INDIA: Integrated Coastal Zone Management Project

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INDIA Integrated Coastal Zone Management Project (P007985) First Implementation Support Mission, June 2011 Staffing 13. SICOM: A Chartered Accountant has been appointed as the finance manager who heads the accounts and finance wing at SPMU and is supported by accounts assistant (who is a commerce graduate). NPMU has hired PFMC from December 2010. In case of SOI dedicated staff for maintaining the Tally accounts has been appointed. 14. Gujarat: At SPMU, a Chartered Accountant has been appointed as the finance manager who heads the accounts and finance wing at SPMU. The finance manager is supported by accounts officer (who has been shifted out to procurement and this post is vacant) and accounts assistant (who is a commerce graduate). The PEAs have appointed dedicated staff for maintaining the Tally accounts. SPMU is in the process of finalizing the PFMC contract, which would be completed before 31 July 2011. PFMC would visit PEAs and ensure that their accounts are maintained timely and correctly. The project has already imparted one round of training to the PEAs. Similar refresher training needs to be conducted by the SPMU before 31 August 2011. 15. Odisha: Staffing at SPMU level is adequate, as the State has nominated two staff and has appointed one Chartered accountant (CA). PFMC has been appointed at the SPMU level that would also visit and ensure that PEA accounts are maintained timely and correctly. The staffing at the PEA level is a concern as 7 PEAs are yet to appoint/nominate dedicated accounts staff for the project. This action is required to be completed at the earliest before 30 September 2011. In the interim period, the SPMU with the help of PFMC staff would ensure that the accounts of PEAs are maintained up to date. In case of some PEAs if the recruitment process of accountants gets delayed, then SPMU will initiate the process, appoint the staff for such PEAs and these staff would be paid by the respective PEAs. The mission interacted with all the PEAs at SPMU office. While majority of the accounts staff were well informed about the project, there would be requirement for constant training on accounts and Tally for the next six months. The project has already imparted training in February 2011, which was attended by 15 participants. Similar training needs to be conducted by the SPMU before 31 August 2011. 16. West Bengal: Staffing at SPMU level is not yet as per the agreed staffing pattern. The State has nominated one staff and the SPMU has appointed two commerce graduates. The accounts officer who would be a professional accountant is yet to be appointed and it is expected that the person would be appointed by 31 July 2011. For PFMC, the consultant has been selected and the contract is expected to be issued before July 2011 end. The staffing at the PEA level is a concern as 4 PEAs are yet to appoint/nominate dedicated accounts staff for the project. This action is required to be completed at the earliest and not later than September 2011. In the interim period, the SPMU with the help of PFMC staff would ensure that the accounts of PEAs are maintained up to date. In case of some of the PEAs, if the recruitment process of accountants gets delayed, then the SPMU will initiate the process; appoint the staff for such PEAs; and these staff would be paid by the respective PEAs. The mission had interaction with most of the PEAs at SPMU office. While some of the accounts staff was well informed about the project, there would be requirement for constant training on accounts and Tally for the next six months. Internal audit 17. SICOM: The internal auditor has been appointed and the contract has been signed for FY11-13 in the month of March 2011. The auditor has been requested to audit 2010-11 for the project covering both NPMU and all states. The audit is in progress and the report is expected to be submitted to the World Bank by end July 2011. 18. Gujarat: The internal auditor has been appointed and the contract has been signed for FY11-13 in the month of April 2011. The auditor is expected to start the work from July 2011. The first quarter report is 66
INDIA Integrated Coastal Zone Management Project (P007985) First Implementation Support Mission, June 2011 expected to be submitted by August 2011 end. An audit committee of the SPMU has been constituted as per the FM Manual. 19. Odisha: The internal auditor has been appointed and the contract has been signed for FY11-13 in the month of April 2011. The auditor is expected to start the work from July 2011. The first quarter report is expected to be submitted by August 2011. An audit committee of the Odisha SPMU needs to be constituted as per the FM Manual, and the same needs to be intimated to the World Bank before 31 September 2011. 20. West Bengal: The internal auditor has been selected and would be in place in July 2011. The auditor is expected to start the work from July 2011. The first quarter report is expected to be submitted by August 2011 end. An audit committee of the West Bengal SPMU has been constituted. External audit 21. As agreed an external auditor has been appointed by the NPMU who will cover the entire project activities carried out by NPMU, all SPMUs and PEAs. The contract has been signed for FY 10-11 in the month of April 2011. The auditor is expected to start the work from July 2011 and would submit the report before the due date of September 2011. New PEAs at national level 22. Three new activities are slated to be carried out under national component: (i) Dandi ESA activities which is expected to be carried out GEC; (ii) Vedranyam ESA activities which expected to be carried out MSSRF; and (iii) national knowledge program to be carried out by NCSZM. 23. For activity 2 and 3 the financial management assessment of MSSRF and NCSZM has been carried out and prima facie MSSRF has the capacity to handle the FM reporting requirements as per the FM assessment. In case of NCSZM since it is a new entity, accounts staff needs to be hired and trained to carry out the project accounting and reporting. Till the accounts staffs are hired, all project related expenses for NCSZM should be scrutinized, paid and accounted by SICOM. SICOM should ensure that the NCSZM staff are hired and trained properly before they operate the project funds. For all the components, the final cost table and the activities are yet to be approved by the technical team. So the first step would be that the cost tables and activities are agreed with the task team and based on the activities the financial management framework, fund flow and audit requirements can be worked out with these agencies. Till the time the cost tables are completed and the funding is agreed, the project is advised not to claim expenditure incurred by these agencies. SHG/EDC framework 24. In the project there are some components where the funds would be transferred to the SHG/EDC/CBO. The mission requested the project to finalize the fund flow, accounting rules and the installment payments mechanism for SHG/EDC/CBO framework and inform the World Bank for concurrence. The mission informed that all payments must be made to these communities through cheques and should also where possible insist on maintaining separate bank accounts. The bank account should have at least two signatories, which is a good internal control mechanism. The mission suggested that the maximum installments should be around 3 and the project needs to work out and inform as how the payments would be made and how the expenditure would be monitored. This framework needs to be shared with the World Bank by 31 August 2011. Also all payments made to these groups would be treated as advance and 67
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