“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR

Ministry of Urban Development

Ministry of Urban Development

“e-Governance in Municipalities”

Model DPR Guidelines
For
State Level Detailed Project Report
April 2010

1

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

Contents
Abbreviations & Acronyms _____________________________________________ 1 
List of Tables ________________________________________________________ 3 
Preface _____________________________________________________________ 5 
General Instructions for DPR Preparation_________________________________ 7 
1.  

Background of the Project ________________________________________ 8 

1.1  

Title of the Project __________________________________________________ 8 

1.2  

Mission Mode Project _______________________________________________ 8 

1.3  

Project Funding Criteria ____________________________________________ 8 

1.4  

Permissible Components _____________________________________________ 8 

1.5  

Project Phases _____________________________________________________ 9 

1.6 

Details of stakeholders ______________________________________________ 9 

1.7  

Approval of Appraisal Report: ______________________________________ 10 

2.  

Project Overview ______________________________________________ 11 

2.1  

Goals ____________________________________________________________ 11 

2.2  

Benefits __________________________________________________________ 11 

2.3  

Objectives ________________________________________________________ 12 

2.4 

Project Institutional Structure _______________________________________ 13 

3.  

Urban Services & Service Levels __________________________________ 15 

3.1 

Overview _________________________________________________________ 15 

3.2 

Services proposed through State Level Solution ________________________ 15 

3.3 

Organization Structure, Functions and Services of Departments __________ 16 

3.4 

Study of Municipal Acts and Byelaws _________________________________ 17 

3.5 

Study of Other e-Governance Initiatives ______________________________ 18 

3.6  

Business Process Reengineering (TO-BE Process) _______________________ 18 

3.7

Proposed Service Level Benchmarks __________________________________ 18 

3.8

Perceived Benefits _________________________________________________ 19 

4.  Solution and Technology __________________________________________ 21 
4.1 

AS-IS IT landscape ________________________________________________ 21 
Application Details ____________________________________________________ 21 
Hardware, Network Infrastructure Components ____________________________ 21 
Network / Server Architecture ___________________________________________ 22 
Information Security Measures __________________________________________ 23 

4.1.1 
4.1.2 
4.1.3 
4.1.4 

4.2 

TO-BE IT Landscape ______________________________________________ 23 
Solution Architecture __________________________________________________ 23 
Application Architecture________________________________________________ 25 
Information / Data Architecture _________________________________________ 26 

4.2.1 
4.2.2 
4.2.3 

1

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

4.2.4 
4.2.5 
4.2.6 
4.2.7 
4.2.8 
4.2.9 

Technology / Deployment Architecture ____________________________________ 26 
User Interface_________________________________________________________ 27 
Network and Server Architecture ________________________________________ 28 
Security architecture ___________________________________________________ 30 
Integration with SWAN & SDC __________________________________________ 31 
Service Level Agreements (SLA) & Monitoring Tool ________________________ 31 

4.3 

Conformance to Standards __________________________________________ 31 
4.3.1  Interoperability Standards ______________________________________________ 31 
4.3.2  Data Standards _______________________________________________________ 32 
4.3.3  Security Standards ____________________________________________________ 32 
4.3.4  Localization Standards _________________________________________________ 32 

4.4 

IT Change Management ____________________________________________ 32 

4.5 

Service Provision & Consumption by ULB’s ___________________________ 32 

4.6 

Continuity Measures _______________________________________________ 32 

4.7 

Support/ Help Desk ________________________________________________ 32 

4.8 

Roll out Strategy __________________________________________________ 32 

4.9 

Option Analysis ___________________________________________________ 33 

5.  

Capacity Building and Change Management _______________________ 34 

5.1 

Need for Change Management _______________________________________ 34 

5.2 

Identification of Stakeholders _______________________________________ 34 

5.3 

Organization Structure _____________________________________________ 35 
Current Organization __________________________________________________ 35 
Proposed Organization _________________________________________________ 35 

5.3.1 
5.3.3 

5.4 

Staffing and Deployment Strategy ____________________________________ 36 

5.5 

Training Strategy __________________________________________________ 36 
Training Need Assessment and Content Development ________________________ 36 
Identification of Delivery Channels for imparting training ____________________ 37 
Preparation of Training Schedule ________________________________________ 37 

5.5.1 
5.5.2 
5.5.3 

5.6 

Knowledge Management____________________________________________ 37 

Monitoring & Evaluation __________________________________________ 38 
6.1  

Monitoring & Evaluation Framework ________________________________ 38 
Clearly defined Objectives ____________________________________________ 38 
Define Organization and Identify Roles and Responsibilities ________________ 39 
Approach for M&E process ___________________________________________ 40 

6.1.1  
6.1.2  
6.1.3  

Assumptions & Risk Management ___________________________________ 43 
7.1  

Process for Risk Management _______________________________________ 43 

Pubic Private Partnership (PPP) ____________________________________ 49 
8.1 

Need for PPP _____________________________________________________ 49 

8.2 

PPP for e-Governance ______________________________________________ 49 

8.3 

Engagement Models for Service Provisioning & Service Delivery__________ 50 

8.4 

Revenue Model ____________________________________________________ 50 

2

2  Detailed Bill of Material For Roll out in ‘Selected ULB’ _________________ 59  10.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 8.3  Financing Plan ____________________________________________________ 61  11  Annexures ____________________________________________________ 62  11.1  Stakeholders Involvement___________________________________________ 53  9.4  Project Implementation & Rollout ___________________________________ 54  9.2  Institutional Structure______________________________________________ 53  9.3  Annexure 3.1  Annexure 1 .5  9  Key considerations _________________________________________________ 51  Project Implementation Strategy & Sustainability Plan __________________ 53  9.3  Tendering and Bid Process Management ______________________________ 54  9.6  Sustainability Plan _________________________________________________ 55  10  Project Costing ________________________________________________ 57  10.1  Detailed Bill of Material For State level solution ________________________ 57  10.5  Project Phasing Strategy ____________________________________________ 54  9.Checklist for State Level Nodal Agency____________________ 62  11.2  Annexure 2 – Functional Requirement Specifications ___________________ 66  11.Risk Log _____________________________________________ 118  3 .

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Abbreviations & Acronyms Abbreviations & Acronyms Description ACA Additional Central Assistance BOM Bill of Material CBOs Community Based Organization CEO Chief Executive Officer CSC Citizen Service Centre CSMC Central Sanctioning Monitoring Committee D2D Department to Department DPR Detailed Project Report G2B Government to Business G2C Government to Citizen G2G Government to Government HR Human Resources ICT Information and Communication Technology JNNURM Jawaharlal Nehru Urban Renewal Mission MeDD Municipal e-Governance Design Document MIS Management Information System MMPs Mission Mode Projects MoUD Ministry of Urban Development NeGP National e-Governance Programme NGOs Non Government Organizations NMMP National Mission Mode Project POP Point of Presence PPP Public Private Partnership RWAs SDC Resident Welfare Association State Date Centre 1 .

Time bound SWAN State Wide Area Network ULB Urban Local Body M&E Monitoring and Evaluation 2 . Measurable. Achievable. Realistic.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Abbreviations & Acronyms SeMT SIC Description State e-Governance Mission Team State Implementation Consultant SLNA State Level Nodal Agency SLSC State Level Steering Committee SLSS State Level Software Solution SMART Specific.

Municipal Acts & Bye-Laws 11 Proposed Service Level Benchmarks 12 Benefits Perceived 13 Details of Existing IT System/ Applications 14 Details of Hardware.t.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development List of Tables Table Number Description 1 List of Identified eight Services 2 Project Funding Criteria 3 Total Project Cost 4 Population Details of State and ‘Selected’ ULB 5 Municipal Revenue & Expenditure for ‘Selected’ ULB 6 Services proposed through State Level Software Solution (SLSS) 7 Departments.r. SDC and CFCs 16 Network / Server Architecture for Existing System 17 Details of Application Architecture 18 Details of Information / Data Architecture 19 Details of Application Interfaces 20 Network / Server Architecture for Proposed System 21 Option Analysis for Selecting Proposed Technology 22 Stakeholder Identification 3 . Functions and Inter-Relation of ‘Selected’ ULB 8 Classification of ULBs 9 Summary of Municipal Acts and Bye-Laws 10 Variation points w. Network & Infrastructure (Existing) 15 Present Status of SWAN.

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Table Number Description 23 Objectives for Monitoring &Evaluation 24 Roles & Responsibilities for Monitoring &Evaluation 25 Approach for Monitoring &Evaluation 26 Monitoring Process : Ownership & Timeframe 27 Strategy Level Risks 28 Project Level Risks 29 Operational Level Risks 30 Calculation of Risk Measure 31 Chart for Risk Ranking 32 Stakeholder Involvement 33 Timeline Completion for Key Milestones 34 Sustainability and Key factors 35 State: Summary of Project Cost (Investment & Recurring Costs) 36 State : Year-wise Expenditure Distribution 37 ‘Selected’ ULB: Summary of Project Cost (Investment & Recurring Costs) 38 ‘Selected’ ULB: Year-wise Expenditure Distribution 39 Financing Plan (Central/ State / ULB share) 4 .

For the Citizens.e. community based organizations (CBOs). Thus for the ULBs/Corporation. as provided in e-Governance guidelines of JNNURM as in Table 1 Table 1: List of identified eight services S.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Preface The Government of India has formulated the National e Governance Plan (NeGP). Services/ Management Functions 1 Registration and Issue of Births/ Deaths Certificate 2 Payment of Property Tax. etc). private sector. Bring about transparency and accountability in the governance of urban local bodies. residents welfare associations (RWAs). Improve efficiency and effectiveness in interaction between local-government and its citizens and other stakeholders (i. Improve quality of internal local-government operations to support and stimulate good governance. the NMMP would: • • • Significantly improve the Quality of Service provided by the Corporation Transparent. Non-governmental organizations (NGOs). the NMMP would: • • • • • Bring about improvements in efficiency and effectiveness of business processes/functions of the ULBs/Corporation Institute a mechanism of result based monitoring and evaluation Ensure economy (cost efficiency) in the design and implementation of the project Improve the system for decision making with respect to planning and delivery of municipal services to the citizen and with in. effective and efficient service delivery to the Citizen. Enhance interface between urban local bodies and citizens. part of which includes a National Mission Mode Programme (NMMP) for e Governance in Municipalities. Utilities Bills and Management of Utilities that 5 . Ensure effective project management to track progress. Provide more service delivery channels for hassle free service for Citizen Define service level for timely delivery of services to the Citizen Following are the services / management functions that will be covered in the first phase of the project. This NMMP intends to roll out e-Governance in Municipalities on a nationwide basis and has now been included as a part of the Jawaharlal Nehru Urban Renewal Mission (JNNURM). e-Governance in Municipalities is expected to: • • • • • • Focus on clearly identified list of citizen services that would be covered with clearly laid down service levels and outcomes that would be achieved. National Mission Mode Project (NMMP) on e-Governance in Municipalities envisages covering Urban Local Bodies (ULBs) in 35 mission cities identified.No. and Help improve delivery of services to citizens.

2 Water Supply & Other Utilities 3 Grievances and Suggestions 4 Building Approvals 5 Procurement and Monitoring of Projects 5. eGovernance guidelines under JNNURM etc.1 e-Procurement 5. Services/ Management Functions come under the ULBs 2. This document provides reference format and guidelines for preparing State Level DPR for e-Governance project in ULBs.2 Project/ Ward works 6 Health Programs 6. This document has been prepared in reference to Municipal e-Governance Design Document (MeDD) prepared by MoUD.2 Solid Waste Management 7 Accounting System 8 Personnel Information System The SLNA/ ULB will prepare Detailed Project Report (DPR) for development of State Level Software Solution (SLSS) of e-Governance in municipalities to be covered under the Mission Mode Project on e-Governance.No. guidelines for preparation of DPR by Ministry of Information Technology (MIT).“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. 6 .1 Licenses 6.1 Property Tax 2.

beyond 2 years of operations.   7 .“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development General Instructions for DPR Preparation A general reference framework for preparation of DPR at State level is mentioned below: • DPR for state level solution shall be prepared and submitted by selected ULB along with the state (SLNA). • The DPR is to be accompanied by a separate Executive Summary.gov. • The state level DPR will cover design. in terms of PPP. • The DPR shall also indicate the capacity building requirements for state and selected ULB.in)   • Further feedback and suggestions for improving the “DPR Preparation Toolkit” are welcome and may be suggested to the MoUD. development. • The DPR is to take into account the various open standards published/ being published by GOI under NeGP (http://egovstandards. • The DPR will also include the IT infrastructure requirements & application customization requirements for selected ULB. in order to avail the services from SLSS. • DPR shall indicate sustainability of SLSS (provisioning and delivery). which should essentially provide summary / snap shot of all sections of DPR. implementation and roll-out of the state level software solution (SLSS) including O&M for 2 years. • The DPR shall be appraised by SLNA at state level as per checklist attached at Annexure-1 and the approval note should be accompanied with DPR.

infrastructure and system software • Cost for GIS (Application. the Initiating and Implementing partners of the project. employees cost. Background of the Project This section requires information as per the template/format provided below which covers details like Project Title. period and location of implementation and any other critical aspects. platform etc. etc.No. electricity and communication costs.4 Permissible Components The permissible components as per JNNURM guidelines include: • Application software • Capital and initial costs including hardware. Nature of e-Governance project.3 Project Funding Criteria All the DPRs will follow the funding pattern as per JNNURM Guidelines.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 1. Project Eligibility Test.1 Title of the Project The title of the project should describe the proposed services to be provided under the project. Category of Cities Grants Central State ULB or para statal share / loan from financial institution 1 Cities/UA with 4 million population as per 2001 census plus 35% 15% 50% 2 Cities/UA with million plus but less than 4 million population as per 2001 census 50% 20% 30% 1. civil infrastructure. and shall be borne by State Government / ULB. is not included under permissible components.) for first two years after commissioning The cost of land and building. 1. Funding Criteria. 8 . 1.2 Mission Mode Project The DPR should mention in this section if the proposed state falls under the purview of JNNURM Mission Mode Projects. site preparation. Table 2: Project Funding Criteria S. 1.) • Data digitization • Cost for STQC certification • Cost for Monitoring Tool & Helpdesk • Project Management • Cost for Change Management through Capacity building & Knowledge Management • Annual expenditure cost (operation & maintenance cost / ongoing communication cost/ license fees etc.

State Level Nodal Agency (SLNA) • • • • • • Name Address Fax Landline Mobile Email : : : : : : 9 . The Commissioner / CEO / Executive Officer etc.1 Pilot Phase The e-governance project implementation undertaken by State shall be categorized as a Pilot when rolling out of SLSS is carried out in selected ULB or other mission cities for the first time.5. the DPR shall provide the contact details of nodal officers/ key persons responsible for State Level Nodal Agency (SLNA). For example. for follow-up and liaison work related to the proposal should also be provided. State Implementation Consultant (SIC). 1. the DPR shall define a road map/ strategy for roll out of SLSS in the remaining mission cities of the state. The DPR shall also mention how the learning for the pilot phase shall be incorporated while rolling out the solution in a large scale. State e-Governance Mission Team (SeMT) and liaison work related to the above should be provided by ULB. the DPR shall provide the details of SLNA/ULB if specific department is initiating and the name and job title of the key contact person who would be responsible for initiation and rollout of the e-Governance project in the SLNA/ULB.6 Details of stakeholders Project Initiator Details In this section. Contact details • Name • Designation • Address • Fax • Landline • Mobile • Email : : : : : : : Implementing Agency/ Partner Details In this section. 1. the DPR shall clearly mention all the phases of the Project and implementation in addition to a strategy for carrying out the activities of various phases in detail. 1.5 Project Phases In this section. The contact details of nodal officer other than the person responsible.5.2 Roll out subsequent to Pilot phase In this section.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 1.

10 .7 Name Address Fax Landline Mobile Email : : : : : : Approval of Appraisal Report: The SLNA/ULB shall provide details about appraised project details by State Level Steering Committee (SLSC) to State Level Nodal Agency (SLNA) and whether the project is considered for approval by SLSC.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development State Implémentation Consultant (SIC) • • • • • • Name Address Fax Landline Mobile Email : : : : : : State e-Governance Mission Team (SeMT) • • • • • • 1. The appraisal report of the SLNA shall be provided along with the DPR.

Project Overview Based on the project background details.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 2. • Reduction in red tape ƒ Reduction in number of levels required for approval etc. • Simplification of procedures ƒ No need to visit various Departments/Offices for approvals. • Improved quality of services ƒ Lack of errors in processed documents etc. 2. The impact of successfully achieving this vision would be a more satisfied citizen/ business/ government. the DPR shall define goals & objectives of the project. each goal should state the impact in terms of: • • • • Benefits to Citizens / Community Benefits to Government Benefits to Business General/ Mutual benefits Examples of benefits: • Decrease in cost of accessing/ using services ƒ Free availability of application forms online etc. It is critical to set realistic and relevant goal(s) for the project as it helps to: • • • • Plan an approach for implementing the project Provide a systematic way for evaluating performance Ensure greater buy-in through most of the organization Ensure that results obtained are not erratic in nature For example: Ensure satisfied citizens and government by developing a hassle free and transparent e-governance solution enabling increased levels of service delivery to citizens. transparency and reliability of such services at affordable costs to realize the basic needs of common citizens. • Reduction in time for accessing/ using services ƒ By instant uploading of online applications leading to automated approval process etc. Examples are provided in this section for easy understanding and reference purposes. 2. The service levels are desired to ensure efficiency. 11 . Thus.1 Goals Goals are high order objectives/long term outcomes that the project shall contribute. sanctions etc.2 Benefits The JNNURM guidelines have laid down the outcomes that are desired as part of the National Mission Mode Project for e-Governance in Municipalities. The general practices of the project are guided by goals.

4 the Minimizing the number of customer visits for registration of birth and death from 5 to 2 times. actionable): Objectives need to be achievable because if the objective is too far in the future. Deadlines need to be both achievable and realistic.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 2.T refers to the acronym that describes the key characteristics of meaningful objectives. Achievable. Realistic and Time Bound. it will be difficult to remain motivated and strive to attain it. Reducing the time required to request the service by 50% and overhead costs by 20%. • Achievable (feasible. well defined): Specific means that the objective is concrete. • Specific (concrete. Realistic means that all such essential resources are available or possible to arrange. • Measurable (numbers. money. The cost in the state level DPR shall include both: • • Cost for design. Objectives must be straight-forward and emphasize action and the required outcome. Measurement is the standard used for comparison.): If the objective is measurable. S.A. detailed. 12 .R. implementation of SLSS Cost for solution roll out in Selected ULB A summary of total project cost estimated shall be provided in the format given in Table 3 below. focused and well defined.M. etc. • Realistic (considering resources): The achievement of an objective requires various resources. Example of SMART objectives: • • • 2. detailed.3 Objectives Identify SMART Objectives : Objectives are the specific and immediate outcomes of the project. Measurable. • Time-Bound (a defined time line): Time-bound means setting deadlines for the achievement of the objective. development. which are Specific. such as. equipment. it means that the measurement source is identified and we are able to track the actions as we progress towards the objective. etc. quantity. Solving 100% grievances within stipulated time of 3 months The following captures an analysis of these criteria for the stated objective: Summary of Total Project Cost An overall cost estimate shall be prepared for the complete duration of the project ( 1 year implementation & 2 years of O&M) with documented assumptions against each item. skills.

4 Project Institutional Structure 2.4.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Table 3: Total Project Cost (INR in Lakhs) Costs Year 1 Year 2 Year 3 a). Further. DPR shall mention setting up a steering committee at the state to provide guidance and assistance for implementation and rollout. Cost for solution roll out in Selected ULB Capital/ Investment Costs Recurring Costs Total (b) Grand Total (a+b) 2. Also. data protection and exercising strategic control of IT assets. interoperability compliances. • Capacity Building Team comprising of Capacity Building & Knowledge Management Expert and domain expert(s) for managing the Capacity Building and Knowledge Management with ULBs and at SLNA as well in alignment with the framework defined by MoUD. 13 . SIC. information security.1 State level Institutional Structure In this section. ULBs and Agency for project implementation & rollout. Cost for State level Software Solution (SLSS) Capital/ Investment Costs Recurring Costs Total (a) b). representative from identified ULBs covering all 8 service areas to define the standard processes and to standardize forms for each of the service areas across State. the road map/ phasing strategy for all ULBs (under mission and non-mission cities)for joining the state level solution needs to defined in the DPR. SLNA shall clearly define the roles and responsibilities of all the teams. SeMT representatives to define metadata standards. DRP should also propose the contractual arrangements between SLNA. ULBs and SIC SLNA shall also create the following teams under its control to carry out the overall project implementation and monitoring. It shall include the details of arrangements such as • Project Steering Committee • Project management team comprising of representatives from state. • Process Team comprising of domain expert(s). • Technology Team comprising of dedicated technical member of SLNA. defining and monitoring service levels.

14 .“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 2.2 State Implementation Consultant (SIC) In this section. Bid process management for selection of Software Development Agency (SDA) / Application Service Provider (ASP). overall project management from project inception to implementation stage and co-ordination with various stakeholders.4. DPR should identify engagement of a State Implementation Consultant to assist the SLNA in preparation of State level DPR. RFP.

Lakhs) Tax 1 2005-06 2 2006-07 3 2007-08 4 2008-09 5 2009-10 Non Tax Expenditure ( Rs. the DPR would detail out the services to be provided as part of SLSS. key drivers of economy and municipal revenues & expenditure for the selected ULB.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 3.No. The services provided shall be categorized as G2C – Government to Citizen. economic base. Table 4: Population Details of State and ‘Selected’ ULB S. Year Revenue ( Rs. Urban Services & Service Levels 3.No. G2G – Government to Government as well as services having internal and external interfaces. should be classified as ‘Internal’. the DPR shall provide details like demographic characteristics of the State. Year Population (lakh) 1 1981 2 1991 3 2001 4 2011(Projected) Average Annual Growth Rate (%) Table 5: Municipal Revenue & Expenditure for ‘Selected’ ULB S. like staff management etc. 15 .2 Services proposed through State Level Solution In this section. G2B – Government to Business. Lakhs) State Transfers / Grants 3. population growth.1 Overview In this section. The same has been given in Table 6 below. For example: Services associated with citizens should be classified as ‘External’ and services associated with internal working of the department.

G2B 5 Procurement and Monitoring of Projects Internal / External G2G 6 Health Program : Licenses. DPR shall also capture the current state of affairs of various departments and map the services and associated processes at the Department & its related branches and interlinked organizations. incase the state identifies to implement services beyond the eight defined under JnNURM guidelines. Solid Waste Management External G2B / G2C 7 Accounting System Internal D2D 8 Personnel Information System Internal D2D 9 Any other Module (The DPR should mention details of other modules which has been already existing and other than this which is proposed for development & implementation but not part of the above core JNNURM modules) 3.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Table 6: Services proposed through State Level Software Solution (SLSS) S. Functions and Inter-Relation of ‘Selected’ ULB Department Function Services 16 Associated Processes Inter-relation . functions and services of the department in the ‘Selected’ ULB. Reform Areas Service Interface Function Service Category 1 Registration and Issue of Births / Deaths Certificate External G2C 2 Property Tax.3 Organization Structure.g. providing the eight identified services. Water Supply External G2C 3 Grievances and Suggestions External G2C 4 Building Approvals External G2C. Table 7: Departments. A similar detailing shall be provided for the related department. Functions and Services of Departments The DPR shall document the Organization structure. Utility Bills and Management of Utilities that come under the ULBs e.No.

Utility Bills and Management of Utilities that come under ULBs e.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 3. Class-I cities and other cities) and number of ULBs for the respective cities in below table: Table 8: Classification of ULBs Cities (JNNURM Mission Cites/ Class-I/ Others) No. Water Supply 3 Grievances and Suggestions 4 Building Approvals 17 Bye-Laws . Table 9: Summary of Municipal Acts and Bye-Laws Act(s) of State Bye-Laws Prevailing in < Specify the name of ULB> Table 10: Variation points w. of Corporations No. of Notified Area Authority Any Other b.g. The DPR shall also provide details of municipal act(s) and byelaws in the table 9 and variations in table 10 below.e. of Municipalities No. the DPR shall detail out on the following: a. Details on Municipal Act(s) in the state and byelaws in the ULBs (for pilot study. The DPR shall indicate the number/ classification of cities (as per the definition of the project i.r.t.4 Study of Municipal Acts and Byelaws In this section. Mission Cities. Municipal Acts & Bye-Laws S. ULBs for mission cities / class-I cities or beyond can be considered) in table below.No. Details of the Services Municipal Acts JNNURM Core Modules 1 Registration and Issue of Births / Deaths Certificate 2 Property Tax.

users *Note: The details of the proposed modules have to be covered in terms of functional requirement specifications has been provided in Annexure 2 separately. outputs. functionalities. this section shall include: • • • • • Analysis of existing processes for identified services under SLSS Identify gaps and areas of process improvement Design of optimal process for each service catering to the needs of ULBs Customization requirements based on specific variation in processes. In case the state chooses an intermediary service level during the initial phases of the project. 3.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. in the State. A roadmap on how these service levels shall be attained needs to be provided. Details of the Services Municipal Acts 5 Procurement and Monitoring of Projects 6 Health Program: Licenses. 18 . 3. DPR shall provide details on existing status and level of implementation of other e-Governance initiatives like SWAN/ SDC/ CSC etc. workflow etc. of ULBs with respect to SLSS Detailed To-Be process flow diagrams along with workflow.No. Solid Waste Management 7 Accounting System 8 Personnel Information System Bye-Laws Other Modules (Other modules to be mentioned here) 3. inputs.6 Business Process Reengineering (TO-BE Process) Based on the study conducted in the pilot ULBs in the above section. the an intermediary service level should be clearly defined and roadmap & timeline for achieving the final service levels should also be provided.7 Proposed Service Level Benchmarks In this section.5 Study of Other e-Governance Initiatives In this section. in line with “Handbook on Service Level Benchmarks for e-Governance in Municipalities” published at the national level. the DPR shall identify service level benchmarks for each service module (as per below table).

8 (The DPR should mention details of other modules which has been already existing and other than this which is proposed for development & implementation but not part of the above core JNNURM modules ) Perceived Benefits The DPR shall also detail out the benefits for the various categories of stakeholders like citizens. Utility Bills and Management of Utilities that come under the ULBs e.g. The details for the same shall be provided in the table 12 below. Solid Waste Management 7 Accounting System 8 Personnel Information System Other Modules 9 3. For example : The value/ benefits can be in terms of indicators like reduction in time-frame for processing of activity/ service/ function etc.No. 19 . etc. vendors. Service Modules Service Level Benchmarks Intermediary Service Level Benchmarks (if any) Timelines to achieve the final Service Level Benchmarks JNNURM Core Modules 1 Registration and Issue of Births / Deaths Certificate 2 Property Tax. SLNA. ULB.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Table 11: Proposed Service Level Benchmarks S. etc. Water Supply 3 Grievances and Suggestions 4 Building Approvals 5 Procurement and Monitoring of Projects 6 Health Program : Licenses. reduction in terms of costing.

No.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Table 12: Benefits Perceived S. Services 1 Birth Registration System 2 Payment of property Tax 3 Payment of Water Supply & Other Utilities 4 Grievances & Suggestions 5 Building Approval 6 e-Procurement 7 Monitoring of Projects / Ward Works 8 Licenses 9 Solid Waste Management 10 Accounting System 11 Personnel Information System Delivery Channel Time Taken Efficiency / Functionality Corporation / Citizen Centers / Web enabled Min/ Hrs / Days % ( Internal/ External ) 20 User Charges (eGov) (Rs) Cost of Service Frequency of Visits (Rs) Number of visits required Benefits to Citizens Benefits to ULBs .

It should be designed in a way to manage the variations in bye laws of ULBs. and should have the provision for ULB specific customizations. Network Infrastructure Components In this section. network & infrastructure components (if any) available in the state and how the existing components can be re-used or integrated with the proposed setup. and infrastructure that currently exists in the state. the DPR shall provide details on existing hardware.1 AS-IS IT landscape This section shall provide details of IT software applications. 4. users in the department. The details of such applications are to be provided as per below table. designed. developed and implemented to deliver identified services. keeping in view the centralized e-Governance solution being conceptualized. departments / offices. The DPR shall also provide details of number of physical locations. SDC etc.2 Hardware. back end. existing delivery channels like Citizen Facilitation Centers (CFC). 4. SWAN. Department / Location List of Hardware. Table 13: Details of Existing IT System/ Applications in State S# Applicatio n Suites / Modules Services Performe d by Applicati on Suite Year of Implem entation Technology Platform (Complete technology stack including front end.1 Application Details This section of DPR shall provide details about applications that are currently available in the state.1. Solution and Technology This section shall provide the details of SLSS fulfilling the key requirements from technology prospective. Network Infrastructure (Existing) 1 21 Re-usability (Yes/ No) Impleme nted At (State / ULB Name) . This solution must cater to the Municipal Act(s) of the State.No. Network & Infrastructure (Existing) S. Transaction Volume per year & data volume 1 2 4. Table 14: Details of Hardware.) Applicat ion Architec ture No of Users.1. middleware etc.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 4.

Table 16: Network / Server Architecture for Existing System Existing (AS-IS) Scenario Description Location 1 Location 2 Location 3 … Location (n) Total Back-end (including database management tools used) Middle ware (including application software) Front-end delivery channels (including application software) Network devices (the existing network design should be provided schematically separately) 22 .No. • Existing network architecture/devices details (including disaster recovery. Department / Location List of Hardware. Component Status Re-usability status (Yes/ No) 1 2 3 4.) that can be used by the state. S.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S.3 Network / Server Architecture This section shall provide details of existing network/server architecture (if any) of the state: • A detailed diagram of current network & server architecture should be provided. hosting servers etc. Network Infrastructure (Existing) Re-usability (Yes/ No) 2 Table 15: Present Status of SWAN.No. SDC.1. CFCs etc.

in terms of both application (to add new services in SLSS) and infrastructure (to provide services of other ULBs of state as they are also expected to 23 . shall be done: i. (iii) Plug & Play Facility: The SLSS should be able to provide independence to ULBs in availing selected services. as required. State should examine if the current security measures can be re-used for the proposed egovernance infrastructure. integration & testing of existing modules with SLSS including details about maintenance support for 3 years. in terms of following. application frameworks/products or any other component that shall be used to implement the solution.1) into new application and should cover the following details: i. 4. antivirus servers. Handling ULB specific business logic and bye-laws iii. application / web server software. look and feel iv. Management of ULB content in the application (ii) Customization of Existing Applications: The DPR should provide details about the viability of customization or incorporation of existing applications (identified in section 4. DPR shall describe the technical components required as a part of the centralized solution to be deployed.2 TO-BE IT Landscape State Level Software Solution (SLSS) is the centralized solution that would facilitate the delivery of municipal services to various stakeholders across the state. This should include technology platforms. 4. In this section. forms/reports. In case different modules use different technology components.1. The centralized application software shall deliver all the identified services.2. all details for all these modules shall be included. intrusion detection systems etc.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 4. the SLSS should be designed in a way to provide independence to ULBs to manage their data and environment. This section should provide details on how the administration of application for individual ULB in the state. Customizations specific to ULBs for dynamic business workflow.1. The same should be clearly mentioned in the DPR. database software. language. (iv) Scalability: The solution architecture should be able to address the future scalability requirements.4 Information Security Measures The following are the key points that need to be discussed in this section with regard to managing data security: • • Details of any existing security policies Detailed inventory of security related applications / hardware such as firewalls. Strategy for customization.1 Solution Architecture The SLSS architecture should address the following requirements: (i) Multi-tenant Environment: Considering the federal structure and independence of ULBs. Creation and management of access and login rights ii. as per JNNURM guidelines.

there is a need that the solution should support this cost-sharing model through a transaction accounting & management module. (x) External Interfaces: The DPR shall provide details on how the SLSS will interact with external systems like GIS.gov. infrastructure. Payment Gateway. (xi) Offline working at ULB: The DPR should specify the services that shall continue to operate in case connectivity to SLSS is temporarily unavailable. and details of the solution needs to be provided here. (vii) Transaction Accounting & Management: As the application will be deployed in a multi-tenancy environment and shall be used by multiple ULBs. even though the current DPR shall include the requirements of all the ULBs in the Mission cities only. The usage of domain name for individual ULBs should also be finalized before hand.in. It will also include details on offline working of these services (part / full cycle). The DPR shall provide details on the same. Illustrative solution architecture for the State Level Solution can be as shown below. operating system level security needs to be built around the application. a solution needs to be conceptualized. Other existing systems in ULBs etc. facilities should be built in to take care of transactions accounting in offline mode. The DPR shall provide details on this module and its functionalities considering the above factors and also the customized reporting requirements of state/ ULBs (viii) Audit trail: As there shall be critical users carrying out critical transactions. (ix) Domain name: The SLSS will be used by multiple ULBs in the state. The DPR shall provide details on the same. Preferably. The DPR needs to detail out the security requirements and the methods & technologies to provide such facilities. Moreover. the application should have a facility to record & generate audit log for data access in the solution. database. Keeping in view. Appropriate network. (v) Sizing: The DPR shall analyze and suggest technologies like virtualization. The above interaction should be seamless in nature. DPR shall also identify the risks involved while carrying out critical transactions in the offline mode particularly for financial transactions. DPR shall consider the guidelines issued on implementing security standards and digital certificates & biometrics published by DIT available at http://egovstandards. Such services should be worked out in coordination with SLNA. sub-domain nomenclature should be followed and domain names must be registered before hand.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development plug into the same solution in future). (vi) Security: Appropriate restrictions shall be built in to maintain State/ ULB specific user level security and user accesses. cloud computing etc for seamless addition hardware/ software to meet the requirements of ULBs in future and also to handle seasonal loads and future expansion. all the above key requirements. 24 .

2. Data Volume 50. Application/ Module Service / Function delivered 1 e.000 50 GB (Approximately equal to the number of births / deaths . and the technical architecture of each of these applications. along with business functions. which each of these modules would cater to. and Citizens.2 Application Architecture This section should provide details of all applications/modules that would be part of the solution.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Figure 1: Solution Architecture The DPR should define the solution architecture detailing below mentioned components: • Users • Access channels • Gateways • Presentation layer • Business services layer • Security layer • Data layer • External interfaces 4.a. No.g. Birth & Birth & Death Death registration Technology Stack Type & number of Users ---- ULB users. Users = 1 25 Transaction Volume p. Approx. The same should be provided as per below illustrative table: Table 17: Details of Application Architecture S.

an of day ) amount.2.gov.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development million reported in a (equivalent year) to the population of the ULB) 4.g Property Accounting Whenever Batch (Run Property someone at the end details. This information should be provided as per below table. along with the owner system.3 Information / Data Architecture This section should provide details of all important data entities/ data sets.g. Table 18: Details of Information / Data Architecture S.in. Father’s Name etc. No Data Brief Description Entity / Data Set 1 e.4 Type of Data Set Technolog to be y / Tool Interface exchang used ed None Technology / Deployment Architecture This section should provide details of various types of servers to be deployed along with the software components would be deployed on these servers. Tax pays tax. Originating Target Purpose Module / Module / Application Applicatio n 1 e. The DPR will also identify the 26 . Name Owner System Name of a citizen or an Birth & employee of the state / Module ULB Key Attributes Death First Name. No. that each of the application modules has with other modules. Please note that these data entities must comply with metadata and data standards notified by DIT on the website http://egovstandards. Last Name. This section should also provide details of all interactions/ interfaces. Table 19: Details of Application Interfaces S.2. This information should be provided as per below table. entry of the transactio same should n details be reflected in Accounts module 4.

For example. The deployment architecture should be able to be upgraded or replaced independently as requirements change.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development hosting facility (SDC / or third party data centre) for SLSS in this section. The public web server and the internal firewall a part of the public DMZ would be configured to render only those application pages that can be accessed publicly. Figure 2: Deployment Architecture 4. The following figure depicts the access path in case of external users: 27 .2. Suggestive three-tier deployment architecture has been provided below. • External users like citizens/business users would be able to access non-restricted areas of the application over internet.5 User Interface The DPR shall identify various types of user interface required while dealing with various stakeholders. Details on suitable technologies adopted to help in scalability of hardware and software should be provided here.

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Figure 3: Deployment Architecture: External users • Internal users of the Internal department would be connected through SWAN and would access the application over intranet. For the same. • Internal users of Other government agency communicating with the centralized application would access the applications via web services (over SSDG/SWAN).6 Network and Server Architecture In this section. The following figure depicts the access path in case of internal users: Figure 4: Deployment architecture: Internal users 4. the DPR shall provide details on: 28 . the DPR shall propose network architecture for connecting the SLSS.2.

• Interfaces that would be provided to external governmental agencies/departments viz. Location (n) Total . wherever available. Courts. etc. switches. or any local network service provider • Appropriate business to technical requirement mapping should be provided while discussing about solution infrastructure • Essential components such as routers.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development • Network architecture to connect the State Data Centre (SDC)/ third party data centre and various ULBs over State Wide Area Network (SWAN). State Police. • Infrastructure in terms of back-end. middleware and front-end Figure 5: Network Architecture Table 20: Network / Server Architecture for Proposed System Proposed (TO-BE) Scenario Description Location 1 Location 2 Back-end (including database management tools used) Middle ware (including application software) 29 Location 3 …. etc.

2.7 Security architecture The State DPR shall define security architecture for SLSS and its various components in this section.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Proposed (TO-BE) Scenario Description Location 1 Location 2 Location 3 …. For example: An illustrative security architecture for the centralized application and the various components have been shown as below: Figure 6: Security Architecture • User level security: Restricted areas of the application shall only be accessible over WAN • Network level security: Network traffic shall be encrypted using SSL & Secured connectivity to provide between the CFC/ ULB and the SDC 30 . Location (n) Total Front-end delivery channels (including application software) Network devices (the proposed network design should be provided schematically separately) Information Security 4.

protocols and technology that shall be adopted across various modules / applications.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development • Infrastructure level security: Application infrastructure shall be hosted in a DMZ & Firewalls and IPS shall be installed to detect/prevent unauthorized activities • Application level security: Role based access.g. General Systems Audit. encryption of user credentials. 4.8 Integration with SWAN & SDC This section should discuss integration of the application and the associated hardware with the SWAN and SDC.9 Service Level Agreements (SLA) & Monitoring Tool DPR shall identify and define the SLA to measure the performance standard and the processes executed through application solution.3. data. 4. The DPR should ensure that complete solution designed under this DPR should comply with these standards. 4.3 4. DPR has to also propose a mechanism and process to monitor the service levels at the State and ULB level to measure the SLAs. storing of User credentials for external and internal users in separate repositories Apart from the above the DPR shall provide details on: • Anti-virus and software patch management strategy. The DPR shall also identify any SLA monitoring tools to track SLAs at both state and ULB levels. and Applications Audit etc. Some of the salient points of this section will be: • Details about integrating the solution with the SWAN infrastructure • Details about the backbone on which all departmental and core applications would reside • Details about how the municipalities and other field offices can hook to the nearest PoP of the SWAN.1 Conformance to Standards Interoperability Standards This section should provide details of standards in terms of message formats. DIT is currently working on technical standards for interoperability. Vulnerability Assessment & Penetration Testing. • Security policies proposed to be applied • Frequency of review of various components of the infrastructure e.2. 31 . • Data migration and data security policy for the ULBs to move to the new system • Details about third party reviews of the infrastructure from “security” point of view.2. For example: • • • • • Percentage of availability of network Timeframe to respond to outages to revive critical business processes Remedies on outage of a problem Escalation procedures to the next level in case of breach of SLAs Any 24 x 7 x 365 monitoring of the entire solution As some of the service levels will be met at the State and some at the ULB level. through leased lines Details for the centralized access of key applications the State would host for the critical servers in the State Data Center (SDC).

2 Data Standards In this section. the DPR should provide details on the How the Operations would be managed and users provided support once the system is implemented. the DPR shall provide details on all key data sets & meta data. The DPR should ensure that complete solution designed under this DPR should comply with these standards.3. like Font standards are notified. the DPR should provide details on how the solution would be delivered to the ULBs. 4. and available at the DIT website. Care should be taken that the data definitions and standards of all important data entities should be in line with standards published by DIT.3 Security Standards Guidelines for security standards including biometrics and digital signature certificates are notified and available on DIT website http://egovstandars.4 IT Change Management In this section.5 Service Provision & Consumption by ULB’s In this section. a clear strategy of how all ULBs will be informed and migrated should be detailed out in DPR.gov.in 4. to ensure that appropriate security controls are in place to ensure the security of the applications.8 Roll out Strategy 32 . The DPR should provide details on any service levels.gov. the issue of version control should be addressed sufficiently.in.7 Support/ Help Desk In this section. 4.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 4. or the service consumer (ULB / private parties) would need to follow. The details on the approach that is adopted to facilitate this should be provided in this section. Some of the key points that shall be covered are: • Details of the data backup policy • Details of the Business Continuity and Disaster Recovery plan • Compliance with DIT guidelines on business continuity and disaster recovery 4. In case of a new version of software. These can be accessed at http://egovstandards.4 Localization Standards Localization standards. 4. The solution would be centrally deployed and ULB’s from mission cities across the state would plug into this solution. The DPR should provide details on the structure of the helpdesk. and channels through which this support would be provided. Since multitenancy architecture is chosen for the implementation of the software.6 Continuity Measures This section should describe the issues and risks surrounding the IT infrastructure (hardware and software) and the risk mitigation plan for the continuity of the services in case of unforeseen events.3.3. 4. All applications should comply with these standards to ensure common look and feel across various applications deployed in government. the DPR shall provide details on the IT change management strategy to be adopted once the centralized software application is adopted by multiple ULBs. that this helpdesk / support group is intended to maintain. 4. along with the steps that service provider (SLNA/ ASP).

details about the re-use of existing infrastructure shall also be provided. 4. The description of various options considered should be provided in Table 21below. and security standards being adopted) Option 1: Option 2: Option 3: Selected Option: 33 . This should include timelines and ULBs where the solution would be rolled out. front-end. this section shall provide details on various technology options available and provide an analysis on which technology to be adopted. The DPR should cover the following points: • Detailed costs benefit analysis of all the options.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development DPR should provide details on the strategy of rolling out the solution to remaining ULBs of mission cities in the state.9 Option Analysis After having a fair idea of overall architecture. While rating the options. • Reasons and details of the option selected. networking. Table 21: Option Analysis for Selecting Proposed Technology Detailed description of various options and reasons for selection/rejection (For example: Technology – including Back-end. The DPR should also define the strategy to roll out solution other ULBs of the state. middleware.

1 Need for Change Management Since. No. case to change.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 5. identification of various stakeholders. etc. risk. This may comprise of amending any of the personnel policies of the ULB or MA & UD. the DPR shall mention the key stakeholders identified in the Stakeholder Analysis exercise including key areas to be addressed for the overall change. All change management issues raised by the stakeholders from all quarters may be recorded and processed by the SLNA on a periodic basis. it will be essential for SLNA to have a structured plan in order to usher in the new changes. implementation. to enable the working group to define and frame work plan • Partnership with the Change Management Communicators . change readiness assessment. Capacity Building and Change Management Managing large-scale change programme for multiple ULBs simultaneously will pose various technical and cultural challenges for SLNA. scoping. communication. The DPR shall detail out the need for change management at various levels. along with the mitigating strategies. Table 22: Stakeholder Identification S. time. 5. procurement. To address these challenges. The costs specific to each item identified under capacity building should be included in the DPR. The Change Management Plan should be detailed and exhaustive to include the topics of governance. This section should detail out change management and capacity building plans of the ULB. monitoring performance. e-Governance program envisages fundamental attitudinal and technical change. monitoring cost. communication strategy. The DPR shall also comprise the critical issues envisaged by the SLNA in the change management process at both the SLNA and ULB.e. partnership. An example for the same has been provided in Table 22 below: For example: The State Implementation Consultant (SIC) shall be a primary stakeholder whose role and responsibility shall include ensuring all aspects of project management i.2 Identification of Stakeholders In this section. working groups. 5. change. Stakeholder Roles and Responsibilities 1 SLNA • • • • • • Define policies Approval of works/projects Monitoring Intervention Strategic decision making Dual role in Change Management Communication: Communication partners as well as audience 34 Training and Communication Needs • Change Management Impact • Shift in the Decision Making • Response time • Customer Orientation • Technical Training Training Strategy Communication Strategy • Wear • Communication the hat of both Training Partner and Audience • Long Term Training • Technical and Behavioral training. clearly demarcated of the policy changes. quality. human resource.

3. Stakeholder Roles and Responsibilities 2 Employees • 5. Elaboration on new roles and responsibilities.3 5. The State Implementation Consultant (SIC) shall assist the PMU at the state level and help in implementation and roll-out of the project. and relationships shall also be highlighted. Relationships with other departments/ stakeholders to understand the functional integration of departments needs to be provided. the DPR shall propose an organization structure at State and ULB for carrying out project. Roles and responsibilities of all key positions. 5. the DPR shall provide details of existing functional entities/ departments and their detailed organization structure at State and selected ULB. The proposed organization structure shall highlight how the gaps envisaged with the earlier structure have been overcome. The details of the existing number of employees under each functional entity shall be provided in DPR to understand the user base for various applications.1 Training and Communication Needs • Responsiveness • Customer Centricity • System and Data Operations Perform duties in timely manner • Interface with internal and external customers • Participate in defining policies Training Strategy Communication Strategy • Skill • and competency building through training programme • Long Term Behavioral and Short Term Rigorous Technical Training Awareness creation and sensitization of change through communicati on    Organization Structure Current Organization In this section. For example: The team formed at the state can act as the Project management Unit (PMU) reporting to a Project Steering Committee.3. various working groups. their objectives and reporting structure envisaged for the new organization structure needs to be provided. The SLNA can obtain guidance from the organization structure envisaged by MoUD for the programme as shown below. nature of the relationship between governing committees and stakeholders.3 Proposed Organization Looking at the current organization structure and future requirements. Special focus should be given to the IT Organization within SLNA as it will be the backbone of the entire project. No. committees.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. 35 .

sourcing plan.5 Training Strategy As sensitizing the e-Governance program to various stakeholders shall be a challenge for SLNA. The DPR shall mention the mechanism for staffing.5. roles.1 Training Need Assessment and Content Development In this section.4 Staffing and Deployment Strategy In this section. skill sets required. Change Management and M&E experts for the project. hence a tentative training strategy including Training Need Assessment (TNA) and delivery ensuring both internal and external stakeholders shall be envisaged in the DPR. 36 . The trainings may include functional. ULBs or any other department or appointment of external consultants. 5. technology. soft skills trainings etc. for identified stakeholders. the DPR shall provide the current and proposed staffing and deployment plan eliciting the staff strength. the DPR shall include a strategy on how training needs shall be assessed at the state and ULBs along with the detailed training requirements. DPR shall identify process specialists comprising of functional experts for the eight identified processes.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development State Level Steering Committee (SLSC) MoUD State e-Governance Mission Team (SeMT) Advisory SLNA Capacity Building Team SLNA Process/ Functional Team Technical Team Project Management Unit including State Implementation Consultant Application Service Provider (Implementation & Roll Out) Urban Local Bodies (ULB) Figure 7: Institutional Structure for State 5. Capacity Building. For example: Training needs can assessed at the state level considering the proposed organization structure at the state and ULB level and in consultation with the SIC (if applicable). role description of the proposed new positions and the deployment plan at relevant stages of the project. For example: The modus operandi for selection of staff can be by deploying or deputed from any of the existing SLNA team. duration etc for each team (Existing and proposed). 5.

5.g.3 Preparation of Training Schedule The DPR shall include tentative training schedule/ plan & frequency proposed for the various trainings to be conducted. 5. The DPR shall make provision for the customization and localization of the content at the state level at per the requirement of the state and the ULBs. 37 . For example: The delivery channels can be ATIs. the DPR shall provide a strategy to identify various delivery channels (e. best practices etc.2 Identification of Delivery Channels for imparting training In this section. 5.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development MoUD at the National level shall assist the State in identifying trainings and developing a skeleton for the content to be delivered for the e-Governance project.5.6 Knowledge Management DPR shall propose a knowledge management tool or any other mechanism for managing the critical content. for the project. in-house training centers etc. lesson learnt. 5. local educational institutes. training institutions) at the state and ULBs for imparting the proposed trainings to the various stakeholders.

1. DPR shall define M&E framework for the project implementation.1 Monitoring & Evaluation Framework In this section.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 6 Monitoring & Evaluation Monitoring and Evaluation (M&E) will help in the process of measuring. the State needs to identify its objectives for M&E at Project level at the State and ULB level. processing and communicating information to assist in project management decision making. • Initiation Phase • Implementation Phase • Post-Implementation Phase Hence. M&E will play a critical role in all the phases viz. collecting.1 Clearly defined Objectives In this section. Illustrative objectives at Project level has been presented in Table 23. of the overall project implementation. 6. A diagrammatical representation of the M&E process has been given in figure shown. Figure 8: M&E Process 38 . State shall either adopt for M&E framework defined for the program at the National level by MoUD or take guidance from the same. it is important for State to have an integrated and streamlined M&E Framework at State & ULB level. DPR shall provide the details in the same format. recording. Following steps shall be considered while designing M&E framework at State Level. 6. to have smooth and effective M&E system in place.

it has to identify a high-level committee at ULB level. M&E team and other co-ordinators needs be identified along with their roles and responsibilities. DPR shall provide the details in the same format.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Table 23: Objectives for Monitoring &Evaluation Stakeholder Illustrative Objectives State Program Level • Identify state coordinator for Monitoring and Evaluation of all ULBs • Define scope of M&E for state and ULBs in line with the M&E framework defined at National level • Create M&E plan and oversee its roll out (Physical and Financial progress)at State and ULBs • Design standard reporting templates for Monitoring for ULBs for capturing data for State and ULBs • Co-ordinate with MoUD and provide reports at regular intervals without fail • Provide guidance to involved stakeholders as and when required Project Level • • • • 6. deviations and risks Make interventions as and when required and make policy level decisions Define Organization and Identify Roles and Responsibilities For overseeing M&E at ULB. An illustrative organization chart for M&E with roles and responsibilities has been presented in table 24 below.2 Collect information (progress report) in specific interval Analyse and monitor the overall growth of project Identify and address challenges.1. Table 24: Roles & Responsibilities for Monitoring &Evaluation Role State Level Steering Committee (SLSC) State Level Nodal Agency (SLNA) • Illustrative Responsibilities Oversee overall progress of the project Circulate notices pertaining to department functionalities and co-ordinate with SLNA for high level intervention if required Chair review meetings with project In-Charge • Co-ordinate with MoUD for communicating overall M&E • Circulate the Quarterly Progress Reports prepared by MoUD to State Coordinator of M&E and ULBs Select State Coordinator of M&E Take policy level decisions and prepare guidelines and formats Monitor Fund release Monitor overall implementation at state and rollout in ULBs • • • • • • 39 .

3 Approach for M&E process Monitoring Components and its indicators identified will form input of project plan. System support team and Quality assurance team and send it to Project in-charge • Will monitor the progress for Capacity Building and Change Management Track successful completion of the training programs Assess effectiveness of trainings Assess effectiveness of communication campaigns Prepare monthly / quarterly status reports to Project InCharge • • • • 6. If any deviations found. compile and analyze the report from Hardware integration team. the milestones for various indicators would be monitored at regular intervals to determine the status. Figure 9: Approach for Carrying out Monitoring Process 40 . Collect. In case of any change in the project plan. An approach for monitoring process has been presented in the diagram. During the monitoring process. the same would be communicated with the output. Monitoring and Evaluation Provide direction and assist M&E team as and when required Handle critical project deviations and risks and devise resolution and Mitigation plans Make action plans for future Update progress status to project Steering Committee on a regular basis • • Would be responsible for Technical Monitoring of project.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Role Project In-charge • • • • • Technical Team Change Team Management Illustrative Responsibilities Overall in-charge of Program execution.1. control mechanism would be put into place to take corrective actions at the minimal required period to achieve the desired output.

Evaluation would also be carried on continuous basis after Program Implementation as ‘ExPost Implementation’ survey for continuous improvements till achievement of desired goals. process. DPR shall include details in the same format. Risks and Funds utilised) against pre-defined plan. Illustrative list of variables/ indicators for input. Timelines. • ‘WHAT’: Identifies what needs to be monitored and evaluated? State has to identify variables/ indicators for input. output and outcomes/ impact have been presented in table 25. process. Table 25: Approach for Monitoring &Evaluation Phases Input Process Output Outcome/ impact Variables/ Indicators • Define M&E framework • Define monitoring plan and schedule • Empowered committee formed • Process of identification of stakeholders • Vendor selection process • Customisation of software application • Testing and integration • Implementation • System Integration • Capacity building • Risk Management • Training of identified personnel • Opening of CFCs/ Kiosks/ Facilitation centers etc. The identified indicators would be measured/ verified (in terms of Progress. Figure 10: Approach for Carrying out Evaluation Process A suggestive approach for M&E would be divided into various sub-activities as mentioned below. Resources allocated.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Evaluation Evaluation would be carried out at post implementation stage as ‘End-Line’ survey. • Turn around Time 41 . output as a part of monitoring process and outcome/ impact as a part of evaluation process. Deviations.

so that the data collection is not repetitive or cannot be interpreted to obtain accurate results. • ‘WHO’: Identify key resources for carrying out the monitoring process. DPR shall include the details in same format. project review. Monitoring: ULB would use various modes for carrying out the monitoring process.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Phases • Variables/ Indicators • Number of visits required to the office per service per customer • Time taken to provide service • Percentage increase in revenue • Customer satisfaction level • Customer awareness ‘HOW’: Answers the various modes to be undertaken for Monitoring and Evaluation process. Illustrative data has been presented in table 26. The various modes would be: • Reports generated through the developed system • Feedback from Citizens • Surveys / Questionnaires • Engagement of 3rd party • Usage of self assessment forms • ‘WHEN’: Defines the frequency of reporting the results obtained from monitoring and evaluation ULB would determine frequency for reporting and would be appropriately spaced. Table 26: Monitoring Process: Ownership & Timeframe Process Responsibility Monitoring project timelines Monitoring quality Monitoring capacity building 42 Timeframe . An indicative list of such tools are mentioned below: • Framework defined at National level (Monitoring) • Schedule and Resource Plan defined in the planning phase • Online Tools at ULB level • Quarterly Progress Report formats developed at National Level • Standard formats developed at State level • Team meeting. feedback • Audit by outside agency like IRMA Evaluation: States would use the Performance Report cards in ‘Hand book for Service Level Benchmark on e-Governance in municipalities’ to report the progress in order to carry out Baseline and End line Survey.

the Risk Management Process may have the following five (5) steps as shown in the diagram. DPR shall define the process for Risk Management.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 7 Assumptions & Risk Management With the broad understanding of above sections. This will help the state to contain the risks in strategic and organizational context. DPR shall identify the objectives for risk management. Sustainability. a. DPR shall provided list of Strategic Level Risk in Table 27 below. In order to do so the DPR shall consider all dimensions of the project and its environment. Stakeholders involved against each shall be identified in advance. Stakeholders. the DPR shall identify and classify the risks that need to be acted upon. Security etc. Capacity Building. Procurement. the section on Assumptions and Risk Management would cover the following: 7. For example. For example: Risks can be at various phases of the project and can also be associated with various Technology. Risk Management Plan In the first step in the Risk Management Process. Risk Identification After defining the objectives. Based on the above. risks can broadly be classified into: • Strategy Level Risk • Project Level Risk and • Operational Level Risk Strategy level risk: This deals with risks resulting from a strategy level decision or change. Table 27: Strategy Level Risk Risk Policy Decision Examples • • • Policy coordination Central / State coordination and support unit Adopting standardized guidelines defined at National/ State level 43 Stakeholders Involved . An illustrative list has been provided for reference.1 • Risk Management Process • Organization management • Benefits envisaged management structure due for risk to risk Process for Risk Management In this section.

Table 28: Project Level Risks Risk Project Scope. Not addressing them will result in not delivering the expected results that can bring in desired benefits. contractors etc. DPR shall provide list of Project Level Risk in Table 28 below.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Risk Examples • Delay in release of funds Environmental/ Regulatory Risks • • • Administrative Risks Transfer of key officials Legal and Contractual Risks Stakeholders • • Leadership commitment Lack of co-ordination with MoUD/ State Financial Risk Stakeholders Involved Project Level Risk: This deals with risks related to the ability to understand and manage the project complexities and project environment. An illustrative list has been provided for reference for addressing the risks at Project level in line with the vision to achieve the desired objectives. monitoring and control Cost and Time overrun • • Inappropriate Cost Estimates Insufficient funds available • • Administrative Risks Improper or insufficient Legal and contractual risks agreement with the vendors. Stakeholders involved against each shall be identified in advance. Intellectual Property Rights Data Privacy and Security • • • • • • • • Improper integration with state infrastructure Improper Software application rollout Transactions not being auditable Inadequate accuracy or precision in Output levels Obsolescence of technologies 44 Stakeholders Involved . Planning and Management Financial Risk Environmental/ Regulatory Risks Technology Risk Examples • • • • • Managing complexity level in the project Incorrect Project scope identification Requirements and Scope Definition Project planning.

Stakeholders involved against each should be identified in advance. DPR shall provide list of Operational Level Risk in Table 29 below. The Project Manager or the Team Leader appointed by state would manage these risks on a day-to-day basis.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Risk Examples • Stakeholders Unavailability of connectivity up to the lowest level External stakeholders – Citizens Lack of co-ordination among stakeholders Indifferent attitude of stakeholders Lack of familiarity with the new system and policy changes Non acceptance of the system Effective communication between ULB and its stakeholders • • • • • • Achieving Outcomes • • Non-Compliance to citizens charter Meeting Service Level Benchmarks in terms of service delivery timeframe and service quality standards Meeting citizens satisfaction/ expectations • Human resources Stakeholders Involved • • • Changes in the Organizational Structure Ineffective awareness in staff Unclear Roles and Responsibilities with accountability Challenge with attitude and adaptability to change Capacity Building via various development modes and trainings Increase in Staff Productivity Information and knowledge sharing • • • • Operational Level Risk: These risks will arise out of day-to-day activities and management of the project from inadequate or failed processes. An illustrative list has been provided for reference. people. Table 29: Operational Level Risks Risk Roll out and Integration Examples • • Full scope not covered while performing quality testing Difficulty in integration with existing infrastructure 45 Stakeholders Involved . and systems or from external events.

DPR shall also identify the stakeholders (i. Lack of funds * Please note that the above-mentioned list of risks is an indicative list and DPR shall identify risks depending on the environment of State. and • Details of the impact.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Risk Organizational factors Examples • Day to day operations and maintenance • • Key members of the project moving out Personnel and training issues .e. social) of that event occurring? In this section. schedule. A risk assessment matrix may to be prepared combining the frequency/ likelihood and the impact. DPR shall describe the risk assessment criteria to be used by the State and also provide a rationale behind choosing the risk assessment criteria.skill shortage Additional staff responsibilities alongside project work • Data and information system Procurement Risks • • • • • • • Schedule/ Timeline/ Cost Overrun • • • • Stakeholders Involved Digitisation of legacy data Ready availability and accessibility of data and information Data and information quality Capacity to analyze data and utilize information Contractual issues Mismatch between the nature of task and procurement process Failure to deliver satisfactory results Unrealistic Schedules/ Timelines/ Cost Over-run in schedule deadlines and milestones Change in priorities towards the project . Risk Assessment and Evaluation Risk assessment would provide the: • Details on the likelihood (Probability and frequency) of the risk event to happen. 46 . cost or consequences (Economic. political. For each risk identified in above section. b. performance etc. who is involved or affected) against the risks identified. Thus. the DPR shall analyze the potential consequences/ impact and frequency/ likelihood of occurrence of the potential harm in terms of cost.

2 Low Risk will have low impact on Project.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Risk Measure = (Threat Impact) * (Likelihood of Exploitation) The values of the Risk Measure would be classified as High. Mitigation plan with strong monitoring process should be included. Some of these methods can be as mentioned below: • Avoidance : Not performing an activity that could carry risk • Reduction : Methods that reduces the severity of the losses • Retention: Accepting the loss when it occurs • Transfer/ Share : Transfer or share the risk with various partners involved 47 . Mitigation plan with strong monitoring process should be included. Table 31: Chart for Risk Ranking Score Risk Category Description 6. 9 Extreme Risk will have a high impact on Project and require immediate action for mitigation. Cost benefit analysis needs to be performed while devising the mitigation plan. Medium and Low based on the Risk Measure as shown below in table 30: Table 30: Calculation of Risk Measure Impact Low -1 Medium -2 High -3 (Score 1) (Score 2) (Score 3) Low Low Medium (Score 2) (Score 4) (Score 6) Low Medium High (Score 3) (Score 6) (Score 9) Medium High High Probability Low -1 Medium -2 High -3 The description of the value obtained from the Risk Ranking chart is as mentioned below. Risk Mitigation Strategy based on Risk Evaluation Matrix The DPR shall identify the risk mitigation strategy and plan for risks identified in above section. 4 Medium Risk will have moderate impact on Project. 1. c. 3.

Risks can be entered in the ‘Risk Logs’ which is to be reviewed in its entirety by ULB on a pre-determined frequency. Risk monitoring shall also include: • Assessing mitigation effectiveness • Reassessing exposure & new risks 48 . A sample of Risk Log has been attached at Annexure – 3. Risk Monitoring After identifying.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development d. assessing and preparing risk mitigation plan. it is very important to monitor the risks on periodic basis.

delivery channels that will be utilized by ULBs to access SLSS for delivering the services to citizens shall form the service delivery.1 Need for PPP In this section. 8. the infrastructure is owned by state while the application is developed and managed by the private partner. maintenance & operations of the SLSS in terms of application/ hardware/ network/ other infrastructure etc. shall form the service provisioning. webnative platform operated by the software vendor (either independently or through a third-party). the asset transfer on service termination of the private partner is very critical. Thus. the DPR shall identify the PPP arrangements for implementing e-Governance programme in partnership with private sector. For e-Governance in Municipalities program. Under such arrangement. • SaaS (Software as a Service): In this model. voluntary organizations. the public and private sectors work together to implement ASP model and build the networks and portals to provide e-governance services. self-help groups etc. The government contracts to avail the services of partner for delivery of services as per mutually agreed services levels and commercial terms. PPP can be envisaged in: • • Service Provisioning Service Delivery Service Provisioning: Service provisioning is the process of preparing and equipping a system to allow it to provide services to its users. Different models that can be envisaged in service provisioning are given below: • ASP (Application Service Provider): In this model. development.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development 8 Pubic Private Partnership (PPP) In this section.2 Lack of capital Inadequate infrastructure Technological complexities Lack of capacity & resources PPP for e-Governance Based on the above needs. The options range along a continuum within the extreme of almost complete ownership and responsibility of operations. the DPR shall define the need for PPP in context of the e-Governance project. In this model. people and places effectively and in agreed time-frame. . The term ‘private’ in PPP encompasses all nongovernment agencies including corporate sectors.. For e-Governance in Municipalities program. deployment. For example the needs can be: • • • • 8. DPR shall detail out the PPP arrangements that can be implemented either in part or as full service component. the DPR shall weigh the various options/ models available for PPP. private partner owns complete infrastructure and application and customers pay to access and use application over a network through a hosted. Service Delivery: Service delivery refers to making sure that the implemented solutions reach the stakeholders.

The options of the partners. While selecting the revenue model. they are entitled to share the cost saved. develops and implements the project.3 Engagement Models for Service Provisioning & Service Delivery • BOO (Build Own Operate): In this model. e. Collecting nominal charges for issuance of birth certificate. The parties agree to create a new entity by both contributing equity. Own. It is characteristic of this model to entrust the end-to-end responsibility to the selected partner i. in terms of the disposition of assets and control at the end of term are kept open till the end of period – sometimes called the concession period. the DPR shall understand the business requirements of a sample set of ULBs as the revenue model chosen based on study conducted for selected ULB might not be feasible or right fit for rest of the ULBs in the state. the basic idea of JV in PPP is sharing of benefits (joint) and risks (venture) by the public and private sectors in the long-term. which leads to large scale of savings in terms of staff and real estate. private party would make an initial investment in setting up systems and structures and in return would be allowed to charge based on the number of transactions. expenses. owning and operating the scheme for a defined period and then transferring the ownership to an agreed party. Few revenue models are explained below: • Transaction Based Approach: Under this approach. • Cost Saving Approach: This approach is specifically used where the Government brings about substantial changes in existing processes through extensive Government process reforms and use of information technology. • Fee Based Approach: Under this approach the private party would make an initial investment in setting up systems and structures and in return would be allowed to fix nominal charges (in consultation with government) for public services to be collected either from government or public. cost saving due to online processing of property transfer and registration document can be shared. and they then share in the revenues. and control of the enterprise. death certificate etc. most often. and Transfer (BOOT) model is a popular PPP model used to build and improve infrastructure.g.4 Revenue Model The DPR shall provide the details on selected revenue model envisaged under the PPP arrangements. Joint venture (JV) model implies co-operation of public and private sectors to provide services. • Joint Venture: A joint venture (often abbreviated as JV) is an entity formed between two or more parties to undertake any economic activity together. or a continuing business relationship. 8. The venture can be for one specific project only. e. or consortium (BOOT provider) for designing. Operate.e. A BOOT funding model involves a single organization. both the back-end and the front-end. Under this approach. entirely at its cost and operates the system for a pre-specified period. • BOOT (Build Own Operate Transfer): Build. However. 8. enhance efficiency and economic growth.g. capital investment and commercial risk with the public sector through joint responsibility to complete private responsibility. private party provides the initial investment along with their management expertise and in return. the preferred partner designs. 50 . building. funding.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development maintenance.

or finance the investment made by the private sector. (i) Roles and responsibilities: DPR shall clearly define role and responsibilities of all parties i. and may retain staff on the government’s behalf. the government may collect fees in exchange for direct advertising by a private company on a government website. in return for a fee. sharing of revenue can be based on licenses required. The DPR shall also address the some key considerations as details provided below. The advertising arrangements could be based upon a measurable outcome. This increased revenue can be used as a way to offset project costs.5 Key considerations The DPR shall provide details on how revenue arrangements can be made considering various types of services and their nature. • Shared Revenue Approach: The shared revenue approach is adopted where there are ways in which the government may generate new revenue from enhanced services. ULB and private partner. such as the number of users who visit or purchase items from the website advertised. • Licenses: For internal services as personnel management system and financial management. State Govt. the private sector is hired as a contractor to take over certain responsibilities of the Government. centre and private participant (iv) Financial Analysis: A Cost benefit analysis of PPP shall be carried out to explain the sustainability of the model in the future. • Advertising & Sponsorship Fee Approach: Under this approach. 8. 51 . For example: Role of the SLNA shall be creation of Policies for adopting e-Governance (ii) Key Considerations: Some of the key features of PPP implementation that shall affect the overall cost/revenue model for potential private partners are: • Ownership definition • IPRs • Asset Transfer • Entry / Termination provisions • Security requirements • Service level agreements • Confidentiality requirements • Business continuity requirements • Change management • Risks Involved in PPP (iii) Business Model: The proposed PPP shall clearly be explained in the areas of: • Service deployment plan • Demand projections and price elasticity of demand • Fees and fee setting mechanism • Revenue projections for the operator • Estimated investment (including phasing of investment) and operating costs • Proposed cost sharing arrangements between state.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development • Full Service Approach: Under this approach.e. indirect marketing or by sponsorship arrangements.

For example: Feasibility management of selected PPP option shall be defined in terms of following: • Analysis of a government commitment and community support for a certain option • Well-researched and negotiated legal contract • Strong regulatory and institutional environment • Analysis of the state of utility. which may support or oppose the implementation of the PPP options. existing regulation. financial viability and risks 52 .Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development (v) Feasibility Management: Feasibility Management shall provide clear information concerning all existing and expected factors.

Municipality. Employees of the above government organizations) Facilitators (i.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development 9 Project Implementation Strategy & Sustainability Plan Based on complete understanding of project. working conditions. time taken to receive services. An illustrative institutional structure at state is shown in figure 11. Table 32: Stakeholder Involvement Stakeholder and their Roles Example of Benefit Citizens • (e.1 Stakeholders Involvement DPR shall identify stakeholder groups. minimum wages. funding support. etc. their stake. • Ministry of Urban Development etc) • Ease of process Less workload Less paper work & no cumbersome manual processes Level of service provided.g. development partners. provision for customer care. 53 . etc Value perceived Municipality • (e. cost. technology infrastructure requirements. jobs.e.) 9. Municipal Corporation. etc • Capacity building. various stakeholders involved. involvement. local elected representatives. roles and relevant benefits accruing to them. NGOs etc. The section shall include following: 9. taxation. legislation.2 Institutional Structure Identify an institutional structure to guide the implementation and management of project at state and ULBs along with defined roles and responsibilities of each position.g. direct beneficiaries of the services provided by ULB etc. training institutes. environmental issues. Table 32 below illustrates some primary stakeholder and beneficiaries who are directly impacted by the services.e.) • Benefits in terms quality. • Employees • Job security. etc (i. this section shall include a way forward for project implementation & roll out and its sustainability after the mission period.

module testing etc. Development of modules for application including data preparation. Overall Integration. data migration. It should also include strategy on application roll-out in the remaining ULBs in mission cities and non-mission cities in near future. DPR should mention critical dependencies identified in the project and expected timelines for completion of key milestones. The details should be provided in Table 33 provided below.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development Figure 11: Illustrative Institutional Structure at ULB 9. 54 .4 Project Implementation & Rollout • • • • • • • 9. Deployment criteria (horizontally across all offices/sites involved or vertically with full functionality in one site on pilot / roll-out basis).5 Functional Requirement Study. Some of them are as following: • Selection of Software Development Agency / Application Service Provider • Selection of technology/ hardware/ network infrastructure • Selection of capacity building consultant 9. User acceptance testing & Go-Live STQC certification Capacity Building Roll out in selected ULB Delivery Channels Selection Project Phasing Strategy The DPR shall specify detailed quarter-wise schedule of phasing of project activities and schedule of implementation for each phase.3 Tendering and Bid Process Management The DPR shall identify and provide details on various tendering processes to be undertaken for implementing the project.

design of Service Level Contract and ability to enforce them for project consultant. sources of funds) & sustainability after 3 years. staffing. • Resource Sustainability In this section. The DPR shall also include details of existing charges levied by ULB & the volume of revenue (if any) for the service components for at least last three years. and the proposed charges & expected volume of revenue beyond three years. authentication/security of Private Partner transactions. • Procedural Sustainability In this section. training and replacing key technical staff to ensure the smooth project implementation. how the ongoing staffing costs be absorbed. DPR shall provide the information related to sustainability of the human resources deployed for the project. like Government commitments for O&M budgetary support. Table 34 mentioned below shall be filled in by the State & selected ULB for the different sustainability areas identified and the key factors considered.e. It includes tenure commitments of the key officials from the government.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development Table 33: Timeline Completion for Key Milestones Project Activities Responsibility Target Date Project Duration Year 1 Year 2 Year 3 and so on Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 9. 55 . Note: Since the Additional Central Assistance (ACA) is limited for only two years after the completion of implementation of project. • Financial Sustainability In this section DPR shall provide the factors considered for the financial sustainability of the project. the DPR shall provide information on processes and procedures that shall be followed for smooth functioning of the project. • Contractual Sustainability In this section. Strategy for hiring. DPR shall describe the procedural. and the source of the funding in case of a PPP failure etc. the State and selected ULB shall clearly mention the sources of funds and explain its proposed financial plan (i. vendors and private partners. suppliers. key technical staff identification. budgetary and contractual arrangements that will ensure sustainability of project and its outcomes during and beyond the mission period.6 Sustainability Plan In the sustainability plan. DPR shall provide the steps required for the issues related to legal and policy framework. ways to prevent monopoly of PPP.

Areas 1 Procedural Sustainability 2 Resource Sustainability 3 Financial Sustainability 4 Contractual Sustainability Description Key factors Action steps 56 .Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development Table 34: Sustainability and Key factors S. No.

Operational Cost 11. STQC certification 8. Particulars Quantity Unit Cost (in Lacs) Total Cost (in Lacs) A. Capital Investment 1.1 Detailed Bill of Material For State level solution The DPR shall provide detailed BOM (Bill of Material) separately under two categories i. Application Software 6. Hardware & Server Infrastructure Components 3.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development 10 Project Costing 10. System Software 5. GIS Components 7. Knowledge Management 11.e. Project Management 12. Capacity Building 57 . Monitoring Tool 9. It should be noted that: • The expenditure under “Miscellaneous” header will not be admissible. Table 35: State: Summary of Project Cost (Investment & Recurring Costs) S.No. Security Infrastructure Components 4. Others (if any) Total Capital Investment (A) B. Help-Desk 10. • ACA is for 3 years only (including one year of implementation). one time capital investment cost and recurring cost for every component for state level implementation in table 35 and 36. Network Infrastructure Components 2.

Particulars Year 0 (in Lacs) Year 1 (in Lacs) Year 2 (in Lacs) A.No. Licenses 15 AMC Quantity Unit Cost (in Lacs) Total Cost (in Lacs) Total Operational Cost (B) TOTAL COST (A+B) Table 36: State : Year-wise Expenditure Distribution S. Capital Investment 1 Network Infrastructure Components 2. Help-Desk 10. GIS Components 7.No. Knowledge Management 11. Operational Cost 11. Security Infrastructure Components 4.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development S. Network Connectivity 14. Particulars 13. STQC certification 8. Capacity Building 58 . Monitoring Tool 9. Hardware & Server Infrastructure Components 3. Application Software 6. Project Management 12. System Software 5. Others (if any) B.

Table 37: ‘Selected’ ULB: Summary of Project Cost (Investment & Recurring Costs) S. Particulars Quantity Unit Cost (in Lacs) Total Cost (in Lacs) A. System Software 5. Network Connectivity 14. Security Infrastructure Components 4. GIS Components 7.No. Customization of Application Software 6. Hardware & Server Infrastructure Components 3.2 Detailed Bill of Material For Roll out in ‘Selected ULB’ The DPR shall provide detailed BOM (Bill of Material) separately under two categories i.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development S. Capital Investment 1 Network Infrastructure Components 2. Others (if any) Total Capital Cost (A) 59 .e. Licenses 15 AMC Year 0 (in Lacs) Year 1 (in Lacs) Year 2 (in Lacs) TOTAL COST: 10.No. It should be noted that • The expenditure under “Miscellaneous” header will not be admissible • Detailed assessment of the existing infrastructure also needs to be provided • ACA is for 3 years only (including one year of implementation). Particulars 13. one time capital investment cost and recurring cost for every component for the state level implementation in table 37 and 38 for the ‘Selected ULB’ too for the permissible components specified under JNNURM.

Particulars Quantity Unit Cost (in Lacs) Total Cost (in Lacs) B. Capacity Building 10. Others (if any) Total Capital Cost (A) B. Operational Cost 8. Capital Investment 1 Network Infrastructure Components 2. Others (if any) Total Operational Cost (B) TOTAL COST (A+B) Table 38: ‘Selected’ ULB: Year-wise Expenditure Distribution S. Licenses 12.No. Hardware & Server Infrastructure Components 3. System Software 5. Network Connectivity 11.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development S. AMC 13. Security Infrastructure Components 4. Operational Cost 60 . Project Management 9. Customization of Application Software 6.No. Particulars Year 0 (in Lacs) Year 1 (in Lacs) Year 2 (in Lacs) A. GIS Components 7.

Lakhs) (Rs. Project Management 9. The SLNA/ ULB shall provide details of the existing charges levied by ULB and the volume of revenue (if any) for the service components of at least last three years and the proposed charges and expected volume beyond the three years. Year 0 (in Lacs) Particulars 8. as per the Table 39 below. 61 . ACA. Others (if any) Year 1 (in Lacs) Year 2 (in Lacs) Total Operational Cost (B) TOTAL COST (A+B) 10. the State & selected ULB shall clearly mention the sources of funds and explain its proposed financial plan after 3 years. Lakhs) Year 1 Year 2 Year 3 Total Since the Additional Central Assistance (ACA) is limited for only two years after the completion of implementation of project.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development S. Details on other sources of funds (if any) shall also provided. Lakhs) Other Sources of Funds (If any) Total (Rs. Capacity Building 10. i. Licenses 12.No.3 Financing Plan The year-wise breakup of source (Central Government / State Government/ ULB/ Other including private sector support) . Network Connectivity 11. Lakhs) (Rs. State assistance. external aided. the amount of funds and the form of assistance (Centrally Sponsored Scheme. Table 39: Financing Plan (Central/ State / ULB share) Period Centre State ULB Amount Amount Amount (Rs. AMC 13. the sources of funds / financing plan to sustain the project. etc) over the project life. shall be provided.e.

JNNURM? 4 Provide Organizational structure details in the SLNA: S. No.Model Guidelines for State Level DPR for implementation of e-Governance in ULBs under JNNURM Ministry of Urban Development 11 Annexures 11.1 Annexure 1 .Checklist for State Level Nodal Agency 1. 1 Proposed by (month-year) 1 5 Existing Any other (Pls specify) Existing Proposed by (month-year) Remarks/ Role . Domain Expertise Information Technology 2 Process Champions 3 Capacity Building 4 Urban Planning 5 Monitoring & Evaluation 6 Any Other (please specify) Component State e-Governance Mission Team (SeMT) 2 State Implementation Consultant (SIC) 3 Remarks/ Role Interface with State Level Institutions: S. No. Planning Phase (A) Process: 1 Is the organization structure defined to ensure process re-engineering in the DPR? 2 How are the processes standardized across the State? 3 How has the BPR been done for the identified services under NMMP.

SDC. No. of 3 applications) 4 Common Server side hardware 5 Common Server side software licenses 6 Any other (pls specify) 7 Features of Application: S. State portal etc. No. and the other software standards described under the NeGP programme been applied in the software application? 3 Is the application proposed integrated with other State Mission Mode Projects like e-Procurement. SWAN. SSDG.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development (B) Technology: 1 Does that software application proposed support multi-tenancy for all the ULBs in the State? 2 Have Open Standards. Component 1 STQC certified solution 2 Customized/ Existing Bespoke development 3 Platform / technology 4 Scaling up facility 5 Interoperability with other applications 6 Integration with existing 63 . Component Existing Proposed by (month-year) Remarks Proposed Remarks Project Management/ 1 Implémentation Unit (PMU/ PIU) System Integrator/ Application 2 Service Provider for application(s) deployment Common Application(s) (No. and other internal functions? 4 Have exhaustive details regarding the software solution design been provided as part of the DPR submitted? 5 Is the Disaster Recovery site and processes identified? 6 Framework for common application across the state – following details are to be provided: S.

Implementation Phase 1 Details to be provided for the following personal and process: S. Component 1 Domain experts 2 IT skills personnel 3 e-Governance personnel 4 Personnel for interface with ULBs Existing Proposed by (month/year) Remarks 64 . 1 2 3 4 5 6 7 8 Component Usage State Wide Area Network (SWAN) State Data Centre (SDC) Vertical and Horizontal linkages for ULBs at District and Block level Hosting of the centralized application(s) at SDC Integration with state portal by ULBs State eProcurement portal National Urban Information System (NUIS) scheme State Portal State Service Delivery Gateway (SSDG) e-Forms Existing in the State/ Proposed to be in place by (month/year) Utilization mentioned in DPR For GIS components Linkage of the all the ULBs with state portal For service delivery For process standardization Any other (pls specify) 2. No. No.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. Component Existing Proposed Remarks State portals/ initiatives 7 8 Any other (pls specify) Common Infrastructure of the State to be utilized by ULBs: S. No.

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. revenue model and service delivery model considered in the DPR? 5 Following details are to be provided for Public Private Partnership (PPP): S. No. Sustainability Phase (Operations & Maintenance) 1 Have the NeGP Guidelines for Operational Model for implementation of State MMPs and (Replicable Central/ Integrated MMPs) by the Line Ministries/State Department been followed? 2 Have the DPR consider PPP for all the service provisioning & delivery components (Application. No. 1 2 3 4 5 6 7 8 Component Existing Proposed Remarks State Level PPP arrangements PPP Service Provider Engagement Model Service Provisioning Model Service Delivery Model Revenue Model Contract Management Operations & Maintenance Arrangements Any other detail (pls specify) 4. Monitoring and Evaluation 1 Has the Steering Committee been formalized for monitoring of the project at all levels (ULB & SLNA)? 2 Has the Monitoring & Evaluation committee be identified and informed? 3 Has the base line survey been done for the identified service across State? 65 . IT infrastructure. Delivery infrastructure)? 3 Have the service levels for PPP framework like Availability/ Accessibility/ Reliability been defined? 4 What are the engagement model. Network. Component 5 Training need analysis 6 Training institutes identified Process standardization 7 8 Existing Proposed by (month/year) Remarks Any other (pls specify) 3.

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

11.2

Annexure 2 – Functional Requirement Specifications

Note: Indicative functional specifications for the proposed centralized e-Governance application has
been provided below based on MeDD guidelines. However, functionality for the proposed solution
shall be prepared in light of the pilot study conducted across the state based on the Municipal Acts and
Bye-Laws.
1.1

Birth & Death Registration Module

S.
No.

Requirement

Existing
Module
(Yes /
No)

Proposed
Module
(Yes /
No)

Existing
Module
(Yes /
No)

Proposed
Module
(Yes /
No)

User Authentication
1

First level of security
The municipal corporation users to have access to various databases and
to query on the different master maintenance tables based on the userids and passwords.
2
Second level of security
The usage of pin codes, Token and key, Biometric Authentication
Methods such as Finger Print Technology etc for second level of
authentication may be considered and justification is to be provided for
the same
Master Maintenance
3
4

Details of Hospital details (Addition/Modification/Deletion/ Search).
Details of Registrar
(Addition/Modification/Deletion/ Search).
5
Details of maintaining Fees for Birth and Death
(Addition/Modification/Deletion/ Search).
6
Details of Birth Delivery
(Addition/Modification/Deletion/ Search).
7
Details of Birth application details (Addition/Modification/Deletion/
Search).
8
Details of Cause of Death (Addition/Modification/Deletion/Search).
Birth Registration
9
10
11
12
13

S.
No.

Ability to add/modify/delete the Birth details
Ability to generate the Birth Registration Slip.
Ability to facilitate the inclusion of the Child’s Name, if not provided
during registration.
Ability to cancel the Registration details.
Ability to facilitate the capture the request for Birth certificate and
retrieve details of the applicant based on the Registration Number
Requirement

66

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

Death Registration
14
15
16

Ability to add/modify/delete Death details.
Ability to generate the Death Registration Slip.
Ability to cancel the Registration details. Remarks can be added with
the cancelled record
17 Ability to facilitate the capture the request for Death certificate and
retrieve details of the applicant based on the Registration Number
MIS & Reports
18

19
20
21
22
23
24
25
26
27
28
29
30
31
32

Various reports information of Birth registrations based on Registration
No, Registration Date, Date of Birth, Issues , Non-Issues Month & Year
–Wise
MIS for Actual time taken for issuing a Birth/ Death
MIS for total number of birth/ death certificates re-issued without
service charge
MIS for Accessibility/ Availability of facility centers
Reports births Sex Wise in a particular year
Reports on Father’s Literacy wise in a particular year
Reports on Father’s Occupation wise in a particular year
Reports on Mother’s Literacy wise in a particular year
Reports on Mother’s Occupation wise in a particular year
Reports on Year-Wise Issues
Various reports can be generated Year of Death-wise based on Date and
Cause of death
Reports of Deaths based on Occupation-wise in particular year
Reports of Deaths based on Sex-wise in particular year
Reports of Deaths based on Cause of death-wise in particular year
Reports of Deaths based on Issued and not issued between two specified
applied dates

67

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

2.1
S.
No.

Property Tax Module
Requirement

Existing
Module
(Yes / No)

Proposed
Module
(Yes / No)

User Authentication
1

First level of security
The municipal corporation users to have access to various databases
and to query on the different master maintenance tables based on the
user-ids and passwords.
2
Second level of security
The usage of pin codes, Token and key, Biometric Authentication
Methods such as Finger Print Technology etc for second level of
authentication may be considered and justification is to be provided
for the same
3
Entry of new records, modify existing records, delete existing
records.
Inclusion of New Assessee
4
5
6
7

Entering/ adding the applicant details for new assessment.
Generation of a new assessment application acknowledgment receipt.
Facility of modifying/ deleting an existing record.
Generation of the special notice to the assessee indicating the amount
of tax to be paid.
8
Entering of the revision petition application into the system.
9
Generation of the acknowledgement for the appeal petition
application received.
10
Facility of entering the appeal petition hearing date into the system.
Change of Ownership
11

Facility of entering/ adding the application details for title transfer of
property.
12
Facility of issuing an acknowledgement.
13
Facility of modifying/ deleting an existing record.
13
Facility of entering/ adding the field verification details for title
transfer property.
14
Enter/add the approval details for title transfer property
15
Enter/add the fee payment details for title transfer property.
16
Facility of generating the endorsement for the title transfer property
after the property is transferred and the fees is paid.
Assessment & Collection of Property Tax – By ULB and citizen interface
17
18
19
20
21

Calculation of Property Tax to be levied based on the building type,
area, usage details etc.
Change property tax computations and determine arrears/refunds etc.
with proper controls/ authorization.
Facility of modifying/ deleting an existing record.
Enter/add the assessment details and property tax levied.
Enter/add the Arrear details and property tax levied for assessment.

68

30 Entry of the penalties details. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) 22 23 Generation of the details of Property Tax paid for the assessment. Generation of enter/ add the application details for exemption from property tax. No. Direct bank remittance) • Election Ward wise Collection • Locality wise Collection • Penalty on Late Payment Collection 69 . 24 Enter/add the application details for vacancy remission from property tax. 25 Facility of entering/ adding the application details for write-off from property tax. 29 Entry of the property modification details. Master Maintenance 32 Details of Revenue Zones (Addition/Modification/Search) 33 Details of Revenue Wards (Addition/Modification/Search) 34 Details of Revenue Blocks (Addition/Modification/Search) 35 Details of Locations (Addition/Modification/Search) 36 Details of Apartments/ Complexes (Addition/Modification/Search) 37 Details of Nature of Use of the Buildings (Addition/Modification/Search) 38 Details of Building Classification Type (Addition/Modification/Search) 39 Details of Roof Type Master (Addition/Modification/Search) 40 Details of Wall Type Master (Addition/Modification/Search) 41 Details of Floor Types (Addition/Modification/Search) 42 Details of Unit Rates (Addition/Modification/Search) 43 Details of Tax Rates (Addition/Modification/Search) 44 Details of Depreciation Rate (Addition/Modification/Search) 45 Details of Bill Collector Master (Addition/Modification/Search) 46 Details of Service Tax master (Addition/Modification/Search) 47 Exemption details master (Addition/Modification/Search) 48 Occupier details (Addition/Modification/Search) 49 Details of Bank Master (Addition/Modification/Search) MIS & Reports 50 Field Verification Checklists 51 Special Notices 52 Demand Notices 53 Collections: • Bill Collectors Collection(Counter Collection. 31 Capturing of the approval details.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. 28 Updation of the assessment database based on the field verification details. 26 Facility of issuing an acknowledgement. General Revision of Assessment 27 Accepting requests for Revision.

54 55 56 57 58 59 60 61 62 Requirement Existing Module (Yes / No) Proposed Module (Yes / No) • Penalty on Unauthorized Construction • Revenue Block wise Collection • Revenue Ward wise Collection • Revenue Zone wise Collection • Street wise Collection. Row Housing Detail Building Age wise Assessment List Monthly List of Buildings Requiring Levy of PT or Revision of PT Occupiers Notice Details Occupiers Other Than Owners Tax Section Circle No. Other Notices • Final Notice • Warrant Notice.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. (Property details by the owner) 70 . Group Housing Details. No. Complex Details. Apartment Details. Certificates • Ownership Certificate • Valuation Certificate. Registers • Arrears Register • Area Base Register • DCB Register • Exemption Details Register • PT Register • Register of Appeals for the Year • Register of Distraints • Register of Warrants • Remittance/Daily Col Register • Receipts/Payments Register of PT for the Year • True Extract of PT Demand Register • Vacancy Remission Register • Write Off Register.

Biometric Authentication Methods such as Finger Print Technology etc for second level of authentication may be considered and justification is to be provided for the same New Water tap Connection 3 Acceptance and maintenance of the application details (Addition/Modify/Search/Cancel). 14 Generation of the field verification checklist. 12 Facility of modifying/ deleting an existing record. 8 Tracking the application/file status of the applicant. 5 Generation of the field verification checklist.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 2. Closing/Holding and Reconnection 26 Capturing of Applications. 20 Maintenance of the details of arrears. Requirement No. 16 Entry of the approval and remarks of the AE/ME. Token and key. 17 Tracking the application/file status of the applicant. 6 Entry of the details regarding the field verifications. 13 Generation of an application acknowledgment receipt. 23 Maintenance of the advance charges 24 Facility of modifying/ deleting an existing record 25 Facilitates printing of demand notices. 18 Order details for change of usage.2 Water Supply Module S. Assessment and Collection of Water Tax 19 Calculation of water charges. the details for Closing/Holding/Reconnection 71 . 22 Details of the payment collected from the consumer. 7 Entry of the approval and remarks of the AE/ME. 21 Generation of demand notices. Change of Use 11 Facility in entering/adding the application details for Change of use. 2 Second level of security The usage of pin codes.. Existing Module (Yes / No) Proposed Module (Yes / No) User Authentication 1 First level of security The municipal corporation users to have access to various databases and to query on the different master maintenance tables based on the user-ids and passwords. 15 Entry of the details regarding the field verifications. 4 Generation of an application acknowledgment receipt. 9 Order details for new connection. 10 Capturing of the meter reading as on date for metered-connections.

30 Tracking the application/file status of the applicant. 29 Entry of the approval and remarks of the AE/ME. Existing Module (Yes / No) Proposed Module (Yes / No) 27 Generation of an application acknowledgment receipt. Details of Charges (Addition/Modification/Search) Details of regularization penalty (Addition/Modification/Search) Details of Enclosure document (Addition/Modification/Search) Details of Demand and penalty period (Addition/Modification/Search) 48 Details of penalty (Addition/Modification/Search) 49 Details of slab rates for metered connection Master (Addition/Modification/Search) 50 Details of slab rates for non-metered connection Master (Addition/Modification/Search) 51 Details of bank master (Addition/Modification/Search) 52 Details of bulk sanctions Master (Addition/Modification/Search) 53 Details of probable days of Application processing Master (Addition/Modification/Search) 54 IDs such as Water Tax ID and Property Tax ID (Addition/Modification/Search) and mapping of these IDs MIS & Reports 55 56 57 58 59 60 61 62 63 Acknowledgment for application Intimation letter or proceedings for tap connection Work order Consumer register (All Water Tap Connections Details) Disconnection Notice for unauthorized Connection Disconnection Notice for existing Connection List of Tap Connections Sanctioned in Specified Period Demand Register Arrear Demand Register (All Water Tap Connections Arrears list) 72 . Master Maintenance 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 Details of Revenue Zones( Addition/Modification/Search) Details of Revenue Wards( Addition/Modification/Search Details of Revenue Blocks ( Addition/Modification/Search) Details of Locations (Addition/Modification/Search). 31 Order details for Closing/Holding/Reconnection. Requirement No. 28 Generation of the field verification checklist. Details of Bill Collector (Addition/Modification/Search) Details of Application Type (Addition/Modification/Search) Details of Connection Types (Addition/Modification/Search) Details of Water Sources Types (Addition/Modification/Search) Details of Usage Type (Addition/Modification/Search) Details of Pipe Size Master(Addition/Modification/Search) Details of Security Deposit Master (Addition/Modification/Search) Details of Meter Cost (Addition/Modification/Search).“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S.

Requirement No. 66 67 68 69 70 71 72 73 Existing Module (Yes / No) Proposed Module (Yes / No) Existing Module (Yes / No) Proposed Module (Yes / No) Location wise collected Water charges Zone wise collected Water charges Arrear Details individual list Report for all Water Tap connections DCB Block wise DCB report. 64 Preprinted Demand Notice 65 Bill collector wise collected Water charges S. Requirement No. Individual DCB report Modification /Reconnection Details report Assessment Register details 73 .“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S.

74 . Existing Module (Yes / No) Proposed Module (Yes / No) User Authentication 1 First level of security The municipal corporation users to have access to various databases and to query on the different master maintenance tables based on the user-ids and passwords. Token and key. number of days within which the grievance needs to be addressed and nature of grievance whether it is financial or non-financial . 4 Ability to maintain the statuses of the grievances registered in the Municipality (Add/Modify/ Search). 2 Second level of security The usage of pin codes. Grievance Registration 10 11 12 13 14 Ability to accept applications. 5 Ability to maintain the details of work/application that has not been addressed within the prescribed time. Biometric Authentication Methods such as Finger Print Technology etc for second level of authentication may be considered and justification is to be provided for the same Master maintenance 3 Ability to maintain different types of grievances caused to the citizens. (Breach of SLA). generate unique grievance id and generate acknowledgement and verify status with the unique grievance id Ability to allow section heads to allot the grievance to the concerned officer responsible and update the status of the registered grievance Ability to update the status after each level of necessary action has been taken Ability to verify the specified time limit of grievance Re-dressal and calculation of compensation to be paid to citizen as per time limit Ability to integrate with other modules such as Property Tax. 8 Ability to maintain ULB wards details 9 Ability to map each application is related to a particular departmentsection. Water Tax using the unique Grievance ID.1 Public Grievances S.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 3. department or section that needs to address the grievance. 7 Ability to maintain the compensation details from the Officer Responsible and payment details to the citizens if the applications are not processed within the prescribed time. Requirement No. number of days of delay and compensation paid per day in case of delay in SLA of the grievances registered in the Municipality (Add/Modify/ Search) 6 Ability to maintain the details of officers designated to redress grievances mapped to the department-section.

Status by source of complaint. Grievances raised to public disclosure. Survey report for Awareness levels among Citizens about the Grievance cell. Statistics Report on section-wise number of grievances received/ handled/ pending/ disposed (Type wise/Zone wise/ward wise) and the details of staff attending it. 75 . Grievance Disposal Register department wise Grievance Status Summary Action taken reports Analytical reports for Performance evaluation as an ULB and department wise. Existing Module (Yes / No) Proposed Module (Yes / No) MIS & Reports 15 16 17 18 19 20 21 22 23 24 25 A section wise grievance register is printed for a given period with its status. Requirement No. Department-wise compensation paid along with Response Time for Grievance Resolution.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. Department wise SLA Parameters.

Biometric Authentication methods such as Finger Print Technology etc for second level of authentication may be considered and justification is to be provided for the same Building Plan Approval 1 2 3 4 5 6 7 Ability to add/update the following information in the system: • Application type name • Category name • License category name • Layout category name and category description • Surveyor/licensed architect • Revenue village name • Circle Division Master • Zone/Ward Enable applicants to fill and submit the building plan application online and to attach necessary drawings in the soft copy. and Certificate and Document Verification Report. Building Plan Approval S. licensed architect information. applicant details. Facilitate entering of the building application details such as applicant information. date of inspection. 2 Second level of security The usage of pin codes. Fee & Charges Calculations. Allow municipal officials to access/download the same for verification of particulars. etc. Further system should facilitate generation of an endorsement or building permission order to the applicant. Enable staff to enter required documents for building permission based on the height of the proposed structure. Various categories based on the height should be allowed to be entered.). inspector details. applied for. Facilitate checking and assessing the balance fee charges for an applicant and calculate the total amount to be paid. Facilitate checking of the physical documents submitted by the applicant for building plan approval. based on 76 .“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 4. Facilitate entering of the inspection and scrutiny details for the building plan permission such as the Site Inspection Report (fields such as application no. Based on these an acknowledgement should be generated and given to the applicant. application date. building information.. building category. and the technical and fee details. Token and key. No. usage. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) User Authentication 1 First level of security The municipal corporation users to have access to various databases and to query on the different master maintenance tables based on the user-ids and passwords.

Court Cases. Grievance Redressal. Generate application reference for Building Plan Application/ Layout Application for the applicant and facilitate online tracking of the status of the application. Generate application number for the applicant to be used by him for online tracking of his application’s status. licensed architect. 10 Enable integration of the module with the following module to facilitate exchange of data: Property Tax. Facilitate entering of the nature and details of unauthorized construction. No. Facilitate adding/updating the required mapping documents for layout permission. if any. Project/ward works. Facilitate checking and assessing the balance fee charges for an applicant and calculate the total amount to be paid. of Properties Affected • No. Facilitate entering of the inspection and scrutiny details for the layout permission. Facilitate entering of the layout application details such as applicant information. physical layout details. 11 Track delays in approval steps and maintain an audit log of the approval process steps. Water Tax.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. Further. Advertisement Tax. Enable applicants to fill and submit the layout approval application online along with provision to attach necessary drawings in the soft copy. 13 Ability to track arrears due to the ULB and the robustness of the system needs to be maintained Layout Approval 8 1 2 3 4 5 6 7 8 Enable to enter the required documents for layout permission. 9 Online help should be available to the user for each system function. and schemes. and the technical data and fee details. Topics covered in the user manual shall also be available through the online help. facilitate entry of the notice details in relation to the same. Assets & Inventory. of Consents Taken 77 . Vacant Land Tax. on the layout. File Movement. Trade Licenses. 12 Ability to check for pending taxes if any – add as functionality – interface. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) the scrutiny. Financial Accounting. Facilitate online verification of the documents submitted for layout approval. • Name of Road • Length of Road • Existing Road Width • Proposed Road Width • Affected Road Width • Municipality • No.

of Structural Compensation Paid No.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. on Road Widening Facilitate entry and maintenance the following details by the system in relation to the approved layout: • Reserved Open Spaces • Bus Bays • Parking Lots • Play Grounds • Junction Improvements • Encroachments • Drains • Water Supply • Sewerage • Electricity Lines 78 . Requirement • • 9 10 Existing Module (Yes / No) Proposed Module (Yes / No) No. No. of Structural covered by Court Order Facilitate entry of and maintenance of following data. at a minimum.

approvals. 79 . Allow tracking of the indent throughout the creation and approval cycle using the unique indent number. Facilitates hierarchy based workflow in the system for creation and approval of the indent. Procurement & Monitoring of Projects 5. rejections. etc. Allows attaching of supporting documents with the online approval order. No. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) User Authentication 1 First level of security The municipal corporation users to have access to various databases and to query on the different master maintenance tables based on the user-ids and passwords. rejected. 4 Provides online templates for the indents &estimate preparation. region. 6 Facilitates storing of the Schedule Of Rates (SOR in the system). value. MIS: Support generation of reports on: Indents created. Biometric Authentication Methods such as Finger Print Technology etc for second level of authentication may be considered and justification is to be provided for the same Create Indent 1 2 Facilitates online creation of the works indent. etc).1 e-Procurement (Works) S. and reasons for the same. Approve Indent 1 2 3 4 Facilitates online review of submitted indent by the relevant approver and capture comments of the approvers at each stage. Captures references of all indent actions (creation. Indents approved. Supports use of Digital Certificates for providing administrative approval and technical sanction online. by type of work. 2 Second level of security The usage of pin codes. 7 Integration with existing budgeting/project management module or back-office application. 3 Allows linking of the indent with the overall project code.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 5. Token and key. 5 Facilitates upload of documents and plans.

open. 12 Facilitate time-tracking based escalation in case of delays at any stage of approval. disallow viewing of a bid by the department staff before the bid opening date. etc. 4 Allows registered contractors to log-on to the e-Procurement website for submission of bids. statements. 10 System automatically disallows downloading of tender form beyond the last date of procurement of tender document. as decided by the State. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) Prepare and Publish NIT 1 Facilitates online creation of the NIT. 80 . 4 Ability to seamlessly integrate with the indenting module.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. 6 Allow to specify the minimum requirements to be fulfilled by a bidder against each evaluation parameter. restricted) at the time of NIT creation. tender document fee. 8 Allow selection of multiple bid evaluation stages. and the decisions made. and tender forms. 14 Allows upcoming. 11 Allow online submission of the draft NIT to the competent authority for approval. Receive Bids 1 Allows intending bidders to download the tender document from the e-Procurement website without paying the tender document fee (or on payment as decided by the State). 13 Supports online review and approval of the draft NIT. list of bidders. 7 Allows the bidder to bid against a parameter. 18 Online generation of reports regarding sale/download of tender docs and receipt of fees/EMD. if the bidder does not fulfill the minimum requirement specified against that parameter. 5 Facility to select the type of tender (single.. 3 Able to able to upload a tender document to the system. open. No. 9 Facility to enter the tender schedule in the system. etc. and awarded tenders to be posted on the eProcurement website 15 Viewing of the NIT requires the login information of the enlisted contractors. 5 Provides templates and support multiple contractors bidding as a consortium. comments at various stages of evaluation. 2 Provides library of forms/templates for NIT. 16 Facility to upload multiple corrigendum and addendum linked to the original NIT. 3 Allows registered contractors to upload and store the frequently required certificates. The online template (form) should provide relevant fields to facilitate easy entry of information by the creator. 17 Allow tenders to be tracked throughout their lifecycle in terms of stage of processing. etc. 2 Provides Integration with payment gateways for online payment of EMD.

then again at the time of submitting the price bid. Commercial and Techno-commercial evaluation stages). Facilitate viewing/downloading of bid evaluation results and bids of other qualified bidders. depending on the evaluation stage. contractor’s terms & conditions (where requested in NIT). & region-wise. 7 Facilitates double authentication of the bidder using Digital Certificates: first at the time of login on system. Dynamic Pricing (Auction) 81 . 15 MIS: Support generation of reports on: Tenders floated by value.g. Supports workflow for evaluation. Support automatic evaluation of technical and price bids by the system using pre-specified criteria. and approvals (from competent authorities. and other data on the project along with the bids. No. and tender committee.). Record comments from all approvers at different stages of evaluation. Archiving of the entire tender proceedings as per the IT Act. System recommends L1 for selection by default. 8 System does not allow a bidder to submit a bid or to edit an earlier submitted bid beyond the last date of bid submission. On rejection of a bid at any stage. Supports automatic/manual revision of the list of eligible bidders for sending out alerts for online tender opening event. from NIT creation to bids received and selected. Support online viewing of tender opening event simultaneously by remote bidders (e.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. 2000. tender committees. Technical. etc. 9 Provides functionality for holding pre-bid meeting online. type of work. Evaluate Bids & Award Contract 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Supports online access and viewing of bids by the Inviting Officer on the scheduled date & time of bid opening. system makes it mandatory for the competent authority to provide valid reason for the same. in the form of chat). System allows evaluation & compilation of the common set of terms & conditions. 10 Allow contractors to track the status of their bids online using the bid submission number 11 Audit trails for entire tender lifecycle. Supports separate workflows for bid evaluation based on number and type of stages employed (Pre-Qualification. technical specifications. based on the result of the initial stages of evaluation. Facilitates system tracking of the evaluation process. Generate compliance matrices and comparative charts of received bids to aid in evaluation by the Inviting Officer. etc. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) 6 Facilitates upload of drawings.

Show in real-time the time remaining for close of the auction up to the last second to both department administrator and participating bidders. if decided by the department. delete. by the bidders. and spreadsheets attachment with each auction item. Supports display of images or multi-media content. Departmental Originator. Allow generation of MIS on types of auctions and results. highest/lowest quantity wins etc. assigning weights to different variables and use of formulae in an auction. Allows users to be created and assigned different roles like that of Auction Administrator. Super-Originator. etc. Allows department to assign weights to different contractors based on their past performance and quality in an auction. enable or disable the contractors or contractor group. Disallows divulging the identity of the participating bidders on the system. Dynamic Sealed bid. • Auction rules. Allows Inviting Officer to view history of items and price bids during the live auction and after with date and time stamp. 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 Existing Module (Yes / No) Proposed Module (Yes / No) Supports dependent auctions i.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. documents. Allow department to send notifications and pop-up messages to participating bidders during the auction. Provide a contractor administration module to add.e.English.lowest/highest bid wins. contractor participation. %savings in price. Provide option to the departmental administrator to auto-approve or manually approve the winner in the auction. etc. it should open an auction only on the successful completion of the previous auction. Support for parcel auctions. Allows viewing of the lowest going price in real time. Facilitates specification of the following auction parameters at a minimum: • Item name and quantity • Bid Decrement/Increment • Auction period or end time • Automatic extension time window Facilitates proxy bidding for contractors. No. etc. 82 . Supports multi variable bidding. URL. Supports the following options: • Both Reverse and Forward auctions • Auction types. Requirement 1 Provides simplified menu based workflow to create online auction by the Auction Administrator.

address. and issue of the same to the selected supplier. corrigendum. Allows selected supplier to receive and acknowledge the electronic copy of RC on the system using his digital signature certificate.g. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) Supplier Management 1 Single site for Dept/ULBs registration as well as for applying for a DSC. payment conditions. GOs. 8 Facilitates applicants to save incomplete (partly filled) registration application online for a specific period of time (e. System alerts the Stores in-charge and the contracted suppliers 83 . 4 Allows applicants to track the status of his application online using the application numbers provided to them. • Pre contract stages such as under construction (contract document under construction) • Under negotiation (negotiations underway between department and supplier) should also be supported. 11 Facilitates registered contractors to update information on their business.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. statements. Allows integration of the Competitive Bidding and RC Catalogue Management modules to facilitate instant availability of information on contract terms and conditions. 3 Allows system to issue a unique application number to each applicant for departmental registration as well as for DSC. from time to time on the system. close. 5 Maintains database of enlisted contractors. to the RC Catalogue Management module. 2 Allows contractors/suppliers to apply online for departmental registration as well as for procuring the necessary DSC. 7 Facility to the contractor to upload required documents (certificates. etc) in his personal space available to him after registering online. Contractor Management 1 2 3 4 5 6 Provides template library for contracts with common set of terms and conditions. 9 Provides single point login for submitting response to tenders of any department. etc. System tracks contract through various stages • Active. architects. 6 Tracks the validity period of departmental registration (and blacklisting period) and DSCs of contractors. delay clauses. Facilitates digital signing of rate contract by the competent authority on the system. No. etc. 90 days) before submitting for review. suppliers with proper contact information to send out alerts on new tenders. terminated. 10 Single point login for submitting response to tenders of any department. etc.

supplier name. to the RC Catalogue Management module. Allow catalogues in a compliant format. Facility to control viewing of selected item catalogues based on the 84 . as decided). to be transacted through the system for the following options: • Supplier maintains and hosts the catalogues • Department maintains and hosts the catalogues • Suppliers’ and/or department maintain catalogues that are hosted by the vendor. Allows the maintenance and hosting of individual catalogues to be controlled according to the terms of an individual agreement between the department and its particular suppliers. 6 Allows extension of contract allowed under special conditions. Any supplier updated catalogue must be approved by the department before publishing. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) when the contract is approaching its renewal date. No. and issue of the same to the selected supplier. payment conditions. 3 Facilitate digital signing of rate contract by the competent authority on the system. rate contract unit price. user should be able to define the contract on the selected vendor. and releasing catalogues for publishing. Support steps for updating catalogues such as editing. Further. System should request specification of appropriate reasons for the extension. Indent Management 1 2 3 4 5 6 7 8 9 Rate contract catalog contains the item name. 2 Systems tracks contract through various stages. Allows products to be identified (searched) by more than one specific identifier such as description. etc. delay clauses. Allows the department to construct and maintain menus (directory) for the catalogues/items on the system. 5 System alerts the Stores in-charge and the contracted suppliers when the contract is approaching its renewal date. 4 Allows integration of the Competitive Bidding and RC Catalogue Management modules to facilitate instant availability of information on contract terms and conditions.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. item code (system generated or manual. item code. unit of measurement. Allow selected supplier to receive and acknowledge the electronic copy of RC on the system using his digital signature certificate. Facilitate assignment of unique code to items and sub items. reviewing. supplier part number (if any). etc. 7 Allow extension of contract allowed under special conditions. e-Procurement (Goods) Contract Management 1 Template library for contracts with common set of terms and conditions. etc. a description of the item. Allows flexible pricing on the system for an item.

7 Allow setting of requisition consolidation period. software. No. 6 Tracks inventory levels and consumption information at the consumer entities and stores to generate inventory reports. and set parameters that govern the approval processes required for requisitions. Create and Approve Requisition 1 Facility for raising an online requisition by different users (purchasers). • Create part requisition that can be completed at a later time • Save requisitions for multiple use • Cancel/modify requisition • Support multiple delivery addresses 5 Support requisitions for listed goods and services in various categories such as hardware. to avoid cost overruns. 10 Support multiple currency and language for catalogues. motor vehicles. 8 In case of editing/rejection of requisition by the approver. 4 Provide the following requisition related features: • Allow attaching of files along with the requisitions. 2 Facilitates update of items receipts by departmental users. office equipment. maintenance services. Purchase Orders to Payment 1 Automatic creation of PO. 4 Allows configuration of order size based on the consumption of the user. privileges. etc. etc. the approver should be able to provide reasons for the same in the system. 5 Allows configuration of order size based on the consumption of the user. once the requisition has been approved by the appropriate authority. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) permission level of the user. drugs and pharmaceuticals.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. 3 Allow each participating purchasing department to define workflow. 6 Support electronic shopping basket functionality when procuring using online catalogues. 3 Facilitates specification of reorder points in the system. 9 Integration with existing budgeting module (of purchasing departments) or back-office application to facilitate validation of order cost with available departmental budget. 2 Automatically generate a unique requisition number to each new requisition allowing it to be tracked on the system. 85 . Order Management Inventory Management (Health Services) 1 Facilitates tracking of inventory position of items using unique item identifier. track stock outs.

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. if available • Email with attachments • Fax • Printed output Support electronic confirmation from the supplier upon receipt of the online PO. System should provide for entering comments/reasons. or of unacceptable quality. Allow integration with payment gateways. PO. • Create & release of split PO to the selected suppliers. are posted and/or mailed to these accounts. goods receipt note) either on the system or on the department’s internal financial system. GRN. Automatic release of PO to the supplier only when such configuration is provided by the purchasing department. PO owner of the posting. Allow purchaser to issue and update the GRN on the system. • Creation of balance between easy and difficult delivery destinations or policy as defined by the department. Requirement 2 System should consolidate POs based on the parameters specified by a department. In relation to POs. and QA report entered into the system. Automated email alerts to facilitate the creation and approval workflow in the organization. System should automatically generate bill on the basis of PO. Allow suppliers to maintain user accounts on the portal. Support updating of receipt information on the system as follows: • Receipt of quantities more or less than the PO quantity. using his DSC. No. but within specified tolerances. • Cancel if supplier short delivers. Allow settlement of payment after three way matching (Bill. All alerts. for the subsequent release of the payment. The purchaser/purchasing department should be able to selectively release POs. the following should be supported: • Create & release of PO to the selected single supplier. System should alert the supplier. Allow supplier to raise a bill request on the system for the delivered goods. Allow the QA agency to post the QA inspection results on the system. documents etc. Allow editing/cancellation by the purchaser/purchasing department of the system generated PO before release. Maintain record of all POs released supplier wise for the generation of the draw reports to be used for demand estimation for future procurement. • Return part orders by line items. providing reason for return. • Create & release of POs in one lot or multiple need based orders. Allow entering of QA request for the third part QA agency. 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 Existing Module (Yes / No) Proposed Module (Yes / No) 86 . Allow the following modes of release of PO to the suppliers: • Directly update the suppliers’ operational systems.

g. word etc. terms of use. as applicable. Help section for the contractors/suppliers and departmental users. approvals. etc. as applicable. Allow maintenance of QA inspection records.) so that incorrect entries and duplications are avoided. POs. in order to improve the functionality/services of the e-Procurement solution. contractor registration numbers. rejections. 21 Allow configuration of the workflow for bill verification and release by the purchasing department. • The System should be compliant with Indian IT act 2000 and other relevant legislation. etc. rules of tendering. such as required in case of global tenders. deliveries. tender submission. and GRNs (or rejection notices) issued by the purchaser against each PO. • The System must be compliant with Indian tax regulations and other relevant legislation. Management Information System (MIS) & Miscellaneous 1 2 3 4 5 6 7 8 Facilitates Department to configure/develop reports on different parameters for trend analysis. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) 19 20 Support Purchasing Card (P-Card) functionality. Localization 1 In respect of local settings: • The base currency of the System must be Indian Rupees. Sections providing policy documents of department. feedback. and cycle times for these processes.g. if decided. Provides the option for reports to be saved and printed in different formats e. excel. queries. system should support other currencies. No. should be provided on the site. FAQ section to be built and continually updated with recent learning’s. departmental users. for existing suppliers.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. Facilitate users to modify the auto-populated fields. System validations at the time of data entry. 22 Maintain auditable record of all requisitions. Workflow and Configurability 1 Application workflow and privileges should be capable of being configured based on the organization structure of the department. reports on contractor participation etc. Common instrument numbering system for the State (Unique procurement instrument identifier). 87 . Facility to conduct opinion polls from contractors/suppliers. Auto population of form fields with previously entered data. However. and issue of system generated numbers (e.

3 4 5 6 7 8 9 10 Existing Module (Yes / No) Proposed Module (Yes / No) Personalization 1 Supports user specific portals (entry points). No. on all pages. Supports configuration of roles such as the system administrator.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. the Governmental users (Secretary. The views will contain content that is relevant to the type of user. The authorized user should be able to assign different users for: • Accepting tender fee • Tender opening at all the stages • Issuing corrigendum’s Dynamic workflows should be facilitated where the creator/approver can select the next approver/reviewer. The user portals can be differentiated based on the type and level of the user. super user for the departments.). The work flows should be flexible and configurable based on: • The product category • Spending limits • Approval limits • Intra department relationships • Inter department relationships Supports transaction level assignment of responsibilities. Supports time stamping of all workflow steps such as creation. etc. 2 Simple graphical user interface (GUI) providing ease in navigation and use. Supports event based alerts to the authorities during the creation and approval process. user details. Requirement 2 Each department level configuration should be able to support multiple sub-departments to take care of the multiple locations and divisions with in the department. Supports integration of the e-Procurement solution with existing legacy systems or enterprise resource planning (ERP) modules to facilitate seamless data flow between the applications. rejections. contractors. Provision of clear display of server date and time. Supports the diverse requirements of multiple departments. etc. such as different views for departmental users. etc. Minister. submission. approval. 88 . CM.

to be attached with the contract. terminated. Further. Integration should facilitate instant availability of information on contract terms and conditions.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 5. The delaying authority shall be required to provide reasons for the delay in the system. system should allow documents. etc. cost overruns. Apply penalty clauses at the time of preparation of the bill. System should track a contract through various stages.2 Project Ward Work S. etc. notices issued to the contractor. close. Track system entries and approvals on the system against the specified time durations. delay clauses. bill approval. Capture information on project analytics. Compliance with relevant provisions of the Works Manual. Sub Engineer/SDO should be able to upload inspection reports. photographs. etc. and other contract agreement terms and conditions. the system should escalate the matter to the next higher authority. Send alerts to contractors and departmental staff on critical dates for updating the online measurement book. Maintain all reports/audit trails as required for the AG’s audit purpose. Allow integration with the Project Accounting module in order to facilitate tracking previous payments/advances released to a contractor. 89 . Support automatic generation of the bill based on verified MB entries. verification of measurement book. such as the material consumption. Support uploading of measurements in the form of pre-specified excel spreadsheet. and release of payment. 1 2 3 4 5 6 7 8 9 10 11 12 13 Existing Module (Yes / No) Proposed Module (Yes / No) Allow issue of Work Order to the selected contractor online. Pre contract stages such as under construction (contract document under construction) and under negotiation (negotiations underway between department and contractor) should also be supported. as necessary. on the system for review of higher up authorities. work extensions. Requirement No. Enable contractor’s login to access and update completed work information in the online measurement book. payment conditions. such as percent of work completed against time elapsed. text. Facilitate login of concerned departmental officials for the purpose of entering project related information and for providing approvals at various stages. etc. formats. etc. Track project delays on the part of the contractor. to the Project/Ward Works module. corresponding payments made. generation of bill. Allow initiation of online measurement book.Active. delays. The system should verify receipt of digitally signed undertaking (in response to the Tender Acceptance Notice) from the contractor before allowing issue of Work Order Allow integration of the Tendering and Project/Ward Works modules. In case of delays. etc. etc.

Requirement No. and appropriate statute. goods or services covered.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. etc. contracted parties.) • Work wise Status • Ward wise Status • Contractor wise pending bills • Ward wise pending details. System should provide alerts on renewal date of a contract MIS: Support generation of reports on: • Contractor performance by class. delayed projects. Allow entry of third party verification information on project progress. completed.Contract status. 90 . etc.) • Project accounting. etc. 14 15 16 Existing Module (Yes / No) Proposed Module (Yes / No) Account Code. and contact point(s). type of projects • Projects on track.% payments made vis-à-vis the % completion of project • The MIS facility should have separate interfaces for different users (dept level/ULB. value. quality control in the system Maintain central repository of all contract information. Finance Code. contract period. delayed. abandoned • Defaulting contractors (non completion of projects.

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 6. Token and key. Facility for addition and updating the Election Wards Information Facility for addition and updating the Locality categories Facility for addition and updating the sanitary ones/ward/division allocation to Sanitary Inspectors Facility for addition and updating: • Trade categories • Sub-trade categories. • Various revenue blocks under revenue wards information. Existing Module (Yes / No) Proposed Module (Yes / No) User Authentication 1 First level of security The municipal corporation users to have access to various databases and to query on the different master maintenance tables based on the user-ids and passwords. modify existing records. 4 Ability to generate acknowledgment. Requirement 1 Facility for addition and updating of the ULBs information in the ULB Master Facility for addition and updating the sanitary zone/division information in the Sanitary Zones/wards/Division Master Facility for addition and updating of the following in the Revenue Wards Master: • Various revenue wards information under sanitary zones/wards/divisions. 2 Second level of security The usage of pin codes. 5 Ability to generate field verification checklist report for any given date. No. Requirement No. 2 3 4 5 6 7 8 Existing Module (Yes / No) Propose d Module (Yes / No) 91 . Facility for configurations of the following: • Late fee details for the corresponding time periods in the penalty fee master • Trade rates • Revenue Block Categorizations.1 Licenses Module S. Health Module: S. 6. Biometric Authentication Methods such as Finger Print Technology etc for second level of authentication may be considered and justification is to be provided for the same 3 Ability to enter new records. delete existing records.

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

S. No.

Requirement

9

Facilitate the recording of the details of an applicant for a new trade
license.
Facilitate the preparation of the inspection report for recording the
findings of the field inspection of the applicant’s premises. Facility
for SI/HO to provide his comments.
Facilitate recording the NOC/Installation Permission Details, which
will be later used for checking while issuing the License to Industry/
Factory.
Facility for Municipal Commissioner to view the recommendations
of the SI/HO on a new license application. Facilitate the
Commissioner to also enter his remarks in the system.
Facilitate the capturing of the license fee/late fee details (Cheque/
DD details, etc.)
Facilitate the generation of a new license after the information on
supporting documents, fee details, and the necessary approvals are
recorded in the system. Facility of printing of the license document
from the system.
Facilitate recording the application details from the application form
submitted by the applicant.
Facilitate recording of the trade License renewal details.
Facilitate recording of the Panchanama details collected from the
sanitary inspectors report.
Facilitate generation of the list of defaulters who haven’t paid their
renewal fee. Facilitate generation of the list of license holders who
wish to close their trades on their own.
Updation of the status of a trade license as ‘active’ or ‘closed’, and
the reasons for closure are entered.
Facilitate recording of the details from the application submitted by
the applicant for change of Title
Facilitate generation of license with changed title, after the
necessary supporting documents, fee, and approvals are entered in
the system.
Facilitate capturing of details of the un-assessed trades, i.e.,
individuals performing trade without a proper trade license
Track the renewal notices sent to the license holders to renew their
License. Further, track response dates, late fee applicability, etc
Facilitate capturing of grievances against a license, or in general.
Facilitate generation of demand collection and balances revenue
ward-wise for the ULB.

10

11

12

13
14

15
16
17
18

19
20
21

22
23
24
25

Existing
Module
(Yes /
No)

Propose
d
Module
(Yes /
No)

6.2 Solid Waste Management
S.
Requirement
No.

Existing
Module
(Yes / No)

Proposed
Module
(Yes / No)

92

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

1
2
3
4

5
6
7
8
9
10
11
12

13
14
15

Facility for addition of the new division details to the Division
Master.
Facility for entering location details under particular division of the
Municipality.
Facility for entering various data on public toilets of the Municipality
to be entered into the Public Toilets Master.
Facility for integration with the Personnel Management System to
obtain information on the following types of staff under the sanitary
wing of the Municipality:
• Route employees.
• Sanitary inspectors responsible for checking the sanitation
activities, and the divisions allotted to them.
• Sanitary maistry / jawan responsible for checking the sanitation
activities, and the divisions allotted to them.
Facility for entering details of the garbage-collection place such as the
garbage collection place type, name, and fees collection location.
Facility for entering coordinates of dustbins located at various
locations within the Municipality.
Facility for entering different types of vehicles available to be entered
into Vehicle Type Master.
Facility for entering details of the Hospitals/Hotels/Lodges located in
the Municipality.
Facility for entering the details of the transmission station.
Facility for entering the details of the dumping ground to be entered
in the system.
Facility for the Sanitary Inspector to enter the attendance of the
employees in the system.
Facility for entering the details of the trip sheet, which includes the
information about the vehicle used for transporting the garbage, and
the number of trips it makes, to be entered into the Trip Sheet Table.
Generation of tentative allocation of workers to locations based on
historical garbage collection patterns.
Facility for recording of the garbage volumes from different locations
dumped at the dumping grounds.
Generation of tentative allocation of vehicles to locations and routes
based on historical garbage collection patterns and the optimal
routing.

93

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

7.
S. No.

Accounting Module
Requirement

Existing
Module
(Yes / No)

Proposed
Module
(Yes / No)

User Authentication
1

First level of security
The municipal corporation users to have access to various
databases and to query on the different master maintenance
tables based on the user-ids and passwords.
2
Second level of security
The usage of pin codes, Token and key, Biometric
Authentication Methods such as Finger Print Technology etc
for second level of authentication may be considered and
justification is to be provided for the same
Accounting System
3

Facility for incorporating all formats for reporting and books
of accounts as prescribed in the National Municipal Accounts
Manual.
4
Facility for incorporating of existing formats of registers in
specific ULB’s.
5
Some of the Reports required are
• Accounts analysis reports (Revenue, Expenditure,
fixed assets etc)
• Charts of accounts listing report
• Inactive accounts listing report
• Suspense accounts report
• Consolidation report
• Inter department transaction details report
• Unapproved inter-department transaction details
report
• General Ledger report
• Journals Report
• Journals – Day book report
• Journals- Vouchers report
• Trial balance report
• Cash book reports
• Bank Reconciliation Statement
Payments
6
7
8

9

Facility for maintenance of master database of all suppliers,
contractors and vendors.
Facility for calculation of Sales Tax, Tax Deducted at Source
etc.
Accounting system should book the liability on entry of these
amounts and an appropriate entry should be made based on
double entry accrual based accounting principles.
Allow add and modify invoices, credit and debit memos, pre-

94

name and address 16 Allow enter/ modify discounts or waivers 17 Record/ Modify a bill raised as an asset 18 Some of the Reports required are • Final receivable register • Revenue trend analysis statement • Ageing Reports for both debtor and creditor. Security Money and Earnest Money. PT. Facility to calculate the Depreciation of Assets. responsible employee. Allow add/update certain details like description or category. holds. 10 11 12 13 Requirement Existing Module (Yes / No) Proposed Module (Yes / No) payments. based on different formulae for example straight line method etc. etc) payments for each employee Entry of the consolidated salary and Statutory (PF.) 15 Enter and update citizens identification number.) payment amounts for each department in the accounting Some of the Reports required are • Final payment register • Payment exception report • Stopped payment report • Invoice register • Invoice aging report • Invoice approval status report • Accounts payables trial balance report • Period close exception report • Posted invoice register • Posted payment register • Unaccounted transaction report Receipts 14 Receipts of collections (Property Tax. revaluation. Allow disbursement of payments(salary. Allow query asset based on asset number.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. Water Tax. Grants. Model. PF. (Ageing report should be user defined) Fixed Assets 19 20 21 22 23 24 Accounting System should be able to maintain the Fixed Asset Register. contractors/suppliers. invoice notices etc. etc) Employee database and calculation of salary and statutory (PF. profession tax. mass depreciation. retirement of assets Update information from fixed asset module to general 95 . administrative expenses. Warranty details. rent. Allow mass addition transfer. Manufacturer. change an asset’s location. No. PT etc. etc.

25 Requirement Existing Module (Yes / No) Proposed Module (Yes / No) ledger module Some of the Reports required are • Financial reports regarding assets • Asset depreciation report • Quarterly statement of departmental assets • Transaction history report (Addition. investing and financing activities Regular Registers: • Abstract Register of Receipts and Payments • Register of Investments • Register of Adjustment • Advance Ledger • Deposit Ledger • Loan Register • Fixed Assets Register • Appropriation Register • Register of unpaid bills • Register of dishonored cheques • Borough/ Zone/ Ward wise Accounts 96 . Retirement etc) • Asset register report • Asset retirement report • Asset by category report • Cost detail report Budget 26 27 Provision for budgeting Facility for display warning messages in case the budgetary limits are exceeded 28 Support analysis 29 Some of the Reports required are • Budget approved report • Budget trend analysis • Variance Analysis of Budget Vs Actual Financial Statements 30 31 • • • Balance sheet Income and Expenditure account Receipts and Payment Account – Showing the receipts and payments of cash major head wise along with schedules • Cash Flow – Showing the receipts and payments of cash bifurcated into operating.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development S. transfer. No.

Position Management 6 7 8 9 10 11 12 13 14 15 16 Ability to “encumber” (reserve) a position that is not currently filled Ability to track the history of the position (e. Ability to track filled and vacant positions by position number. Ability to identify shift plans for Departments and work crews based on actual or forecasted workload. 4 Ability to review budgets over a period of time. positions or any combination of these. Biometric Authentication Methods such as Finger Print Technology etc for second level of authentication may be considered and justification is to be provided for the same Manpower Planning 1 Enable users to maintain a head-count budget of the ideal workforce. which will be used to look at the variances based on the actual staff strength. grades. jobs. Ability to identify requirements by type of job or specific 97 . Ability to automatically calculate and transfer salary when an employee transfers to a different Department/division.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 8. Also by job/ position or combination. former employee(s) in position) and also maintain position and pay history of current employees. Personal Information System: Requirement Existing Module (Yes / No) Proposed Module (Yes / No) User Authentication 1 First level of security The municipal corporation users to have access to various databases and to query on the different master maintenance tables based on the user-ids and passwords. 2 Ability to identify gaps of required competencies and available competencies. Ability to update salary amounts for each classification and scale/bracket. Ability to assign a single employee to multiple positions.. as authorized. Sr. 5 Ability to view the status of budgets and actual and also variances of budgets over time. 2 Second level of security The usage of pin codes. division. Ability to assign multiple employees to a single position (job sharing). unit etc. This review should be able to be made by Department. even mid-pay period.g. 3 Define budgets against Departments. Ability to plan Shifts and Schedule manpower accordingly. No. Token and key. Ability to administer multiple shift schedules.

section. qualifications. The system should be able to generate. Promotions 17 21 Ability to capture data regarding proposals for promotions for both gazetted and non gazetted employees from different Departments/ULBs 22 Ability to link promotions to a variety of employee related issues. 20 Ability to administer various workweeks and part-time arrangements. and availability. No. the following reports: • Staff turnover • Staff movement • Vacancy requisitions • Promotions • Resignations • Employee Cost 98 . in different fields like Department. Ability to administer shift plans considering defined requirements along with employee preferences. Reporting 27 MIS can be for a particular date or date range. allowing inquiry and reporting for effective manpower planning and budgeting. 18 Ability to process day-to-day changes in the shift schedule based on transactions that affect requirements or availability of staff. 26 Ability to/raveling/flexible security to provide access to information on a “need to know” basis. 19 Ability to identify and utilize on-call staff. name and designation of the employee etc. Requirement Existing Module (Yes / No) Proposed Module (Yes / No) qualifications. but should not be limited to.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. Employee Separation 23 Ability to capture data regarding proposals for resignations for all employees from different Departments 24 Ability to reject resignation proposal of employees placed under suspension for disciplinary reasons Relevance & Timeliness of Accessing Information 25 Ability to maintain employee records and data tables on an effective date basis.

• Employment history. • Caste category • Passport number • Martial status • PAN number. 99 . • Disability (Y/N) • Position(s) applied for (multiple) • Exams (e. psychical/medical) • Work Restrictions. Requirement No. • Source of application.. 29 Ability to interface with knowledge database to access information relating to Government Orders and checklists for the processing of Information.g.) • Type of application (e. • Status (e. • Ethnicity. Workforce Recruitment 30 Ability to maintain application information in the fields of (indicative): • Name. • Preferred method of contact (e. • Address. • Gender. recruited etc. • Date of Birth. • Business number. Integration and Interface Existing Module Proposed Module 28 Ability to export information to spreadsheets (e.g.g. phone.) • Date of application. • Language proficiency • Education.. declined. temporary. mail. etc.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr.g. • Licenses/certifications/registrations. applied.) • Salary history. permanent etc. • Telephone number.g. Microsoft Excel) for year-end review. • E-mail address.

Ability to track the number and types of positions for which an applicant applies. Ability to generate questionnaire based on competencies defined for a job. Ability to notify applicant that additional documentation is needed or put an eligible applicant on hold till the Department gets all needed information for hiring.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. Ability to provide a summary of the applicants that have been hired against the job requisition. Ability to maintain complete employee information. Intranet. Ability to compare requirements of a vacant position with an applicant’s existing skills to determine necessary training and overall fit. Ability to maintain history of interviewed but not selected candidates. Maintenance of different types of tests and associated questionnaire. CV’s. Ability to track progress of a candidate in any step of the recruitment process. work experience. electronic forms) including optical scanning to enter resumes and convert into data for further references. 31 32 33 34 35 36 37 38 39 40 41 42 43 44 Requirement Existing Module Proposed Module The system shall be able to maintain job information in the fields of but is not limited to: • Number of job openings • Employee number of person requesting. and initiating requisition • Job descriptions • Position number/job code • Salary Plan • Scale of salary grades • Job location • Working hours • Start date • Full-time/part-time • Necessary educational level. Ability to resurrect an expired employment list if required. Ability to enable applicants to learn about and apply for multiple jobs. etc. authorizing. historical and current. 100 . Ability to record and maintain proper information for cases of applications on compassionate grounds. Internet. System acceptance of electronic applications (e-mail. Especially in the area of maintaining images (photos. appraisals.). No.

52 Ability to index forms to allow easy user access. Contractual Terms 53 Ability to record the following basic information about the contract between the State and the candidate: • Contract duration • Contract type • Contract information. Facility to allow users defines a rating model and the associated rating scales and weights of relevant employee skills or competencies. 101 . 48 Allow users to view a listing of successful applicants and their relevant details.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. Enable users to define rating codes to assist in rating an employee’s performance. Requirement No. Interviewing Existing Module Proposed Module 45 46 System possesses efficient tools like a Scheduler/ Calendar Ability to view a list of applicants invited for an interview at the State. the following reports: • Applicant selection • Applicant statistics • Applicants by Name • Applicants by education and qualifications • Vacancies • Applications made on compassionate grounds • Promoted applicants • Transferred applicants • Direct recruitments Performance Management 55 56 57 58 Ability to position specific KRAs and targets Ability to use a variety of appraisal models as templates to support appraisal process. 47 Allow users to enter interview results and select successful applicants. Reporting 54 Ability to generate. These codes may be alphanumeric. 50 Availability of a repository for online forms. Online Forms 49 Ability to provide for online forms where Human Resource systems do not provide self-service or when self-service is available as a backup. 51 Ability to submit forms electronically to processing centre. but is not limited to.

spouses. 71 Ability to allow employees to pre-book classes that are not yet scheduled. text. 72 Ability to view date. Employees will be enrolled according to the following criteria: • Base • Grade • Years of service 74 Allow setting up the following types of benefits plans for employees over a specified number of years old (in order of priority): • Health benefits • Insurance benefits for employees. Compensation Management . No. criteria groups and evaluation scales to meet the needs of your department needs. using a full-text search engine. Training Development 65 System should provide every course with a unique code. System to have the ability to define plan status. 59 Requirement Existing Module Proposed Module Ability to define an unlimited number of criteria. time and content on courses and events that have been booked. 62 Ability to deliver just-in-time training to fill performance gaps. 64 Ability to send reminders to respective employees to submit/ review appraisals. language and location.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. 60 Ability to maintain appraisal model in a catalogue. 66 Ability to use planning tools to determine course demand for a period based on pre-bookings and/or actual attendance from the previous year. and children • Investment (unit trust) • Leave benefits • Pensions 75 Ability to define a benefit plan as required. 70 Ability to allow employees to enroll in classes or cancel participation in classes. 61 Ability to create anonymous appraisals in the system. Self-Service 67 Enablement of application of training for approval by the appropriate supervisors via self-service functionality. 68 Ability to allow employees to search for classes based on topic. specific topics and objectives. 69 Ability to allow employees to view training calendar and details.Benefit Plans 73 Allow enrolment of employees in benefits programs and plans. etc. Ability to track employee’s coverage and coverage level based on 102 . 63 Ability to include qualifications as an appraisal element. 76 77 78 79 Ability to assign benefit plan codes by employee based on their classification (to identify level of benefits for which each employee qualifies) System to allow the entry of pre requisites needed.

insurance premiums). Managing General Provident Fund 81 82 Allow the DMA/ULBs to define eligibility rules for admission to GPF for employees. either before or after the trip. Ability to enter travel data by respective employee with prior approval by respective approver. Pay elements could be 103 . Travel Management 83 84 85 Ability to interface with knowledge database to access information relating to Government Orders and checklists for the processing of leave travel concessions (LTC’s) for employees. Ability to facilitate application of travel or tour advances and send trip requests automatically to the appropriate approver via workflow. For example hourly/daily/weekly/monthly etc.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr.g. Ability to define pay type. No. For example basic. allowances. Ability to calculate different type of pays. Requirement Existing Module Proposed Module their position. and employment contract. bonus etc. Ability to define different pay elements. Managing Benefits 80 The system shall allow for the maintenance of the following benefits costs and employee deductions information: • Age-graded rate tables • Salary rate tables • Service rate tables • Flat rate tables • Calculation rules tables • Premium • Coverage • Age • Service dates • Rounding rules • Min/max coverage • Benefits deduction from payroll (e. Allow the DMA/ULBs to: • Process GPF balance • Process GPF temporary advance • Modifying GPF subscription.Payment and allowance & Deduction Processing 86 87 88 89 Ability to calculate payments based on employee compensation rules. Payroll Processing .

Ability to pay an employee from more than one Department and split salary and benefits among Departments. and taxes. Ability to give employees the option of ‘prepaying’ some of their deductions when they go on leave. • Bonus and Premium pay. 104 .. • Vacation. • Hourly rate. Allow maintenance of salary code tables and code descriptions. court order. • Expense reimbursement. • Daily Allowance • HRA • Deputation Allowance • Sick. 90 91 92 93 94 95 96 97 98 99 Requirement Existing Module Proposed Module fixed value or calculation based on other pay elements Ability to group employees by Department in any manner without having to set up multiple employee records for each Department. Ability to generate monthly pay-slips for the employees. terminations. position. • Holidays. Ability to view Employee costs per Department/division and costs per job. • Administrative Leave. benefits. • Bi-monthly. deductions. vacation advance. • Taxable non-cash benefits. • On-demand (i. Ability to make automatic calculations for flexible benefits. including retirement benefits. Ability to maintain an integrated security design to ensure that employees don’t get paid twice in one payroll period without authorization. ratification. • Monthly • Semi-monthly. • Uniform allowance. • Meals and lodging.).e.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. for at least last 6 months. It should also have the ability to formulate multiple user-defined codes including. • Travel Allowances. • Overtime. • Disability Pay. but not limited to: • Salary. The system should automatically deduct funds from an employee’s prepaid deduction balance if the employee’s normal pay is not sufficient to cover the deduction Ability to make automatic calculation of mid-pay period changes to pay. No. • Various overtime reason codes. Ability to process payroll on the following frequencies: • Biweekly.

but not limited to: • Salary. • Hourly rate. 100 Requirement Existing Module Proposed Module • Others (user defined). • Overtime. • Vacation. No. 105 . • Taxable non-cash benefits. • Meals and lodging. • Various overtime reason codes. • Expense reimbursement. • Disability Pay. • Bonus and Premium pay. • Uniform allowance. It should also have the ability to formulate multiple user-defined codes including. • Administrative Leave.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. Allow maintenance of salary code tables and code descriptions. • Others (user defined). • Holidays. • Travel Allowances. • Daily Allowance • HRA • Deputation Allowance • Sick.

• Type of leave if not attended work. bar coding. Ability to enter and monitor attendance details of all the employees. • Employee number. Ability to account for time based on type of absence or attendance. Payroll database should be automatically updated when changes are made to the employee record database Time sheet information could include. • Work function number/description. (Medical etc. classification. Attendance details can be entered in the fields of: • Time spent in office. • Batch. Ability to allow use of an earning or deduction code to calculate another earning or deduction code as part of formula calculations. • Overtime hours and reason. but not be limited to: • Employee name. weekly. • Leave balances. • Multiple data entry capability including card readers. Ability to request cancels or modifies requests time off. and biweekly basis. • Regular pay hours. • Other balances (set by any user defined criteria). Ability to track actual hours worked by work schedule by position. and receive approval or denial from immediate supervisor. Ability to pay all types of reimbursements through payroll. and/or employee. • Overtime hours and reasons. 106 . Ability to submit corrections. • Sick balances. • Class number/title. Ability to monitor attendance records on a daily. • Leave information.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr.) Ability to track and maintain work schedules by position. interactive by employee. etc. Ability to enter attendance information: • Online. No. and/or employee. • Department name & number. • Multiple pay rate. 101 102 103 104 105 106 107 108 109 110 111 112 113 Requirement Existing Module Proposed Module Allow different account codes and cost centers for different employee types can be defined for the same salary code. classification.

No. Ability to pay a rate greater than a specific rate based on a percentage entered as a bonus rate in the employee’s database.) • Gross pay • All earning and deduction types adequately itemized and defined by taxability status • Cumulative hours for time-limited employees.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. regular. Ability to automatically update payroll database when Finance Department makes pay rate changes. 107 .g. the system should be able to pay off difference for 15 days of April and month of May. etc. Ability to update master salary scales during wage/ salary revisions. Ability to handle salary advances & facilitate recovery of salary advances on the payday. Ability to make back dated calculations. • Class number • Pay rate • All types of payment and reimbursements (e. Ability to get reports on payroll for comparisons. effective April 17th. overtime. this month and last year-samemonth etc. paid leave. For example if staff received promotion letter in June. For example Year-to-date and Last year-to-date.. 114 115 116 117 118 119 120 Requirement Existing Module Proposed Module Pay check procedure should incorporate but not be limited to the following fields: Personal account number • Department number • Employee name • Period ending • Issue date. • Current and Year to Date Totals: • Employee pension • Income tax • Insurance • All other deductions • Medical compensation • Vacation hours balance • Sick leave hours balance • Other leave hours balances (multiple categories) • Gross earnings • Taxable/non-taxable earnings • Workers’ comp (injury leave) • Other deductions and amounts • Total deductions • Net pay.

Ability to report tax payments by employee.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. Ability to have an established base pay regardless of hours worked. etc. Ability to produce benefit eligibility lists upon request for employees. Facility to import and update as pay element for employees Ability to add or update bank information for direct deposit and expense reimbursement. pro-rated on hours of paid service or paid with minimum paid service and to designate which bases are subject to mandatory payroll deductions. Ability to have payroll adjustments reflected in correct pay period. Ability to calculate different types of bonus. Ability to provide for payroll reconciliation facilities. Ability to provide for online ad-hoc calculation of employees pay check amount. For example provide reconciliation between the following: • Differences in salaries of existing employees from previous 108 . E. grades and days on work in a year. 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 Requirement Existing Module Proposed Module Ability to calculate bonuses and premiums based on fixed rupee amounts. etc. Ability to report retirement deductions by employee. deductions. taxes.g. Ability to request downloads of payroll information to begin budget preparation by Finance Department. pay elements should be with a reason code. Ability to support separate tax tables for special pay calculations (flat tax). Employee of the month/ year reward etc. Ability to perform online calculation of pay and benefits for terminated employee based upon termination date. For example for people working on a specialized program. Ability of system to calculate bonus based on appraisals. Any updation of records. Ability to transfer salary and benefit costs electronically to the budget application from payroll and human resource modules for position budgeting and personnel salary and benefit projections. Ability to change tax filing status and number of exemptions of a particular employee. No. Ability to make one time payment. Ability to cash out accumulated leave balances by user defined formulas and criteria. performance bonus etc. Ability to have different hourly rates for an employee for different days within the same payroll period Ability to allow for pre-calculation of payroll outside of the normal payroll system. Ability to report all changes to employee’s pay. Ability to re-calculate payroll for changed hours. Ability to calculate bonus outside the system. percentages of base pay.

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

Sr.
No.

Requirement

Existing
Module

Proposed
Module

years
• Differences in salaries between new & resigned employees
Bonus Triggering
146

Ability to calculate bonuses, based on the following information:
• Employee type
• Employment term
• Bonus details
• Bonus calculation base
• Reason code
• Date joined
• Last pay date
• In service date
147 Ability to accept user-defined formulas for calculating bonuses.
148 Ability to make fixed payments to employees, by effective dates.
The system shall also be able to trigger backdate adjustments and to
pro-rate bonuses.
149 Ability of system to generate bonus letters, increment letters.
Payments/Deductions Type
150

Allow for, but is not limited to, the following deductions and
advancement:
• Medical benefit deductions
• Special retirement scheme deduction
• Ad hoc and regular deductions and payments
• Loans and advancements
• Housing Loans
• Vehicle
• Educational
• Festival advances
• Court order deductions
• Fixed and variable payments and deductions.
Fixed Payments/ Deductions
151
152
153

Ability to calculate fixed monthly payments/deductions (FPD).
FPD’s may be amount or formula
Amount-based FPD is paid/ deducted directly from employee
payrolls.
Allow FPD deductions to be pro-rated according to the effective
date and expiry date of the FPD.

Variable Payments/Deductions
154 Ability to calculate variable payments/deductions (VPD). VPD’s
may be amount or formula-based.
155 Amount-based VPD is paid/ deducted directly from employee
payrolls.
156 VPD input and approval workflow can be decentralized to branch
departments.

109

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

Sr. Requirement
No.
Suspension Functions

Existing
Module

Proposed
Module

157
158

Ability to provide suspension functions in the Payroll system.
Ability to handle different types of suspension, including all payroll
exceptions.
159 Allow suspension functions to be used for the suspension of
payments, or processing of specific payment types/for specific
periods.
Advance Payments
160

Ability to perform advance payments (e.g. exit staff, hardship
reasons).
161 Allow a staff’s final payment to be made on a “last working date”,
instead of the “last pay date”.
Statutory Contribution Administration
162

Ability to define all rules and criteria, calculate, record, withdraw,
and/or deduct contributions, at the minimum, of statutory
contributions according to the respective Statutory Acts. The
statutory returns should be captured by the system.
163 Ability to incorporate all types of statutory reports and have the
ability to meet new laws and requirements as they develop.
Payroll Master Record
164

Display the status of each of the following payroll transactions:
• Incur-Month
• Payroll Audit Trail Code
• Trans-Status
• Ledger-Posting-Status
• Settlement Means.
Cost Tracking
165

Allow users to track, at the minimum, the following cost:
• Project payroll cost.
Pay slip Presentation
166

Ability to generate employee pay slips on-line for printing by
employees through Employee Self-Service.
167 Group items on pay slips by salary code and by incur-month.
168 Capability to handle different pay slip designs.
Reporting
169

Ability to maintain an unlimited earnings history and should have
the capability of generating different payroll related reports. For
example
• Payroll register
• Deductions register
• Tax register.

110

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR
Ministry of Urban Development

Sr.
No.
170

Requirement

Existing
Module

Proposed
Module

Ability to maintain an efficient archiving program to manage the
generation, administration and evaluation of archived payroll files.
171
Provision for the following user friendly reporting capabilities:
• Easy data management and information retrieval
• Data mining and analysis
• Flexible reporting
• Annual package tracking.
Integration and Interface
172

Integrated to the following systems of the finance department:
• General Ledger
• Accounts Payable.
173
Ability to integrate with travel expenses and benefits in order to
trigger automatic payments/deductions in employee payroll records.
Workforce Administration - Maintain Basic Data
174
175

176
177
178
179
180
181

Ability to automatically generate the Employee ID, personal data in
a sequentially order.
Ability to build model for Department/division etc. The
Departmental Chart can be viewed from different angles like
positions held, vacant, vacant budgeted, vacant not budgeted,
temporary responsibility etc.
Ability to change users’ indicative data such as name, address,
contact information, beneficiaries, etc
Ability to track and maintain personnel action changes for each
employee.
Ability to track employee language abilities by language, level of
proficiency.
Ability to track transactions based on the transaction date
Ability to notify via e-mail when action is required regarding
employees (e.g., personnel changes, evaluation dates, etc.)
Ability to transfer an employee to a different Department or payroll
unit without reentering the entire employee file.

111

g. including tracking employee events in chronological order (e.g. dates and employee: • Salary Change • Performance Report Appeals • Grievances (status..g. injury or any other user definable field) • Work Restrictions (e.g. expiration of probationary period.g. termination/ resignation reasons) Job Information 188 Ability to maintain. transfer dates) 184 Ability to track at all procedural levels by type. No. date of event and final ruling) • Workers compensation status • Disciplinary actions (paid/unpaid etc) • Future leave approval (e. pay increases. night duty hours) 185 Ability to maintain employee personnel history online beyond the life of the employee 186 Ability to record exit interview information (e. 112 . deferred. return to work.g. but is not limited to. 182 Requirement Existing Module Proposed Module Ability to automatic monitor dates for Human Resource processes. hire.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. allowing officials to specify date-driven reminders to initiate follow up activities (for example. approved. interviewer name 187 Ability to maintain employee turnover data (e. rehire. sick. no lifting) • Modified Duty (e. performance review) Employee History 183 Maintenance the employee history. rejected) • Status changes • Leave status (vacation. the following information: • Employee employment designation • Employee grade level • Employee job level • Employee designation • Employee probation dates • Employee compensation rate & frequency • Employee annual benefits base rate • Employee pay scales.

comment) • Contract templates for different employee types. Security Levels 192 Tracking the system security level and the security key card(s) issued to employees. add. 113 . track. Prior Work Experience 196 Maintain the following prior work experience of employees: • Employment tenure (start and end dates) • Names of previous employers • Relevant work experience • Location • Job titles • Pay rates. overseas posting) • Contract duration • Contract clauses (effective dates. bonding. Employment Contracts Existing Module Proposed Module 189 Allow users to set up standard employment contracts with the following information: • Contract types (standard. description. 193 Ability to maintain the following security information: • Effective dates • Status • Card number • Comments • Employee ID. Requirement No.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. 190 Enable users to generate and print out employment contracts. status. amend and delete information based on user security access level. 195 Allow users to audit. Contract Tracking 191 The system shall maintain the following contract information: • Duration • Start date • Expected end date • End date • Minimum & maximum length of service • Employee-specific clauses • Probation dates & reasons. 194 Provision for information confidentiality and allow for different user access level.

(e. 198 Ability to assign checklists to users and monitor the status of tasks in assigned checklists. commuted. casual. Ability to keep track of holidays and to define weekly holidays and other holidays. disability. monthly. optional. 114 . etc.). hours accrued. hospital. etc.g. sports.. Annual Leave 202 203 204 205 206 207 Ability to track leave by type.).g.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr.Absence Data 201 Allow users to define absence data such as: • Absence types • Codes. compensatory etc. Ability to track leave used “in lieu” of sick leave. automatic adjustments based on length of employee service. expiration of a temporary position. doctor’s notes. Requirement No. earned. Ability to send e-mail to supervisor to withdraw/disable facilities of an employee when he/she is going on leave.g. Checklists Existing Module Proposed Module 197 Ability to create checklists for users to ensure performance of established procedures.g. Ability to set a trigger files for notification for expiration of a type of leave status (e. Once a report template is generated it should be available to all authorized users to avoid duplication Dependents/Beneficiaries 200 Allow users to record the following information on dependents and/or beneficiaries: • Names • Relationship to employee • Type of relationship • Addresses/contacts • DOB • Place of birth • Location • Gender • Marital status • Occupation Leave Management . reason. Templates 199 Ability to maintain templates for report and standard letters. study. For example NT password etc. Ability to trigger required supporting documentation based on use of leave (e. pay period. carryover balances and accrual limits.).). etc. maternity. half pay. accrual frequency (e.

210 System not to force above or similar calculations or adjustments unless confirmed as the Department may want to adjust sick leave against available annual leave. 219 Provision for leave accruals earned during paid absence should be accumulated but not credited for use until employee returns to duty. maternity leave with sick leave).. 212 Ability to alter criteria as per the changes in the policy. 215 Ability to compute termination pay-offs. medical positions) and to track reimbursement of renewal costs. Integrated to on-line Employee Attendance System 115 . 224 The system: • Check for approval from supervisors • Check for a substitute appointment for the person taking leave. hours taken. 214 Ability to track eligibility and qualifications for family medical leave. 216 Ability to track annual physical exams as well as other physical tests (e. etc.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. 211 Ability to track leave taken by employee.). Self-Service 223 Enable on-line application of leave for approval by the appropriate supervisors via self-service functionality. 208 Requirement Existing Module Proposed Module Ability to track concurrent leave status (e. 217 Ability to track professional license renewals required for position (e. Fitness test. Leave Schedule 225 226 Allow for supervisor to view employee’s leave schedule and allow for tracking of staff working on shifts.g. No. 213 Ability to suspend and restart accruals. 221 Facility for leave encashment. 220 Ability to assign leave benefits based upon level and classification of employee. 218 Ability to track safety-sensitive position employees for drug/alcohol testing and maintain separate confidentiality for record. Users shall also be able to view their leave entitlements and balance on-line. 209 Number of days of a leave to be rule based.g. and balance.g.. type of leave. The system shall also allow for the creation of leave charts. sick subjective/other leave. 222 Provide a detailed order stating the approval/rejection of leave request.

For example employee information in respect to hiring. promotion. Ability to recover loans on the salary day. It should be able to provide detailed MIS reports on employees. Facilitate holding of different types of loans by a single employee. awards. Ability to project loan commitment of a Department.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. Facility of e-mailing respective Departmental Branch (e.g. but is not limited to. the following reports: • Employee disciplinary history • Employee disciplinary letters • Employee grievances history 230 Ability to provide for Employee movement tracking. and warnings till the employee leaves the Department. salary revision. Employee Relationship Management . job assignment. recognition. Treasuries & Accounts) to credit account of an employee and also e-mail an employee on approval or rejection of loan. demotions. Requirement No. 231 Ability to link to the Confidential reports(CR) Loan and Advance Management . 116 .Loan Management 232 233 234 235 236 237 238 Ability to accrue or charge interest either through a loan account or through a designated account. Ability to defer installment and recalculate installment values after deferment. transfers.Disciplinary Actions Existing Module Proposed Module 227 Allow users to maintain information on the following employee disciplinary activities: • Violations requiring disciplinary action • Disciplinary actions processes and activities • Types of disciplinary action • Details of disciplinary incidents and resolutions • Tracking of disciplinary cases Employee Grievances 228 Allow users to maintain information on the following employee grievances: • Types of workplace grievances • Grievance actions processes and activities • Types of grievances • Details of grievances and resolutions Reporting 229 Ability to generate. System to provide for tiered interest rate facility.

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development Sr. Certificates and Registration requirements • Degree Requirement • Minimum Requirements • Salary scale • Workers Compensation code • Employee type (part time or full time). and potential. Ability to identify qualifications such as memberships/licenses that may expire and require renewal. 117 . Requirement No. meaning that one qualification can be used in place of another to fulfill all or some of another requirement. for example. requirements. jobs and positions. specifying the type of information to be stored in each profile such as qualifications. preferences. Ability to record the qualifications required while performing specific jobs or tasks.Qualifications Management 239 240 241 242 243 244 245 Existing Module Proposed Module Ability to define profiles for employees. including work-related skills and specific certifications or licenses in the qualifications catalogue. • All other user defined information. tasks. work centers. allowing the comparison of individual candidates based on only the most important attributes. dislikes. Ability to link qualifications that are similar and define them as alternatives. Ability to identify specific requirements of a job or task as essential. and track expiration dates. applicants. several years of education may be an alternative to a year of experience Ability to match an individual’s skills or qualifications to those required for a position to identify any gaps and then propose training and development plans to acquire the necessary skills Ability to track job classification in fields of: • Record of job classification code(s) • Licenses. Management of Employees Qualifications .

3 Annexure 3.“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development 11.Risk Log Project : Date of Log: Prepared by: Validated by : Basic Risk Information Risk Number Risk Responsibility Date Description Reported Date: Risk Assessment and Mitigation Information Last reviewed Impact Impact Mitigation Description Strategy H/ M /L <<Provider <<What is <<Name of a unique the the Team risk identifier member/ about?>> for the stakeholder Risk>> responsible for taking action>> Day/ Month/ Year Day/ Month/ Year <<Enter the date on which the risk was reported>> <<Enter the latest date on which the risk was Updated>> <<Enter the probability of impact High/ Medium/ Low according to probability definitions>> <<What will be the impact on the project because of the identified risk>> <<Enter the types of strategy to be adopted for mitigating the risk a)Avoidance b) Reduction c) Retention d)Transfer/ Share>> Risk Response Information Timelines Completed Actions Day/ Month/ Year Planned future Action <<Enter the timelines for mitigating the risk>> <<List by date what actions will be taken to respond to risk in future>> <<List of all actions taken to respond to risk>> Risk Status Day/ Month/ Year a) Open b)No Plan (NP) c)Plan enacted (PE) d)Plan Effective e)Closed 118 .

“e-Governance in Municipalities”: Model DPR Guidelines for State Level DPR Ministry of Urban Development .