United Nations Development Programme United Nations Development Programme Indi ‘Annual Work Pian 2009 ry Removal of Barriers to Energy Efficiency Improvement in dean) Steel Re-Rolling UNDAF Outcom ‘Communities are aware of their vulnerabilities and adequately prepared to manage (and reduce) disaster and environmental related risks. Expected CP Outcome: Energy efficiency improvements in Stee! Rerolling Mills (SRAM) inindia Expected CP Output: Energy efficiency in steel re-roling mills Implementing Partner Ministry of Steel, Government of india Responsible Party: Ministry of Steel, Government of India Description ‘The project seeks to reduce greenhouse (GHG) emissions by providing technical assistance to the small and medium-sized steel-reroling mills in India to enable them to adopt more energy efficent and environmentally friendly technologies. Outputs and activities for year 2009 are; 1. "Benchmark for eco-tech options and packages established’ ‘+ studies on pre and post installation of technology packages consolidated and other relevant studies completed 2, ‘strengthened institutional arrangements’ ‘+ capacities of resident missions leveraged to help implementing technology packages in SRRMs, 3, ‘Effective Information Dissemination Programme’ ‘* documenting improvements in model units, updating knowledge management portal, publication of newsletters, ‘Enhanced Stakeholders Capacity * awareness visits to stakeholders on best practices, new technologies in India and abroad, international visits to help technology adoptions, training of plant personnel, electrical energy audit for model units (15 nos), awareness workshops (5 nos), training on Standard Operating Practices (SOP) and Standard Management Practices (SMP) (5 units), ISO 9001-14001 (5 units), 5S Jean manufacturing (5 units), and financial linkage workshop 5, ‘Feasibility of ET options and technology packages established! ‘Selection of 20 model units, benchmarking of CO; emission for use of coal producer gas, establish baseline parameters in 15 model units, commissioning of model units, explore use of biomass briquettes, and 6, Energy Service Company and Third Party Financing ‘Review of scope for ESCO and TPF in SRAM, 72009 AWP budget so 917,000 Programme Period 20082012 Total resources required 506,750,000 ey Rest rea StegicPlan: Mainstreaming nergy® | | Totalalocated sources; on Environment + Regular — Alas Award: 4873 eon Start date ‘api 2008 $ End ate December 2008 Se commen gama PAC Meeting Date 7 November 2008, Ones Management Arangements ‘National eee Implementation Ines Contributions “Ue £ -* National Project Coordinator (Stee!) Project Management Cell 301-996, Aurobinde Place ‘Agreed by UNDP: 1 7 Hauz Khas, New Oelhi.t10 » Agreed by (Implementing Partner): Deirdre Boyd UNDP Country DirectorUnited Nations Development Programme TABLE OF CONTENTS [ Section = _ Page no. ~~ [List of acronyms 3 Li | Project overview : 4 2 __| Annual Work Plan and Budget (AWPB)-2009 a 2 Management Arrangement E 2 \4 | Monitoring framework and evaluation _ uJ 5 Quality Management for Project Activity Results 20 6 Legal context az | Annexure i) General responsibilities of the Government, n UNDP and Executing Agency (Annexure 1) ii) Risk Log (Annexure 2) “ —_—__1___ ——$<$—<——United Nations Development Programme LIST OF ACRONYMS DEM Domestic Equipment Manufacturers pst Development of Science & Technology GHG Green House Gases HRD Human Resource Development Industrial Credit and Investment Corporation of cic India IREDA Indian Renewable Energy Development Agency ‘MOEF Ministry of Environment & Forest ‘Mos Ministry of Steel. NPD National Project Director Promotion And Support to Industry for Technology PATSER Development Psc Project Steering Committ. apr Quarterly Progress Report RPD Roll Pass Design sipBi ‘Small industries Development Bank of India SMP Standard Maintenance Practices soP ‘Standard Operating Practices RRM ‘Steel Re-rolling Mills swoT ‘Strengths, Weaknesses, Opportuni ‘1oB Technology Development Board TIRFAC Technology Information Resource Facilities Center UNDP United Nations Development ProgramUnited Nations Development Programme 1. Project Overview: 1.1 Situation analysi ‘The iron and steel industry Is one of the fundamental sectors contributing to the economic development of the country. India is the Sth largest producer of steel in the world. However, the intensity of energy use in Indian steel industry is high, Amongst eight major steel producing countries, the intensity of energy use as well as scope of energy saving is highest in india followed by China, Brazil, Poland, US. France, Japan and Germany. The Ministry of Steel recognizes the fact that the future growth prospects ofthe steel industry in India would largely depend upon the likely interventions for energy efficiency improvement, pollution abatement and cost reduc The steel rerolling mil sector constitutes an unavoidable link in overall supply chain of stee! in the country It largely consists of small and medium enterprises (SMEs) with 75% of units in the small scale. This sector grew haphazardly in the past with out-of-date technologies and practices largely with own capital. The sector has a large aggregate ‘capacity and enjoys a competitive edge over the major producers due to their flexibility in production for meeting low tonnage requirement in various grades, shapes and sizes to serve niche markets, ‘The intensity of energy-use in the sector is relatively high. Heating fuels (furnace ol, natural gas, and coal), electrical energy, scale loss and yield are the major energy-related cost factors in SRAM sector and amount to between 15 — 130% of overall production cost and 75-90% of the value addition, depending upon technology deployed and local Conditions. The SWOT Audit conducted in POF phase revealed that the overall situation is unsatisfactory. The ‘weaknesses and threats transcended the strengths and opportunites. The sector is characterized by growing niche markets, capability to meet low volume requirements in various steel grades and shapes to variety of customers land there is a potential opportunity for large-scale penetration of energy efficient and profitable investments on low GHG emission technologies that improves bottom lines of the sector. The sector has potential threats on ‘account of enhanced environment enforcement action, declining competitiveness and closure. 1.2 Project Design - Integration of Stakeholder Factors The project design is based on developing innovation cycle in the SRRM sector. This comprises nature and types of “win-win" EE technologies, technology transfer & diffusion, investment and providing continuous research, technology development & demonstration (RTD) platform. In order to minimize the project risks and to ensure national level ownership, the stakeholders’ participation/consultations have been the key feature of the project design. The primary stakeholders involved areFront-rank SRRM units, Private Small & Medium Enterprises and Industry Associations, Technology Providers and Domestic Equipment Manufacturers, Regional & National Level Consulting Firms and Organizations including Principal Consultants to the project, Government & Related Agencies like MOS, MOEF, DS&T,IREDA State & Central level Pollution Control Boards, Director Industries of States etc, Academic & Research, Design & Development Institutions, Multilateral & Bilateral Banks including donor agencies and financial institutions like SID81, ICICI, TOB/PATSER, IREDA, EXIM Bank etc,and UNDP ‘The various stakeholders meetings / consultations established the link between the current EE performance and technical, financial and market barriers in the sector resulting from non-implementation of energy and ‘environment strategies specific to the SME sector of this kind. Based on study of EE investments, stakeholders’ ‘workshops and barrier removal workshop were held in the POF phase, where the major barrie to accelerated Penetration of EE technologies in the sector and their widespread replication were recognized. The current EE project has been designed integrating all factors or concerns ofthe stakeholders that have a noticeable impact on working of the industry. 1.3 System Boundary - Internal and External Dependencies This project design adopts the concept of an inner and outer system boundary. Division is important when one considers components of project design, which addresses components inside the SRRM sector and also components, Which address outside of the domain or simply referred to as external dependencies. The common goal, however, is reduction in GHG emissions. 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MoS will designate a senior official /oint Secretary rank) as the National Project Director (NPD) for the project. The NPD will be responsible for overall management, including achievement of planned results, and for the use of UNDP funds through effective management and well established project review and oversight mechanisms. 19 Committee (PSC): PSC will be responsible for ensuring the project implementation with agreed project design and consistent with national and state development policies. The PSC will meet quarterly in a year and will provide required oversight and also ensure the overall co-ordination of the project. The PSC will be Page No: 013,inited Nations Development Programme chaired by the NPD as above and will comprise officals from the MoS and UNDP: The meeting} PSC will be convened by the NPD. The PSC will carry out the following functions: ‘+ Ensure that the project goals and objectives are achieved in a defined timeframe; + Review the project progress and suggest implementation strategies periodically; ‘Review the project expenditures against activities, outputs and outcomes; ‘© Approve Annual and Quarterly Work Plans, and Provide progress report for feedback and review. The PSC will be responsible for making, by consensus, management decisions for the programme and holding periodic reviews. In order to ensure UNDP's ultimate accountability the final decision making rests with UNDP in accordance with its applicable regulations, rules, policies and procedures. Programme Management Board (PMB) established for the Energy & Environment Outcome (Outcome 1.1 in CPD/CPAP) and co-chaired by MoEF and UNDP will oversee the delivery and achievements at the Programme Outcome level and this project's contribution to the higher evel results outlined in the appraised project document. The PMB comprises all the implementing partners (represented by NPDs {and SPDs) for the Energy & Environment Programme area, concerned GEF-Operational Focal Point and relevant stakeholders identified in consultation with UNDP and implementing Partners. The PMB will ‘meet twice a year to assess and analyze the progress towards achievement of planned objectives, outputs, outcomes and provide strategic directions for future programmes in this outcome area. The PMB will also appraise the new programme initiatives prior to sign off with the Implementing Partners. Department of Economic Affairs, Ministry of Finance will bea special invitee to the PMB meetings. Project Management Cell (PMC) headed by NPD is implementing the project. National Project Coordinator will carry out day to day activities with the help of other technical and financial support. ‘The NPD will be assisted by NPC and other staff in PMU in implementing the project. 3.1.3 National Project Coordinator (NPC) ‘Aull time NPC will be designated by the MoS for day-to-day management of the project. The NPC will provide support to NPD in the management of the project, and will be accountable to the PSC. NPC will Closely liaise with UNDP for project activities and results. S/he will prepare the detailed activity and, ‘monitoring plan based on the annual work plan (AWP) and budgets and submit it to the PSC for approval ‘The NPC will head the project management cell to ensure that the component produces the results specified in the project document, to the required standards of quality and within the specified constraints of time and cost. The NPC will prepare and submit to UNDP the following reports/documents: Annual and Quarterly Work Plans, Quarterly and Annual Progress Reports (substantive and financial), Issue Log, Risk Log, Quality Log, Lessons Learnt Log, Communications and ‘Monitoring Plan using standard reporting format to be provided by UNDP. S/he will also provide inputs as required for the PMB, ‘The NPC will work in close collaboration with relevant stakeholders and undertake periodic monitoring and review of project activities. Project Communication In order to accord proper acknowledgement to GEF for providing funding, a GEF logo should appear on all relevant GEF-supported project publications, including among others, project hardware, if any, purchased with GEF funds, Any citation on publications regarding projects funded by GEF should also. Page No: 014United Nations Development Programme ‘accord proper acknowledgement to GEF. The UNDP logo should be prominent ~ and separat the GEF logo. 3.1.3 Project Advisory Committee (PAC) and supportteams: MoS will establish and institutionalize a technical advisory committee, support teams and any other ‘committees as and when needed with the approval of the PSC. The technical advisory committee will have the following roles and responsibilities. ‘+ Advise the project team on technical issues. ‘© Review of energy audits and data management, ‘© Advise on technology selection ‘© Suggest policy issues of relevance to technology adoption in SRRM Sector. Joint Secretary in the Steel Ministry with his vast steel industry experience will be the Chairman of the PAC. 3.1.4 Project Assurance Project Assurance will be the responsibility of UNDP. The Project Assurance role will support the PSC and PMB by carrying out objective and independent project oversight and monitoring functions. During the implementation of the project, this role ensures (through periodic monitoring, assessment and evaluations) that appropriate project management milestones are managed and completed. NPO supported by the Project Coordinator, will convene an annual review meeting involving the implementing Partner, Responsible Parties and other relevant stakeholders to review the progress in the previous year and discuss the work plan for the coming year. The annual review may be combined with the fourth quarter PSC meeting as appropriate. An independent external review may be ‘conducted through resource persons/groups to feed into this process. Project Assurance and Project Coordinator will meet regularly and at least once ina fortnight to review the project progress. 3.2 Funds Flow Arrangements and Finan: I Management: The MoS will make suitable provisions in its budget for UNDP funds for this project. MoS will receive funds directly from UNDP and will account for the funds received from UNDP. The funds will be released on a quarterly basis through the standard Fund Authorization and Certificate of Expenditures (FACE) Report duly certified and signed by NPD. No funds shall be released by UNDP without prior submission of a duly filled and signed FACE report. lin case of advance releases only after 80% of the last advances and 100% of all the previous advances are spent will the next tranche of advances be released. The NPC will be responsible for compilation and collation of these Financial Reports. Unspent funds from the approved AWPs will be reviewed in the early part of the last quarter of the calendar year and funds reallocated accordingly. The detailed UNDP financial guidelines will be provided on signature of the project. A separate bank account will be maintained to track and report the utilization on GEF-UNOP funds This will be operated in the name of the project. Separate books of account shall also be maintained in order to ensure accurate reporting of expenditure and providing a clear audit trail. Any interest accrued on the project funds during the project cycle will be ploughed back into the project in consultation with GoTN and UNDP and project budgets will stand revised to this extent. If there is no scope for ploughing, back the interest will be refunded to UNDP and project budget revised accordingly. MoS may enter into an agreement with UNDP for support services inthe form of procurement of goods ‘nd services during the project implementation process. In such a case, appropriate cost recovery will Page No: 015United Nations Development Programme be charged as per UNDP rules and regulations. The support services will be outlined in the for Letter of Agreement signed between MoS and UNDP. [As may be noted in the budget above, 0.5% of the total project budget has been allocated for communication, advocacy and accountability purposes undertaken by UNDP. 3.3 Audit: ‘The project shall be subject to audit in accordance with UNDP procedures and as per the annual audit plan drawn up in consultation with MoS. The project shall be informed of the audit requirements by January of the following year. The audit covering annual calendar year expenditure will focus on the following parameters - (a) financial accounting, documenting and reporting; (b) monitoring, valuation and reporting; (c) use and control of non-extendable reporting; (d) UNDP Country Office support. In line with the UN Audit Board requirements for submitting the final audit reports by 30 April, the auditors will carry out field visits during February/March. Detailed instructions on audit will be circulated by UNDP separately and on signature. 4. MONITORING FRAMEWORK AND EVALUATION. Project monitoring and evaluation will be conducted in accordance with established UNDP and GEF procedures. The details of Monitoring and Evaluation Plan have been enumerated in the attached GEF- approved proposal. This plan will be presented and finalized at the Project Steering Committee following a collective fine-tuning of indicators, means of verification, and the full definition of project staff M&E responsibilities. ‘The project will be monitored through the following: This would include field visits as well as reports such as progress reports, annual reports and annual reviews in standard UNDP formats and as per UNDP's web-based project management system (ATLAS), Within the annual cycle, the NPC in consultation with the NPD and UNOP will ensure the following: Within the annual cycle > Ona quarterly basis, a quality assessment shall record progress towards the completion of key results, based on quality criteria and methods captured in the Quality Management table below. > An Issue Log shall be activated in Atlas and updated by the NPC to facilitate tracking and resolution of potential problems or requests for change. > Based on the initial risk analysis submitted (see annex 1), a risk log shall be activated in Atlas and regularly updated by reviewing the external environment that may affect the project implementation. > Based on the above information recorded in Atlas, a Project Progress Reports (PPR) shall be submitted by the NPC to the Project Board through Project Assurance, using the standard report format available in the Executive Snapshot. > Aproject Lesson-learned log shall be activated and regularly updated to ensure on-going learning and adaptation within the organization, and to facilitate the preparation of the Lessons-learned Report at the end of the project ‘A Monitoring Schedule Pian shall be activated in Atlas and updated to track key management actions/events ‘Annual Basis: Page No: 016United Nations Development Programme Annual Review Report: An Annual Review Report shall be prepared by the NPC and shared Project Board and the Outcome Board. As minimum requirement, the Annual Review Report shall Consist of the Atlas standard format for the QPR covering the whole year with updated information for each above element of the QPR as well as a summary of results achieved against pre-defined annual targets at the output level. Annual Project Review: Based on the above report, an annual project review shall be conducted during the fourth quarter of the year or soon after, to assess the performance of the project and. appraise the Annual Work Plan (WP) for the following year. In the last year, this review will be a final assessment. This review is driven by the Project Board and may involve other stakeholders as required, It shall focus on the extent to which progress is being made towards outputs, and that these remain aligned to appropriate outcomes, Project Evaluation: A mid-term project evaluation will be carried out in July 2010 to assess the progress of the project in meeting its objectives as outlined in the document. In July 2012, an outcome evaluation will be conducted to review the overall impact of the project. ‘Monitoring system and tools ‘An MBE system within the overall results framework outlined in the project brief will be established. ‘The Project Management Unit should use a variety of formal and informal monitoring tools and mechanisms. ‘This would include field visits as well as reports such as progress reports, annual reports and annual reviews in standard UNDP formats and as per UNDP's web-based project management system (ATLAS). Within the annual cycle, the Project Coordinators in consultation with the NPD and UNOP will ensure the following: Quarterly basis + Ona quarterly basis, a quality assessment shall record progress as per established quality | Aqustoip 2607906 ASO} xn 0 } | ur saBueyp aq Aew ayy | uonesadoo> pue LO __| tonsa | _preoguo aiesuunst Apeaiy vonedpnied yeod | 1 (proms o randy | (1g stccsy | so saiopdn prorat ‘awabouoy | PaowoInD (papior21 | wawiabouoy | Bursn K1ssarau sD s9x0q 21010005 st | ony | Aeon Br | an aus ooropagpons vn sonv) ‘onvun | ssnsouyy | squospry at ogo puewapuno pa | Silicon sy caproie aa | woes) nba | puso aun 04 Paes Buren saa | orpoaoads | | on | youn L eum | _ sSuyyseinseeusrune> Sa asa enna auues3o1g jwoudojasaq suoneN partu;)