legasis-pune smart city

© 2017 Legasis Services Pvt. Ltd 1

Smart Governance for Smart Cities:

Compliance, Transparency & Accountability


Legasis stands for Legal System and Integrated Solutions that is supported by

Legasis Partners, an Indian multi-practice law firm

Founded in 2006, it is the 'Fusion of Lawyering and Information Technology‘

Pioneers and Specialists in Legal Support Services company that provide a unique,

IT-enabled & knowledge-based fully customizable legal solutions

Team of 103 dedicated experts operating in Mumbai, Pune, Hyderabad and New

Delhi

ISO 9001:2015 and ISO 27001:2013 certified company

Provides integrated solutions to over 550 clients across 30 countries

Awarded ‘’Performance Excellence Award’’ - Institute of Economic Studies in 2012

Solutions in Compliance Management,

Intellectual Property Management,

Counter Fraud Management and Legal

Research Management to onshore and

offshore corporations

Legasis has deep domain expertise in

Laws and Regulations governing

Compliance, Intellectual Property,

Counter Fraud, Corruption etc. & has

implemented solutions in almost all

industry sectors. Some examples include

Manufacturing , Energy, Automobile,

Infrastructure, FMCG, IT, etc

Business Models

Expertise

Profile: Legasis Services Private Limited (LSPL)

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•Have a horizontal coverage in all of the Countries mentioned above •Working on building a vertical database for sector specific Regulations

Australia Bangladesh Belgium Brazil Canada China France

Germany Indonesia Italy

Panama

Japan Kenya Mexico Nepal

Nigeria Portugal Russia Romania South Africa Saudi Arabia Singapore

South Korea UK Spain Thailand Ukraine UAE USA

Israel

Legasis: Global Reach


In June 2015 Government of India launched the ‘100 Smart Cities’ Mission, key objective

of which was to improve the Infrastructure of the identified cities to efficiently handle and

govern the rapidly increasing urbanisation in terms of liveability and sustainable economic

growth.

Initially, 20 Cities were selected under Smart City Initiative

PUNE, Bhubaneshwar, Jaipur, Surat, Kochi, Ahmedabad, Jabalpur, Vishakhapatnam,

Solapur, Devanagari, Indore, NDMC, Coimbatore, Kakinada, Belgavi, Udaipur, Chennai,

Guwahati, Ludhiana, Bhopal

Smart City: The Government of India Initiative


Pune Smart City is registered as a State Government Company and hence shall be governed by The

Companies Act, 2013, save some exemptions, as well as other applicable compliances. Similar would

be the case for other Smart Cities.

The ultimate acid test and success of such a bold initiative like Smart City lies in effective governance,

compliance, transparency and accountability in implementation of various projects.

Legasis, with its effective, unique and user friendly IT-enabled solutions like Smart Legatrix provides

comprehensive compliance management solution and Smart CARRAR provides procurement solution

from pre bid to post execution of contracts.

These two IT-enabled solutions by themselves ensure Smart Governance of a Smart City and there by

transparent, successful and effective implementation of various projects under a Smart City.

Governance of Smart Cities: Compliance, Accountability & Transparency


Objective:

Evolving Benchmarks of Sustainable Governance - Transparency and

Compliances

Key Focus Areas:

1. Focus on Procurement Related Compliances during Development

to Commissioning Phase of Smart Cities

2. Setting up SPV Compliances

3. Statutory Functions Obligations

• Mandatory Functions

• Discretionary Functions

Advantages:

1. Independent and objective

2. Cost of Compliance < Cost of Non Compliance

3. Sustainability & Transparency

Governance of Smart Cities: Compliance & Transparency Module

SPV Compliances

Statutory functions obligation

Compliance of existing laws to be ensured

through deterrence measures like penalty

for violation of laws and their compliance.

1. Identification of applicable laws and

their compliances, adherence and

governance of compliances is

imperative.

2. PSCDCL promote ease of doing business

through governance and compliance

module

Paradigm shift from assumed compliance

to assured compliance

Compliance by Choice


Objective:

Evolving Compliance By Choice

Translating to Transparency by Choice

IT enabled solution

Adoption of Compliance & Transparency by Choice:

1. Normative Behaviour

2. Legislative Mandate

• Letter

• Spirit

3. Principles Policies & Procedure (Proactive Approach)

By Choice and With Pride

Compliance by Choice

Compliance by Choice:

Ensuring compliance through

technology solutions which offers a

paradigm from assumed compliance

to assured compliance

Transparency by Choice:

Every SPV should maintain their

digital space with up to date

information

Government bodies may be

provided with access to any

information as per requirement

All records may be digitized &

stored on virtual data room where

relevant stakeholders shall have

access


Procurement Process: The Project Life Cycle (CARRAR)

1. Should have public participation

2. Should have transparency in

bureaucracy

3. Should have modern technology

of crime prediction to curb delay

in justice

4. Should adhere to the Prevention

of Corruption Act/Bill

5. Should have minimum level of

discretionary powers with the

bureaucrats to avoid any kind of

misuse of these powers for

personal interests

Best Practices

Post-Bid

Contract management and compliance

Tracking non-compliance

Bidding process

Tracking all procedural steps Tracking deviations from procedures

Pre-Bid documentation

Adherence to policies and guidelines

Defining procedures Tracking policy

deviations

Adoption of Policies


SPV Compliances

Defining SPV Compliances:

SPV as a Corporate Entity

Adopting of Corporate Governance

Defining & Involving Stakeholders

Quarantining from Third Party Action:

• Subject to adoption of Principles, Policies, Procedures

• Ex: Acting in Good Faith Legal Protection

SPV as a Corporate entity

1. The SPV will plan, appraise,

approve, release funds,

implement, manage, operate,

monitor and evaluate the Smart

City development projects

2. The execution of projects

may be done through joint

ventures, subsidiaries, public-

private partnership (PPP), turnkey

contracts, etc. suitably interlocked

with revenue streams

3. By virtue of registration

under The Companies Act, 2013,

SPV will be liable for statutory and

regulatory compliances.


Statutory Functions

Break up and Drill down of Statutory Functions

As a City legislative provisions require bifurcation: of Statutory Functions- Mandatory &

Discretionary

Discharge of Mandatory Functions:

1. Breaking down to tasks – Mandatory functions will be converted into simple

tasks where non legal person can understand to fulfil the legal requirement

2. Creating a master task list – There will be master list of all activities for easy

reference. That can be used as handbook.

3. Mapping to roles – Individual stakeholders will be identified as per roles and

responsibilities against each task

4. Assigning ownership – Each and every task will be tagged to identified

stakeholder

5. Defining escalations – Escalation can be defined by giving sufficient time to

address all tasks

6. Risk parameters – Each and every task will be associated with its risk i.e. Impact

of non compliance

7. Controls through dashboard (& apps) – There will be graphical representation for

easy reference where posing risk will be highlighted.

Discharge of Discretionary Functions:

1. Collaborative approach

2. Controlling through concessions

User nomenclature

Performer

Reviewer

Function Head

Unit Head

Compliance Head

Chief Compliance Head

Dashboards

Risk parameters

Super Critical

Critical

High

Medium

Low

Trifling

Escalations mechanism


Customized Smart Legatrix & Smart CARRAR for PSCDCL


In a landmark initiative, Pune Smart City Development Corporation (PSCDCL) and United Nations

Global Compact Network of India (UN GCNI) entered into an MoU in June, 2016 to provide the

advisory services with respect to Governance and Compliance to the Special Purpose Vehicle (SPV)

Separately, Legasis entered into an MoU with UN GCNI in July, 2016 to provide the following IT-

enabled solutions:

a) For the purpose of Governance, Compliance and Performance of statutory functions of SPV i.e.

Smart Legatrix

b) For the purpose of all procurement related compliances during development to commissioning

phase of the project i.e. Smart CARRAR

c) Capable of incorporating the Citizen Charter in the framework of Governance of SPV by

concretizing the abstract rights and responsibilities of Citizens and ensuring the rights and

accountability of Citizen to Public Services i.e. Smart Roznama

Ensuring Good Governance in PSCDCL

© 2017 Legasis Services Pvt. Ltd

Legasis possesses an exhaustive repository of virtually all laws in India whether they be at the Centre, State, Municipal and/or Local Government Body levels.

According to the sectoral requirement, in this case PSCDCL, applicable laws at all levels are

culled out of this vast repository and mapped in the IT enabled Compliance Management Solution: Smart Legatrix.

Legatrix has thus been customized to suit the PSCDCL requirements in such a manner that alerts would be generated for compliance well in time, followed by red flags in case of non compliance.

These alerts can be monitored at the supervisory/CEO level to drive compliance from their

dash boards by logging into Smart Legatrix and take suitable remedial action, if any.

The tool also has the capability of generating various types of analysis and reports that can assist in tracking and securing sound internal controls through compliances, thus contributing to good governance of the PSCDCL.

Smart Legatrix: IT-enabled Solution for Compliance


In order to ensure transparency and accountability in the entire procurement process, Legasis has incorporated the Procurement Rules, Policies & Guidelines in the solution. Each stage of the Tendering Process of various projects has also been captured in the Smart CARRAR for effective monitoring transparency and accountability. A) Pre-Bid Documentation: Adherence to procurement rules, guidelines and polices, applicable to the concerned

projects. PSCDCL can track deviations against the set rules. B) Bidding Process: PSCDCL can track all procedural steps. Legasis team has broken down all procedures into

tasks for keeping a track of different steps involved in the process. PSCDCL can track deviations from all procedural steps at the supervisory / CEO level and

take suitable remedial actions.

Smart CARRAR: IT-enabled Tender / Contract Management Solution


Break down terms and conditions of agreements into tasks The Nodal officer of PSCDCL will help Legasis team to identify concerned

employees (users), who will ensure that the terms and conditions of the signed agreements are being followed by reporting into the Smart CARRAR.

The Supervisory and CEO can monitor the entire process by accessing Smart CARRAR from the login page for suitable and remedial actions, if any.

CARRAR: Post Bid Actions


Surendra Deshpande Email: [email protected] Mobile: 9960413409

mailto:[email protected]

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