

rep

ort

ed o

f 2

4.1

%.

In t

erm

s o

f

abso

lute

nu

mb

ers,

mo

st v

acan

cies

are

fou

nd

in th

e lo

wer

leve

l po

siti

on

s (C

lass

III a

nd

Cla

ss IV

), a

lth

ou

gh v

acan

cies

in h

igh

er le

vel p

osi

tio

ns

wer

e

fou

nd

to

be

the

on

e m

ost

'cri

pp

ling'

in t

erm

s o

f im

ple

men

tin

g JN

NU

RM

ref

orm

s an

d im

ple

men

tin

g p

roje

cts.

Tab

le 3

.5 p

rese

nts

a c

om

par

iso

n o

f

dep

artm

ent-

wis

e an

d c

lass

-wis

e st

affi

ng

pat

tern

s, w

ith

so

me

aggr

egat

ion

do

ne

for

rep

ort

ing

of

dep

artm

ent-

wis

e st

affi

ng

pat

tern

to

fac

ilita

te

com

par

iso

n b

etw

een

ULB

s.

1.

C/D

W –

co

ntr

act/

dai

ly w

age

staf

f

2.

For

Cla

ss-W

ise

Staf

fin

g Pa

tter

n, o

nly

san

ctio

ned

po

sts

are

con

sid

ered

. Fo

r p

urp

ose

s fo

r an

alys

is, C

lass

-IV

or

Gra

de-

IV s

taff

incl

ud

e al

l sta

ff

at C

lass

-IV

/Gra

de-

IV o

r bel

ow

.

3.

Agg

rega

tio

n o

f dep

artm

ents

hav

e b

een

do

ne

to a

rriv

e at

co

mp

arab

le fi

gure

s.

4.

N.A

. – n

ot a

vaila

ble

5.

For p

urp

ose

s o

f

Edu

cati

on

qu

alif

icat

ion

of

key

staf

f en

gage

d i

n i

mp

lem

enta

tio

n o

f JN

NU

RM

ref

orm

s an

d p

roje

cts,

alo

ng

wit

h t

hei

r la

ngu

age

pro

fici

ency

, is

pre

sen

ted

in T

able

3.6

.

3.3

. St

affi

ng

Pat

tern

No

te:

3.4

. W

ork

ing

Are

as, Q

ual

ific

atio

n a

nd

Lan

guag

e P

rofi

cie

ncy

Mu

ltip

licit

y o

f in

stit

uti

on

s. A

key

co

nce

rn r

aise

d in

mo

st U

LBs,

Tab

le 3

.4 c

lear

ly in

dic

ates

th

at w

hile

th

e re

form

act

ion

is la

rgel

y le

d b

y th

e U

LB,

dev

elo

pm

ent

and

imp

lem

enta

tio

n o

f in

fras

tru

ctu

re p

roje

cts

are

no

t. In

alm

ost

all

case

s, p

ara-

stat

al a

gen

cies

wer

e en

gage

d fo

r th

is p

urp

ose

an

d

bar

rin

g a

cou

ple

of U

LBs,

th

e as

sess

men

ts in

dic

ate

that

key

pro

cess

es w

ere

led

by

par

a-st

atal

age

nci

es in

stea

d o

f th

e U

LB it

self.

Th

is m

ay b

e d

ue

to w

eak

cap

acit

ies

in t

he

ULB

, b

ut

a st

ron

ger

ULB

en

gage

men

t in

key

pro

cess

es m

ay l

ikel

y h

ave

crea

ted

so

me

cap

acit

ies

wit

hin

th

e U

LB t

o

un

der

take

pro

ject

s at

su

ch la

rge

sca

le.

In s

om

e ca

ses,

par

a-st

atal

age

nci

es a

re a

lso

man

dat

ed t

o p

rovi

de

bas

ic in

fras

tru

ctu

re in

urb

an a

reas

Patn

a

Co

nsu

ltan

tC

on

sulta

nt

Co

rpo

ratio

n

Bh

ub

an

es

wa

rV

isa

kh

ap

atn

am

Co

imb

ato

re

Mu

nic

ipa

l Co

rpo

ratio

n/

Mu

nic

ipa

l Co

rpo

ratio

nM

un

icip

al C

orp

ora

tion

Mu

nic

ipa

l Co

rpo

ratio

n

1.

M

un

icip

al

C

orp

ora

tion

( w

ate

r

su

pp

ly p

roje

cts)

1.

Natio

na

l Build

ing

Con

stru

ctio

n

C

orp

ora

tion

(N

BC

C)

- co

ntr

act

ed

fo

r

de

sign

, co

nst

ruct

ion

,

ha

nd

ove

r of

s

ew

era

ge

pro

ject

s

Mu

nic

ipa

l C

om

mis

sio

ne

r

Exe

cutiv

e E

ng

ine

er

(JN

NU

RM

),M

CF

Su

pp

ort

Pro

gra

m f

or

Urb

an

Re

form

s (S

PU

R)

-D

FID

-fu

nd

ed

pro

ject

sup

po

rtin

g in

p

rocu

rem

en

t,qu

alit

y ch

eck

, e

tc.

Mu

nic

ipa

l C

om

mis

sio

ne

r

Pub

lic H

ea

lth

Eng

ine

erin

g

Org

an

isa

tion

(PH

EO

) fo

r co

nsu

ltatio

npu

rpo

ses

Pro

ject

En

gin

ee

r,P

MU

-II, O

WS

SB

Eng

ine

er,

BM

C

Mun

icip

al C

om

mis

sio

ne

r

SP

UR

pro

ject

te

am

Gen

rra

l Ma

na

ge

r (T

ech

nic

al)

BU

IDC

O

En

gin

ee

r, P

MC

Vis

akh

ap

atn

am

Urb

an

D

eve

lop

me

nt

Au

tho

rity

-p

lan

nin

g a

nd

im

ple

me

nta

tion

Mu

nic

ipa

lC

om

mis

sio

ne

r

Mu

nic

ipa

lC

om

mis

sio

ne

r

Ma

y o

r

Su

pe

rin

ten

din

gE

ng

ine

er,

GV

MC

City

He

alth

Offic

er, C

MC

SP

UR

Pro

ject

(D

FID

)

Bih

ar

Urb

an

Infr

ast

ruct

ure

D

eve

op

men

tC

om

pa

ny

(BU

IDC

O)

(pa

ra-

stata

l) -

lea

d f

or

all

pro

ject

s

Mu

nic

ipa

l C

orp

ora

tion

Mu

nic

ipa

l C

orp

ora

tion

Mu

nic

ipa

l C

orp

ora

tion

Priva

te p

art

ne

r(S

WM

pro

ject

un

de

r P

PP

mo

de

)

Gre

ate

r V

isa

kha

pa

tna

mM

un

icip

al

Co

rpo

ratio

n(G

VM

C)

Vis

akh

ap

ata

na

mU

rba

n T

ran

spo

rtC

om

ap

ny

Lim

ited

(VU

TC

L)

- S

PV

set-

up

fo

r tr

an

spo

rtp

roje

ct

1.

2.

1.

1.

1.

1.

2.

1.

2.

1.

2.

Od

ish

a W

ate

r S

up

ply

an

d

Se

we

rag

e B

oa

rd(O

WS

SB

) (p

ara

-st

ata

l) -

lea

d o

n

pro

ject

de

velo

pm

en

t

Ite

m

1..

C

DP

Pre

pa

red

by

2.

I

nsi

tutio

ns

in

c

ha

rge

s o

f

re

form

s (

UL

B

le

vel)

3.

I

nst

itutio

ns

in

c

ha

rges

of

im

ple

me

nta

tion

of

pro

ject

s

4.

O

the

r In

stitu

tion

s

Dire

ctly

In

volv

ed

5.

L

ee

d f

or

J

NN

UR

M

Re

form

s a

t U

LB

leve

l

6.

L

ea

d fo

r

JN

NU

RM

Pro

ject

Im

ple

me

nta

tion

Am

rits

ar

Mu

nic

ipa

l Co

rpo

ratio

n

1.

M

un

icip

al

C

orp

ora

tion

(S

WM

, h

ou

sin

g)

2.

P

ara

-sta

tal

(

ele

vate

d r

oa

d,

w

ate

r su

pp

ly)

Co

nsu

ltan

tC

on

sulta

nt

Fa

rid

ab

ad

Mu

nic

ipa

l Co

rpo

ratio

n

Fa

rid

ab

ad

Fa

rid

ab

ad

Fa

rid

ab

ad

2.

H

ary

an

a U

rba

n

De

velo

pm

en

t

Au

tho

rity

(pa

ra

sta

tal)

Mu

nic

ipa

lC

om

mis

sio

ne

r

Su

pe

rin

ten

din

g

En

gin

ee

r, M

C

Me

dic

al O

ffic

er, A

MC

Con

sulta

nt

1514

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

Tab

le 3

.5:

De

par

tme

nt-

Wis

e a

nd

Cla

ss-W

ise

Sta

ffin

g P

atte

rns

Tab

le 3

.6:

De

par

tme

nt-

Wis

e S

taff

Ski

ll an

d P

rofi

cie

ncy

Lev

els

Co

mm

issi

on

er

(in

clu

din

g J

oin

tC

om

m, A

dd

nC

om

m.,

etc

.)

Cla

ss-W

ise

S

taff

ing

P

att

ern

11.3

3

Sanct

ioned

521

1161

44

21

1554

32 - -

1054

4347

16

54

659

3618

3374

Sanct

ioned

..

C/D

W

12

514

0 0

754 1

229

1510

NA

NA

NA

NA

Sanct

ioned

533

11.3

3

N.A

.

521

1161

4 21

1554

32 - -

1054

4347

16

54

659

3618

3374

Sanct

ioned

1675

21

Vaca

nt

NA

NA

NA

NA

Vacy

in %

Vaca

nt

Vacy

in %

Sanct

ioned

Sanct

ioned

Vaca

nt

Vacy

in %

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

Sanct

ioned

Vaca

nt

Vacy

in %

Vaca

nt

Vacy

in %

Sanct

ioned

Vaca

nt

Vacy

in %

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

3

204

4

2494

2308

511

43

204

511

2494

33 00

122

333

152

679

4295

1283

5857

3782

4295

435

58

20

2 16

45

819

882

122

333

152

679

NA

4502

C/D

WS

anct

ioned

C/D

WS

anct

ioned

Tota

l

Tota

l

Tota

l C

/DW

Sanct

ioned

Tota

l C

/DW

Sanct

ioned

Tota

l C

/DW

Sanct

ioned

Tota

l

33

4

17.3

8.3

7

146.8

111

16.8

99.5

150

1400

497

497

1400

0 90

600

20

40

150

0 90

600

20

40 0

00

00

00 00

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

1118

92

38

1605

4

267

04

267

1332

2450

4 92

38

7173

5568

49

3177

388

437

10465

7288

10

20

43

.2

28

.9

30

.3

50

10

38

0

5 21

30

27

74

14

96

0

14

00

10

27.5

10.3

21.6

20.5

17.5

207.9

Am

rits

ar

Fa

rid

ab

ad

Bh

ub

an

es

hw

ar

Pa

tna

Co

imb

ato

reV

isa

kh

ap

atn

am

10.6

105.6

Po

pu

latio

n

of

UL

B(2

011

; in

la

kh)

Are

a of

MC

(sq

.km

)

De

pa

rtm

en

t -W

ise

Sta

ffin

g

Pa

tte

rn

Ge

ne

ral

Ad

min

istr

atio

n

En

gin

ee

rin

g/

Wa

ter

an

d

Se

we

rag

e

Acc

ou

nts

/F

ina

nce

/Au

dit

He

alth

an

d

Sa

nita

tion

/ C

on

serv

an

cy

Tow

n

Pla

nn

ing

Re

ven

ue

Fire

Brig

ad

e

Tota

l

Oth

ers

Tota

l

Cla

ss-I

Cla

ss-I

I

Cla

ss-I

II

Cla

ss-I

V

1. 2.

3. 4. 5.

6. 7.

9.

8.

10.

11.

12.

13.

Ite

m

Sour

ce: U

KNA

Stu

dies

und

erta

ken

by N

IUA

and

CEP

T, 2

011/

12

Qu

ali

fic

ati

on

La

ng

ua

ge

Po

st G

rad

ua

teD

eg

ree

/Dip

lom

a

En

glis

h ,

Hin

di

Re

gio

na

lE

HR

Hin

di

Re

gio

na

l

Gra

du

ate

De

gre

eG

rad

ua

teD

iplo

ma

On

ly H

ind

i/R

eg

ion

al

RH

R

Ma

tric

late

En

glis

h,

Hin

di

No

n-

Ma

tric

late

En

glis

h,

Re

gio

na

l

No

t A

vaila

ble

En

glis

h,

Hin

di

No

t A

vaila

ble

EH

ER

De

pt.

Po

sitio

nQ

ua

lific

a-t

ion

Qu

alif

ica

-tio

nQ

ua

lific

a-t

ion

La

ng

ua

ge

P

rofic

ien

cyL

an

gu

ag

e

Pro

ficie

ncy

La

ng

ua

ge

P

rofic

ien

cyQ

ua

lific

a-t

ion

La

ng

ua

ge

P

rofic

ien

cyQ

ua

lific

a-t

ion

La

ng

ua

ge

P

rofic

ien

cyQ

ua

lific

a-t

ion

La

ng

ua

ge

P

rofic

ien

cy

Ch

ief

En

gin

ee

r

Exe

cutiv

e E

ng

ine

er

Jun

ior

En

gin

ee

r

He

ad

To

wn

Pla

nn

er

De

pu

ty T

ow

n P

lan

ne

r

Se

nio

r Ta

xatio

n O

ff.

ED

PM

an

gr/

Co

llect

or

Sr. \

Ch

. M

ed

ica

l Off.

Me

dic

al O

ffic

er

Co

nse

rva

ncy

Offic

er

Da

ta E

ntr

y O

ffic

er

Ch

. E

ng

ine

er

(wa

ter)

He

ad

Fin

an

ce

BE

Civ

il

BE

Civ

il

Dip

Civ

il

M.P

lan

M.P

lan

Gra

du

ate

Gra

du

ate

PG

Dip

MB

BS

BE

Civ

il

DC

A

BE

Civ

il

BE

Civ

il

EH

R

EH

R

EH

R

EH

R

EH

R

EH

R

HR

EH

R

EH

R

HR

EH

R

EH

R

EH

R

EH

R

EH

R

EH

R

EH

EH

EH

R

EH

R

NA

EH

R

EH

R

EH

R

EH

R

NA

EH

R

EH

R

EH

R

EH

R

EH

R

NA

NA

EH

R

R R NA

EH

R

NA

BE

Civ

il

BE

Civ

il

Dip

Civ

il

M.P

lan

M.P

lan

Gra

du

ate

Gra

du

ate

NA

MB

BS

BE

Civ

il

DC

A

BE

Civ

il

NA

BE

Civ

il

BE

Civ

il

Dip

Civ

il

BE

Civ

il

Dip

Civ

il

NA

NA

Gra

d

No

n-M

at

Ma

tric

NA

BE

Civ

il

NA

M.T

ech

BE

Civ

il

Inte

r

NA

NA

LL

.B.

BA

ME

ME

Be

Civ

il

NA

BE

Civ

il

B.C

om

EH

R

EH

R

HR

NA

NA

EH

R

HR

EH

R

EH

HR

NA

EH

R

EH

R

EH

R

EH

R

EH

R

EH

R

EH

R

NA

HR

EH

R

EH

R

EH

R

HR

EH

R

NA

ER

ER

ER

ER

ER

NA

NA

ER

ER

ER

NA

ER

NA

M.T

ech

BE

Civ

il

BE

Civ

il

BE

Civ

il

BE

Civ

il

NA

LL

.B.

M.T

ech

Gra

d

Dip

Civ

il

BA

M.T

ech

NA

Dip

Civ

i

BE

Civ

il

BE

Civ

il

BE

Civ

il

Dip

Civ

il

NA

NA

.

Gra

d D

ip

BE

Civ

il

Gra

d C

ivil

NA

BE

Civ

il

NA

Am

rits

ar

Fa

rid

ab

ad

P

atn

a

Bh

ub

an

es

wa

r

Vis

ak

ha

pa

tna

m

Co

imb

ato

reIt

em

Engineering Town Planning

Revenue Finance

Public Health Others Le

ge

nd

Man

po

wer

ski

lls a

nd

lan

guag

e. I

n m

ost

in

stan

ces,

req

uir

ed a

cad

emic

qu

alif

icat

ion

s to

un

der

take

th

eir

role

s an

d r

esp

on

sib

iliti

es w

ere

dem

on

stra

ted

by

sen

ior

and

mid

-lev

el te

chn

ical

off

icia

ls. S

om

e ex

cep

tio

ns

are

seen

in c

ase

of P

atn

a an

d C

oim

bat

ore

. In

term

s o

f co

mm

and

ove

r

lan

guag

e, m

ost

sen

ior

off

icia

ls h

ave

pro

fici

ency

in H

ind

i an

d E

ngl

ish

mak

ing

it e

asy

for

them

to

att

end

tra

inin

g in

reg

ion

al o

r n

atio

nal

tra

inin

g

inst

itu

tes.

Ho

wev

er, f

or j

un

ior o

ffic

ials

/sta

ff, l

angu

age

is a

bar

rier

wh

erei

n c

are

nee

ds

to b

e ta

ken

in te

rms

of t

he

mo

de

of d

eliv

ery

of t

rain

ing.

In

1716

case

of

Co

imb

ato

re, k

no

wle

dge

of

Hin

di

Ind

ia h

as n

um

ero

us

regi

on

al t

rain

ing

inst

itu

tio

ns

that

can

cat

er t

o t

his

req

uir

emen

t. Im

po

rtan

tly,

it w

as n

ote

d t

hat

mo

st o

ffic

ials

did

no

t h

ave

stro

ng

com

pu

ter s

kills

an

d fo

un

d it

ch

alle

ngi

ng

to w

ork

in a

co

mp

ute

rise

d e

nvi

ron

men

t. T

he

nee

d fo

r co

mp

ute

r tra

inin

g is

ther

efo

re e

ssen

tial

.

Tab

le 3

.7 p

rovi

des

th

e st

atu

s o

f JN

NU

RM

ref

orm

s in

th

e ta

rget

cit

ies.

Vis

akh

apat

nam

an

d C

oim

bat

ore

hav

e ac

hie

ved

mo

st o

f th

e ta

rget

ref

orm

s.

This

co

uld

be

on

acc

ou

nt

of

the

fact

th

at b

oth

An

dh

ra P

rad

esh

an

d T

amil

Nad

u h

ad i

nit

iate

d p

ub

lic f

inan

cial

man

agem

ent

refo

rms

bef

ore

JNN

UR

M w

as l

aun

ched

. A

mri

tsar

was

fo

un

d t

he

mo

st l

aggi

ng

ULB

in

ter

ms

of

refo

rms

imp

lem

enta

tio

n,

larg

ely

on

acc

ou

nt

of

ULB

sta

ff n

ot

un

der

stan

din

g h

ow

th

e re

form

s w

ere

to b

e im

ple

men

ted

, an

d a

lso

on

acc

ou

nt

of

wea

k in

-ho

use

cap

acit

ies

to im

ple

men

t th

e sa

me.

Far

idab

ad

and

Pat

na

hav

e in

itia

ted

all

refo

rm a

ctiv

itie

s.

is f

ou

nd

ver

y w

eak.

Th

is h

as im

plic

atio

ns

on

ho

w a

nd

wh

ere

the

staf

f ca

n b

e tr

ain

ed a

lth

ou

gh S

ou

th

3.5

. Sta

tus

of

JNN

UR

M R

efo

rms

Tab

le 3

.7: S

tatu

s o

f JN

NU

RM

Ref

orm

s

Am

rits

arFa

rida

bad

Pat

naB

huba

nesw

arV

isak

hapa

tnam

Coi

mba

tore

1.

e-G

over

nanc

e

2.

Mod

ern

mun

icip

al a

ccou

ntin

gsys

tem

3.

Pro

perty

tax

(85%

cov

erag

e)

4.

Pro

perty

tax

(80%

col

lect

ion

effic

ienc

y)

5.

Use

r cha

rge

6.

Inte

rnal

ear

mar

king

of f

unds

for p

ro-p

oor d

ev.

7.

Pro

visi

on o

f bas

ic s

ervi

ces

to u

rban

poo

r

8.

Rev

isio

n of

bui

ldin

g by

elaw

s

9.

Com

pute

rised

regi

stra

tion

of la

nd a

nd p

rope

rty

Ref

orm

ULB

-leve

l ref

orm

s

Mandatory Reform Optional Reform

Am

rits

arFa

rida

bad

Pat

naB

huba

nesw

arV

isak

hapa

tnam

Coi

mba

tore

Ref

orm

10. M

anda

tory

rain

wat

er h

arve

stin

g

11. B

ye-la

w o

n us

e of

recy

cled

wat

er

12. A

dmin

istra

tive

refo

rms

13. S

truct

ural

refo

rms

14. E

ncou

rage

pub

lic p

rivat

e pa

rtner

ship

s (P

PP)

Sta

te-le

vel r

efor

ms 15

. 74t

hCAA

(tra

nsfe

r of 1

2th

Sche

dule

func

tions

)

16..

Con

stitu

tion

of D

PC

17.

Con

stitu

tion

of M

PC

18. T

rans

fer o

f city

pla

nnin

g fu

nctio

ns

19. R

efor

ms

in re

nt c

ontro

l

20. R

atio

nalis

atio

n of

sta

mp

duty

to 5

%

21. R

epea

l of U

LCR

A

22. E

nact

men

t of c

omm

unity

par

ticip

atio

n la

w

23. E

nact

men

t of p

ublic

dis

clos

ure

law

24. P

rope

rty ti

tle c

ertif

icat

ion

syst

em

25. E

arm

arkin

g 25

% o

f dev

elop

men

t lan

d fo

r EW

S ho

usin

g

26. C

onve

rsio

n of

agr

icultu

re la

nd to

non

-agr

icultu

re la

nd

Optional Reform

Not

App

lN

ot A

ppl

Sou

rce:

JN

NU

RM

web

site

(st

atu

s a

s o

f 3

1/1

2/2

01

2)

acc

esse

d f

rom

ww

w.jn

nu

rm.n

ic.in

on

08

/04

/20

13

, an

d K

NA

stu

die

s d

on

e b

y N

IUA

an

d C

EPT,

20

11

/12

Lege

nd

Co

mp

lete

dN

ot

com

ple

ted

(in

itia

ted

)N

ot

com

ple

ted

(n

ot

init

iate

d)

1918

3.6

. Sta

tus

of

JNN

UR

M P

roje

cts

Tab

le 3

.8 p

rese

nts

th

e st

atu

s o

f JN

NU

RM

pro

ject

s in

eac

h c

ity.

Bar

rin

g Fa

rid

abad

, m

ost

ULB

s h

ave

bee

n u

nab

le t

o u

tilis

e m

ore

th

an 5

0%

of

san

ctio

ned

pro

ject

am

ou

nts

in

aro

un

d o

ne-

thir

d t

o h

alf

of

thei

r p

roje

cts.

Key

rea

son

s fo

r U

LBs'

in

abili

ty t

o i

mp

lem

ent

thes

e p

roje

cts

are

dis

cuss

ed in

the

follo

win

g se

ctio

n.

Tab

le 3

.8: S

tatu

s o

f JN

NU

RM

Pro

ject

s

Type

of P

roje

ct

Tran

spor

t

Tran

spor

t

Dra

inag

e

Dra

inag

e

Dra

inag

e

Sew

erag

e

Sew

erag

e

SW

M

SW

M

Wat

er S

uppl

y

Wat

er S

uppl

y

Wat

er S

uppl

y

Wat

er S

uppl

y

Wat

er S

uppl

y

Wat

er S

uppl

y

Wat

er S

uppl

y

Oth

ers

Hou

sing

Hou

sing

Sub

-Typ

e

Ele

vate

d R

oad

BR

TS/ b

us p

urch

ase

City

dra

inag

e

City

sto

rm w

ater

dr.

Ren

ewal

pro

ject

Inne

r city

rene

wal

STP

, tru

nk c

onst

t.

Inte

grat

ed S

WM

Land

fill,

etc.

City

aug

men

tatio

n

Inne

r city

rene

wal

Sup

ply

to n

ew a

reas

Sup

ply

to n

ew a

reas

Sup

ply

to n

ew a

reas

Sup

ply

to n

ew a

reas

Sup

ply

to o

ld c

ity

Lake

/can

al c

onsr

vn.

Low

cos

t hou

sing

Low

cos

t hou

sing

Am

rits

ar

PS

A

PS

A

Non

e

Non

e

Non

e

MC

Non

e

PP

P

Non

e

MC

MC

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

MC

Cos

t (c

rore

)

149.

49

33.3

3

36.9

0

4.53

19.0

1

52.9

7

10.3

0

Fari

daba

d

Non

e

Non

e

PS

A

Non

e

Non

e

PS

A

Non

e

PP

P

Non

e

PS

A

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

MC

MC

Cos

t (c

rore

)

30.6

5

103.

83

76.5

4

493.

5

25.2

6

38.9

6

Pat

na

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

MC

Non

e

PS

A

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Cos

t (c

rore

)

36.9

5

426.

98

Bhu

ba-

nesw

ar

Non

e

MC

Non

e

PS

A

Non

e

PS

A

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

MC

Non

e

Non

e

Cos

t (c

rore

)

573.

25

68.3

3

498.

91

6.01

Vis

'pat

-na

m

Non

e

SP

V

Non

e

MC

MC

MC

MC

Non

e

Non

e

MC

MC

MC

MC

MC

MC

MC

MC

Non

e

Non

e

Cos

t (c

rore

)

452.

93

9.21

72.2

7

37.0

8

244.

44

62.2

8

39.7

6

240.

74

46.0

0

23.4

0

190.

18

47.9

3

3.39

Coi

mba

-to

re

Non

e

Non

e

Non

e

PS

A

Non

e

Non

e

PS

A

MC

Non

e

PS

A

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Non

e

Cos

t (c

rore

)

226.

75

377.

12

96.5

1

113.

74

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

No

te:

the

abo

ve a

re b

ased

on

fin

din

gs o

f N

IUA

an

d C

EPT

un

der

take

n in

mid

-20

12

. Sta

tus

may

hav

e ch

ange

d s

ince

th

en.

Lege

nd

Co

mp

lete

d/c

om

ple

te A

CA

rel

ease

dU

nd

er c

om

ple

tio

n/

>50

% A

CA

rel

ease

d

Un

der

co

mp

leti

on

/ <5

0%

AC

A

rele

ased

Info

rmat

ion

no

t av

aila

ble

N

o P

roje

cts

un

der

th

is c

ateg

ory

Ab

bre

viat

ion

s u

sed

:

Typ

e o

f th

e Im

ple

men

tin

g ag

ency

den

ote

d a

s M

C,P

SA, a

nd

SP

V

MC

–p

roje

cts

imp

lem

ente

d b

y m

un

icip

al c

orp

ora

tio

n

PSA

– p

roje

cts

imp

lem

ente

d b

y p

ara-

stat

al a

gen

cy

SPV

– p

roje

cts

imp

lem

ente

d b

y Sp

ecia

l Pu

rpo

se V

ehic

le

SWM

– s

olid

was

te m

anag

emen

t

PP

P –

PP

P b

etw

een

MC

an

d p

riva

te p

artn

er

No

ne

– n

o p

roje

ct o

f th

is t

ype

3.7

Se

lect

ion

of

Pro

ject

s an

d R

efo

rms

for

Stu

dy

4.1

. Sta

keh

old

er

map

pin

g

Co

nst

rain

ts o

f tim

e a

nd

reso

urc

es

me

ant t

hat

the

NIU

A te

am p

icke

d u

p tw

o re

form

s an

d tw

o p

roje

cts

in A

hm

ed

abad

an

d F

arid

abad

, wh

ile th

e

CEP

T te

am p

icke

d o

ne

pro

ject

an

d o

ne

ref

orm

s e

ach

in t

he

re

mai

nin

g fo

ur

ULB

s. T

able

3.9

pre

sen

ts a

list

of r

efo

rms

and

pro

ject

s id

en

tifi

ed

for

eac

h U

LB fo

r pu

rpo

se o

f un

de

rtak

ing

det

aile

d k

no

wle

dge

ne

ed

s as

sess

me

nt.

Tab

le 4

.1 p

rese

nts

an

ove

rall

asse

ssm

ent o

f sta

keh

old

ers

invo

lved

in e

ach

pro

ject

sel

ecte

d. B

ased

on

Tab

le 4

.1, F

igu

re 4

.1 p

rese

nts

a c

on

solid

ated

stak

eho

lder

map

. It i

s cl

ear

that

ULB

has

larg

ely

led

as

the

coo

rdin

atio

n a

gen

cy fo

r JN

NU

RM

pro

ject

s, w

hile

des

ign

an

d im

ple

men

tati

on

age

nci

es

hav

e b

een

ext

ern

al s

take

ho

lder

s, l

arge

ly c

on

sult

ants

co

ntr

acte

d b

y p

ara-

stat

al a

gen

cies

. Th

us,

th

e ro

le o

f th

e U

LB h

as b

een

min

imal

in

dev

elo

pm

ent

and

imp

lem

enta

tio

n o

f pro

ject

s. H

ow

ever

, fo

r o

per

atio

n a

nd

mai

nte

nan

ce (O

&M

) fu

nct

ion

s, a

ll in

fras

tru

ctu

re c

reat

ed a

re h

and

ed

ove

r to

the

ULB

s.

Du

e to

lack

of e

nga

gem

ent

in p

roje

ct p

lan

nin

g, d

esig

n a

nd

imp

lem

enta

tio

n, m

ost

ULB

s w

ere

no

t w

illin

g to

ow

n t

he

pro

ject

s. D

iscu

ssio

ns

at c

ity-

leve

l co

nsu

ltan

ts d

emo

nst

rate

d t

hat

mo

st U

LBs

tho

ugh

t th

at t

he

pro

ject

s co

uld

hav

e b

een

imp

lem

ente

d u

sin

g d

iffe

ren

t d

esig

n p

aram

eter

s th

at

4. K

ey F

ind

ings

2120

Tab

le 3

.9:

Ref

orm

s an

d P

roje

cts

sele

cte

d f

or

Det

aile

d S

tud

y

Intr

oductio

n o

f com

pute

rised a

ccru

al-

based d

ouble

entr

yaccountin

g s

yste

mU

ser

charg

e r

efo

rms

andre

covery

(wate

rsupply

)

Imple

menta

tio

n o

f e-

govern

ance

Introduct

ion o

f co

mpute

rise

d a

ccru

al-

base

d d

ouble

entry

acc

ountin

g s

yste

mU

ser

charg

e refo

rms

and reco

very

(w

ate

rsu

pply

)

Pro

pert

y tax r

efo

rms

Pro

pert

y tax w

as the o

nly

refo

rm w

here

som

e w

ork

had b

een in

itiate

d s

o a

spic

ked u

p

Impro

vem

ent and a

ugm

enta

tion w

ate

r supply

syste

m

Consi

dere

d a

good p

ract

ice

by o

ther

citie

s s

o p

icke

d u

pso

that oth

er

citie

s c

ould

learn

fro

m this

exp

erience

Faridabad took s

elf-

initi

ativ

e

in im

ple

mentin

g b

oth

these

refo

rms, and s

truggle

d in

im

ple

menta

ti o

n o

f one o

f th

ese. S

o b

oth

were

pic

ked

up.

Sin

ceA

mrits

ar

did

not ta

ke

ahead a

ny r

efo

rmpro

perly,

th

e s

am

e r

efo

rms a

s

Faridabad w

ere

sele

cte

d s

oth

at A

mrits

ar

could

learn

from

Faridabad

Pic

ked u

p to le

arn

fro

mC

oim

bato

re e

xperience

Inte

gra

ted s

ew

era

ge p

roje

ct

Inte

gra

ted s

olid

waste

managem

ent

pro

ject

Reva

m p

ing/la

ying o

f se

wera

gesy

stem

in

Old

Farid

abad

Augm

enta

tion o

f w

ate

r su

pply

and

dis

trib

utio

n s

yste

m

Inte

gra

ted s

olid

waste

managem

ent

syste

m

Pro

visi

on o

f housi

ng for

eco

nom

ically

weake

r se

ctio

n

Imple

menta

tio

n o

f e-

govern

ance

Patn

a h

adorigin

ally

only

two p

roje

cts

appro

ved, so a

w

ate

r supply

pro

ject w

as

pic

ked u

p

One s

olid

waste

and o

ne

housin

g p

roje

ct w

as

sele

cte

d to b

ala

nce the

Faridabad p

roje

cts

Info

rmatio

n w

as a

vaila

ble

on this

pro

ject m

ore

easily

.A

lso m

ore

engagem

ent of

the M

C w

as s

een.

Good le

arn

ing o

pportunity

expecte

d fro

m this

pro

ject

so p

icked u

p.

One w

ate

r supply

and o

ne

sew

era

ge p

roje

ct w

as

sele

cte

d

Sin

ce B

RT

S is a

new

concept and m

any o

ther

citie

s a

re try

ing to

imple

ment th

is s

yste

m, so

pic

ked u

p

Inte

rnal earm

ark

ing o

f fu

nds

for

pro

-poor

develo

pm

ent

Pic

ked u

p to p

rovid

e a

bala

nce a

cro

ss o

f re

form

sacro

ss c

ities. A

lso,

Vis

akhapatn

am

sta

rted

work

ing o

n this

quite

early

so o

pport

uniti

es to le

arn

by

oth

er

citi

es

Imple

menta

tion o

f bus r

apid

tra

nsit

syste

m

Am

rits

ar

Bh

ub

an

esw

ar

Co

imb

ato

re

Fari

dab

ad

Patn

a

Vis

akh

ap

atn

am

City

Refo

rm S

ele

cte

dR

easo

n fo

r S

ele

ctio

n

Nam

e o

f P

roje

ct

Sele

cte

d

Reaso

n fo

r S

ele

ctio

n

Sour

ce: U

KNA

Stu

dies

und

erta

ken

by N

IUA

and

CEP

T, 2

011/

12

wo

uld

hav

e m

ade

O&

M e

asie

r. C

on

seq

uen

tly,

O&

M o

f se

rvic

es p

rovi

ded

th

rou

gh t

hes

e p

roje

cts

suff

ered

. An

oth

er r

easo

n f

or

po

or

O&

M w

as

attr

ibu

ted

to

lack

of

reso

urc

es t

o u

nd

erta

ke O

&M

, as

wel

l as

lack

of

tech

nic

al a

nd

man

ager

ial e

xper

tise

to

man

age

O&

M f

un

ctio

ns.

Wit

h la

rge

pro

ject

s b

ein

g ex

ecu

ted

un

der

JN

NU

RM

, it

is

crit

ical

th

at U

LBs'

cap

acit

y in

un

der

taki

ng

effe

ctiv

e O

&M

, fr

om

bo

th t

ech

nic

al a

nd

man

ager

ial

exp

erti

se, i

s au

gmen

ted

.

Tab

le 4

.1: S

take

ho

lde

r Map

pin

g fo

r Tar

get P

roje

cts

Impro

vem

ent

and a

ugm

enta

tion w

ate

r su

pply

sys

tem

in P

atn

a

Inte

gra

ted S

ew

era

ge P

roje

ct f

or

Bhubanesw

ar

City

Bu

s R

ap

id T

ran

spo

rt S

yste

m,

Gre

ate

r V

isakh

apatn

am

Solid

Wast

e M

anagem

ent

Pro

ject

,C

oim

bato

re

Augm

enta

tion o

f W

ate

r S

upply

an

d

Dis

trib

utio

n S

yste

m f

or

Faridabad

Reva

mpin

g o

f S

ew

era

ge S

yste

m a

nd

Sew

era

ge T

reatm

ent

Work

s P

roje

ct

Inte

gra

ted S

olid

Wast

e M

anagem

en

t S

yste

mfo

r A

mrits

ar

Eco

nom

ically

Weake

r S

ect

ion H

ou

sin

g,

Am

rits

ar

BU

IDC

O

BM

C

VU

TC

L

CM

C

HU

IDF

MC

F

MC

A

MC

A

MC

A

MC

A

CM

CC

MC

CM

C

BM

CB

MC

NB

CC

NB

CC

NB

CC

NB

CC

NB

CC

NB

CC

VU

TC

LV

UT

CL

VU

TC

L

IIT-R

oo

rke

e

Priva

tep

art

ne

rP

riva

te p

art

ner

Priva

te p

art

ner

CM

C

BM

C

VU

TC

L(G

VM

Caf

ter

conc

essi

onpe

riod)

MC

F

MC

F

PM

C

Resi

dents

BU

IDC

O

BM

C

VU

TC

L

CM

C

MC

F

MC

A

MC

F

MC

A

1

S.N

o. N

am

e o

f p

roje

ct

Co

ord

ina

tin

g

Ag

en

cy

Pro

cu

rem

en

to

f D

es

ign

Ag

en

cy

De

sig

nP

roc

ure

me

nt

of

Imp

lem

en

tati

on

Ag

en

cy

Imp

lem

en

-ta

tio

n

O&

M

BU

IDC

OB

UID

CO

IL&

FS

SP

UR

Pro

ject

1.

2.

3.

4.

5.

6. 7.

8.

1V

UTC

L-

SPV

bet

wee

n G

reat

er V

isak

hap

atn

am M

un

icip

al C

orp

ora

tio

n (

GV

MC

), A

nd

hra

Pra

des

h S

tate

Ro

ad T

ran

spo

rtat

ion

Co

rpo

rati

on

(5

1%

eq

uit

y),

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

No

te:1

.1

.H

UID

F: H

arya

na

Urb

an In

fras

tru

ctu

re D

evel

op

men

t B

oar

d2

.N

BC

C: N

atio

nal

Bu

ildin

gs C

on

stru

ctio

n C

orp

ora

tio

n L

imit

ed3

.M

CF:

Mu

nic

ipal

Co

rpo

rati

on

of

Fari

dab

ad4

.C

MC

: Co

imb

ato

re M

un

icip

al C

orp

ora

tio

n5

.V

UTC

L: V

isak

hap

atn

am U

rban

Tra

nsp

ort

Co

mp

any

Lim

ited

6.

BM

C: B

hu

ban

esw

ar M

un

icip

al C

orp

ora

tio

n7

.II

T: In

dia

n In

stit

ute

of

Tech

no

logy

8.

BU

IDC

O: B

ihar

Urb

an In

fras

tru

ctu

re D

evel

op

men

t C

om

pan

y 9

.SP

UR

: Su

pp

ort

Pro

gram

fo

r U

rban

Ref

orm

s1

0.

DFI

D: D

epar

tmen

t fo

r In

tern

atio

nal

Dev

elo

pm

ent

11

.M

CA

: Mu

nic

ipal

Co

rpo

rati

on

of

Am

rits

ar

2322

Figu

re 4

.1: S

take

ho

lde

r Map

4.2

. Pro

ject

Cyc

le A

nal

ysis

Figu

re 4

.2 p

rese

nts

th

e p

roje

ct c

ycle

tim

elin

es o

bse

rved

in

pilo

t ci

ties

. A

fter

CD

P a

pp

rova

l, it

to

ok

bet

wee

n 2

.5 y

ears

to

5 y

ears

fo

r p

roje

ct

imp

lem

enta

tio

n t

o s

tart

, in

clu

din

g p

rep

arat

ion

of

det

aile

d p

roje

ct r

epo

rts

(DP

Rs)

, so

licit

ing

nec

essa

ry a

pp

rova

ls, a

nd

wo

rks

ten

der

ing.

Wh

ile

DP

R p

rep

arat

ion

exe

rcis

e w

as q

uic

k (2

-6 m

on

ths)

, pri

mar

ily a

s th

ey w

ere

led

by

exte

rnal

co

nsu

ltan

ts, t

he

DP

R a

pp

rova

l pro

cess

too

k b

etw

een

8-

10

mo

nth

s. T

hes

e w

ere

du

e to

del

ays

in re

ceiv

ing

feed

bac

k fr

om

cen

tral

san

ctio

n m

on

ito

rin

g co

mm

itte

e (C

SMC

) as

wel

l as

wea

k ca

pac

itie

s w

ith

in

the

ULB

to u

pd

ate

the

DP

R b

ased

on

the

CSM

C fe

edb

ack.

Ho

wev

er, m

ost

cri

tica

l pat

h w

as th

e w

ork

s te

nd

erin

g af

ter

DP

R a

pp

rova

ls. A

s m

ost

ULB

s

did

no

t h

ave

pas

t ex

per

ien

ce o

f ten

der

ing

larg

e-va

lue

pro

ject

s, t

he

actu

al t

end

erin

g p

roce

ss t

oo

k b

etw

een

12

to

18

mo

nth

s. P

rocu

rem

ent

skill

s

and

pro

cure

men

t m

anag

emen

t, t

her

efo

re,

are

two

cri

tica

l te

chn

ical

are

as t

hat

ULB

sta

ff n

eed

s to

bu

ild o

n i

n o

rder

to

im

pro

ve J

NN

UR

M

per

form

ance

. O

n a

n a

vera

ge, p

roje

cts

too

k b

etw

een

two

to th

ree

year

s fo

r im

ple

men

tati

on

, wh

ich

is a

lso

qu

ite

lon

g.

Figu

re 4

.2: P

roje

ct D

eve

lop

me

nt a

nd

Imp

lem

en

tati

on

Tim

elin

es

2524

No

te :

size

of

the

sph

ere

ab

ove

ind

ica

tes

ho

w li

kely

th

e st

ake

ho

lder

is li

kely

to

lea

d t

he

pro

cess

men

tio

ned

in t

he

rect

an

gu

lar

box

es a

bo

ve.

Co

ord

inat

ion

A

gen

cyD

esi

gn A

gen

cyIm

ple

me

nta

tio

n

Age

ncy

O &

M A

gen

cy

UL

BC

on

sult

ant

Co

nsu

ltan

t U

LB

JV/S

PV

P

aras

tata

lU

LB

JV/S

PV

U

LB

JV/S

PV

JV

/SP

V

Res

iden

ts

28-6

9 M

onth

sfo

r pro

ject

imple

me

nta

tion

to s

tart

after

CD

Pappro

val

2-6

month

s

8-1

0m

onth

s

12-1

9m

onth

s

6-1

2

month

s

6-1

8

mon

ths

24

-48

mo

nth

s

Co

mp

letio

n o

f P

roje

ct

Ass

t.

En

gg

.

Exe

c.

En

gg

.

Ch

ief

Su

ptd

.E

ng

g.

Exe

c.E

ngg.

Chie

fE

ngg.

Com

mis

sion

er

Com

mis

sion

er

Sta

rt o

f C

DP

Pre

para

tion

En

ga

ge

me

nt o

f C

om

mis

sio

ne

r to

Wo

rkA

ssis

tan

t/In

spe

cto

rB

efo

re p

roje

ctim

ple

me

nta

tion

CD

P

Appro

val

DP

RP

repara

tion

DP

RA

ppro

val

from

CS

MC

Tende

rin

g f

or

Work

sC

ontr

act

or

Pro

ject

Im

ple

me

nta

tion

Jr.

En

gg

.

Wo

rkA

sst./In

spct

.

CA

D/

Da

taO

prt

r.Co

mm

issio

ner

Ch

ief

En

gg

.

Sou

rce

: UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

4.3

. In

form

atio

n N

etw

ork

an

d F

low

Para

met

ers

sele

cted

fo

r n

eed

s as

sess

men

t –

as p

rese

nte

d i

n t

he

met

ho

do

logy

ear

lier

– w

ere

linke

d w

ith

fo

rmal

an

d i

nfo

rmal

so

urc

es o

f

info

rmat

ion

, an

d t

he

sam

e w

as m

app

ed. T

his

was

do

ne

to u

nd

erst

and

wh

ere

the

sou

rce

of i

nfo

rmat

ion

is lo

cate

d, i

f th

e in

div

idu

al h

as r

eso

urc

es

to u

se t

hem

, an

d if

yes

, th

en h

ow

oft

en, a

nd

fin

ally

is t

he

info

rmat

ion

/kn

ow

led

ge g

ain

ed s

har

ed t

ow

ard

s b

eco

min

g an

org

anis

atio

nal

res

ou

rce.

All

case

stu

die

s p

rese

nte

d a

set

of

dif

fere

nt

fin

din

gs,

and

it

is d

iffi

cult

to

pre

sen

t al

l o

f th

em h

ere.

An

agg

rega

te u

sin

g an

ari

thm

etic

mea

n

app

roac

h w

as u

sed

to

arr

ive

at a

co

mm

on

fin

din

g. T

able

4.2

(a)

pre

sen

ts t

he

aggr

egat

e fi

nd

ing

for

sen

ior

dec

isio

n m

akin

g o

ffic

ials

(M

un

icip

al

Co

mm

issi

on

er,

etc.

). F

igu

re 4

.4(b

) p

rese

nts

th

e ag

greg

ate

fin

din

g fo

r se

nio

r te

chn

ical

off

icer

s (S

up

erin

ten

din

g En

gin

eer,

Gen

eral

Man

ager

(Tec

hn

ical

), e

tc.)

. Fi

gure

4.4

. (c

) p

rese

nts

th

e ag

greg

ate

fin

din

g fo

r m

id-l

evel

tec

hn

ical

off

icia

ls (

Ass

ista

nt

Dir

ecto

r, E

xecu

tive

En

gin

eer,

Ju

nio

r

Engi

nee

r, e

tc.)

. Fig

ure

4.4

(d) p

rese

nts

the

aggr

egat

e fi

nd

ing

for j

un

ior o

ffic

ials

(Dra

ftsm

an, W

ork

Ass

ista

nt,

etc

.).

Tab

le 4

.2(a

): In

form

atio

n F

low

An

alys

is a

nd

Gap

Ass

ess

me

nt f

or S

en

ior D

eci

sio

n M

ake

rs

2In

clu

des

Gen

eral

Man

ager

(B

UID

CO

) an

d C

om

mis

sio

ner

, AM

C.

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

2726

2S

EN

IOR

TE

CH

NIC

AL

OF

FIC

ER

S

Acc

ess

So

urc

eO

pp

ort

un

ity

F

req

ue

ncy

Dis

sem

ina

tio

n

Lib

rari

es

/Bo

ok

s/

Ha

rd c

op

y R

ep

ort

s

Co

mp

ute

r/In

tern

et

Ac

ce

ss

Too

lkit

s &

Gu

ide

lin

es

Tra

inin

g/W

ork

sh

op

s/C

ity

To

urs

Ac

ad

em

ic I

ns

titu

tio

ns

Pri

va

te C

on

su

lta

nts

Me

dia

/As

so

cia

te S

ou

rce

s

Fri

en

ds

/Off

icia

ls f

rom

oth

er

cit

y

Sta

ke

ho

lde

r C

on

su

lta

tio

n

Formal Sources Informal Sources

LEG

EN

D

10

0%

YE

S

75

-99

% Y

ES

10

0%

AC

CES

SO

RG

AN

ISA

TIO

NA

L

MO

STLY

OR

GA

NIS

ATI

ON

AL

DA

ILY

MO

ST

LY D

AIL

Y

10

0%

YE

S

75

-99

% Y

ES

FU

LLY

D

ISS

EM

INA

TE

DR

AR

ELY

DIS

SE

MIN

AT

ED

50

-74

% Y

ES

MO

STLY

OU

TSO

UR

CES

5

0-7

4%

YE

SM

OST

LYW

EEK

LY

NO

TD

ISS

EM

INA

TE

D

1-5

0%

YE

S1

00

% A

CC

ESS

OU

TSO

UR

CED

1-5

0%

YE

SO

NLY

W

EEK

LY

RA

REL

Y

NO

TD

ISS

EM

INA

TE

D

NO

AC

CE

SS

N

O A

CC

ES

S

As

can

be

seen

fro

m T

able

4.2

(a),

mo

st s

enio

r d

ecis

ion

mak

ers

hav

e ac

cess

to

info

rmat

ion

th

rou

gh v

ario

us

sou

rces

. Mo

st o

f th

ese

sou

rces

are

org

anis

atio

nal

(I.e

. pro

vid

ed fo

r fro

m w

ith

in th

e o

rgan

isat

ion

/ad

min

istr

ativ

e se

t-u

p).

Ho

wev

er, t

his

sta

keh

old

er g

rou

p p

erfo

rmed

po

orl

y in

term

s

of u

sin

g o

pp

ort

un

itie

s, a

s w

ell a

s in

term

s o

f dis

sem

inat

ion

of i

nfo

rmat

ion

rec

eive

d. H

ence

, th

e in

stit

uti

on

al m

emo

ry/l

earn

ing

is li

kely

to b

e lo

st

on

tran

sfer

of s

enio

r dec

isio

n m

aker

s (u

sual

ly 1

-3 y

ears

ten

ure

). T

his

als

o m

ean

t th

at im

po

rtan

t co

mm

un

icat

ion

s o

n JN

NU

RM

wer

e n

ot n

eces

sary

effe

ctiv

ely

dis

sem

inat

ed to

low

er le

vel s

taff

wit

hin

the

org

anis

atio

n. T

he

lack

of a

pla

tfo

rm w

ith

in th

e U

LB fo

r d

isse

min

atio

n o

f lea

rnin

g, fi

nd

ings

,

info

rmat

ion

rec

eive

d, e

tc. m

ade

this

job

eve

n m

ore

dif

ficu

lt, a

nd

ove

rall,

th

ere

was

a b

arri

er in

fre

e fl

ow

of

info

rmat

ion

wit

hin

th

e U

LB it

self.

Inte

rest

ingl

y, t

he

tab

le a

lso

ind

icat

es t

hat

th

e se

nio

r-m

ost

dec

isio

n m

aker

s d

id n

ot

hav

e ef

fect

ive

acce

ss t

o t

rain

ing,

wo

rksh

op

s an

d s

tud

y to

urs

,

as w

ell a

s to

aca

dem

ic in

stit

uti

on

s. T

hes

e ar

e m

atte

rs o

f co

nce

rn b

ut

pro

bab

ly r

efle

ctin

g th

e fa

ct t

hat

th

e re

spo

nd

ents

bel

on

ged

to

Pat

na

and

Am

rits

ar, b

oth

wh

ich

do

no

t h

ave

acce

ss t

o s

tro

ng

acad

emic

/tra

inin

g in

stit

uti

on

s in

th

e re

gio

n. I

n t

erm

s o

f st

akeh

old

er c

on

sult

atio

n, w

hile

th

e

resp

on

den

ts i

nd

icat

ed t

hat

th

ey h

ad d

aily

acc

ess,

it

was

pro

bab

ly r

efle

ctiv

e o

f th

eir

day

-to

-day

mee

tin

gs w

ith

sen

ior

off

icia

ls w

ith

in t

he

org

anis

atio

n, a

nd

no

t wit

h b

road

er s

take

ho

lder

s (p

riva

te s

ecto

r, c

ivil

soci

ety,

aca

dem

ia, e

tc.)

as

a w

ho

le.

Tab

le 4

.2(b

): In

form

atio

n F

low

An

alys

is a

nd

Gap

Ass

ess

me

nt f

or S

en

ior T

ech

nic

al O

ffic

ers

2S

EN

IOR

TE

CH

NIC

AL

OF

FIC

ER

S

Acc

ess

So

urc

eO

pp

ort

un

ity

F

req

ue

ncy

Dis

sem

ina

tio

n

Lib

rari

es

/Bo

ok

s/

Ha

rd c

op

y R

ep

ort

s

Co

mp

ute

r/In

tern

et

Ac

ce

ss

To

olk

its

& G

uid

eli

ne

s

Tra

inin

g/W

ork

sh

op

s/C

ity

To

urs

Ac

ad

em

ic I

ns

titu

tio

ns

Pri

va

te C

on

su

lta

nts

Me

dia

/As

so

cia

te S

ou

rce

s

Fri

en

ds

/Off

icia

ls f

rom

oth

er

cit

y

Sta

ke

ho

lde

r C

on

su

lta

tio

n

Formal Sources Informal Sources

LEG

EN

D

10

0%

YE

S

75

-99

% Y

ES

10

0%

AC

CES

SO

RG

AN

ISA

TIO

NA

L

MO

STLY

OR

GA

NIS

AT

ION

AL

DA

ILY

MO

ST

LY

DA

ILY

10

0%

YE

S

75

-99

% Y

ES

FU

LLY

D

ISS

EM

INA

TE

DM

OS

TLY

D

ISS

EM

INA

TE

D

50

-74

% Y

ES

MO

STLY

OU

TSO

UR

CES

5

0-7

4%

YE

SM

OST

LYW

EEK

LY

RA

RE

LY

DIS

SE

MIN

AT

ED

1-5

0%

YE

S1

00

% A

CC

ESS

OU

TSO

UR

CED

1-5

0%

YE

SO

NLY

W

EEK

LY

RA

REL

Y

NO

TD

ISS

EM

INA

TE

D

NO

A

CC

ES

SN

O

AC

CE

SS

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

2928

As

see

fro

m T

able

4.2

(b),

Sen

ior

Tech

nic

al O

ffic

ers

larg

ely

hav

e ac

cess

to

in

form

atio

n t

hro

ugh

var

iou

s so

urc

es,

bu

t p

rim

arily

th

rou

gh b

oo

ks,

guid

elin

es,

too

lkit

s, a

nd

th

e in

tern

et.

Som

e o

f th

e re

spo

nd

ents

als

o h

ad a

cces

s to

tra

inin

g, w

ork

sho

p a

nd

stu

dy

tou

rs,

as w

ell

as a

cad

emic

inst

itu

tio

ns

thro

ugh

org

anis

atio

nal

ch

ann

els.

Ho

wev

er, i

n te

rms

of o

pp

ort

un

ity,

this

gro

up

had

less

op

po

rtu

nit

y co

mp

ared

to th

e se

nio

r d

ecis

ion

mak

ers.

On

the

oth

er h

and

, in

term

s o

f dis

sem

inat

ion

, wh

ile th

e o

vera

ll le

vels

rem

ain

po

or,

un

like

the

sen

ior m

anag

ers

this

gro

up

do

es u

nd

erta

ke

dis

sem

inat

ion

of

info

rmat

ion

wit

hin

th

e o

rgan

isat

ion

. Th

is is

pro

bab

ly b

ecau

se t

his

gro

up

has

to

wo

rk w

ith

pee

rs a

nd

jun

ior

off

icer

s fo

r p

roje

ct

cycl

e m

anag

emen

t, a

nd

ref

orm

s im

ple

men

tati

on

eff

ort

s. H

ow

ever

, in

form

atio

n s

har

ing

was

bei

ng

do

ne

info

rmal

ly b

y th

is g

rou

p,

agai

n

sugg

esti

ng

the

nee

d fo

r a fo

rmal

info

rmat

ion

sh

arin

g p

latf

orm

in th

e U

LB.

Tab

le 4

.2(c

): In

form

atio

n F

low

An

alys

is a

nd

Gap

Ass

ess

me

nt f

or M

id-L

eve

l Off

ice

rs

2M

ID-L

EV

EL

TE

CH

NIC

AL

OF

FIC

ER

S

Ac

ce

ss

So

urc

eO

pp

ort

un

ity

F

req

ue

nc

yD

iss

em

ina

tio

n

Lib

rari

es

/Bo

ok

s/

Ha

rd c

op

y R

ep

ort

s

Co

mp

ute

r/In

tern

et

Ac

ce

ss

Too

lkit

s &

Gu

ide

lin

es

Tra

inin

g/W

ork

sh

op

s/C

ity

To

urs

Ac

ad

em

ic I

ns

titu

tio

ns

Pri

va

te C

on

su

lta

nts

Me

dia

/As

so

cia

te S

ou

rce

s

Fri

en

ds

/Off

icia

ls f

rom

oth

er

cit

y

Sta

ke

ho

lde

r C

on

su

lta

tio

n

Formal Sources Informal Sources

LEG

EN

D

10

0%

YE

S

75

-99

% Y

ES

10

0%

AC

CES

SO

RG

AN

ISA

TIO

NA

L

MO

STLY

OR

GA

NIS

ATI

ON

AL

DA

ILY

MO

ST

LY

DA

ILY

10

0%

YE

S

75

-99

% Y

ES

FU

LLY

D

ISS

EM

INA

TE

DM

OS

TLY

D

ISS

EM

INA

TE

D

50

-74

% Y

ES

MO

STLY

OU

TSO

UR

CES

5

0-7

4%

YE

SM

OST

LYW

EEK

LY

RA

RE

LY

DIS

SE

MIN

AT

ED

1-5

0%

YE

S1

00

% A

CC

ESS

OU

TSO

UR

CED

1-5

0%

YE

SO

NLY

W

EEK

LY

RA

REL

Y

NO

TD

ISS

EM

INA

TE

D

NO

A

CC

ES

SN

O

AC

CE

SS

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

4 In

clu

des

Ass

t. D

irec

tor,

Urb

an P

lan

nin

g, P

MC

; Ass

ista

nt P

roje

ct E

ngi

nee

r (2

), B

MC

; Ass

ista

nt T

ow

n P

lan

ner

, CM

C; E

xec.

En

gin

eer,

AM

C; A

ssis

tan

t M

anag

er, A

MC

As

can

be

seen

fro

m T

able

4.2

(c),

mid

-lev

el t

ech

nic

al o

ffic

ers

hav

e le

ss a

cces

s an

d o

pp

ort

un

ity

to a

cces

s in

form

atio

n c

om

par

ed t

o t

hei

r se

nio

r

colle

agu

es. H

ow

ever

, th

ey h

ave

acce

ss t

o in

form

atio

n fr

om

no

n-o

rgan

isat

ion

al s

ou

rces

(co

nsu

ltan

ts, D

PR

s o

f oth

er c

itie

s, e

tc.)

th

at t

hei

r se

nio

r

gro

up

do

es n

ot s

eem

to h

ave.

Th

e le

vel o

f dis

sem

inat

ion

als

o is

hig

her

than

thei

r se

nio

r gr

ou

ps,

an

d li

ke th

e se

nio

r te

chn

ical

off

icer

s, in

form

atio

n

shar

ing

is l

arge

ly i

nfo

rmal

. In

tere

stin

gly,

co

mp

ared

to

sen

ior

tech

nic

al o

ffic

ers,

th

is g

rou

p s

eem

s to

hav

e le

sser

acc

ess

to i

nfo

rmat

ion

fro

m

inte

rnet

an

d t

oo

lkit

s/gu

idel

ines

. In

ter

ms

of

op

po

rtu

nit

y al

so, t

his

gro

up

is in

feri

orl

y p

lace

d c

om

par

ed t

o t

hei

r se

nio

rs. T

his

may

be

du

e to

th

e

hea

vy b

urd

en o

f day

-to

-day

resp

on

sib

iliti

es th

at a

re u

sual

ly u

nd

erta

ken

by

mid

-lev

el o

ffic

ers.

Tab

le 4

.2(d

): In

form

atio

n F

low

An

alys

is a

nd

Gap

Ass

ess

me

nt f

or J

un

ior O

ffic

ers

5M

ID-L

EV

EL

TE

CH

NIC

AL

OF

FIC

ER

S

Ac

ce

ss

So

urc

eO

pp

ort

un

ity

F

req

ue

nc

yD

iss

em

ina

tio

n

Lib

rari

es

/Bo

ok

s/

Ha

rd c

op

y R

ep

ort

s

Co

mp

ute

r/In

tern

et

Ac

ce

ss

Too

lkit

s &

Gu

ide

lin

es

Tra

inin

g/W

ork

sh

op

s/C

ity

To

urs

Ac

ad

em

ic I

ns

titu

tio

ns

Pri

va

te C

on

su

lta

nts

Me

dia

/As

so

cia

te S

ou

rce

s

Fri

en

ds

/Off

icia

ls f

rom

oth

er

cit

y

Sta

ke

ho

lde

r C

on

su

lta

tio

n

Formal Sources Informal Sources

LEG

EN

D

10

0%

YE

S

75

-99

% Y

ES

10

0%

AC

CES

SO

RG

AN

ISA

TIO

NA

L

MO

STLY

OR

GA

NIS

ATI

ON

AL

DA

ILY

MO

ST

LY

DA

ILY

10

0%

YE

S

75

-99

% Y

ES

FU

LLY

D

ISS

EM

INA

TE

DM

OS

TLY

D

ISS

EM

INA

TE

D

50

-74

% Y

ES

MO

STLY

OU

TSO

UR

CES

5

0-7

4%

YE

SM

OST

LYW

EEK

LY

RA

RE

LY

DIS

SE

MIN

AT

ED

1-5

0%

YE

S1

00

% A

CC

ESS

OU

TSO

UR

CED

1-5

0%

YE

SO

NLY

W

EEK

LY

RA

REL

Y

NO

TD

ISS

EM

INA

TE

D

NO

A

CC

ES

SN

O

AC

CE

SS

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

5 In

clu

des

Dra

ftsm

an, P

MC

; Ass

ista

nt

Engi

nee

r, G

VM

C; W

ork

Insp

ecto

rs, G

VM

C; S

anit

ary

Insp

ecto

r, C

MC

; ED

P M

anag

er, M

CF.

3130

As

can

be

seen

fro

m T

able

2.4

(d),

jun

ior-

leve

l tec

hn

ical

off

icer

s h

ave

less

er a

cces

s to

info

rmat

ion

, an

d o

pp

ort

un

itie

s fo

r ac

cess

ing

or

shar

ing

info

rmat

ion

. In

ter

ms

of

freq

uen

cy o

f ac

cess

an

d d

isse

min

atio

n/a

cces

s to

info

rmat

ion

wit

hin

pee

rs a

lso

, th

is g

rou

p s

eem

s to

be

the

wo

rse

off

than

all

of

the

earl

ier

gro

up

s st

ud

ied

. Th

is i

s al

so t

o d

o w

ith

th

e fa

ct t

hat

in

form

atio

n f

low

s/d

isse

min

atio

n w

ith

in U

LBs

are

wea

k as

see

n i

n

pre

vio

us

tab

les.

In te

rms

of s

ou

rce

of a

cces

s to

info

rmat

ion

, in

mo

st c

ases

, it i

s o

rgan

isat

ion

al in

dic

atin

g th

at th

is g

rou

p is

no

t ab

le to

ben

efit

fro

m

info

rmat

ion

that

thei

r sen

ior g

rou

ps

garn

er fr

om

ext

ern

al s

ou

rces

(co

nsu

ltan

ts, r

epo

rts

fro

m o

ther

cit

ies/

agen

cies

, etc

.).

If w

e co

mp

are

all f

ou

r tab

les,

so

me

com

mo

n is

sues

/co

nce

rns

can

be

iden

tifi

ed; t

hes

e ar

e p

rese

nte

d b

elo

w:

1.

The

sen

ior-

mo

st e

chel

on

s o

f th

e U

LB h

ave

hig

h le

vels

of a

cces

s to

info

rmat

ion

an

d th

is a

cces

s re

du

ces

as o

ne

goes

do

wn

the

com

man

d c

hai

n.

This

dem

on

stra

tes

that

kn

ow

led

ge a

nd

info

rmat

ion

do

es n

ot f

low

eff

ecti

vely

wit

hin

an

y U

LB.

2.

ULB

s d

o n

ot

hav

e ei

ther

info

rmal

mea

ns

or

form

al p

latf

orm

s fo

r in

form

atio

n s

har

ing

and

dis

sem

inat

ion

. As

a re

sult

, kn

ow

led

ge/i

nfo

rmat

ion

acce

ssed

by

sen

ior s

taff

usu

ally

fails

to p

erco

late

do

wn

to h

is/h

er ju

nio

r sta

ff, a

nd

eve

n p

eers

.

3.

Leve

ls o

f in

form

atio

n s

har

ing

and

dis

sem

inat

ion

are

low

at

sen

ior

dec

isio

n m

akin

g le

vel,

incr

ease

slig

htl

y at

sen

ior

and

mid

-lev

el t

ech

nic

al

off

icer

leve

l, an

d a

gain

red

uce

at j

un

ior l

evel

s.

4.

Freq

uen

cy o

f acc

ess

to in

form

atio

n/k

no

wle

dge

red

uce

s d

ow

n th

e h

iera

rch

y.

5.

Mo

st U

LB e

mp

loye

es a

cces

s kn

ow

led

ge/i

nfo

rmat

ion

th

rou

gh o

rgan

isat

ion

al s

ou

rces

. Th

eir

abili

ty/o

pp

ort

un

ity

to a

cces

s kn

ow

led

ge/

info

rmat

ion

thro

ugh

ext

ern

al s

ou

rces

is li

mit

ed a

nd

red

uce

s d

ow

n th

e h

iera

rch

y.

6.

Sen

ior-

an

d m

id-l

evel

tec

hn

ical

off

icer

s h

ave

hig

her

acc

ess

to k

no

wle

dge

/in

form

atio

n t

hro

ugh

wo

rksh

op

s, t

rain

ings

, st

ud

y to

urs

, et

c.

com

par

ed t

o s

enio

r d

ecis

ion

mak

ers

and

jun

ior

tech

nic

al o

ffic

ers.

As

a re

sult

, it

is c

riti

cal t

hat

th

is g

rou

p r

emai

ns

in U

LB w

ork

forc

e fo

r so

me

tim

e so

th

at t

he

inst

itu

tio

nal

mem

ory

can

sta

y w

ith

th

e o

rgan

isat

ion

. U

sual

ly,

off

icia

ls a

t th

is l

evel

are

on

dep

uta

tio

n f

rom

var

iou

s st

ate

dep

artm

ents

, an

d le

ave

the

ULB

as

soo

n a

s th

e co

nce

rned

pro

ject

s ge

t ove

r.

7.

Acc

ess

to in

tern

et (o

r pro

bab

ly a

bili

ty to

use

inte

rnet

pro

du

ctiv

ely)

red

uce

s d

ow

n th

e h

iera

rch

y.

8.

All

gro

up

s re

spo

nd

po

siti

vely

in

ter

ms

of

acce

ssin

g in

form

atio

n/k

no

wle

dge

th

rou

gh s

take

ho

lder

co

nsu

ltat

ion

. H

ow

ever

, th

is i

s p

rob

ably

refl

ecti

ve o

f res

po

nd

ents

' day

-to

-day

mee

tin

gs th

an a

bro

ader

ran

ge o

f sta

keh

old

ers

(pri

vate

sec

tor,

NG

Os,

aca

dem

ia, e

tc.)

as

a w

ho

le.

Bas

ed o

n a

bo

ve, i

t is

cle

ar t

hat

th

ere

is a

nee

d fo

r (i

) b

ette

r in

form

atio

n a

nd

kn

ow

led

ge f

low

wit

hin

an

ULB

eit

her

th

rou

gh in

form

al s

ou

rces

, or

thro

ugh

a fo

rmal

pla

tfo

rm; (

ii) fr

equ

ency

of a

cces

s to

kn

ow

led

ge s

ho

uld

rem

ain

sam

e w

ith

in th

e o

rgan

isat

ion

wh

ich

will

req

uir

e a

cen

tral

po

int i

n

HR

sec

tio

n m

anag

ing

a d

atab

ase

of

trai

nin

g re

ceiv

ed/k

no

wle

dge

man

agem

ent

acti

viti

es a

cces

sed

; (i

ii) i

mp

rovi

ng

acce

ss t

o t

he

inte

rnet

an

d

edu

cati

on

sta

ff o

f h

ow

to

use

inte

rnet

eff

ecti

vely

esp

ecia

lly in

ter

ms

of

acce

ss p

eer

mat

eria

l th

rou

gh s

ites

set

up

by

JNN

UR

M (

PEA

RL,

etc

.); (

iv)

pro

vid

ing

op

po

rtu

nit

ies

to s

taff

acr

oss

th

e o

rgan

isat

ion

to

acc

ess

rele

van

t kn

ow

led

ge fr

om

no

n-o

rgan

isat

ion

so

urc

es in

clu

din

g fr

om

th

e p

riva

te

sect

or o

r aca

dem

ic in

stit

uti

on

s; (i

v) in

crea

sin

g u

nd

erst

and

ing

of h

ow

rele

van

t sta

keh

old

er e

nga

gem

ent c

an b

e d

on

e an

d h

ow

that

can

be

use

d fo

r

effe

ctiv

e kn

ow

led

ge g

row

th a

t an

ind

ivid

ual

an

d d

epar

tmen

tal l

evel

.

Tab

le 4

.3 p

rese

nts

so

me

of

the

com

mo

nly

use

d in

form

atio

n,

kno

wle

dge

an

d c

apac

ity

dev

elo

pm

ent

pro

du

cts

that

ULB

off

icia

ls u

se a

nd

hav

e

acce

ss t

o.

Mo

st o

ffic

ials

dep

end

hea

vily

on

info

rmat

ion

pro

vid

ed b

y ex

tern

al c

on

sult

ants

on

sp

ecif

ic p

roje

ct e

lem

ents

, as

wel

l as

on

to

olk

its,

guid

elin

es, m

anu

als,

etc

. dev

elo

ped

as

par

t o

f JN

NU

RM

. In

cas

e o

f Pa

tna,

su

pp

ort

fro

m a

n e

xter

nal

ly a

ided

pro

ject

is a

vaila

ble

. Ho

wev

er, t

his

red

uce

s th

e in

cen

tive

s fo

r off

icia

ls to

loo

k o

ut o

r see

k fo

r new

info

rmat

ion

on

thei

r ow

n. S

ince

all

ULB

s o

pt t

o le

arn

fro

m D

PR

s, e

ngi

nee

r dra

win

gs,

etc.

, co

llati

on

an

d d

isse

min

atio

n o

f a s

et o

f 'go

od

' DP

Rs

pre

par

ed u

nd

er JN

NU

RM

may

be

of i

nte

rest

to U

LB o

ffic

ials

.

Tab

le 4

.4 p

rese

nts

the

sum

mar

y o

f in

form

atio

n a

nd

kn

ow

led

ge n

eed

s id

enti

fied

by

the

vari

ou

s ci

ties

, wh

ile T

able

4.5

pre

sen

ts th

e cr

itic

al b

arri

ers

iden

tifi

ed. T

he

fin

din

gs a

re p

rese

nte

d in

fou

r cl

ust

ers.

'Tec

hn

ical

' are

th

ose

th

at a

re d

irec

tly

rela

ted

to

nee

d fo

r im

pro

ved

acc

ess

to k

no

wle

dge

and

info

rmat

ion

on

tec

hn

ical

issu

es s

uch

as

pro

ject

cyc

le m

anag

emen

t, G

IS, p

rop

erty

tax

, slu

m u

pgr

adat

ion

, etc

. Man

ager

ial'

are

tho

se t

hat

are

rela

ted

to

eff

ecti

ve m

anag

emen

t o

f pro

ject

s an

d r

efo

rms

pro

cess

es in

clu

din

g n

eed

for

imp

rove

d k

no

wle

dge

an

d s

kills

on

pro

ject

man

agem

ent,

stra

tegi

c d

ecis

ion

mak

ing,

pro

cure

men

t, e

tc. '

Beh

avio

ura

l' ar

e th

ose

rel

ated

to

ho

w t

he

ULB

do

es b

usi

nes

s in

clu

din

g o

n t

akin

g a

coo

rdin

ated

app

roac

h t

o k

no

wle

dge

man

agem

ent,

sta

keh

old

er m

anag

emen

t, m

oti

vati

on

, in

cen

tive

s, e

tc. '

Inst

itu

tio

nal

' are

th

ose

th

at r

efle

ct n

eed

/bar

rier

aris

ing

du

e to

in

stit

uti

on

al c

hal

len

ges

such

as

lack

of

inte

r-d

epar

tmen

tal

coo

rdin

atio

n,

lack

of

visi

on

, la

ck o

f co

ord

inat

ion

bet

wee

n e

lect

ed

rep

rese

nta

tive

s an

d a

dm

inis

trat

ive

off

icia

ls, e

tc. B

elo

w e

ach

nee

d, a

set

of s

ix b

oxe

s co

rres

po

nd

ing

to t

he

six

pilo

ts a

re in

dic

ated

, wit

h h

igh

ligh

ts

mad

e co

rres

po

nd

ing

to U

LBs

wh

ere

the

nee

d/b

arri

er w

as i

den

tifi

ed.

An

y n

eed

/bar

rier

hav

ing

the

mo

st c

orr

esp

on

din

g b

oxe

s h

igh

ligh

ted

,

ther

efo

re, i

s th

e m

ost

imp

ort

ant

in t

erm

s o

f th

e o

vera

ll si

tuat

ion

. Co

llate

d o

bse

rvat

ion

s fr

om

bo

th t

hes

e ta

ble

s, a

s w

ell a

s fr

om

th

is s

ecti

on

as

a

wh

ole

, are

pre

sen

ted

in th

e fo

llow

ing

sect

ion

.

4.4

. Co

mm

on

ly U

sed

Info

rmat

ion

, Kn

ow

led

ge a

nd

Cap

acit

y D

eve

lop

me

nt

Pro

du

cts

4.5

. In

form

atio

n/K

no

wle

dge

Ne

ed

s an

d S

um

mar

y o

f Maj

or B

arri

ers

Ide

nti

fie

d

Tab

le 4

.3: C

om

mo

nly

Use

d In

form

atio

n, K

no

wle

dge

an

d C

apac

ity

Dev

elo

pm

en

t Pro

du

cts

in U

LBs

Pro

du

cts

Develo

ped

Pre

-JN

NU

RM

/ u

pd

ate

dp

ara

llel

to J

NN

UR

M

Legal a

nd r

egula

tory

Engin

eering b

ooks

,le

gal a

nd r

egula

tory

,C

PH

EE

O g

uid

elin

es

CP

HE

EO

guid

elin

es

IRC

guid

elin

es,

IS

Codes

for

Desi

gn,

Natio

nal B

uild

ing

Codes,

Engin

eering

Books

, le

gal a

nd

regula

tory

(A

cts,

Build

ing C

odes,

etc

.)

Legal a

nd r

egula

tory

Legal a

nd r

egula

tory

(Act

s, e

tc.)

CP

HE

EO

guid

elin

es,

Engin

eering B

ooks

,le

gal a

nd r

egula

tory

(Act

s, B

uild

ing C

odes,

etc

.)

Pro

du

cts

De

ve

lop

ed

as

part

of

JN

NU

RM

Tend

erin

g d

ocu

me

nts

JNN

UR

M T

oo

lkits

, m

od

el

docu

me

nts

,do

cum

en

tspre

pa

red

by

NIU

A,A

SC

I,etc

., C

ity to

urs

JNN

UR

M T

oo

lkits

,E-

Govn

, E

-Pro

cure

me

nt,

new

sle

tte

rs/jo

urn

als

of

NIU

A, A

SC

I,Y

AS

HA

DA

etc

., e

xpo

sure

vis

its to

oth

er

JNN

UR

M c

itie

s

Tende

rin

g d

ocu

me

nts

,acc

ou

ntin

g m

an

ua

l

Toolk

its, a

cco

un

ting

manu

al

JNN

UR

M T

oo

lkits

,docu

me

nts

pre

pa

red

by

CG

G,A

SC

I, N

IUA

, e

tc.,

exp

osu

re v

isits

to

oth

er

JNN

UR

M c

itie

s

Gu

ide

line

s, d

ocu

me

nts

,e

tc. p

rep

are

d b

yb

ilate

ral a

ge

ncy

(D

FID

)p

roje

ct

Do

cum

en

ts p

rep

are

d b

yM

EP

MA

No

ne

No

ne

No

ne

Pro

du

cts

D

ev

elo

pe

d

by

Oth

ers

Pro

jec

tsN

am

e o

f U

LB

Am

rits

ar, P

unja

b

Bhuba

nesw

ar,

Odis

ha

Coim

bato

re, T

N

Faridabad, H

ary

ana

Patn

a,

Bih

ar

Vis

akh

apatn

am

, A

P

Pro

du

cts

Develo

ped

as P

art

of

Pro

ject

Cycle

( b

y c

on

su

ltan

ts)

DP

Rs,

engin

eering

desi

gns

DP

Rs,

engin

eering

desi

gns

DP

Rs,

engin

eering

desi

gns

incl

udin

gfr

om

oth

er

pro

ject

s so

urc

es

from

co

nsu

ling f

irm

s

DP

Rs,

engin

eering

desi

gns

DP

Rs,

engin

eering

desi

gns,

Mast

er

Pla

n

DP

Rs,

engin

eering

desi

gns

incl

udin

g f

rom

oth

er

JNN

UR

M c

ities

No

ne

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

3332

Tab

le 4

.4: I

nfo

rmat

ion

/Kn

ow

led

ge N

eed

s Id

enti

fied

in U

LBs

Tech

nic

al

Tech

nica

l exp

ertis

e on

wor

k on

la

rge

and

high

val

ue p

roje

cts

Nee

d to

incr

ease

com

pute

r lit

erac

y am

ong

staf

f

Impr

ove

skill

s on

use

of G

IS, G

PS

to

ols

for

tax

and

plan

ning

pur

pose

Tech

nica

l kno

w-h

ow o

n la

nd r

ight

s (n

otifi

catio

n, d

enot

ifica

tion

of s

lum

s,

tenu

re s

ecur

ity, e

tc.)

Mai

nten

ance

of s

ervi

ces

(city

se

rvic

es a

nd s

lum

ser

vice

s)

Con

flict

res

olut

ion/

dis

pute

re

solu

tion

arou

nd la

nd a

cqui

sitio

n

Man

ager

ial

Man

ager

ial e

xper

tise

on la

rge

proj

ects

Sin

gle

cons

iste

nt s

trat

egy

for

proj

ect m

anag

emen

t (in

clud

ing

time

and

cost

man

agem

ent)

req

uire

d.

Coo

rdin

ated

cap

acity

bui

ldin

g ap

proa

ch r

equi

red

for

the

ULB

Wor

king

with

civ

il so

ciet

y or

gani

satio

ns

Pro

cure

men

t ski

lls -

bot

h w

orks

and

se

rvic

es (

cons

ulta

nts,

etc

.);

cont

ract

s an

d bi

d m

anag

emen

t

Cre

atin

g pu

blic

aw

aren

ess

Beh

avio

ura

l

Bet

ter

coor

dina

ted

man

agem

ent o

f U

LB c

apac

ity b

uild

ing

Sta

keho

lder

inte

rest

man

agem

ent

Inst

itu

tio

nal

Incr

ease

aw

aren

ess

amon

g en

d us

ers

on th

e se

rvic

e im

prov

emen

ts

achi

eved

/ ref

orm

s un

dert

aken

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

Tech

nic

al

Fin

anci

al s

truc

turin

g of

pro

ject

s

Eng

agin

g w

ith th

e pr

ivat

e se

ctor

/ ac

cess

ing

capi

tal m

arke

t for

in

fras

truc

ture

del

iver

y

Mon

itorin

g an

d ev

alua

tion

of

proj

ects

and

ref

orm

Impl

emen

tatio

n of

pro

pert

y ta

x re

form

s, in

clud

ing

incr

ease

of t

ariff

s,

etc.

Impl

emen

tatio

n of

DE

AS

ref

orm

Man

ager

ial

Est

ablis

hmen

t of J

NN

UR

M

Rev

olvi

ng F

und

and

its o

pera

tions

Beh

avio

ura

l In

stit

uti

on

al

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

3534

Tab

le 4

.5: C

riti

cal B

arri

ers

Ide

nti

fie

d o

n A

cce

ss to

Kn

ow

led

ge/I

nfo

rmat

ion

in U

LBs

Tech

nic

al

Lim

ited

awar

enes

s on

info

rmat

ion

and

capa

city

bui

ldin

g op

port

uniti

es

avai

labl

e at

mid

- an

d ju

nior

-leve

ls

No

mot

ivat

ion

exis

ts to

lear

n ne

w

tech

niqu

es/ t

echn

olog

ies

Lack

of d

epen

dabl

e da

ta /

data

m

anag

emen

t sys

tem

s, in

clud

ing

on

the

poor

Lang

uage

bar

riers

mak

e it

diffi

cult

to a

cces

s le

arni

ng, e

spec

ially

e-

lear

ning

Com

pute

r aw

aren

ess

alm

ost

negl

igen

t

Man

ager

ial

No

ULB

leve

l dat

abas

e ex

ists

on

trai

ning

pro

gram

s un

dert

aken

and

na

mes

of p

artic

ipan

ts

Exc

essi

ve w

orkl

oad

on q

ualit

y st

aff

Sta

te-le

vel m

onito

ring

of J

NN

UR

M

as a

who

le is

not

effe

ctiv

e

Beh

avio

ura

l

Lear

ning

from

impl

emen

ting

JNN

UR

M p

roje

cts

not

mai

nstr

eam

ed in

to d

ay-t

o-da

y U

LB

func

tions

(sm

alle

r pr

ojec

ts, e

tc.)

Lack

of m

otiv

atio

n to

impl

emen

t re

form

s be

low

dec

isio

n m

akin

g le

vel

Trai

ning

pro

gram

s un

dert

aken

but

no

ass

essm

ent d

one

on th

eir

effe

ctiv

enes

s

Inst

itu

tio

nal

Lack

of c

oord

inat

ion

betw

een

vario

us d

epar

tmen

ts a

nd a

genc

ies

Lack

of a

com

mon

vis

ion

betw

een

polit

ical

and

tech

no-a

dmin

istr

ativ

e st

akeh

olde

rs

Lack

of a

ny in

form

atio

n/ k

now

ledg

e sh

arin

g pl

atfo

rm in

ULB

Ove

rdep

ende

nce

on e

xter

nal

cons

ulta

nts

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

A

m

Bh

C

o

Fa

P

a

Vi

Sou

rce:

UK

NA

Stu

die

s u

nd

erta

ken

by

NIU

A a

nd

CEP

T, 2

01

1/1

2

3736

SECTION 3 – WAY FORWARD

5. Study Findings and Way Forward

5.1. Observations and Recommendations

The synthesis study indicates that knowledge management within ULBs is very weak. In addition, technical

knowhow and project management skills to manage large infrastructure projects and reforms action are

extremely limited. Compounding is the problem of multiplicity of institutions that provide services, and

weak inter-departmental coordination within ULBs.

Traditionally, the primary means of acquiring new knowledge has been through training. As Indian ULBs

usher towards a new era of large infrastructure project cycle management, and reforms implementation,

new means of sharing knowledge and information within organisations, as well as with peer institutions is

required. The urban sector environment in India, with advent of JNNURM-2,is well-poised to make this

happen, if the right catalyst is provided.

Many states are gearing to set-up/professionalise municipal cadres to respond to the increased skill

demands at the ULB level. Some states such as Andhra Pradesh and Madhya Pradesh have already taken

positive steps in this direction, and there is a lot to learn from these states. Learning from both these states

indicate that an organisation development (OD) approach is required that looks at both institutional

restructuring to respond to new challenges, as well as knowledge management and capacity building to

cater to needs of the next generation ULBs.

Table 5.1 below outlines key findings of this study and presents a set of recommendations that can be taken

up under the PEARL program as a whole, as well as under the Cities Alliance funded component of PEARL.

Table 5.1: Key Observations and Recommendations

Observations

Technical knowhow on a range of subjects is

very weak. These include:

· project cycle management (identification,

development, implementation) of large

infrastructure projects;

· financial structuring of projects;

· O&M of city wide and slum services;

· skills on use of GIS and GPS;

· notification and de-notification of slum

Recommendations

· P re p a re a s e r i e s o f k n o w l e d g e

dissemination activities that focus on

these areas. New ways of creating learning

within ULBs will have to be developed so

t h a t k n o w l e d g e c a n b e b e t t e r

institutionalised.

· States should look at creation of

professional municipal cadres. This will

create a potential to restructure and

1.

induct staff based on specialist skills that

are required for ULB functioning.

Improved ULB functioning is likely to

create increased own revenue generation

that could pay for a substantial part of

likely revenue costs for inducting new staff.

· For areas such as PPPs, accessing market

f i n a n c e , re s p e c t i ve s tate u r b a n

departments may consider setting up a

PPP Cell that can provide support to all

ULBs in the state.

· For ensuring effective coordination of

reforms across ULBs, dedicated reforms

Cell/Units may be set-up at the state urban

departments. This has been done in

Andhra Pradesh (MEPMA), Madhya

Pradesh (MSU), among other states.

Staffs need to be trained and motivated to use

c o m p u t e r s f o r e v e r y d a y w o r k .

Computerisation of key functions such as

revenue, payroll/pension, administration

should be undertaken first to allow all related

departments to follow suit.

Collation and dissemination of a set of 'good'

DPRs prepared under JNNURM may be of

interest to ULB officials. Peer networks such as

PEARL can be used as an effective tool for

knowledge management in ULBs.

Need for creating a central point in HR section

m a n a g i n g a d a t a b a s e o f t r a i n i n g

received/knowledge management activities

accessed, so that a coordinated approach to

knowledge management can be taken.

The role of internet in knowledge acquisition

and management in ULB needs strengthening.

areas, and tenure security;

· c o n f l i c t r e s o l u t i o n o n l a n d

acquisition/management issues;

· structuring of PPPs and accessing capital

markets;

· implementation of property tax reforms;

implementation of double entry accrual

based accounting reforms;

· p r o c u r e m e n t a n d p r o c u r e m e n t

management;

· monitoring and evaluation;

· creating public awareness;

· setting-up and operationalisation of

JNNURM Revolving Fund; and

· e-governance and other e-based tools for

improved performance management.

Computer training is essential

Peer learning plays an important role in

knowledge transfers.

Frequency of access to knowledge reduces

down the hierarchy

Poor access to internet, especially in mid- and

lower-echelons of the ULB

Observations Recommendations

2.

3.

4.

5.

3938

Most knowledge acquisition is from

organisational sources

Stakeholder engagement for knowledge

management is weak

Centralisation of decision making powers

Lack of common vision between elected

representatives and administrative machinery

Weak inter-departmental coordination within

the ULB

I n e f f e c t i v e i n t e r - d e p a r t m e n t a l

communication; information flow within ULBs

is weak

Multiplicity of institutions for service delivery

ULB staff should be encouraged to access

knowledge from non-organisation sources

including from the private sector, academic

institutions, etc.

ULB staff need to be capcitated and motivated

to engage with NGOs, consultants, academic

institutions, etc. for effective knowledge

acquisition at an individual and departmental

level.

Need to increase devolution of decision-

making powers (both functional and financial).

Need to ensure coordinated approach

between elected representatives and

administrative team

An OD exercise may be undertaken to

d e t e r m i n e h o w t o i m p ro v e i n t e r -

departmental communication within a ULB.

The OD exercise should also look at how the

ULB can be (re)structured best to achieve its

objectives, as well as take into account

potential interest of the state to create

professional municipal cadres.

Create informal inter -departmenta l

communication channels, especially when

implementing projects on a mission-mode

approach.

The OD exercise can help identify various areas

where multiplicity of functions happen, and

can suggest means of addressing these. cities

like Bhubaneswar and Visakhapatnam have

set-up dedicated JNNURM Cell and have

benefitted through defined responsibility and

greater accountability.

Observations Recommendations

6.

7.

8.

9.

10.

11.

12.

Observations Recommendations

Clear budgetary links between knowledge

acquisition and results to be achieved needs to

be brought in towards motivating ULB staff

Need to Increase awareness among end users

on service improvements achieved/reforms

undertaken

Motivation of ULB staff to acquire new

knowledge/information by linking it to

performance assessment may be introduced.

Proper training impact evaluation needs to be

undertaken after training has been provided –

this should be done at end of the training as

well as after six months of provision of

training.

Care should be taken that training is provided

in a language that is acceptable to the

concerned trainees.

ULBs will need to continue using services of

external consultants. However, ownership of

the project cycle management and reforms

implementation should remain within the ULB

Awareness on the need for undertaking formal

KNA in a ULB is important.

Lack of clear linkage between budgetary

provision for knowledge acquisition and

results achieved

Public awareness on the reforms agenda and

improved service provision is not observed

Weak motivation among ULB staff to access

new knowledge

Effectiveness of training undertaken by ULB

staff not available

Language barriers are critical barriers in

receiving training

Overdependence on external consultants

Formal knowledge needs assessment not

undertaken in ULBs

13.

14.

15.

16.

17.

18.

19.

5.2. Way Forward

Based on the above observations and recommendations, three actions under way forward are presented:

1. Adapt PEARL Network so that it is able to respond to the recommendations indicated earlier more

proactively. A PEARL team meeting can be undertaken to discuss findings of this report, and

brainstorm on how PEARL best can respond to the identified challenges.

4140

2. Pilot OD Study in at-least one of the six pilot ULBs. This study can be undertaken by a specialist

organisation contracted by NIUA under the PEARL-CA component.

3. Share report and findings with regional training institutes so that they can incorporate suitable

recommendations into their present approach of delivery capacity building activities.

ANNEX

Annex 1.1: List of People Met

Name Designation and Organization

Account Department, Municipal Corporation of Amritsar

BSUP Project Team

SWM Team

User Charges Team

FARIDABAD

Dr. D. Suresh Commissioner, Municipal Corporation, Faridabad

Mr. Anil Mehta XEN, MCF, Faridabad

Mr. D.K. Mittal Assistant General Manager, NBCC, Faridabad

Mr.R. S. Yadav Project Manager, NBCC, Faridabad

Mr. V. Kaushik Accountant, MCF, Faridabad

Mr. Anil Batra Establishment Officer, MCF, Faridabad

Mr. C. K. Katara Chief Engineer, MCF, Faridabad

AMRITSAR

Mr. Dharmapal Gupta Commissioner, Municipal Corporation, Amritsar

Mr. Prem Kumar Deputy Controller Finance and Accountant

Mr. Ashwani Bhagat Accountants

Mr. Manu Sharma Accountants

Mr. Pankaj Kapoor Accountants

Mr. Manmohan Arora Accountants

Mr. Chiranjivlal Accountants

Mr. VK Anand XEN, MCA

Mr. Avtar Singh A.E., MCA

Mr. R.S Kahlon J.E., MCA

Dr. Yogesh Arora Medical Officer

Mr. BhawaniShanker Superintendent

Mr. G.S. Bhullar Chief Sanitary Inspector

Mr. Harjeet Singh Chief Sanitary Inspector

Mr. M. Singh Manager, Anthony Waste Handling Cell Pvt. Ltd.

Mr. Anil Chandala Workshop Manager, Anthony Waste Handling Cell Pvt. Ltd.

Mr. A. Singh Workshop Manager, Anthony Waste Handling Cell Pvt. Ltd.

Mr. Jasvinder Singh Superintendent Engineer

Mr. Sunny Makkar System Manager

Mr. Ranjit Singh Draftsman

Mr. Anil Arora Superintendent

PWSSB

Mr. Arvind Mahajan Executive Engineer

Mr. Harinder Kumar Superintendent Engineers

Mr. Ramesh Sehghal

PATNA

Mr.Hashi Shekhar Sharma Principal Secretary, UD&HD, Bihar

Mr.Chandrama Singh Addl. Municipal Commissioner, PMC

Mr. Ravindra Kumar Chief Engineer, Water Supply, PMC

BHUBANESHWAR

Mr.SaurabhGarg Commissioner cum Secretary, U&HDD, Orissa

Mr. Vishal K. Dev Commissioner, BMC

Smt. SumitaSarkar Establishment Officer, BMC

Mr. Shekhar Suman IT Associate & Cluster Coordinator, SPUR: BMC

Mr. Siddharth Pujari Principal Consultancy: IT- PMU, BMC

Er. B. K. Parida Project Engineer, OWSSB

Er. SarbeswarBarik OWSSB

Mr.Abhai Krishna Sinha Chief General Manager, BUIDCo

COIMBATORE

Mr.T.K. Ponnusamy Commissioner, CMC

Mr. K. Boopathy Superintending Engineer, CMC

Mr. A. Lakshmanan Executive Engineer, CMC

Mr. M. Ravi Junior Engineer, CMC

Mr. K. Meenakumari Junior Assistant, CMC

Mr. G. Srinivassan JE, CMC

Mr. S. Baskar Coordinator, City Technical Advisory Group

VISHAKAPATNAM

Dr.Rajenda Krishna Head HRD, VMC

Mr. Ravi Executive engineer, JNNURM, VMC

Mr. D Venkataratnam Chief city planner, VMC

Mr. BD Rambabu Project coordinator UCD projects, VMC

4342

An

nex

3.1

: A

dm

inis

trat

ive

Str

uct

ure

, etc

.

An

nex

3.1

(a):

Sta

teE

xecu

tive

Str

uctu

re

Am

rits

arP

unja

bS

taff

– 1

Mun

icip

al C

omm

issi

oner

1 A

dditi

onal

Com

mis

sion

er1

Ass

ista

nt C

omm

issi

oner

1 D

ep. C

ontr

olle

r (F

&A

)1

Dep

. Con

trol

ler

(L&

A)

1 S

ecre

tary

JE

O1

Sup

erin

tend

ent

1 H

ead

Cle

rk1

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or C

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4544

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teD

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tal

isat

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Am

rits

arD

epar

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ts in

MC

A –

39;

K

ey D

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ts:

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trat

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ticul

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n P

lann

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ring/

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lic W

orks

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and

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s

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adC

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in M

CF

– 6

; No.

of

depa

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ents

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5 A

dmin

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gLe

gal

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nnin

gF

ire B

rigad

e

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na

Dep

artm

ents

in P

MC

- 9

Eng

inee

ring

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lth &

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itatio

n R

even

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& A

ccou

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l U

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stat

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war

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MC

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F

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7 H

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s (P

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nnin

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mun

ity

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even

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Pub

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An

nex

3.1

(b):

Org

anis

atio

n S

tru

ctu

re o

f St

ud

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Cit

y C

orp

ora

tio

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ne

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anka

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h

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ista

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ne

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om

mis

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r

4746

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4948

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an

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sioner

(1)

Mark

et S

uperinte

ndent (1

)

Adm

inis

trativ

e O

ffic

er

(1)

Tow

n P

lannin

g O

ffic

er

(1)

Sub. O

ffic

er

(2)

Dy.

Offic

er

(3)

Chie

f A

udito

r (1

)

Vig

ilance

Offic

er

Tech

nic

al (

1)

Ass

ista

nce

(6)

Est

ablis

hm

ent O

ffic

er

(1)

Ass

t.A

dm

inis

trativ

e O

ffic

er

(2)

Exc

ecu

tive E

ngin

eer

(2)

Ass

t. E

ngin

eer

(2)

Add. A

ssis

tant. E

ngin

eer

(2)

CA

D O

pera

tor

(1)

Data

entr

y O

pera

tor

(1)

Sr. T

ax

Offic

er

(1)

Zonal &

Tax

Offic

er

(2)

Exe

cutiv

e E

ngin

eer

(4)

Med. O

ffic

er

(2)

Ass

t. E

ngin

eer

speci

al (

6)

Junio

r E

ngin

eer

(5)

Conse

rvancy

Offie

cr (

2)

Ass

t. T

PO

(3)

Sub. E

ngin

eer

(2)

ED

P M

anager

(1)

Ass

t. E

ngin

eer

(18)

Adm

in.O

ffic

er

(2)

Ass

t.M

anager

(1)

Dy.

Envi

ronm

ent O

ffic

er

(1)

Ragis

ter

Birth

& D

eath

(1)

Sanita

ry S

uperv

isor

(3)

Sanita

ry Insp

ecto

r (4

)

Co

mm

issio

ner

Sou

rce:

Pri

ma

ry S

urv

ey a

nd

MC

F, 2

01

1

5150

Ass

ista

nt C

om

issi

oner

Secr

eta

ry J

EO

Superinte

ndent

Head C

lerk

Junio

r C

lerk

Cle

rk

Peon

Sta

ff

Co

mm

issio

nerm

, A

S

Add. C

om

mis

sioner

XE

N

SD

O

Junio

r E

ng.

Build

er

S.E

.(C

ivil)

Sta

ffS

taff

S.E

. (O

& M

)

XE

N

SD

O

Junio

r E

ng.

Build

er

Am

rits

ar M

un

icip

al C

orp

ora

tio

n

An

nex

3.2

: JN

NU

RM

Ref

orm

Sco

reca

rd f

or

sele

cte

d c

itie

s (a

s o

n 3

1.1

2.2

01

2)

5352


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