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1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Sustainable Development Unit India Country Management Unit South Asia Region Document of The World Bank FOR OFFICIAL USE ONLY PROJECT APPRAISAL DOCUMENT ON A PROPOSED LOAN IN THE AMOUNT OF US$430 MILLION TO THE REPUBLIC OF INDIA FOR A MUMBAI URBAN TRANSPORT PROJECT 2A June 2, 2010 Report No: IN This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its contents may not otherwise be disclosed without World Bank authorization.

2 CURRENCY EQUIVALENTS (Exchange Rate Effective April 30, 2010) Currency Unit = Indian Rupees Rs = $1.0 FISCAL YEAR April 1 March 31 ABBREVIATIONS AND ACRONYMS AC Alternating Current KV Kilovolt ACA Additional Central Assistance m/s/s meters per second per second ASCI Administrative Staff College of India MAA Memorandum and Articles of Association CAG Comptroller and Auditor General MMR Mumbai Metropolitan Region CGFA Corporate Governance and Financial Mumbai Metropolitan Region Development MMRDA Accountability Authority CPSU Central Public Sector Undertaking MOF Ministry of Finance CR Central Railway MOR Ministry of Railways CST Chhatrapati Shivaji Terminus Mumbai MOU Memorandum of Understanding DC Direct Current MPC Metropolitan Planning Committee DPE Department of Public Enterprises MRVC Mumbai Railway Vikas Corporation EA Environment Assessment MUTP Mumbai Urban Transport Project EMP Environmental Management Plan MUTP-2A Mumbai Urban Transport Project - 2A EMU Electric Multiple Unit NCB National Competitive Bidding FA&CAO Financial Advisor and Chief Account Officer PAD Project Appraisal Document FM Financial Management PDO Project Development Objective GAAP Governance and Accountability Plan PIO Public Information Officer GHG Greenhouse Gas R&R Resettlement and Rehabilitation GOI Government of India RAP Resettlement Action Plan GOM Government of Maharashtra RDSO Research Design and Standards Organization GPS Global Positioning System RSPM Respirable Particulate Matter HIV Human Immunodeficiency Virus RTI Right to Information Act ICB International Competitive Bidding SAO Senior Accounts Officer ICF Integral Coach Factory SBDs Standard Bidding Documents IGBT Insulated Gate Bipolar Transistor SMF Social Management Framework IR Indian Railways tco2e Ton CO 2 equivalent ISO International Org for Standardization TSS Traction Sub-Stations IT Information Technology WR Western Railway IUFRs Interim Unaudited Financial Report Vice President: Isabel M. Guerrero Country Director: N. Roberto Zagha Sector Manager: Michel Audigé Task Team Leader: Hubert Nove-Josserand ii

3 INDIA Mumbai Urban Transport Project-2A CONTENTS Page I. STRATEGIC CONTEXT AND RATIONALE... 1 A. Country and Sector Issues... 1 B. Rationale for Bank involvement... 2 C. Higher-Level Objectives to which the Project Contributes... 3 II. PROJECT DESCRIPTION... 3 A. Lending Instrument... 3 B. Project Development Objective and Key Indicators... 3 C. Project Components... 4 D. Alternatives Considered and Reasons for Rejection... 7 III. IMPLEMENTATION... 8 A. Institutional and Implementation Arrangements... 8 B. Monitoring and Evaluation of Outcomes/Results... 9 C. Sustainability... 9 D. Critical Risks and Possible Controversial Aspects E. Loan conditions and covenants IV. APPRAISAL SUMMARY A. Economic and financial analyses B. Technical C. Fiduciary D. Social E. Environment F. Safeguard policies G. Policy Exceptions and Readiness Annex 1: Country and Sector or Program Background Annex 2: Major Related Projects Financed by the Bank and/or other Agencies iii

4 Annex 3: Results Framework and Monitoring Annex 4: Detailed Project Description Annex 5: Project Costs Annex 6: Implementation Arrangements Annex 6A: Governance and Accountability Action Plan (GAAP) Annex 6 B: Supervision Strategy Matrix Annex 7: Financial Management and Disbursement Arrangements Annex 8: Procurement Arrangements Annex 9: Economic and Financial Analysis Annex 10: Safeguard Policy Issues Annex 11: Project Preparation and Supervision Annex 12: Documents in the Project File Annex 13: Statement of Loans and Credits Annex 14: Country at a Glance Annex 15: Maps iv

5 INDIA MUMBAI URBAN TRANSPORT PROJECT - 2A PROJECT APPRAISAL DOCUMENT SOUTH ASIA SASDT Date: June 2, 1010 Country Director: Roberto Zagha Sector Manager/Director: Michel Audigé Project ID: P Lending Instrument: Specific Investment Loan Team Leader: Hubert Nove-Josserand Sectors: Railways (100%) Themes: Other urban development (100%) Environmental category: Partial Assessment Project Financing Data [X] Loan [ ] Credit [ ] Grant [ ] Guarantee [ ] Other: For Loans/Credits/Others: None Total Bank financing (US$m.): Proposed terms: Standard IBRD terms with a maturity of 30 years and a grace period of five years. Financing Plan (US$m) Source Local Foreign Total Borrower International Bank for Reconstruction and Development Financing Gap Total: Borrower: Republic of India India Responsible Agency: Mumbai Railway Vikas Corporation Limited 2nd Floor, Churchgate Station Building Churchgate, Mumbai, India Tel: (91-22) Fax: (91-22) md@mrvc.gov.in, commrvc@vsnl.net v

6 Estimated disbursements (Bank FY/US$m) FY Annual Cumulative Project implementation period: Start January 31, 2010 End: June 15, 2015 Expected effectiveness date: September 15, 2010 Expected closing date: June 15, 2015 Does the project depart from the CAS in content or other significant respects? Ref. PAD I.C. Does the project require any exceptions from Bank policies? Ref. PAD IV.G. Have these been approved by Bank management? Is approval for any policy exception sought from the Board? Does the project include any critical risks rated substantial or high? Ref. PAD III.E. Does the project meet the Regional criteria for readiness for implementation? Ref. PAD IV.G. [ ]Yes [X ] No [ ]Yes [X] No [ ]Yes [ ] No [ ]Yes [X] No [ ]Yes [X] No [ X ]Yes [ ] No Project development objective Ref. PAD II.C., Technical Annex 3 To improve the passenger carrying capacity, operational efficiency, level of comfort of, and the institutional capacity of entities involved in, the suburban rail system of Mumbai Metropolitan area. Project description Ref. PAD II.D., Technical Annex 4 Component 1: Rolling stock fleet increase with procurement of 864 EMU cars. Component 2: Conversion of electric traction system from 1500V DC to 25kV AC on the Central Railway, with signal and telecom system improvements. Component 3: Maintenance facilities and stabling lines to accommodate the additional trains. Component 4: Capacity Strengthening and Technical assistance. Which safeguard policies are triggered, if any? Ref. PAD IV.F., Technical Annex 10 Environmental Assessment (OP/BP 4.01) Involuntary Resettlement (OP/BP 4.12) Significant, non-standard conditions, if any, for: Ref. PAD III.F. Loan/credit effectiveness: The Additional Conditions of Effectiveness consist of the following: the SFA and the MOU with the ICF have been executed. vi

7 I. STRATEGIC CONTEXT AND RATIONALE A. Country and Sector Issues 1. India is on a high economic growth path. Its urban population has also been increasing, faster than its total population, and urbanization in India is projected to reach 41 percent by Infrastructure development in most Indian cities is insufficient and is not keeping pace with the increase in travel demand. As a direct consequence, congestion on roads increases travel time as speeds decrease. Meeting the demand is also a challenge for the railways across the country. The Mumbai Metropolitan Region (MMR) is one of the world s largest cities, with a population of 18 million as per the 2001 census. Within the next 25 years, the MMR is projected to overtake Tokyo to become the largest city in the world, in a country having one of the fastest growing economies. Mumbai, as India s financial and commercial capital and its most prominent gateway to the country, occupies the top position in terms of its contribution to the all- India GDP. 2. The region faces enormous challenges, one of which is the acute inadequacy of its transport infrastructure. The suburban rail system is the lifeline of Mumbai, carrying more than half of all motorized trips. In an estimated 6.8 million passengers daily (2.5 billion trips annually) travelled on the suburban railway. At peak hour the average frequency for train services was a very reasonable 16 trains per hour. Because of its extensive reach across the metropolitan region and its intensive use by the local population, commuters are subjected to one of the most severe overcrowding conditions in the world, with a density of up to 16 people per square meter in the coaches. In addition to overcrowding in the trains, trespassing on the rail lines is a major cause of accidents, many of them fatal. Death of squatters and trespassers being struck by a train and passengers falling off trains are a daily occurrence, with fatalities per day. Furthermore, the rapid pace of urbanization and probable acceleration of car ownership and use in Mumbai present a threat to ambient air quality, already a major health issue in most Indian cities. In Mumbai the main contributor to air pollution is the transport sector, so developing suburban rail use contributes to the efforts being made, in India as well as in other countries, to reduce greenhouse gas (GHG) emissions. The present traffic condition of rail commuters is incompatible with the objectives of Mumbai to become a world-class city with acceptable levels of comfort, convenience, safety and air quality. 3. In early 2000, the Government of Maharashtra state (GOM) and Indian Railways (IR) launched preparation of the first Mumbai Urban Transport Project (MUTP-1) 1, which has been implemented since 2002 with the World Bank s help and is still under way. By March 2010, 84 new twelve-car electric multiple units (EMU) trains had been put into service, 51 of which were financed from the Bank loan and 33 were financed internally by IR. (Previously rakes were all of nine cars.) This has reduced crowding in the system from 500 people per coach ppdpk (persons in peak direction at peak) to 450, despite a net increase in passengers. It is expected that once all additional 72 twelve-car rakes financed under that project are in service, crowding will be further reduced to 350 ppdpk, i.e. 30 percent less than the original density --but still twice the rated carrying capacity. 1 The on-going Mumbai Urban Transport Project, usually referred to as MUTP, is referred to in this document as MUTP-1 to distinguish it from the Second Project. 1

8 4. As demand continues to grow, yet more capacity will be needed. A comprehensive transport study for the Mumbai region, called TranSforM, carried out under MUTP-1, recommended this as a priority, in recognition of suburban rail s dominant role in the region s transport network. Suburban rail s importance is reflected in the size of the planned investment Rs.315 billion ($7 billion) by 2031, the Region s second largest investment after the metro. 5. The proposed Mumbai Urban Transport Project-2A (known and referred to in this document as MUTP-2A) is part of this priority program for developing suburban rail. It will be complemented by another domestically-funded project known as MUTP-2B, already approved by the Government of India (GOI) and also part of the priority program, which will further increase the transport capacity of the suburban rail system by adding tracks. MUTP-2B requires land acquisition and its implementation will take longer than MUTP-2A. B. Rationale for Bank involvement 6. In continuation of MUTP-1, the proposed increase in suburban rail capacity will bring important local benefits, reducing commuting times and increasing comfort for a large segment of Mumbai s population, especially among its poor. The project will allow more frequent services, cutting waiting time, while higher maximum speeds will cut trip time. The low fare policy of the Mumbai suburban rail system makes this mode of transport cheaper than the bus and particularly attractive to less affluent commuters. 7. As part of this second project, traction voltage will be upped from 1,500 V DC to 25 KV AC, reducing energy losses in distribution. The improved rolling stock supplied under MUTP-2A will further reduce energy consumption, cutting it over all by about 30 percent compared to the present system. This in turn will contribute to mitigating the climate change threat originating from transport. 8. This second project will also continue the capacity building effort started by the Bank team during first project. Throughout the implementation of MUTP-1 the project implementation company, Mumbai Railway Vikas Corporation (MRVC) has gained requisite expertise in managing a challenging suburban rail development project that required professional expertise in technical disciplines, as well as in interagency coordination and communication. This follow-on project will help MRVC in furthering its professional competency and assist it to plan and design more complex projects involving multi-modal stations. 9. Building on the progress made under MUTP-1, the zonal railways, Central Railway (CR) and Western Railway (WR), want to address remaining challenges, in particular to reduce the high number of fatalities related to trespassing and to improve the environmental management side of their operation. The successful partnership between GOM and IR for the development of suburban rail services in the Mumbai Metropolitan Region has been recognized by the railways. In its Vision 2020 strategic plan the Ministry of Railways wishes to develop this type of partnership for suburban rail services across the country and make the management of suburban operations more efficient. This will include addressing the issue of the growing financial deficits of such services. Through specific studies as well as study tours, this MUTP-2A project will help develop the analytical knowledge basis to address these challenges and set up these organizational changes. 2

9 C. Higher-Level Objectives to which the Project Contributes 10. The proposed project is designed to support the Long-term Transportation Strategy for the Mumbai metropolitan region (TranSforM), whose vision is Transforming Mumbai into a world class metropolis with a vibrant economy and globally comparable quality of life for its citizens. In addition, the project supports IR s Vision 2020, which aims to remove bottlenecks and augment capacity to match the growing transportation demand and provide comfort and convenience in every activity. 11. The project supports the World Bank s Country Strategy for India (FY ), which emphasizes rapid and inclusive growth, sustainable development, and improving government s effectiveness in delivering services. Continuation of the Bank s involvement in India s suburban sector through MUTP-2A, with its mix of growth-oriented investments and capacity building, will help India to develop a collaborative approach between the local governments and IR, towards a more efficient suburban railway system, as befits a middle- income state. 12. The Bank is engaged in consultations with IR for developing a longer-term Plan 2030 that would address the challenges that the Railways face. These derive from India s expected continued rapid economic growth over the next two decades, the expected changes in the expectation of customers, and the continuing transition to urban life. In parallel with other Bankfunded activities such as the Dedicated Freight Corridor Project under preparation and nonlending technical assistance activities (workshops and study tours), the MUTP-2A project will support the preparation of this strategic plan as it applies to suburban areas, in particular through a provision in the loan for further technical assistance. 13. The project supports environmentally friendly urban public transportation, which is recommended in the Bank s sector strategy: Safe, Affordable and Clean Transport. Rail is one of the most energy-efficient modes of transportation and therefore a direct contributor to cutting GHG emissions, which are widely held responsible for climate change. It even compares well to other modes of public transport. Buses in India emit about 28 grams of CO 2 per passenger-km, whereas railways are about 2.5 times more efficient, emitting only about ten grams. The project will help promote the use of this more efficient and climate- friendly mode of public transport. Within its design, the project will support activities that further cut GHG emissions, such as regenerative braking for EMUs and conversion of the power supply from DC to AC. An additional benefit is the local impact on public health from the reduction in pollutants. II. PROJECT DESCRIPTION A. Lending Instrument 14. The lending instrument to be used for this project is an IBRD Specific Investment Loan (SIL). B. Project Development Objective and Key Indicators 15. The proposed project will build upon the progress made under the first Mumbai Urban Transport Project and will further increase the capacity of the suburban rail system within 3

10 the Mumbai metropolitan region. The project s development objective is to improve the passenger carrying capacity, operational efficiency, level of comfort of, and the institutional capacity of entities involved in, the suburban rail system of Mumbai Metropolitan area. Accordingly its performance will be monitored through the following indicators: (a) additional capacity in vehicle-km during peak hours, (b) reduction in peak hour overcrowding, (c) reduction in journey times, (d) operational efficiency: reduction in energy consumption, and (e) institutional strengthening: carrying out technical assistance and preparing action plans C. Project Components 16. The project has four components. The first three lead to the introduction of additional train services on Mumbai s suburban rail network. The technical assistance component intends to strengthen the institutional and managerial capacity of MRVC and IR. Table 1 shows the project s components and cost, as well as its financing. Its total cost is estimated at US$970.5 million, and the proposed IBRD loan, at 44 percent of the total, will be US$430 million. Table 1. Summary of Project Components, Costs and Financing (US$ million, including contingencies) Project Component IBRD Loan Counterpart Funding Total Cost Component 1 Rolling Stock Fleet Increase Component 2 DC to AC Conversion Component 3 EMU Maintenance Facilities and Stabling Lines Component 4 Technical Assistance Front-end Fee Unallocated Total Financing Sought Note: Physical and price contingencies are all included Component 1. EMU Rolling Stock Fleet Increase 17. Under the project 864 additional EMU cars will be procured. This will increase the total fleet to around 3,124 cars. The Bank loan will finance the electrical equipment for the new cars, to be manufactured at Chennai Integral Coach Factory (ICF), while counterpart funds will cover the remaining costs of production. This continues the arrangement adopted under MUTP- 1. As the power supply will be converted from DC to AC before these cars enter service, they 4

11 will be designed and built for use on 25KV AC system only. This activity is expected to be completed by Component 2. Conversion of Power Supply from Direct Current to Alternating Current (including Improvements to Signals and Telecoms) 18. Three sections of the MMR s Central Railway network will be converted from 1,500V DC traction to 25KV AC. This activity comprises (i) modifying overhead catenaries, (ii) installing power sub-stations, along with switching stations (iii) procuring catenary maintenance equipment; and (iv) modifying signal and telecom systems. This investment is needed to allow the operation of the increased fleet as a result of Component The conversion is planned to be completed by In addition to creating capacity to run more trains, the conversion will cut transmission losses and reduce the need for maintenance of power supply installations. Regeneration of electricity during braking is more efficient under high-voltage systems, so this will add a third source of energy savings. Component 3. EMU Maintenance Facilities and Stabling Lines 20. New stabling lines will be built to accommodate the additional trains supplied under the project. The existing EMU maintenance depot at Kurla on the Central Railway and the maintenance shed at Virar built under MUTP-1 will accommodate the new stabling lines. No new car maintenance shed or overhaul workshop is planned under MUTP-2A. In total, 73 new stabling lines will be built: 34 (including four extensions from 9-car to 12-car) on the Western Railway and 39 on the Central Railway. They will be fully funded by the government. Component 4. Capacity Strengthening and Technical Assistance 21. Strategic and tactical studies will be carried out, as well as capacity building and training. This represents 1.5 percent of the total project cost. 22. The strategic studies will include: (i) preparation of a priority development program for the Mumbai suburban rail services, consistent with the TranSforM Study and including pre-feasibility studies; (ii) support to IR in the development of their long-term strategy to implement Vision 2020, in particular for the suburban rail services; and (iii) a study to improve the financial situation of the Mumbai suburban rail operation, mostly by maximizing non fare-box revenues. 23. Tactical studies include the following: (i) a ticketing study aiming at establishing a more efficient and user-friendly ticketing system for Mumbai s suburban rail system; (ii) study and design of an improved passenger information system for the system; (iii) a study to reduce the number of accidents due to trespassing, and (iv) a study to identify specific improvements to environmental practices within the operations of the Central and Western Railways. 24. Capacity building will include supply and installation of software for improved power supply and operation simulation. Training will aim at reinforcing the professional efficiency of MRVC officers on the basis of an approved training plan. Lessons Learned and Reflected in the Project Design 5

12 25. The on-going MUTP-1 project has made significant progress towards achieving its development objectives with a noted reduction in overcrowding in suburban trains and operation of new buses of improved design. The MMR Development Authority (MMRDA) has improved its capacity to manage resettlement and rehabilitation that is now implemented with reasonable quality. But land acquisition and resettlement and rehabilitation are still slow, as is road construction. 26. The design of MUTP-2A builds on the following key lessons learned from the implementation of MUTP-1 and other transport operations in India. 27. Motivation, ownership, effective implementation planning and sustained followup on the part of the client is an important factor in implementation success. MRVC, which started off as a new entity has in course of implementing MUTP-1 developed management experience, expertise in Bank-assisted operations and capacity to liaise with the several departments and agencies of IR 2, GOM, and other stakeholders for implementing the project s suburban rail component. This experience has given MRVC the required understanding and confidence to implement a new externally-funded project on its own in coordination with other institutions and agencies. 28. The project should be designed in a way that inter-agency coordination does not become an obstacle to carrying out key activities. One of the key reasons explaining the slow pace of MUTP-1 s implementation was the complex project design with ambitious implementation arrangements, involving multiple implementing agencies without effective coordination. Five project implementing agencies were involved, with MMRDA as the coordinator. It would have benefitted from a clearer contractual co-ordination framework to ensure effective progress. Long delays in project components such as station area improvement schemes and road-over-bridges, requiring greater inter-agency coordination, forced the removal of these sub-projects from MUTP-1 as part of a project restructuring. To minimize such delays on account of weak co-operation and ineffective inter-agency coordination, MUTP-2A has been designed as a simple but comprehensive project for enhancing the quality and magnitude of the Mumbai suburban rail operations, through activities that will involve essentially IR agencies coordinated by MRVC. Implementation arrangements for MUTP-2A have been planned in such a way that progress will not be vulnerable to poor inter-agency coordination. 29. Project design should adequately focus on capacity building of the client, especially in new areas, and leave space for implementation arrangements to evolve, instead of being frozen in time, to achieve greater efficiency. The nature and significance of some major resettlement difficulties were appreciated by the client during the process of implementation. Through very active Bank involvement, MMRDA has gradually evolved a more sustainable and 2 Central Railway and Western Railway are two of the largest and busiest of the 16 zones of Indian Railways. Their respective divisions, Mumbai Division of the Central Railway and Mumbai Central Division of the Western Railway, are involved in this project. IR is a department owned and controlled by GOI, via MOR. IR manufactures much of its rolling stock and heavy engineering components at its six manufacturing plants, called production units, which are managed directly by the Ministry. Chennai ICF is one of these. Each of the six production units is headed by a general manager, who reports directly to the Railways Board. The Research Design and Standards Organization (RDSO) is a research and development organization under MOR, which functions as a technical adviser and consultant to the Railways Board, the zonal railways, and the railway production units in respect of design and standardization of railway equipment and problems related to railway construction, operation and maintenance. 6

13 consultative approach. It developed capacity for managing large-scale and complex resettlement processes. The present project includes several studies that will help MRVC and IR strengthen their capacity to address difficult and sensitive challenges, such as the safety of trespassers, environmental management and financial sustainability. 30. Mechanisms for strengthening transparency, accountability, and good governance should be planned upstream and integrated into the project design to enhance implementation quality and outcomes. Successful implementation of social safeguards, the most challenging issue in MUTP-1, was due to establishing effective institutional mechanisms. These included an independent monitoring panel for third-party monitoring and a transparent and accountable grievance redress mechanism for resolving complaints and disputes. Measures for transparency, accountability, and good governance, including third-party monitoring and dispute resolution, are incorporated in MUTP-2A as a part of the Governance and Accountability Plan. 31. Urban transport projects undertaken in diverse and challenging metropolitan settings such as Mumbai involve complex political-economy issues. They need to be anticipated and the project designed accordingly, so that the implementation trajectory remains well within the reach of the implementing and funding agencies. Factors other than inter-agency coordination that posed roadblocks in implementation of MUTP-1 included difficult political economy issues, especially with regard to management of necessary land acquisition, resettlement and rehabilitation (R&R). MUTP-2A has been carefully designed to avoid land acquisition and R&R activities. Compared to MUTP-1, which required resettlement of some 19,000 project-affected households, MUTP-2A does not involve any land acquisition, and squatter households required to be resettled may not exceed twenty. D. Alternatives Considered and Reasons for Rejection 32. Type of World Bank financing: The possibility of treating the project as additional financing for MUTP-1 instead of a separate project was discussed. However, the activities planned for MUTP-2A may go beyond three years of the expected closing date of the on-going loan, the limit allowed by Bank policy, so additional financing would not be possible. Also, the additional financing option would be financially less advantageous for the Borrower. It was agreed that MUTP-2A should be prepared as a separate project as initially stated. 33. Number of rakes included in the project: Initially the project design included the procurement of only car rakes, the maximum that could be used efficiently on the existing infrastructure. However, simulation information provided by MRVC showed that it will be possible to use 72 rakes efficiently on the infrastructure available at the end of MUTP-2A, and the project has been adjusted to this higher value to further improve the system s capacity. 34. Number and size of stabling lines: Initially a larger number of stabling lines were considered to be installed under the project, but they were excluded to minimize land acquisition and resettlement impacts. The project has been designed in a way that it requires no private land acquisition and involves no resettlement activities. 7

14 III. IMPLEMENTATION A. Institutional and Implementation Arrangements 35. MUTP-2A will continue with the institutional arrangements put in place under MUTP-1 that proved to be efficient for an effective partnership between the Government of Maharashtra state and Indian Railways in carrying out the project. MRVC, incorporated under the Companies Act, 1956, is a Public Sector Undertaking, limited by shares, of the Indian government under IR. Owned almost equally by GOM and IR, MRVC is expected to coordinate and implement development projects for the suburban rail system in Mumbai on behalf of GOM and IR. MRVC will receive a fee called Directional and General (D&G) charges from GOM and IR for its services under MUTP-2A. 36. MRVC is the project implementing agency for MUTP-2A and in that role is accountable for satisfactory completion of all the project works. MMRDA, ICF, RDSO, WR and CR are executing agencies. As the project implementing agency, MRVC, on behalf of GOM and IR, is responsible for financing and procuring all the contracts financed by the loan, including the rolling stock and power supply equipment, as well as for executing certain identified works in the field, with due safeguards in consultation with the Zonal Railways. Memoranda of understanding which incorporate insurance to respect the environmental management plan, time line of works and activities to be carried out by the respective agencies, will be set up between MRVC and the executing agencies. 37. GOM and IR will share the investment costs of the Bank-financed project on a 50/50 basis, making GOM a key beneficiary and stakeholder of the project along with IR. The project will benefit from this partnership and will seek ways to further deepen it through technical assistance and capacity building. GOM and IR will ensure that its activities under the Project are carried out in accordance with the provisions of the Implementation Manual, SMF, and EMPs, and in accordance with the provisions of the Anti-Corruption Guidelines, and shall ensure that the Implementation Manual, SMF, and EMPs are not materially revised, amended, waived, or abrogated without the prior no objection of the Bank. 38. Flow of Funds and Financial Management: The borrower of the World Bank loan will be India, who will make its proceeds available to MOR and GOM. One half of each loan disbursement will be released to GOM as Additional Central Assistance under the standard policy of external assistance to a State and to MOR through the General Budget. MOR and GOM will provide loan and counterpart funds to MRVC. MRVC will be responsible for financial management arrangements for the project. A recently completed assessment concluded that MRVC has a financial management system adequate to account for and report on the project resources and expenditures accurately. The responsibility for overall project financial management will rest with MRVC s Director (Finance), who will be responsible for activities relating to compiling project budgets, project accounting, reporting to the Bank in a timely manner, submitting applications to the Bank for direct payments, advances and replenishments and periodical audits. The project financial management cell will remain adequately staffed during the implementation of the project. 8

15 39. Safeguards Management: An environmental management plan (EMP) and a social management framework (SMF) for the project have been prepared satisfactory to Bank which are in line with those approved by the Bank for MUTP-1. It is expected that both MRVC and CR will hire a project management consultant to assist them in implementing the project. In addition, MRVC has obtained ISO certification for its environmental management system. The project s environmental management plans (EMP will form the basis on which its performance will be measured. The management representative required by the ISO compliance system will be the Deputy Chief Engineer. S/he will supervise the consultant hired by MRVC and co-ordinate with the respective chief engineer of CR to confirm compliance with the relevant provisions of the EMP. For the contracts to be executed through the participating railways, it has been agreed that the relevant provisions from the Railway Contracts Manual will be enforced and the necessary instructions to the contractors are to be issued. The project does not involve any private land acquisition or resettlement impacts. However, MRVC has prepared a Social Management Framework (SMF) Social management framework referred to in Chapter-3 of the Project Implementation Manual in order to deal with any LA or R&R in case of any future alterations in design or layout. MRVC has also reached an understanding with MMRDA that the latter will implement any future resettlement activities as required on behalf of MRVC as per the Bank approved SMF that is based on the Resettlement and Rehabilitation (R&R) policy for MUTP-1. Adverse impacts relating to access, health, safety, and unequal wages are common to most civil works and will be addressed by the concerned railways divisions as part of construction management, which MRVC will monitor. B. Monitoring and Evaluation of Outcomes/Results 40. The Results Framework shown in Annex 3 is the main instrument for monitoring and evaluating achievement of the project developmental objective (PDO) and outcome indicators. The project s main outcome indicators, namely additional capacity, peak hour overcrowding, journey times and energy consumption, will be generated by routine monitoring by MRVC using ridership/occupancy surveys of commuters and operational statistics, compiled in yearly reports. This will help in assessing the project s contribution to enhancing the capacity, efficiency and financial viability of MMR s suburban rail transport system and to redirect it, if necessary, to achieve the PDO. MRVC has provided baseline and end-of-project target values for the outcome and most of the intermediate performance indicators. C. Sustainability 41. Since the proposed project intends to reduce overcrowding, the financial performance of the suburban rail operations is expected to deteriorate in the medium term as a result, unless revenues increase slightly faster than the cost price index. However, Mumbai s suburban operations represent a comparatively small share of IR s total business, so they have only a minor impact on IR s overall financial performance, which is far more dependent on railway-wide tariff policies and continued strong growth in freight traffic. Therefore this financial condition is not expected to impact significantly the sustainability of the operation and maintenance of the suburban rail system. 42. MRVC has been given the main mandate to formulate and implement rail infrastructure projects that require coordination between MOR and GOM. It is funded 9

16 accordingly by both administrations. However, this does not make MRVC a permanent structure and MRVC will remain in existence only as long as it is judged necessary beyond the year 2014, the end of the current MOU. An amendment to the MOU will be signed to ensure that MRVC continues as implementing agency of MUTP-2A until its completion. D. Critical Risks and Possible Controversial Aspects Risks Risk Mitigation Measures Risk Rating with Mitigation Risk Rating Operation-specific Risks Technical Design Demand assessment risk: demand may exceed the forecast, thereby reducing the expected passenger comfort benefits (reduced overcrowding). This can happen because population or Additional counts will be made during project preparation and project implementation to monitor passenger loadings. The pace of implementation of the Strategic Transport Plan may be economic growth does not change as forecast. It can also happen because the fare does not rise at the same pace as the cost escalation index. Based on recent traffic counts, this risk is moderate. revised accordingly. Moderate Implementation Capacity and Sustainability Financial Management About ten percent of electric motors have failed in trains so far delivered under MUTP-1, with a small impact on operations as the Vendor has replaced them, but with moderate future risk. Financial sustainability: continuation of the present fare level trend will increase the financial deficit of the suburban operation, creating a medium-term financial risk for IR. Possibility of certain gaps in corporate governance and financial accountability and management practices in MRVC. (MRVC is in the process of implementing MUTP-1 and is already familiar with Bank procedures). The Bank team will encourage IR to pay more attention to qualification of critical items of rolling stock procurement. The impact of the project on IR s financial performance as a whole is considered small and not liable to affect significantly the sustainability of the suburban operations and maintenance. An assessment of corporate governance and financial accountability (CGFA) arrangements in MRVC has been completed. The objective of the assessment is to (i) benchmark current CGFA practices in MRVC against industry standards and good practices and (ii) agree on an action plan with dates for implementing capacity building measures that are identified. Progress on the agreed action plan would be monitored during project preparation and prior to implementation. Funds will flow to MRVC through budget release, which will be replenished by the Bank on the basis of quarterly interim unaudited financial reports and expenditure forecasts. Direct payment by the Bank to the suppliers will be the likely option under the project. The project will comprise only a few large supply contracts, which will be subject to prior review by the Bank. Low Low Moderate (subject to progress of implementati on of agreed CGFA action plan 10

17 Procurement Social and Environmental Safeguards Use of the Bank s revised standard bidding documents may require an initial familiarization period, which may result in delays in finalizing contract awards. Since all procurement packages are large values, there is likelihood of delay in decision making, generally for all packages that involve RDSO as the design organization with mandate to clear the specifications and particularly for procurement of EMU rolling stock, as clearances will be required at the Railway Board/GOI levels. There are no substantial risks in this project associated with social and environmental impacts. All physical activities are located within the existing railway lands and involve no land acquisition or resettlement impacts. (a) However, stabling lines proposed at Virar Scrap yard may pose hazard risks for people living in hutments outside the execution area but near the railway racks. (b) Any alteration the project design may require LA and R&R measures. Bank staff will guide MRVC staff in under-standing the various changes and their import, even during the period of issue and receipt of bidding documents, and clarify doubts at all stages, to avoid long delays. The team will discuss and agree on arrangements that will be worked out with RDSO and the Railway Board to participate early on during the bidding and later evaluation process of these procurements. (a) MRVC carried out a supplementary social impact assessment survey in order to reconfirm the nature and magnitude of adverse impacts on a few households living alongside the rail tracks leading to the proposed stabling lines site at the Virar Scrap Yard. The study confirmed that there is no LA or R&R impacts. In order to address the safety issues, Railways will barricade the whole stretch from the rail tracks and the stabling site. (b) MRVC has prepared a SMF acceptable to the Bank, based on the R&R Policy approved for the ongoing MUTP-1 to deal with any LA or R&R impacts caused due to any alteration in design or outlay. In continuation of the arrangements established for MUTP-1, MRVC will carry out any necessary LA through the state government whereas R&R measures will be implemented by MMRDA on behalf of MRVC. Adverse impacts relating to access, health, safety, and unequal wages are common to most civil works and will be addressed by the concerned railway divisions as part of construction management, which MRVC will monitor. Low Moderate Moderate Overall risk (including reputational risks) Moderate E. Loan conditions and covenants 43. Conditions of Effectiveness: Subsidiary financing agreement between MRVC and GOM and the MOU between MRVC and the ICF have been executed. 11

18 IV. APPRAISAL SUMMARY A. Economic and financial analyses 44. Economic analysis: Since this project is a continuation of the earlier MUTP-1 project, the economic analysis for this project has been conducted comparing the proposed additional project components as the with alternative against the situation at the end of MUTP- 1 as the without alternative. 45. The analysis has been carried out of the project s incremental costs and benefits. The economic analysis for the suburban rail component done at the stage of MUTP-1 has been updated to current prices. The assumptions have been modified after comparing the results of the earlier analysis with the actual outputs for traffic, average trip length, increase in other traffic (passengers and freight), procurement of rakes and the cost of various components. The revised assumptions were then used to add the proposed components (MUTP-2A) and their costs to estimate the total benefits of the whole project. The difference in costs and benefits for MUTP-1, with and without MUTP-2A were computed to arrive at the economic rate of return for the proposed component. 46. The evaluation shows that the project will have an economic rate of return of 17 percent and net present value, discounted to 2010, of US$262 million in 2008 prices at a 12 percent discount rate over a thirty-five-year evaluation period (2010 to 2045). The above results indicate that the project is very viable economically and the Mumbai city will gain from the better suburban system, the lifeline for commuter transport in the city. Detailed analysis is provided in Annex Financial analysis: MRVC has made financial projections of the Mumbai suburban system over a 35-year period, based on , and related them to the overall financial performance of IR. It took into account the impact of both the on-going MUTP-1 (assumed to be completed in ) and MUTP-2A (assumed to be completed in ). A Base Case analysis was undertaken, as well as sensitivity analyses for the key assumptions. The model was originally developed as part of the Financial and Institutional Study of the Mumbai Suburban System in 1996 and has since been used regularly to forecast demand, earnings and operating expenses, generally performing well. 48. In , the Mumbai system represented an estimated 12 percent of IR s passenger traffic (measured in passenger-km) and about seven percent of IR s total traffic including freight. However, because of the very high average loads carried and the low average fare, it only generated about 1.5 percent of IR s total revenue and about two percent of its total working expenses (excluding depreciation). Because MUTP-2A will reduce over-crowding and thus require more assets and services to carry the same volume of traffic, its financial performance is likely to deteriorate for at least the medium-term. However, its comparatively small share of the total IR business means that it will have only a minor impact on the financial performance of IR as a whole, which is far more dependent on railway-wide tariff policies and continued strong growth in freight traffic. Detailed financial analysis is given in Annex 9. 12

19 B. Technical 49. During MUTP-2A it is expected that the same signaling and telecom technology will be used as existed during MUTP-1, i.e. digital axle counters, both compatible with AC traction. The technical specification for the EMU cars was the subject of extensive discussion with IR during the preparation of MUTP-1. Two separate independent reviews were undertaken, one commissioned by IR, the other by the Bank. These confirmed that the specifications were appropriate for the particular conditions in Mumbai (very heavy passenger loadings and difficult operating conditions during the monsoon season) and are in line with current international trends. 50. The new EMU coaches will be provided with (i) state-of-the-art 3-phase Insulated Gate Bipolar Transistor (IGBT) based AC traction technology with improved energy efficiency and reliability, (ii) maintenance-free, higher horse-power (30 percent) 3-phase AC traction motors with Variable Voltage Variable Frequency control, (iii) a GPS-based microprocessor-controlled passenger information system, (iv) higher acceleration and deceleration of 0.54 m/s/s and 0.76 m/s/s respectively, with a maximum speed of 100 km/hr, (v) a forced air ventilation system to maintain the difference in CO 2 level between the inside and outside of the coach within 700 ppm as per international standards, (vi) air-conditioned driver s cab and provision of capacity for power supply for air conditioning of passenger areas of the EMUs as a retrofit at a later date, and (vii) air springs in secondary suspension for better riding quality. C. Fiduciary 51. Financial management (FM): The design of the FM arrangements for the proposed project builds on the following strength in the area of financial management of MUTP-1: a budgeting, accounting and reporting system has been operational in the entity for the past several years, which will be used for accounting and generating the required financial reports under MUTP-2A. MRVC has prior experience in implementing Bank financed project (MUTP-1) and its FM policies and procedures are being further strengthened for implementing MUTP-2A. 52. Disbursement arrangements: The project will be funded through budget releases to MRVC by MOR and GOM as in the case of MUTP-1. Separate budget codes will be established for the purpose by MRVC. The IBRD funds will flow to MOR (through the general budget) and GOM (through Additional Central Assistance) from the GOI s Office of Aid, Audit and Accounts. The repayment of the loan will be done by GOI/GOM in equal parts and the surcharge already levied on suburban commuters will contribute to this repayment fund. Of the total surcharge collected 50 percent will be transferred to MOR by CR and WR and the remaining 50 percent will be transferred to GOM or adjusted against GOM receivables by MRVC. IBRD will advance an amount equivalent to six months forecast expenditure, to be deposited in the Designated Account that will be opened by the Ministry of Finance. Subsequent disbursements by the Bank will be routed through the Designated Account. Disbursements by IBRD will be made on the basis of the quarterly interim unaudited financial reports submitted by MRVC. Supporting documentation, including completion reports, certifications, bills and other documentation will be retained by MRVC and made available to the Bank during project supervision. These will also be audited as a part of the annual audit of project financial statements. Retroactive financing will be available under the project for payments made within 13

20 12 months prior to the expected date of the loan agreement and to be eligible, the activities should be procured as per Bank guidelines on procurement. 53. External Audit: As per Section 619(2) of the Companies Act, 1956, MRVC s statutory auditors will be appointed by the Comptroller and Auditor General (CAG) to carry out an independent audit and express their opinion as per the requirements of the Companies Act. In addition, the CAG through its Principal Director of Commercial Audit may also conduct supplementary audits under Section 619 (3)(b) of the Companies Act on the audited financial statements. After the completion of the statutory audit and supplementary audit, the audited accounts and auditors reports are adopted by MRVC s Annual General Meeting. Statutory audits of MRVC are on schedule. They do not contain any material observations. In addition to the audits under the Companies Act, MRVC is subject to proprietary audit/ inspection by the Office of the Principal Director of Commercial Audit. 54. Procurement: Procurement under the project will be carried out by MRVC. MOR has implemented several Bank-funded projects aimed at modernizing India s railways. Generally the officers are aware of the procurement procedures followed in these projects. MRVC will depute some representatives who will deal with this procurement, to the training programs organized by Administrative Staff College of India, the National Institute of Financial Management or other reputable institute for updating their knowledge on procurement. 55. MRVC has been delegated authority by IR to make procurement decisions for contracts up to a value of Rs. 1,000 million (about US$20 million). All contracts except the one for the procurement of EMUs electric equipments will be within this threshold. The value of the EMU contract is expected to be over US$20 million. In this case, the bid evaluation will be carried out by a committee of MRVC and RDSO and forwarded to Indian Railways Board for review and approval of recommendations. MRVC and IR have agreed on a timetable for completing the various stages of bid evaluation and award of contract, to ensure that the contract is awarded within 150 days of bid opening. 56. The agency is staffed by qualified technical personnel and managers, well versed in the project s technical aspects. Some of the officials have undergone training in Bank procurement and most of the officers have handled procurement under Bank-funded projects. Considering that MRVC has implemented the on-going MUTP-1 successfully, fresh assessment of the capacity of MRVC to carry out procurement for the project has not been considered essential and not done formally. However, based on the experience of the staff engaged in the first project and little change in the organizational structure for implementing the second project, the Bank team concludes that the agency has adequate capacity to handle procurement under this project. The procurement risk is assessed as moderate in view of the large packages proposed and considering the possibility of delays due to involvement of several agencies in the decisionmaking process. 57. Procurement for the proposed project will be carried out in accordance with the World Bank s "Guidelines: Procurement under IBRD Loans and IDA Credits" dated May 2004 revised in October 2006; and "Guidelines: Selection and Employment of Consultants by World Bank Borrowers" dated May 2004 revised in October 2006, and the provisions stipulated in the loan agreement. The various items under different expenditure categories are described in 14

21 general in Annex 8. For each contract to be financed by the loan, the different procurement methods or consultant selection methods, the need for pre-qualification, estimated costs, prior review requirements, and time frame have been agreed between the Borrower and the Bank in the Procurement Plan. This Plan will be updated at least annually or as required to reflect the actual project implementation needs and improvements in institutional capacity. D. Social 58. Potential social risks: The project with its current design and outlay involves no involuntary resettlement impacts with the proposed activities of stabling lines, traction substations, section and sub-section posts and maintenance facilities requiring no land acquisition. The stabling lines will be built over about 28 ha of railway land, only along existing railway tracks. All other facilities, where choice of location can be flexible, have been planned to be developed on vacant plots available with the Railways. Thus, MRVC has carefully explored various alternatives and has ensured that no private lands will need to be acquired, in order to avoid and minimize adverse social impacts. A supplementary social impact survey was undertaken by MRVC at Virar Scrap Yard to assess the likely impact on 38 structures located close to railway tracks. The survey confirmed that no land acquisition or resettlement measure was required. 59. In order to deal with any future involuntary resettlement impacts due to any possible alteration in design or outlay, MRVC has prepared and adopted a social management framework (SMF) detailed under the MUTP R&R Policy, which was adopted for the ongoing MUTP-1 and is satisfactory to the Bank. The SMF is referred to in the Chapter-3 of the Project Implementation Manual, which also provides that any necessary resettlement and rehabilitation (R&R) measures will be carried out by MMRDA on behalf of MRVC. In such an event, MRVC will prepare a specific resettlement action plan (RAP) based on the SMF, in a manner acceptable and satisfactory to the Bank. This arrangement is a continuation of the arrangement established for implementing R&R measures for the rail component of MUTP-1. Other social safeguard risks relating to access, health, safety, and unequal wages will be monitored and mitigated as part of construction management. 60. Assessment approach: In order to identify and assess the nature and magnitude of social impacts, MRVC has carried out a social impact assessment (SIA) as part of the Environment Assessment (EA). The EA Report, which includes a separate section on social issues, has confirmed that the project will require no private land acquisition. A few railway employees earlier living at the proposed site at Thane have shifted away after the project was announced and some ten such railway employees living close to the proposed stabling lines at Bhaindar North informed during EA that they will shift away before the commencement of the work. As railway staff, they will be provided with staff quarters or monthly house rent allowance enabling them to relocate away from this place. A supplementary social impact survey was carried out at the proposed site for stabling lines at the Virar Scrap yard to assess the nature and magnitude of impact on 38 structures located close to the railway tracks. The survey findings were as follows: (a) Out of 38 structures, 37 were residential structures and one was a temple; none of these are affected by the proposed stabling lines work; however, (b) 13 of these structures are located alongside tracks and occupied by railway employees living there; the 15

22 families need to be shifted for safety reasons; and they will be provided with staff quarters or receive monthly house rent allowance enabling them to relocate; c) the other structures including a temple and residences for 18 squatter households and six tenants (in private houses) are beyond the execution zone and will not need to be relocated; (d) the execution areas and the railway tracks at this stretch will be barricaded for enhancing human safety. 61. At certain other proposed work sites, some lands required for the project have been licensed out by the Railways to its employees for vegetable cultivation in order to prevent encroachment. These licenses are issued on annual basis and will normally be allowed to run their course before the work commences. In cases where this is not possible, the licenses will be terminated with one month s advance notice as per the license terms and conditions by the Railways providing the licensees with sufficient time to harvest crops and salvage assets if any before such licenses come to an end. 62. Resettlement instrument and measures: The results of the EA and supplementary social impact survey carried out by MRVC confirmed that no land acquisition or R&R measures are required for the project. In order to deal with any future involuntary resettlement impacts due to any alteration in design or outlay, MRVC has prepared and adopted a Social Management Framework (SMF). which is detailed under the R&R Policy, which was adopted for the ongoing MUTP-1 and is satisfactory to the Bank, setting forth the rules and procedures for carrying out any social, resettlement and rehabilitation activities under the Project, including identification, assessment and mitigation of potential environmental and social impacts arising from the Project, carrying out consultations, processing and redressing grievances, monitoring related impacts, and, if required, limited resettlement and rehabilitation action plans and other development and entitlement plans for people adversely affected as result of Project implementation. 63. Implementation arrangements for mitigation measures: The implementing agency has fair experience in coordinating land acquisition and resettlement activities with the state government. It was involved with the land acquisition for carrying out the rail component of MUTP-1. MRVC has gained considerable exposure to the sensitiveness of urban resettlement issues by way of coordinating with MMRDA in resettling a large number of project-affected people from along the railway sub-projects of MUTP-1. This arrangement is a continuation of the arrangement established for implementing R&R measures for the rail component of MUTP- 1. MRVC s main task will be to coordinate efforts with MMRDA for carrying out the mitigation measures, for management of which it has the required capacity. 64. Social safeguards in Project Implementation Manual: The current project design involves no private land acquisition or resettlement impacts. MRVC has prepared a Project Implementation Manual, the Chapter-3 of which refers to the social management framework which will enable MRVC to address land acquisition and R&R issues in the event of any future alteration in the project design or lay out. E. Environment 65. Potential Environment Issues: The project activities under MUTP-2A are expected to have only a few negative environmental impacts. These will mostly occur in areas where new stabling lines or traction substations are proposed. Augmentation of workshops is 16

23 likely to have few adverse environmental impacts. The long-term impacts identified include tree cutting at proposed sites, potential for damage to (only a few) mangroves in one location, and potential traffic safety hazards due to re-routing in select locations. Additionally, temporary impacts related with the construction stage are also expected on the following aspects: increased air pollution and safety hazard due to increased traffic, especially close to sensitive receptors, increased noise levels, potential impacts from improper handling of hazardous substances like asbestos and oils, pollution of water courses close to sites, and provision for labor. In light of these limited impacts, the project has been assigned Category B. 66. Assessment Approach: The environmental assessment has included review of the relevant activities in MUTP-1, followed by site visits to potential sites under the project and onsite discussions with stakeholders, including railway officials. This has been followed up by a review of the contract documents for environmental management aspects. Prototype environmental management plans have been prepared for activities that are common across sites. Plans have then been modified to suit site conditions such as at Chinchpokli traction substation, where handling asbestos is likely to be an important issue. A framework has been prepared to assess and manage impacts in locations where sites may have to be changed due to unforeseen circumstances. The resultant generic environmental management plan has been included in the project s Operations Manual. 67. Environmental Management: The experience gained during the preparation and implementation of MUTP-1 has been advantageously used in establishing the current approach to environmental management. Permissions for cutting/transplanting trees will be obtained before work starts on site and the contractors will be required to obtain the required regulatory clearances. Following the review of contract documents as part of the EA, modifications have been agreed to mainstream environmental management measures in the contracts executed through MRVC. For the contracts to be executed through the participating CR and WR, it has been agreed that the relevant provisions from the Railway Contracts Manual are to be enforced and the necessary instructions to the contractors are to be issued. Since MRVC has already qualified organization-wide as an ISO compliant environmental management system, handling of environmental measures is expected to be streamlined, on the basis of the EMPs prepared under the project. F. Safeguard policies Safeguard Policies Triggered by the Project Yes No Environmental Assessment (OP/BP 4.01) [X] [ ] Natural Habitats (OP/BP 4.04) [ ] [X] Pest Management (OP 4.09) [ ] [X] Physical Cultural Resources (OP/BP 4.11) [ ] [X] Involuntary Resettlement (OP/BP 4.12) [X] [ ] Indigenous Peoples (OP/BP 4.10) [ ] [X] Forests (OP/BP 4.36) [ ] [X] Safety of Dams (OP/BP 4.37) [ ] [X] Projects in Disputed Areas (OP/BP 7.60) [ ] [X] Projects on International Waterways (OP/BP 7.50) [ ] [X] 17

24 Environmental Assessment (OP/BP/GP 4.01). The environmental category of the Project is B. Disclosure. Consultations were held with local people during preparation of the environmental and social assessments. Since the majority of stakeholders are railway employees, discussions were also held with railway officials on the likely impacts, and how to handle these. The two assessments, once finalized, will be disclosed on the MRVC website and copies of the summary will also be available in Marathi for perusal in the local railways offices. G. Policy Exceptions and Readiness 68. No policy exceptions are required. The project complies with the readiness filter for transport projects in India. The first-year contracts and consultants are in advanced stages of bidding. 18

25 Annex 1: Country and Sector or Program Background INDIA: Mumbai Urban Transport Project-2A Urbanization and Infrastructure Development in India 69. In recent years India s GDP has grown rapidly, at an average pace of eight percent per year and a peak of 9.7 percent in At the same time its inhabitants are moving from the countryside to cities in large numbers. By 2030 more than 40 percent of India s population will be living in cities and towns, up from 28 percent today; the urban population, growing at three percent per year, will have doubled from 286 million to 575 million. In India as elsewhere, urbanization has been recognized as an important driver of economic growth, and cities now contribute over 55 percent of the country s GDP Infrastructure development in most Indian cities is not keeping pace with the increase in travel demand. Indeed, the growth of vehicles in the streets has been far greater than the growth in the street network; as a result the main arteries face capacity saturation. Between 1951 and 2004 at national level, the motor vehicle fleet grew at a compound annual growth rate of close to 11 per cent compared to an average rate of 3.6 per cent in the total road length. Within this total priority was given to rural roads; national highways grew by only 2.3 per cent 4. As a direct consequence of urbanization and the lag in responding, roads have become ever more congested, travel speeds have decreased and travel times have become longer. Energy is wasted and pollution gets worse. 71. The railway network is suffering an equally acute shortage of capacity. At national level, from 1951 to 2008 the network was lengthened by only 18 percent (in route-km), while the number of passengers carried tripled and people traveled further, so that the number of passenger-km multiplied by Suburban rail and Metro account for a large part of this increase in traffic. Suburban rail use increased sharply as the number of passenger-km grew 18-fold over the same period from 1951 to 2008, with a doubling between 1991 and 2008 (Figure 1) Figure 1. Growth in Suburban Rail Travel in Indian Cities, (in millions of passenger-km) Source: Indian Railways UNDP. India: Urban Poverty Report URBAN-POVERTY-REPORT-2009.pdf 4 Transport Research Wing, Road Transport Yearbook , Government of India 5 Ministry of Railways of India. Statistical Summary Indian Railways:

26 Mumbai s Contribution to National Economy 72. The Mumbai Metropolitan Region (MMR), with a population of nearly 18 million in , is the sixth largest metropolitan area in the world. Mumbai s primacy in India s economic well-being cannot be over-estimated. As the financial and commercial capital of India and the most prominent gateway to the country, Mumbai s economy is of critical importance for a variety of strategic reasons. It has the largest GDP of any Indian city, followed by the national capital region Delhi, Kolkata and Chennai. In FY , MMR contributed 40 percent to the total Maharashtra State GDP 7, and in FY Mumbai contributed 6.2 percent of national GDP 8. It accounts for 33 percent of India s income tax collections, 60 percent of its customs duty collections, 20 percent of central excise tax collections, 40 percent of port trade and 60 percent of stock exchange trading 9. As the subcontinent s largest port, Mumbai handles 30 percent of India's exports and imports While manufacturing s share in the Indian economy has declined over the last decade, the service sector has emerged as the growth driver, offering financial services, information technology (IT) and information-technology-enabled services, media and entertainment, hospitality and tourism. Mumbai is pre-eminent in these industries and now accounts for 11 percent of India's total employment and 20 percent of its employment in industry 11. Mumbai Transportation 74. Mumbai has an extensive rail and bus system, and public transport is used for three out of every four motorized trips in Greater Mumbai, with rail being the dominant mode (Figure 2). The Mumbai Suburban Railway system, part of the Region s public transportation system, is operated by two of India Railway s zonal railways, WR and CR, which run the two largest and busiest networks among IR s 16 zones The Western line runs northwards from Churchgate terminus station in Island City and serves suburban passengers living along the west coast towards Ahmedabad and Delhi. The WR operates 1,106 scheduled suburban train roundtrips per weekday over 124 route-km between Churchgate and Virar, including six trains between Mumbai Chhatrapati Shivaji Terminus (CST) and Borivali. This requires a working fleet of 25 nine-car train sets, 48 twelve-car train sets and one fifteen-car one. 76. The CR runs from Mumbai CST station located very close to Churchgate in Island City and serves a large part of central India to the east of Mumbai. The CR operates 1,464 scheduled 6 Census of India, LEA Associates South Asia, Comprehensive Transportation Study for Mumbai Metropolitan Area (CTS), MMRDA, April MRVC. Mumbai Suburban Railway System. Presentation. March Business Melbourne. City Profile: Mumbai. July Prepared by Sustainable Business and Trade Development Source: Ibidem. The term industry here refers to the secondary sector, including: textiles, pharmecuticals, construction, engineering, metals, petroleum, silks, glassware, and printing. Before the industrial growth following World War II, India s economy used to rely mainly on manufactured goods, of which Mumbai s textiles have always represented an important share. 12 Indian Railways operate both long-distance and suburban rail systems. 20

27 suburban train roundtrips per weekday over 280 route-km from Mumbai CST northeast-wards to Kotputari, southeast-wards to Khopoli and to Panvel via Mankhurd, Andheri on the Western Railway and between Thane and Vashi via Ghansoli. This requires an operating fleet of 60 ninecar train sets and 50 twelve-car sets. 13 The annual growth rate of rail passengers on CR is 2.6 percent and on WR 0.7 percent. Figure 2. Modal Split in Mumbai in 2008 Taxi/Ric kshaw 9% Mumbai Modal Split by No. of Trips - No Walk Two Car 7% Wheeler 7% Cycle 3% Train 51% Mumbai Modal Split by Person*km - No Walk Taxi/Rick shaw 3% Bus 10% Two Wheeler 3% Car 5% Cycle 1% Bus 23% Train 78% Source: Comprehensive Transportation Study for Mumbai Metropolitan Region, LEA Associates, April 2008 Quality of Suburban Railway Services 77. Because of its extensive reach across the metropolitan region and its intensive use by the local population, the suburban railway has been suffering severe overcrowding, which has grown to be a major issue. The very poor travel conditions for rail commuters are incompatible with the objectives of Mumbai to become a world-class city with an acceptable level of comfort, convenience and safety. In an estimated 6.8 million passengers daily 14 traveled on the Mumbai suburban railway (2.5 billion trips annually), which makes the suburban rail system the lifeline of Mumbai. At peak hour, the average frequency for train services is a very reasonable 16 trains per hour (a train every four minutes). One of the attributes of this suburban rail network is low fares compared to other public transport systems. However, this comes at the price of overcrowding - one of the most acute in the world, with about 5,000 passengers traveling in a nine-car train as against a rated carrying capacity of 1,700. This translates into a density of up to 16 people per square meter in Second Class General coaches (officially referred to as superdense crush load by the Indian Railways when specifically referring to the Mumbai suburban system), as measured in the 2008 TranSforM Comprehensive Transportation Study for MMR. Overcrowding also severely slows down train speeds. While the recently introduced AC/DC 13 Mumbai Metropolitan Region Development Authority. Comprehensive Transportation Study for Mumbai Metropolitan Region. April LEA International Ltd., Canada, in joint venture with LEA Associates South Asia Pvt. Ltd., India. Updated by MRVC by on January 21, Number of one-way trips per day. 21

28 EMU trains are capable of 100 km/h under light traffic conditions, the actual average speed of the trains is a mere 35 km/h on most lines, the cumulative effect of several factors Due to the overcrowding, doors of coaches cannot be closed and passengers dangle outside from the open doors. Nearby squatter settlements and encroachers within the railway right-of-way safety zone are other causes of frequent casualties on the Mumbai system. Stations are always overcrowded. People rarely use proper crossing places and prefer trespassing and crossing the rail lines. Trespassing, which occurs not only in the station areas but also in between them, forces trains to slow down and so increases travel times, limits capacity and hampers track maintenance work. Deaths of squatters and trespassers after being struck by a train and passengers falling off trains are a daily occurrence. There are about ten to twelve 16 deaths per day on the Mumbai rail system (which is high but still less than the rate of five to seven 17 deaths per day on the roads and streets in the MMR 18, considering the far greater volumes carried by rail). Table 1 below shows the gravity of this issue: the numbers of deaths and injuries have grown at yearly rates of 3.3 and 5.6 percent respectively from 2001 to 2008, with an annual average growth of 4.4 percent for the total number of casualties. Among the causes of death and injury, the continued increase in the number of passengers falling off the train is particularly noteworthy (this increase is in part due to the increase in the number of trains and the opening of new lines). Reducing the number of fatalities related to its suburban rail services is one of the priorities of Western Railway, Central Railway and MRVC, which in November 2009 decided to prepare an action plan on how to effectively reduce the casualties among trespassers. Table 1. Railway Accidents in Mumbai Metropolitan Region, year by year Accidental Deaths While crossing the railway line 1,971 2,517 2,479 2,561 2,603 2,448 Falling off the train Others* Total Accidental Deaths 2,885 3,055 3,678 4,029 3,997 3,782 Injured Persons While crossing the railway line 1, ,040 1, Falling off the train 1,454 1,420 1,639 1,898 2,033 1,854 Others ,064 1,195 1,226 1,260 Total Injured Persons 2,745 2,933 3,513 4,133 4,307 4,030 Total Casualties 5,760 6,227 7,191 8,162 8,304 7,812 Source: Mumbai Railway Police Commissionerate, 2007 * Other causes of accidents include: falling off the platform, derailments, bridge collapses 15 LEA Associates, Comprehensive Transportation Study. 16 This amounts to 6.9 deaths per 100 million passenger-km (total suburban rail passenger traffic based on LEA Associates estimate is 173 million passenger-km/day in 2006). 17 This amounts to 11.2 deaths per 100 million passenger-km (total road traffic including non-mechanized trips based on LEA Associates estimate is 62.5 million passenger-km/day in 2006). 18 Basic Transport and Communication Statistics for MMR, March 2005, by MMRDA and Indian Railways 22

29 Mumbai Rail and Urban Poverty 79. Commuting to work accounts for two-thirds of all trips in the Mumbai metropolitan region when weighted by the distance traveled. Many people still walk, but for distances of more than 1-2 km motorized travel is a must. Suburban rail is the backbone of such commuting trips, accounting for half of all non-walking trips and nearly 80 percent of the non-walking distance traveled (see Figure 2). Rail is consistently the preferred motorized mode of transport across all income groups. 80. For low-income commuters the cost of transport is the major consideration. For very lowincome commuters walking is often the only affordable alternative. Thus, the urban poor rely heavily on walking (61 percent for commuters in households earning less than Rs. 5,000 - US$100- per month), and in general the poor use less motorized transit (including rail) than higher-income groups. However, this income group also often chooses to take rail for long distances (5 km or more) and as much as one in four low-income commuters who live in certain zones take rail to work. These commuters will therefore, even in the short run, benefit from improvements in transit service and/or fares. 81. Middle-income and low-income users above extreme poverty are the prime customers for rail transit, as the fares are lower than for bus transit, and buying and maintaining a car is beyond the means of a large number of households. The cost per km of traveling by rail is also much cheaper than the cost of bus service or other public transport, especially if a monthly pass is purchased. For example, a worker with a commute of 20 km each way would pay only Rs. 90 per month to commute by rail less than Rs. 4 (10 US ) per day. The cost per day of commuting 20 km via bus is, by contrast, Rs Finally, the future strategy for MMR proposed in the TranSforM study also underlines that the extension of suburban rail will ensure that distances are minimized and access to livelihoods, education and other social needs, especially for the marginal segments of the urban population, is improved. Mumbai Rail and Air Quality 83. The rapid pace of urbanization and probable acceleration of motorization trends in MMR present a threat to ambient air quality, which is already a major health issue in most urban areas in India. Indeed, the concentration of respirable particulate matter (RSPM) 20 in Mumbai has increased by 53 percent from 2006 to 2008, mainly due to the 45 percent increase in the number of registered vehicles from 2003 to The Central Pollution Control Board s National Ambient Air Quality Status Report for 2008 underlines that the RSPM levels in Mumbai are alarming. The RSPM concentration in MMR in 2008 was 132 μg/m3. The World Health Organization considers levels above 120 μg/m3 to be high, the second highest category right 19 Cropper et al., Urban Poverty and Transport: The Case of Mumbai, World Bank Working Paper Particles produced by vehicle exhaust, burning of fuel and garbage, industrial sources, and re-suspension of dust. 23

30 below critical. Although sulfur dioxide (SO 2 ) and nitrogen dioxide (NO 2 ) levels are still within reasonable limits 21, current motorization trends are not environmentally sustainable In Mumbai the main contributor of air pollution is the transport sector, followed by power plants, industrial units and the burning of garbage. 23 Irrespective of improvements in engines and fuel type, ambient air quality is bound to further deteriorate because of the motorization rate if no compensatory action is taken. Understanding the need for a sustainable urban development strategy, in 2004 MMRDA retained the National Environmental Engineering Research Institute to prepare strategies and an action plan for particulate matter reduction in MMR. The study included assessment of ambient air quality status (especially for particulate matter PM10), the development of reduction and mitigation strategies, and a reduction action plan. 85. Developing suburban rail use would contribute to the efforts being made in India as well as in other countries to reduce GHG emissions. MUTP-2A aims at expanding an energy-efficient public transport system and minimizing motor vehicle use, the main source of pollution. Indeed, as presented in Annex 9, expanding the rail network capacity will likely lead to a diversion of passengers from bus services. This reduction in bus operations will in turn contribute to reducing pollution, because EMU trains emit very limited pollutant quantities, whereas buses emit NO 2 and SO 2 at a rate of 0.25 kg per bus per hour. 86. Finally, the conversion from DC to AC will allow the use of more energy-efficient trains, thus further decreasing CO 2 emissions and allowing MRVC to claim carbon credits. The energy saving per year due to the trains already introduced at this point is estimated at 6.2 million kwh, and this allows for a generation of carbon credits equivalent to 62.6 thousand tco 2 e 24 per year. 25 Long-term Transportation Strategy for MMR 87. Within the next 25 years, Mumbai is projected to overtake Tokyo and become the largest urban region in the world, in a country having one of the fastest expanding global economies. In 2004, a task force appointed by the Chief Minister of Maharashtra conducted a comprehensive transportation study for the metropolitan region known widely by the acronym TranSforM (for 21 The concentrations in SO 2 and NO 2 are 9 μg/m 3 and 42 μg/m 3 in 2008 respectively. Both levels are currently labeled as low (between 0 and 40 μg/m 3 ). 22 According to a study carried out by EMBARQ in cooperation with the World Bank in 2007, continuation of the rapid motorization trends without adequate policy and technological interventions (the business-as-usual scenario) would increase the annual national CO 2 emissions from urban transport sector (in all major cities) to 254 million tons of CO 2 in 2030, which is more than nine times the emissions level in (Project Appraisal Document, Sustainable Urban Transport Project, World Bank 2009). 23 Larssen et al., URBAIR Urban Air Quality Management Strategy in Asia: Greater Mumbai Report, World Bank tco2e: Tons of CO 2 equivalent is a measure for describing how much global warming a given type and amount of greenhouse gas may cause, using the functionally equivalent amount of carbon dioxide as reference. 25 MRVC Letter to World Bank dated May 16, 2008 regarding Generation of Carbon Credits on account of energy saving due to DC/AC conversion on Mumbai Suburban section of CR WR under MUTP 1 and 2. 24

31 Transportation Study for Mumbai ). 26 Its vision statement is: Transforming Mumbai into a world-class metropolis with a vibrant economy and globally comparable quality of life for its citizens. 88. One of the Vision s several goals is for the MMR to become an important logistic and export hub through synergy between ports, airports and special economic zones. Moreover, it also aims at guaranteeing to all MMR citizens access to public transport, in addition to other basic civic services: safe drinking water, sanitation, education, health care and recreation facilities. A key long-term transportation strategy is to achieve balanced, integrated and sustainable public/private transportation systems to meet the aspirations of the public for freedom and convenience of travel The transport network recommended by the TranSforM study includes a dominant role for suburban rail. The current strategy is for it to remain the backbone of commuting trips in the MMR in the medium term. A certain decrease in suburban rail s modal share due to diversion of trips to new metro lines is expected. 28 However, if the strategic guidelines of TranSforM are carried out, the forecast sustainable modal split still sees suburban rail as the dominant mode, as shown in Figure 3. Indeed, the proposed future strategy for the region relies heavily on an extensive expansion of the rail-based transit system. This is reflected in the very large planned investment in suburban rail by 2031: Rs. 315 billion (nearly US$7 billion), the second largest investment after the metro system (Rs. 922 billion). 29 Figure 3. Modal Split in Mumbai in 2005 and as per TranSforM strategy in 2016 Train, 53.3% Mumbai Modal Split by No. of Trips - No Walk 2005 Metro, 0.0% Car, 4.9% Two- Wheeler, 7.9% Auto, 7.4% Bus, 24.9% Taxi, 1.6% Strategic Mumbai Modal Split by No. of Trips - No Walk 2016 Metro, 30.7% Train, 33.5% Car, 8.6% Two- Wheeler, 11.3% Auto, 4.7% Taxi, 1.4% Bus, 9.9% Source: Comprehensive Transportation Study for Mumbai Metropolitan Region, LEA Associates, April Mumbai Metropolitan Region Development Authority. Comprehensive Transportation Study for Mumbai Metropolitan Region. April LEA International Ltd., Canada, in joint venture with LEA Associates South Asia Pvt. Ltd., India. 27 Ibidem. 28 This is due to the fact that connectivity by the metro network will be extensive and that metro stations are to be spaced at 1-km intervals. 29 By comparison, investment in freeways and roads is only forecast at Rs. 267 billion and in buses at Rs.43 billion. 25

32 Indian Railways Development Strategy 90. Indian Railways, with 63,221 route-km of network and 1.42 million employees, is one of the largest rail networks of the world. It constitutes the lifeline and the mainstay of the country s transport infrastructure. Over the last few years, IR has achieved a dramatic re-invention of its business and is presently witnessing one of the most impressive and unprecedented expansions in its history. During the last few years the freight traffic on IR has been growing at 9.4 percent and passenger traffic at 7.4 percent, and revenue has grown even faster. This is in sharp contrast to the historical trend rates of growth at 3-4 percent per year. In the passenger segment, while affordability continues to underpin the pricing for second-class passengers, there has been reduction in fares for passengers in air-conditioned class and those traveling short distance. These measures have redefined the transport scene in the country and transformed the railways as a competitive and viable alternative to road transport. By 2012, IR is projected to handle 25 percent more passengers than handled in During the past five years, IR has achieved commendable results by substantially increasing the volume of traffic carried and its profits. However, it now faces several new challenges. The recent increase in the wage bill, accompanied by a downturn in economic growth in 2009, have already affected IR s bottom line adversely. In addition, the planned large investment in Dedicated Freight Corridors (DFC) in the medium term will create excess capacity in its start-up years that will reduce IR s profits unless it develops marketing strategies to rapidly attract new traffic to the existing corridors (mainly passengers), as well as to the new dedicated freight corridors. 92. Going forward, the expected continued economic growth of India over the next 20 years at eight percent or more will impose new challenges on IR in respect of capacity, transportation and logistic products and service quality to be expected by rail customers in freight as well as passenger services. It is foreseen that the customer s profile will undergo a significant change, as an average rail customer is expected to experience a four-to-five fold increase in income and at the same time will demand more comfortable and faster travel. Customers will be willing to pay higher fares for these improved services. These challenges can be addressed effectively by implementing Vision 2020 for IR. An immediate next step would be to develop a credible financing plan to effectively underpin IR s developmental plans. 93. Another important step is to develop an action plan (road map) that lays out specific strategies and measures to be implemented to overcome the present constraints and, more importantly, to enable IR to satisfactorily support the growing economy by increasing capacity and improving service quality. IR needs to prioritize actions and investments over the next ten years and set out an implementation schedule. It will also attempt to identify funding sources for the recommended investments. Management of MMR 94. Responsibilities for the general direction of urban development and urban transport rest with the State Government of Maharashtra (GOM) through the Mumbai Metropolitan Region Development Authority (MMRDA), a regional developmental agency under the Department of Urban Development. To enable the Mumbai Suburban Railway to meet the demands of the ever- 26

33 growing passenger traffic, the Ministry of Railways and GOM jointly established Mumbai Railway Vikas Corporation Limited (MRVC) in 1999 with the mission to develop world-class infrastructure for an efficient, safe and sustainable railway system in Mumbai s suburban section, to provide comfortable and friendly train services to commuters. Its objectives included to: (i) integrate suburban rail capacity enhancement plans with the urban development plan for Mumbai and propose investments, (ii) implement rail infrastructure projects in Mumbai s suburban areas, (iii) commercially develop railway land and airspace in Mumbai to raise funds for suburban railway development, (iv) resettle and rehabilitate project-affected households and (v) to be an infrastructure company committed to sustainable development and environment friendly construction in Mumbai suburban section. 95. In 2009 a first step was taken through the decision that metropolitan planning should be done by a Metropolitan Planning Committee (MPC). District planning committees also exist whose task is to plan for each district within the Region, but it is not yet clear how they should coordinate with MPC or MMRDA. Further institutional strengthening of the coordinating role of MMRDA or the creation of a separate Unified Metropolitan Transport Authority is currently under consideration. 96. Funding arrangements for urban transport infrastructure and services in Mumbai are split between a number of national, state and local government agencies. No single agency has the role or responsibility for preparing integrated investment and operations budgets which meet travel demands and policy objectives, optimize the use of scarce resources, and are affordable. Public investment has been lagging behind demand, most notably on the railways, while on the roads maintenance expenditure is about half what is needed to keep them in good condition. Since the planning and provision of suburban rail services is IR s responsibility, MMRDA has little influence over them. The allocation of resources for rail services is subject to the approval of the (national) Planning Commission and IR. The Western Railway and Central Railway operating within the metropolitan region are independent agencies of IR, with their own lines and no integration of services. MUTP-1 Accomplishments and Potential Benefits of MUTP-2A 97. In early 2000 MUTP-1 was launched to address issues pertaining to (i) the inadequate capacity and low speed of rail services and contentious resettlement and rehabilitation (including land acquisition); (ii) limited East-West connectivity, poor traffic management, and road safety; and (iii) inadequate bus services and road maintenance, pollution from motor vehicles, limited involvement of stakeholders, institutional weaknesses and inadequate funding. In June 2002 the Bank approved Loan 4665-IN and Credit 3662-IN to finance the project, which became effective in November Because its components concern different sub-sectors, the project has six implementing agencies, including MRVC for the rail transport component. MMRDA is the coordinating agency and is responsible for carrying out the resettlement and rehabilitation component on behalf of all the implementing agencies. 98. The rail component aims to improve the capacity and performance of the suburban rail system through service efficiency improvements (increasing existing track capacity, converting from DC to AC, and improving electrical, signaling and telecommunication systems), procuring new rolling stock and upgrading existing rolling stock, and expanding network 27

34 capacity. The component also supports studies and technical assistance, among other things, to improve Indian Railways capabilities for track and rolling stock maintenance, financial management and control systems, railway safety and quality assurance. 99. Since its start the project has made significant progress towards achieving its development objectives. As a result of the resettlement of squatters along rail tracks and the completion of track doubling on the Western Railway corridor, the efficiency of suburban train operations has increased, with a rise in its peak-time capacity by 7-10 percent and a reduction in commuting time by four to nine minutes for about six million daily passengers. An improvement in transport services in terms of quality and comfort is noticed as a result of the addition of a few new trains and the replacement of 644 buses by new ones. However, improvements in traffic management technical capacity within the Municipal Corporation of Greater Mumbai need to be further strengthened and sustained Up to March 2010, 84 twelve-car rakes of new EMU trains (equivalent to 108 nine-car rakes) were put into service. Of these 84 rakes, 51 were financed by the Bank and procured by MRVC, while the other 33 rakes were funded and procured by Indian Railways on their own. Together, they have reduced crowding in the system from 500 people per coach ppdpk to 450, despite a net increase in passengers. It is expected that once all additional 72 Bankfinanced twelve-car trains (equivalent to 96 nine-car trains) are in service, crowding will be reduced to 350 ppdpk, i.e. 30 percent less than the original density --but still twice the rated carrying capacity Through the preparation of MUTP-1 a partnership was created between the GOM and IR for developing Mumbai s suburban rail system, and it was institutionalized by the creation of MRVC. MRVC as an implementing agency has proven to be an efficient tool, and attests to the success of this partnership. Prior to MUTP-1 the Mumbai suburban system suffered due to lack of investment in renewal of aging assets as well as expansion to meet the everincreasing demand, as IR had much greater interest in main line services on a national scale. The partnership between GOM and IR has been considered positive enough to continue for the preparation and implementation of MUTP-2A. And MRVC has gained professionalism in project implementation, coordinating effectively with both the GOM and the various departments of IR. Its increased efficiency has resulted in MRVC being commissioned for other studies to develop suburban rail services in Mumbai Through MUTP-1 MMRDA has gained experience and capacity in handling resettlement of large numbers of people. This project has been a first for Mumbai and a first for the Bank to handle resettlement of so many people in an urban setting. During implementation, difficulties occurred in handling the resettlement. A World Bank Inspection Panel investigated the project s resettlement process and raised concerns about implementation issues, including the way medium and large shopkeepers were resettled, the quality of the baseline survey of projectaffected people, management of post-resettlement activities, grievance redressal processes, and project supervision. The implementation by GOM of a remedial action plan, with the active support of the Bank, resulted in a much improved quality of the resettlement and rehabilitation process. MMRDA evolved towards a problem-solving approach for resettlement, exploring negotiated solutions as often as possible. The experience gained by MMRDA thereby is now used by the Bank as an example for other large cities with similar challenges. 28

35 103. Further capacity will be needed to meet the future growth in demand. The population in areas of the Mumbai Metropolitan Region served by suburban railway is expected to grow at 1.8 percent per year for the next decade, boosting the demand for suburban rail services and the need to increase capacity commensurately. The comprehensive transport study carried out under MUTP-1 (paragraph 88 above) recommended such an increase as a priority. This need was already foreseen at the time MUTP-1 was prepared and the genesis of MUTP-2A lies in MUTP-1, one of the key objectives of which was to address the overcrowding on suburban trains. The size of MUTP-1 was limited because funding was insufficient then to finance all the EMU coaches needed for full use of the infrastructure created under the project. By the end of MUTP-1, the suburban rail system will have 2,260 EMU coaches. Based on simulation modeling of the time table, the total number of EMU coaches can increase to 3,124 to reach full use of today s infrastructure. The additional 864 EMU coaches (72 twelve-car trains) to be financed under MUTP-2A will bring the fleet up to this full capacity. The demand will still be in excess of the supply, but this additional transport capacity will further reduce the overcrowding in suburban trains The project will provide several categories of local benefits for commuters, such as (i) reduced travel time, (ii) improved travel comfort, and (iii) health improvements, with a focus on benefitting the poor for whom the rail represents an especially important mode of transport. The more frequent service will reduce waiting times, while shorter travel times will flow from the higher maximum speed potential of the upgraded rolling stock. The reduced passenger waiting time has been assessed as half a minute per trip on completion of MUTP-1 and as one minute per trip on completion of both MUTP-1 and MUTP-2A. The average saving in total journey time would amount to as much as two to six minutes per trip depending on the corridor. Using a train design similar to the one developed for MUTP-1, an improved suspension system and better lighting in the trains will provide greater comfort. The improved air ventilation system will have a positive impact on commuters health The 1,500V DC traction power system incurs significant energy losses. These will be considerably reduced with the completion of conversion of all lines to 25KV AC traction power. The conversion will permit running of more services and conversion of nine-car trains to twelvecar trains. The conversion also promises several other benefits: (a) Supplying higher levels of power through high-capacity traction substations makes it possible to run longer trains as well as more trains per hour during the peak period. (b) The greater power available to trains enables them to accelerate faster and operate at higher speed, shortening journey times. (c) A three-phase propulsion system on the new EMU rakes, using modern Integrated Gate Bipolar Technology, allows regenerative braking, which sends energy back into the wire In carrying out MUTP-1 MRVC has gained a recognized expertise in managing a challenging suburban rail development project that required professional expertise in technical disciplines as well as in interagency coordination and communication. During the last two years MRVC and its key personnel have earned several national and international awards in these disciplines. MRVC has also recognized the importance of a comprehensive systems approach for 29

36 environmental management and social management, and during the preparation of MUTP-2A it has earned its certification to ISO 14001:2004 and ISO 18001:2004. This second project will facilitate the continuation of the capacity building effort provided by the Bank team during MUTP-1. The on-going interaction with the Bank exposes MRVC and the zonal railways operating the system to international good practice and emerging ideas. A set of studies will advise MRVC on specific key topics. 30

37 Annex 2: Major Related Projects Financed by the Bank and/or other Agencies INDIA: Mumbai Urban Transport Project-2A Issue Project Latest Supervision Ratings Bank-financed, completed or on-going Implementation PDO Progress Capacity expansion of commuter rails, urban Mumbai Urban Transport Project MS MS roads and bus services, and institutional strengthening of concerned agencies Capacity expansion of national highways and Allahabad Bypass Project (Ln.4719-IN) Completed S institutional strengthening of MOSRTH and NHAI Lucknow Muzaffarpur National Highway Project (Ln IN) U U Capacity expansion and maintenance of state highways and institutional development of state road agencies Improvements of road infrastructure in a commercial format Andhra Pradesh State Highway Project (Ln IN) Completed Gujarat State Highway Project (Ln.4577-IN) Completed S Karnataka State Highways Improvement Project (Ln.4606-IN) Completed Kerala State Transport Project (Ln.4563-IN) MU MS Mizoram State Roads Project (Ln.3618-IN) MS MS Uttar Pradesh State Roads Project (Ln.4685-IN) S MS Tamil Nadu Road Sector Project (Ln.4706-IN) S S Himachal Pradesh State Roads Project (Ln.4860-IN) Punjab State Road Project (Ln. S S Orissa State Road Project (Ln. S S Support to Infrastructure Leasing and Financial Services (Ln.3992-IN; Cr IN) MS S S MS Municipal reforms and investments (including improvements of urban road infrastructure) Improvements of urban transport infrastructure Promotion of public/non-motorized transport and urban transport capacity building Other development agencies, completed, ongoing and planned Japanese Bank for International Cooperation (formerly OECF) - Capacity expansion of Urban Transport ADB - TA for Urban Transport ADB - Capacity expansion of NH and SH and institutional strengthening of agencies Karnataka Municipal Services Project (Ln IN) Tamil Nadu Urban Development Project (Ln.4798-IN) Sustainable Urban Transport Project (SUTP) (Project ID P100589) Delhi Metro Rail Project Development of national urban transport guidance and identification and preparation of a Urban Transport investment project National Highway Corridor I, Surat-Manor Tollway Project, Chattisgarh State Roads Project, National Highway Corridor II, MP State Roads Project Effective On going On going On going 31

38 ADB- Improvements of urban roads in major Kerala cities UNDP- Capacity development for national and local governments Kerala Sustainable Urban Development Project India capacity development program Ratings: HS (Highly Satisfactory), S (Satisfactory), MS (Moderately Satisfactory), U (Unsatisfactory), MU (Moderately Unsatisfactory), HU (Highly Unsatisfactory) On going On going 32

39 Annex 3: Results Framework and Monitoring INDIA: Mumbai Urban Transport Project-2A Results Framework PDO Project Outcome Indicators Use of Project Outcome Information To improve the passenger carrying capacity, operational efficiency, 1. Additional capacity - Vehicle km per day during morning peak hours ( a.m.) To assess the project s contribution to the PDO level of comfort of, and the institutional capacity of entities 2. Reduction in peak hour overcrowding average number of passengers per 12-car train involved in, the suburban rail system of Mumbai Metropolitan area. 3. Reduction in journey times average transit times in minutes 4. Reduction in energy consumption average energy consumption per 12-car train-km (kwh/t/km) 5. Action plan on trespassing and safety prepared 6. Action plan on revenue improvement prepared Intermediate Outcomes Intermediate Outcome Indicators Use of Intermediate 1. Train operation performance 1.1. Trains per hour 1.2. Length of trains 1.3. EMU 12-car trains in service (258 trains) 1.4. Ridership per day 1.5. Punctuality percentage of trains reaching less than five minutes late to destination 2. Infrastructure and equipment 2.1. DC to AC conversion (1577 TKM) 2.2. Additional Track (181 TKM) 3. Institutional development and capacity building 3.1. Study on potential for ISO at CR and WR completed 3.2. Study for Mumbai suburban development plan completed 3.3. TA for IR strategy carried out 3.4. Continued MRVC ISO Certification Outcome Monitoring To assess the performance of the project and to redirect it, if necessary, to achieve the PDO 33

40 Project Outcome Indicators 1. Vehicle km per day during morning peak hours (8-11 a.m.) 2. Reduction in overcrowding (passengers per 12-car train) 3. Reduction in journey times transit times in minutes reduced 4. Average energy consumption per 12-car train-km (kwh/t/km) 5. Action plan on trespassing and safety prepared 6. Action plan on revenue improvement prepared Intermediate Outcome Indicators 1.1. Trains per hour during peak hour 1.2. Length of trains ( percent of 12-car trains) 1.3. EMU Fleet size (12-car rakes in service) Comment Corridor: WR CR (ML) CR (Harbor) Corridor: WR CR Harbor WR Through Churchgate to Virar WR Local Churchgate to Borivali CR Through CSTM to Kalyan CR Local CSTM to Thane Harbor Local CSTM to Panvel Calculated using consumption per motor car (MC) type: kwh/mc/km for DC = 4.94 kwh/mc/km for AC/DC = 3.19 Corridor: WR Through WR Local CR Through CR Local Harbor Local Corridor: WR Through WR Local CR Through CR Local 1.4. Ridership per day Figures in thousands Central Railway Western Railway Arrangements for results monitoring Baseline , , , December 2012 End of MUTP-2A (2014) 815, , , Reports Frequency Yearly reports Yearly reports Yearly reports Yearly reports -- Action plan prepared -- Action plan prepared (October 2013) Action plan prepared Action plan prepared % 100% 100% 100% Yearly reports Yearly reports Yearly reports % 98.2% % 98.5% Yearly reports Data Collection Instruments Working timetable of WR and CR and operational statistics Ridership/ occupancy survey of commuters Working timetable of WR and CR and operational statistics Operational Statistics Final Report Final Report Working timetable of WR and CR and operational statistics Working timetable of WR and CR and operational statistics Performance statistics of Railways and inspection Performance statistics of Railways Responsibility for Data Collection MRVC MRVC MRVC MRVC MRVC Rly Board, MRVC 1.5. Punctuality percentage of Central Railway Yearly Performance MRVC trains reaching less than five Western Railway reports statistics of minutes late to destination Railways 2.1. DC to AC conversion (Track Yearly Performance MRVC 34 MRVC MRVC MRVC MRVC

41 KM) reports statistics of Railways 2.2. Additional track (TKM) km Yearly reports Performance statistics of 3.1. Study on potential for ISO at CR and WR completed 3.2. Study for Mumbai suburban development plan completed 3.3. TA for IR strategy carried out 3.4. Continued MRVC ISO Certification -- Study completed -- Study completed Railways Final Report Final Report MRVC MRVC MRVC -- TA completed Final Report Rly Board, MRVC MRVC certified ISO 14001, ISO Certification Yearly Certification Document MRVC 35

42 Annex 4: Detailed Project Description INDIA: Mumbai Urban Transport Project-2A Mumbai Urban Transport Project 2A (Cost: US$970.5 million with IBRD s share of US$430 million) 107. The proposed MUTP-2A consists of the procurement of 72 additional twelve-car EMU trains, completion of conversion from 1500V DC to 25kV AC traction on the remaining sections of Central Railway, expansion of maintenance facilities for EMUs and provision of stabling lines for the additional EMU trains included in the project. Some technical assistance studies are also included in the project. The planned implementation period is five years, commencing in early 2010 and completing all components by the middle of The various components of MUTP-2A are as under: Component 1: Rolling Stock Fleet Increase: (Cost: US$659.6 million with IBRD s share of US$355.7 million)* 109. At the end of MUTP-1, Mumbai Railway Suburban System (MRSS) will have 2260 EMU cars. Based on the Time Table prepared through simulation of train operation this holding will need to increase to 2980 cars for full use of the infrastructure created under MUTP- 1 and by IR already. Thus, procurement of electrical equipment as kits for 864 EMU cars and application of these on trains manufactured at ICF, Chennai is included. Since by the time these trains are delivered and put in service the entire DC to AC conversion would have taken place, unlike the EMU rakes procured under MUTP-1, there will be no need for dual voltage rakes capable of operation on DC as well as AC systems. Hence these rakes will be for use on 25kV AC system only. The prototype supply of kits, manufacture of prototype rakes, and prototype testing will take another months. The series supply of kits would thus materialize about two years after issue of bid documents. If the procurement process starts in early 2010, the delivery of kits will commence by The Bank loan will finance procurement of equipment for 864 EMU cars (72 trains of 12 cars each). The manufacture of trains at ICF, Chennai will be funded by counterpart funds. The manufacture of EMU cars against MUTP-2A would commence from early 2011 after the manufacture of EMU cars against MUTP-1 and another IR contract for EMU cars has been completed by the end of The delivery of 72 trains shall be completed by the February Component 2: DC to AC Conversion (including Signal and Telecom improvements): (Cost: US$173.8 million with IBRD s share of US$55.2 million) 111. This component covers the conversion of electric traction system from 1500V DC to 25kV AC on the Central Railway over 172 track km (CSTM to Thane, CSTM to Tilaknagar and Mahim to Wadala Road sections). This comprises modification of overhead catenary, setting up of traction power sub-stations at Sion, Chinchpokli, Wadala Road and Thane, along with switching stations, procurement of catenary maintenance equipment and modifications to signal 36

43 and telecom systems to make it compatible with AC traction. The conversion will permit enhanced power supply for additional services and longer trains consisting of 12 cars The Bank loan will finance off line works such as setting up of new traction substations and switching posts at Sion and Chinchpokli between Mumbai CST and Vidyavihar, procurement of Digital Axle Counters (DAC) on Mumbai CST-Thane section, and other left over sections of MUTP-1, and catenary maintenance equipment. Additional setting up of two new traction substations at Wadala Road and Thane on Vidyavihar- Thane and Mumbai CST-Tilak Nagar section and other online works, such as modification to catenary system, quad cables and signaling system, will be executed by Central Railway through government funding The conversion is planned to be completed by Apart from providing capacity to run more and longer trains the conversion will reduce cost of maintenance of power supply installations and transmission losses. There would also be significant energy saving due to higher potential for re-generation of power in case of 25 kv AC system in comparison to the 1500V DC system. Component 3: EMU maintenance facilities and stabling lines: (Cost: US$117.7 million with IBRD s share of Nil) 114. New stabling lines to accommodate the additional trains will be constructed. The existing EMU maintenance depot at Kurla on Central Railway and the maintenance shed at Virar constructed under MUTP-1 will accommodate new stabling lines. In total, the project component comprises 73 new stabling lines, 34 (including four extensions from 9-car to 12-car) on Western Railway at Virar, Borivali and Vasai Road and 39 on Central Railway at Sion, Thakurli, Kasara, Khopoli, Belapur, Panvel, Ambernath, Karjat, Titwala and Kurla. The maintenance facilities for the additional coaches being inducted will be provided by augmenting the capacity in the five existing maintenance sheds (at Mumbai Central and Kandivali on Western Railway and Kurla, Kalva and Sanpada on Central Railway) and the two existing periodic overhaul workshops (Mahalaxmi on Western Railway and Matunga on Central Railway). Expansion of the new maintenance shed at Virar under construction in MUTP-1 is also included. No new shed or workshop is planned at this stage. Details of number of stabling lines at each location and and of the maintenance facilities are given in the MUTP-2A Implementation manual. This component is not funded by the Bank loan. The works are expected to be completed by the end of Component 4: Technical Assistance: (Cost:US$14.6 million with IBRD s share of US$14.4 million) (a) Strategic Plans for Sustainable Expansion of Rail Services. 1. Development Program for Mumbai Suburban Rail Services 115. The TranSforM study recently completed by MMRDA outlines proposals for the transport network development, including the suburban rail network, to 2031 to meet the forecast travel demand. MRVC, Central and Western Railways have put forward proposals for rail service development beyond the current project as an initial stage in realizing the 2031 network and services. Based on these proposals and in coherency with TranSforM recommendations, the 37

44 proposed study will prepare a set of proposals for the staged expansion of network capacity of Mumbai suburban rail system (integrated with other modes) and improvement of the quality of service to passengers to provide for seamless convenient travel by public transport. Key investments proposed for investment after this project in the period will then be the subject of a pre-feasibility Study. The output of this study would be a costed, time based development plan for the suburban rail system to the year 2031, and a pre-feasibility study of the investments proposed for the period The study will be implemented by MRVC. Target Completion Date: By October Proposed cost: US$5.4 million. 2. Provision to support the development of the Indian Railways long term strategy for Suburban Rail 116. The recently produced Indian Railways Vision 2020 document includes a strategy for suburban rail services. This technical assistance includes a provision for a series of studies and advisory services to assist Indian Railways in developing the suburban services dimension of their long term strategy. This effort will include consideration for replication to other cities of the model developed with MRVC in Mumbai. It will also include considerations of institutional and policy improvements to improve further the efficiency of Mumbai suburban rail services and their better integration within the overall regional urban transport system. Mumbai study will in particular take into account the physical segregation that will be achieved at the end of MUTP- 2A and B between suburban and national passenger tracks. This technical assistance will be procured by MRVC and managed by the Indian Railway Board. Target Completion Date: By June Proposed cost: US$1.6 million. 3. Revenue maximizing study in particular for non-fare box revenues with affordability study 117. At present, most of the revenue on the suburban rail system comes from the sale of tickets. This revenue is insufficient to cover operating costs and the growing financial gap is covered by financial transfer from other rail business segments. The study will examine potential non-fare revenues including from advertising, rental of commercial spaces at stations and property development at stations and on other railway land (talking account to the study undertaken in MUTP-1). The potential for indirect user charges will also be examined, including payroll taxes and increased property taxes in areas around stations (taking account of work carried out as part of the TranSforM Study). The study will also review the socio-economic profile of customers and examine the justification for financial cross-support from other economic agents as well as the potential for fare adjustment in relation with affordability and service quality. The output of the study will be a strategy to improve the financial sustainability of the Mumbai suburban rail operation and a suggested list of options, with estimates of potential revenue, a pre FS level costed and time based implementation schedule, including any institutional and regulatory changes that may be required. The study will be procured by MRVC and managed by Indian Railway Board. Target Completion Date: By October Proposed cost: US$1.1 million. (b) Tactical programs for improving passenger convenience and information 4. More efficient and user friendly ticket issuing 38

45 percent of people buying tickets for a rail journey purchase a separate ticket for each journey. This is time consuming and confusing for passengers as there are seven or eight different combinations of ticket systems and ways to purchase these tickets. This leads to maintenance problems and passenger complaints when machines break down. This TA will review the current arrangements, and develop functional specifications for ticketing machines and associated operational arrangements for issuing single journey tickets, with the potential to also issue passes (multi trip tickets). These ticketing arrangements should be compatible with existing and proposed arrangements for single journey tickets on other modes (bus, metro). Options will be examined and recommendations made which would be compatible with the Integrated Fares and Ticketing System for MMR being developed by MMRDA. The output will be a recommended system with a pre FS level costed and time based implementation schedule. The study will be implemented by MRVC. Target Completion Date: By September Proposed cost: US$0.5 million. 5. Passenger information and security 119. The present system of Passenger Information and Guidance consisting of Audio Announcements, Train Information Display systems, and Clocks has been provided in a discrete manner requiring each item to have separate Operation and Control, wiring and other features. The station Signage for Passenger guidance is not to International standards. The Station and Platform area illumination including Concourse at major stations also needs to be upgraded keeping in view the optimum level of illumination to meet both aesthetic and energy saving requirements. For Video Surveillance of Station Entrances and Exits from security point of view, an integrated system needs to be designed with both Central and Remote Video Surveillance Monitoring features. The TA will identify the deficiencies in the existing system and taking into consideration the experience of comparable foreign Suburban Rail Systems recommend an integrated state-of-the-art Passenger Information and Guidance, Station and Platform area Illumination and Security Surveillance System. The TA will then prepare the technical specifications and cost estimate for the recommended solution. The study will be implemented by MRVC. Target Completion Date: By September Proposed cost: US$0.5 million. (c) Tactical plans for improving safety and environmental management of operations 6. Reduction of trespassing and improvement of safety of the track 120. A large number of deaths and serious injuries occur daily due to passengers and other pedestrians being struck by trains while crossing the railway tracks in the station area or between stations. This study will analyze the data on these and will suggest remedial measures. These could include construction of user friendly grade separated crossings (subway/foot overbridges) combined with fencing and other barricades to restrict crossing of the track. The output would be a costed and time based program of remedial measures. The study will be implemented by MRVC. Target Completion Date: By December Proposed cost: US$0.1 million (Counterpart funded). 7. Improved Environmental Management of Rail Operations 121. MRVC has significantly improved the environmental management of its activities which are certified to be in compliance with ISO Central and Western Railways have 39

46 begun the process of certification of their ancillary installations, including car sheds and workshops using their own resources This proposed activity will facilitate improvements to environmental performance of each type of installation beyond the regulatory requirements. It will cover the workshops, car sheds, and stations within Western Railway and Central Railway. The initial focus would be better water management and energy conservation. At the workshop, car shed, etc. the focus will be on water recycling, reuse and disposal of oily wastes along with establishing the feasibility of use of more energy efficient devices such as compressors, lights, and other equipment. At stations, techniques and incentives for ensuring cleaner stations and surroundings would be explored. The output of the study will be a series of specific actions to improve environmental performance at these locations, rated according to their efficiency and ease to implement, following consultations with the participating Railways. The study will be implemented by MRVC. Target Completion Date: By December Proposed cost: US$0.5 million. (d) Capacity Building for Increased Operational Efficiency 8. Power Supply Simulation 123. Estimates of power supply requirements are needed for the expansion of services. Design of the most cost effective and efficient power supply depends on the use of computer based simulation software. This TA provides for the supply and installation of software, calibration to Mumbai conditions, training of staff in its use and assisting MRVC staff to run a minimum of two scenarios to ensure it is running effectively. The TA will be implemented by MRVC. Target Completion Date: By December Proposed cost: US$0.9 million. 9. Rail Operations Simulation 124. Optimizing the number of trains that can run on the Mumbai suburban system requires operations simulation software which uses inputs related to the characteristics of the infrastructure and the trains. MRVC is currently using software developed by the railways that dates from and requires too much input data, staff time and computation time to produce the desired results. This TA provides for the supply and installation of software, calibration to Mumbai conditions, training of staff in its use and assisting MRVC staff to run a minimum of two scenarios to ensure it is running effectively. The TA will be implemented by MRVC. Target Completion Date: By December Proposed cost: US$0.6 million. (e) Training 125. Even though MRVC has successfully executed projects worth US$800 million, it recognizes the need to continuously improve the skills of its staff, and those of Central and Western Railways with whom it interacts. To make project execution more effective and efficient, it wishes to ensure staff can be trained in best practices followed elsewhere in the world, in subjects including Financial Management, Project Management, Procurement as well as Technical engineering, Social, Environmental protection and Communication. This subcomponent provides funding for the development and delivery in Mumbai of training programs in these and other subjects, as well as domestic and limited international study tours based on Training Plans to be prepared and submitted annually to WB by MRVC. The 40

47 completion date of training programs in the closing date of the project. Proposed cost: US$3.2 million. 41

48 Annex 5: Project Costs INDIA: Mumbai Urban Transport Project-2A Table 1. Project Costs and Financing by Components (Local Crore) (US$ million) Project Component Local Foreign Total Local Foreign Total Component 1 Rolling Stock Fleet Increase 2, , Component 2 DC to AC Conversion Component 3 EMU Maintenance Facilities and Stabling Lines Component 4 Technical Assistance Total Project Costs , Front-end Fee Unallocated Total Financing Sought , Note: Physical and price contingencies are all included Table 2. Project Cost by Components and Financiers (US$ Million) Project Component IBRD Loan % IBRD CPF % CPF % of Total Total Cost Component 1 Rolling Stock Fleet Increase Component 2 DC to AC Conversion Component 3 EMU Maintenance Facilities and Stabling Lines Component 4 Technical Assistance Total Project Costs Front-end Fee Unallocated Total Financing Sought Note: Physical and price contingencies are all included 1. Assuming INR/US$ exchange rate = Identifiable taxes and duties are US$97 million, and the total financing need, with front-end fee and net of taxes is US$970.5 million. Therefore, the share of project cost net of taxes is 90 percent. 42

49 Rolling Stock Fleet Increase Table 3. Outlay of Project by Years (US$ Million) Total EMU Manufacture EMU Electrics Subtotal DC to AC Conversion Digital Axle Counter and Quad cable ` Traction substations at Chinchpokli and Sion and six Switching posts Supply and installation of 110 kv cables for Chinchpokli and Sion traction substations OHE Maintenance Car Non Bank Funded Works Subtotal EMU Maintenance Facilities and Stabling Lines EMU Maintenance Facilities EMU Stabling Lines Subtotal Technical Assistance Bank Funded TA Non-Bank Funded TA Subtotal Total Project Costs Note: Physical and price contingencies are all included 43

50 Annex 6: Implementation Arrangements INDIA: Mumbai Urban Transport Project-2A 126. MRVC is the project implementing agency for MUTP-2A and in that role is accountable for satisfactory completion of all the works of MUTP-2A. MMRDA, ICF, RDSO, WR and CR 30 are executing agencies. As the project implementing agency, MRVC is responsible for financing and procurement of all the contracts financed by the loan, including major equipment such as rolling stock/ac-dc equipment/cables, etc. as also for executing certain identified works in the field with due safeguards in consultation with the Zonal Railways. MOUs which incorporate insurance to respect EMP, time line of works and activities to be carried out by respective agencies, etc. will be set up between MRVC and the executing agencies The execution of new line works which interfere with the running railway and require extensive block working are to be specifically listed out and carried out by the concerned Zonal Railways. The new lines work which interfere with the running railway only at the track linking on the two ends can be executed by MRVC with due safeguards The works included in MUTP-2A have been selected to ensure that there is minimal Resettlement and Rehabilitation or land acquisition involved. This resettlement, which is expected to be very limited in extend, will be executed out by MMRDA, as per specific conditions stated in a Memorandum of Understanding (MOU) between MRVC and MMRDA Role of MRVC: Chart 1 below illustrates MRVC s role as implementing agency of MUTP-2A. 30 Central Railway and Western Railway are two of the largest and busiest of the 16 zones of Indian Railways. Their respective divisions Mumbai CSTM and Mumbai are specifically involved in this project. Indian Railways is a department owned and controlled by the Government of India, via the Ministry of Railways. IR manufactures much of its rolling stock and heavy engineering components at its six manufacturing plants, called Production Units, which are managed directly by the ministry. Integral Coach Factory at Chennai (ICF) is one of these. Each of the six production units is headed by a General Manager, who reports directly to the Railway Board. Research Design and Standards Organization (RDSO) is a research and development organization under the Ministry of Railways, which functions as a technical adviser and consultant to the Railway Board, the Zonal Railways, the Railway Production Units in respect of design and standardization of railway equipment and problems related to railway construction, operation and maintenance. 31 MMRDA is a body of the Government of Maharashtra set up under the Mumbai Metropolitan Region Development Authority Act, 1974 Government of Maharashtra as an apex body for planning and co-ordination of development activities in the Region. 44

51 Sr. No The implementation arrangement for MUTP-2A will be as under: Work Implementing Agency Executing Agency Funding Arrangement Likely completion by (A) Goods/Supply and Installation 1. EMU procurement/ manufacture 1.1 Procurement of electrics MRVC MRVC WB Loan June Manufacture MRVC ICF Counterpart Feb Design aspect MRVC RDSO DC to AC Conversion Electrical Works 2.1 Traction substations and switching MRVC MRVC WB Loan Dec posts between CSTM-Vidyavihar section 2.2 Laying of 110 kv cable at Sion and MRVC MRVC WB Loan Jan Chinchpokli 2.3 Procurement of OHE maintenance equipment MRVC MRVC WB Loan June Traction substations and switching posts between Vidyavihar-Thane section 2.5 Laying of 110 kv cable at Thane and Vadala Road 2.6 OHE modification from 1500V DC to 25 kv AC S&T Works 2.7 Procurement, installation and commissioning of Digital Axle Counters MRVC CR Counterpart Dec MRVC CR Counterpart Dec MRVC CR Counterpart Dec MRVC MRVC WB Loan Dec Procurement of Quad cable MRVC CR Counterpart Dec Laying of cable MRVC CR Counterpart Dec (B) Works 3 Maintenance facilities and stabling lines for EMUs 3.1 Maintenance facilities for EMUs MRVC CR/WR Counterpart Dec Stabling Lines for EMUs Central Railway Western Railway MRVC CR MRVC Counterpart Counterpart Dec Dec (C) Technical Assistance 4. Technical Assistance Studies MRVC MRVC WB Loan* June 2014 * With the exception of MUTP2A-TA6: Reduction of trespassing and improvement of safety of the track, which is fully counterpart funded. 45

52 Chart 1. Implementation Arrangements for MUTP-2A 46

53 131. Responsibilities of MRVC (Project Management Unit): MRVC is the nodal organization for implementing MUTP-2A on behalf of Govt. of India and Govt. of Maharashtra. Following will the responsibilities of MRVC: (a) To monitor and evaluate the project; (b) To coordinate the implementation of the project; (c) To prepare and forward periodical reports covering physical and financial progress; (d) To prepare implementation completion report; (e) To undertake necessary surveys and studies for project evaluation Responsibilities of Maharashtra and MMRDA: implementation responsibilities of the Government of Maharashtra include the following: (a) be responsible, through the MMRDA and in cooperation with MRVC, for carrying out Project activities related to social management, including carrying out land acquisition and resettlement and rehabilitation activities (including preparation and implementation of RAPs), if any; and (b) facilitate the preparation and carrying out of relevant studies and related activities and recommendations under Component 4 of the Project Project Director of MUTP-2A: Director (Technical), MRVC is Project Director for MUTP-2A for overall monitoring and coordination of the project. He will be responsible to coordinate various agencies such as Ministry of Railways, Ministry of Finance, Planning Commission, World Bank, GOM, RDSO, ICF, CR, WR and other different agencies Staffing at MRVC: MRVC will consist of a team of professionals specializing in the following areas: (a) Finance; (b) Procurement; (c) Environment and social; (d) Training; (e) Institutional development; (f) Engineering; 135. These professionals could either be staff deputed from MOR or could be outsourced from the open market. In addition, services of retired railway employees may also be engaged in successful implementation of the project. The organizational structure of MRVC is given in Chart 2 below Training of MRVC employees: The training of the MRVC employees are made to familiarize with the procedures and methods as part of this project. MRVC will also arrange a need based training program as and when required for each area of specialization. 47

54 Chart 2. Organizational Chart for MRVC Officers - 58 Assisting Staff Total

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