1

Index

1 Vision, Mission, Main Objectives, Scope : 3

2 Guiding Principles : 4
3 Coverage : 4
4 Sunset Clause : 4
5 Mechanism & Process : 4
6 Structure : 5
7 Scope & Role of NCF : 6
8 Focus Areas : 7
9 Major Ongoing CSR Programmes 7
10 Fund Allocation & Expenditure : 8
11 Planning & Implementation : 9
12 Broad Procedure for Consideration of Proposals : 10
13 Guiding Principles for Selection of CSR initiatives : 11

14 Implementation, Monitoring, Evaluation & : 12 – 13

Reporting & MIS

Annexures

14 Annexure – I - Implementation Strategy : 15 – 17

15 Annexure – II - Monitoring & Evaluation Strategy : 18 – 19
16 Annexure – III - Focus Areas – Details : 20 – 24
17 Annexure – IV - Major Ongoing CSR Programmes : 25 – 26
18 Annexure – V - Schedule-VII of Companies Act : 27
19 Annexure – VI – Working Mechanism : 28
20 Annexure – VII - Guidelines for CSR Fund : 29
Allocation
21 Annexure – VIII - Specific details required for : 30
examination of CSR proposals - Format
22 Annexure – IX - Fund release pattern & : 31 – 32
mechanism
23 Annexure – X - Indicative Outlay linked Costs for 33
Baseline Survey, Monitoring & Evaluation, Impact
Assessment of CSR initiatives
24 Annexure – XI - Indicative Outlay linked Project 34
Management Cost

2
1.0 Vision

To strive for excellence in promoting Sustainable Development and

improvement in quality of life of surrounding communities through CSR
initiatives, based on ethical, transparent, accountable and sound
governance practices.

2.0 Mission

To emerge as a responsible corporate leader in Sustainable CSR Initiatives

through innovative partnerships/programmes, strategic collaborations and
stakeholders engagement in order to promote inclusive community growth.

3.0 Main Objectives

Ensure increased commitment at all levels in the organization, to operate

its business in an economically, socially & environmentally sustainable
manner, while recognizing the interests of all its stakeholders.

To take up programmes directly or in partnership which benefit the

communities in & around its work centres, in enhancing the quality of life
& economic well-being of the local communities.

To generate, through its CSR activities, goodwill and pride for NMDC
among stakeholders and help reinforce a positive & socially responsible
image of NMDC as a corporate entity.

4.0 Scope

This Policy of CSR encompasses Formulation, Implementation, Monitoring,

Evaluation, Documentation and Reporting of CSR activities taken up by
NMDC anywhere in India.

This Policy is intended to be in conformity with the provisions of

Companies Act, 2013 and DPE Guidelines on CSR. In case of any
contradiction between this policy and provisions of the Companies Act, the
later shall prevail.

Any new provision arising out of amendments to Companies Act, 2013 or

Rules made there under or any new/amended DPE guidelines shall be
construed to be a part of this policy. However, such new provisions shall be
specifically incorporated in the policy appropriately.

List of CSR activities specified in Schedule VII of Companies Act 2013 and
NMDC’s CSR projects is given as Annexures.

3
5.0 Guiding principles

Corporate Social Responsibility is the Company’s commitment to its

stakeholders to conduct business in an economically, socially and
environmentally sustainable manner that is transparent, accountable and
ethical.

In pursuance of the above objective, the Company shall comply with the
Companies Act 2013 and the CSR Rules 2014 framed there under and will
be guided by CSR Guidelines issued by DPE from time to time.

6.0 Coverage

The geographical coverage of CSR activities would be spread across the

Nation. However, preference for CSR spend shall be given to areas where
NMDC’s Projects are under operation.

This Policy does not cover activities undertaken in pursuance of NMDC’s

normal course of business and also activities exclusively for benefit of
NMDC’s employees or their families which are being undertaken.

7.0 Sunset Clause

This policy will be subject to review after a period of 3 years. During the
currency of this policy, in case of any perceived conflict between the CSR
Rules 2014 & the policy, due to any amendments to the CSR Rules, the
former shall prevail in all circumstances.

8.0 Mechanism & Process

Towards fulfillment of its commitments for CSR and implementation of its

Policy for CSR, mechanism to be adopted is detailed in section 9.0.

4
9.0 Structure

The structure for consideration & approval of CSR initiatives and

mechanism for focused & effective implementation of the CSR activities of
the Company through NMDC CSR Foundation (NCF) is described hereunder:

A three-tier structure, comprising of the Board, CSR & Sustainability

Committee (Board level committee) of 3 or more Directors & headed by an
Independent Director, and NCF officials headed by a CEO shall oversee the
CSR agenda of the company.

All proposals received will be examined by NCF and put up to the CSR &
Sustainability Committee.

The CSR & Sustainability Committee shall examine the proposals received
along with recommendations from NCF & recommend to the Board, the
activities to be undertaken by the Company.

The decision regarding taking up CSR activities shall vest with the Board of
Directors of NMDC within the ambit of Companies Act 2013 & CSR Rules
2014.

Any activity undertaken by the delegated Authority shall have to be ratified

by the Board of Directors.

NCF will be responsible for implementing the approved CSR initiatives.

The organizational structure and modalities of functioning of NCF shall be

detailed in the operational manual of NCF.

The CSR & Sustainability Committee shall review the progress of CSR
initiatives implemented by NCF.

Working Mechanism is given in Annexure – VI.

5
9.1 Scope & Role of NCF

After the CSR activities are recommended by the Board, NCF shall be
responsible for all aspects of planning & implementation of the CSR
initiatives of the Company.

NCF shall also be responsible for baseline survey / need assessment

to facilitate management decision on the requirement of the proposed
initiative and its scope.

NCF shall liaise with various stakeholders for proper planning and
implementation of CSR initiatives. It shall hire services of
Organizations / individuals on contract basis to expedite the process
of planning, ensuring convergence with Govt. schemes,
implementation, monitoring, evaluation, impact assessment, and shall
be responsible for ensuring, stakeholder / community partnership to
address the aspect of sustainability of the CSR programmes.

NCF will also be responsible for putting in place & maintenance of

MIS including data w.r.t. physical progress, financials, Output &
Outcomes, along with documentary proof, generation of reports and
periodic submission of the same to the CSR & Sustainability
Committee.

6
10.0 Focus Areas

Prime Focus Areas

 Employment enhancing Vocational Skills including Skill

Up-gradation
 Drinking Water including integrated water shed development &
Sanitation
 Promotion of Education- special Education in primary schools with
special focus on Districts in which NMDC projects are located
 Health
 Rural Development Projects
 Ensuring Environmental Sustainability
 Sustainable Natural Resource Management

Other Focus Areas

 Promoting gender equality and empowering women - Setting up Homes

& Hostels for women and Orphans; Setting up Homes, daycare centre
and such other facilities for senior citizens and measures for reducing
inequalities faced by Socially and Economically backward groups
 Eradicating Hunger, Poverty & Malnutrition
 Reducing Child Mortality & Improving Maternal Health
 Promotion of Sports

Detailed list of works under Focus areas is given Annexure – III.

Schedule– VII is given in Annexure – V.

11.0 Major Ongoing CSR Programmes

Presently, NMDC is running various CSR programmes under different
focus areas. Major ongoing CSR programmes are listed in Annexure-IV.
Continuance, enhancement of coverage under the programmes will be
based on need and availability of funds.

All the Ongoing CSR programmes shall be monitored / evaluated. Based on

the evaluation, the CSR & Sustainability Committee shall recommend
continuance or otherwise.

7
12.0 Fund Allocation & Expenditure

The Budget provision towards CSR initiatives shall be at least 2% (two

percent) of the average net profit of the Company (PBT) made during the 3
immediately preceding financial years calculated in terms of Section 198 of
the Companies Act 2013.

If the budget allocated in a year remains un-utilized, the Board shall in its
report made as per provisions of Companies Act, specify the reasons for not
spending the amount.

The surplus arising out of CSR shall not form part of business profit.

At least 80% of the annual budget earmarked for CSR activities shall have to
be spent on implementation of activities in the project mode.

The total Budgeted amount shall be distributed as per described below:

i) NMDC Projects / NMDC Establishments - Up to 88%

ii) Extended Local Area - Up to 1%
iii) Other Backward Districts - Up to 2%
iv) Other Areas - Up to 1%
v) Anywhere in the Country – Through NGOs - Up to 1%
vi) Natural Calamities - Up to 2%
vii)Emergency Needs/Unforeseen/Unanticipated - Up to 5%
requirements

Based on the emerging needs, every year, list of activities to be undertaken

by the Company along with financial allocation against each activity will be
recommended by the CSR & Sustainability Committee and approved by the
Board of Directors of the NMDC.

Guidelines for CSR Fund allocation are given in Annexure – VII.

The expenditure incurred on baseline survey / need assessment study, on

capacity building programs such as training, workshops, seminars,
conferences, etc. and on corporate communication strategies for engagement
of all stakeholders, whether internal or external, to implement the CSR
agenda of NMDC, shall be accounted for as CSR expenditure to the extent
that such expenditure is not exceeding 5% of the total CSR budget.
Budget/Expenditure for Impact Assessment/Monitoring & Evaluation of
CSR initiatives shall be accounted as part of the Project Expenditure.

8
13.0 Planning & Implementation

13.1 CSR projects are generally formulated based on inputs from State
Authorities/Village level consultation/Need assessment.

13.2 The plans may be dovetailed with specific government programmes.

Adequate care shall be taken to ensure that there is no duplication of
CSR projects with that of Government’s programmes and convergence
is achieved.

13.3 Focus of CSR initiatives should be primarily on asset creation. To the

extent possible, maintenance/operational expenditure of such assets
should not be borne by the Company.

Asset once created shall be transferred to a suitable agency for its

operation/maintenance.

13.4 As far as possible, it should be ensured that CSR schemes/projects to

be implemented should preferably not be open ended and CSR
activities shall be taken up in project mode.

13.5 Skill Development training courses may be devised to impart training

in fields which are vital to functioning of the Company.

13.6 Monitoring & Evaluation should be integral parts of any CSR initiative
and the project cost estimate shall include cost of Monitoring &
Evaluation.

13.7 NMDC’s contribution w.r.t. the CSR works taken up shall be

highlighted through suitable signage.

9
14.0 Broad procedure for consideration of proposals

14.1 Individual proposals have to be within the frame work of the CSR
Policy.
14.2 Every CSR / Sustainability proposal has to be projectized. This
involves defining activities, time frame, financial requirement,
organizational responsibilities, outcome / expected results and
sustainable aspects. The proposals will be examined and submitted
to the CSR & Sustainability Committee. Proforma specifying the
specific details required for examination of CSR proposals is given in
Annexure – VIII.
14.3 CSR proposals should to the extent possible focus on Capacity
building, Skill development and Infrastructure development for the
benefit of marginalized and under privileged sections of local
communities.
14.4 CSR proposals shall be formulated after getting feedback on the
expectations of the key stake-holders like Central/State Government
and/or District/Local Administration, Public Representatives, Gram-
Sabhas and Panchayat Raj Institutions so that the activities are
properly grounded.
14.5 Appropriate financial powers shall be delegated to Head of the
Projects for timely execution of CSR Projects.
14.6 The releasing of funds in phased manner shall be clearly defined in
the proposal to ensure proper utilization and submission of
periodical progress reports before release of installments.
14.7 Project proposals can be prepared by NCF on their own or through a
Consultant as may be necessary. The CSR Projects prepared by
State/District Authorities/Panchayat Raj Institutions at
District/Block/Village level or Local Bodies or reputed NGOs within
the purview of CSR policy may also be considered for implementation
with the approval of Competent Authority. However, such projects
submitted by NGOs shall be approved only after verification of their
credentials, capability and preparedness to work in the specified
locations and the projects submitted by Panchayat Raj Institutions
shall be routed through the District Collector concerned.
14.8 The proposals identified by NCF which are beyond capabilities and
preparedness of NMDC may be executed through reputed NGOs or
any other Agencies/ State Govt. or other PSUs or through Panchayat
Raj Institutions at District/Block/Village level or through Self-help
groups or through any other Agency as approved by CMD, as
considered appropriate by NMDC.

10
15.0 Guiding principles for selection of CSR initiatives

A three-tier structure, comprising of the Board, CSR & Sustainability

Committee (Board level committee) of 3 or more Directors & headed by an
Independent Director, and NCF officials headed by a CEO shall oversee the
CSR agenda of the company.

The CSR & Sustainability Committee shall recommend to the Board, the
activities to be undertaken by the Company.

The power to approve CSR activities shall vest with the Board of Directors
of NMDC as per Companies Act 2013 & CSR Rules 2014.

Any activity undertaken by the delegated Authority shall have to be ratified

by the Board of Directors.

CSR activities, in general, will be guided by the following:

a) Baseline Survey Report on the need assessment / Secondary Data.

b) Assessment of Needs through Stake-holder Consultation
c) Supplementing the Central/State Govt. Schemes to cross the ‘last mile’
in resource gap.
d) Preference will be given to the local area and areas around its
operations of NMDC
e) Priority shall be accorded to the stakeholders located in the periphery of
the operations of NMDC & directly impacted by it.
f) CSR Projects or programs or activities undertaken in India only shall be
accounted as CSR Expenditure.
g) In the selection or choice of CSR projects, NMDC shall avoid taking up
adhoc, one off, philanthropic activity, which does not contribute in any
way to social value creation, environment protection or sustainable
development.
h) Generally, the employees of NMDC shall not be the direct beneficiaries
of the activities undertaken with the budget allocated for CSR and
Sustainability initiatives in any given year. However, in case of facilities,
which have been primarily created for employees, specific cost incurred
on extending such facilities to SC/ST/underprivileged populace on pro-
rata basis to the extent of non-NMDC beneficiaries viz., cost of
medicines in Hospitals, Cost of fee subsidy extended in Schools, if any,
shall be borne from the CSR budget. The same shall be calculated on
pro-rata basis to the extent of cost incurred on extending the facilities to
non-NMDC stake holders.

11
16.0 Implementation

The CSR Projects/ Activities shall be implemented in any of the following ways as
below:-

A) Directly by NMDC.
B) Through NGOs / Voluntary Organizations/Trusts
C) Through concerned State/District Authorities/Panchayat Raj
Institutions at District / Block / Village level
D) Through/in-partnership with other PSUs
E) Through Local Urban bodies like Corporations / Municipalities etc
F) Through Self help groups
G) Any other Agency as approved by CMD

The detailed methodology to be adopted is given in Annexure – I.

17.0 Monitoring, Evaluation & Reporting

17.1 Monitoring
a) Monitoring of CSR projects shall go concurrently with
implementation, to assess if the progress is on expected lines in
terms of timelines, budgetary expenditure and achievement of
physical targets. Monitoring shall be done periodically with the help
of identified key performance indicators; the periodicity being
determined largely by the nature of performance indicators. Like
implementation, monitoring too shall be done in project mode with
continuous feedback mechanism, for mid-course correction in
implementation, whenever required.

b) Monitoring shall be performed by NMDC/NCF through its team of

officials specifically designated for this task or through an external
agency to help in mid-course correction, if required. However, the
final evaluation shall be entrusted to an external agency. The
external agency, if any, engaged for implementing a project shall not
be considered for the task of monitoring and evaluation because of
the likely conflict of interest involved in the assignment.

c) A software cum MIS shall be in place to enable tracking, monitoring

& dissemination of information w.r.t. CSR activities.

12
 d) A dash board giving a bird’s eye view of the CSR programme of the
Company shall be available to the Senior Management for ready
reference & effective monitoring.
e) Data-base of persons who are given skill development training and
are gainfully employed subsequent to the training shall be
maintained, to have an assessment of the number of persons who
have actually benefitted from training under CSR.

f) The detailed Monitoring strategies to be adopted are given in

Annexure – II.

17.2 Evaluation
Independent Assessment of major CSR Projects of NMDC will be
taken up through specialized / independent agencies to assess &
improve the effectiveness of the initiatives.

Monitoring & Evaluation shall be done at two levels viz., Corporate

Level & Project Level.

17.3 Reporting
NMDC shall submit details of its CSR activities as per the Annexure
of CSR Rules 2014 as part of the Annual Report and place the details
on the Company’s website.

17.4 Management Information System (MIS)

MIS shall include data w.r.t. physical progress, financials, Output &
Outcomes, along with documentary proof.

For effective follow-up, each CSR project/activity shall be suitably

coded.

13
Annexures

14
 Annexure - I
Implementation Strategy

1.0 The CSR Projects/ Activities shall be implemented in any of the following
ways as below:-

A) Directly by NMDC.
B) Through NGOs / Voluntary Organizations/Trusts
C) Through concerned State/District Authorities/Panchayat Raj
Institutions at District / Block / Village level
D) Through/in-partnership with other PSUs
E) Through Local Urban bodies like Corporations / Municipalities etc
F) Through Self help groups
G) Any other Agency as approved by CMD

Every Project will specify the implementation schedule indicating the starting
date, date of completion, likely benefits etc.,

The methodology of implementation shall be as follows:-

1(A) Directly by NMDC -

i) The activities which can be implemented by NMDC either directly or by
engaging Contractors for infrastructural development shall be taken up
by NMDC.
ii) The periodical activities such as conducting medical camps, distribution
of uniforms to schools, and also activities like donation of
Ambulances/medical equipments to hospitals etc., shall also be taken up
directly by NMDC.
iii) The activities which cannot be taken up directly by NMDC because of its
nature, size and other limitations, shall be considered for implementation
through other alternatives.
iv) The CSR works executed through contractors shall adopt the same
procedure as followed for award of contracts for other NMDC works.
v) For the purchase of materials connected with CSR activity, a local
purchase committee shall be constituted to carry out the purchases as
per the purchase procedure depending upon the value of the purchases.
vi) The activities related to areas other than the Projects, units & Offices of
NMDC shall be dealt directly at Head Office.
vii) To accelerate the pace of development/optimize utilization of resources,
especially of the backward regions, NMDC may join
hands/pool/resources with other CPSEs.
15
1(B) Through NGOs / Voluntary Organizations (VOs)/Trusts:-
(Only those NGOs/VOs which are registered on NGO portal of NITI Aayog, & Trusts established by Central & State Govt.)
i) The proposals of the CSR Projects of long duration focusing on overall
sustainable development in a given time frame requiring a dedicated team
and full time attention shall be considered for implementation through
reputed NGOs/Voluntary Organizations /Trusts functioning in similar
activities.
ii) NMDC may collaborate with internationally/nationally reputed
Foundations / Organizations.
iii) The NGOs/VOs shall be identified based on their credentials and long
standing performance in respective fields. NGOs/VOs with proven
performance and tax exemption benefit shall be given preference.
iv) NGOs may also come forward on their own with specific proposals in the
field of their expertise, within the purview of CSR Policy. Such proposals
should be complete in all respects and supported by their credentials and
capabilities.
v) Every claim/installment of NGOs for the work completed should be
supported by proper bills and receipts / documents in support of the
claim. Release of funds as advance shall be against Bank Guarantee.
vi) NMDC may take up CSR programmes or projects through a Trust. If such
a Trust is not established by the Company, it shall have an established
track record of three years in undertaking similar programmes or projects.
vii) NMDC may collaborate with NGOs/VOs for CSR initiatives wherein
requisite infrastructure is created by NMDC and the operation &
maintenance of the facility is taken care by partnering NGOs/VOs.

1(C) Through Concerned State/District Authorities/Panchayat Raj

Institutions at District / Block / Village level
i) The CSR works which cannot be taken up by NMDC directly or through
NGOs /Voluntary Organizations/Trusts/ Contractors due to various
reasons/ constraints, shall be carried out with the help of respective State
/District Authorities.
ii) The State/District Authorities/Panchayat Raj Institutions at
District/Block/Village level may also submit specific CSR proposals. In
such cases, NMDC may release funds to the respective authorities for
initiation and implementation, provided the schemes match with that of
NMDC.
iii) Such CSR works implemented through the local bodies/ Agencies
nominated by the District Authorities/District or State Authorities the
funds shall be released in suitable installments based on the progress and
Utilization Certificate.
iv) Only first installment of fund shall be released as unsecured advance.
v) Detailed Fund release pattern shall be as specified in Annexure – IX.

16
1(D) Through /in-partnership with other PSUs
i) Joint projects with other PSUs may be finalized after thoroughly
deliberating upon clarity of role, financial outlay, implementing agency,
socio-economic gains to the community etc.
ii) The draft proposal shall be further discussed and recommendation
should be made by Board Level Sub-Committee on CSR & Sustainability.
iii) Thereafter, the recommendations shall be put up to Board for approval.

1(E) Through Local Urban bodies

i) Works which can not be taken up by NMDC directly due to various
constraints shall be carried out in partnership with Local Urban Bodies
ii) NMDC may release funds to the District Authorities/Local Urban Bodies
for initiation and implementation of the initiative.
iii) Such CSR works implemented through the local urban bodies nominated
by the District Authorities/District or State Authorities, the funds shall
be released in suitable installments based on the progress and Utilization
Certificate.
iv) Only first installment of fund shall be released as unsecured advance.
v) Detailed fund release pattern shall be as specified in Annexure-IX.

1(F) Through Self help groups

i) Self help groups (SHG), which are in existence for at least one year with
bank linkage and good repayment record can be considered for
implementing CSR initiatives under a tripartite agreement involving Govt.
Representative in the Gram Panchayat concerned.
ii) Every claim/installment of the SHG for the work completed should be
supported by proper bills and receipts / documents in support of the
claim.

1(G) Any other Agency approved by CMD

CSR initiatives can be implemented through any other agency approved by CMD.

Modalities and terms of payment for such agencies shall be worked out on case
to case by suitably adopting the broad guidelines used for various implementing
agencies.

17
 Annexure-II

Monitoring & Evaluation Strategy

2.0. All CSR Projects/Activities shall be monitored directly or indirectly by NCF

for NMDC. The monitoring & evaluation strategy shall be as below:-

2(A) Projects directly taken up by NMDC -

i) The CSR Projects taken up by NMDC or through Contractors shall be
monitored & evaluated directly by NCF Wing/Department concerned.
ii) The award of contract for CSR works shall be finalized within the time
frame set by the Head of NMDC Project concerned for timely initiation of
the activity. Release of funds to contractors shall be defined in the work
order itself.
iii) The ongoing activities such as distribution of uniform to schools, medical
camps etc., shall be coordinated by NCF. All the required staff shall be
provided by the respective departments for the period of the activity.
iv) NCF shall draw a time frame from the date of initiation. Any delay noticed
while monitoring the activity, remedial measures may be taken for timely
completion of the Project.

2(B) Through NGOs /Voluntary Organizations -

i) The CSR Projects taken up through NGOs or through any Trust(s) shall be
monitored & evaluated jointly by NCF and respective organizations. An
evaluation format shall be prepared jointly by both NCF and Organization
for this purpose. Third party assessment required to assess the value
/utility and excellence of work & outcomes such as improved health,
education, infrastructure etc shall also betaken up.
ii) The periodicity of joint evaluation shall also be decided by both the parties
together. At times, any official from NCF or any other department of the
Project / HO may also independently review the performance by visiting the
sites. Joint evaluation report shall be base for release of funds.
iii) Release of funds after commencement of the activity shall be invariably
linked to the joint evaluation and achievement of results against the targets
till date.
iv) In case, the progress, as per the joint evaluation is not as per the target
and proportionate to the funds released, a higher level committee
constituted by Head of the Project with members from NMDC and the
respective NGO shall review the evaluation and submit the
report/recommendations.
v) Release of funds shall be made after fulfilling the targets, proportionate to
the funds released earlier. Self Sustainability of the activity shall be
established after its implementation in the given time frame.
18
2(C) Through State/District Authorities/Panchayat Raj Institutions at
District/Block/Village level/In partnership with other PSUs/Through Local
urban bodies/Through Self-help groups
i) The Projects taken up through State/District Authorities shall be
monitored & evaluated by both NMDC and the State Authority/respective
departments/agencies, either jointly or independently.
ii) Funds shall be provided by NMDC in suitable installments. After release of
the first installment for initiation of the work, further release of fund shall
be based on progress of the work by the joint inspection team consisting of
representatives from NMDC & State Authority/respective
departments/agencies and utilization certificate submitted by the
respective Agency.

2(D) Independent Assessment of CSR initiatives of NMDC

Independent Impact Assessment of CSR Projects of NMDC will be taken up
through specialized agencies to enable impartial assessment of work, ensure
objectivity, transparency and improve the effectiveness of the initiatives. The
external agency, if any, engaged for implementation of project shall not be
considered for monitoring or evaluation because of the likely conflict of
interest involved in the assignment.

19
 Annexure – III
3.0 Focus Areas
(Activities undertaken in pursuance of normal course of Business of the
Company can not be included under CSR)

3.1 Prime Focus Areas

3.1.1 Employment enhancing Vocational Skills including Skill

Upgradation
a. Skill development training for unemployed youth for better
employability & to promote self employment.
b. Vocational/ technical/professional training for youth.
c. Skill Up-gradation
d. Imparting training in agriculture to Small farming villages and
provide consultancy from experts.
e. Livelihood enhancement Projects
f. Special focus to cover children, women, elderly and the differently-
abled.
g. Any other related activity.

3.1.2 Drinking Water including integrated water shed development &

Sanitation
a. Setting up effluent treatment plant and sewage treatment plants.
b. Provide safe drinking water from impure water sources including by
sinking bore wells, tube wells, establishment of water treatment
plants etc.
c. Promotion of sanitation through proper drainage system and
construction of toilets.
d. Drinking water supply initiatives, water body restoration works,
Swachh Bharat Abhiyaan initiatives & initiatives for bringing about
behavioural change towards sanitation & hygiene etc.
e. Any other related activity including integrated water shed
development.

3.1.3 Promotion of Education including special Education in primary

schools with special focus on Districts in which NMDC projects
are located
a. Construction of school buildings & facilities including boundary
walls, separate toilets for boys & girls and provision of drinking
water.
b. Provision of uniforms, books, stationery, computer & Laboratory
equipments etc., to schools.

20
 c. Scholarships/fellowships to deserving students to encourage
education.
d. Promotion of adult education with focus on women’s education etc.
e. Reducing the drop out of students & absenteeism through
counseling & other means.
f. Promote computer literacy and technology assisted learning through
provision of hardware and hard infrastructure.
g. To set up/ promote higher education through special coaching/
inputs to bridge the gap.
h. To promote Technical/ professional/ medical education by giving
financial assistance / opening institutions and providing
infrastructural support to promote education in Project areas.
i. Promote digital classrooms and e-education.
j. Any other activity to promote education in project areas.

3.1.4 Health
a. Promoting Preventive healthcare through operation of Mobile medical
Vans - Only hardware provision.
b. Providing free treatment to Adivasis at NMDC Project Hospitals in
Bailadila.
c. Health awareness campaigns on serious/chronic diseases on State
media-Radio and Doordarshan.
d. Organizing periodic health camps in collaboration with State Medical
Agencies.
e. Assistance for establishment of State Run Hospitals
f. Combating Human Immunodeficiency virus, acquired immune
deficiency syndrome, malaria and other diseases – through supply of
diagnostic kits, medicines.
g. Any other related activity.

3.1.5 Rural Development Projects

a. Development of roads, bridges, markets, transport facilities,
community welfare centers, beautification, other civic amenities etc.
b. Electrification of Public buildings in villages.
c. Infrastructure support in Villages with SC/ST /backward and other
socially backward populations.
d. Any other related Items

3.1.6 Ensuring Environmental Sustainability

a. Afforestation : Plantation of indigenous plants through afforestation
at NMDC Projects.

21
 b. Bio-diversity and Wild life Management : Bio-diversity management
for conservation of native species of the region and maintaining
existing ecological processes.
c. Waste Water Management : Recycling of treated water in the process
through secondary waste water treatment.
d. Soil Management : Soil and Moisture conservation for improving soil
stability and plant life.
e. Green House Gas Inventory : Green House Gas Inventory at Bailadila
Complex, Donimalai and Kumaraswamy projects for mitigation of
Carbon Emission.
f. Carbon Management : Renewable Energy Certificates to offset
Carbon Foot Prints.
g. Energy Management : Energy management Audits for savings of
energy usage.
h. Non-Conventional Energy : Promote use of non-conventional energy.
i. Pollution Control : Monitoring of Environmental parameters to
maintain the pollution levels well within the norms prescribed by
State Pollution Control Boards and Central Pollution Boards in
respect of Ambient Air Quality, Water Quality parameters and
Ambient Noise levels.
j. Fugitive dust emission : Water sprinkling on mine haulage roads for
control of fugitive dust emissions. Mist water spray for dust
suppression at Crushing Plant.
k. Clear Water Discharge : Discharge of clear water from tailing dams to
downstream nallahs.
l. Increasing water use efficiency in Industry
m. Stabilization of Waste dumps : Geo Coir mats for stabilization of
waste dumps.
n. Water Conservation : Promote watershed development / water
harvesting / water conservation measures.
o. Ecological balance, Protection of Flora & Fauna, Animal welfare,
Agro-forestry, Conservation of Natural resources and Monitoring
quality of soil, air & water.
p. Any other related activity.

3.1.7 Sustainable Natural Resource Management

22
3.2 Other Focus Areas
3.2.1 Promoting gender equality and empowering women, Setting up
Homes & Hostels for women and Orphans; Setting up Homes,
daycare centre and such other facilities for senior citizens and
measures for reducing inequalities faced by Socially and
Economically backward groups.
Empowering women through Self help Groups (SHGs)

3.2.2 Eradicating Hunger, Poverty & Malnutrition

Supply of Mid-day meals, nutritious food for school/anganwadi
children in partnership with Govt. or reputed NGOs.

3.2.3 Reducing Child Mortality & Improving Maternal Health

a. Nutritional supplements to pregnant women, lactating mothers,
children between ages 1-5 years and adolescent girls directly or
through Govt. or reputed NGOs.
b. Supporting Govt. programmes for reducing Child mortality &
improving Maternal health.
c. Any other related activity.

3.2.4 Promotion of Sports

a. Providing assistance to various recognized sporting events.
b. Providing assistance to Individuals / teams directly or through
recognized sports organizations by way of provision of kits and
equipment.
c. Training to promote rural sports, nationally recognized sports,
Paralympic sports and Olympic sports through support for kits
and equipment.
d. Support to the sports of Archery & Handball in Chhattisgarh and
indigenous sporting activities around Bailadila Projects.
e. Any other related activity.

3.2.5 Others
a. Offering specialized support services to the physically handicapped
and mentally challenged people.
b. Protection of national heritage, art & culture including restoration
of buildings and sites of historical importance and works of art,
setting up public libraries, promotion & development of traditional
arts, Dance forms & handicrafts.
c. Contribution for funds provided to technology incubators located
within academic institutions which are approved by the Central
Govt.

23
d. Contribution to the Prime Minister’s Relief Fund or any other fund
set up by the Central Govt. for socio-economic development and
relief and welfare of the scheduled castes, the scheduled tribes,
other backward classes, minorities and women.
e. Activities w.r.t. Digital India programme of GoI permissible under
Schedule VII of Companies Act.
f. Any other related activity.

24
 Annexure-IV
4.0 Ongoing CSR Programmes as on 01.08.2016

S.No. Focus Area / Activity Start End

Date Date

4(A) Education

1) NMDC Siksha Sahayog Yojana – Scholarship Scheme catering 2008-09 Ongoing

to 18000 poor SC/ST students to enable them pursue their
education beyond VIIIth Class.
2) NMDC Balika Siksha Yojana – Scheme to sponsor tribal girls 2011-12 Ongoing
from Bastar Division to Nursing Courses
3) Mid-day Meal Programme – Provision of Nutritious & 2008-09 Ongoing
wholesome meal to 8000 Govt. school children in Bellary
District in partnership with M/s. Akshaya Patra
4) Operation of NMDC Residential School at Nagarnar 2010-11 Ongoing
5) Operation of Polytechnic College & ITI in Dantewada District 2010-11 Ongoing
6) Operation of ITI at Nagarnar in Bastar District 2010-11 Ongoing
7) Support to operation of Astha Gurukul – Residential School for 2015-16 Ongoing
SC/STs etc, Saksham – School for differently-abled children in
Education City at Dantewada
4(B) Health

1) Providing free treatment to tribals at Project Hospitals in 1967-68 Ongoing

Chhattisgarh
2) Operation of Hospital on Wheels in Project areas 2009-10 Ongoing
3) Supplementing the efforts of State authorities for enabling 2005-06 2018-19
provision of modern medicare to BPL people
4) Supporting ‘Sanjeevani Kosh’ of Govt. of Chhattisgarh to refer 2010-11 Ongoing
poor tribal patients for specialist treatment to higher medical
centres

4(C) Drinking Water

1) Supporting ‘Nal-Jal Yojana’ of Govt. of Chhattisgarh 2013-14 2018-19

2) Supply of water to near by villages of NMDC Projects 1990-91 Ongoing
Installation & maintenance of hand pumps in surrounding
3) 1970-71 Ongoing
villages of NMDC Project

4) Partnering with Govt. of Chhattisgarh for providing Solar based 2011-12 2017-18
drinking water facility in Schools & Villages

25
 4(D) Integrated Village Development

Multi-dimensional development initiatives in 18 villages. The 2008-09 2017-18

canvas of developmental works including Support to
agricultural activities, Vocational Training, Academic support
to improve quality of education in 52 schools, Nutritional
support for children in 46 Anganwadi Centres, Program for
bringing about behavioural change w.r.t. Sanitation & personal
hygiene and Women empowerment through SHGs and other
activities

4(E) Skill Development

1) Skill Development programme for non-NMDC stakeholders in 2015-16 2018-19

Chhattisgarh & Karnataka through NSDC for Mining & Steel
Sector related Skills in Chhattisgarh
2) Skill Development programme for unemployed youth in 2015-16 2017-18
Districts of Madhya Pradesh

4(F) Sports & Culture

1) Financial Assistance to M/s.Chattisgarh Pradesh Archery 2003-04 Ongoing

Association & M/s.Chhattisgarh Handball Association for
promotion of the sports in Chhatisgarh
2) Promotion of traditional sports in surrounding villages of 2008-09 Ongoing
NMDC Projects
3) Support for conduct of Madai Melas/Jatra/Mahotsav etc for 2008-09 Ongoing
conservation of cultural heritage of tribals

4(G) Infrastructure Development

Development of various rural infrastructure viz., Roads,

1) 1970-71 Ongoing
Culverts, Bridges, Educational Institutions, Healthcare facilities
etc in partnership with State Authorities

26
 Annexure-V
5.0 Schedule – VII of Companies Act, 2013

I. Eradicating hunger, poverty and malnutrition, promoting health care

including preventive health care and sanitation including contribution to
Swachh Bharat Kosh set-up by the Central Government for the promotion of
sanitation and making available safe drinking water;

II. Promoting education, including special education and employment enhancing

vocation skills, especially among children, women, elderly, and the differently
abled and livelihood enhancement projects,

III. Promoting gender equality, empowering women, setting up homes and hostels
for women and orphans; setting up old age homes, day care centres and such
other facilities for senior citizens and measures for reducing inequalities faced
by socially and economically backward groups;

IV. Ensuring environmental sustainability, ecological balance, protection of flora

and fauna, animal welfare, agroforestry, conservation of natural resources and
maintaining quality of soil, air and water including contribution to Clean
Ganga Fund set-up by the Central Government for rejuvenation of river
Ganga;

V. Protection of national heritage, art and culture including restoration of

buildings and sites of historical importance and works of art; setting up public
libraries; promotion and development of traditional arts and handicrafts;

VI. Measures for the benefit of armed forces veterans, war widows and their
dependents;

VII. Training to promote rural sports, nationally recognized sports, paralympic

sports and Olympic sports;

VIII. Contribution to the Prime Minister's National Relief Fund or any other fund
set up by the Central Government for socio-economic development and relief
and welfare of the Scheduled Castes, the Scheduled Tribes, other backward
classes, minorities and women;

IX. Contributions or funds provided to technology incubators located within

academic institutions which are approved by the Central Government;

X. Rural development projects,

XI. Slum area development

27
 Annexure-VI

6.0 Working Mechanism

Proposals received Proposals prepared by

from State Authorities NCF Team at Projects

Examination by NCF Team at Proposals examined at Proposals from

Projects & forwarding to NCF,H.O. Level NGO’s
NCF,H.O. with
recommendations
In Principle Approval of
Competent Authority

Proposals examined by CSR &

Sustainability Committee

Proposals recommended by CSR & Sustainability

Committee submitted to Board for Approval

Implementation of approved CSR initiatives, Monitoring,

Evaluation, Impact Assessment & Reporting by NCF

Review of progress of CSR initiatives by the CSR &

Sustainability Committee

28
29
 Annexure-VIII
8.0 Specific Details required for examination of CSR proposals - Format
Focus Area:
o Education /
o Drinking Water /
1
o Health & Hygiene
o Infrastructure
o Integrated Village Development
o Skill Development & Income Generation) /or items under Schedule VII
of Companies Act 2013
2 Name / Title of the Proposal

3 Aim & Objectives of the Proposal

Why Needed
4
(Justification in terms of expected/benefits/outcomes or targets)
Type of Work:
5
(New/Old/Purchase/ Others)
Nature of Work
o Social Engineering Project /
6 o Infrastructural Development /
o Operation & Management of Existing Institution /
o Others (please specify)
Location:
7
District, Block, Village / Gram Panchayat & Complete address

Details of Infrastructure / Proposal

o Measurement, Dimensions, built up area etc in case of infrastructure
projects/
o For social engineering works - nature of resources being deployed in
8 terms of manpower/material etc and nature, tenure & terms of their
engagement/deployment
o Operation and maintenance, details with respect to engagement of
service providers i.e. nature of engagement etc.
o Others (please specify)

9 Estimated allocation sought for

Basis of Estimate(SOR/PWD/CPWD etc for infrastructure works, market
rates / DGS&D rate for purchase proposals and other criteria for other
10
proposals if any and the administrative cost shall not exceed the prescribed
percentage)
11 Proposed duration of Completion/ Implementation
Nature of Fund requirement from NMDC
13 o Fully Funded
o Partially Funded
Additional information if any
14 (additional sheets may be attached including drawings, plans and other
supporting documents based on need)

__________
Signature

30
 Annexure-IX

9.0 Fund Release pattern in respect of CSR Works taken up in

partnership with State Authorities / Panchayat Raj Institutions / Local
Urban Bodies

9.1(A) For Infrastructure Development Works with value above Rs.5.00 lakh

 First installment of 40 % of the outlay - Release on signing of the MoU with

the State Authorities as unsecured advance,

 The 2nd installment of 40% may be released on receipt of photographic

evidence of progress of work to the extent of 35% of the total work along
with utilization certificate for the previous fund release, with both
documents having been endorsed by the District Collector concerned or his
authorized representative. Subsequent to release of 2nd installment, the
Project Authorities may conduct Joint inspection of the work to ensure that
the progress is, as photographed.

 The 3rd installment of 20 % may be released on receipt of photographic

evidence of progress of work to the extent of 75% of the total work along
with utilization certificate for the previous funds release, with both
documents having been endorsed by the concerned District Collector or his
authorized representative. Subsequent to completion of work, the Project
Authorities may conduct Joint inspection of the work to ensure that the
work is complete in all respect and any deviation/adjustment, if necessary,
will be addressed on case to case basis by seeking refund or adjusting the
applicable amount from other works/future works being/to be taken up in
partnership with the State Government.

9.1(B) For Infrastructure Development Works with value below Rs.5.00 lakh

 First installment of 80 % of the outlay - Release on signing of the MoU with

the State Authorities as unsecured advance,

 Release of balance 20% on receipt of utilization certificate for the earlier

fund release, duly endorsed by the District Collector concerned or his
authorized representative and physical inspection by the Joint inspection
team.

31
 9.2 For Purchase related Activities

 For purchases up to Rs.1.00 lakh – Release of 100 % of the agreed amount

on signing of MoU and obtaining of Utilization Certificate after the purchase
for record purposes,
 For purchases above Rs.1.00 lakh up to Rs.5.00 lakh – Release of 90 % of
the agreed amount on signing of MoU and the remaining 10 % on
submission of Utilization Certificate and Physical verification of purchase,
 For purchases above Rs.5.00 lakh up to Rs.20.00 lakh – Release of 80 % of
the agreed amount on signing of MoU and releasing of the remaining 20 %
on submission of Utilization Certificate and physical verification of purchase
 For purchases proposals above Rs.20.00 lakh - Release of 50 % of the
agreed amount on signing of MoU and the remaining on submission of
Utilization Certificate and physical verification of purchase.
 For purchases of vehicles & equipment which are sold on full down payment
basis upto Rs.500.00 lakh – Release of 100 % of the agreed amount on
signing of MoU and physical verification on receipt of information w.r.t.
purchase made.

For CSR works to be taken up outside the local area of Chhattisgarh,

Karnataka & Madhya Pradesh, MoUs shall be signed with the designated
District Authority and payments shall be accordingly released to the
designated District Authority.

9.3 Fund Release pattern in respect of CSR Works taken up through

Self-help groups

 Working capital requirement or 10% of the total out lay, whichever is lower -
Release as unsecured advance on signing of tripartite agreement with the
Self-help group involving Gram Panchayat concerned

 Cost of Equipment / Machinery – Release of funds to the extent of cost of

machinery/equipment, directly to the suppliers, as advance, if required.

 Subsequent Installments shall be based on estimated value of the project

and implementation schedule – Release of funds on receipt of proper
bills/receipts and utilization certificate for previous funds released and
documentary proof of progress of work, verified by the designated Joint
Inspection team. Final installment restricted to the actual value of work.

32
 Annexure-X

10.0 Indicative Outlay linked Costs for Baseline Survey, Monitoring &
Evaluation, Impact Assessment of CSR initiatives

S.No. Activity Indicative

cost as % of
Total cost of
Project
1 Need Assessment / Baseline Survey Upto 1%
2 Monitoring & Evaluation Upto 3%
3 Impact Assessment Upto 1%

Due to large number of CSR works being taken up by NMDC with wide
variations in the quantum of work & types of activities, the above activities
shall be conducted separately for each activity, instead, the same will be
taken up through specialized agencies, for a set of activities clubbed together
on the basis of ‘focus area’, ‘area of implementation’, etc.

Budget for each activity viz., ‘Need Assessment/Baseline Survey’, ‘Monitoring

& Evaluation’, ‘Impact Assessment’ shall be calculated for each activity,
separately; however, they will be conducted for a group of activities.

33
 Annexure-XI

11.0 Indicative Outlay linked Project Management Cost

The Project Management Cost (PMC) which shall include costs involved in the
stages from conception of the project to its eventual implementation and
subsequent closure of the project and shall depend on the nature of the
project, its duration etc.

However, the same can amount to a maximum extent of upto 10% of the total
cost of the project.

The PMC shall be inclusive of the establishment, administrative & other cost,
if any.

34