Annexure IV — DFPR

DFPR

Note: It may kindly be noted that the word scheme here is used in a generic sense. It includes programs, schemes and sub-schemes, which, depending on need, can he appraised and approved as stand-alone cost centers.
Annexure-IVA to Appendix- III FORMAT FOR EFC/SFC MEMORANDUM FOR APPRAISAL OF SCHEMES 1. Scheme Outline 1.1 Title of the Scheme. 1.2 Sponsoring Agency (Ministry/ Department/Autonomous Body or Undertaking) 1.3 Total Cost of the proposed Scheme 1.4 Proposed duration of the Scheme 1.5 Nature of the Scheme: Central Sector Scheme/ Centrally Sponsored Scheme 1.6 For Central Sector Schemes, sub-schemes/components, if any, may be mentioned. For Centrally Sponsored Schemes, central and state components, if any, may be mentioned. 1.7 Whether a New or a Continuing Scheme? In case of a Continuing Scheme, whether the old scheme was evaluated and what were the main findings? 1.8 Whether in-principle approval is required? If yes, has it been obtained? 1.9 Whether a Concept Paper or a Detailed Paper has been prepared and stakeholders consulted? In case of new Centrally Sponsored Schemes, whether the State Governments have been consulted? 1.10 Which existing schemes/sub-schemes are being dropped, merged or rationalized? 1.11 Is there an overlap with an existing scheme/sub-scheme? If so, how duplication of effort and wastage of resources are being avoided? 1.12 In case of an umbrella scheme (program) give the details of schemes and sub-schemes under it along with the proposed outlay componentwise.
2. Outcomes and Deliverables 2.1 Stated aims and objectives of the Scheme 2.2 Indicate year-wise outputs/deliverables in a tabular form.
Components Year 1 Year 2 & so on Total Physical Financial Physical Financial Physical Financial 1, 2, 3 & so on
2.3 Indicate Outcomes of the Scheme in the form of measurable indicators which can be used to evaluate the proposal periodically. Baseline data or survey against which such outcomes should be benchmarked should also be mentioned. 2.4 Indicate other schemes/sub-schemes being undertaken by Ministries/Departments which have significant outcome overlap with the proposed scheme. What convergence framework have been evolved to consolidate outcomes and save public resources?
3. Target Beneficiaries 3.1 If the scheme is specific to any location, area and segment of population, please give the details and basis for selection. 3.2 Please bring out specific interventions directed in favour of social groups, namely SC, ST, differently abled, minorities and other vulnerable groups. 3.3 If the scheme has any gender balance aspects or components specifically directed at welfare of women, please bring them out clearly? 3.4 Please bring out special interventions, if any, in North East, Himalayan, LWE, Island territories and other backward areas. 3.5 In case of beneficiary-oriented schemes, indicate the mechanism for identification of target beneficiaries and the linkage with Aadhaar/ UID numbers. 3.6 Wherever possible, the mode of delivery should involve the Panchayati Raj Institutions and Urban Local Bodies. Where this is intended, the preparedness and ability of the local bodies for executing the proposal may also be examined.
4. Cost Analysis 4.1 Cost estimates for the scheme duration: both year-wise, componentwise segregated into non-recurring and recurring expenses. 4.2 The basis of these cost estimates along with the reference dates for normative costing. 4.3 In case pre-investment activities or pilot studies are being carried out, how much has been spent on these? 4.4 In case the scheme involves payout of subsidy, the year wise and component wise expected outgo may be indicated. 4.5 In case the land is to be acquired, the details of cost of land and cost of rehabilitation/resettlement, if any. 4.6 In case committed liabilities are created, who will or has agreed to bear the legacy burden? In case assets are created, arrangements for their maintenance and upkeep?
6. Approvals and Clearances Requirement of mandatory approvals and clearances from various local, state and national bodies and their availability may be indicated in a tabular form (land acquisition, environment, forestry, wildlife etc.)
S. N Approvals/Clearances Agency concerned Availability (Y/N)
5. Scheme Financing 5.1 Indicate the sources of finance for the Scheme: budgetary support, extra-budgetary sources, external aid, state share, etc. 5.2 If external sources are intended, the sponsoring agency may indicate, as also whether such funds have been tied up? 5.3 Indicate the component of the costs that will be shared by the State Governments, local bodies, user beneficiaries or private parties?
7. Human Resources 7.1 Indicate the administrative structure for implementing the Scheme. Usually creation of new structures, entities etc. should be avoided
7.2 Manpower requirement, if any. In case posts, permanent or temporary, are intended to be created, a separate proposal may be sent on file to Pers. Division of Department of Expenditure (such proposals may be sent only after the main proposal is recommended by the appraisal body) 7.3 In case outsourcing of services or hiring of consultants is intended, brief details of the same may be provided.
9. Comments of the Financial Advisor, NM Aayog, Department of Expenditure and other Ministries/Departments may be summarized in tabular form along with how they are being internalized and used to improve this proposal.
10. Approval Sought: Joint Secretary to the Government of India Tel. No, : ....................................... Fax No. : ....................................... E-mail : .......................................
Please attach an Executive Summary along with the Concept/Detailed Paper outlining the main elements and overall architecture of the proposed Scheme.
8. Monitoring and Evaluation 8.1 Please indicate the monitoring framework for the Scheme and the arrangements for statutory and social audit (if any). 8.2 Please indicate the arrangement for third party/independent evaluation? Please note that evaluation is necessary for extension of scheme from one period to another.
2. Outcomes and Deliverables 2.1 Stated aims and objectives of the Project 2.2 Indicate year-wise outputs/deliverables for the project in a tabular form. 2.3 Indicate final outcomes for the project in the form of measurable indicators which can be used for impact assessment/evaluation after the project is complete. Baseline data or survey against which such outcomes would be benchmarked should also be mentioned.
Annexure-IVB to Appendix- III FORMAT FOR PIB/DIB MEMORANDUM FOR APPRAISAL OF PROJECTS 1. Project Outline 1.1 Title of the Project 1.2 Sponsoring Agency (Ministry/ Department/Autonomous Body or Undertaking) 1.3 Proposed Cost of the Project 1.4 Proposed Timelines for the Project 1.5 Whether Project will be implemented as part of a scheme or on standalone basis? 1.6 Whether financial resources required for the Project have been tied up? If yes, details? 1.7 Whether Feasibility Report and/or Detailed Project Report has been prepared? 1.8 Whether the proposal is an Original Cost Estimate or a Revised Cost Estimate? 1.9 In case of Revised Cost Estimates, whether the meeting of Revised Cost Committee has been held and its recommendations suitably addressed? 1.10 Whether any land acquisition or pre-investment activity was undertaken or is contemplated for this Project? Whether the cost of such intervention has been included in the Project Proposal?
4. Project Finance 4.1 Indicate the sources of project finance: budgetary support, internal and extra-budgetary sources, external aid, etc. 4.2 Indicate the cost components, if any, that will be shared by the state governments, local bodies, user beneficiaries or private parties? 4.3 In case of funding from internal and extra-budgetary resources, availability of internal resources may be supported by projections and their deployment on other projects? 4.4 Please indicate funding tie-ups for the loan components, if any, both domestic and foreign, along-with terms and conditions of loan based on consent/comfort letters.
Components Year 1 Year 2 & so on Total Physical Financial Physical Financial Physical Financial 1, 2, 3 & so on
3. Project Cost 3.1 Cost estimates for the project along with scheduled duration (both year and activity-wise). Also the basis for these cost estimates along with the reference dates for normative costing (it should preferably not be more than a year old) 3.2 In case land is to be acquired, the details of land cost, including cost of rehabilitation/ resettlement needs to be provided. 3.3 In case pre-investment activities are required, how much is proposed to be spent on these, with details activity-wise? 3.4 Whether price escalation during the project time cycle has been included in the cost estimates and at what rates? 3.5 Whether the Project involves any foreign exchange element, the provision made or likely impact of exchange rate risks? 3.6 In case of the Revised Cost Estimates, a variation analysis along with the Report of the Revised Cost Committee needs to be attached.
6. Approvals and Clearances Requirement of mandatory approvals/clearances of various local, state and national bodies and their availability may be indicated in a tabular form (land acquisition, environment, forestry, wildlife etc.) In case land is required, it may be clearly mentioned whether the land is in the possession of the agency free from encumbrances or encroached or stuck in legal processes?
4.5 If government support/loan is intended, it may be indicated whether such funds have been tied up? 4.6 Please provide the leveraging details, including debt-equity and Interest coverage ratios, along with justification for the same. 4.7 Mention the legacy arrangements after the project is complete, in particular, arrangements for the maintenance and upkeep of assets that will be created?
Note: It may kindly be noted that all projects, irrespective of whether financial and/or economic returns can be quantified or not, should be presented for PIB/DIB appraisal.
5. Project Viability 5.1 For projects which have identifiable stream of financial returns, the financial internal rate of return may be calculated. The hurdle rate will be considered at 10 percent. 5.2 In case of projects with identifiable economic returns, the economic rate of return may be calculated. In such cases project viability will be determined by taking both financial and economic returns together. 5.3 In case of proposals where both financial and economic returns are not readily quantifiable, the measurable benefits/outcomes simply may be indicated.
7. Human Resources 7.1 Indicate the administrative structure for implementing the Project. Usually creation of new structures, entities etc. should be avoided 7.2 Manpower requirement, if any. In case posts (permanent or temporary) are intended to be created, a separate proposal may be sent on file to Pers. Division of Department of Expenditure. Such proposals may be sent only after the main proposal is recommended by the appraisal body.
7.3 In case outsourcing of services or hiring of consultants is intended, brief details of the same may be provided.
9. Comments of the Financial Advisor, NITI Aayog, Department of Expenditure and other Ministries/Departments may be summarized in tabular form along with how they have been internalized and used to improve this proposal.
10. Approval Sought: Joint Secretary to the Government of India Tel. No, : ....................................... Fax No. : ....................................... E-mail : .......................................
Please attach an Executive Summary along with the Feasibility Report/ Detailed Project Report prepared for the Project.
8. Monitoring and Evaluation 8.1 Indicate the Project Management/Implementing Agency(s), What agency charges are payable, if any? 8.2 Mode of implementation of individual works: Departmental/Itemrate/Turnkey/EPC/ Public-Private Partnership, etc. 8.3 Please indicate timelines of activities in PERT/Bar Chart along with critical milestones. 8.4 Please indicate the monitoring framework, including MIS, and the arrangements for internal/statutory audit. 8.5 Please indicate what arrangements have been made for impact assessment after the project is complete?

Annexure IV — DFPR

DFPR

Note: It may kindly be noted that the word scheme here is used in a generic sense. It includes programs, schemes and sub-schemes, which, depending on need, can he appraised and approved as stand-alone cost centers.
Annexure-IVA to Appendix- III FORMAT FOR EFC/SFC MEMORANDUM FOR APPRAISAL OF SCHEMES 1. Scheme Outline 1.1 Title of the Scheme. 1.2 Sponsoring Agency (Ministry/ Department/Autonomous Body or Undertaking) 1.3 Total Cost of the proposed Scheme 1.4 Proposed duration of the Scheme 1.5 Nature of the Scheme: Central Sector Scheme/ Centrally Sponsored Scheme 1.6 For Central Sector Schemes, sub-schemes/components, if any, may be mentioned. For Centrally Sponsored Schemes, central and state components, if any, may be mentioned. 1.7 Whether a New or a Continuing Scheme? In case of a Continuing Scheme, whether the old scheme was evaluated and what were the main findings? 1.8 Whether in-principle approval is required? If yes, has it been obtained? 1.9 Whether a Concept Paper or a Detailed Paper has been prepared and stakeholders consulted? In case of new Centrally Sponsored Schemes, whether the State Governments have been consulted? 1.10 Which existing schemes/sub-schemes are being dropped, merged or rationalized? 1.11 Is there an overlap with an existing scheme/sub-scheme? If so, how duplication of effort and wastage of resources are being avoided? 1.12 In case of an umbrella scheme (program) give the details of schemes and sub-schemes under it along with the proposed outlay componentwise.
2. Outcomes and Deliverables 2.1 Stated aims and objectives of the Scheme 2.2 Indicate year-wise outputs/deliverables in a tabular form.
Components Year 1 Year 2 & so on Total Physical Financial Physical Financial Physical Financial 1, 2, 3 & so on
2.3 Indicate Outcomes of the Scheme in the form of measurable indicators which can be used to evaluate the proposal periodically. Baseline data or survey against which such outcomes should be benchmarked should also be mentioned. 2.4 Indicate other schemes/sub-schemes being undertaken by Ministries/Departments which have significant outcome overlap with the proposed scheme. What convergence framework have been evolved to consolidate outcomes and save public resources?
3. Target Beneficiaries 3.1 If the scheme is specific to any location, area and segment of population, please give the details and basis for selection. 3.2 Please bring out specific interventions directed in favour of social groups, namely SC, ST, differently abled, minorities and other vulnerable groups. 3.3 If the scheme has any gender balance aspects or components specifically directed at welfare of women, please bring them out clearly? 3.4 Please bring out special interventions, if any, in North East, Himalayan, LWE, Island territories and other backward areas. 3.5 In case of beneficiary-oriented schemes, indicate the mechanism for identification of target beneficiaries and the linkage with Aadhaar/ UID numbers. 3.6 Wherever possible, the mode of delivery should involve the Panchayati Raj Institutions and Urban Local Bodies. Where this is intended, the preparedness and ability of the local bodies for executing the proposal may also be examined.
4. Cost Analysis 4.1 Cost estimates for the scheme duration: both year-wise, componentwise segregated into non-recurring and recurring expenses. 4.2 The basis of these cost estimates along with the reference dates for normative costing. 4.3 In case pre-investment activities or pilot studies are being carried out, how much has been spent on these? 4.4 In case the scheme involves payout of subsidy, the year wise and component wise expected outgo may be indicated. 4.5 In case the land is to be acquired, the details of cost of land and cost of rehabilitation/resettlement, if any. 4.6 In case committed liabilities are created, who will or has agreed to bear the legacy burden? In case assets are created, arrangements for their maintenance and upkeep?
6. Approvals and Clearances Requirement of mandatory approvals and clearances from various local, state and national bodies and their availability may be indicated in a tabular form (land acquisition, environment, forestry, wildlife etc.)
S. N Approvals/Clearances Agency concerned Availability (Y/N)
5. Scheme Financing 5.1 Indicate the sources of finance for the Scheme: budgetary support, extra-budgetary sources, external aid, state share, etc. 5.2 If external sources are intended, the sponsoring agency may indicate, as also whether such funds have been tied up? 5.3 Indicate the component of the costs that will be shared by the State Governments, local bodies, user beneficiaries or private parties?
7. Human Resources 7.1 Indicate the administrative structure for implementing the Scheme. Usually creation of new structures, entities etc. should be avoided
7.2 Manpower requirement, if any. In case posts, permanent or temporary, are intended to be created, a separate proposal may be sent on file to Pers. Division of Department of Expenditure (such proposals may be sent only after the main proposal is recommended by the appraisal body) 7.3 In case outsourcing of services or hiring of consultants is intended, brief details of the same may be provided.
9. Comments of the Financial Advisor, NM Aayog, Department of Expenditure and other Ministries/Departments may be summarized in tabular form along with how they are being internalized and used to improve this proposal.
10. Approval Sought: Joint Secretary to the Government of India Tel. No, : ....................................... Fax No. : ....................................... E-mail : .......................................
Please attach an Executive Summary along with the Concept/Detailed Paper outlining the main elements and overall architecture of the proposed Scheme.
8. Monitoring and Evaluation 8.1 Please indicate the monitoring framework for the Scheme and the arrangements for statutory and social audit (if any). 8.2 Please indicate the arrangement for third party/independent evaluation? Please note that evaluation is necessary for extension of scheme from one period to another.
2. Outcomes and Deliverables 2.1 Stated aims and objectives of the Project 2.2 Indicate year-wise outputs/deliverables for the project in a tabular form. 2.3 Indicate final outcomes for the project in the form of measurable indicators which can be used for impact assessment/evaluation after the project is complete. Baseline data or survey against which such outcomes would be benchmarked should also be mentioned.
Annexure-IVB to Appendix- III FORMAT FOR PIB/DIB MEMORANDUM FOR APPRAISAL OF PROJECTS 1. Project Outline 1.1 Title of the Project 1.2 Sponsoring Agency (Ministry/ Department/Autonomous Body or Undertaking) 1.3 Proposed Cost of the Project 1.4 Proposed Timelines for the Project 1.5 Whether Project will be implemented as part of a scheme or on standalone basis? 1.6 Whether financial resources required for the Project have been tied up? If yes, details? 1.7 Whether Feasibility Report and/or Detailed Project Report has been prepared? 1.8 Whether the proposal is an Original Cost Estimate or a Revised Cost Estimate? 1.9 In case of Revised Cost Estimates, whether the meeting of Revised Cost Committee has been held and its recommendations suitably addressed? 1.10 Whether any land acquisition or pre-investment activity was undertaken or is contemplated for this Project? Whether the cost of such intervention has been included in the Project Proposal?
4. Project Finance 4.1 Indicate the sources of project finance: budgetary support, internal and extra-budgetary sources, external aid, etc. 4.2 Indicate the cost components, if any, that will be shared by the state governments, local bodies, user beneficiaries or private parties? 4.3 In case of funding from internal and extra-budgetary resources, availability of internal resources may be supported by projections and their deployment on other projects? 4.4 Please indicate funding tie-ups for the loan components, if any, both domestic and foreign, along-with terms and conditions of loan based on consent/comfort letters.
Components Year 1 Year 2 & so on Total Physical Financial Physical Financial Physical Financial 1, 2, 3 & so on
3. Project Cost 3.1 Cost estimates for the project along with scheduled duration (both year and activity-wise). Also the basis for these cost estimates along with the reference dates for normative costing (it should preferably not be more than a year old) 3.2 In case land is to be acquired, the details of land cost, including cost of rehabilitation/ resettlement needs to be provided. 3.3 In case pre-investment activities are required, how much is proposed to be spent on these, with details activity-wise? 3.4 Whether price escalation during the project time cycle has been included in the cost estimates and at what rates? 3.5 Whether the Project involves any foreign exchange element, the provision made or likely impact of exchange rate risks? 3.6 In case of the Revised Cost Estimates, a variation analysis along with the Report of the Revised Cost Committee needs to be attached.
6. Approvals and Clearances Requirement of mandatory approvals/clearances of various local, state and national bodies and their availability may be indicated in a tabular form (land acquisition, environment, forestry, wildlife etc.) In case land is required, it may be clearly mentioned whether the land is in the possession of the agency free from encumbrances or encroached or stuck in legal processes?
4.5 If government support/loan is intended, it may be indicated whether such funds have been tied up? 4.6 Please provide the leveraging details, including debt-equity and Interest coverage ratios, along with justification for the same. 4.7 Mention the legacy arrangements after the project is complete, in particular, arrangements for the maintenance and upkeep of assets that will be created?
Note: It may kindly be noted that all projects, irrespective of whether financial and/or economic returns can be quantified or not, should be presented for PIB/DIB appraisal.
5. Project Viability 5.1 For projects which have identifiable stream of financial returns, the financial internal rate of return may be calculated. The hurdle rate will be considered at 10 percent. 5.2 In case of projects with identifiable economic returns, the economic rate of return may be calculated. In such cases project viability will be determined by taking both financial and economic returns together. 5.3 In case of proposals where both financial and economic returns are not readily quantifiable, the measurable benefits/outcomes simply may be indicated.
7. Human Resources 7.1 Indicate the administrative structure for implementing the Project. Usually creation of new structures, entities etc. should be avoided 7.2 Manpower requirement, if any. In case posts (permanent or temporary) are intended to be created, a separate proposal may be sent on file to Pers. Division of Department of Expenditure. Such proposals may be sent only after the main proposal is recommended by the appraisal body.
7.3 In case outsourcing of services or hiring of consultants is intended, brief details of the same may be provided.
9. Comments of the Financial Advisor, NITI Aayog, Department of Expenditure and other Ministries/Departments may be summarized in tabular form along with how they have been internalized and used to improve this proposal.
10. Approval Sought: Joint Secretary to the Government of India Tel. No, : ....................................... Fax No. : ....................................... E-mail : .......................................
Please attach an Executive Summary along with the Feasibility Report/ Detailed Project Report prepared for the Project.
8. Monitoring and Evaluation 8.1 Indicate the Project Management/Implementing Agency(s), What agency charges are payable, if any? 8.2 Mode of implementation of individual works: Departmental/Itemrate/Turnkey/EPC/ Public-Private Partnership, etc. 8.3 Please indicate timelines of activities in PERT/Bar Chart along with critical milestones. 8.4 Please indicate the monitoring framework, including MIS, and the arrangements for internal/statutory audit. 8.5 Please indicate what arrangements have been made for impact assessment after the project is complete?

Annexure IV — DFPR

Original Rule Text

Annexure IV — DFPR

Original Rule Text