E2665 v2 REV NATIONAL GANGA RIVER BASIN AUTHORITY (NGRBA) (Ministry of Environment and Forests, Government of India) Volume II Environmental and Social Management Framework (ESMF) March 2011 CONTENTS Section 1 Project Description.................................................................................................... 1 1.1 Background ......................................................................................................................... 1 1.2 Project Components ........................................................................................................... 2 1.2.1 Component One: Institutional Development ........................................................... 2 1.2.1.1 Objective ........................................................................................................................ 2 1.2.1.2 Sub Component A: NGRBA Operationalization and Program Management ............... 2 1.2.1.3 Sub component B: Technical Assistance for ULB Service Provider ............................ 3 1.2.1.4 Sub-component C: Technical Assistance for Environmental Regulator ....................... 3 1.2.2 Component Two: Priority Infrastructure Investments ............................................. 4 1.2.2.1 Objective ........................................................................................................................ 4 1.2.2.2 Four Investment Sectors ................................................................................................ 4 1.2.2.3 The Framework Approach ............................................................................................ 5 1.2.2.3.1 Framework Criteria.................................................................................................. 5 1.2.2.4 Innovative Pilots ............................................................................................................ 7 1.2.2.5 Investment Execution..................................................................................................... 7 1.2.2.6 Rehabilitation of existing infrastructure ....................................................................... 7 1.3 The ESMF............................................................................................................................. 8 Section 2 Environmental and Social Impacts ............................................................................ 9 2.1 General ................................................................................................................................ 9 2.2 Portfolio of Projects ............................................................................................................ 9 2.3 Environmental and Social Impacts .................................................................................... 11 2.3.1 Sewerage Schemes ................................................................................................ 11 2.3.2 Sewage Treatment Plants....................................................................................... 12 2.3.3 Solid Waste Management Projects ........................................................................ 13 2.3.4 Industrial Pollution Control Initiatives .................................................................. 14 2.3.5 River Front Management Projects ......................................................................... 15 Section 3 Environmental and Social Regulatory Framework .................................................. 17 3.1 General .............................................................................................................................. 17 3.2 Applicable Laws and Regulations - Environmental ........................................................... 17 3.2.1 Legal Framework of Government of India ............................................................ 17 3.2.2 Key Environmental Laws and Regulations ........................................................... 18 3.2.3 Other Legislations applicable to Construction Projects under NGRBP ................ 21 3.2 4 Safeguard policies of The World Bank ................................................................. 23 3.3 Applicable Laws and Regulations - Social ......................................................................... 26 3.3.1 World Bank Operational Policies .......................................................................... 26 3.3.2 National Policies and Acts ..................................................................................... 27 Section 4 Environmental Management Framework ................................................................ 32 4.1 Objective ........................................................................................................................... 32 4.2 Purpose of the ESMF ......................................................................................................... 32 4.3 Environmental Categorization of Sub-Projects ................................................................. 33 4.3.1 Category I Sub-Projects ......................................................................................... 33 4.3.2 Category II Sub-Projects ....................................................................................... 34 4.4 Safeguard Management Requirements for Sub-Projects ................................................. 36 4.5 Stakeholder Consultations and Disclosure ....................................................................... 37 4.6 Environmental Regulatory Compliance ............................................................................ 37 4.6 Strategic Environmental and Social Assessment .............................................................. 42 Section 5 Social Management Framework .............................................................................. 43 5.1 General .............................................................................................................................. 43 5.2 Resettlement Policy and Land Acquisition Framework .................................................... 43 5.2.1 Broad Principles .................................................................................................... 43 5.2.2 Definitions ............................................................................................................. 44 5.2.3 The Process ............................................................................................................ 46 5.2.4 R&R Benefits for Project Affected Families ......................................................... 51 5.2.5 Land Acquisition and Compensation Disbursement Process ................................ 55 5.2.6 Land Acquisition ................................................................................................... 56 5.3 Indigenous Peoples Management Framework (IPMF) ..................................................... 60 5.3.1 Introduction ........................................................................................................... 60 5.3.2 Indigenous Peoples Management Framework ....................................................... 61 5.3.2.1 Issues ........................................................................................................................... 62 5.3.2.2 Objectives .................................................................................................................... 62 5.3.2.3 Procedure for Preparing an IPDP ................................................................................. 63 5.3.2.4 Suggested format for IPDP .......................................................................................... 65 5.3.2.5 Key Elements of IPDP and Participatory Approach .................................................... 66 5.3.2.6 Implementation Issues and Strategy ............................................................................ 68 5.3.2.7 Gender Issues ............................................................................................................... 70 5.3.3 Institutional Arrangements for Implementation .................................................... 70 5.4 Gender Assessment and Development Framework ......................................................... 75 5.4.1 General Checklist .................................................................................................. 76 5.4.2 Specific Checklists to be covered during various stages of project cycle Methodology.......................................................................................................... 77 5.5 Poverty and Social Impact Assessment ............................................................................. 83 5.6 Consultation framework and Information Disclosure ...................................................... 83 5.6.1 Consultation Framework ....................................................................................... 83 5.6.2 Information Disclosure .......................................................................................... 85 Section 6 Implementation, Monitoring and Reporting Arrangements..................................... 92 6.1 General .............................................................................................................................. 92 6.2 NGRBA Institutional Arrangements .................................................................................. 92 6.3 Implementation, Monitoring and Reporting Arrangements for the ESMF....................... 94 6.4 Training and Capacity Building ........................................................................................ 101 Section 7 Public Consultations and Disclosure ..................................................................... 105 7.1 General ............................................................................................................................ 105 7.2 Minutes of Public Consultation Meetings ....................................................................... 107 List of Appendices Annexure I Guidance on EIA of Category I Sub-Project .............................................. 116 Annexure II Generic Environmental Guidelines/ Management Plan for Category 2 Projects ................................................................................... 123 Annexure III Roles and Responsibilities to Implement SMF at Various Levels ............. 130 Annexure IV Copy of signed List of Participants ............................................................ 133 Annexure V Copy of The Gazette of India ..................................................................... 156 List of Tables Table 3.1 Environmental Regulations and Legislations ........................................................ 18 Table 3.2 Applicability of WB Safeguard Policies for Projects under NGRBP .................... 25 Table 3.3 The Land Acquisition Process ............................................................................... 30 Table 4.1 Categorisation of NGRBP Projects ....................................................................... 35 Table 4.2 Environmental Regulatory Requirements for NGRBA Sub-Projects ................... 38 Table 4.3 Environmental Regulatory Compliance during Construction and Operation of NGRBA Sub-Projects ............................................................................................ 39 Table 5.1 Entitlement Matrix ................................................................................................. 52 Table 5.2 Calculation sheet for land rate ............................................................................... 59 Table 5.3 Information to be disclosed ................................................................................... 87 Table 6.1 Mitigation, Monitoring, Responsibility and Timeline for RAP Implementation .. 98 Table 6.2 ESMF Implementation and Monitoring Arrangements ......................................... 99 Table 6.3 Generic Training Programme .............................................................................. 103 Table 7.1 Details of the public consultations held at the five selected states ...................... 106 List of Figures Figure 5.1 Social Screening flowchart .................................................................................... 48 Figure 6.1 Implementation Arrangements for the NGRBA Program ..................................... 93 List of Abbreviations BPL Below Poverty Line CPRs Common Property Resources EMP Environmental Management Plan EP Entitled Person ESA Environmental and Social Assessment ESMF Environmental and Social Management Framework GAP Ganga Action Plan GSMP Generic Safeguard Management Plan GOI Government of India ha Hectare LAA Land Acquisition Act MoEF Ministry of Environment and Forests NGO Non-Government Organization NGRBA National Ganga River Basin Authority NGRBP National Ganga River Basin Project NRCD National River Conservation Directorate NLCP National Lake Conservation Plan PAP Project Affected Person PAF Project Affected Families PEA Project Executing Agency PMG Programme Management Group RAP Resettlement Action Plan ROW Right of Way R&R Resettlement and Rehabilitation SC Scheduled Caste SPMU State Programme Management Units SRCAs State River Conservation Authorities ST Scheduled Tribe ULB Urban Local Body U/s Under Section YAP Yamuna Action Plan Glossary of Terms Bigha 1/5 of an acre Hectare A unit for measuring land area. (10000 m2 ). Development Block A number of villages grouped together form a Development Block. Tehsil/Subdivision A group of Blocks Panchayat Samiti Local Self-governing body at Block level District Collector Administrative head of a District. /Magistrate Divisional Commissioner Administrative head of a division comprising a number of districts. Panchayat Elected local self-governing body at village level. Sarpanch Elected Head/chief of a village level body. Non titleholders Drawing economic benefits from a piece of land, but not the owner of the land Pucca Cement, bricks or concrete build structure Semi Pucca Structures with tiles/ thatch roof/ brick cement wall Kachha Structures with stone/ mud wall/ thatch roof Grievance Redress Cell A cell set up by the project authority at various levels to look in to grievances of a PAP Section 1 Project Description 1.1 Background 1. River Ganga has significant economic, environmental, and cultural value in India. Rising in the Himalayas and flowing into the Bay of Bengal, the river traverses a course of more than 2,500 km through the plains of north and eastern India. The Ganga main stem (which also extends into parts of Nepal, China and Bangladesh) accounts for about 26 percent of India`s landmass, 30 percent of its water resources, and more than 40 percent of its population. In addition, Ganga is India`s holiest rivers and has a cultural and spiritual significance that far transcends the boundaries of the basin. 2. Due to increasing population in the basin and poor management of urbanization and industrial growth, the water quality of River Ganga has significantly deteriorated, particularly in the dry season. The primary sources of pollution are untreated sewage and industrial wastewater. Non-point pollution sources from religious activities at various locations along the river, agriculture and livestock as well as poor solid waste management also contributes to pollution. In addition, substantial abstraction of water, primarily for irrigation, has led to low flows and associated poor water quality in the critical middle stretch of the river. 3. The previous attempts to clean the river, such as Ganga Action Plan (GAP) launched in 1985 and a similar plan for Yamuna - the biggest tributary of Ganga (YAP), have provided some gains in arresting rate of water quality degradation, but are widely perceived as failures. 4. Lessons from earlier experience indicate that improving water quality in the Ganga cannot be achieved by plugging the infrastructure gap alone. Any effective initiative will have to adopt a three-pronged approach by (i) establishing a basin-level multi- sectoral framework for addressing pollution in the river (ii) making relevant 1 institutions operational and effective and (iii) implementing a phased program of prioritized infrastructure investments. 5. As a major first step in this direction, Government of India (GOI) has established National Ganga River Basin Authority (NGRBA) for the comprehensive management of the river. The NGRBA will adopt a river-basin approach and has been given a multi-sector mandate to address both water quantity and quality aspects. The NGRBA has resolved that by year 2020 no untreated municipal sewage or industrial effluents will be discharged into River Ganga. 1.2 Project Components 6. The project will have two components relating to institutional development and priority infrastructure investments. The first component would seek to build the institutional capacity to effectively implement the overall NGRBA program, including infrastructure investments funded by the second component. 1.2.1 Component One: Institutional Development 1.2.1.1 Objective 7. The objectives of this component are to: (i) build functional capacity of the NGRBA`s operational institutions at both the central and state levels; and (ii) provide support to associated institutions for implementing the NGRBA program. The activities financed under this component are grouped under the following sub-components: a) Sub-component A: NGRBA Operationalization and Program Management b) Sub-component B: Technical Assistance for ULB Service Providers c) Sub-component C: Technical Assistance for Environmental Regulators 1.2.1.2 Sub Component A: NGRBA Operationalization and Program Management 8. This sub-component is aimed at supporting the nascent operational institutions established for implementing the NGRBA program at the central and state levels on a full time basis. The operational institutions comprise the NGRBA Program Management Group (PMG) at the central level, and SGRCA Program Management 2 Groups (SPMGs) at the state level. The following are the main NGRBA program activities included under this sub-component: (a) Institutional Support to the PMG and the SPMGs. The sub-compoment will support the initial setup costs of office infrastructure and equipment, incremental professional staffing, as well as provision of critical consultancies, training, and operation costs, for the PMG and the SPMGs. This support would therefore enable these institutions to manage the entire NGRBA program, including the activities and investments not funded under the World Bank project. (b) Enhancing Ganga Knowledge Resources: The sub-component will support the establishment of a state-of-the-art Ganga Knowledge Center (GKC) with the objectives of: (i) serving as the global repository of knowledge resources pertaining to the Ganga; (ii) addressing critical gaps in knowledge; and (iii) improving information access for the public and decision-makers. The GKC will be an integral part of the PMG. (c) Communications and Public Participation: The sub-component will finance a dedicated communications and public participation program, undertaken in partnership with community-based organizations, school and college student groups, and the media. The communications and outreach efforts will build upon the existing vibrant discourse and grassroots campaigns on the Ganga, including those led by some of the civil society members of the NGRBA. 1.2.1.3 Sub component B: Technical Assistance for ULB Service Provider 9. This sub-component will support the ULBs as well as local-level water and wastewater service providers, through provision of modern and efficient information and planning systems, training, equipment for managing physical systems, and technical assistance for improving revenue/cost recovery to ensure sustainability of local investments. 1.2.1.4 Sub-component C: Technical Assistance for Environmental Regulator 10. This will support capacity building of the central and state pollution control boards, to address the key constraints related to their functions regarding the Ganga, focusing on 3 improving information systems, staff skills, laboratory accreditation, and infrastructure facilities. Some of the key activities include: a) Upgradation of the Water Quality Monitoring System (WQMS) The sub-component will support a system of automatic and high quality collection of water quality data from more than 100 priority monitoring locations along the mainstem and some important tributaries of the Ganga, addressing the needs for both technical and institutional modernization. b) Comprehensive inventorying of pollution sources The location, flow and pollution loading characteristics of all large point source discharge locations on the main stem of Ganga will be mapped to create a basin-level inventory. Studies will be supported to estimate the extent and relative contributions of the non-point source pollution of various origins. This work, to be implemented in the first year, will start addressing the baseline information needs for the Ganga basin. c) Strengthening environmental compliance monitoring Surveillance for regulation compliance will be strengthened for the Central and State Pollution Control Boards, by improving information systems and support for incremental staffing. 1.2.2 Component Two: Priority Infrastructure Investments 1.2.2.1 Objective 11. The objective of this component is to finance demonstrative infrastructure investments1 to reduce pollution loads in priority locations on the river. The investments are intended to exemplify, among other attributes, the high standards of technical preparation and implementation, sustainability of operations, and public participation envisaged in the NGRBA framework. This component will also support innovative pilots, for new and transformative technologies or implementation arrangements. 1.2.2.2 Four Investment Sectors 12. This component will support demonstrative investments in all the main sectors that are key to addressing the pollutioAsn in the Ganga. The majority of investments are 1 Given the generally large size of individual sub-projects that are needed in the priority locations on the Ganga, the available funding is expected to finance a small number of sub-projects (around 10-15 major investments in at most 10 towns/cities). 4 expected to be in the wastewater sector, particularly in wastewater treatment plants and sewerage networks. Investments will also be supported in industrial pollution control and prevention (e.g. common effluent treatment plants), solid waste management (e.g. collection, transport and disposal systems), and river front management (e.g. improvement of the built environment along river stretches, improvement of small ghats and electric crematoria, and the conservation and preservation of ecologically sensitive sites). Many investments are likely to combine elements of more than one of these sectors. 1.2.2.3 The Framework Approach 13. In lieu of defining and appraising specific investments, the project preparation has focused on developing investments framework covering all four key sectors of intervention under the NGRBA program. This single framework will apply to all investments under the NGRBA program, including investments to be financed with the government`s own resources. The objectives of the investments framework are to: a) provide a filter for all the NGRBA investments, for ensuring that the selected investments are well-prepared and amongst the most effective in reducing the pollution loads; b) make transparent the decision-making process on investments selection; and c) ensure that the investments are implemented in a sustainable manner. 14. Given the long-term nature of the NGRBA program and the fact that universe of potential investments is large, the adoption of the framework approach effectively sets the rules of the game, and will allow infrastructure investments to be selected on a dynamic and ongoing basis. 1.2.2.3.1 Framework Criteria 15. The investments framework prescribes the criteria and quality assurance standards covering various aspects including eligibility, prioritization, planning, technical preparation, financial and economic analyses, environmental and social management, long term O&M sustainability, community participation, and local institutional capacity. Examples of key criteria are presented below: 5 a) Explicit Consent of ULBs No NGRBA investments will be appraised without explicit and informed consent of the relevant ULB. This consent will indicate a clear recognition of the nature, scale and cost of the investment, and the ULB`s own roles and responsibilities with regards to asset ownership and long-term O&M b) Technology Selection Technology selection for wastewater treatment will be made on lowest lifecycle cost basis, specified for the local conditions and required degree of treatment. c) Environmental and Social Assessment All the sub-projects shall comply with the environmental and social management framework of NGRBA and integrate the ESA recommendations in the sub-project designs. d) Design-Build-Operate (DBO) and other Long Term Contracts All investments with significant O&M costs (such as WWTPs, pumping stations, landfills and waste processing) will be developed and managed under long term contracts (either Design-Build-Operate [DBO] or other kind) including 15 years of O&M. This will bring enhanced accountability, adequate capacity and resources, and strong performance incentives to the sector. e) Capitalization of initial O&M Costs The first 5 years of O&M costs, based on specific calculations for each investment, will be included in the total cost for each DPR and will be financed on a shared basis by the central and state governments. f) House Connections Plans and cost of providing house connections up to property line must be included in the DPRs for sewerage investments. The ULBs will implement outreach and other actions to encourage households to connect up to these points. g) Industry Commitment to O&M Industrial pollution DPRs must include appropriate affidavits from industries outlining commitment to ensure satisfactory operation of common facilities. h) Area Development Wherever possible, river front management investments must take an area development approach, both to achieve spatial scale along wider and longer stretches of the river, and to integrate across sectors. 6 1.2.2.4 Innovative Pilots 16. The project will finance pilot investments in order to promote and demonstrate innovative technologies and implementation arrangements. The potential pilot areas identified so far include net-energy positive wastewater treatment technologies and innovative Public-Private Participation (PPP) financing models which have not been used in the Ganga basin states. 1.2.2.5 Investment Execution 17. The investments program will be planned and managed by the NGRBA PMG and SPMGs. Execution of the infrastructure investments will be done by the Executing Agencies (EAs), selected specifically for each investment. The current choice of EAs includes the existing state-level technical agencies which have the mandate of urban infrastructure (especially wastewater) management in their respective states. Most of these agencies have been working for a few decades, and have significant expertise and experience in preparation and implementation of infrastructure projects in the four key sectors of the NGRBA program. In the medium to long term, the NGRBA program intends to promote competition with these existing EAs by facilitating the establishment of new ones in each state, including public-private joint venture infrastructure companies. In future, if a new entity (in addition to the currently defined EAs) is proposed as an EA for a specific investment, it will need to undergo assessments by the PMG/SPMGs to ascertain its capacity to manage the technical, project management, procurement, financial management and safeguards aspects of the investment. 1.2.2.6 Rehabilitation of existing infrastructure 18. Investments involving rehabilitation of existing infrastructure will be included on priority, due to their intrinsically higher returns in terms of reductions in pollution loads entering the Ganga. 7 1.3 The ESMF 19. Given the distributed nature of project investments over a large area in multiple states, the investments under the project may entail significant environmental and social impacts, including acquisition of private land and resettlement issues. 20. The current ESMF document is intended to help manage the social and environmental impacts through appropriate measures during the planning, design, construction and operation of various sub-projects of NGRBP. The framework identifies the level of safeguard due-diligence required for all categories of sub-projects of NGRBP and provides specific guidance on the policies and procedures to be followed for environmental and social assessment along with roles and responsibilities of the implementing agencies. 21. The ESMF essentially comprises the following key sections: Project Description A brief summary of key Environmental and Social Impacts Environmental and Social Regulatory Framework applicable for the project Environmental Management Framework Social Management Framework Project Appraisal, Monitoring and Reporting Arrangements Institutional Arrangements Training and Capacity Building for ESMF 8 Section 2 Environmental and Social Impacts 2.1 General 22. The implementation of the river pollution mitigation projects under the National Ganga River Basin Project (NGRBP) is anticipated to encounter a variety of environmental and social issues/problems like pollution of surface and ground water bodies or other natural resources, issues related to air pollution or other environmental health and sanitation hazard, inconvenience to public due to traffic diversions and construction activities, issues of land acquisition and rehabilitation and resettlement. The NGRBP, recognize these environmental and social issues and prepares itself to address their mitigation through a set of management procedures elaborated in this Environmental and Social Management Framework (ESMF). NGRBA, through its state level SRCA`s will ensure that policies and procedures described in the ESMF are applied to all World Bank supported projects. 23. To evolve its environmental and social management procedures, NGRBA has carefully examined the portfolio of projects previously executed under the river pollution mitigation projects under Ganga Action Plan (Phase I and II) along with similar other urban infrastructure projects implemented elsewhere in the country under various Government of India sponsored schemes, supplemented by detailed environmental and social analysis of Ganga Basin (presented in Volume I), field visits and appraisal of sample projects to be implemented under the present NGRBP and accordingly identified the environment and social issues arising from projects, to be implemented under NGRBP. 2.2 Portfolio of Projects 24. The portfolio of sub-projects to be implemented under the NGRBP is presented in Table 2.1. The implementation of these projects is spread across several cities and/or towns within the Ganga main stem states of Uttarakhand, Uttar Pradesh, Bihar, Jharkhand and West Bengal. 9 Table 2.1 Portfolio of Sub-Projects under NGRBP2 S.No. Portfolio of Portfolio Components sub-Projects 1 Sewerage and Provision for an entirely new sewerage network including Sanitation Schemes individual house service connections Extensions to existing sewerage networks in some parts of cities/towns to include areas which are un-sewered hitherto or to newly developed areas in the recent years 2 Sewage Treatment Entirely new sewage treatment plant/facility Plants (New / Augmentation of capacities in existing sewage treatment Upgradation) plant/facility Remodelling /Renovation of existing sewage treatment facilities, resulting in better effluent quality and augmented treatment capacity 3 Solid Waste Engineered landfills with leachate collection and treatment Management systems Waste segregation and composting facilities Waste Processing or Waste to Energy Facilities 4 Industrial Pollution Common Effluent Treatment Plant Control Initiatives Common Hazardous Waste Management Facilities Pilot treatment facilities for various industrial sectors Waste Minimization and Clean Technology Programs River Front River Front Management and beautification 5 Management Construction of Bathing Ghats Projects Redevelopment of Cremation grounds, situated on river banks Improvements to existing crematoriums, situated on river banks Restoration / enhancement of cultural / heritage / religious monuments 25. The portfolio of projects under the NGRBP mainly aims at preventing discharge of untreated sewage into River Ganga and thus aiding abatement of river water pollution and improvement in water quality. Consequently, this also contributes to the improvement in the status of environment health and sanitation for the citizens of the concerned cities and towns. The projects, which will be implemented under NGRBP, have its own beneficial as well as adverse impacts. The significance of these impacts depends on the individual project, its size and location. The likely beneficial impacts of the projects under NGRBP include the following. Improvement in sewerage collection and treatment within the cities/towns Prevention of storm drains carrying sanitary sullage or dry weather flow 2 To be implemented within the Ganga main stem states of Uttarakhand, Uttar Pradesh, Bihar, Jharkhand and West Bengal 10 Prevention of ground water and soil pollution due to infiltration of untreated liquid waste Prevention of discharge of untreated sewage into River Ganga Improvement in water quality of River Improvement in environmental sanitation health and reduction in associated health hazards within the cities/towns Improvement in quality of life, human dignity and increased productivity Reduced nuisance of open defecation due to low cost sanitation and reduced malarial risks and other health hazards Improved community participation and sense of ownership 2.3 Environmental and Social Impacts 26. While the Project is expected to benefit the Ganga main stem communities, the implementation of proposed components of the project could lead to some adverse impacts on environment, people and land resources. This section identifies the environmental and social impacts of the sub-project activities with a view to facilitate early evaluation of such impacts and integrate suitable mitigation measures during sub-project planning and implementation. The key social impacts can be grouped into three categories viz., (i) direct (loss of properties; loss of income; loss of livelihood); (ii) indirect (loss of access during construction); and (iii) perceived losses (perception of decline in property values adjacent to STP, land fill sites). Based on field visits and discussion with the potential executing agencies, the typical adverse impacts associated with the projects (portfolio wise) under NGRBP are summarized below. 2.3.1 Sewerage Schemes 27. The projects under this category involve laying of sewer network (both gravity and pressure lines), provision of sewer connections to individual houses, gravity based interception and diversion arrangements to drains carrying sanitary sullage/dry weather flow, construction of new sewage pumping stations including installation of electro mechanical works, renovation and/or remodelling of existing sewage pumping stations among others. Most of these projects would be concentrated in one location except for laying of sewers (both gravity and pressure lines), which are linear projects 11 and the sewers are largely buried below ground or sometimes laid on or above the ground depending upon the available/required slope or gradient. 28. Although there would not be any permanent negative or adverse environmental impacts, the typical environmental issues associated with sewerage and sanitation projects are: surface and ground water contamination due to leakage and/or improper joints in sewers severance to utilities and requirements for relocation of utilities due to sewer laying disruption due to local traffic diversions and congestions during sewer laying works impact on public/private properties and other sensitive receptors along the sewer alignment during construction disposal of excess excavated soil and construction debris exploitation of water sources for meeting construction water demand. air and noise pollution from construction equipments health and safety concerns of workers, while laying or rehabilitating existing sewers. 29. As regards to the Social Impacts, the requirement of land for these projects is rather small. However, sewerage schemes could displace people (encroachers or squatters) living on the along the road networks and on sewer alignments areas, which could trigger resettlement issues. This may also result in temporary loss of access to private and common properties during construction. 2.3.2 Sewage Treatment Plants 30. The projects under this category involve construction of new sewage treatment plants, augmentation of treatment capacity in existing sewage plants and renovation and/or re-modeling of existing sewage treatment plants, resulting in improved effluent quality and disposal arrangements as per stipulated standards. Most of these projects would be concentrated in one location and the requirement of land for these projects is rather small as compared to other infrastructure development projects. 12 31. Although there would not be any permanent negative environmental impacts, the typical environmental issues associated with sewerage treatment facility are: change in land use pattern, in case of proposed sewage treatment plants at new locations change in channel hydraulics, triggering erosion and siltation problems, if sewage treatment plants are proposed in flood plains change in hydrology and drainage patterns due to the construction activity, particularly, if sewage treatment facility is located in flood plains issues associated with the disposal of sludge, if sewage is likely to be contaminated with heavy metals due to mix of industrial waste with sewage emission of methane, if not utilized for power generation or any other gainful applications water logging problems due to improper/inadequate disposal arrangements of treated effluent or effluent not conforming to stipulated discharge standards during operation and maintenance phase health and safety issues associated with storage and handling of chemicals for sewage treatment facility operation and maintenance health and safety issues associated with operation and maintenance of sewage treatment facility, particularly exposure to methane and other noxious gases, sludge contaminated with heavy metals etc. 32. Most of these projects would be concentrated in one location and the requirement of land for these projects is rather small as compared to other infrastructure development projects. Hence, the social impacts would be minimal. The sewage treatment plants at times would require displacement of people and trigger resettlement issues, if there is need for private land (or) government land that has been occupied/ encroached. Displacement may also result in loss of livelihood and income. The land parcels located close to the STPs may see fall in value. 2.3.3 Solid Waste Management Projects 33. These projects involve construction of municipal waste receiving and segregation yards, composting yards, engineered landfills with leachate collection and disposal arrangements among others. Most of these works would be spread over in one location and the requirement of land for these projects is rather small as compared to 13 other infrastructure development projects. Generally, the land for the solid waste treatment facility will be selected away from habitations. 34. Although there would not be any permanent negative environmental impacts, the typical environmental issues associated with Solid Waste Management are: surface and ground water contamination due to unmanaged leachate collection and disposal change in channel hydraulics, triggering erosion and siltation problems, if solid waste management facility is proposed in flood plains change in hydrology and drainage pattern, if the facility is located in flood plains air quality, odor and fly nuisance due to the improper operation of waste disposal or processing facilities issues pertaining to citing of facility such as change in land use pattern, proximity to settlements, cultural properties and any other sensitive receptors air and noise pollution from construction equipments health and safety issues associated with operation and maintenance of solid waste treatment facility, particularly of workers manually handling wastes. 35. As regards to the social impacts, generally, the land for the solid waste treatment facility will be selected away from habitations. However, the solid waste treatment plant/facility, at times would require displacement of people and trigger resettlement issues, if there is need for private land (or) government land that has been occupied. Displacement may also result in loss of livelihood or sources of livelihood and thus loss of income. The land parcels located close to the solid waste treatment facility may see fall in value. 2.3.4 Industrial Pollution Control Initiatives 36. Sub-projects under this component could involve development of common industrial effluent treatment plants or hazardous waste management plants, etc. These projects by nature of their interventions are aimed at addressing the environmental issues of the Ganga main stem area. However, if the locations and technologies for these pollution control facilities are not appropriately selected, could lead to significant environmental impacts such as the following: 14 Pollution of water resources Soil contamination due to the disposal of untreated / partially treated effluents and / or hazardous wastes air quality, odor and fly nuisance due to the improper operation of treatment facilities health impacts on the neighboring communities Issues of leachate and loss of productivity to agriculture lands due to the disposal of sludge from the facilities. 37. Similar to the earlier sub-projects, the Social Impacts of Industrial Pollution Control sub-projects, could involve displacement of people and trigger resettlement issues, if there is need for private land (or) government land that has been occupied. Displacement may also result in loss of livelihood or sources of livelihood and thus loss of income. The land parcels located close to the waste treatment facility may see fall in value too. 2.3.5 River Front Management Projects 38. These works involve river front development schemes, beautification of river banks, construction of bathing ghats along rivers, lakes and water bodies improvement, redevelopment of cremation grounds among others. Most of these works would be concentrated in one location. The requirement of land for these works is moderate and much lesser than that is required for the sewage treatment or solid waste treatment facility. Although, these facilities are frequently used by the citizens, the location of these projects will not generally involve displacement of people. 39. There would not be any permanent adverse or negative impacts due to these sub- projects, if there are no major interferences in the river flow channel hydraulics, which can trigger erosion and siltation issues either insitu or elsewhere along the course of the river. The impacts due to community amenity projects could be minimized or mitigated by appropriate interventions and engineering designs. 40. The environmental issues that may arise due to community amenity projects like river front development schemes, beautification of river banks, construction of bathing ghats, and redevelopment of cremation grounds are: 15 change in land use, and drainage pattern change in channel hydraulics, triggering \erosion and siltation problems either at insitu or elsewhere along course of river impact due to inadequate solid and liquid waste disposal arrangements impact due to inadequate sanitation, health and safety facilities impact on river water quality due to proposed amenities impact on environmental aesthetics and cultural value 41. In terms of Social Impacts, the requirement of land for these works is moderate and much lesser than that is required for the sewage treatment or solid waste treatment facility. Although, these facilities are frequently used by the citizens, the location of these projects will not generally involve residential displacement, but chances of commercial displacement in form of commercial squatters exists. This may result in loss of source of livelihood and or livelihood. 16 Section 3 Environmental and Social Regulatory Framework 3.1 General 42. The national, state and local environmental and social regulatory requirements that are applicable to the sub-projects proposed under NGRBP are given in this section. As the applicability of these legal requirements would depend on the nature of the specific projects, the exact applicability cannot be determined at this stage. NGRBA has summarized all the regulatory requirements in this ESMF and share it with all the SRCAs and the State level PEAPEA and ensure mandatory compliance to these requirements by all concerned. 43. NGRBA would also verify whether the sub-projects are in compliance with these regulatory requirements prior to granting approval to the projects and disbursement of funds. During implementation, NGRBA would ensure that the all SRCA`s monitor the ESMF compliance in all projects to the applicable regulatory requirements on an ongoing basis and periodically report back to NGRBA. 3.2 Applicable Laws and Regulations - Environmental 44. The following are the laws and regulations that are applicable to the environmental and social aspects of the projects to be implemented under NGRBA: Policy and Regulatory Framework of Government of India (GoI) Environmental Policy and Regulations of the respective State Governments Legislations applicable to construction projects Operational Policies and Directives of The World Bank 3.2.1 Legal Framework of Government of India 45. The Government of India has laid out various policy guidelines, acts and regulations pertaining to environment. The Environment (Protection) Act, 1986 is an umbrella legislation for the protection of environment. As per this Act, the responsibility to administer the legislation has been jointly entrusted to the Ministry of Environment 17 and Forests (MoEF) and the Central Pollution Control Board (CPCB)/State Pollution Control Boards (SPCBs). 3.2.2 Key Environmental Laws and Regulations 46. The key environmental laws and regulations as relevant to the projects under the NGRBP are given in Table 3.1. The key environmental regulations can also be accessed at www.moef.nic.in/rules-and-regulations Table 3.1 Environmental Regulations and Legislations S. Applicable Reason for Act / Rules Purpose Authority No Yes/ No Applicability 1 Environment To protect and Yes As all environmental MoEF, Gol, Protection Act- improve overall notifications, rules DoE, State 1986 environment and schedules are Gov. CPCB, issued under this act. SPCB 2 Environmental To provide Yes This notification is MoEF, EIAA Impact environmental applicable only for Assessment clearance to new Sewage Treatment Notification development Facility and Solid 14th Sep-2006 activities following waste Treatment environmental facility projects impact assessment under the NGRBP 3 Municipal To manage the Yes This notification is MoEF, EIAA, Wastes(Manage collection, applicable only for CPCB, SPCB ment and transportation, Municipal Solid Handling) Rules, segregation, waste Treatment 2000 treatment, and facility projects disposal of under the NGRBP municipal solid wastes 4 Notification for Reuse large NO If thermal plant use of fly ash quantity of fly ash within 100km from discharged from any of the Sewage thermal power Treatment Facility plant to minimize and Solid waste land use for Treatment facility disposal projects under the NGRBP. 5 Coastal Protection of NO If Project location is Regulation fragile coastal belt located along coastal Zone(CRZ) belt Notification 1991 (2011) 18 S. Applicable Reason for Act / Rules Purpose Authority No Yes/ No Applicability 6 National Address Yes Grievances if any NEAA Environment Grievances will be dealt with, Appellate regarding the within this act. Authority Act process of (NEAA) 1997 environmental clearance. 7 The Land Sets out rules for Yes This act will be Revenue Acquisition Act acquisition. of land applicable to as there Department 1894 (As by government will be acquisition of State amended in land for projects Government 1985) under NGRBP 8 MoEF Circular Defining No Not applicable as per MoEF on Marginal marginal land` Environmental Land Acquisition acquisition relating Impact Assessment and Bypasses to the 1997 Notification 1999 Notification 14th Sep-2006 9 The Forest To check Yes This act will be Forest (Conservation) deforestation by applicable if there is Department, Act. 1980 restricting diversion of forest State conversion of land for non-forest Government forested areas into activities i.e. forest and Ministry of non- forested areas land if required for Environment any of the projects and Forests, under NGRBP Government of India 10 MoEF circular Protection / No This act will be Forest (1998) on linear planting roadside applicable if sewers Department, Plantation on strip as are to be laid along State roadside, canals avenue/strip roadside, wherein Government and railway lines plantations as Roadside tree and Ministry of modifying the these are declared plantation exists, Environment applicability of protected forest irrespective of and Forests, provisions of areas. whether tree felling Government of forest is involved or not. India (Conversation) Act, to linear Plantation 11 Wild Life To protect wildlife No This act is will be Chief Protection Act through certain of applicable, if there Conservator 1972 National Parks and are any points of Wildlife, Sanctuaries wildlife crossing s in Wildlife Wing, proximity to project State Forest locations Department and Ministry of Environment and Forests, Government of India 19 S. Applicable Reason for Act / Rules Purpose Authority No Yes/ No Applicability 12 Air (Prevention To control air Yes This act will be SPCB and Control of pollution by and applicable during Pollution) Act, Transport construction; for 1981 controlling obtaining NOC for emission of air establishment of Department. workers' camp, pollutants as per construction camp, the prescribed etc. standards. 13 Water Prevention To control water Yes This act will be SPCB and Control of pollution by applicable during Pollution) controlling construction for Act1974 discharge of establishments of pollutants as per construction camp, the prescribed workers' camp, etc. standards 14 The Noise The standards for Yes This act will be SPCB Pollution noise for day and applicable for all (Regulation and night have been construction Control) Rules, promulgated by equipment deployed 2000 the MoEF for at worksite of various land uses. projects under NGRBP 15 Ancient Conservation of Yes This act will be Archaeological Monuments and cultural and applicable, only if Dept Gol, Archaeological historical remains any of the projects Indian Heritage Sites and found in India under NGRBP is in Society and Remains Act1958 proximity to any Indian National Ancient Monument, Trust for Art declared protected and Culture under the act. Heritage (INTACH). 16 Public Liability Protection form Yes Contractor need to SPCB and Insurance hazardous stock hazardous Act 1991 materials and material like diesel, accidents. Bitumen, Emulsions etc. 17 Explosive Act Safe Yes For transporting and Chief 1984 transportation, storing diesel, Oil Controller of storage and use of and lubricants etc. Explosives explosive material 18 Minor Mineral For opening new Yes Regulate use of District and concession quarry. minor minerals like Collector Rules stone, soil, river sand etc. 20 S. Applicable Reason for Act / Rules Purpose Authority No Yes/ No Applicability 19 Central Motor To check vehicular Yes This rule will be Motor Vehicle Vehicle Act 1988 air and noise applicable to Department and Central pollution. vehicles deployed Motor Vehicle for construction Rules1989 activities and construction Machinery. 20 National Forest To maintain No This policy will be Forest Policy1952 ecological stability applicable if any eco Department, National Forest through sensitive feature State Policy(Revised) preservation and exists in and around Government 1988 restoration of the projects and Ministry of biological proposed under Environment diversity. NGRBP and Forests, Government of India 21 The Mining Act The mining act has Yes The construction Department of been notified for activities for projects mining, State safe and sound under NGRBP will Government mining activity. require aggregates. These will be procured through mining from approved quarries 3.2.3 Other Legislations applicable to Construction Projects under NGRBP 47. Environmental issues during construction activities stage generally involve equity, safety and public health issues. The construction agencies therefore will be required to comply with laws of the land, which include inter alia, the following: Workmen's Compensation Act 1923 (the Act provides for compensation in case of injury by accident arising out of and during the course of employment); Payment of Gratuity Act, 1972 (gratuity is payable to an employee under the Act on satisfaction of certain conditions on separation if an employee has completed 5 years); Employees PF and Miscellaneous Provision Act 1952 (the Act provides for monthly contributions by the employer plus workers); Maternity Benefit Act, 1951 (the Act provides for leave and some other benefits to women employees in case of confinement or miscarriage, etc.); 21 Contract Labor (Regulation and Abolition) Act, 1970 (the Act provides for certain welfare measures to be provided by the contractor to contract labour); Minimum Wages Act, 1948 (the employer is supposed to pay not less than the Minimum Wages fixed by the Government as per provisions of the Act); Payment of Wages Act, 1936 (it lays down as to by what date the wages are to be paid, when it will be paid and what deductions can be made from the wages of the workers); Equal Remuneration Act, 1979 (the Act provides for payment of equal wages for work of equal nature to Male and Female workers and not for making discrimination against Female employees); Payment of Bonus Act, 1965 (the Act provides for payments of annual bonus subject to a minimum of 83.3% of wages and maximum of 20% of wages); Industrial Disputes Act, 1947 (the Act lays down the machinery and procedure for resolution of industrial disputes, in what situations a strike or lock-out becomes illegal and what are the requirements for laying off or retrenching the employees or closing down the establishment); Industrial Employment (Standing Orders) Act; 1946 (the Act provides for laying down rules governing the conditions of employment); Trade Unions Act, 1926 (the Act lays down the procedure for registration of trade unions of workers and employers. The trade unions registered under the Act have been given certain immunities from civil and criminal liabilities); Child Labour (Prohibition and Regulation) A; 1986 (the Act prohibits employment of children below 14 years of age in certain occupations and processes and provides for regulation of employment of children in all other occupations and processes. Employment of child labour is prohibited in Building and Construction Industry); Inter-State Migrant Workmen`s (Regulation of Employment and Conditions of Service) Act, 1979 (the inter-state migrant workers, in an establishment to which this Act becomes applicable, are required to be provided certain facilities such as housing, medical aid, traveling expenses from home to the establishment and back, etc.); The Building and Other Construction Workers (Regulation of Employment and Conditions of Service) Act, 1996 and the Cess Act of 1996 (all the establishments who carry on any building or other construction work and employs 10 or more 22 workers are covered under this Act; the employer of the establishment is required to provide safety measures at the building or construction work and other welfare measures, such as canteens, first-aid facilities, ambulance, housing accommodation for Workers near the workplace, etc.); The Factories Act, 1948 (the Act lays down the procedure for approval of plans before setting up a factory, health and safety provisions, welfare provisions, working hours and rendering information-regarding accidents or dangerous occurrences to designated authorities); Hazardous Wastes (Management and Handling) Rules, 1989 (the Rules govern handling, movement and disposal of hazardous waste); Manufacture, Storage and Import of Hazardous Chemicals Rules 1989, amended 1994 and 2000 (the Rules provide indicative criteria for hazardous chemicals and require occupiers to identify major accident hazards and prepare on-site and off- site emergency plans). 3.2 4 Safeguard policies of The World Bank 48. The safeguard policies of the World Bank, which are applicable to the subprojects under NGRBP, are given in Table 3.2. The environmental requirements of the World Bank are specified in detail in its Operational Policy (OP) 4.01 and other related Operation Policies. In instances wherein the procedural and regulatory requirements differ, the stringent ones are considered as applicable. 49. The World Bank undertakes environmental screening of each proposed project to determine the appropriate extent and type of Environmental Assessment (EA). The Bank classifies the proposed project into one of four categories, depending on the type, location, sensitivity, and scale of the project and the nature and magnitude of its potential environmental impacts. The World Bank environmental requirements are based on a four -part classification system as given hereunder: Category A -requires a full Environmental Assessment (EA). Category B -projects require a lesser level of environmental investigation. Category C -projects require no environmental analysis. 23 Category FI: A proposed project is classified as Category FI if it involves investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts Category A: A proposed project is classified as Category A, if it is likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works. EA for a Category A project examines the project's potential negative and positive environmental impacts, compares them with those of feasible alternatives (including the "without project" situation), and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. Category B: A proposed project is classified as Category B if its potential adverse environmental impacts on human populations or environmentally important areas-- including wetlands, forests, grasslands, and other natural habitats--are less adverse than those of Category A projects. These impacts are site-specific; few if any of them are irreversible; and in most cases mitigatory measures can be designed more readily than for Category A projects. The scope of EA for a Category B project may vary from project to project, but it is narrower than that of EA for Category A project. Like EA for Category A, it examines the project's potential negative and positive environmental impacts and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. Category C: A proposed project is classified as Category C if it is likely to have minimal or no adverse environmental impacts. Beyond screening, no further EA action is required for a Category C project. Category FI: A proposed project is classified as Category FI if it involves investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts. 24 Table 3.2 Applicability of WB Safeguard Policies for Projects under NGRBP WB Subject Applicability for Reason For Mitigation Safeguard Safe Category subprojects Its Applicability Measures Requirements Guard under NGRBA Policy OP Environmental Triggered for all Umbrella policy All necessary EIA and/or 4.01 Assessment sub-projects mitigation EMP required. measures are to be incorporated. OP Natural Triggered, in case Eco-sensitive- All necessary EIA and EMP 4.04 Habitats the projects are in Forestry and mitigation required and around close wildlife related measures are to proximity of issues be incorporated. natural habitats OP Forestry Triggered, incase Diversion of Land diversion Forest land 4.36 the projects Forest land (to be will be carried diversion require diversion acquired) for out as per Application has of forest lands for specific projects Revenue to be prepared specific projects under NGRBP department. and submitted to under NGRBP forest department OP Pest Not Triggered Not Applicable Not Applicable Not Applicable 4.09 Management OP Involuntary Triggered, in case If land To be Resettlement 4.12 Resettlement the projects under acquisition will Incorporated in Action Plan NGRBP require lead to loss of RAP land which are livelihoods, loss either occupied of land and or encroached Buildings etc upon by people OP Indigenous Triggered, in case Separate Separate Indigenous 4.10 people the projects under Indigenous Indigenous people NGRBP require people people development land which and development Plan development Plan are either is required for the Plan to be occupied or Project. prepared encroached upon or affect the indigenous people OP Cultural Triggered, in case Triggered, in case Required Application has 4.11 Property the specific the specific permissions to be prepared (draft) projects are in projects are in from the and submitted to close proximity close proximity of Department are Archeological of Archeological/His to be obtained department Archeological/Hi torical prior to storical monuments commencement monuments of construction 25 3.3 Applicable Laws and Regulations - Social 50. All strategic interventions on human development, spread across all social issues, need directives of policies and legal support to operationalise the appropriate actions. These policies and legislations help to overcome the constraints and support administrator, implementer, community and individual in delivery of justice. This chapter includes the World Bank as well as National policies and Acts as detailed under: World Bank Social Safeguard Policies i) Operational Policy 4.10 on Indigenous Peoples/Tribes ii) Operational Policies 4.12 on Involuntary Resettlement National Policies and Acts i) National Tribal Policy, 2006 ii) National Resettlement and Rehabilitation Policy, 2007 iii) (Land Acquisition Act 1894 as modified in 1985) iv) 73rd Constitution Amendment Act, 1992 3.3.1 World Bank Operational Policies OP 4.10 on Indigenous Peoples/Tribes 51. The World Bank Policy on indigenous peoples, OP/BP 4.10, Indigenous Peoples, underscores the need for borrowers and Bank staff to identify indigenous peoples, consult with them, ensure that they participate in, and benefit from Bank-funded operations in a culturally appropriate way - and that adverse impacts on them are avoided, or where not feasible, minimized or mitigated. OP 4.12: Involuntary Resettlement 52. Involuntary Resettlement is triggered in situations involving involuntary taking of land and involuntary restrictions of access to legally designated parks and protected areas. The policy aims to avoid involuntary resettlement to the extent feasible, or to minimize and mitigate its adverse social and economic impacts. It promotes 26 participation of displaced people in resettlement planning and implementation, and its key economic objective is to assist displaced persons in their efforts to improve or at least restore their incomes and standards of living after displacement. The policy prescribes compensation and other resettlement measures to achieve its objectives and requires that borrowers prepare adequate resettlement planning instruments prior to Bank appraisal of proposed projects. 3.3.2 National Policies and Acts The National Tribal Policy (2006) 53. The Policy has the following objectives: Regulatory Protection Providing an environment conducive to the preservation of traditional and customary systems and regime of rights and concessions enjoyed by different ST communities, and reconciliation of modes of socio-economic development with these. Preventing alienation of land owned by STs and restoring possession of wrongfully alienated lands. Protection and vesting of rights of STs on forestlands and other forest rights including ownership over minor forest produce (MFP), minerals and water bodies through appropriate legislations and conversion of all forest villages into revenue villages. Providing a legislative frame for rehabilitation and resettlement in order to minimize displacement, ensure that affected persons are partners in the growth in the zone of influence, provide for compensation of social and opportunity cost in addition to market value of the land and rights over common property (NPV). Empowerment of tribal communities to promote self-governance and self-rule as per the provisions and spirit of the Panchayats (Extension to the Scheduled Areas) Act, 1996. Protection of political rights to ensure greater and active participation of tribal peoples in political bodies at all levels. Alienation of Tribal Land Alienation of tribal land is the single most important cause of pauperization of tribal peoples, rendering their vulnerable economic situation more precarious. 27 Poor land record system in tribal areas coupled with the illiteracy, poverty and ignorance of tribal peoples and the greed of others have resulted in the continuous transfer of resources from tribals to non-tribals for several decades. Competent legal aid will be made available timely to tribals at all stages of litigation. State Land laws will be in conformity with the PESA Act (The Provisions of the (Extension to the Scheduled Areas) Act, 1996. The Act is meant to enable tribal society to assume control over their own destiny to preserve and conserve their traditional rights over natural resources. Displacement, Rehabilitation and Resettlement The principle of least displacement would be mandatorily followed. An exhaustive social impact assessment would be conducted before initiating a development project. Displacement would be after mandatory consultation with the community as provided in the PESA Act. The principle of `land for land` in the command area or zone of influence would be followed scrupulously. There will be mandatory consultations with Tribes Advisory Councils in case of displacement of STs from the Scheduled Areas. STs displaced from Scheduled Areas shall be allotted alternative lands in Scheduled Areas only. Compensation would be computed not merely on the basis of the replacement value of the individual land rights lost, but on the market value of land, the concept of net present value, loss of opportunity cost, community rights, and livelihoods. The PAFs would have first right to get employment in the project. Training should be organized for the induction of PAFs even before the project is initiated. The implementation of R&R would be upfront to make the process of displacement more humane. A ground level monitoring mechanism, involving representatives of the PAFs and post implementation social audit will also be ensured. In application to Scheduled Areas, the provisions of the Land Acquisition Act, 1894, the National Policy on Resettlement and Rehabilitation­ 2007, the Coal 28 Bearing Areas (Acquisition and Development) Act, 1957 and the National mineral Policy, 1993 will be amended to harmonize with those of the PESA Act, 1996. Empowerment The Provisions of the Panchayats (Extension to the Scheduled Areas) Act, 1996 (PESA) came into force on 24th December, 1996 with the objective of safeguarding and preserving the traditions and customs of the people living in the Fifth Schedule areas, their social, religious and cultural identities, and traditional management practices of community resources. National Resettlement and Rehabilitation Policy for Project Affected Families - 2007 54. The national policy on resettlement and rehabilitation represents a significant milestone in the development of a systematic approach to addressing resettlement. The policy establishes a framework for extending additional assistance to project- affected families, over and above the compensation for affected assets provided under the Land Acquisition (LA) Act. 55. This policy strikes a balance between the need for land for developmental activities and protecting the interests of land owners and others. The benefits under the new policy are available to all Project Affected Persons (PAP) and families whose land, property or livelihood is adversely affected by land acquisition, involuntary displacement due to natural calamities, etc. Land Acquisition Act, 1894 (As Modified Until 1st September, 1985) 56. The act is applicable to the whole of India except the state of Jammu and Kashmir. The policy provides a broad guideline of procedure of land acquisition. The Land Acquisition (LA) Act of 1984 is commonly used for acquisition of land for any public purpose. It is used at the State level with State amendments made to suit local requirements. Expropriation of and compensation for land, houses and other immovable assets are carried out under the Land Acquisition (Amendment) Act, 1984. The Act deals with compulsory acquisition of private land for public purpose. The LA Act does not contain any provision specifically dealing with resettlement including income restoration aspects. 29 Table 3.3 The Land Acquisition Process Legal Actions Provision Section 4 Draft prepared by requiring body, verified by the Ministry of Law, printing and proof reading. Publish in official gazette and two local newspapers; post notice locality No further land sales, transfers or subdivisions after notice Appoint Land Acquisition Officer (LAO) to survey land Notices under section 4(1) issued to individual owners and interested parties (one month) Declaration Government certifies that land is required for a public purpose of Public Declaration is published purpose Collector / Deputy Commissioner receives order from Revenue Department, State Government Land appraisal begins (two weeks to a month) Section 5(a) Enquire objections to LA Enquiry Land owners and interested parties appear before LAO Revenue commissioner calls for comments of acquiring agency if objections are raised ­ (one to three months) Section 6 State government issues notices LAO serves individual notice on all interested parties of government`s intention to take possession of land Time and place set for claims to LAO Public notice given Collector or LAO investigate claims (12 months) Section 9 LAO conducts on-site inquiry regarding area of LA and compensation payable LAO determines compensation (12 months) Section 11 Declaration of final award by Collector/Commissioner/State and 12 Government after inquiry of total valuation Notice of awards given to interested parties for payment of compensation Government can take possession of land and hand over to implementing agency (14 months) Seventy Third Constitution Amendment Act, 1992 57. The Act enables participation of Panchayat level institutions in decision-making by broadening the village level functions, supporting implementation of development schemes. As per the amendment, the rights and duties of the Panchayat have been included in the XI Schedule of the Constitution. The Act provides for involvement of the PRIs especially, the Gram Sabha/ Panchayat during project preparation and 30 implementation. The Panchayats at the village level will be involved for preparation and implementation of the project. The Gram Panchayat/Sabha will coordinate with the PIU to finalize the alignment, land width accretion, incorporation of suggestions made by the community, identification of eligible persons, entitlement provisions, grievance redressal and collection of MoU/Affidavit for land transfer or assets. Forest Rights Act 2006 58. The Act basically does two things: Grants legal recognition to the rights of traditional forest dwelling communities, partially correcting the injustice caused by the forest laws. Makes a beginning towards giving communities and the public a voice in forest and wildlife conservation 31 Section 4 Environmental Management Framework 4.1 Objective 59. The Objective of ESMF is to ensure environmentally sustainable development in NGRBA`s endeavor of Mission Clean Ganga by providing a framework that helps effective management of environmental and social issues in all the sub-projects with a special focus on the following: ensure that all sub-projects under NGRBP adhere to the national, state and local regulatory requirements during the design, implementation and operation stages ensure that best environmental practices are mainstreamed / integrated during design, implementation and operation of the sub-projects strive to enhance environmental conditions wherever feasible undertake to develop communication strategy, capacity building and training initiatives for all stakeholders such as the SPMUs, PEAs, ULBs, NGOs and common citizens. 4.2 Purpose of the ESMF 60. The purpose of the ESMF is to facilitate the management of environmental and social issues of the river pollution mitigation projects, proposed to be implemented under the National Ganga River Basin Project (NGRBP). At this stage, although the category or portfolio of projects to be implemented under the NGRBP has been broadly identified, the specific projects, i.e. the size, type and location are not available or yet to be identified. Therefore, at this stage it is not possible to develop specific environment and social management plans for each of the specific projects. Considering that the specific project identification is a need based/demand-driven process in consonance with the overall objective of Mission Ganga`, it is considered appropriate to have an Environmental and Social Management Framework (ESMF), that could be used as an umbrella by the NGRBA, SRCAs and all implementing agencies under NGRBP, while preparing and /or appraising, approving and implementing the projects. 32 61. Through the ESMF, the SRCAs and NGRBA will also be implementing international good practices for managing social and environmental issues of the sub-projects under the NGRBP using an explicit management framework. 4.3 Environmental Categorization of Sub-Projects 62. The portfolio of potential sub-projects under NGRBP, depending on its location, size and nature of project activities, will have varying impacts on environment. The extent of assessment required to identify and mitigate the impacts largely depends upon the complexities of project activities. To facilitate effective screening, the portfolio of projects to be implemented under NGRBP, have been grouped into the following two categories, based on the severity of its potential impacts, regulatory requirements of Government of India (GoI) as well as State Governments apart from the safeguard requirements of the World Bank: Category I ­ Sub-Projects requiring Environmental and Social Assessment and development of RAP (Category A as per OP 4.01 of The World Bank) Category II ­ Sub-Projects requiring implementation of safeguard management plans (Category B, as per OP 4.01 of The World Bank) 4.3.1 Category I Sub-Projects 63. A proposed sub-project is classified as Category I, if it is likely to impact (adverse or moderate) the environmental and social aspects of the project influence area (including land acquisition). The Category I projects will also include all those projects, which require the mandatory environmental clearance as per the EIA notification S.O 1533 (E) dated Sept 2006, published by Ministry of Environment and Forests. 64. The sub-projects categorized as I would require conducting an Environmental and Social Assessment (ESA) by an independent agency (other than the agency designing the project) and the scope of the assessment will be decided based on the nature of the project and the environmental and social sensitivity of the project area. The ESA shall examine all the potential negative and positive environmental and social impacts of the project, compare them with those of feasible alternatives (including the "without 33 project" situation), and recommend any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. 4.3.2 Category II Sub-Projects 65. Category II projects are those, which are likely to cause minimal environmental impacts on human populations. The impacts in case of category II projects are largely localized and are temporary in nature. In view of the above, these projects would require preparation of an Environmental and Social Analysis, as part of the DPR, and implementation of Safeguard Management Plans (SMP), relevant to the project. 66. Based on the above criteria, the categorization of potential sub-projects of the NGRBP is presented in Table 4.1. The classification, as described above, is based on the perceived sensitivity, severity of potential impacts and regulatory requirements and is developed to serve as a guidance tool. However, the environmental sensitivity of each of the sub-project location will be analyzed during sub-project preparation and the category of each project will be determined on a case to case basis and necessary environmental due-diligence will be carried out. 67. While the SPMUs can decide upward categorization of the sub-project indicated below (for instance from II to I), but scaling down of category should be carried out only on the prior approval of the NGRBA and World Bank after submitting relevant justifications for it. 34 Table 4.1 Categorisation of NGRBP Projects Environmental Portfolio components Category A. Sewerage/Sanitation 1. Extension of existing or new sewer net work (without sewage II pumping stations and/or sewage treatment facility ) 2. Extension of existing or new sewer net work with sewage pumping stations and/or sewage treatment plants, involving fresh I land acquisition 3. Other sanitation Programs II B. Sewage Pumping stations and Sewage Treatment Plant/Facility 1. New sewage pumping station/facility involving fresh land I acquisition 2. New Sewage Treatment Plant/Facility involving fresh land I acquisition 3. Capacity augmentation of existing sewage pumping II station/facility but not involving fresh land acquisition 4. Capacity augmentation of existing Sewage Treatment Plants, but II not involving fresh land acquisition C. Industrial Pollution Control Projects 1. New Common Effluent Treatment Plant/facility I 2. New hazardous waste receiving, treatment storage and disposal I facility 3. Pilot projects on IPC technologies I 4. Waste Minimization and clean technology programs II D. Solid Waste Management 1. Sanitary Landfill Sites with leachate collection and disposal I arrangements with or without fresh land acquisition 2. Solid waste segregation and compositing facilities with or without I fresh land acquisition 3. Solid Waste collection and transportation Projects II E. River Front Management Projects 1. River front management projects without land acquisition and II without potential to interfere with waterway hydrology 2. River front management projects with land acquisition and / or I with potential to interfere with waterway hydrology 3. Redevelopment of cremation grounds situated on river banks II 4. Electric and/or CNG crematoria along river banks II F. Other Sub-Projects under Component 1 of the Project II 35 4.4 Safeguard Management Requirements for Sub-Projects 68. All the sub-projects classified as Category I would require conducting an ESA by an independent agency or consultant, not associated with the project design. The ESA should examine the project's potential negative and positive environmental and social impacts, compare them with those of feasible alternatives (including the "without project" situation), and recommend measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve safeguard performance, include specific measures to be integrated in the planning and design of the sub-project. The ESA shall include all the suggested mitigation measures in the form of a project specific environmental management plan (EMP), Rehabilitation Action Plan (RAP) and Social Management Plan (SMP) along with bill of quantities and cost estimates, for specific measures recommended for implementation by the sub-project. The bill of quantities of the EMP shall be included in the bid/contract documents and shall be implemented accordingly. 69. A sample terms of reference (TOR) for conducting EA for category I projects is provided in Annex I. 70. For category II sub-projects, an analysis of environmental and social issues shall be provided in the DPR and the safeguard management measures shall be implemented to mitigate the temporary impacts, mostly anticipated during the construction phase of the project. This shall also include preparation of bill of quantities and cost estimate. Wherever applicable requirements shall be included in the bid/contract documents and it will be ensured that all measures are implemented by the project. 71. A sample Safeguard Management Plan for category II projects is provided in Annex II. However, during the project preparation phase, these measures shall be validated with actual site conditions and updated to make it more project-specific. 72. Considering the fact that the PMG, SPGM and the Executing Agencies are nascent level institutions, all first year ESAs, EMPs, and RAPs and the first sub-project of the project component, will be shared with the Bank, for review and clearance. 36 4.5 Stakeholder Consultations and Disclosure 73. Planning and design of all the sub-projects of NGRBP will include adequate consultations with the project-affected groups and other stakeholders and will specifically focus on the project's environmental and social impacts. For Category I sub-projects, the consultation with these groups shall be carried out at least twice: (a) shortly after screening and before the terms of reference for the ESA are finalized; and (b) once a draft ESA report is prepared. In addition, such groups will be consulted throughout project implementation as necessary to address ESA-related issues that affect them. This will enable to elicit and address the concerns of the stakeholders and address them upfront in the project feasibility and design of the project. 74. In order to facilitate meaningful consultations and also effective participation of the stakeholders in the project, all the project related information will be shared with the likely project-affected groups and local NGOs, in a timely manner prior to consultation and in a form and language that are understandable and accessible to the groups being consulted. 75. In case of Category I projects, a summary of the proposed project's objectives, description, and potential impacts will be provided for the initial consultation. For consultation after the draft ESA report is prepared, a summary of the ESA's conclusions will be provided. In addition, the draft ESA report will be made available at all relevant public locations, accessible to project-affected groups and the stakeholders. The ESA report will also be disclosed in website of the SRCA, NGRBA and the World Bank`s Infoshop. 4.6 Environmental Regulatory Compliance 76. In addition to the above, the sub-projects should also comply with all the applicable environmental regulations and should secure required clearances / authorizations. Tables Table 4.2 and 4.3 provide a summary of such clearances and permissions. 37 Table 4.2 Environmental Regulatory Requirements for NGRBA Sub-Projects S. Type of Clearance Applicability Project Stage Responsibility Time No. Required 1 Environmental Clearance Applicable for select Pre Construction SPMU Not from MoEF/SIAA projects Applicable 2 Forest Clearance for land For forest land Pre Construction SPMU 6-8 Months diversion acquisition 3 Tree felling permission For roadside tree Pre construction SPMU 15 days cutting, incase sewers are to be laid 4 NOC and consents under For establishment of Construction stage Contractor 2-3 Months Air, Water & construction camp. (Prior to initiation Environment Act and of any work) noise rules from SPCB 5 NOC and consents under For operating Construction stage Contractor 1-2 Months Air, Water & construction plant, (Prior to initiation Environment Act and crusher, batching of any work noise rules from SPCB plant etc. 6 Explosive License from For storing fuel oil, Construction stage Contractor 2-3 Months Chief Controller of lubricants, diesel etc. (Prior to initiation Explosives, at construction camp of any work) 7 Permission for storage of Manufacture storage Construction stage Contractor 2-3 Months hazardous chemical from and Import of (Prior to initiation CPCB Hazardous Chemical of any work) 8 Quarry Lease Deed and Quarry operation Construction stage Contractor 2-3 Months Quarry License from (for new quarry) (Prior to initiation State Department of of any work) Mines and Geology 9 Permission for extraction Extraction of ground Construction stage Contractor 2-3 Months of ground water for use water (Prior to initiation in road construction of any work) activities from State Ground Water board 10 Permission for use of Use of surface water Construction stage Contractor 2-3 Months water for construction for construction (Prior to initiation purpose from irrigation of any work) department 11 Labor license from labor Engagement of Construction stage Contractor 2-3 Months commissioner office Labor (Prior to initiation of any work) 38 Table 4.3 Environmental Regulatory Compliance during Construction and Operation of NGRBA Sub-Projects S. Project Portfolio Applicable Obligations Responsibility No Legislations A Sewerage & Sanitation Projects 1. Laying entirely new sewer Net Work None Ensure Air and Noise Quality is within Contractor during construction or extension to existing network stipulated limits of SPCB`s and operating agency during including providing house Ensure minimum hindrance to traffic, operation & maintenance connections and gravity based pedestrians and minimum interruption to ULB/PEA ULB/Operating interception and diversion services Agency arrangements to drains carrying sanitary sullage/dry weather flow 2. Sewerage Network and Pumping Air Act, 1981 & Ensure Air and Noise Quality is within Contractor during construction Stations Noise Rules as stipulated limits of SPCB`s and operating agency during per EP Act, 1986 operation & maintenance ULB/PEA ULB/Operating Agency 3. Sewerage Network, Pumping Station Water Act, 1974 Secure Consent to establish and Operate Contractor during construction and Treatment Plant Hazardous for sewage treatment plant from SPCBs and operating agency during Wastes and Ensure Air and Noise quality is operation & maintenance (Management and within the stipulated limits of SPCB and ULB/PEA ULB/Operating Handling) CPCB Agency Amendment Rules, 2000 4. Low Cost Sanitation None Ensure Air and Noise Quality is within stipulated limits of SPCB`s Ensure minimum hindrance to traffic, pedestrians and minimum interruption to services 5. Generators at Sewage Pumping Air Act 1981 & Secure Consent to establish and Consent ULB/PEA ULB/Operating Agency Stations and Sewage Treatment Plant Noise Rules as to Operate for sewage treatment plant per EP Act, 1986 from SPCBs 39 S. Project Portfolio Applicable Obligations Responsibility No Legislations Ensure Air and Noise quality is within the stipulated limits of SPCB and CPCB B Industrial Pollution Control Projects 1. Common Effluent Treatment Plants Hazardous Secure the Consent to Establish and ULB/ PEA ULB / Operating Wastes Consent to Operate from SPCBs Agency (Management and Obtain Environmental Clearance from Handling) MOEF Amendment Ensure Air, water(surface and ground) Rules, 2000 and Noise Quality is within stipulated limits of SPCB`s/CPCB 2. Hazardous Waste Receiving, Hazardous Secure the Consent to Establish and ULB/ PEA ULB / Operating Treatment, Storage and Disposal Wastes Consent to Operate from SPCBs Agency Facilities (Management and Obtain Environmental Clearance from Handling) MOEF Amendment Ensure Air, water(surface and ground) Rules, 2000 and Noise Quality is within stipulated limits of SPCB`s/CPCB C Solid Waste Management Facilities A. Engineered Landfill Sites MSW Rules, Secure the Consent to Establish and ULB/ PEA ULB / Operating 2000 Consent to Operate from SPCBs Agency Air, Act, Water Obtain Environmental Clearance from Act and EPA MOEF Ensure Air, water(surface and ground) and Noise Quality is within stipulated limits of SPCB`s/CPCB B. Composting Facilities MSW Rules, Secure the Consent to Establish and ULB/ PEA ULB / Operating 2000 Consent to Operate from SPCBs Agency Air Act Water Obtain Environmental Clearance from Act and EPA MOEF 40 S. Project Portfolio Applicable Obligations Responsibility No Legislations Ensure Air, water(surface and ground) and Noise Quality is within stipulated limits of SPCB`s/CPCB Ensure no odor and fly nuisance in and around the waste segregation units within the compost yard through appropriate mitigation measures D River Front Development Schemes A. River front development and None Ensure Air and Noise Quality is within ULB/ PEA ULB / Operating beautification schemes stipulated limits of SPCB`s Agency Ensure minimum hindrance to traffic, pedestrians and minimum interruption to services B. Construction of Bathing Ghats None Ensure Air and Noise Quality is within ULB/ PEA ULB / Operating stipulated limits of SPCB`s Agency Ensure minimum hindrance to traffic, pedestrians and minimum interruption to services C. Redevelopment of cremation grounds Ensure Air and Noise Quality is within ULB/ PEA ULB / Operating situated along river banks None stipulated limits of SPCB`s Agency Ensure minimum hindrance to traffic, pedestrians and minimum interruption to services D. Modification of electric /CNG Air Act, 1981 Secure No Objection Certificate from ULB/ PEA ULB / Operating crematoriums situated along river SPCB Agency banks Consent to establish Consent to Operate Ensure Water, Air and Noise quality is within the stipulated limits of SPCB. 41 4.6 Strategic Environmental and Social Assessment 77. Considering the inadequate data on environmental and social aspects of the basin, and also the need for management of these aspects for long term sustainable management of Ganga Basin, a comprehensive Strategic Environmental and Social Assessment (SESA) study shall also be carried out as an important activity of the project. The objective SESA would be to (i) establish a reliable and monitorable base line environmental and social profile of the basin (ii) understand and analyze critical environmental and social issues of the basin (iii) identify and assess the magnitude and significance various pollution sources, including their inventory and measurement (iv) assess the impacts of these pollution sources on the key environmental attributes of the basin and (v) strategies for to conservation and restoration of environmental and socio-economic setting of Ganga Basin. 78. In order to ensure that the recommendations of the SESA study are integrated in the overall Ganga Basin Master Plan and future interventions in the basin, the study shall be commissioned early during the project preparation and the consultants shall be the priority activity in the first year of project implementation. While the study is duration is expected to be about 15 months, the final outputs of the study shall be available for review during the mid term phase of NGRBP, so that any suitable improvements in the project frameworks, safeguard management plans are integrated in the subsequent plans of NGRBA / NGRBP. 42 Section 5 Social Management Framework 5.1 General 79. This framework describes the policy, principles, and approach to be followed in minimizing and mitigating adverse social and economic impacts by the sub projects. The social management framework has four parts viz., (i) Resettlement Policy and Land Acquisition Framework; (ii) Indigenous Peoples Management Framework (IPMF); (iii) Gender Assessment and Development Framework (GAD); and (iv) Consultation framework. 5.2 Resettlement Policy and Land Acquisition Framework 80. The guidelines are prepared for addressing the issues limited to this project for resettlement and rehabilitation of the PAPs. This policy has been developed based on the National Resettlement and Rehabilitation Policy, 2007 and the World Bank OPs 4.12 on involuntary resettlement and 4.10 on indigenous peoples. 5.2.1 Broad Principles 81. The 'Social Policy` of NGRBP aims to resettle and rehabilitate the affected persons on account of its sub projects in a manner that they do not suffer from adverse affects and shall improve or at the minimum retain their previous standard of living, earning capacity and production levels. It is also the endeavor of the NGRBP that the resettlement shall minimize dependency and be sustainable socially, economically and institutionally. Special attention will be paid for the improvement of living standards of marginalized and vulnerable groups. 82. The broad principles of the policy are as below: The adverse impacts on persons affected by the project would be avoided to the extent possible. 43 Where the adverse impacts are unavoidable, the project-affected persons will be assisted in improving or regaining their standard of living. Vulnerable groups will be identified and assisted to improve their standard of living. All information related to resettlement preparation and implementation will be disclosed to all concerned, and community participation will be ensured in planning and implementation. Private negotiations will also be used for land acquisition as required. The persons affected by the project who does not own land or other properties but who have economic interest or lose their livelihoods will be assisted as per the broad principles brought out in this policy. Before taking possession of the acquired lands and properties, compensation and R&R assistance will be made to those who are available and willing to receive the entitlements in accordance with this policy. There would be no/or minimum adverse social, economic and environmental effects of displacement on the host communities but if needed specific measures would be provided. Broad entitlement framework of different categories of project-affected people has been assessed and is given in the entitlement matrix. Provision will be kept in the budget. However, anyone moving into the project area after the cut-off date will not be entitled to assistance. Three tier appropriate grievance redress mechanism has been established at project level to ensure speedy resolution of disputes. All activities related to resettlement planning, implementation, and monitoring would ensure involvement of women. Efforts will also be made to ensure that vulnerable groups are included. All consultations with PAPs shall be documented. Consultations will continue during the implementation of resettlement and rehabilitation works. As required, a Resettlement Action Plan will be prepared including a fully itemized budget and an implementation schedule. 5.2.2 Definitions 83. The following definitions are used in the documents: 44 Cut-off date: In the cases of land acquisition affecting legal titleholders, the cut-off date would be the date of issuing the notice u/s 4(1) of the LA Act, 1894. In cases where people lack title, the cut-off-date shall be the date of start of the Census survey undertaken by the project authority. Project Affected Person: Affected persons are those who stand to lose all or part of their physical and non physical assets including homes, productive land, community resources, commercial properties; livelihood; and socio-cultural network. Project Displaced person: A displaced person is a person who is compelled to change his/her place of residence and/or work place or place of business, due to the project. Affected family means: A family whose primary place of residence or other property or source of livelihood is adversely affected by the acquisition of land for a project or involuntary displacement for any other reason Definition of Family: Family shall mean husband, wife and dependants including parents and children in case of joint family on the date of section 4 of LA Act or entry in the family register of Panchayat. Major sons and daughters will be treated as separate family if their livelihood is separately affected by the project. Wage Earner: A person who is working with a commercial establishment or working as a labour in an agriculture land, which is being affected by the project. Encroacher: A person, who has trespassed Government land, adjacent to his/her own land or asset, to which he/she is not entitled, and deriving his/her livelihood prior to the cut-off date. Squatter: Squatter is a person who is land less and has settled on publicly owned land without permission and has been occupying publicly owned building without authority prior to the cut-off date. 45 Poverty Line (BPL): A family whose annual income from all sources is less than a designated sum as fixed by the concerned State Government in which the project falls, will be considered to be below Poverty Line. Income: Income of a PAP shall mean the amount of income as shown in his Income Tax Return prior to the cut-off date. In absence of such a return, his income shall be calculated by an objective assessment. The certificate of BPL from the Block / Tehsil will be used for identifying the BPL Vulnerable Person: Unless otherwise specifically mentioned in this document, a person who has been designated under Below Poverty Line` category as identified by the concerned State Government will be considered a vulnerable person. Disadvantaged persons belonging to SC, ST, disabled/handicapped, and woman heading the household are also recognized as vulnerable persons. Also vulnerable persons such as the disabled, destitute, orphans, widows, unmarried girls, abandoned women ,or persons above fifty years of age; who are not provided or cannot immediately be provided with alternative livelihood , and who are not otherwise covered as part of family; Entitled Person: person adversely impacted by the project and is entitled to some kind of assistance as per the project entitlement framework Titleholders (THs): Persons who possess legal documents in support of claims made towards ownership of structure or land are titleholder. Sharecroppers: Persons who cultivate land of a titleholder on certain and conditions Host population: People living in or around areas to which people physically displaced by a project will be resettled who, in turn, may be affected by the resettlement. Kiosk: Kiosk is a temporary structure not fixed to ground. Normally kiosks are wooden structure on four legs on the ground and can be easily moved. 5.2.3 The Process 46 Declaration of the project and its impact zone 84. The Project Executing Agency (PEA) will inform the community well in advance about the project, its feature and likely adverse impact if any and also the positive impact of the project. Social Screening: Identification of Impacts and categorization 85. Screening is the first step in the ESMF process. The purpose of screening is to get an overview of the nature, scale and magnitude of the issues in order to determine the need for conducting SIA and preparing Resettlement Action Plan (RAP). After identifying issues, the applicability of the Bank`s environment and social safeguard policies is established along with Government of India`s regulatory requirements. Based on this, boundaries and focus areas for the SIA along with the use of specific instruments are determined. 86. Though it is envisaged that the subproject activities will have very generic social issues that are manageable through standards and codes of practice, there might be some sub-project activities proposed in due course, that carry a higher risk social disruptions and/or impacts. The possibility of such an issue arising in the sub-project site will be identified during the screening process. The screening format has been designed to identify sub-project/s with potential social issues that may need to be addressed at the project planning stage. 87. The outcome of the screening process will help prioritize the various investments and where required, start the clearance process in a timely manner e.g. project sites (in particular requiring Forest Clearance etc) wherein clearance process is expected to take longer duration can be sequenced/phased later in overall project implementation but the clearance process for such sites is initiated at the start of the overall project. This shall help ensure that no sub projects are dropped merely due to delay in the clearance procedures. The social screening flowchart depicted in Figure 5.1below illustrates the overall screening process. 47 Figure 5.1 Social Screening flowchart Social Screening Flowchart Site Identification Filling of Social Screening Questionnaire No Yes Does the project activity result in any potential social impacts? Proceed with implementation of sub- project activity Does the sub-project No activity affects more than 200 people (i.e. either complete or partial loss of assets and/or livelihood) Yes No Has an abbreviated Resettlement Conduct Social Impact Assessment (SIA) Action Plan (RAP) based on the and prepare a full Resettlement Action entitlement framework provided in the Plan (RAP) based on the outcome of the ESMF been prepared? SIA Yes Is the RAP adequate and disclosed to those affected? No Strengthen the RAP or Yes consultation process Yes Prepare Indicative Provide appropriate compensation to the Resettlement Action Project Affected Person (PAP) or Plan (RAP) community as per the RAP Proceed with implementation of sub- project activity Preparation of Resettlement Action Plans 48 88. Having identified the potential impacts of the relevant sub-projects, the next step is to develop action plans to mitigate the impacts. The RAPs provides a link between the impacts identified and proposed mitigation measures to realize the objectives of involuntary resettlement. The RAPs will take into account magnitude of impacts and accordingly prepare a resettlement plan that is consistent with this framework for Bank approval before the sub-project is accepted for Bank financing. a) Sub-projects that will affect more than 200 people due to land acquisition and/or physical relocation and where a full Resettlement Action Plan (RAP) must be produced. b) Sub-projects that will affect less than 200 people will require an abbreviated RP. c) The above plans will be prepared as soon as subproject is finalized, prior to Bank`s approval of corresponding civil works bid document. d) Projects that are not expected to have any land acquisition or any other significant adverse social impacts; on the contrary, significant positive social impact and improved livelihoods are exempted from such interventions. Sub Project Approval 89. In the event that a subproject involves land acquisition against compensation or loss of livelihood or shelter, the implementing agency shall: a) not approve the subproject until a satisfactory RAP has been prepared and shared with the affected person and the local community; and b) not allow works to start until the compensation and assistance has been made available in accordance with the framework. Procedure to be followed for social impact assessment (SIA) 90. The PEA will undertake a survey for identification of the persons and their families likely to be affected by the project. Every survey shall contain the following municipality or ward / village-wise information of, the project affected families: i. members of families who are residing, practicing any trade, occupation or vocation in the project affected area; 49 ii. Project Affected Families who are likely to lose their house, commercial establishment, agricultural land, employment or are alienated wholly or substantially from the main source of their trade occupation or vocation or losing any other immovable property. iii. Agricultural labourers and non-agriculture labourers. iv. Losing access to private property or common property resources 91. The PEA on completion of the survey will disseminate the survey results among the affected community. Based on the social impact assessment survey, PEA will prepare an action plan to mitigate or minimize the adverse impacts as identified during the survey. The draft mitigation plan in form of resettlement action plan (RAP) will be again disseminated among the affected individuals / community. The feedback received from the affected groups will be incorporated to the extent possible before finalization of the RAP. 92. Every-draft Resettlement Action Plan (RAP) prepared shall contain the following particulars namely. a) the extent of area to be acquired for the project, the name(s) of the corresponding village(s) / municipality area and the method employed for acquiring land with the relevant documentation. b) village wise or municipality wise list of project affected families and likely number of displaced persons by impact category c) family-wise and the extent and nature of land and immovable property in their possession indicating the survey numbers thereof held by such persons in the affected zone; d) socio-economic survey of affected people including income/asset survey of PAPs. e) a list of agricultural labourers in such area and the names of such persons whose livelihood depend on agricultural activities; f) a list of persons who have lost or are likely to lose their employment or livelihood or who have been alienated wholly and substantially from their main sources of occupation or vocation consequent to the acquisition of land and / or structure for the project; 50 g) information on vulnerable groups or persons for whom special provisions may have to be made; h) a list of occupiers; if any i) a list of public utilities and Government buildings which are likely to be affected; j) a comprehensive list of benefits and packages which are to be provided to project affected families by impact category; k) details of the extent of land available which may be acquired in settlement area for resettling and allotting of land to the project affected families; l) details of the basic amenities and infrastructure facilities which are-to be provided for resettlement; m) the entitlement matrix; n) the time schedule for shifting and resettling the displaced families in resettlement zones; o) grievance redressal mechanism; p) institutional mechanism for RAP implementation; q) monitoring and evaluation indicators and mechanism; r) budget; and s) any other particulars as the Administrator for Resettlement and Rehabilitation may think fit to include for the information of the displaced persons. 5.2.4 R&R Benefits for Project Affected Families 93. The resettlement and rehabilitation (R&R) benefits shall be extended to all the Project Affected Families (PAF) whether belonging to below poverty line (BPL) or non-BPL. The details are provided in the entitlement matrix. For tribal the following provisions will be adhered. Each Project Affected Family of ST category shall be given preference in allotment of land. Tribal PAFs will be re-settled close to their natural habitat in a compact block so that they can retain their ethnic/linguistic and cultural identity The Tribal Land Alienated in violation of the laws and regulations in force on the subject would be treated as null and void and-the R&R benefits would be available only to the original tribal land owner. 51 Table 5.1 Entitlement Matrix Type of Impact/Loss Unit of Entitlement Entitlements as per Policy Entitlement Loss of Land and structures - (Titleholder/customary/usufruct right holders) 1 Loss of Titleholders/Ho Compensation Direct purchase at negotiated price (or) agricultural land usehold at replacement compensation for land at replacement value cost If PAP is from vulnerable group, compensation Special for the land by means of land for land will be provisions for provided if PAP wishes so, provided that vulnerable government land of equal productive value is available. If allotted land is waste land/degraded land, one time assistance of Rs 15,000 per hectare will be provided towards land development charges. If the residual plot (s) is (are) not viable, the affected person becomes a marginal farmer any of the following two options are to be given to PAP, subject to his/her acceptance: (a) The PAP remains on the plot, and the compensation and assistance paid to the tune of required amount of land to be acquired (b) Compensation and assistance are to be provided for the entire plot including residual part, if the owner of such land wishes that his/her residual plot should also be acquired by the NGRBP. The NGRBP will acquire the residual plot and pay the compensation for it. Reimbursement of registration and stamp duty charges 2 Total loss of Titleholders/Ho Compensation Direct purchase at negotiated price (or) homestead/comme usehold at replacement compensation for land at replacement value rcial land and cost Compensation for loss of affected structural area structure Special will be paid at the replacement cost to be calculated provisions for as per latest prevailing basic schedules of rates vulnerable (BSR) without depreciation. Shifting assistance of Rs 10000 Right to salvage material from the demolished structure and frontage, etc Rental assistance as per the prevalent rate in the form of grant to cover maximum three/Six months rentals Reimbursement of registration and stamp duty charges 52 Type of Impact/Loss Unit of Entitlement Entitlements as per Policy Entitlement For vulnerable groups losing residential/commercial structures and do not have any other housing units within limit of the local bodies, shall be given preference to allot a house under any housing scheme at cost. 3 Partial loss of Titleholders/Ho Compensation Direct purchase at negotiated price (or) homestead/comme usehold at replacement compensation for land at replacement value rcial land and cost Compensation for loss of affected structural area structure will be paid at the replacement cost to be calculated as per latest prevailing basic schedules of rates (BSR) without depreciation. Right to salvage material from the demolished structure and frontage, etc Loss of Structure by Non Titleholder 4 Loss of structure Household Compensation Non vulnerable squatters and encroachers will be (immovable assets at replacement notified and given one month time to remove their constructed by cost assets. squatters and Special Vulnerable squatters and encroachers encroachers) provisions for No compensation for land vulnerable Compensation for loss of affected structural area will be paid at the replacement cost to be calculated as per latest prevailing basic schedules of rates (BSR) without depreciation. Shifting assistance of Rs. 10000/- for squatters. Right to salvage material from the demolished structure for both squatters and encroachers. Livelihood losses 5 Income/livelihood Titleholders Rehabilitation Title holders loosing their business establishment losses losing income Assistance due to displacement will be provided as per the through prevailing MAWs for 200 days./ Income from Unit business for 3 months Titleholders Rehabilitation Title holders loosing their primary source of losing income Assistance income due to displacement will be provided with through as per the prevailing MAWs for 200 days. agriculture Training Assistance will be provided for income generating vocational training and skill upgradation options as per APs choice Employment opportunity for PAPs in the sub project works, if available and if so desired by them. Squatters Rehabilitation Assistance to be paid as per the prevailing MAWs (NTH)/Agricult assistance for 180 days ural Training would be provided for upgradation of laborer/sharecro skills to the PAPs. 53 Type of Impact/Loss Unit of Entitlement Entitlements as per Policy Entitlement pper losing Employment opportunity for PAPs in the sub primary project works, if available and if so desired by source of them. income Or National/State level job card under National Rural Employment Guarantee Program. Licensed mobile Rehabilitation Those mobile vendors in possession of a permit vendors and Assistance from local authorities to operate in the affected area kiosk operators will be treated as kiosks operators. Kiosk operators and vendors licensed to operate from affected locations will be entitled to a one time lump sum assistance of Rs. 4000/-. Loss of Trees and Crops 6 Loss of Trees a) Land holders Compensation Advance notice to PAPs to harvest fruits and b)Sharecropper at Market remove trees c) Lease holders value For fruit bearing trees compensation at average fruit to be production for next 15 years to be computed at computed current market value with assistance For timber trees compensation at market cost based of horticulture on kind of trees department 7 Loss of Standing a) Land holders Compensation Advance notice to PAPs to harvest crops Crops at the time b)Sharecropper at Market In case of damage to standing crops, cash of acquisition, if c) Lease holders value compensation at current market cost to be any to be calculated of mature crops based on the current computed production. with assistance of agriculture department Other Impacts 8 Additional Vulnerable Special One time lump sum assistance of Rs. 10000/ to Assistance to households Assistance vulnerable households. (This will be paid above vulnerable groups including BPL, and over the other assistance(s) as per this SC, ST, WHH, framework) disabled and handicapped 9 Adverse indirect Community/ Special Allocation of one percent of capital cost of the sub impacts on Titleholder assistance project cost as Neighborhood Development Fund neighborhood and One time financial assistance to the immediate drop in land values private land owners adjacent to the project site @ due to location of Rs 15000 per hectare to each person in the records landfill and/or STP of rights Green belt around the landfill site and / or STP site. 10 Loss of Community Special The common property resources and the 54 Type of Impact/Loss Unit of Entitlement Entitlements as per Policy Entitlement community assistance community infrastructure shall be relocated in infrastructure/ consultation with the community amenities 11 Loss of access to Community/hou Special Provide alternative access private and / or seholds assistance common resource property 12 Temporary Community / Compensation The contractor shall bear the cost of any impact on impact during Individual structure or land due to movement of machinery construction like during construction or establishment of disruption of construction plant normal traffic, All temporary use of land to be through written damage to approval of the landowner and contractor. adjacent parcel of Location of Construction camps by contractors in land / assets due consultation with PEA to movement of The Project authority will ensure security and heavy machinery access to households in close proximity of the and plant site construction camps and that camps must be located at least 500 m from the habitation. 13 Any other impact Unforeseen impacts shall be documented and not yet identified, mitigated based on the principles agreed upon in whether loss of this policy framework. asset or livelihood 5.2.5 Land Acquisition and Compensation Disbursement Process 94. According to the assessment of the preliminary list of prioritized works, there will be need for private land acquisition which will result in involuntary displacement and loss of livelihood in both urban and rural areas. However, involuntary resettlement is likely to be of small scale and would not trigger the need for a full resettlement action plan. Nevertheless, as a precaution, the classification of subprojects of the ESMF describes actions and procedures to be followed in case any involuntary displacement does occur. In the event that involuntary displacement as defined in the bank`s policy 4.12 takes place, the principles and procedures defined in the project`s RPLAF will apply 95. As part of the ESMF, the project counterparts are developing a Resettlement Policy and Land Acquisition Framework (RPLAF), which specifies the procedures, 55 eligibility, grievance redressal and other measures to be followed in the event that resettlement or land acquisition is required for any sub-project. Once the location of the works is known during project implementation, individual resettlement or land acquisition plans will be prepared for each sub-project necessary. The Resettlement Action Plans will be reviewed and approved by the bank before being implemented. The RPLAF will also apply to other components of the project that in the judgment of the Bank, are (a) directly and significantly related to the Bank assisted project, (b) necessary to achieve its objectives as set forth in the project documents; and (c) carried out, or planned to be carried out, contemporaneously with the project. 96. Since the projects will have two stage clearances-first at the feasibility level and second at the DPR level, the tentative site for any sub project will be identified at the feasibility level itself. During DPR preparation, analysis of alternatives will be carried out to avoid or reduce involuntary taking of private land. Once the site is finalized and land parcel to be acquired are identifies, detailed land plan schedule will be prepared. The process of land acquisition will be initiated once; the feasibility report is cleared so that by the time DPR is finalized, notification under section 6 will also be ready. On the final approval of sub project, notifications under 6, 9, and 11 will be issued so that the entire land required for the sub project is acquired before the mobilization of contractor. In Jharkhand private land acquisition owned by a tribal family will be carried out under Santhal Pargana Tenacy Act 1949. 5.2.6 Land Acquisition 97. Land acquisition will be in accordance with the following (a) Land needed for the project shall be acquired by direct negotiation as outlined in this policy framework. However, record of all those cases where negotiations have failed and reasons for failure of negotiations shall be maintained for future reference. (b) The Emergency Clause of the Land Acquisition Act, 1894 contained in Section 17 thereof, shall not be invoked for land acquired for this project. (c) A time period of 45 days would be available for carrying out negotiations with the landowners. (d) The negotiations shall begin by offering a minimum of 1.5 times of the registered value or stamp duty value/circle rate (whichever is higher) in order 56 to make the propositions financially attractive to the landowners (sellers). If the registered value/stamp duty or circle rates are more than a year old at time of negotiations, 10% per annum will be added to bring the rates to currents levels. Such PAFs shall be entitled to 30% solatium. Those PAFs losing land shall be eligible for additional assistance equivalent to registration cost of land lost and expenditure incurred on paper work during the purchase of the land. (e) A maximum of 4 rounds of negotiations may be conducted with the landowners. (f) After every round of negotiation, record would be sent to the SPPMU for information. (g) The negotiations shall be conducted village-wise, involving groups in order to maintain transparency. (h) If land acquisition by negotiation is finalized, the entire negotiated amount will be paid in a single instalment within three months of negotiations Interest @ 9% will be paid for any delays in the payment of compensation beyond three months. (i) Entitled person has an option to surrender residual plot to project authority and be compensated as per provisions of the policy. (j) All land measurements shall be based on the latest revenue map of the concerned village. 98. Land acquisition will be the responsibility of the Executing agency (EA). The Land Acquisition Plan (LAP) as per the detailed design giving details of each plot such as Plot No., total area of affected land, area of land to be acquired, percentage of total land area affected, names of interested persons, type of land, present use of land, etc along with revenue map shall be prepared by the Executing Agency. (a) In case of land being acquired through negotiation, the requiring agency will pay the entire negotiated amount to the land losers as bullet payment. (b) After approval of micro-plan, the Project Authority will pay all kinds of assistance to affected persons in a transparent manner. (c) In case of land being acquired through LA Act, the compensation amount will be paid to the land losers as per provisions of the Act. The EA will deposit the entire amount of compensation with the concern Land Acquisition Collector. The 57 completion of land acquisition is considered only when the landowner receives the notice for collection of compensation amount. (d) In case when some claimants are pending even after several reminders (maximum 4) and notifications, the compensation money will be kept with the EA in a separate account till the currency of the project. Interested parties either directly or through their legal heirs, as the case may be, may claim their compensation before the Land Acquisition Collector after satisfactory documentary verification. After project completion however, the money may be kept in the Govt. treasury as unclaimed money. Steps to be followed for Private Negotiations 99. The following steps will be followed for private negotiations. 1. A time period of 45 days would be available for carrying out negotiations with the Landowners. 2. A maximum of 4 rounds of negotiations may be conducted with the landowners. 3. After every round of negotiation, record (Documentation) would be sent to the District Collector / Magistrate and SPPMU for information. 4. The negotiation shall be conducted village-wise, involving groups in order to maintain transparency Defining Negotiation Rates 100. The EA will collect the details of land rates (Circle Rate & Registry Rate) of the affected villages. On the basis of circle rate/registry rate calculate base rate / minimum offer rate to start negotiation, as given in this framework. Arrange for Meeting in the Village of PAPS 101. EA will arrange the venue, in consultation with land owners. It is better to fix a convenient place within the village. In case of unavailability of venue, same could be arranged in Office of the District Magistrate and ensure transportation of land owners from village to venue. 58 102. A written invitation will be given to each land owner and Patwari of concerned villages with date and time and venue of negotiation. In case of any change in the programme, prior information should reach the PAPs. 103. Before the start of negotiation, related documents i.e., Resettlement Policy Framework, circle rate, etc. will be made available to land owner by EA 104. During negotiation, it is required that Patwari should bring the revenue record along with him, for clarification and reference. Negotiations of Land Rates 105. The negotiation shall begin by offering a minimum of basic land rate/value i.e, circle rate. If the circle rate is more than one year old at the time of negotiation, additional 10% per year will be to added) +1.5 times + 30% .(See table 5.1 for calculation of basic rate): Table 5.2 Calculation sheet for land rate Calculation sheet for Land Rate S. Particulars Circle Adjusting After 1.5 times of Entitle- Total No. Rate old rate at Adjustment {3+4} ment of Base /Acre par with Circle Rate Enhanced solatium Rate (Rs.) new rates {3+4) circle rate (30% of 6) (10% for every year of old circle rate) 1 2 3 4 5 6 7 8 1 Circle Rate 100.00 - - 150.00 195.00 195.00 (2007) 2 If circle rate 100.00 10.00 110.00 165.00 214.50 214.50 is of 2006 3 If circle rate 100.00 20.00 120.00 180.00 234.00 234.00 is of 2005 Approval of final negotiated land rate 106. The revenue officials (representative of DM such as ADM (LA) or ADM himself/ herself), members of negotiation committee and EA representative should be there during negotiation with land owners. For the first round, an introduction will be given by the representative of EA. Once final negotiated rate is given to DM, he will send it 59 to government for approval. Once the rates are approved by the government EA/ NGO will prepare the Micro plan/ issue identity cards and will help PAPs to open joint Bank Account so that compensation and assistance can be paid immediately. Award of compensation 107. Disbursement of compensation is primarily the responsibility of revenue department. After land rate have been fixed by the competent authority and approved by the concerned state government, the rate and the calculated amount (as per micro-plan, title-holder) will be sent to SPPMU for funds. The SPPMU will deposit the required fund in account of the Land Acquisition Collector for announcement of award. The actual payment to each land owner has to be made by the SDM-cum-LAC. Precautions to be taken during negotiation meeting: 108. Following precautions will be taken 1. Outsiders should not be allowed in meeting place. Only PAP`s (landowner), opinion leaders, members of negotiation committee and their officials shall be allowed in the meeting. 2. A signed acceptance letter needs to be taken from every landowner after final negotiation. 3. Copy of minutes of meeting shall be given to each land owner, opinion leaders, members of Negotiations Committee and SPPMU 4. Efforts shall be made that the meeting once fixed with the PAP`s and opinion leader is not postponed. 5. Verified list of land owners and their revenue details must be kept during negotiation. 5.3 Indigenous Peoples Management Framework (IPMF) 5.3.1 Introduction 109. The guiding principles enshrined in the constitution of independent India as also various plans and policies for safeguarding the interests of scheduled tribes notwithstanding, the benefits of development of free and shining India have by and large by-passed the scheduled tribes. This issue is source of anxiety and worry for the 60 `administrators, implementers and researchers of the country. This anxiety and worry has to be understood in the context of all kinds of development projects that have been/are being carried out across the country, including the National Ganga River Basin Project (NGRBP). 110. The Indigenous People (IPs) in India are categorized as tribal who often become vulnerable in development projects because of their cultural autonomy which is usually undermined and also because this group endure specific disadvantages in terms of social indicators of quality of life, economic status and usually as subject of social exclusion. Out of the five states through which the main stem of river Ganga flows, only Jharkhand (26.34%) has significant proportion of tribal population followed by West Bengal (5.49%) and Uttarakhand (3.02%). In Uttar Pradesh and Bihar, tribes are less than 1% of the total population. In all states, tribes are present in all districts along the river Ganga except for two districts in Uttar Pradesh, though the spatial distribution varies from state to state. The only district along the Ganga in Jharkhand is Sahebganj where tribes are 31% of the total population. In West Bengal distribution of tribes varies from 0.2% in Kolkatta district to 8.3% in Medinipur district. In Uttarakhand, it varies from 0.1% in Tehri Garhwal to 0.9% in Uttarkashi. In Uttar Pradesh, it varies from 0.1% in Ghazipur, Bullandshahr and Ballia to 0.9% in Allahabad. Two districts namely Jyotibaphule Nagar and Kannauj do not have any tribal population. In Bihar, percentage of tribes to the population to the total population varies from 0.03% in Khagaria district to 5.87% in Katihar. 5.3.2 Indigenous Peoples Management Framework 111. OP 4.10 has been triggered though to the extent possible, private land owned by a tribal family will not be acquired. As part of ESMF, an Indigenous Peoples Management Framework (IPMF) is being prepared. The IPMF aims at affectively promoting IP participation throughout the project cycle. The general objective of the IPMF is the inclusion of IP communities in the project in order to achieve the highest possible positive impact of the interventions to improve their quality of life, throughout strengthening of their organization, self management, and integral capacity of their members. The specific objectives of the IPMF are to ensure that: (a) works are culturally appropriate (b) works and services provided do not inadvertently induce inequality by limiting project benefits to the elite elements of the community, 61 (c) the project engages with communities through a consultation process appropriate to the local cultural context and local decision making process; and (d) establish appropriate information-, communication-, and diversity-training strategies with the different IPs and communities in all stages of the project. 5.3.2.1 Issues 112. Based on a rapid assessment of the field situation in the project areas, consultations with the stakeholders, and findings of several studies, it is found that there are number of constraining factors as important for enabling the indigenous people to participate in the project and to derive benefits at par with others. These comprise: (i) limited exposure to emerging market; (ii) limited access to institutional credit, farm inputs and agricultural extension services; (iii) lack or poor leadership quality and lack or inadequate representation/participation in decision-making; and (v) lack of consultation with them on developmental issues. Poverty, illiteracy, landlessness/ low amount of the land holding, limited access to the available agricultural extension services (such as the improved seeds, fertilizers and improved farm practices, etc) have also been the constraining factors of their participation in the overall development process. However, it would be unrealistic to assume that all the issues mentioned above will be addressed by the project. Especially, when there are several other programs of the government and NGOs addressing most of these issues, it would be a right approach that the NGRBP aims at creating implementation strategies to dovetail such development programs for the benefits of the indigenous and disadvantaged groups in sub-project areas. However, the project would focus on issues that are directly related to their involvement in project activities and accessing project benefits. The bottom-line is to ensure equitable opportunities for the indigenous to get project benefits. The main objective of the indigenous group development strategy would be, therefore, to ensure that the indigenous people are actively involved with the project activities and they have access to project benefits at par with the rest of the community. The strategy also aims at minimizing any negative impacts like creating further sources of social and economic imbalances between communities. The development strategy for the indigenous groups is summarized in the table below: 5.3.2.2 Objectives 62 113. This framework is based on the National Tribal Policy 2006 of Government of India and World Bank`s operational policy 4.10. The principal objectives of the framework are to: (i) ensure that project engages in free, prior, and informed consultation with the indigenous community wherever they are affected. (ii) ensure that project benefits are accessible to the indigenous community living in the project area (iii) avoid any kind of adverse impact on the indigenous community to the extent possible and if unavoidable ensure that adverse impacts are minimized and mitigated (iv) ensure indigenous peoples participation in the entire process of preparation; implementation and monitoring of the sub project activities (v) minimize further social and economic imbalances within communities; and (vi) develop appropriate training / income generation activities in accordance to their own defined needs and priorities. 114. The need for an Indigenous Peoples Development Plan (IPDP) will be established on the basis of the following criteria: (i) adverse impacts on customary rights of use and access to land and natural resources; (ii) negative impacts on socio-economic and cultural identity; (iii) impacts on health, education, livelihood and social security status; (iv) any other impacts that may alter or undermine indigenous knowledge and customary institutions. 5.3.2.3 Procedure for Preparing an IPDP 115. In order to prepare an IPDP the following steps will be taken: Social screening to establish the presence of tribes in the project area or have collective attachment to the project area based on a detailed social assessments establish baseline data on the tribal people (subsistence, employment, community networks) in the project area; review Acts / policy guidelines applicable in the respective states regarding tribal groups and also the central Acts / Policies; identify the impacts (both positive and negative) and prepare an IPDP; disclose the draft IPDP 63 Screening 116. During the planning and design phase of the sub project, screening survey will be carried out based on group discussion with the communities in the sub project area in order to identify presence of any tribal group or any such group that have collective attachment to the project area. Apart from the consultation with the community members, consultations / in depth interviews will also be carried out with the NGOs working in the area and representative of local self government. The screening will look into the details of tribal households, assessing the number of such households along the zone of influence of the proposed sub project. If the result shows that there are tribal households, the issues related to the community will be included in the social impact assessment (SIA) survey. Social Impact Assessment 117. The PEA will be responsible for conducting SIA and the development of an action plan with the help of indigenous community and organizations working for them. The SIA will gather relevant information on demographic, social, cultural; economic and networking aspects of each household and needs of the community as a whole. The information on individual household will be collected through household survey where as community based needs will be assessed through group discussions with the community as a whole as well as in discussion with the community leaders and government and non -governmental officials working in the area on tribal issues. The discussion will focus on both positive and negative impacts of the sub project. The suggestion and feedback of the community on the design and planning of the sub project will also be documented. Consultation, Disclosure and Institutional Framework 118. The PEA will prepare the IPDP and finance, implement and monitor it. The IPDP will be implemented along with the Resettlement Action Plan (RAP). A local NGO with the relevant experience will be hired to assist the PEA in planning and implementing the IPDP. The NGO will be fully briefed on World Bank`s policy on indigenous people. IPDP committees will be formed at State and District level to implement and monitor the plan. 64 119. The tribal groups will be consulted in preparing the IPDP. They will be informed of the mitigation measures proposed and their views will be taken into account in finalizing the plan. The plan will be translated in the local language and made available to the affected people before implementation. 120. The tribal institutions and organizations in the affected area will also be involved in implementing the IPDP and in resolving any disputes that may arise. PEA will ensure that adequate funds are made available for the plan. Monitoring and Evaluation 121. PEA will set up an internal monitoring system comprising its own staff, NGOs, tribal people and their institutions to monitor plan implementation. Monitoring indicators will be established. In addition, an external independent monitoring agency will be employed by PEA. Reporting formats will be prepared for both internal and external monitoring. 5.3.2.4 Suggested format for IPDP 122. The suggested format for the IPDP is as follows Description of sub projects and implications for the indigenous community Gender disaggregated data on number of tribal households by impact category Social, cultural and economic profile of affected households Land tenure information Documentation of consultations with the community to ascertain their views about the project design and mitigation measures Findings of need assessment of the community Community development plan based on the results of need assessment Modalities to ensure regular and meaningful consultation with the community Institutional arrangement and linkage with other national or state level programmes Institutional mechanism for monitoring and evaluation of IPDP implementation and grievance redress Implementation Schedule and cost estimate for implementation 65 5.3.2.5 Key Elements of IPDP and Participatory Approach 123. The key elements in an IPDP include: All development plans for indigenous people should be based on full consideration of the options and approaches that best meet the interests of the communities. Scope and impact be assessed and appropriate mitigation measures are identified Project should take into account the social and cultural context of affected peoples, and their skills and knowledge relating to local resource management During project preparation, formation and strengthening of indigenous peoples organization; communication to facilitate their participation in project identification, planning, execution and evaluation should be promoted. In case PEA is not capable of preparing and implementing IPDP, experienced community organizations / NGOs can be involved as intermediaries. 124. Participatory Approach for Preparation of IPDP. The main thrust of IPDP is to address the developmental issues of the project taking into consideration the marginality status of tribal community. The IPDP will offer developmental options addressing community based needs of indigenous people while respecting their socio- cultural distinctiveness. The IPDP aims at strengthening the existing capacity of the affected tribal community. The strategy of IPDP therefore would be to promote participation of the tribal people, initiating and identifying people`s need, priorities and preferences through participatory approaches. Therefore, the action plan for a particular village will be prepared by the community themselves. These plans would be prepared on yearly basis. 125. Participatory Rural Appraisal (PRA) initiates the process of people`s participation, facilitating decision-making through mutual discussion and direct consultation. Participatory approach is intended to promote participation of all stakeholders creating development opportunities for the affected community. It is therefore, mandatory that appropriate PRA tools along with Focus Group Discussion (FGD) is employed to initiate participation in IPDP for collection of qualitative data. The areas of enquiry would mainly include: Identification of tribal groups Access to natural resources, likely impact on land ownership and land distribution, share cropping and lease holder 66 Participation in the livelihood security component of the project Employment and income generating opportunities in agriculture, trade and business and services Poverty Women and Gender relation Felt needs and community organization 126. With a view to assess the life patterns of the affected indigenous population and to prepare IPDP in consistent with community and region specific background, pertinent baseline information shall be collected, compiled and analyzed. The baseline information on socio-economic characteristics including land tenure, land holding categories, occupational pattern, usual activity status, income ­ expenditure pattern, access to natural resources, health status, literacy level, age structure, gender, marital status, etc shall be collected in order to facilitate the planning process. The baseline data shall be collected through pre-tested structured schedules. 127. The most important component of IPDP is to assess the type and magnitude of impacts, both positive and negative on the tribal communities. The assessment of impacts on tribal population in the projects shall focus on the probable consequences of the project according to specific criteria / indicators. The indicators may include: Access to natural resources (such as forest, grazing land, weekly markets, etc.) Job opportunities through wage labour within or outside agriculture Employment and income generating opportunities in agriculture, trades, services and business Tribal community rights, institutions, values and way of life Social infrastructure and public services such as sources of water, health facilities, schools, etc Reduction in political power, marginalisation and social disarticulation Changes in farming methods, cropping pattern, crop yield, income, expenditure pattern, etc. 128. One major activity during the course of the survey would be to identify, various community specific developmental needs linked to their socio-economic and cultural 67 life. The needs shall be identified for infrastructure development and community service facilities such as weekly markets, drinking water facility, sanitation, health facility, schools, community halls, post office, watershed structure, drainage, etc; 5.3.2.6 Implementation Issues and Strategy 129. It is envisaged that proper implementation of IPDP is possible only through community participation. The participatory approach will ensure: Promotion of community concern and involvement Proper organization and management of resources Setting up of criteria and fixing criteria and procedures for project execution are done at the grass root level Identification, selection and strengthening of implementing agency at the grass roots level 130. Steps will be taken to ensure that (i) tribal community participates in the project, (ii) is fully aware of their rights and responsibilities; and (iii) are able to voice their needs during IPDP preparation. The community would be encouraged to prepare their own plan that caters to the needs of the community. 131. Appropriate people`s organization and forum need to be built up and strengthened to ensure effective peoples representation and empowerment in the process of selection of specific community development activities and their execution. The conventional top down approach to project implementation through prevailing bureaucratic framework, need to be reoriented for the framework of participative administrative structure to respond to bottom up initiatives based on participatory process for informed community participation and empowerment. 132. IPDP as a means of sustainable development is based on the strategy of using culturally appropriate, socially acceptable and economically viable opportunities for livelihood of the tribal community including farmers, agriculture and non-agriculture labour, women and wage earners. The strategy includes: 68 Participation of tribal community in plan preparation, formulation and implementation by strengthening their existing tribal social, political and community organizations through required legislative measures, positive administrative responses and people`s mobilization. Strengthening women`s traditional role in subsistence economy through organization, capacity building for leadership and skills improvement, access to non timber forest produce (NTFP), while bringing about greater sharing of household responsibilities between men and women. Keeping in view the strong bondage of the tribal community with land and forest, subsistence practices, traditional culture and ways of life, the strategy may create space for innovative policy measures through appropriate legislation / executive actions. Such innovative policy responses may cover any aspect of their needs from food security, income generating activities, right over forest produce, community health measures or any such issue as generated by the community in course of their participation in the plan process. Involvement of non-governmental organization (NGO) as an interface between the government and the tribal community to bind and strengthen their organizations, develop a mechanism for redress of grievances and facilitate their being a stakeholder in the institutional arrangements for IPDP. To ensure the right institutional mechanism for this strategy, IPDP will be integrated with the existing structures of ITDP/DRDA wherever necessary. 133. Non- governmental organizations (NGO) are secondary stakeholders who can facilitate the participation of primary stakeholders-the tribal community. The NGOs must have a clear understanding of the socio-economic, cultural and environmental context of the project. 134. The social and community organizations of tribal population will be identified to strengthen and involve them in participatory process of IPDP. The IPDP will develop a linkage with the structure and the process of tribal development administration so that the tribal communities can enjoy more benefits. The NGOs will also provide the important interface between tribal administration and the community. 69 5.3.2.7 Gender Issues 135. The tribal women play an important role in the community and family. Women normally constitute half of the total population in any project area and for survival tied themselves to land and forest. These women work as farm servants and attached labourers. Even in agricultural household, women share with men the burden of agricultural operations like transplanting, weeding, harvesting, threshing, winnowing, etc. The concentration of women in agricultural and allied activities is due to the decline of rural industries leading to large-scale reduction of labour force within non- agricultural sector. 136. In IPDP, therefore, efforts will be made to (i) create and institutional framework to make gender sensitive decisions. PEA in consultation with SRCA and Women and Child Welfare Department shall constitute Women Interest Groups (WIGs) within a village and Gender Advisor Committee at district and state level, (ii) women members would be trained for upgradation of skills to initiate viable irrigation related income generation activities for their economic empowerment. In addition women members will be trained in fisheries, animal husbandry, value addition to NTFP, development of kitchen garden, home orchards, production of mushroom, rice-cum- fish culture, etc to generate additional income, (iii) Through training, women members will be provided information to make them an active participant in various activities of WUAs. WIGs would articulate the needs and demands to incorporate in the plans of PEA with assistance from WUAs and NGOs. The activities include (a) provide information on developing a WIG sub plan, (b) linking with other women`s development programmes of line department, and (iv) NGO will focus on women`s need for social development 5.3.3 Institutional Arrangements for Implementation 137. Areas with significant tribal population have been covered under Tribal Sub Plan (TSP) approach from the beginning of the Fifth Plan. Scattered but yet significant tribal population has been covered under Modified Areas Development Approach (MADA) pockets and clusters. Where there is a population of 10,000 of whom 50% are tribal, MADA pockets have been created and where there is 5000 living and of whom 50% are tribal, MADA clusters have been created. The TSP/ITDP are 70 administered by the block administration and line departments. TSP approach was adopted primarily for (i) promotion of developmental activities to enhance living standards of scheduled tribes; and (ii) protection of their interest through legal and administrative support. 138. At the state level Tribal Development Department headed by a Secretary and assisted by Commissioner / Special Secretary, Tribal Development will be the nodal agency. The Commissioner / Special Secretary will be further assisted by Director/ Deputy Secretary; Deputy Director / Under Secretary. At the Integrated Tribal Development Project (ITDP) level, there is a full time Project Administrator in the Joint Director cadre. An Assistant Project Administrator assists the Project Administrator. The work of ITDP is multi-disciplinary in nature and it functions as a nodal agency for planning, formulation, implementation and monitoring of tribal development programmes. The Project Administrator is empowered with adequate administrative and financial powers so that they function as watch dog to schemes and programmes implemented by ITDP. The ITDP keeps constant vigil in protecting the tribal against exploitation in addition to various development programmes. Implementation Committee (District Level) 139. The most crucial level for approval of IPDP programme, its review and implementation would be the district level. At district level a committee will be formed under the Chairmanship of District Collector. The Block Development Officer/Chief Executive Officer will be the member secretary. Project Administrator, ITDP (as member secretary), representative of project authority (as convener), two tribal representatives from the project area, and NGO representative will be the members of the committee. In the participatory structure contemplated in the IPDP framework, NGO will be responsible for the productive group activities and other small community project which are innovative and essentially rest on people`s participation. The plan though will be prepared by the village level committee; the implementation committee will be responsible for approval of the plan. Village Level Committee 140. For a fully participatory framework, it is contemplated that at the village level, with the help of NGO, a village level committee will be formed which will include representation from tribal and also non tribal families, leader of the tribal community 71 (as member secretary), other opinion leaders of the village like school teacher, community worker, panchayat member, doctor, etc. The committee will have at least 15 members with substantial representation of women member (preferably 33%). The representative from the executing agency will be the convener of the committee. The committee will list out the needs of the community and prepare village level action plan for a particular year. The NGO will facilitate plan preparation and interact in group meetings with the tribal community and will also assist in preparing the plan and minutes of every meeting. 141. The village level committee (VLC) will be fully associated in programme supervision and execution. The NGO or BDO/CEO will ensure that the VLC have all requisite information flow on programme contents and funds. Technical support in form of village level orientation will be provided under IPDP with NGOs active intervention. The VLC will ensure full participation of villagers in the labour force in work programmes under IPDP. Equal wages will be paid for equal work under IPDP. Local level inputs and expertise to the extent feasible will be focused on. NGO Participation 142. The NGO will ensure that the due benefits flow to the tribal in the most effective and transparent manner. The success of the NGO inputs will largely depend on their liaison with the tribal and other concerned government agencies involved in IPDP. Other involved agencies are expected to collaborate with Project, based on instructions from the NGRBA, in accordance with the policy framework. These arrangements have to be made during the first month of Project implementation in order to set up the various committees and implementation mechanisms required for the project. The role of NGO would be of a facilitator. The NGO will work as an interface between the PEA/IPDP committee and the tribal community. They will train/ orient the tribal community on planning, formulation, preparation and execution of annual action plan. Selection of NGO 143. It is extremely important for successful implementation of IPDP to select a genuine and capable NGO committed to the tasks assigned. Key quality criteria include: 72 Experience in direct implementation of programs in local, similar and/or neighboring districts; Availability of trained staff capable of including tribal community into their programs; Competence, transparency and accountability based on neutral evaluations, internal reports, and audited accounts; and Integrity to represent vulnerable groups against abuses; experience in representing vulnerable groups, demonstrable mandate to represent local groups. Should have a clearer understanding to gender and poverty relations within the community of tribal and have the ability to pay particular attention to the social and economic needs of women and tribes. Consultation and Disclosure 144. The tribal groups will be consulted in preparing the IPDP. They will be informed of the mitigation measures proposed and their views will be taken into account in finalizing the plan. The plan will be translated into the tribal language and made available to the affected people before implementation. The tribal institutions and organizations in the affected area will also be involved in implementing the IPDP and in resolving any disputes that may arise. NGRBA will ensure that adequate funds are made available for the plan. Monitoring and Evaluation Need for Monitoring 145. Monitoring and Evaluation (M&E) are critical activities in developmental activity / programme in order to ameliorate problems faced by the implementers and develop solutions immediately. Monitoring is a periodic assessment of planned activities providing midway inputs facilitates changes and gives necessary feedback of activities and the directions on which they are going, whereas Evaluation is a summing up activity at the end of the project assessing whether the activities have actually achieved their intended goals and purposes. The M&E mechanism will measure project performance and fulfillment of the project objectives. 146. The PEA with the help of the NGO will carry out internal monitoring. NGO will be thoroughly briefed about the Bank`s Policy on Indigenous People. An external 73 agency will be engaged to monitor and proactively evaluate the IDP objectives. The external agency will submit monthly progress reports and will also be responsible for midterm and end term evaluation. Broadly, monitoring and evaluation system will involve: Administrative monitoring: daily planning, implementation, trouble shooting, feedback and trouble shooting, individual village file maintaining, progress reports Socio-economic monitoring: case studies, using baseline information for comparing the socio-economic conditions, morbidity & mortality, communal harmony, dates for consultations, employment opportunities, etc. Impact evaluation monitoring: living standards improved access to natural resources, better bargaining power in the society, etc. Role of Independent Agency 147. The PEA will requisition the services of an independent agency not associated with the project execution to carry out monitoring and evaluation of the project. The independent agency will also evaluate the performance of the NGO. Monitoring will also include: Reactions from the community Information from the community on plan preparation, implementation, time taken at each stage, etc. Visits to sites to observe physical progress of plans Socio-economic status of the community Degree of community participation Usefulness and utilization of training imparted Utilization of funds Behaviour of NGO staff with the community 148. Grievance Redressal Mechanism. The grievance if any will be addressed as per the Scheduled Tribes and Other Traditional Forest Dwellers (Recognition of Forest Rights) Act, 2006, which recognizes the rights of forest-dwelling Scheduled Tribes and other traditional forest dwellers over the forest areas inhabited by them and provides a framework for it. For further details refer to Annexure V. 74 5.4 Gender Assessment and Development Framework 149. Mainstreaming gender equity and empowerment is already a focus area in the project. In the sub projects, activities related to livelihood restoration will address women`s needs. A Gender Development Framework is being designed under the project as part of ESMF which will help analyze gender issues during the preparation stage of sub project and design interventions. At the sub project level, gender analysis will be part of the social assessment and the analysis will based on findings from gender specific queries during primary data collection process and available secondary data. The quantitative and qualitative analysis will bring out sex disaggregated data and issues related to gender disparity, needs, constraints, and priorities; as well as understanding whether there is a potential for gender based inequitable risks, benefits and opportunities. Based on the specific interventions will be designed and if required gender action plan will be prepared. The overall monitoring framework of the project will include sex disaggregated indicator and gender relevant indicator. 150. The participation of beneficiaries and focus on poverty reduction are two other key determinants of the effectiveness and sustainability of any project. Any project must address the constraints on women`s participation in project design, construction, operation and maintenance (O & M), training, and monitoring and evaluation (M & E). The project must also focus on the linkage between gender and poverty, by identifying, for example, households headed by females and those households` special needs. An adaptive, learning, and process-oriented approach works better than a blue print approach; continuous dialogue between the PEA and the beneficiaries is therefore important. Project beneficiaries are likely to have a stronger sense of ownership when the project gives them enough time, design flexibility, and authority to take corrective action. In this way, they find it easier to incorporate their earlier learning and negotiate with project staff and service providers. Therefore, a mechanism must be built into the project to allow such two-way interactions between the beneficiaries and the service providers. 151. Three major tools are used to identify and deal with gender issues in the project cycle: gender analysis, project design, and policy dialogue. 75 152. Gender analysis should be an integral part of the initial social assessment at the screening stage itself. The issues identified can be scaled up during the feasibility and detailed analysis can be carried out during the DPR stage. 153. The project designs should be gender responsive based on the gender analysis, and should be included in the DPR The findings and recommendations from the gender analysis during project planning and feedback from beneficiaries during implementation must be discussed thoroughly to determine the need for further action. Listed below are the key action points: 5.4.1 General Checklist Identify key gender and women`s participation issues. Identify the role of gender in the project objectives. Prepare terms of reference (TOR) for the gender specialist or social development specialist of the client Conduct gender analysis as part of overall Social Assessment. Draw up a socioeconomic profile of key stakeholder groups in the target population and disaggregate data by gender. Examine gender differences in knowledge, attitudes, practices, roles, status, wellbeing, constraints, needs, and priorities, and the factors that affect those differences. Assess men`s and women`s capacity to participate and the factors affecting that capacity. Assess the potential gender-differentiated impact of the project and options to maximize benefits and minimize adverse effects. Identify government agencies and nongovernmental organizations (NGOs), community-based organizations (CBOs), and women`s groups that can be used during project implementation. Assess their capacity. Review the gender related policies and laws, as necessary. Identify information gaps related to the above issues. Involve men and women in project design. Incorporate gender findings in the project design. Ensure that gender concerns are addressed in the relevant sections (including project objectives, scope, poverty and social measures, cost estimates, 76 institutional arrangements, social appendix, and consultant`s TOR for implementation and M & E support). List out major gender actions. Develop gender-disaggregated indicators and monitoring plan. 5.4.2 Specific Checklists to be covered during various stages of project cycle Methodology Desk review Review available information (e.g., statistics, gender analysis, documents of previous projects) in the project area and the socioeconomic profile of the target population. Review the relevant legal (e.g., inheritance law), policy (e.g., R&R policy), and institutional framework (e.g., current administrative system for land acquisition, compensation disbursement) and their gender implications. Household surveys Draw up gender-disaggregated socioeconomic and cultural profiles and identify the constraints, and needs of the target population. Collect quantitative information. Participatory methodologies (e.g., participatory rapid appraisal, focus group discussions, random interviews, walking tours) Collect qualitative information which cannot be collected through surveys. Define ways in which men and women beneficiaries and other stakeholders, especially poor women can participate in the project. Map out the target areas. Which are the most disadvantaged areas in terms of access to services and poverty level? Identify major stakeholder groups and their stake. Staffing Ensure adequate gender balance in field teams. Select field team members with gender awareness, local knowledge, cultural understanding, and willingness to listen. 77 Data to Be Collected Macro institutional framework Gender impact of sector policy; legal and institutional framework. Executing agency`s capacity and commitment to participatory approaches and gender focus. Socioeconomic profile Demographic Composition by gender, ethnicity/caste, age, etc. In and out migration trend (male and female) Percentage of households headed by females Household size Age at marriage, by gender Economic Income level and sources, by gender Expenditure patterns and decision making, by gender Land tenure and use, by gender Health Population growth rate Infant and maternal mortality rates Service availability Fertility level and decision making Food allocation and nutrition level within households, by gender Incidence of domestic violence Education Literacy and school enrollment ratios, by gender School dropout ratio, by gender Child labor, by gender Status of women Political representation and awareness Socio - cultural perceptions and practices of men and women 78 Gender-discriminatory policies and laws Gender roles and responsibilities Broad gender division of labor in productive (e.g., agriculture, income- generating activities) and reproductive (e.g., household chores, child care) responsibilities, and time allocation for each responsibility Fuel, Fodder and Sanitation Availability, quantity, and quality of fuel and fodder Time spent on collection of these resources Are there seasonal differences in availability, quantity, or quality? Is there sanitation service available Are the services available 24 hours a day? Is there a fee for water or sanitation services? Who pays to whom (e.g., user committee, local government, private company)? How much is the fee? Water Drinking water What sources (e.g., public streams, rivers, tanks, lakes, communal wells or tanks, ponds, privately owned wells or tanks, water pipes) are used? How far away are the water sources? Water collection and storage Who collects and stores water? How? How much time is spent in water collection and storage? Who carries water and how? How much time is spent transporting water? Are there any health hazards resulting from the transport of water? How is the collected water used differently by men and women (e.g., for cooking, sanitation, home gardens, livestock)? Who decides the allocation? Is water available in the dry season? How is water use managed during the water-scarce season? By whom? Roles in agricultural water 79 Who collects, transports, and manages water for agricultural use and how? Is there any conflict between agricultural and domestic water allocation? How can these needs be prioritized? Are there conflicts in water distribution in general, based on gender, income level, ethnicity/castes, etc.? How can these be solved? Who is responsible for the upkeep of the community water infrastructure? Who could be key informants? Are there significant differences in responsibilities based on gender, income level, or ethnicity/caste? Access, control, constraints How do men and women differ in their access to and control of land, agricultural inputs, extension, markets, employment opportunities, and credit? Is external assistance provided to improve access/control? By whom? Participation What factors affect the level of men`s and women`s participation? What are the incentives and constraints? During which season is the demand for labor highest? Which modes of participation do men and women favor (e.g., decision making in planning, cash contribution, labor contribution for construction, training, financial management, organizational management)? Project impact Do men and women perceive positive and negative impacts of the project differently? Are the benefits likely to be distributed equitably? How can negative effects be mitigated? Are there any disadvantaged or vulnerable groups? Who are they? Where do they live? What are their socioeconomic characteristics? How will the project affect these groups? Land acquisition/Resettlement: Extent of land to be acquired 80 What are the gender-specific implications? Organization What is the current level of women`s representation in other community decision- making bodies? Are there local organizations (e.g., local governments, national NGOs, CBOs, mass organizations) that address women`s constraints and needs? How can the project link up with them? What mechanisms can be used to ensure women`s active participation in project activities? What organizations can be used to mobilize and train women in the project activities and livelihood options? Incorporate the preferences of community men and women on issues such as: number and location of assets and sharing vs. individual arrangement of assets; Highlight women`s strengths in mobilizing savings and resources. Incorporate the preferences of men and women in the community on: o financing arrangement o possible preferential treatment for very poor, female-headed and other disadvantaged families o credit or community-based revolving funds for women SHGs Community participation mechanism Develop a participation strategy for men and women during project implementation and M & E. Avoid overly high expectation of women`s participation and develop a practical schedule, as women often have time and financial constraints. The strategy should incorporate the following: Planning: Conduct women specific consultation to take their views and suggestions on the design. Any mechanism established during the project design such as grievance mechanisms should have adequate representation from women. Construction: Ensure work conditions that are conducive to women`s participation (e.g., gender-equal wage rates, construction season, toilet and child- care facilities). 81 Monitoring and evaluation (M & E): Develop a feedback mechanism in which both male and female have a voice. Identify organizations that could facilitate women`s participation during implementation and M & E. Training options Identify ways to link up with income-generation, literacy, and other activities to support an integrated approach to poverty reduction and women empowerment Support a decentralized structure to allow linkages between the village and local government. Include financial and technical capacity building for relevant local government bodies to enable them to effectively support women SHGs. Staffing, scheduling, procurement, and budgeting Hire female project staff. Consider seasonal labor demand in scheduling civil works. If appropriate, set a minimum percentage of female laborers and prohibit the use of child laborers in the civil works contract. Ensure adequate and flexible budgeting to allow a learning approach (e.g., training budget, consulting service budget for women`s organizations). Monitoring and evaluation Develop M & E arrangements: (i) internal M & E by project staff; (ii) external M & E by NGOs or consultants, as necessary; and (iii) participatory monitoring by beneficiary men and women. Disaggregate all relevant indicators by gender such as number of women gaining access to credit, increase in women`s income, and career prospects for project trained women. Documentation Document the gender-responsive design features in the DPR and include covenants in the loan agreement to ensure gender-sensitive project design mechanisms to be complied by the executing agency 82 5.5 Poverty and Social Impact Assessment 154. Early during project implementation, a basin wide poverty and social impact assessment (PSIA) will be carried out. The objectives of the PSIA are to optimize the project design through social considerations in order to produce maximum social benefits, particularly to the poor, women, and other socially disadvantaged groups, and to ensure the social dimensions are fully incorporated into the project design. The assessment will be carried out as a distinct component of Strategic Environmental and Social Assessment (SESA) and will cover the entire basin, including the poor and migrant workers (floating populations) residing in the Ganga main stem. The poverty and social impact assessment will pay particular attention to the poverty alleviation and identify other ways in which the project can improve the quality of life and health conditions of the local residents in the project areas over both the short- and long- term. The assessment aims to: 1) predict the contribution of the project to poverty reduction effort; 2) estimate the household benefits of the project interventions; 3) estimate public support for the project interventions in relation to other public investments; 4) conduct an affordability analysis; 5) recommend a participatory process; 6) incorporate gender issues; and 7) incorporate social safeguard issues, such as involuntary resettlement, ethnic minorities, labor, and other risks/vulnerability. 155. To carry out the poverty and social impact assessment, apart from quantitative survey for primary data, various approaches and methodologies will be used throughout the whole process, including: 1) stakeholder consultation workshops; 2) key informant interviews; 3) field observations; 4) discussion with other project preparatory technical assistance team members, executing agency and implementing agencies; and 5) collection of secondary data/information, such as statistical data and existing reports. The output of PSIA apart from the assessment findings will include (a) a detailed socio-economic profile of the basin states and critical districts; (b) issues on social safeguards; (c) recommendations for maximizing gender inclusion; (d) participation strategy; and (e) monitoring and evaluation plan for PSIA. 5.6 Consultation framework and Information Disclosure 5.6.1 Consultation Framework 83 156. The Consultation Framework envisages involvement of all the stakeholders` at each stage of project planning and implementation. The PEA /SCRA will be responsible for ensuring participation of the community at sub-project level. Involvement of the community is not limited to interactions with the community but also disclosing relevant information pertaining to the project tasks. Community participation shall be undertaken at the following stages: Sub Project identification stage - to sensitize the community about the project and their role; Planning Stage - for disseminating information pertaining to the project, work schedule and the procedures involved; finalisation of project components with identification of impacts, entitled persons, mitigation measures; and Grievance Redressal; and Implementation Stage - for addressing temporary impacts during construction and monitoring for transparency in the project implementation Identification Stage 157. Dissemination of project information to the community and relevant stakeholders is to be carried out by the PEA at this stage of the project initiative. The community at large shall be made aware of the project alternatives and necessary feedback is to be obtained. This should include the process being followed for prioritisation of the identified sub-projects. Community and other stakeholders should be involved in the decision making to the extent possible. Information generated at this stage should be documented for addressal of queries arising out of the Right to Information Act, 2005. Project Planning Stage 158. Sub-project information is to be distributed amongst the community towards increasing their awareness and their roles and responsibilities. Planning stage is intended to be an interactive process with the community at least in two stages. Initially while finalizing the best fit alternative to a sub-project and second at the finalisation of the detailed designs. This would be joint responsibility of the consultants undertaking the design if not carried out by the PEA in house and the PEA itself. 84 159. Consultations with Project Affected Persons and their profiling are mandatory as per the requirements of SIA and preparation of RAP. This needs to be done as socio- economic and census surveys as part of the detailed designs. Consultations with respect to and cultural aspects are to be carried out as part of the Social Impact Assessments for all alternatives and the selected alternative sub-project option. Implementation Stage 160. Consultations as part of the implementation stage would be direct interactions of the implementation agency with the Project Affected Persons. These would comprise of consultations towards relocation of the PAPs, relocation of cultural properties, and towards addressal of impacts on common property resources (CPRs) such as water bodies, places of religious importance, community buildings, trees etc. 161. With the implementation of the R&R provisions in progress, consultations and information dissemination is to be undertaken to let the affected persons informed of the progress. Implementation stage also involves redressal of grievances in case of R&R aspects as well as relocation of common property resources through the grievance redressal mechanisms. These would usually be one to one meeting of PAP or community representatives with the grievance redressal committees established for the project. 5.6.2 Information Disclosure 162. The mechanism of information dissemination should be simple and be accessible to all. Two of the important means that have been followed until now include briefing material and organization of community consultation sessions. The briefing material (all to be prepared in local language) can be in the form of (a) brochures (including project information, land requirements and details of entitlements including compensation and assistance to be given to the PAPs) that can be kept in the offices of local self government (municipal office in case of urban area and gram panchayat office in case of rural area) and PEA; (b) posters to be displayed at prominent locations and (c) leaflets that can be distributed in the impacted zone of the sub project. Consultation meetings should also be organized at regular intervals by the PEA to acquaint the PAPs of the following: Timeline and progress of the project; 85 Information on compensation and entitlements; Information on land acquisition and market valuations of property; Time line for acquisition. 163. Also, opinion and consensus of the community needs to be sought for common and cultural property relocation. Information disclosure procedures are mandated to provide citizen centric information as well as all documentation necessary for addressing any queries under Right to Information Act that came into effect from October 2005. A computer based information management systems shall be employed to disseminate information pertaining to the project on the NGRBA / MoEF and various PEA`s website. Disclosure of information will enhance governance and accountability specifically with respect to strengthening of monitoring indicators to help NGRBA PMG and the World Bank monitor compliance with the agreements and assess impact on outcomes. 164. This Information Disclosure Policy is intended to ensure that information concerning the NGRBP activities will be made available to the public in the absence of a compelling reason for confidentiality. Information shall be provided in a timely and regular manner to all stakeholders, affected parties, and the general public. Access by the public to information and documentation held or generated by NGRBA and PEAs will facilitate the transparency, accountability, and legitimacy as well as operations overseen by it. As a part of its disclosure policy, all documents shall be made available to the public in accordance with relevant provisions of the RTI Act, except when otherwise warranted by legal requirements. A designated Information Officer shall be responsible for ensuring timely and complete dissemination in accordance with this policy. Information to be disclosed 165. Table 5.2 below specifies the type of additional information and frequency of dissemination for projects which are financed either from domestic or donors` funds. In addition to the information specified in the table, the following information shall also be displayed / disseminated, wherever applicable. Project specific information need to be made available at each contract site through public information kiosk 86 Project Information brochures shall be made available at all the construction sites as well as the office of implementation agency and the office of Engineer in charge. Reports and publications, as deemed fit, shall be expressly prepared for public dissemination e.g., English versions of the SIA and RAP and Executive Summary of SIA and RAP in local language. Wherever civil work will be carried out a board will be put up for public information which will disclose all desired information to the public, for greater social accountability. All information will be translated into local language and will be disclosed to the public through the Panchayat, District Magistrate`s office, concerned EE offices, websites of NGRBA and SPMG. Table 5.3 Information to be disclosed Topic Documents to be Frequency Where disclosed Resettlement, Resettlement Action Once in the entire World Bank`s Infoshop Rehabilitation Plan (RAP). project cycle. But to On the website of MoEF / and Land remain on the NGRBA, SRCA and PEAs Acquisition website and other The client would make the disclosure locations RAP available at a place throughout the accessible to displaced persons project period. and local NGOs, in a form, manner, and language that are understandable to the PAPs in the following offices: DM`s Office State and District Libraries Local municipal and gram panchayat office Office of the contractor Office of the PEA Resettlement & Once in the entire Distributed among Project Rehabilitation Policy project cycle. Affected Persons (PAP) translated in local language 87 Topic Documents to be Frequency Where disclosed Information Once at the start of Through one-to-one contact regarding impacts the project and as with PAPs. and their entitlements and when demanded Community consultation in local language by the PAP. List of PAPs with impacts and entitlements to be pasted in the PEA office and website of MoEF/NGRBA, SRCA and PEAs R&R and LA 10th day of every Website of MoEF/ NGRBA, monthly progress month SRCA, PEA. report. Hard copy in the office of PEA and contractor in local language RAP Impact At midterm and end MoEF/ NGRBA, SRCA and Assessment Report of the RAP PEA`s website in local implementation language. Land Acquisition As required under MoEF/ NGRBA, SRCA and notifications the LA Act PEA`s website. Hard copy in the office of PEA and contractor in local language Grievance redressal Continuous process World Bank`s Info shop. process. throughout the On the web sites of MoEF/ project cycle. NGRBA, SRCA, PEAs Hard copies in local language in the following offices: DM`s Office Local municipal and gram panchayat office Office of the contractor Office of the PEA; ALSO PAPs to be informed on one to one contact by PEAs Public Minutes of Formal Within two weeks of On the web sites of MoEF/ Consultation Public Consultation meeting NGRBA, SRCA, PEAs Meetings Hard copies in local language in the following offices: DM`s Office Local municipal and gram panchayat office Office of the contractor Office of the PEA 88 Stakeholder mapping: Through the formal and informal consultation, following stakeholder mapping has been done, identifying their interests concerned with the project activities. Table 5.4 Stakeholder Mapping Stakeholder Category Interests Potential/Probable impacts Primary stakeholders Project affected people Access to the facility, Project (+/-) entitlement, Time-bound delivery of benefits, enhanced quality of life Beneficiaries Access to the facility, Project (+/-) entitlement, Time-bound delivery of benefits, enhanced quality of life Secondary stakeholders NGRBA; SPMG; Municipalities; PEAs (Uttarakhand Project implementation, (+/-) Peyjal Nigam, UP Jal Nigam, Bihar Urban Contracting; Project management, Infrastructure Development Corporation, Urban Monitoring and evaluation Development Department, Kolkata Metropolitan Development Authority) NGOs, CSOs, Research institutes (GB Pant Institute Development, Community (+/-) of Himalayan Environment and Development, PSI, participation, and Community Shree Hari Ganga Samiti, IIT Kanpur, Ganga Sewak welfare Samaj, WWF, CEE, Centre for flood management studies, Krishi Gram Vikas Kendra, IIT Kharagpur, Calcutta University, Ramakrishna Mission) This is a tentative mapping is likely to change during the project implementation. Each of these stakeholders will be part of the consultation process and their views will be incorporated in to the project design. The key stakeholders in can be grouped into two categories viz., primary and secondary. Their respective roles are presented below: Primary Stakeholders Project Affected Persons (PAPs) have the following roles: i) Participate in public meetings and identify alternatives to avoid or minimise displacement ii) Assist DPR consultants and NGOs in developing and chosing alterantive options for relocation and income generation iii) Participate in census survey and meetings with host population iv) Provide inputs to entitlement provisions, thus assisting in preparation of the resettlement action plan v) Participate in grievance redress as members of grievance redress cells (GRC) vi) Decide on relocation and management of common properties vii) Labour and other inputs in the project viii) Members of implementation committee 89 Beneficiaries and Host Population has the following roles: i) Assist DPR consultants and NGOs in data collection and design ii) Provide inputs to site selection iii) Identify possible conflict areas with PAPs iv) Identify social and cultural faclities needed at resettlement sites v) Assist in identification and design inputs for IG schemes vi) Help develop consultation process between hosts and PAPs. vii) Manage common property viii) Participate in local committees. ix) Assist PAPs in integration with hosts. Secondary Stakeholders NGRBA; SPMG; PEAS; Municipalities have the following roles: i) Establish separate cell for social development ii) Notification at various stages for land acquisition and joint measurement of land to be acquired along with the revenue department iii) Design and approval of resettlement policy iv) Coordinate with line departments such as telephone, state electricity board, public health engineering department and forest department for shifting of utilities and cutting of trees v) Participate with NGOs in verification survey of PAPs and categorisation of PAPs vi) Participate in consultations with PAPs and beneficiaries vii) Designing and distribution of ID cards along with NGO viii) Coordinate and facilitate relocation of displaced persons including designing and construction of resettlement colony / vendor market; provision of basic amenities; distribution of plots / houses / to residential and/or commercially displaced persons ix) Coordinate with NGO in identifying land for relocation of common property resources x) Coordinate with civil construction contractor to relocate common property resources xi) Permission and liaison with line departments for provision of basic amenities in resettlement colonies, land acquisition and income restoration schemes; xii) Coordinate with revenue department and NGO for facilitating disbursement of compensation and resettlement and rehabilitation assistances xiii) Monitoring of physical and financial progress xiv) Approval of micro plans xv) Participate in training programmes for income restoration organized by NGOs xvi) Consult with panchayat and block office to facilitate inclusion of PAPs` name for poverty alleviation schemes of government of India. NGOs have following roles: i) Develop rapport with PAPs and between PAPs and PEAs ii) Verification of PAPs iii) Consultations with the community 90 iv) Assess the level of skills and efficiency in pursuing economic activities, identify needs for training and organise programmes either to improve the efficiency and/or to impart new skills. v) Assist PAP in receiving rehabilitation entitlements due to them vi) Motivate and guide AP for proper utilisation of benefits under R&R policy provisions; vii) Facilitate purchase of agriculture land in negotiating price and settling at a reasonable price or expedite through Land Purchase Committee. viii) Assist PAPs in obtaining benefits from the appropriate development programmes. ix) Help PAPs in increasing their farm income through provision of irrigation facility or improving farm practices, and x) Ensure marketing of produce particularly those under self-employment activities. xi) Complete the consultation at the community level and provide support by describing the entitlements to the entitled persons (EPs) and assisting them in their choices xii) Accompany and represent the EPs at the Grievance Redress Committee meeting. xiii) Assist EPs to take advantage of the existing government housing schemes and employment and training schemes that are selected for use during the project, and xiv) Promote location specific Community Based Organisations (CBOs) of PAPs to handle resettlement planning, implementation and monitoring. xv) Create awareness among PAPs of HIV/AIDS, trafficking of women and child, child labour and health and hygiene 91 Section 6 Implementation, Monitoring and Reporting Arrangements 6.1 General 166. In order to achieve the objective of Clean Ganga by 2020`, NGRBA provides financial assistance for implementation of river pollution abatement/mitigation projects in Ganga main stem states. The first phase of such initiative is supported by The World Bank, in the states of Uttarakhand, Uttar Pradesh, Bihar, Jharkhand and West Bengal. In addition to complying with various technical and performance standards, the projects to be supported under this program shall comply with the Environmental and Social Management Framework, as detailed out in the earlier sections. The implementation, monitoring and reporting arrangements for the ESMF have been worked out within the overall institutional structure for implementation of the NGRBA program, as described in the sections below. 6.2 NGRBA Institutional Arrangements 167. As nodal Ministry for the NGRBA program, the MoEF is the primary implementing agency for the project at the national level. It is in the process of establishing the NGRBA Program Management Group (PMG), which will be a dedicated entity charged with effective implementation of the overall NGRBA program. The implementing agencies at the state level are the SGRCA Program Management Units (SPMUs). At the local level, specific Project Executing Agencies (PEAs) will be selected for implementation of various activities, including infrastructure investments under the project/NGRBA program. PEAs may include para-statal organizations, Special Purpose Vehicles and Joint Ventures (SPVs/JVs), Urban Local Bodies (ULBs), appropriate state-level departments, NGOs, or public institutions. 168. The main functions of the various agencies with regard to the NGRBP include the following: The PMG will responsible for overall project planning and management at the national level; direct implementation of the national level activities; ensuring satisfactory implementation of the state-level investments and activities; 92 providing guidance, support and approvals to the SPMUs where needed; and monitoring implementation performance; The SPMUs will be responsible for project planning and management at state level, ensuring satisfactory implementation of the state-level investments and activities; direct implementation of some of the state-level activities; providing guidance, support and approvals to the state PEAs where needed; and monitoring implementation performance of the PEAs; The PEAs will plan and implement the activities/investments and put in place arrangements for satisfactory and sustainable operation and maintenance of the assets created. The PEAs will be responsible for all contract management, including preparation of feasibility reports and DPRs, and seeking the necessary approvals. 169. The implementation arrangements for the NGRBA program are summarized in Figure 6.1. Figure 6.1 Implementation Arrangements for the NGRBA Program 93 6.3 Implementation, Monitoring and Reporting Arrangements for the ESMF 170. Within the above overall implementation framework of the NGRBA, environmental and social due diligence will be carried out by the relevant agencies at each stage of the project cycle in accordance with the guidance provided in the ESMF. 171. A Social Development Officer and an Environmental Officer will be appointed for managing social and environmental issues (including safeguards issues) at both central level (PMG) as well as in each of the project states (SPMUs). These officers will assist and advise the Mission Director and interact with the PEA in implementation of ESMF provisions. 172. In the PEA, an officer EACH will be designated as social and environment officer who will be responsible for the implementation of ESMF tasks at the field level with the assistance and participation of the local self government. These officers will also have the responsibility of implementing safeguard activities along with other project components, and for co-ordination among different agencies, such as the local self government, Revenue Department etc. During implementation, meetings will be organized by the SPMUs inviting all PEAs in the state for providing information on the progress of the project work. 173. Environment and Social Audit / Compliance Monitoring Consultants will be appointed in each of the project states to regularly monitor the planning, design and construction and will confirm that actions taken at each stage of the sub project cycle are in compliance with agreed procedures and standards. A sample terms of terms of reference for Environmental and social audit of sub-projects is presented in Annex IV. 174. The project cycle for an investment under the NGRBP and the interface with the ESMF requirements are summarized hereunder. 6.3.1 Project Screening 175. Upon receipt of request for funding, SPMU will assess the eligibility of the sub- project in line with the agreed framework of the respective sector of the sub-project 94 and the proposed safeguard categorization of the sub-project. Based on the above screening, the PEA would be advised on the appropriate DPR preparation toolkit that needs to be followed for the sub-project and the scope of ESA (for Category I sub- projects) to be carried out. In case of Category II projects, the safeguard management measures and the requirements of abbreviated resettlement plan, will be agreed at the screening stage. 176. The PEA will prepare a Detailed Project Report (DPR) including GSMP tailored to the specific sub-project (for category II projects). For category I projects, the PEA will undertake preparation of ESA / EMP / RAP as relevant for category I projects in line with the requirements of ESMF. While initiating the ESA studies, the PEA shall interact with the Environmental and Social Specialists in the SPMU and seek guidance in the finalization of scope of work and the conduct of respective studies. 177. On receipt of the ESA reports, the respective specialists will evaluate the completeness of the studies and their compliance with the ESMF. Further actions, if any required, will have to be carried out by the PEA prior to the appraisal of the project. 6.3.2 Project Appraisal 178. During project Appraisal, the SPMU and PMG will appraise the project preparation leading to the approval of the DPR. The safeguard aspects that will be appraised during the project appraisal will include the following aspects: Environmental and social suitability of site Adequacy of the ESA as per the ESMF including analysis of alternatives, if relevant Compliance with regulatory requirements and clearances Comprehensiveness of the EMP/SMP in light of the project specific environmental and social issues Integration of environmental and social mitigation measures in to the design, wherever relevant/required Arrangements for implementation of EMP/SMP/RAP, including institutional capacity and contractual provisions 95 Inclusion of EMP/SMP budgets in the project cost and contract documents EMP/SMP monitoring and reporting arrangements Need for any legal covenant to address specific environmental risks including regulatory risks, if any Risk analysis / allocation environment and social enhancements (if any / applicable) 179. The Environment Management Plan (EMP) prepared for the project will form part of the bidding documents, in addition to the references to various acts relating to environment and labor, and the implementation of the same will be monitored by SPMU and PMG. 6.3.3 Project Approval and Disbursement 180. Prior to the approval of the sub-project, all Category I projects will be forwarded to the World Bank for clearance after the EMP and SMP has been cleared by the SPMUs and PMG. Further, considering the fact that the PMG, SPGM and the Executing Agencies are nascent level institutions, all first year ESAs, EMPs, and RAPs and the first sub-project of the project component, will be reviewed and cleared by the Bank. The PMG will ensure that all the comments/suggestions of the World Bank for all category I projects are adequately addressed, prior to approval of the DPR. The implementing agencies will also comply with the World Bank`s policy on public disclosure. 181. After requisite approvals and concurrence are obtained, SPMU will discuss implementation of environmental and social management measures of the project with the PEA to ensure that these are suitably incorporated into the respective legal /contractual documents, for implementation by the PEA. 182. As far as resettlement issues are concerned, disbursement of entitlements shall be through the NGOs hired for the purpose of implementation of resettlement action plan (RAP). The civil works will be initiated only after the required land has been acquired and declared free from encroachments and other encumbrances and the PIU has the physical possession of the land. Before the start of civil works the compensation has to be disbursed to the land owners. During implementation, consultations with the 96 communities shall be undertaken by the PEA / NGOs for providing information on the progress of the project work. The roles and responsibility of each of the Agency/Official involved are further detailed in Annex 3. 6.3.4 Monitoring and Reporting Arrangements 183. The PMG, through the respective SPMUs will monitor all the approved projects under the NGRBP to ensure conformity to the requirements of the ESMF. The monitoring will cover all stages of construction, operation and maintenance. The monitoring will be carried out through the environmental and social safeguard compliance reports that form a part of Quarterly Progress Reports for all projects and regular visits by the environmental and social specialists of the PMG and SPMUs. In addition to the above, the PMG will undertake an annual ESMF audit of all sub-projects in implementation and will review the status of ESMF compliance, as per the sample terms of reference provided in Annexure IV. The audit will include all category I projects and 25% of the category II projects. 184. The PMG will review these audit reports and identify technical, managerial, policy or regulatory issues with regards to the compliance of the ESA reports. The identified technical issues will be duly incorporated in the subsequent projects. Policy and regulatory issues will be debated internally by the NGRBA`s internal review committee and the need for appropriate interventions will be determined. These interventions could include appropriate revision of ESMF document or suitable analytical studies to influence policy or programs of the state, if found necessary / warranted. 185. An external evaluation of the RAP implementation prepared under NGRBP will also be undertaken twice during the implementation of the project ­ midterm and at the end of the implementation. Table 6.1 below details out the mitigation measures for each impact type, monitoring measures, responsibility and timeline. 186. IPDP will be implemented by SPMG with the help of PEAs. In absence of in-house capacity of PEAs, third party will be hired, either an NGO or a consulting firm. 187. The overall ESMF implementation and monitoring arrangements are summarized in Table 6.2. 97 Table 6.1 Mitigation, Monitoring, Responsibility and Timeline for RAP, IDPD and GAP Implementation S. Impact Monitoring Measures Responsible Timeline No. Agency 1 Loss of land Regular internal monitoring by PEA, ESMF 12 months from (agriculture) the SDO of PEA and SGRBA; Auditors; the start date. third party ESMF audit; and Evaluation Compensation periodic evaluation consultants to be paid 2 Loss of Regular internal monitoring by PEA, ESMF before the start structure and the SDO of PEA and SPMG; Auditors; of civil works. land third party ESMF audit; and Evaluation (residential periodic evaluation consultants and commercial) 3 Loss of land PEA and value near supervision landfill sites consultants and /or STPs 4 Loss of Regular internal monitoring by PEA, ESMF 12 months from access to the PEA; third party ESMF Auditors; the start date of private and / Audit; midterm and end term Evaluation the activities of or common evaluation consultants the priority property investment. 5 Loss of Regular internal monitoring by PEA, ESMF Assistance to be livelihood or PEA; third party ESMF Audit; Auditors; paid before the source of midterm and end term evaluation Evaluation start of civil livelihood consultants works. 6 Displacement Regular internal monitoring by PEA, ESMF of squatters the PEA; third party ESMF Auditors; and auditor; midterm and end term Evaluation encroachers evaluation consultants 7 Group Regular internal monitoring by PEA; District 12 months from support to the social development Administration; the start date of indigenous professional of PEA along with ESMF auditors the activities of community NGO; third party ESMF audit; and Evaluation the priority midterm and end term evaluation consultants investment, followed by annual audit 8 Gender Regular internal monitoring by PEA, ESMF 12 months from Action Plan the social development Auditors; the start date of professional of PEA along with Evaluation the activities of NGO; third party ESMF audit; consultants the priority midterm and end term evaluation investment, followed by annual audit 98 Table 6.2 ESMF Implementation and Monitoring Arrangements Decision/Target/ Mile Stones Objectives Process Responsibility Deliverable 1. Sub- To appraise a. Discussions with PEA to NGRBA Decision to proceed or not Project the PEA about - assess eligibility of project based on NGRBA`s PMG Issue appropriate Screening NGRBA`s priorities in consonance with Mission Ganga SPMU Information Package for policies, plan - identify scope of project report PEA Preparation of DPR and priorities b. Issue DPR preparation toolkit c. Appraise the PEA about ESMF requirements 2. Sub- Appraise ESA a. Detailed appraisal of the ESA including site SPMU followed by PMG Review report with Project visit/investigation if necessary to assess decision to Appraisal - suitability of site - accept ESA - environmental and social assessment and adequacy - accept with of EMP/SMPs modifications - risk analysis /allocation - reject and instruct to - regulatory clearances for the project resubmit as per requirements 3. Approval Approvals a. Send ESA Report for approval SPMU and PMG Approval of the project from - to WB for category I authorities Projects Concurrence a. Obtain concurrence from WB for all category I WB, SPMU, State Govt., WB`s concurrence on EA from WB projects ULB, PEA / SAR reports 4. Project Ensure a. Prepare quarterly progress reports Quarterly Progress Report NPMU, SPMU, State Govt., Implementa Implementatio b. Schedule field visits as required ULB, PEA, Contractors, tion n of agreed Supervision Consultants Monitoring EMP/RAP and Review ESMF Audit a. All E1 and S1 project will undergo ESMF audit NGRBA, SGBRA Audit report for all E1 project, if b. Only 25% of the projects categorized as E2 and S2 and S1 category projects sampled will undergo ESMF audit and sampled E2 and S2 projects 99 6.3.5 Social Accountability and Grievance Redressal Mechanism 188. The social accountability mechanisms will be established for all sub projects. The key approaches that would be adopted for ensuring social accountability would be any or a combination of participatory processes guiding social audit, citizen score card and report card to acquire feedback on performance of the sub projects and record citizens` recommendations for improvement. The social accountability mandate will be further strengthened through a strong grievance redress mechanism. 189. An Integrated Grievance Redress Mechanism (IGRM) will be established both at the PEA and SPMU level that will register user complaints using various mediums (e.g. a dedicated, toll free phone line, web based complaints, written complaints and open public days) and address them in a time bound system. The project will abide by the RTI Act of 2005 and under provisions of Section 4 of the Act, it will commit itself for proactive disclosure and sharing of information with the key stakeholders, including the communities/beneficiaries. The project will have a communication strategy focusing on efficient and effective usage of print and electronic media, bill boards, posters, wall writing, and adoption of any other method suiting local context, logistics, human and financial resources. 190. As part of IGRM, a Grievance Redress Cell (GRC) will be set up at the district level wherever sub-projects have been or will be planned. Since each project town / city will have Citizen`s Monitoring Committee (CMC), the GRC will be a subcommittee of the citizen`s monitoring committee. The staffing of GRC will include two representatives from CMC and the concerned executive engineer of PEA. The head of the cell will be a person of repute but not continuing in the government service. The GRC will have its own bye laws. The functions of the GRC will include: (i) to redress grievances of project affected persons (PAPs) in all respects; (ii) rehabilitation and resettlement assistance and related activities; (iii) GRC will only deal/hear the issues related to R&R and individual grievances; (iv) GRC will give its decision/verdict within 15 days after hearing the aggrieved PAPs; (v) final verdict of the GRC will be given by the Chairman/Head of GRC in consultation with other members of the GRC and will be binding to all other members. 100 6.4 Training and Capacity Building 191. Training and capacity building of personnel including environmental and social specialists at PMG, SPMUs and PEA is very important to ensure that the ESMF is effectively operationalised. This will be accomplished by organising training programs under the training component of the NGRBP coordinated by the environmental and social specialists of PMG. 192. Being a new entity, the PMG staff have not been exposed to formal training in the management of environmental and social issues of the project. Thus the training program for various role players will include an orientation program on the ESMF, Project Management and Engineering and Public Health. Course outline for various modules, the duration and the participation envisaged has been illustrated in table 6..3 193. The training program is to be co-ordinated and anchored by PMG with the support from agencies / individuals experienced in safeguard aspects of urban infrastructure projects for developing courses on conducting training programs. 194. The training will focus on the environmental and social issues. The contents will basically focus on the ESMF, concept, regulatory requirements, Environment and Social priority issues, project cycle of NGRBA sub-projects, outline of EA / SA and report formats in respect of the Environmental aspects. In respect of social aspects the course content will focus on the R & R policies and procedures, National and MA requirements, Land Acquisition process, identification of PAPs, Social entitlement frameworks, social assessment, RP techniques, Risk Assessment and management skills. The generic training program is elaborated in Table 6.3 195. In addition to the above, NGRBA will make a conscious effort to mainstream the environmental and social topics with the main training program of NGRBA. The environmental and social officers of NGRBA and the capacity building consultant will explore such options of mainstreaming Environmental and social issues. The program will be structured in such a way that it clearly brings out the value addition and enhancement benefits of proper management of environmental and social issues. 101 196. As part of the capacity building exercise, NGRBA also aims at developing decentralized local capacity on managing environmental and social issues associated with various projects. In order to achieve the above objective, the specialists with the help of capacity building consultants and other local resource persons will develop a network of technical man power resources such as staff from universities / research institutions, civil society organisations, etc. These persons will be will be trained during the course of NGRBA, so that they can provide support to the ULBs in implementing EA / SA recommendations and also offer support on an ongoing basis. 102 Table 6.3: Generic Training Programme Programs Contents Duration / Schedule Participants Module 1 - ESMF Module 2 Environmental Module 3 Social Environment and Profile Assessment Process Assessment Process social staff of NPMG and SPMG NGRBP Concept Environmental Laws & Social Assessment 1½ day Heads of Statutory ESMF Concept Regulations process Boards and other Program 1 Regulatory EIA process Description of (1st, 3rd and 5th year monitoring agencies Orientation Program / Requirements-E&S Identification of NGRBA`s R&R, of the project) Priority Issues Environmental Impacts tribal and gender Workshop for Project Sub project types of Impact Identification Methods policies and Development agency NGRBP Identification Mitigation procedures and ESA and SESA Measures National Process Outline Formulation of Environmental requirements Reports & Formats Management Plan LA process Implementation and Necessity for RAP Monitoring and its preparation Institutional Mechanism process Module 1 - ESF Profile Module 2 Environmental Module 3 Social Municipal Assessment Process Assessment Process Commissioners of NGRBP Concept the ULBs and Heads ESMF Concept Environmental Laws & Social Assessment of PEAs Regulatory Regulations process Engineering/Public Requirements-E&S EIA process Description of Health personnel Program - 2 Priority Issues Identification of NGRBA`s R&R, from the ULBs and Sub project types of Environmental Impacts tribal and gender social and Orientation Program / NGRBP Impact Identification Methods 1½ day policies and environment staff of Workshop for Project ESA and SESA Identification Mitigation procedures and PEAs Implementing agency Process Outline Measures (1st, 3rd and 5th year National Engineering Reports & Formats Formulation of Environmental requirements of the project) personnel from Management Plan LA process Statutory Boards, Implementation and Necessity for RAP and environment Monitoring and its preparation and social staff of Institutional Mechanism process potential private 103 operators / consultants. Contents Duration / Participants Programs Schedule Module 1­ Water Module 2­ Solid Module 3­ River Front Module 4 ­ Municipal supply, sewerage and waste management Development Open Forum Commissioners of sanitation the ULBs and heads ESMF Concept ESMF Concept Feed back of other PEAS. ESMF Concept Regulatory Regulatory and Engineering/ Public Regulatory Requirements- Requirements-E&S comments Health personnel Requirements-E&S E&S Priority Priority Issues from the from the ULBs and Priority Issues Issues Outline of ESA Participants. other PEAs. Outline of ESA Outline of ESA Process Engineering Process Process Identification of personnel from Identification of Identification of Environmental and Statutory Boards, Environmental and Environmental Social Impacts and potential private Social Impacts and Social Developing operators / Developing Impacts Mitigation Measures consultants. P Mitigation Developing including Measures including Mitigation entitlement Environment and Program -3 Measures frameworks social staff of entitlement frameworks including Formulation of NPMG; SPMG; and Workshop on Sectoral 1½ days PEAs Formulation of entitlement Environmental and Environmental and Social frameworks Social Management Environmental and Assessment Formulation of Plan including (every Social Management Plan Environmental preparation of alternate including and Social Resettlement Action years) preparation of Management Plan Resettlement Plan including Implementation and (Introduction Action Plan preparation of Monitoring will be Implementation Resettlement arrangements common to and Monitoring Action Plan Budget preparation all and arrangements Implementation for implementation participants Budget preparation and Monitoring of ESMP will be split for implementation arrangements Case Studies of ESMP Budget according to Case Studies preparation for their implementation respective of ESMP sectors) Case Studies 104 Section 7 Public Consultations and Disclosure 7.1 General 197. The development of the ESMF is based on a consultative process that engaged key stakeholders at the national, state, and local levels and sought their feedback. Key government agencies have been consulted at the various levels to obtain their consent on the ESMF in general and specially on the land acquisition process and resettlement framework. 198. National level consultations o ESMF were held as follows: (i) April 17, 2010: A meeting on the international River clean-up experiences was held at Scope Complex, Lodi Road, New Delhi where MoEF, World Bank, States, ULBs, NGRBA expert members, and some NGOs participated. Consultations on broad outline of ESMF were conducted. (ii) Sept.1, 2010: A meeting was organized in MoEF with States and PIAs ­ It was first consultant meeting on ESMF where MoEF made a presentation and draft of ESMF was shared with the States. (iii) Oct. 25-26, 2010: A workshop for consultation on Investment frameworks and ESMF was organized in the World Bank where States, PIAs, NGRBA and World Bank participated and agreed on the broad contours of the ESMF. It was agreed that States would conduct the public consultations at important towns where projects are likely to implemented under the program. 199. Following the national level consultations, public consultations have been carried out in sample sub project areas in each of the five participating states to get feedback and suggestions from the affected community on the ESMF. The dates of these consultation meetings were announced in the local newspapers in advance so that all interested parties could participate and provide suggestions. The ESMF was translated into local language and disclosed on the websites and placed with the offices of the nodal agencies prior to the consultation meetings. Representatives of the State Nodal Agencies facilitated the public consultation meetings. The consultants preparing the ESMF attended the public consultation meetings in all the states to note the 105 stakeholder suggestions and feedback. The minutes of the meeting was prepared highlighting the key discussions and issues raised by the stakeholders. 200. The schedule of the public consultations at the state level is provided in Table 7.1. The minutes of the meetings are given in the sections that follow. Table 7.1 Details of the public consultations held at the five selected states S.No State State Nodal Venue Date Time Agency 1 Uttarakhand Uttarkhand Peyjal Nagar Pallika 10th December 2:30 pm to Nigam Bhawan, 2010. 5:00 pm Haridwar, Uttarakhand 2 West Bengal Urban Kolkatta, West 21st December 2:00 pm to Development Bengal 2010 4:00 pm Department 3 Jharkhand Urban Vikash bhawan, 23rd December 11:00 am to Development D.C. Office, 2010 2:00 pm Department, Sahibganj, Jharkhand) Jharkhand 4 Uttar Pradesh Ganga Pollution Nagar Nigam, 28th 3:00 pm to Control Unit, U.P Guest House, December, 5:30 pm Jal Nigam Kanpur, Uttar 2010 Pradesh 5 Uttar Pradesh Ganga Pollution Sadan Hall, 29th December 3:00 pm to Control Unit, U.P Nagar Nigam, 2010 5:00 pm Jal Nigam Allahabad, Uttar Pradesh 6 Bihar Department of Patna, Bihar 4th January 3:00 pm to Urban 2011 5:00 pm Development 106 7.2 Minutes of Public Consultation Meetings 197. Public Consultation on Environment and Social Management Framework (NGRBA), held at Haridwar, Uttarakhand Minutes Date: 10th December 2010. Time: 2:30 PM to 5:00 PM Venue: Nagar Pallika Bhawan, Haridwar, Uttarakhand Attended by: State Nodal agency (Uttarakhand Payjal Nigam): Mr. Prabhat Raj (Executive Engineer), Mr. S. C Gupta (General Manager), Mr. Y. K Mishra (Project Manager), Consultancy team from TERI: Mr. Sakaram Somayaji, Mr. C. G Hiremath, Ms. C. Sita Lakshmi Number of participants: 22 (representatives from NGOs, elected members of Nagar Pallika Haridwar and concerned individuals from Uttarkashi, Gangotri, Dehradun and Haridwar, list attached) The public consultation meeting was flagged-off by Mr. Y. K Mishra who welcomed the participants and briefed them about the agenda of the meeting. Further the meeting was carried forward by Mr. Prabhat Raj, who presented the details about the Environment and Social Management Framework, starting from the current status of river Ganga, future government plans, possible assistance by World Bank, overall significance of ESMF, stake-holder participation during the project, etc. A brief summary of all the important points discussed during the meeting are mentioned in the following points: A target-oriented, continuous and regular mechanism to create education and awareness among the people, particularly the younger generation about the importance of keeping river Ganga clean. Provide proper sanitation facilities, along with efficient operation and maintenance systems, to the tourists and pilgrims (like the Kaavadis) who visit the state during religious occasions and other festivals. Active participation from the NGOs, the local communities and the panchayats needs to be ensured in the process of planning, implementation and monitoring of the project. 107 All efforts should be made to safeguard and minimize any possible negative impact on the socio-cultural beliefs and traditions of the local communities regarding river Ganga, while implementing the sub-projects. Regular operation and maintenance mechanism for sustainable management of the facilities created during the sub-projects, along with sufficient budgetary provisions. In order to ensure proper cleaning of Ganga, all the tributaries in the state also needs to be covered under the project. A common concern among the stakeholders was the lack of any solid waste management plan, as of today, in the district. This project should incorporate suitable mechanisms for proper solid waste management in the river basin. To avoid time and cost run-over, the time gap between planning and implementation of the project needs to be minimised. This will also prevent the project to suffer due to price-escalations and consequent budget insufficiency. All safety and precautionary measures must be taken to avoid any accidents during the construction phase of the projects. Although the notice of the project along with other details and the specific agenda of the meeting was made available on the website of Peyjal Nigam, the ward members of Nagar Pallika, Haridwar suggested that hard copies of these details be provided to them individually, as internet is not easily accessible by everyone, so as to make their participation more effective. Ensure proper coordination between different government agencies/ departments with clear allotment of responsibilities and provide sufficient accountability at each level. The meeting was concluded by Mr. Y. K. Mishra followed by vote of thanks given by Mr. S.C Gupta. Plate 7.1 Public Consultation held at Haridwar, Uttarakhand 108 198. Public Consultation Meeting on Environment and Social Management Framework (NGRBA) held at Kolkata Minutes Date: Tuesday, 21 December 2010 Time: 2 p.m. Venue: Unnayan Bhawan, Salt Lake, Kolkata Attended by: Mr N Dey, Special Secretary, Urban Development Department, Government of West Bengal, Mr Chunar Dey, DGO, GAP Consultancy team from TERI: Dr Sujana Dhar, Ms Avanti Roy Basu No. of participants: 43 (including representatives from Barrackpore, Khardah, Panihati, Kamarhati, Gaeshpur, Konnagar, Serampore, Naihati, Halisahar, Mahestala, Behrampore, Jangipur, Nabadwip, Bhatpara municipalities, Kolkata Metropolitan Development Authority, Howrah Municipal Corporation, Chandannagar Municipal Corporation, West Bengal Pollution Control Board, Jadavpur University, ME Directorate and KMW&SA). Signed list of participants attached as Annexure IV. The public consultation meeting was initiated by Mr N Dey who welcomed the participants and briefed them about the agenda of the meeting. The details of the Environment and Social Management Framework (ESMF), including the future activities planned by the government, possible assistance by World Bank, overall significance of the ESMF, stakeholder participation during the project, etc. were discussed. He also discussed the objectives of setting up the National Ganga River Basin Authority (NGRBA). A brief summary of the important points discussed during the meeting are mentioned below. The various river pollution mitigation projects to be implemented under NGRBP, namely sewerage and sanitation schemes, sewage treatment plants (new/ upgradation), solid waste management, industrial pollution control initiatives and river front development schemes were highlighted. He stressed on the importance of the treated sewage water to only flow into the river. 109 Mr Dey presented the genesis of the NGRBP and informed the participants that the mission is to clean River Ganga by 2020 and to bring the water quality to acceptable limits, which primarily flows through 5 states, namely, Uttar Pradesh, Uttarakhand, Bihar, Jharkhand and West Bengal. He described the structure of the NGRBA, chaired by the Hon`ble Prime Minister of India. The organizational structure of the NGRBP is as follows: At the national level, NGRBA is chaired by the Hon`ble Prime Minister of India, and the Empowering Steering Committee (ESC) has been formed. At the state level, SGRBA (State Ganga River Basin Authority) is chaired by the Hon`ble Chief Minister of the respective states. Also, State Project Planning and Monitoring Unit (SPPMU) will be the state nodal agency and will be formed in West Bengal shortly. The SPPMU will be a registered body and will be headed by the Principal Secretary of the State Urban Development Department. The State Executing Agency (SEA) will be formed at the state level. For execution of the project, PEA (Project Executing Agency) ­ NGO or any state agency. City level monitoring agencies at the district level will also be formed. He discussed in length about the purpose of the ESMF (Environment and Social Management Framework) including matters related to land acquisition, entitlement issues, resettlement and rehabilitation of the Project Affected Persons (PAPs). The laws and regulations as well as World Bank Safeguard policies applicable to the project were discussed. The environmental categorization of the various sub-projects envisaged under the NGRBP was discussed. He mentioned that based on proper guidelines, feasibility reports (FR) will be prepared, and after obtaining necessary approvals from the state government and GoI, the DPR will be documented. The modifications will be made at the FR stage, and not at the DPR stage. Many activities related to RFD have already been implemented in many parts of the state. He stressed on the need of ladies` changing room (as part of the RFD sub-project) and the need of low-income scheme (as part of the sewerage and sanitation sub project). 110 The O&M cost for the first five years will be included within the project cost, and will follow the 70:30 pattern (70% by GoI and 30% by state government). The funds will flow from GoI to SPPMU to PEA. The representatives of Panihati, Mahestala, Bhatpara, Gayeshpur and Chandan Nagar municipalities raised their queries, which were successfully handled by Mr Chunar Dey (GAP), Prof. A Majumdar (Jadavpur University) and Dr T K Gupta (WBPCB). Observations that the different agencies mostly failed to operate and maintain properly the sewage treatment plants e.g. Activated Sludge Process, Trickling Filters etc constructed under GAP-Phase I and Phase- II were heard. The STPs like Waste Stabilization Ponds (WSP), however installed under GAP Phase I and Phase II operated and maintained satisfactorily. So, efforts must be exerted for installation of WSP for treatment of city sewage. Accordingly land selection (in rural areas) and acquisition should receive priority for interest of the work. Prof Mazumder stated that the current phase of GAP envisages installation of sewerage system in the town. The storm water during rain will flow along surface drains leading to Ganga. Thus house connections in the sewerage system need guarantee from the municipal authorities. If house connections are not done then sullage will continue to get discharged in the river. Thus house connection is a challenge for the future action plan. He also mentioned that recycling and reuse of treated waste water must receive serious attention in the projects. This will ensure use of treated wastewater in agriculture, pissiculture, ground water recharging etc. One has to conceive ecologically balanced wastewater treatment system for abatement of river pollution One of the objectives of GAP must be the positive impact on public health, Non-point pollution needs also to be addressed, and more thrust is needed to ensure peoples' participation in the programme. Representatives of certain municipalities expressed their opinions and suggestions during the participatory discussion, and a few experts present in the meeting presented their views accordingly. A brief summary of the interactive session is given below: 111 Panihati Municipality ­ Under the Ganga Action Plan, 13 nos of towns were covered in the 1st phase within KMA including Panihati. However, the representative of Panihati Municipality complained that the sewage treatment plant (STP) constructed under GAP I is currently non-functional. Mahestala Municipality ­ There are several small-scale industrial units in Mahestala, which discharge untreated/partially treated wastewater directly into the river and pollute it. The representative of Maheshtala Municipality opined that due to financial reasons, it is not possible for these small units to set up wastewater treatment facilities at an individual level. Also, there is no sewerage network in Maheshtala. As a response to this, Dr T K Gupta, Chief Engineer, West Bengal Pollution Control Board (WBPCB) suggested that Common Effluent Treatment Plant (CETP) will be constructed for which land has to be identified. The formalities of land possession (for the CETP) may be discussed in the Committee meeting at a later stage during the project. The smaller industries need to be shifted to the common location so that their wastewater is managed in an efficient manner (through the CETP). Bhatpara Municipality ­ There are 18-19 large-scale industries in Bhatpara. The sewerage system in Bhatpara is decades old, with problems like sewerage congestion due to weak O&M practices. Even after making repeated requests to the WBPCB, no actions were taken from their end. Therefore, the problems related to management of industrial wastewater as well as sewage do exist in a big way. Dr T K Gupta assured that he will take necessary actions to address their grievances. Gayeshpur Municipality ­ The problems discussed by the representative of Gayeshpur municipality are similar to that of Bhatpara. He added that there is land available in Gayeshpur for any construction that might be required. Chandan Nagar Municipality ­ Untreated sewage from various point and non-point sources fall into the river. The representative from Chandan Nagar Municipality was of the opinion that municipal engineers should be involved in the decision making process The meeting ended with the vote of thanks given by Mr Dey. He was grateful for the overwhelming response of the participants for the meeting, and requested their whole- hearted participation throughout the project. 112 Plate 7.2: Public Consultation held at Kolkata 199. Public Consultation on Environment and social management Framework (NGRBA), held at Sahibganj, Jharkhand Minutes Date: 23/12/2010 Time: 11:00 am to 2:00 pm Venue: Vikash bhawan, D.C. Office, Sahibganj, Jharkhand Attended by: State nodal agency: - Mr. K. Ravi Kumar (District commissioner, Sahibganj) - Mr. Sangram Besra (Deputy Secretary, Urban Development Department) - Mr. Gajanand Ram (Associate town planner, Urban Development Department, Jharkhand) - Mr. Sisir Kumar soren (Executive officer, Sahibganj) - Mr. Suresh Kumar (Executive officer, panchyat, Rajmahal) Consultancy team from TERI: Mr. Sunil Kumar, Ms. G.Mini Number of Participants: 75 Representatives from NGOs, elected members of Nagar palika Sahibganj and concerned individuals from Sahibganj and Rajmahal. Signed list of participants attached as Annexure IV. The public consultation meeting was flagged-off by Mr. K. Ravi Kumar (District Commissioner, Sahibganj) and Mr. Gajanand Ram (Associate town planner, Urban Development Department, Jharkhand) who welcomed the participants and briefed them about the agenda of the meeting. 113 Further the meeting was carried forward by Mr. Gajanand Ram, who presented the details about the Environment and Social Management Framework (ESMF), starting from the current status of river Ganga, future government plans, possible assistance by world bank, stakeholder participation during the project and the overall significance of ESMF. Various agencies involved in implementing the current programme were also explained in detail to the gathering. The guidelines were translated to vernacular and made available to public and also all the documents related to NGRBA has been uploaded in the project website. Mr. K Ravi Kumar and Mr. Gajanand Ram also briefed the gathering about the earlier efforts (GAP I and GAP II) to clean Ganga. The main reasons for the programme to be not so successful were cited as lack of proper operation and maintenance of assets created and comprehensive planning. The Projects Planned under NGRBA in Sahibganj and Rajmahal are: Sewage treatment system Solid waste management Improved crematorium River front beautification A no. of sub-Projects would be considered under the above mentioned categories. Another important component considered under NGRBA would be to create public awareness to check activities, which contribute to pollution in the river. A brief summary of all the important points discussed during the meeting are mentioned below: It was informed that in Rajmahal & Sahibganj majority of the population lived in slum areas and they also need to be considered and sensitized while planning any projects/schemes. At the moment the fringe population are availing all the infrastructural benefits without being accountable to any kind of maintenance. Earlier there were only 18 wards in 2001 census and currently there are around 28 wards. It was emphasized that the projects have to be location specific and the paying capacity of the community has to be considered while planning the projects. 114 Small industrialists were conspicuous by their absence in public consultation meeting, hence it was opined that they should also be included in any further meetings especially the brick manufacturing industries which are normally situated at the bank of the rivers. The public wanted to know whether the levy of public contribution/tax for operation and management of the existing projects and up coming projects under the scheme would be same for the local public and the industrialist. It was clarified that reference of taxation system would be as per State Govt. decision. It was expressed that in the upcoming sewerage project there should not be any mixing of drinking water pipelines with sewerage pipelines. Also solid waste should not be diverted towards sewer drainage. In response to the questions raised, the DC clarified the technical details of the drainage system and assured that mixing of drainage and drinking water cannot happen. A common concern among stakeholders was the indifference towards the rules and regulations when it comes to usage and maintenance of the infrastructure facilities provided. For instance, in spite of some existing drainage network people still continue to dispose their waste into the river, open defecation is common, littering of riverbanks is widespread. So how will the agency ensure discipline when the new projects come up? in response to the questions and concerns raised the D.C. conveyed that part of the problem is due to lack of manpower in Urban Local Bodies. New recruitments will take place and effective measures will be put in place to abide by the rules and regulations. It was suggested that projects should not be like a showcase it should be fruitful to the entire beneficiary. It was suggested that anti erosion projects/ works, which is currently under CWC, should be included in the Ganga main stem project. Since Sahibganj is a underdeveloped district levy of tax should be lesser as compared to other major towns and cities. Another justification given for less levy of tax is that Sahibganj being a non-industrial area/zone becomes the least polluter of the river. Hence, polluter pay concept has to be considered and higher taxes have to be levied from high polluting towns and cities. 115 Currently dead animals are disposed in river Ganga as there are no burial places for animals. Nagar Palika also does not have any disposal place for dead animals. Another suggestion was to ensure proper coordination between different government agencies/ departments especially the Drinking Water and Sanitation Department and the urban body while implementing the project. The community was keen to know both tangible and in tangible benefits of the project, which was explained to them in detail by the District collector and the Associate town planner. People did not voice any concern regarding R&R issue. They mentioned that they are largely satisfied by the existing compensation scheme. A common concern voiced by the stakeholders was regarding the difficulty of land acquisition in khashmahal estate of government. Nearly 1000 acres of land in Sahibganj comes under khashmahal estate. There is a high possibility that certain portion of the khashmahal land would come under project (mainly for ­ laying piplines, sewerage junctions, pump house, sewage treatment plant etc.) and giving compensation for such land will create problems as these lands are claimed both by the government and the community. Peoples were also largely concerned about the decreased river flow of Ganga, and expressed their doubts about the existence of the river in another 10 to 12 years. Most of the queries related to planning and implementation of the project raised were satisfactorily answered by the D.C. and Associate Town planner. The meeting was concluded by Mr. Gajanand Ram followed by vote of thanks, especially to Mr. K.Ravi Kumar (District commissioner) for their presence and valuable suggestions. Plate 7.3: Public Consultation held at Sahibganj, Jharkhand 116 200. Public Consultation on Environment and Social Management Framework (NGRBA), held at Kanpur, Uttar Pradesh Minutes Date: 28th December 2010. Time: 3:00 PM to 5:30 PM Venue: Nagar Nigam, Guest House, Kanpur, Uttar Pradesh Attended by: State Nodal agency (Ganga Pollution Control Unit, U.P Jal Nigam): Mr. C M. Chaudhary (General Manager), Mr. Mukesh Kumar (Project Manager) Consultancy team from TERI: Ms. Sonia Grover, Ms. Swati Dabral, Mr. C. G Hiremath Number of participants: 38 (Mayor, Commissioner, Additional Municipal Commissioner, elected members of Kanpur Municipal Corporation, representatives from NGOs and Schools, concerned government officials, list attached as Annexure IV). The public consultation meeting was initiated by Mr. C M. Chaudhary who welcomed the participants and briefed them about the agenda of the meeting. Further Mr. Mukesh Kumar presented the scope and objectives of the Environment and Social Management Framework (ESMF). Details about the ongoing and proposed projects under NGRBA for Kanpur city was also presented during the meeting. A summary of the important points discussed during the meeting are mentioned below: Disposal of unburnt or half burnt dead bodies into the river Ganga should be prohibited and promotion of social institutions to perform last religious rites of unidentified and unclaimed dead bodies. More crematoriums should be built and existing ones should be renovated to cater to the need of growing population. Stakeholders` involvement at both project planning and implementation phase of the projects. Provision of proper sanitation facilities during religious occasions and other festivals. Inclusion of social development projects in the projects portfolio proposed by NGRBA. 117 Promotion of awareness generation at community and school levels especially in the fields of better solid waste disposal (idols, calendar, flowers, polyethenes), promote usage of crematoriums, etc. Involvement of local communities (Pandits) for maintaining the river ghats to curb pollution. Initiative to start same rituals with the bodies specified for burning in electric crematorium as is done with normal bodies to enhance acceptance of e-crematoria. Administrative and financial support for regular operation and maintenance of the projects. Establishment of institutional facilities for monitoring and maintaining the minimum flow (at least 50% of the volume generated) in the river, which is currently being interrupted by infrastructural activities (dams, barrages, diversions) on the upstream side of river Ganga. Facilitate reuse of treated wastewater for agricultural practices, parks, fire fighting, etc. Provision of segregated wastewater treatment from industry and domestic sectors. Provision of buffer zones (no-man zone)/integrated river front development for protection of river ghat against pollution (solid and liquid waste disposal, infrastructural development). Facilitate usage of this buffer zone for afforestation or flower plantation) Creation of Ganga Heritage Zone to focus development and protection against pollution. Adopt bioremediation techniques for treating wastewater until the new STPs become functional. Facilitate proper solid waste management along with the provision of utilisation of compost in agricultural/gardening activities. Prohibition of reverse boring of wastewater by the industries which are likely to pollute groundwater. Proper coordination between different government agencies during appraisal of the proposals and environmental impact assessment of the projects which may cause time delay for execution. 118 The meeting was concluded followed by vote of thanks given by Mr. C M. Chaudhary. Plate 7.4: Public Consultation held at Kanpur, Uttar Pradesh 201. Public Consultation on Environment and Social Management Framework (NGRBA), held at Allahabad, Uttar Pradesh Minutes Date: 29th December 2010. Time: 3:00 PM to 5:00 PM Venue: Sadan Hall, Nagar Nigam, Allahabad, Uttar Pradesh Attended by: State Nodal agency (Ganga Pollution Control Unit, U.P Jal Nigam): Mr. A K Mittal (General Manager) Consultancy team from TERI: Ms. Sonia Grover, Ms. Swati Dabral, Mr. C. G Hiremath Number of participants: 22 (Mayor, elected members of Nagar Palika Allahabad, representatives from press and concerned government officials, Signed list of participants attached as Annexure IV. The public consultation meeting was flagged-off by Mr. A K Mittal who welcomed the participants and briefed them about the agenda of the meeting along with details of upcoming and proposed projects under NGRBA. Further the meeting was carried forward by TERI`s representatives, who presented the scope and objectives of the Environment and Social Management Framework and requested participants to share 119 their concerns/suggestions with respect to the framework. A brief summary of the important points discussed during the meeting are mentioned below: A continuous and regular mechanism of creating awareness among community and school children`s through street plays, public and religious gatherings (Mela), displaying banners, etc. Provision of proper sanitation facilities along with efficient operation and maintenance systems during religious occasions and other festivals. Community involvement needs to be ensured during the project initiation and implementation stage of the project. The implementation activities of the projects must be completed in time to avoid the problems of traffic diversions, public congestions, and commercial displacement especially during Maha Kumbh Mela. Promote reuse of treated wastewater for irrigation and gardening purposes. Mechanism for proper solid waste management along the banks of both river Ganga and Yamuna. Provision of wastewater treatment facility at Dhobi Ghat for caustic soda based effluents. Imposing strict regulation on upcoming new colonies to establish their own STPs. Ensure proper site selection for pumping stations along with efficient operation and maintenance of pumping stations in order to avoid back flow or clogging of sewers. Request to start sewer and drainage projects simultaneously and completed in time to avoid mixing of wastewater with drainage water. Ensure technically feasible solutions while designing the alignment of sewer lines and dimensions of the sewer to cater the needs of growing population. Request to maintain minimum size of the sewer more than 150mm to avoid clogging of sewers. Ensure sufficient distance/depth while aligning the sewer lines adjacent to the water supply lines to avoid contamination of drinking water. The meeting was concluded followed by vote of thanks by Mr. A K Mittal 120 Plate 7.5: Public Consultation held at Allahabad, Uttar Pradesh 202. Public Consultation on the Environmental and Social Management Framework (ESMF) for the National Ganga River Basin Authority (NGRBA) held at Patna, Bihar Minutes Date: 04/01/2011 Time: 03:00 pm to 5:00 pm Venue: Conference hall, urban development office, Vikas Bhawan, Patna, Bihar. Attended by: State nodal agency: - Dr. D.K. Shukla (Special Secretary, Urban Development and Housing Department, Government of Bihar) - Mr. A.K. Sharma (CGM, Bihar Urban Infrastructure Development Corporation Ltd. Bihar) - Mr. P.U. Asnani (Team leader, UTAST-SPUR, Bihar) - Mr. Satish Chand Agrawal (Senior Environment and Public Health Engineer, SPUR-UTAST, Bihar) - Mr. Sanjay Shakya (Infrastructure and Procurement specialist, SPUR- UTAST, Bihar) - Mr. Chand Rehmani (BUDA, Urban Development and Housing Deptt.) Consultancy team from TERI: Mr. Sunil Kumar, Mr. Avneesh Nayal 121 Number of Participants: 26 Representatives from NGOs, elected members of Nagar Palika and concerned individuals from Patna and other districts of Bihar. Signed list of participants attached as Annexure IV. The public consultation meeting was flagged-off by Mr. Satish Chand Agrawal (Senior Environment and public health engineer, SPUR-UTAST, Bihar), and Mr. P.U. Asnani (Team leader, UTAST-SPUR, Bihar) who welcomed the participants and briefed them about the agenda of the meeting. Further, the meeting was carried forward by Mr. P.U. Asnani, who presented the details about the Environmental and Social Management Framework (ESMF), starting from the current status of river Ganga, future government plans, possible assistance by the World Bank, stakeholder participation during the project and the overall significance of the ESMF. Various agencies involved in implementing the current programme were also explained in detail to the gathering. The guidelines were translated to vernacular and made available to public and also all the documents related to NGRBA have been uploaded onto the project website. Mr. P.U. Asnani and Mr. Satish Chand Agrawal also briefed the gathering about the upcoming projects and list of towns selected under the NGRBA project. Total 21 towns have been selected from 9 districts of the Bihar state. The upcoming Projects Planned under NGRBA in Bihar are: Sewage treatment plants including Dhobi Ghat and Community toilet Integrated Solid waste management Improvement of crematorium River front development A number of sub-projects would be considered under the above-mentioned categories. Another important component considered under NGRBA would be to create public awareness to check river-polluting activities A brief summary of all the important points discussed during the meeting are mentioned below: 122 Social and Organizational concerns/suggestions: Awareness about the program projects and sub-projects must be generated to a large extent in order to ensure implementation and effectiveness. For all projects, elected representatives of the state must lead the way and communicate efficiently with the public. Documents and messages delivered to the public must be made in simple language and easily comprehendible. This will ensure that they are made aware, will respond positively to their duties and will contribute to the implementation of projects. It is absolutely essential for good communication and transparency between the elected representatives (ward councilors, mayor) and government officials to ensure efficient execution of the projects. A higher level of cooperation and contribution from the State Pollution Control Board will be required. Livelihood links` that exist with the Ganga River and the related projects should be highlighted. For this, a task force or Ganga Panchayat should be constituted. These task force units would partake in Capacity Building of locals and training of Urban Local Bodies. Before implementation of projects, the location of projects must be consulted with the local people of the project-affected area. Local Institutional support could be taken for project planning and development. Encroachment of lands and construction of residential complex should not take place in the River Catchment areas. Environmental and Technical concerns/suggestions: Solid Waste Management related projects must implement a door ­ to ­ door collection system in order to reduce the number of waste collection points. All efforts to be made to make the town a bin free city. Effluent discharge limits for slaughterhouses along the riverbanks should also be established. In addition, these slaughterhouses must be made modern and more environment-friendly. The State Pollution Control Board should strictly implement the Environment Protection Act particularly for slaughter houses discharging their waste in to river Ganga without treatment. 123 Various check dams could be built on the tributaries of the river Ganga in order to achieve better flood and disaster management. In this way, formation of islands in the coarse of Ganga can also be stopped. In addition, small hydropower plants could also be setup. There are various Arsenic-zones` adjacent to the riverbanks that must be addressed. A master plan is to be developed for the entire Ganga River Basin using Remote Sensing and GIS under the NGRBA project. Integrated River Basin projects should also be developed under NGRBA. The demarcation of Heritage Zones` must be done about 1-2 Km adjacent to the riverbank area. These zones will be protected and could serve as recreational and scenic areas. Technical trainings should be provided to concerned officials and elected members for better implementation of the projects. The SPUR-UTAST on behalf of Urban Development Department has submitted comments on ESMF (copy attached). Finally the meeting was concluded by Mr. P.U. Asnani followed by vote of thanks. Plate 7.6: Public Consultation held at Patna, Bihar 203. The public consultation and disclosure process will continue during project implementation. The draft EIA/EMP/RAP etc. for the specific sub-projects will be discussed with the affected communities and the final documents will be placed on the websites of the PMG and the SPMUs. The copies of the EMP and RAP will also be placed at the offices of the executing agencies, district magistrate and contractor`s 124 office. The executive summary of the EIA and RAP will also be translated into local language and placed in the office of the Gram Panchayat of the affected villages. 125 ANNEXURES Annexure I Guidance on EIA of Category I Sub-Project Introduction Category I sub-projects require a full EA to be done by environmental consultants, separate from any evaluation performed by the design consultants. The environmental consultants have to closely interact with the design consultants in order to obtain the necessary data, information, reports and support as required. The EA process has to be carried out, and the EA & EMP reports have to be prepared. This guidance includes a typical terms of reference and also suggests the structure and content of the EA & EMP report. The terms of reference are general in content. As it is likely that there are some specific environmental issues that require to be addressed and these are known in advance, these need to be informed to the environmental consultants. Examples of category I sub-projects include: Extension of existing network / creation of new sewage pumping stations / sewage treatment facility involving fresh land acquisition; New common effluent treatment plant, new hazardous waste receiving, treatment storage and disposal facility; Pilot projects on IPC technologies; Sanitary landfill sites with leachate collection and disposal arrangements, irrespective of fresh land acquisition; Solid waste segregation and composting facilities, irrespective of fresh land acquisition; River front management projects with land acquisition and / or with potential to interfere with water hydrology. The above list is not exhaustive, and serves only as some guidance as to the kinds of activities to which the World Bank would typically assign a category I rating. Terms of reference The following terms of reference should be used: Description of Project To provide a full description of the project, with details on specific sites, populations impacted, project design, implementation schedule, number / types of connected industries, details of any pre-implementation activities (i.e. public education and/or involvement, pilot studies, etc.), operation and maintenance activities, required off- site investments, project life span, etc. Project description should also include any and all required information as stipulated below. 116 Policy and legal framework To collect information on the prevailing national, state and local laws, pertinent to environmental quality, health and safety, waste management guidelines, air and water quality regulations, protection of sensitive areas, land uses control and others. Manner of complying with relevant laws, such as the appropriate avenue for submission of required materials, should be described in detail. To convey to the contractor / relevant implementing actor the manner in which the enforcing body will conduct its monitoring / enforcement activities, as well as information as to what government assistance (e.g. technical assistance) government bodies can provide to the actor so as to facilitate the actor`s compliance. To determine its applicability of all laws to the proposed sub-project and to include the specific clearances / approvals that have to be obtained by the SGRBA / contractor / relevant implementing actor. To assist the SGRBA / contractor / relevant implementing actor in any clearances / approvals that may be required to implement the sub-project in terms of completing forms / applications, and defending the sub-project before Government committees. Baseline Study of Proposed Project Area To assemble, evaluate and present baseline data on the relevant environmental characteristics of the sub-project area, including changes anticipated before the commencement of the project. The description of the baseline environmental setting shall be worked out from the secondary data sources supplemented by the primary data collected as part of the various surveys carried out as part of the EA preparation. To describe the physical environment: geology; topography; soils; climate and meteorology; ambient air quality; noise quality; surface and ground- water hydrology; existing sources of air emissions; existing water pollution discharges; and receiving water quality, etc. Description should include both a general overview of overall study area, as well as more detailed information for specific implementation sites. To describe the biological environment: flora; fauna; rare or endangered species; sensitive habitats, including reserved forests, wildlife reserves and sanctuaries etc. Description should include both a general overview of overall study area, as well as more detailed information for specific implementation sites. To describe the socio-cultural environment: population; land use; planned development activities; community structure; employment; distribution of income, 117 goods and services; recreation; public health; cultural properties; and tribal people and their usufruct rights, common property resources, etc. Description should include both a general overview of overall study area, as well as more detailed information for specific implementation sites. Public consultation To carry out public consultation and participation as an integral part of the EA. Consultation sessions shall be carried out with different stakeholder groups at the local, regional and district levels, so as to incorporate the various environmental concerns and needs of the community and the relevant stakeholders. Specific attention should be paid to Project Affected Persons (PAPs), namely, those whose habitations or livelihoods will be directly impacted by the proposed sub-project. To ensure the effectiveness of the consultations and the full participation of all stakeholders in the project, all relevant information shall be shared with the likely PAPs and local NGOs in a timely manner prior to the consultation and in a form and language that are understandable and accessible to the groups being consulted. To ensure that consultations with these groups are carried out at least at the following two occasions: (a) shortly after environmental screening and before the terms of reference for the EA are finalized; and (b) once a draft EA report is prepared. Such groups should also be consulted throughout project implementation as necessary to address EA-related issues relevant to them, allowing relevant stakeholders the opportunity to share their concerns during both the design and implementation phases of the project. To make available both the initial draft EA and the report`s conclusions at all relevant public locations accessible to PAPs and relevant stake holders. The EA report shall also be disclosed in website of the SGRBA, NGRBA and the World Bank`s Infoshop. Impact analysis To identify, analyse and evaluate the different kind of impacts, and to distinguish between significant positive and negative impacts, direct and indirect impacts, and immediate and long-term impacts. To determine the impacts on sensitive receptors identified during the baseline environmental analysis. 118 To determine the impacts on sensitive areas: critical natural habitats (such as conservation areas, sanctuaries, sacred groves, etc.) and migration routes; induced development; historic, cultural and religious buildings and sites; archaeological sites and tourism areas, etc. Analysis of alternatives To describe alternatives that were examined in the course of developing the proposed project and identify other alternatives, which would achieve the same objectives. The concept of alternatives extends to siting, design, technology selection, construction techniques and phasing, and operating and maintenance procedures. To compare alternatives in terms of potential environmental impacts and suitability under local conditions. A no project, or Business as Usual, scenario should also be considered, wherein the environmental impacts of taking no action will be estimated. Mitigation To identify feasible and cost-effective mitigation measures that may reduce potentially significant adverse environmental impacts to acceptable levels, capital and recurrent costs of the measures. These measures should be identified prior to construction of any projects or sub-projects. To specify in a table the description of the measure along with who is responsible and when it has to be implemented. To include relevant drawings and technical specifications that would be required to implement the mitigation measure effectively during the design phase of any project or sub-project. Monitoring To prepare detailed arrangements in a plan for monitoring implementation of mitigating measures and the impacts of the sub-project during construction and operation. To include in the initial plan an estimate of capital and operating costs, and a description of other inputs (such as training and institutional strengthening) needed to carry it out. These estimates should occur during the initial design/planning phase of the sub-project. 119 To document in the initial plan what will be monitored, who would do it, who would receive its outputs, how much it would cost, how it would be financed and what other inputs (e.g. training) are necessary. To include in the initial plan a list of environmental monitoring parameters, and detailed specifications (methods, schedule, etc) for performance/compliance monitoring during construction, and operation stage of the sub-project. Management To identify institutional needs to implement the recommendations of the EA. This would include manpower requirements, skill requirements and training, organisational mechanisms and information dissemination requirements. To recommend any further studies of environmental issues which should be undertaken during project implementation. Others To document the important contributors to the EA and to record interagency /forum/ consultation meetings; including list of both invitees and attendees. Suggested structure and content of an EIA report The EIA report should have the following structure and content: Executive Summary - project details, policy framework, baseline conditions, significant environmental impacts, salient points of the analysis of alternatives, salient mitigation and monitoring measures, and budget. Project Description - Concise description of the proposed project and its geographic, ecological, social and temporal context. Policy, Legal and Administrative Framework - Government policies, environmental legislations and regulations currently under force. Baseline Data - Assessment of the physical, biological and socioeconomic conditions of the project locations. Environmental impacts - Prediction and assessment of the project`s likely positive and negative impacts, in quantitative terms to the extent possible. The more significant environmental impacts and those that are considered critical by the public are to be further focused in this chapter. 120 Analysis of Alternatives - Comparison of feasible alternatives to the project site / right-of-way, technology, design and operation ­ including the without project` situation ­ in terms of their potential environmental impacts Mitigation and monitoring measures - Enlisting and description of environmental impacts and the remedial measures to be taken. Preferably, this contains a comprehensive table containing a brief description of the impact, the type of remedial measure (prevention or mitigation or enhancement), the description of the measures, phase wherein applicable - pre-construction, construction and operational phases, and implementation responsibility. Budgets Structure and content of an EMP The EMP report should have the following structure and content: Introduction - Objective, scope, proponent`s background, brief description of the sub- project and the purpose of the EMP Remedial Measures - Description and enlisting of the environmental impacts and remedial measures to be taken. Preferably, this contains a comprehensive table containing a brief description of the impact, the type of remedial measure (prevention or mitigation or enhancement), the description of the measures, phase wherein applicable - pre-construction, construction and operational phases, and implementation responsibility. Organizational arrangements for implementation - Institutional framework being established to ensure the implementation of the EMP. Environmental performance indicators are to be chosen and the basis for their selection. A linkage between these indicators and the important environmental impacts and the associated remedial measures needs also to be established. Monitoring mechanisms to be adopted that include reporting progress, frequency of monitoring, enhanced monitoring during specific seasons such as the monsoons if required. Mechanisms to ensure an ongoing dialogue with the public during the construction and operational phases. 121 The budget for the EMP implementation should be included in the overall sub-project. This should cover costs ­ mitigation, monitoring, training and public / stakeholder consultation and participation - due to be incurred during the construction and operational phases. 122 Annexure II Generic Environmental Guidelines / Management Plan for Category 2 Projects Activity Potential Negative Mitigation Measures Responsible Monitoring Impact/Concern Agency for Agency Mitigation I. Sewerage and Sanitation Projects A. Design and Development Phase Land Acquisition Loss of tree cover Undertake ULB / Project SRCA/NGRBA ** afforestation in Implementing nearby areas Agency Treated Water Pollution of Ensure efficient ULB / Project SRCA/NGRBA Disposal into stream water working condition. ­ Implementing nearby stream and other water Choice of treatment Agency *** bodies receiving process, STP discharges construction due to reduction technique, in efficiency or equipment and non working of skilled operation and STP supervision critical to maintain effluent quality compliance. The treated water quality shall comply with the standards laid down by the state pollution control board for disposal onto the land, water body or for irrigation use. Sludge Disposal of Providing adequate Design SRCA/NGRBA Disposal*** sludge leading and safe sludge Consultant, / to disposal facilities Project contamination Implementing of land and Agency water. Provision for Flooding of the The Design Design SRCA/NGRBA Accidental nearby areas Consultants should Consultants and leakages / bursts with untreated design for bypass PEA ** sewage in event arrangements, to of accidental discharge untreated leakages or sewage. bursts 123 Activity Potential Negative Mitigation Measures Responsible Monitoring Impact/Concern Agency for Agency Mitigation Low lying areas Provide proper Contractor and SRCA/NGRBA in the site, drainage PEA which can get arrangements so that flooded during the water does not monsoons stagnate on the site Location of Nuisance Careful planning and Design Consultant SRCA/NGRBA STP* hazards to design of STP with and PEA neighboring adequate buffer areas. zones. Future growth of the surrounding areas shall be considered. Developing Noise and odour Select appropriate Design SRCA/NGRBA sewage pumping nuisance to location away from Consultant/ PEA station* surrounding sensitive locations areas. such as schools and hospitals. Provide sufficient buffer areas Follow standard codes for selection pumps and other apparatus. Use less noise making and easy to operate equipment. B. Construction Phase Excavation, Soil and water Ensure immediate Contractor/ SRCA/NGRBA cutting and contamination by transportation of Project improper disposal of accumulated waste filling construction and Implementing operations*** to an identified site. Agency demolition waste. Damage to standing Construction Contractor and SRCA/NGRBA crops due to activities shall be PEA construction planned so as not to activities. damage any crops. In case if it is inevitable provide monitory compensation to the owners Immediately transport accumulated construction waste to a site identified for the purpose. Temporary flooding Provide suitable Contractor and SRCA/NGRBA due to excavation arrangements for PEA drainage control. 124 Activity Potential Negative Mitigation Measures Responsible Monitoring Impact/Concern Agency for Agency Mitigation during monsoons. Noise, vibration and Use of less noise Contractor and SRCA/NGRBA dust from generating PEA construction equipment for all activities. activities, provision for personal protective equipment, ear muffs, etc. for construction; avoid construction activities during nights; and sprinkle water on site and remove excess matter from the site as soon as possible. Safety hazards to Provide adequate Contractor and SRCA/NGRBA labor. safety precautions PEA such as helmets, safety shoes, gloves, etc. Laying of sewer Spillage of fuel and Store tanks and Contractor and SRCA/NGRBA network * oil drums for excess PEA capacity; forbid pouring into soils or drains; enforce adequate equipment maintenance procedures Noise and vibration Establish schedule Contractor and SRCA/NGRBA disturbances to and other specific PEA residents and restrictions; limit businesses work to daylight hours as possible; use of less noise generating equipment, proper maintenance Laying of sewer Dust generation Water sprinkling, Contractor and SRCA/NGRBA network * removal of excess PEA materials, cleaning of sites upon completion of activities. Reduced pedestrian Establish work Contractor and SRCA/NGRBA and vehicle access sequence and PEA to residences and methods to minimize access disruption; 125 Activity Potential Negative Mitigation Measures Responsible Monitoring Impact/Concern Agency for Agency Mitigation businesses provide alternative safe access as possible; temporary bridges and crossings, detours and walkways. Temporary water Establish Contractor and SRCA/NGRBA supply interruptions coordination PEA procedures for cut- off; minimize time for replacement operations; and appropriate scheduling as necessary. Increased traffic Use alternate traffic Contractor and SRCA/NGRBA inconvenience routing; ensure PEA and (emissions, coordination with congestions, longer local authorities; Traffic Police routine control and travel times) maintenance of equipment. Construction Health impacts due Provision of Contractor and SRCA/NGRBA Camps* to absence of appropriate housing, PEA housing and water supply, and sanitation facilities sanitation facilities. in labour camps. Impacts on Provide proper Contractor and SRCA/NGRBA surrounding temporary drainage PEA environment due to and solid waste improper drainage collection and disposal facilities at and solid waste the construction site. management facilities in construction camps. C. Operation Phase Treatment and Impairment of Monitor the treated Operator/ PEA PCB Disposal *** receiving water sewage/effluent quality in quality and ensure surface/sub-surface compliance with PCB standards for source due to effluent disposal into inadequate surface water bodies, /inefficient on land or for the agricultural use. 126 Activity Potential Negative Mitigation Measures Responsible Monitoring Impact/Concern Agency for Agency Mitigation treatment. The treated water quality shall comply Contamination with the standards groundwater laid down by the supplies due to state pollution leaching and impact control board for disposal onto the on soil and land, water body or agriculture for irrigation use. Treatment and Problems arising Provide buffer zones Operator/ PEA PCB Disposal *** due to bad odour, in the form of green insects, polluted air, belt around the STP; noise pollution, etc. to be ensured during the design and development phase itself. Indiscriminate Prepares a sludge Operator/ PEA PCB disposal of sludge disposal plan and leading to adheres to the same. contamination of land and soil. Health and safety of Ensure safe Operator/ PEA SRCA/NGRBA workers due to the operation and release of toxic maintenance gases and hazardous practices are followed, and plans material. for emergencies are in place. Reduced land Adequate buffer PEA SRCA/NGRBA values in nearby zones during areas and aesthetics development and affected. construction phase should mitigate the affect considerably. Note: *** denotes ­ Significant Impact; ** Denotes-Moderate Impacts and *- Minor Impact. 127 Generic Environmental Guidelines / Management Plan for Category 2 Projects Activity Potential Mitigation Measures Responsible Monitoring Negative Agency for Agency Mitigation Impact/Concern II. Solid Waste Management & Disposal A. Development and Design Phase Land Loss of tree Undertake afforestation ULB / PEA SRCA/NGRB acquisition* cover. programs to compensate A to loss of tree cover Encroachment Ensure proper Site. In ULB / PEA SRCA/NGRB into sensitive case of encroachments, A areas such as ensure minimum forests, wildlife disturbance and habitations etc destruction. Obtain especially in case permission from of laying respective authorities transmission such as Department of mains Ecology, Environment and Forests Design and Nuisance hazards Ensure proper design Design SRCA/NGRB Development** to neighbouring and adequate buffer Consultant/PEA A * areas. zones to comply with MSW Rules, 2000. Contamination of Ensure appropriate Design SRCA/NGRB groundwater due design provisions are Consultant/ PEA A to leaching. made for liners, leachate collection and treatment facilities to prevent percolation of leachate. Reduced land Adequate buffer zones Design SRCA/NGRB values in nearby during development Consultant / PEA A areas and impacts shall be provided to aesthetics mitigate the affect considerably. affected. B. Construction Phase Excavation Noise and dust Construction of pucca Contractor and SRCA/NGRB activities* due to vehicle roads and provision of PEA A movement and green cover; use of less other activities. noise generating equipment for all activities; and provision for personal protective equipment, ear muffs, etc. for landfill/compost construction employees. Approach road shall be constructed before 128 Activity Potential Mitigation Measures Responsible Monitoring Negative Agency for Agency Mitigation Impact/Concern starting the work, to reduce the dust and vehicular pollution Safety hazards to Adequate safety Contractor and SRCA/NGRB labour. precautions such PEA A helmets, safety shoes, gloves, etc. should be provided to the labour. C Operation Phase Disposal of Nuisance due to Provide adequate buffer Operator/PEA SRCA and solid waste* odour and influx zone around the landfill PCB of insects, site with thick rodents, flying vegetative cover. Waste shall be dumped birds. at the designated place and shall not allow the waste to accumulate near the waste reception area. Emission of toxic Provision of landfill gas Operator/PEA SRCA and gases from management system. PCB landfill site. Health and safety Proper and timely Operator/PEA SRCA and of workers due to compaction of waste PCB the release of and provision of toxic gases and protective material to landfill employees. hazardous materials during the operation of the facility. Contamination of Proper maintenance of Operator/PEA SRCA and groundwater leachate collection PCB facilities shall be done. Leachete shall be treated to the standards of TNPCB before disposal. Public health and Ensure proper Operator/PEA SRCA and safety hazards to compaction and regular PCB workers from covering of waste, and odor, smoke from provide adequate buffer from the nearby areas fire and diseases by means of green transmitted by cover. flies, rodents, etc. Note: *** denotes ­ Significant Impact; ** Denotes-Moderate Impacts and *- Minor Impact. 129 Annexure III Roles and Responsibilities to Implement SMF at Various Levels LEVELS ROLES and RESPONSIBILITIES PMG Finalize ESMF; IPDP and Gender Action Plan (GAP); Social Development Provide policy guidance to the state level counterparts Officer Ensure dissemination of R&R Policy at national level Monitoring R&R and Land acquisition activities. Make budgetary provisions for R&R activities Liaison with state administration for land acquisition and implementation of RAP; IPDP and GAP Participate in state level meetings Finalize TOR of contracting NGO for implementation and external agency for monitoring and evaluation Prepare training schedule for state and project level social development officials for capacity building to implement the RAP; IPDP and GAP Prepare TOR for any studies required and qualitative dimensions to the implementation of RAP; IPDP and GAP Facilitate appointment of consultants to carry out the studies and co-ordinate them. Monitor physical and financial progress on implementation of RAP; IPDP and GAP SPMU ­ Social Co-ordinate with district administration and NGO responsible for Development implementation of ESMF/ RAP; IPDP and GAP Officer Translation of R&R policy in local language and ensure dissemination at state; district and community level - prepare pamphlets on policy for information dissemination Coordinate with the state and district level officials for acquisition of private land and implementation of ESMF/ RAP; IPDP and GAP Liaison with district administration for dovetailing of government schemes for Income Restoration Schemes Monitor physical and financial progress of implementation of RAP, IPDP and GAP Participate in the project level meetings Report progress, highlighting social issues not addressed, to provide for mid course correction, Coordinate training of project level staff with agencies involved. Organise by-monthly meetings with NGO to review the progress of R&R, indigenous people and gender actions 130 LEVELS ROLES and RESPONSIBILITIES Project Level ­ Disclosure of RAP, IPDP, GAP and entitlements and also ensure Program Executing that copies are made available to the PAPs; Agency (PEA) Oversee land availability and coordinate with local revenue official for land acquisition Dissemination of Project Information at various stages of project as envisaged in the ESMF/ RAP, IPDP and GAP Ensure community involvement in every stage of the sub project Documentation and disclosure of consultations Shall be first level of grievance redressal and will guide PAPs further to redress their grievances Ensure disbarment of compensation and / or entitlements as per schedule Responsible for addressal of additional unforeseen impacts during construction Ensuring incorporation of social issues in DPRs Supervising the ESMF tasks during implementation & its progress Collect data pertaining to the evaluation and monitoring indicators Will prepare monthly progress report and quarterly process documentation report Social Specialist of Ensure social screening of sub-projects; Supervision Implement the agreed social mitigation measures; Consultants Ensure compliance of national and other applicable laws and Acts pertaining to social, Sensitize and help build capacity of the PEA officials towards the implementation of the ESMF provisions. Assist Environment and Social Development Officer of PEA in preparing monthly progress and quarterly process documentation reports NGO Conduct the verification for the affected families and update the census and socio-economic data Develop rapport with PAFs and between PAFs and PEA Design and carry out information campaign and consultations with the local community during the implementation of the RAP, IPDP an GAP Provide information to PAFs and local community and conduct awareness on R&R Policy and distribute the policy to the affected families Prepare and submit the micro plans for the PAFs Assist the PAFs in receiving the compensation and rehabilitation assistance Motivate and guide PAP for productive utilization of the compensation and assistance amount Assess the level of skills and efficiency in pursuing economic activities, identify needs for training and organize training program Assist PAFs in approaching the grievance redressal mechanism Assist the PAFs in getting benefits from the appropriate local development schemes Prepare monthly progress reports and participate in monthly 131 LEVELS ROLES and RESPONSIBILITIES review meetings Participate in the training program for capacity building Carry out other responsibilities as required from time to time 132 Annex IV Terms of Reference for Environmental and Social Audit of NGRBA Projects 1. Background: The National Ganga River Basin Authority with an objective to ensure no entry of polluted water into the River Ganga, is supporting number of pollution prevention and river conservation activities in the five basin states of UP,Bihar, Jharkhand, West Bengal and Uttaranchal. NGRBA believes that each of its projects will improve living standards and the environment of the River in and around project locations. NGRBA is committed to implementing these activities in an environmentally sound, socially acceptable way. This has reflected its environmental and social commitments through its Environmental and Social Management Framework (ESMF). All projects financed by NGRBA should be in consonance with its ESMF. To facilitate the process laid down within its ESMF, NGRBA intends to select consultants to audit projects sanctioned by NGRBA. 2. Objectives: To audit the conformity of environmental and social categorisation of projects approved by the NGRBA during the Financial Year _________, with respect to the categorisation prescribed in the ESMF of NGRBA To audit the compliance of the environmental and social aspects of approved projects, which are under implementation. 3. Outline of the tasks to be carried out: The selected Consultant will essentially provide services to NGRBA as required, for the following tasks. (a) To Audit the Environmental and Social Categorisation of Approved Projects: The consultants will audit the conformity of environmental and social categorisation of projects approved by the NGRBA with respect to environmental and social categorisation in the ESMF of NGRBA (i.e.) whether 133 the Environmental and Social categorisation specified for the approved projects are in conformity with environmental and social categorisation specified in the ESMF. (b) Auditing the compliance of the Approved Projects: The consultant will audit the compliance of environmental and social aspects during construction, operation and maintenance of projects approved by NGRBA, across all categories and different sub-project locations. The selection of sub-project shall be clearly spelt out in the consultants proposal and shall be approved by NGRBA internal review committee before the commencement of the Audit.. (c) Adequacy of the EMP/SMP The consultant will also audit the adequacy of the EMP/SMP and recommend practicable measures to include/improve the management measures and the agency responsible for carrying out the measures, wherever found inadequate. The consultant will also document the best practices and possible environmental and social enhancement measures with respect to the audited projects. (d) Reporting To review the status report submitted by the project Management consultant on the implementation of EMP / SMP and the process adopted by design consultants in identification and mitigation measures while preparing the DPRs. To report on the adequacy and timely submission of the Quarterly Progress Reports including the process involved in addressing the risk management. (e) Audit Report The findings of the review and audit should be summarized in a tabular form and will include compliance, non compliance, best practices and enhancement measures along with the name of the agency responsible for each of the above. In case of non-compliances, the consultants need to undertake a follow up visit after giving sufficient time (depending on the type of corrective measures) for the agency responsible to take corrective actions. 4. Schedule for completion of tasks: The entire tasks shall be completed in a time frame of about six weeks period. 5. Data, services and facilities to be provided by the Client: A copy of the Environmental Social Managemnt Framework of NGRBA and information containing the details of the projects sanctioned will be given by client. 134 6. Final outputs (i.e., Reports, drawings etc.). That will be required of the Consultant; Environmental and Social Audit Reports indicating confirmity of projects approved by NGRBA, relating to the financial year _______, with ESMF guidelines. Environmental and Social Audit report indicating the conformity to agreed standards during construction, operation and maintenance of the approved projects. (f) Procedure for review of progress reports, Final Draft and Final reports: The review committee will review the progress of work. The decision / suggestion of the review committee will be communicated in the form of minutes, for taking action. 7. List of key positions, whose CV and experience would be evaluated. Sl.No. Key Professional No. of persons Experience 1. Project Co-ordinator 1 Post Graduate in Environmental Engineering / Planning 2. Project Co-ordinator 1 Post Graduate in Sociology / Social work 135 Annexure V Copy of signed List of Participants 136 List of Participants for Public Consultation Meeting held in Haridwar on 10th December 2010 137 138 139 140 List of Participants for Public Consultation Meeting held in Kolkata on 21st December 2010 141 142 143 List of Participants for Public Consultation Meeting held in Jharkhand on 23rd December 2010 144 145 156 157 158 List of Participants for Public Consultation Meeting held in Kanpur on 28th December 2010 159 160 161 162 List of Participants for Public Consultation Meeting held in Allahabad on 29th December 2010 163 164 List of Participants for Public Consultation Meeting held in Bihar on 4th January 2011 165 156 157 156 157 Annexure V Copy of The Gazette of India 156 156 157 158 159 160 161 162 163