E840 November 2003 Authorized E1851 Afghanistan Disclosure Emergency Irrigation Rehabilitation Project Public Environment and Social Safeguards Framework Background Afghanistan is a rugged, land-locked, mountainous country (more than 50% of its area of nearly 65 million ha is 2000m above mean sea level) with conditions difficult for agriculture even in best of times Authorized due to the continental type of climate. Yet, agriculture is a key activity in the country and it accounts for over 50% of country's GDP and employs about 75% of the population. With an estimated population of around 25 million, Afghanistan is among the poorest countries in the world. In the last several decades, the successive wars have taken their toll. Exposure to harsh weather conditions with little maintenance and, sometimes, deliberate destruction have debilitated the irrigation system. The proposed Emergency Disclosure Irrigation Rehabilitation Project seeks to rehabilitate the irrigation sector and help revitalize the agriculture rural economy of Afghanistan. Public Project Objectives The main objective of the project is that farners in the project area utilize improved, reliable and equitable irrigation water deliveries to increase agricultural productivity and farm income, improve food security and livelihoods and reduce vulnerability to drought. This objective will be achieved by: (i) rehabilitating and improving existing dilapidated irrigation infrastructure; (ii) restoring and modernizing Authorized the hydro-meteorological network for better monitoring, planning, sustainable use and management of water resources; and (iii) developing the institutional capacity of public sector water institutions, existing community water organizations and farmers for operating and maintaining irrigation system in a sustainable manner. This will reduce poverty in the rural areas and accelerate transition to sustainable Disclosure agriculture and dynamic rural economy in Afghanistan. Project Description Public The project focuses on the rehabilitation of existing dilapidated irrigation infrastructure, using a river basin management approach. The project has four components: (a) rehabilitation of formal and informal irrigation schemes; (b) rehabilitation of hydro-meteorological network; (c) preparation of feasibility studies and monitoring; and (d) institutional development. Sub-projects under the project will cover parts of all 5 major river basins in Afghanistan, making it national in scope. Since the irrigation system consists of a large number of small, medium and large schemes, both formal (modern) and informal (traditional), the final selection of schemes for rehabilitation under the proposed project must meet the appropriate Authorized selection criteria. The following scheme selection criteria have been agreed with the Government: * Exclusion Criteria: o Significant land mine risk (not certified by the Mine Action Center for Afghanistan (MACA) as having low-to-nil risk) Disclosure o Significant social issues, including (a) social safeguard impacts (e.g. need for land acquisition); (b) unresolved or potential water rights disputes with other users of the Public water source (e.g. in case of engineering intake construction); (c) unresolved water distribution disputes within the system command area (e.g. with tailenders); or (d) absence of functioning institutional maintenance arrangements. 68 E1851 o Significant environmental safeguard issues o High probability of triggering riparian issues by the downstream riparian states. Inclusion Criteria: o Large economic impact, as reflected by the low rehabilitation cost, large incremental benefits and large number ofbeneficiaries per ha of irrigated land o Agreement by local communities to contribute towards scheme rehabilitation costs and to take over the responsibility for post-rehabilitation operations and maintenance (O&M) cost o Balanced geographical distribution in all the five river basins Potential adverse impacts of rehabilitation Most adverse impacts ofrehabilitation of irrigation schemes are restricted to the areas close to the existing infrastructure. However, there are some off-site impacts such as those due to the borrowing of earth or disposal of dredged material. Many of the impacts arise from improper drainage and therefore, the importance of providing and maintaining adequate drainage cannot be overemphasized. Adverse impacts of existing irrigation facilities can be mostly traced back to ineffective management and maintenance in most cases. With the possible exception of the loss of habitat, which may have been created by faulty management in the first place, most of the adverse impacts of drainage are likely to be alleviated due to the proposed project activities and may not require additional measures The potential impacts of the proposed activities will encompass the construction and operation phase. * ConstructionPhase: Soil erosion, disposal of construction spoils, sanitary conditions and health as well as social and cultural conflict risks due to the presence of migrant construction labour (may not be extensive in light of the present conditions in Afghanistan and an associated project objective of providing employment to locals), disruption or destruction of habitat established close to facilities which are not being properly maintained or operated. * Operation Phase: Pollution by agrochemicals (fertilizer and pesticide), impacts on soils (waterlogging and salinization), changes in ground water table in the vicinity, changes in water quality and risks of eutrophication, incidence of water-borne and water-related diseases. Purpose of the Environmental and Social Safeguards Framework Since the activities under the project will concentrate on rehabilitation of the existing infrastructure, the adverse impacts commonly associated with new schemes - mainly arising from land-take will be very limited. It is also acknowledged that currently social and environmental management in Afghanistan is facing critical capacity constraints. Since there is potential for adverse impacts, albeit limited, on the environment due to the proposed activities under the project, their mitigation and management is key to wholesome development of the areas where irrigation facilities are being rehabilitated. Hence, keeping in view the existing environmental management capacity, as well as the flexibility required as not all investments are known at the time of project appraisal, a framework approach is adopted. It provides for early identification of potential adverse impacts, without the requirement of rigorous analysis through quantification, and also provides broad guidance for their effective mitigation. Consistent with existing national legislation, the objective of the Framework is to help ensure that activities under the project will: * Protect human health; * Prevent or compensate any loss of livelihood; 69 E1851 * Prevent environmental degradation as a result of either individual sub-projects or their cumulative effects; * Enhance positive environmental and social outcomes; and * Ensure compliance with World Bank safeguard policies. General Principles Recognizing the emergency nature of the proposed irrigation rehabilitation project, and the related need for providing assistance, while at the same time ensuring due diligence in managing potential environmental and social risks, this Framework is based on the following principles: (i) The proposed project will support multiple sub-projects, the detailed designs of which may not be known at appraisal. To ensure the effective application of the World Bank's safeguard policies, the Framework provides guidance on the approach to be taken during implementation for the selection and design of sub-projects, and the planning of mitigation measures; (ii) All proposed sub-projects will be screened to ensure that the environmental and social risks can be adequately addressed through the application of standardized guidelines; (iii) The proposed emergency project will finance feasibility or pre-feasibility studies for subsequent investments, which will include environmental and social impact assessments, as required by World Bank safeguard policies; (iv) Project design and sub-project selection will aim to maintain regional balance, and equity between genders, and ethnic and religious groups, considering variations in population density. Employment opportunities within the projects will be available on an equal basis to all, on the basis of professional competence, irrespective of gender, or ethnic or religious group. In all projects which require consultations with local communities or beneficiaries, consultations will be conducted to elicit the views of both the male and the female population; and (v) Consultation and disclosure requirements will be simplified to meet the special needs of this project. Prior to approval by the World Bank Board, this Environmental and Social Safeguards Framework will be disclosed in Afghanistan in Darl and Pashto, and in the World Bank Infoshop. Safeguard Screening The provisions of the safeguards framework will be applied as follows: Sub-project type Definition Screening Smnall schemes Investment per scheme up to $50,000. No formal assessment, but Average size 100 ha. Single source. checklist on negative environmental and social impacts as part of the project proposal. Medium schemes Investment per scheme up to $300,000. Codes of practice (see Average size 750 ha. Small watershed. Attachment 4) Large schemes Investment per scheme above LEA (see Attachment 5) $300,000. Average size 2500 ha. Large watershed/sub-basin. Feasibility studies for large Large new irrigation scheme. Full EA and SA (see new irrigation schemes Attachment 6 and 7 70 E1851 The selection, design, contracting, monitoring and evaluation of sub-projects, including small, medium and large irrigation schemes, will be consistent with the following guidelines: * A negative list of characteristics that would make a proposed sub-project ineligible for support, as indicated in Attachment 1; * Guidelines for land and asset acquisition, entitlements and compensation, presented in Attachment 2; * Procedures for the protection of cultural property, including the chance discovery of archaeological artifacts, and unrecorded graveyards and burial sites, provided in Attachment 3. * Generic codes of practices for environmental management at design, construction and operation stages, provided in Attachment 4. * Formats for limited environmental assessment (LEA) and generic Terms of Reference for a full Environmental Impact Assessment (EIA), available in Attachments 5 and 6, respectively. * Generic Terms of Reference for a full Social Assessment in Attachment 7 * The requirement that confirrnation is received through the Regional Mine Action Center that areas to be accessed during reconstruction and rehabilitation activities have been demined (see guidelines in Attachment 8). * For the applicability of OP 7.50, a waiver has been sought and obtained since the project will not create any new infrastructure and only rehabilitate existing facilities. Mitigation measures - Design Environmental: Sound design will, if not eliminate, at least diminish to the extent possible, most of the potential adverse impacts of project activities. Good engineering design will, in most cases, have a positive impact on the environmental conditions in the project area. A cause of concem are adverse impacts on local ecology, especially where the current situation (improper/non-operation) has led to the creation of habitat for important flora/fauna species in the project area. These situations will have to be considered on a case-by-case basis. A pre-design walk-through of the design team, with specialist environmental input, through the project area will be a highly desirable exercise. Otherwise, local knowledge from other stakeholders such as NGOs' and local residents may be tapped to ascertain that the project does not cause significant damage to any important species. One aspect which deserves attention is the drafting of the contract documents where environmental protection can be built into the project agreements. In addition, the designers must take care of providing adequate drainage to avoid salinization and waterlogging. Appurtenances required to operate the system must be easily maintainable and repairable rather than sophisticated, especially in light of the existing limited capacity of the eventual users of the system. Co-ordination with the line departments, other stakeholders such as NGOs must begin in the design phase itself. This will ensure that the project is ready for mitigating impacts such as resettlement and health service support, if required. The M&E Unit of the MIWRE will have to be mobilized at this stage itself to ensure that the measures envisaged as part of this framework are implemented. Social: No land acquisition is anticipated since the project involves rehabilitation of existing irrigation schemes only. In the event that any land would be needed for rehabilitation of an irrigation scheme, (e.g. realignment of an irrigation canal), such land could only be obtained through either private voluntary donations, compensation payments for assets acquired by the local community (local authorities do not 71 E1851 have funds to purchase land), or available government land. Private voluntary donations would be documented as required by this Framework (Attachment 2 (ii)), as would compensation payments made by the community (Attachrnent 2 (i)). For Government land, documentation would be needed that the land is free of encroachments, squatters or other encumbrances, and has been transferred for the project by the authorities. Mitigation measures - Construction The emphasis of the Environmental Management Plan (EMP) is on construction stage impacts since the operation stage impacts, as has already been stated before, can be minimized, mitigated or compensated by managing the rehabilitated infrastructure in line with project design parameters. In order to minimize the potential adverse impacts of construction, standard bidding documents would have the following environmental precautionary clauses: * The natural landscape should be preserved to the extent possible by conducting operations in a manners that will prevent unnecessary destruction or scarring of natural surroundings. Except where required for permanent works, quarries, borrow pits, staging and processing areas, dumps, and camps, all trees, saplings, and shrubbery should be protected from unnecessary damage by project related activities. After unavoidable damage, to restore quasi- original conditions where appropriate; * Contractor's operations should be so performed as to prevent accidental spillage of contaminants, debris, or other pollutants, especially into streams or underground water resources. Such pollutants include untreated sewage and sanitary waste, tailings, petroleum products, chemical, biocides, mineral salts, and thermal pollution; * Wastewater, including those from aggregate processing and concrete batching, must not enter streams without settling ponds, grave I filters, or other process, so as not to impair water quality or harm aquatic life; * The contractor should ensure proper disposal of waste materials and rubbish. If disposal by burial or fire, it should not cause negative impact to either the air, soil or ground water supplies; * The contractor should minimize air and water pollution emissions. Dust from the handling or transporting of aggregates, cement, etc., should be minimized by sprinkling or other methods. Materials, brush or trees should only be burned when the owner permits, under favorable weather conditions; * The contractor's facilities, such as warehouse, labor camps, and storage areas, should be planned in advance to decide what the area will look like upon completion of construction. These facilities should be located so as to preserve the natural environment (such as trees and other vegetation) to the maximum extent possible; * After project construction, camps and building should either serve as permanent residences and form future communities, if such use can be fore seen and approved, or be torn down and the area restore to its quasi-original condition in order to avoid deterioration into shanty towns; and 72 E1851 * Borrow pits should be landscaped and planted accordingly to an ecological design to provide some substitute area for lost natural landscapes and habitats. Responsibilities for Safeguard Screening and Mitigation The overall responsibility of project implementation rests with the Ministry of Irrigation, Water Resources and Environment (MIWRE), and the FAO will act as the executing agency for the proposed operations. A designated Safeguards Focal Officer has been identified with responsibility for overseeing the implementation of the Environmental and Social Safeguards Framework within the Program Coordination Unit (PCU) at the MIWRE. An independent Monitonrng and Evaluation unit with, inter alia, environmental and social specialists' inputs has been proposed within the MIWRE. During the operation stage, the M&E Unit will carry out the monitoring of the operations also. It will confirm (from anecdotal evidence and, ifrequired, laboratory testing) that the water quality in the project area is not adversely impacted due to agrochemicals, soil conditions are conducive for growth of crops normally grown in the region, and pathogens and vectors are under control. In case of incidence of water- related or water-transmitted disease, it will co-ordinate with the local health department to ensure that the situation is brought under control in the shortest possible time. Capacity Building As part of the social and environmental capacity building that will be provided for implementation of IDA-financed operations in Afghanistan, the Safeguards Focal Officer and relevant staff of MIWRE and implementing agencies/Consultants will receive training in the application of the Safeguard Framework. It is proposed to prepare specific materials, hold a workshop, and arrange site visits to other countries in the region on similar projects in progress to provide hands-on training to the Ministry and implementing agency staff. Specialist training modules may be considered after an acceptable level of base knowledge has been established. The capacity building activity will be implemented under a separate Technical Assistance program for Social and Environmental management. During supervision of the project, the World Bank will assess the implementation of the Framework, and ifrequired, will recommend additional strengthening. Consultation and Disclosure This Environmental and Social Safeguards Framework was developed on the basis of an overall Framework for World Bank-funded reconstruction operations which was prepared in consultation with the principal NGOs and development partners participating in reconstruction activities in Afghanistan. Prior to approval of the project by the World Bank Board, it will be disclosed by TISA in both Dari and Pashto, as well as English, and it will also be made available at the World Bank's Infoshop. It is worth noting that ITSA intends to make all project documentation publicly available through the Afghan Information Management System (AIMS). The proposed project will support feasibility studies for future large irrigation schemes, for which World Bank safeguard policies relating to consultation and disclosure will apply, ifthey are financed by IDA. In particular, for environmental Category A and B investments (as defined in World Bank Operational Policy 4.01, Environmental Assessment) proposed for future operations, the implementing agency will consult project-affected groups and local non-govemmental organizations about the project's environmental and social aspects, and will take their views into account. The executing agency will initiate such consultations as early as possible, and for meaningful consultations, will provide relevant material in a timely manner prior to consultation, in a form and language that are understandable and accessible to the groups being consulted. 73 E1851 74 E1851 Attachment 1 Negative List of Sub-project Attributes Sub-projects with any of the attributes listed below will be ineligible for support under the proposed Emergency Irrigation Rehabilitation Project. Attributes of Ineligible Sub-projects Involves the significant conversion or degradation of critical natural habitats. Including, but not limited to, any activity within: * Ab-i-Estada Waterfowl Sanctuary; * Ajar Valley (Proposed) Wildlife Reserve; * Dashte-Nawar Waterfowl Sanctuary; * Pamir-Buzurg (Proposed) Wildlife Sanctuary; * Bande Amir National Park; and * Kole Hashmat Khan (Proposed) Waterfowl Sanctuary. Will significantly damage non-replicable cultural property, including but not limited to, any activities that affect the following sites: * Monuments of Herat (including the Friday Mosque, ceramic tile workshop, Musallah complex, Fifth Minaret, Gawhar Shah mausoleum, mausoleum of Ali Sher Navaii, and the Shah Zadehah mausoleum complex); * Monuments of Bamiyan Valley (including Fuladi, Kakrak, Shar-I Ghulghular and Shahr-i Zuhak); * Archaeological site of Ai Khanum; * Site and monuments of Ghazni; * Minaret ofJam; * Mosque of Haji Piyada/Nu Gunbad, Balkh province; * Stupa and monastry of Guldarra; * Site and monuments of Lashkar-i Bazar, Bost; and * Archaeological site of Surkh Kotal. Requires pesticides that fall in WHO classes IA, IB, or II. Requires involuntary acquisition of land, or the resettlement or compensation of more than 200 people. Supports commercial logging or plantations in forested areas. New irrigation scheme or expansion of scheme requiring increased water intake. Constr-uction or rehabilitation of dam higher than 10 meters. 75 E1851 Attachment 2 Guidelines for Land and Asset Acquisition, Entitlements and Compensation Objectives Land acquisition and involuntary resettlement is not anticipated under this proposed emergency project since it involves only rehabilitation of existing irrigation schemes. Proposals that require more than minor expansion, along rights of way, should be reviewed carefully. No land or asset acquisition may take place outside of these guidelines. A format for Land Acquisition Assessment is attached as Attachment 2(i). These guidelines provide principles and instructions to compensate affected persons to ensure that all such persons negatively affected, regardless of their land tenure/tenancy status, will be assisted to improve, or at least to restore, their living standards, income earning or production capacity to pre-project levels. Categorization Based on the number of persons that may be affected by the project (Project Affected People, PAPs) and the magnitude of impacts, projects may be categorized as S-1, S-2, or S-3 projects: (a) S-I projects are those that will involve the resettlement of more than 200 PAPs and where a full Resettlement Action Plan (RAP) must be produced. Such interventions will be ineligible for support under the proposed emergency project. (b) S-2 projects are those which will involve the resettlement of less than 200 persons. In such cases, the following documentation is required: (i) a land acquisition assessment, (ii) the Minutes or record of consultations which assess the compensation claimed and agreement reached, and (iii) a record of the receipt of the compensation, or voluntary donation, by those affected (see below). (c) S-3 projects 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 expected from such interventions. Eligibility PAPs are identified as persons whose livelihood is directly or indirectly affected by the project. PAPs deemed eligible for compensation are: (1) those who have formal legal rights to land, water resources or structures/buildings, including recognized customary and traditional rights; (2) those who do not have such formal legal rights but have a claim to usufruct right rooted in customary law; and (3) those whose claim to land and water resources or building/structures do not fall within (1) and (2) above, are eligible to assistance to restore their livelihood. 76 E1851 Acquisition of Productive Assets and Compensation PAPs are eligible for replacement costs for lost assets as described below: a) Voluntary contributions. In accordance with traditional practices, individuals may elect to voluntarily contribute land or assets and/or relocate temporarily or permanently from their land without compensation. b) Contributionsagainst compensation. A contributor/asset loser considered "affected" will be eligible for compensation from the local community or alternatively from the Government. A PAP shall lodge his/her claim for compensation to the local community representatives/shura head and it shall be verified by the implementing agency. The claim shall be lodged within 2 weeks of completion of the consultations with the concerned community, and before project implementation begins. Voluntary contribution, or contribution against compensation, should be documented. The documentation should specify that the land is free of any squatters, encroachers or other claims. A fornat is attached in Attachment 2(i), which includes a Schedule to be followed to assess any compensation claimed and the agreement reached. Compensation Principles The project implementing agencies shall ensure that any of the following means of compensation are provided in a timely manner to affected persons: (1) Project affected persons losing access to a portion of their land or other productive assets with the remaining assets being economically viable are entitled to compensation at replacement cost for that portion of land or assets lost to them. Compensation for the lost assets will be according to following principles: a. replacement land with an equally productive plot, cash or other equivalent productive assets; b. materials and assistance to fully replace solid structures that will be demolished; c. replacement of damaged or lost crops and trees, at market value; d. other acceptable in-kind compensation; and e. in case of cash compensation, the delivery of compensation should be made in public, i.e. at the community meeting. (2) Project affected persons losing access to a portion of their land or other economic assets rendering the remainder economically non-viable, will have the options of compensation for the entire asset by provision of alternative land, cash or equivalent productive asset, according to the principles in (1) a-d above. Consultation Process The implementing agencies will ensure that all occupants of land and owners of assets located in a proposed sub-project area are consulted. There will be gender-separate community meetings for each affected village to inforn the local population about their rights to compensation and options available in accordance with these Guidelines. The Minutes of the community meetings shall reflect the discussions 77 E1851 held, agreements reached, and include details of the agreement, based on the format provided in Attachment 2(ii). The implementing agency shall provide a copy of the Minutes to affected persons and confirm in discussions with each of them their requests and preferences for compensation, agreements reached, and any eventual complaint. Copies will be recorded in the posted project documentation and be available for inspection during supervision. Sub-project Approval In the event that a sub-project involves acquisition against compensation, the implementing agency shall: a. not approve the sub-project unless a satisfactory compensation has been agreed between the affected person and the local community; b. not allow works to start until the compensation has been delivered in a satisfactory manner to the affected persons; and c. if more than 200 persons are affected and require compensation, the sub-project shall be deemed ineligible for support under the emergency project. Complaints and Grievances All complaints should first be negotiated to reach an agreement at the local community/village level. If this fails, complaints and grievances about these Guidelines, implementation of the agreements recorded in the Community Meeting Minutes or any alleged irregularity in carrying out the project can also be addressed by the affected persons or their representative at the municipal or district level. If this also fails, the complaint may be submitted to the relevant implementing agency for a decision. Verification The Community Meeting Minutes, including agreements of compensation and evidence of compensation having been made shall be provided to the Municipality/district, to the supervising engineers, who will maintain a record hereof, and to auditors and socio-economic monitors when they undertake reviews and post-project assessment. This process shall be specified in all relevant project documents, including details of the relevant authority for complaints at municipal/district or implementing agency level. 78 E1851 Attachment 2(i) Land Acquisition Assessment Data Sheet (To be used to record information on all land to be acquired) 1. Quantities of land/structures/other assets required: 2. Date to be acquired: 3. Locations: 4. Owners: 5. Current uses: 6. Users: * Number of Customary claimants: * Number of Squatters: * Number of Encroacher: * Number of Owners: * Number of Tenants: * Others (specify): Number: 7. How land/structures/other assets will be acquired (identify one): * Donation * Purchase 8. Transfer of title: * Ensure these lands/structures/other assets free of claims or encumbrances. * Written proof must be obtained (notarized or witnessed statements) of the voluntary donation, or acceptance of the prices paid, from those affected, together with proof of title being vested inthe community, or guarantee of public access, by the title-holder. 9. Describe grievance mechanisms available: 79 E1851 Attachment 2(ii) Formatto Document Contribution of Assets The following agreement has been made on.day of. between ...... resident of ....... (the Owner) and ............................................ (the Recipient). 1. That the Owner holds the transferable right of ......... jerib of land/structure/asset in.................................................................................... 2. That the Owner testifies that the land/structure is free of squatters or encroachers and not subject to other claims. 3. That the Owner hereby grants to the Recipient this asset for the construction and development of ................................ for the benefit of the villagers and the public at large. (Either, in case ofdonation.) 4. That the Owner will not claim any compensation against the grant of this asset. (Or, in caseof compensation.) 4. That the Owner will receive compensation against the grant of this asset as per the attached Schedule. 5. That the Recipient agrees to accept this grant of asset for the purposes mentioned. 6. That the Recipient shall construct and develop the............................. and take all possible precautions to avoid damage to adjacent land/structure/other assets. 7. That both the parties agree that the........................... so constructed/developed shall be public premises. 8. That the provisions of this agreement will come into force from the date of signing of this deed. Signature of the Owner: Signature of the Recipient: Witnesses: I. 2. (Signature, name and address) 80 E1851 Schedule of Compensation of Asset Requisition Summary of Units to be Compensated Agreed Compensation affected unit/item a. Urban/agricultural land (m2): b. Houses/structures to be demolished (units/r 2): c. Type of structure to be demolished (e.g. mud, brick, etc.) Not Applicable. d. Trees or crops affected: e.Water sources affected: Signatures of local community representatives, shura head: Include record of any complaints raised by affected persons: Map attached (showing affected areas and replacement areas): 81 E1851 Attachment 3 Protection of Cultural Property Physical culture includes monuments, structures, works of art, or sites of "outstanding universal value" from the historical, aesthetic, scientific, ethnological, or anthropological point of view, including unrecorded graveyards and burial sites. Within this broader definition, cultural property is defined as sites and structures having archaeological, paleontological, historical, architectural, or religious significance, and natural sites with cultural values. The proposed emergency project is unlikely to pose a risk of damaging cultural property, as the sub- projects will consist of small investments for rehabilitating existing irrigation schemes. Further, the negative list of attributes, which would make a sub-project ineligible for support (Attachment 1), includes any activity that would significantly damage non-replicable cultural property. Nevertheless, the following procedures for identification, protection from theft, and treatment of chance finds should be followed and included in standard bid documents. Chance Find Procedures Chance find procedures are defined in the law on Maintenance of Historical and Cultural Monuments (Official Gazette, December 21, 1980), specifying the authorities and responsibilities of cultural heritage agencies if sites or materials are discovered in the course of project implementation. This law establishes that all moveable and immovable historical and cultural artifacts are state property, and further: 1. The responsibility for preservation, maintenance and assessment of historical and cultural monuments rests with the Archaeological Committee under the Ministry of Information and Culture, which has representation at provincial level. 2. Whenever chance finds of cultural or historical artifacts (moveable and inmmovable) are made the Archaeological Committee should be informed. Should the continuation of work endanger the historical and cultural artifacts, the project work should be suspended until a solution is found for the preservation of these artifacts. 3. If a moveable or immovable historical or cultural artifact is found in the countryside of a province, the provincial governor (wali) or district-in-charge (woluswal) should be informed within two weeks, and they should inform the Archaeological Committee. In case the immovable historical or cultural artifact is found in a city, the provincial branch of the Department of Maintenance of Historical Values of the Ministry of Information and Culture should be informed within two weeks (art. 18). If the find is made within the center, the Archaeological Committee must be informed directly within one week (art. 25). 4. Failure to report a chance find within the stipulated time limit will be punished with a fine or imprisonment for a period of one week or up to one month (art. 72). 5. If someone intentionally damages a historical or cultural artifact, the culprit shall pay compensation in accordance with the value of the artifact plus be imprisoned for a period of one month to ten years depending on the gravity of the crime (art. 71). 82 E1851 In case of a chance find of moveable or immovable historical or cultural artifact, the implementing agency is responsible for securing the artifact from theft, pilferage and damage until the responsibility has been taken over by the relevant authorities as specified above. These procedures must be referred to as standard provisions in construction contracts, when applicable. During project supervision, the Site Engineer shall monitor that the above regulations relating to the treatment of any chance find encountered are observed. Relevant findings will be recorded in World Bank Project Supervision Reports (PSRs), and Implementation Completion Reports (ICRs) will assess the overall effectiveness of the project's cultural resources mitigation, management, and capacity building activities, as appropriate. 83 E1851 Attachment 4 A Framework for Managing Environmental Impacts on Irrigation and Drainage as part of Rehabilitation (Component A) in the Emergency Irrigation Rehabilitation Project (to be used along with Attachments I & 3 to the Environment andSocial Safeguards Framework) 1.DESIGN STAGE Environmental Potential Impacts Mitigation Measure(s) Implementation Arrangements Concerns Identified ______________ ____________________ Primary/Execution Supervision Hydrology Downstream water Maintain flow required for . M&E Unit, availability downstream uses Designers MIWRE Flood regime Check for flood recession Designers M&E Unit, agriculture. MIWRE Waterlogging Improve drainage / lining of Designers M&E Unit, canals MIWRE Soils Increased Salinity Provide adequate drainage Designers M&E Unit, facilities MIWRE Sediment Local erosion, Dust Provide specifications for Designers M&E Unit, appropriate cut and fill MIWRE operations for channels Stream morphology Proper design Designers M&E Unit, and regime change MIWRE Sedimentation Design appropriate structures Designers M&E Unit, to prevent sediment entry MIWRE factoring in, inter alia, upstream expanded activities Health __ Incidence of diseases, Proper drainage ofthe area Designers M&E Unit, such as malaria _MIWRE 2. CONSTRUCTION STAGE Environmental Potential Impacts Mitigation Measure(s) Implementation Arrangements Concerns Identified Primary/Execution Supervision Hydrology Downstream water Maintain flow required for Contractor Engineer availability downstream uses Pollution Discharges from Provide for proper sanitation Contractor Engineer Construction arrangements (bathing, Campsites toilets, solidwaste Imanagement, etc.) 84 E1851 Environmental Potential Impacts Mitigation Measure(s) Implementation Arrangements Concerns Identified ______ Primary/Execution _ Supervision Sediment Local erosion, Dust Ensure sufficient channel Contractor Engineer section is available for flow during construction Spray water on exposed Contractor Engineer surfaces (material piles, freshly cut slopes, etc.) Cover the material during Contractor Engineer transportation Stream morphology Careful construction with a Contractor Engineer and regime change view to limit change to stream morphology and regime change to the minimum Ecology Drainage of water Minimise drainage of water Contractor Engineer bodies bodies acting as habitat Barrier to migration Provide special structures or Contractor Engineer facilitate alternate routes Health Incidence of diseases, Proper drainage of the area Contractor Engineer such as malaria Socio- economic Migration - Provision of all amenities in Contractor Engineer Construction phase construction camp sites to and permanent reduce stress on already settlement stretched infrastructure 3. OPERATION STAGE Environmental Potential Impacts Mitigation Measure(s) Implementation Arrangements Concerns Identified Primary/Execution Supervision Hydrology Downstream water Appropriate operation of Community Water M&E Unit, availability dams Organization MIWRE Flood regime Appropriate operation of Community Water M&E Unit, dams Organization MIWRE Waterlogging Increase efficiency of Community Water M&E Unit, operation of the system Organization MIWRE Match supply with requirement of water users M&E Unit, MIWRE 85 E1851 Environmental Potential Impacts Mitigation Measure(s) Implementation Arrangements Concerns Identified Primary/Execution Supervision Soils Increased Salinity Management techniques that Conmnunity Water M&E Unit, can be employed include: Organization MIWRE leaching, altering irrigation methods and schedules, installing sub-surface drainage (?), changing tillage techniques, adjusting cropping pattems, and adding soil ameliorates (costly). Saline drainage Avoid salt concentration Community Water M&E Unit, increase by providing 10- Organization MIWRE 20% extra water, if available Sediment Stream morphology Systematic operation of Community Water M&E Unit, and regime change sediment exclusion Organization MIWRE structures, if any. Ecology Drainage of water Protect water bodies acting as Community Water M&E Unit, bodies habitat Organization MIWRE Barrier to migration Ensure that special structures Community Water M&E Unit, or facilitate altemate routes Organization MIWRE are not damaged Health Use of water channels Allow partial use, if risks are Community Water M&E Unit, as wastewater drains not very high Organization MIWRE Incidence of diseases, Maintain proper drainage of Community Water M&E Unit, such as malaria the area Organization MIWRE Periodic flushing of the Community Water M&E Unit, channels Organization MIWRE Liaison with health M&E Unit, M&E Unit, authorities on early warning MIWRE MIWRE sign communication Socio- economic Migration - Expand other infrastructure NGO, MIWRE M&E Unit, Construction phase with rehabilitation of MIWRE and permanent irrigation to accommodate the settlement likely influx of new settlers _ _ 86 E1851 Attachment 5 Format for Limited Environmental Assessment (LEA) For the Emergency Irrigation Rehabilitation Project (EIRP) Context of LEAs The LEAs to be carried out for individual schemes to be rehabilitated as part of the EIRP will draw upon Attachment 4 of the Environmental and Social Safeguards Management Framework. They will guide the process of assessing the potential impacts and examining candidate mitigation measures for each environmental concern. This format is a guide to the reporting of the assessment carried out as per those matrices. It will provide documentary evidence of environmental considerations in decision-making at the sub-project level and streamline the processing of the schemes during implementation. It will also act as a reference for executing mitigation and management measures selected during the assessment. Outline of an LEA Description ofthe project area This section will include concise description of the project area, its inhabitants, their current condition, existing irrigation infrastructure - lakes/ ponds/ canals/ karez etc. If possible, describe current agricultural practices (application of fertilizers, pesticides, etc.) Project Interventions This will include various improvements considered under the project. It will include a rationale for selection of a particular treatment over others (if alternatives were considered). A concise overview of the benefits will also be provided. Existing Environmental Scenario (draw on site visits and secondary sources) Biophysical Environment Topography - slope Soil - Structure, Salinity Water - quality and quantity Flora and Fauna within the study area (include terrestrial and aquatic) Socio-Economic Environment Income levels Amenities available - water supply, etc. Health and Hygiene Role of Women 87 E1851 Impacts Anticipated (draw on site visits, secondary sources andAttachment 4) Biophysical Environment Topography changes - landform, erosion Soil structure - moisture retention capacity, stability, increased salinity Water - qualitative changes due to increased salinity, use of chemicals Flora and fauna - loss of habitat, impeding migration Socio-economic Impacts Changes in income - distribution and timing Changes in amenities - impact of construction period increased population, long-term Demographic changes due to improved irrigation Health and Hygiene - risk of increased spread of disease, etc. Mitigation Measures and Implementation Responsibilities (Use Attachment 4) Stage of the project Anticipated Impact Selected Mitigation Implementation Environmental Measure Responsibility attribute Budgetary Estimates Stage of the project I Mitigation measure IQuantity / Time input | Amount 88 E1851 Attachment 6 Generic Terms of Reference for a full Environmental Assessment Introduction Since the Loya Jirga in 2002, a new Afghanistan is being built by the concerted efforts of the Afghan people. The Government of Afghanistan (GoA) intends to upgrade and expand its irrigation and drainage infrastructure to enhance the livelihood earning capacity of its people sustainably. For achieving this objective, it has decided to take up several large irrigation schemes for upgradation and several new schemes have also been proposed. GoA wants that the proposed development occurs with due regard for the environmental and social concerns associated with such development. GoA's apex body on the subject, Ministry of Irrigation, Water Resources and Environment (MIWRE), wishes to engage the services of a consultant to carry out the Environmental Impact Assessment of large / new schemes during the project preparation stage to ensure that these key concems are addressed early in project development. While the MJWRE is the nodal ministry for the project, inputs are also expected from the Ministry of Agriculture and Animal Husbandry and Ministry of Rehabilitation and Rural Development. Project Background The Government of Afghanistan is to avail IDA credit for the rehabilitation of its irrigation infrastructure spread across the country. The proposed multi-component Emergency Irrigation Rehabilitation Project (EIRP) aims to improve irrigation infrastructure using a river-basin approach. One component of this project is also financing preparation of feasibility studies for large irrigation schemes which may be taken up in the future. As part of the ELRP, detailed Environmental Impact Assessments are to be carried out for candidate large/new projects identified, to feed into the overall project preparation. The XYZ project is being prepared as part of this component. {Provide a plan of the area that will be affected either indirectlyor directly. Basic datashouldbe given on existing andproposedirrigationanddrainagein the areaandthe catchment characteristics,ifavailable.} Objectives This study is being carried out to ensure that environmental implications of the proposed XYZ project have been identified, analyzed and clearly communicated to the decision makers. In order to achieve this target, the following objectives have been set: a. To prepare inventory of the biophysical and socio-economic environmental attributes in the study area; b. To involve the local population in project preparation through active consultations which could also assist in identifying the attributes important to them; c. To identify and assess the magnitude and significance of impacts due to the proposed activities on the attributes identified; d. To consider a range of proposals should be considered and if so whether they would be less environmentally damaging; e. To propose avoidance, mitigation and enhancement measures for adverse and positive impacts; f. To assess the current capacity for environmental management to develop institutional arrangements for this and subsequent (like) projects; and g. To prepare an environmental management plan to ensure implementation of the management measures selected from the ones proposed, along with budgetary allocation (to feed into the overall project cost estimates) and institutional responsibility. 89 E1851 Environmental Assessment Requirements The Environmental Assessment shall be guided by the requirements of OP4.01 and other relevant safeguard policies of the World Bank such as OP4.04, etc. Scope of Work The current inforrnation has led to the development of the following tasks, which may be modified with consent of the MIWRE if new information comes to light during the course ofthe study (e.g. the presence of sensitive receptors not known when the ToR is finalized). Task 1. Description of the Proposed Project. General design and extent of irrigation and drainage works (specifications of dam and reservoir, size of command area, etc.); size of catchment area; operation and maintenance of irrigations works. Task 2. Description of the Environment. Assemble, evaluate and present baseline data on the relevant environmental characteristics of the study area. Include information on any changes anticipated before the project commences. (a) Physical environment: geology; topography; soils; climate and meteorology; ambient air quality; surface and ground- water hydrology; existing sources of air emissions; existing water pollution discharges; and receiving water quality. (b) Biological environment: flora; fauna; rare or endangered species; sensitive habitats, including parks or preserves, significant natural sites, etc.; species of conimercial importance; and species with potential to become nuisances, vectors or dangerous. (c) Socio-cultural environment: land use (including current crops and cropping pattems); land tenure and land titling; present water supply and water uses (including current distribution of water resources if irrigation systems already exist in area); control over allocation of resource use rights. Task 3. Legislative and Regulatory Considerations. Describe the pertinent regulations and standards governing environmental quality, health and safety, protection of sensitive areas, protection of endangered species, siting, land use control, etc., at international, national, if any. Task 4. Determination of the Potential Impacts of the Proposed Project. Potential impacts to be assessed include: (a) Project location: resettlement of people; loss of forest land; loss of agricultural land (cropping and grazing); impact on flora and fauna; impact on historic and cultural sites; effects on water resources outside and inside command area. (b) Project Design: disruption of hydrology; drainage problems; design of dams and other structures; crossings for people and animals. (c) Construction Works: soil erosion; construction spoils (disposal of); sanitary conditions and health risks associated with construction camp and workers coming into area; social and cultural conflicts between imported workers and local people. 90 E1851 (d) Project Operation: pollution by agrochemicals; impacts on soils (waterlogging, salinization, etc.); changes in ground water levels inside and outside command area; changes in surface water quality and risks of eutrophication; incidence of water-borne and water-related diseases. (e) Cumulative and long-term effects which may be an issue where a number of irrigation systems share a common watershed or river basin system. Task 5. Analysis of Alternatives to the Proposed Project. Describe alternatives that were examined in the course of developing the proposed project and identify other altematives 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. Compare alternatives in terms of potential environmental impacts; capital and operating costs; suitability under local conditions; and institutional, training, and monitoring requirements. When describing the impacts, indicate which are irreversible or unavoidable and which can be mitigated. To the extent possible, quantify the costs and benefits of each alternative, incorporating the estimated costs of any associated mitigating measures. Include the alternative of not constructing the project, in order to demonstrate environmental conditions without it. Task 6. Development of Environmental Management Plan, with focus on three generic areas: Mitigation measures, institutional strengthening and training, and monitoring. The emphasis on each of these areas depends on the needs in the specific project context, as identified by the EA itself. * Mitigation of environmental impact: Recommend feasible and cost-effective measures to prevent or reduce significant negative impacts to acceptable levels. Estimate the impacts and costs of those measures. Consider compensation to affected parties for impacts which cannot be mitigated. The plan should include proposed work programs, budget estimates, schedules, staffing and training requirements, and other necessary support services to implement the mitigating measures. * Institutional strengthening and training: Identification of institutional needs to implement environmental assessment recommendations. Review the authority and capability of institutions at local, provincial/regional, and national levels and recommend steps to strengthen or expand them so that the management and monitoring plans in the environmental assessment can be implemented. The recommendations may extend to new laws and regulations, new agencies or agency functions, intersectoral arrangements, management procedures and training, staffing, operation and maintenance training, budgeting, and financial support. * Monitoring: Prepare detailed arrangements for monitoring implementation of mitigating measures and the impacts of the project during construction and operation. Include in the 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. Task 7. Assist in Inter-Agency Coordination and Public/NGO Participation. Assist in coordinating the environmental assessment with other government agencies, in obtaining the views of local NGO's and affected groups, and in keeping records of meetings and other activities, communications, and comments and their disposition. 91 E1851 Reporting Requirements (I) Inception Report: The Consultant will submit an Inception report confirming the methodology to be adopted for the study, the deployment schedule of personnel, a schedule of site visits to be carried out and a reporting schedule, within a fixed time from the date of beginning of the assignment. The consultant may want to carry out a reconnaissance survey before submitting the inception report. (II) Environmental Impact Assessment: The EA report should include the following items (not necessarily in the order shown): (a) Executive summary. Concisely discusses significant findings and recommended actions. (b) Policy, legal, andadministrativeframework. Discusses the policy, legal, and administrative framework within which the EA is carried out. Explains the environmental requirements of any co-financiers. Identifies relevant international environmental agreements to which the country is a party. (c) Project description. Concisely describes the proposed project and its geographic, ecological, social, and temporal context, including any offsite investments that may be required (e.g., dedicated pipelines, access roads, power plants, water supply, housing, and raw material and product storage facilities). Indicates the need for any resettlement plan or indigenous peoples development plan {see also subpara. (h)(v) below}. Normally includes a map showing the project site and the project's area of influence. (d) Baselinedata. Assesses the dimensions of the study area and describes relevant physical, biological, and socioeconomic conditions, including any changes anticipated before the project commences. Also takes into account current and proposed development activities within the project area but not directly connected to the project. Data should be relevant to decisions about project location, design, operation, or mitigatory measures. The section indicates the accuracy, reliability, and sources of the data. (e) Environmental impacts. Predicts and assesses the project's likely positive and negative impacts, in quantitative terms to the extent possible. Identifies mitigation measures and any residual negative impacts that cannot be mitigated. Explores opportunities for environmental enhancement. Identifies and estimates the extent and quality of available data, key data gaps, and uncertainties associated with predictions, and specifies topics that do not require further attention. (f) Analysis of alternatives. Systematically compares feasible alternatives to the proposed project site, technology, design, and operation-including the "without project" situation- in terms of their potential environmental impacts; the feasibility of mitigating these impacts; their capital and recurrent costs; their suitability under local conditions; and their institutional, training, and monitoring requirements. For each of the alternatives, quantifies the environmental impacts to the extent possible, and attaches economic values where feasible. States the basis for selecting the particular project design proposed and justifies recommended emission levels and approaches to pollution prevention and abatement. (g) Environmental management plan (EMP). Covers mitigation measures, monitoring, and institutional strengthening; see outline (in III) below. 92 E1851 (h) Appendixes (i) List of EA report preparers-individuals and organizations. (ii) References-written materials both published and unpublished, used in study preparation. (iii) Record of interagency and consultation meetings, including consultations for obtaining the informed views of the affected people and local nongovernmental organizations (NGOs). The record specifies any means other than consultations (e.g., surveys) that were used to obtain the views of affected groups and local NGOs. (iv) Tables presenting the relevant data referred to or summarized in the main text. (v) List of associated reports (e.g., resettlement plan or indigenous peoples development plan). () Environmental Management Plan: The consultant will submit an environmental management plan (in line with Annex C of OP4.01) which will include the following components. (a) Mitigation The EMP identifies feasible and cost-effective measures that may reduce potentially significant adverse environmental impacts to acceptable levels. The plan includes compensatory measures if mitigation measures are not feasible, cost-effective, or sufficient. (b) MonitoringEnvironmental monitoring during project implementation provides information about key environmental aspects of the project, particularly the environmental impacts of the project and the effectiveness of mitigation measures. Such information enables the borrower and the Bank to evaluate the success of mitigation as part of project supervision, and allows corrective action to be taken when needed. Therefore, the EMP identifies monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the EA report and the mitigation measures described in the EMP. (c) Capacity Development and Training To support timely and effective implementation of environmental project components and mitigation measures, the EMP draws on the EA's assessment of the existence, role, and capability of environmental units on site or at the agency and ministry level. If necessary, the EMP recomnmends the establishment or expansion of such units, and the training of staff, to allow implementation of EA recommendations. Specifically, the EMP provides a specific description of institutional arrangements-who is responsible for canrying out the mitigatory and monitoring measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training). To strengthen environmental management capability in the agencies responsible for implementation, most EMPs cover one or more of the following additional topics: (a) technical assistance programs, (b) procurement of equipment and supplies, and (c) organizational changes. (d) Implementation Schedule and CostEstimates For all three aspects (mitigation, monitoring, and capacity development), the EMP provides (a) an implementation schedule for measures that must be carried out as part of the project, showing phasing and coordination with overall project implementation plans; and (b) the capital and recurrent cost estimates and sources of funds for implementing the EMP. These figures are also integrated into the total project cost tables. (e) IntegrationofEMP with ProjectThe borrower's decision to proceed with a project, and the Bank's decision to support it, are predicated in part on the expectation that the EMP will be 93 E1851 executed effectively. Consequently, the Bank expects the plan to be specific in its description of the individual mitigation and monitoring measures and its assignment of institutional responsibilities, and it must be integrated into the project's overall planning, design, budget, and implementation. Such integration is achieved by establishing the EMP within the project/contract documents so that the plan will receive funding and supervision along with the other components. Reporting Schedule No. Title of Report Due within from No. of Time for comment date of beginning of Copies from M&E Unit, assignment MIWRE/WB I Inception Report I month 5 15 days Interim Report, including screening 3 months 5 15 days of altematives III Environmental Impact Assessment 9 months 10 1month IV Environrmental Management Plan 12 months 10 15 days Consulting Team The consulting team shall include the following key experts in addition to any support staff that the consultant may decide. No. Qualification Minimum Duration of Continuous/ Experience Service required Intermnittent Inputs 1 Post graduate Degree in 10 years 12 Continuous Environmental Planning/ Engineering 2 Post graduate Degree in 10 years 12 Continuous Sociology/Anthropology 3 Degree in Agronomy 8 years 6 Intermittent 4 Degree in Civil Engineering/ 8 years 8 Intermittent Hydrology _ 5 Degreein Terrestrial/Aquatic 8 6 Intermittent Ecology 6 Degreein Soil Science 8 3 Intermittent Other Information The consultant are advised to refer to the following in addition to any other resources that they may deem fit: I. Water Resources and Irrigation in Afghanistan - Medium Term Development Framework 2. Comprehensive Needs Assessment for the Environment - Afghanistan 3. Enviromnental Impact Assessment of Irrigation and Drainage Projects - A FAO Publication 4. Afghanistan - Post Conflict Environmental Assessment - A UNEP Publication In addition, the consultant may refer to the various safeguards policies of the World Bank which are available at http://lnweb 18.worldbank.orLn/ESSD/sdvext.nsf/52ByDocName/SafeguardPolicies 94 E1851 Attachment 7 Generic Terms of Reference for a full Social Assessment 1.Introduction Since the Loya Jirga in 2002, a new Afghanistan is being built by the concerted efforts of the Afghan people. The Government of Afghanistan (GoA) intends to upgrade and expand its irrigation and drainage infrastructure to enhance the livelihood earning capacity of its people sustainably. For achieving this objective, it has decided to take up several large irrigation schemes for upgradation and several new schemes have also been proposed. GoA wants to ensure the proposed development occurs with due regard for the environmental and social concerns associated with such development. GoA's apex body on the subject, Ministry of Irrigation, Water Resources and Environment (MIWRE), wishes to engage the services of a consultant to carry out the Social Assessment of large / new schemes during the project preparation stage to ensure that these key concerns are addressed early in project development. While the MIWRE is the nodal ministry for the project, inputs are also expected from the Ministry of Agriculture and Animal Husbandry and Ministry of Rehabilitation and Rural Development. 2. Project Background The proposed multi-component Emergency Irrigation Rehabilitation Project (EIRP) aims to improve irrigation infrastructure using a river-basin approach. One component ofthis project is also financing preparation of feasibility studies for large irrigation schemes which may be taken up in the future. As part of the EIRP, detailed Social Impact Assessments are to be carried out for candidate large/new projects identified, to feed into the overall project preparation. The XYZ project is being prepared as part of this component. {Provideaplan of the areathat will beaffected eitherindirectlyor directly.} 3. Objectives Social Assesment (SA) through participatory planning has specific functions to assess the social issues and impacts on affected populations which helps to design mitigation plans in order to improve their quality of life and a strategy for participatory implementation. This study is being carried out to ensure that social implications of the proposed XYZ project have been identified, analyzed and clearly communicated to the decision makers. In order to achieve this target, the broad objective is to identify, develop and incorporate social measures into project planning, preparation, implementation and monitoring as a means of identifying and addressing direct and indirect social outcomes through all aspects of project execution. This process needs to be carried out at each stage of project preparation namely feasibility and detailed project report (DPR) stage. To carry out the detailed assessments at various stages a detailed work-plan needs to be provided as part of the inception report. The following provides specifies objectives, activities and outputs to complete the SA process: 4. Specific Objectives SA is an approach for incorporating social analyses and participatory processes into project design and implementation. The specific objectives ofthe SA are: (a) To carry out a socio-economic, cultural and political/institutional analysis to identify potential social impacts of the proposed projects; 95 E1851 (b) To identify principal stakeholders and develop consultation framework for participatory implementation; (c) To screen social development issues and scope SA activities for feasibility and design stage; (d) To ensure that results of the SA provide inputs to the monitoring of project impacts during implementation and to the evaluation of project outcomes at completion; (e) To provide inputs to the project design at the feasibility and detailed design stage including specific recommendations in selection of design alternatives (identification of areas that may require adjustments in project designs) and preparing social policy framework; (f) Develop a Resettlement Action Plan (RAP) that includes comprehensive mitigation measures to ensure that the affected and displaced persons are appropriately resettled and rehabilitated i.e. to assist them to improve their livelihoods and standards of living or at least to restore them, in real terms. (g) Assess the current capacity for management of social impacts, develop institutional arrangements for this and subsequent (like) projects and formulate a training and capacity building plan. Scope of Work (i) Staize I - Feasibility Staye: To determine the magnitude of potential impacts and ensure mainstreaming of social considerations in selection and design of proposed projects. (a) Social screening and preliminary assessment will be carried out to determine nature, magnitude of adverse social impacts and specific of social issues to scope out social issues for detailed assessment. (b) To inform, consult and carry out dialogues with stakeholders on matters regarding project design alternatives, implementation of social mitigation measures and provide specific recommendations with high social risks, including, presence of significant common property that may require adjustments in project design. (c) Assess the capacity of institutions and mechanism for implementing social risk management instruments and recommend capacity building. (d) Develop monitoring and evaluation mechanism to assess social development outcomes. (e) Develop broad mitigative measures and prepare preliminary budget estimates. SA Methods and Tools: (a) For socio-economic, cultural and political/institutional analysis combine multiple tools and employ a variety of methods for collecting and analyzing data, including both quantitative and qualitative methods (expert and key informnant interviews, focus group discussions, beneficiary assessments, rapid and participatory rural appraisal, gender analysis). (b) Develop scoping techniques, interview schedules, field survey instruments and checklist for data collection and discussions. (c) Screen and scope to prioritize social issues through different techniques such as ranking and composite index. (d) The selection of SA methodology should emphasise consultation and participation of project affected persons (PAPs), project implementing and executing agencies and other stakeholders. 96 E1851 The discussions with the relevant government officials, other institutions and organizations in the civil society, should be participatory and broad-based, leading to the identification, selection and agreement on project options. Outputs: The expected output will be a Social Screening report and findings integrated in the feasibility report, including (a) Findings of analysis and consultation framework for project. (b) Outline of social risk management instruments as required. (c) Recommendation for adjustments in designs during feasibility and detailed design stage. (d) Scope of social impact assessment to define the universe of social issues for detailed analysis for DPR. (e) Guidelines for resettlement and rehabilitation measures. (ii) Stane II - Detailed Proiect Report: The social impact assessment will cover the directly affected populations to formulate development strategies in order to assist in determining project impacts on the social, economic, cultural, and livelihood activities of affected communities. This will establish a social baseline against which changes resulting from the intervention can be measured in the future. The social surveys will be carried out after demarcation of zone of impact. (a) A census and socio-economic survey, including a detailed inventory of affected assets would however, need to be carried out for all PAPs to establish a cut-off date, loss of fixed assets such as structures and trees, livelihood or access to community resources and categorise each type of losses as a result of project implementation. (b) Assess local tenure and property rights arrangements which may include usufruct or customary rights to the land or other resources taken for the project including common property resources. (c) Analysis ofbaseline information and its processing will include adequate measures to compensate and assist the people to restore and improve their livelihood. (d) Carry out market survey and focus group consultation with different social groups including women to prepare socially, technically and economically feasible income generations schemes including skill upgradation plans. (e) Identify the land and prepare a plan for relocation in consultation with the project displaced people with different social groups including women and local administration. (f) Finalize estimate of land required that will be affected by zone of impact, resettlement and economic rehabilitation and review land transfer procedure adopted in project area for all types of activities related to project such as back water effect, distributary network, approach roads and other civil works. (g) Carry out meaningful public consultation with project affected people and other stakeholders on the types of social risk management measures to ensure 1) that the proposed mitigation measures are feasible to assist people to improve their livelihoods and 2) provide opportunities and a plan to participate in planning and implementing resettlement. Setting out mechanisms for community participation to set out priorities to ensure consultation with project affected people and dialogues with government officials from various departments, to make recommendations on measures 97 E1851 necessary to mitigate adverse impacts and enhance social outcomes. (h) Determine, in consultation with government officials, the current replacement cost rates for all types of affected assets and prepare detailed cost estimates for all types of affected assets and for other assistance and allowances. (i) For all those who are affected including ethnic minorities, the social and economic benefits they receive should be consistent with their cultural preferences and decided in consultation with affected communities. (j) The assessment will incorporate all measures necessary to ensure compensation for assets acquired at replacement cost, assistance to facilitate shifting of structures out of the impact zone, and mitigation measures for loss of livelihood, or reduction in incomes for PAPs. RAP is intended to be action-oriented and time-bound document. As such it should be as precise and affirmative as possible, to facilitate approval by project authorities and the WB. Clarifying the parameters of the RAPs during the early stages will ensure that the RAP is a document focused on practical steps for implementation ofR&R measures. (k) Prepare the draft R & R framework in close coordination with the borrower and the project affected people, based on type of losses expected, which describes entitlements and mitigation measures needed to assist affected people, specially for the vulnerable in accordance with World Bank guidelines. (I) Assess institutional capacity and propose the institutional arrangement for implementation of RAP, addressing grievances, and ensuring gender equity, and identify the roles and responsibilities of each agency and develop a training program on R & R, based on the assessment of the capacity of the implementing agency. (m) To develop a time schedule to implement the action plan that synchronizes with civil works. (n) Conduct risk assessment for proposed mitigation measures and develop a risk assessment framework. (o) Develop user friendly software package for database on Project Affected Households and families to enable monitoring. Methods & Tools: (a) Conduct census and baseline survey with the help of interview schedules and prepare linear maps at appropriate scales showing each affected property to identify all project affected households and assets. (b) Conduct land surveys in project area with the assistance of government officials for preparing land plan schedules. (c) Conduct focus group discussions to discuss adjustment in designs. (d) Conduct consultations with affected people, and district level workshops with communities and executing organisations to finalise the implementation mechanism and for informed decision making. 98 E1851 Output: The following shall be the outputs: (a) Final R&R policy. (b) Final Resettlement Action Plan(RAP) including a capacity building & training plan for project partners. (c) Final data base of the socio- economic surveys. 5. Reporting Requirements (a) Inception Report: The Consultant will submit an Inception report confirming the methodology to be adopted for the study, the deployment schedule of personnel, a schedule of site visits to be carried out and a reporting schedule, within afixed time from the date of beginning of the assignment. The consultant may need to canry out a reconnaissance survey before submitting the inception report. (b) Social Screening report: The expected output will be a Social Screening report and findings integrated in the feasibility report, including findings of analysis and consultation framework for project; outline of safeguard instruments as required; recommendation for adjustments in designs during feasibility and detailed design stage; scope of social impact assessment to define the universe of social issues for detailed analysis for DPR; and guidelines for resettlement and rehabilitation measures. (c) Resettlement Action Plan: Project description; method of study; analysis of alternatives; minimization of adverse impacts; analyses of land tenure systems, land acquisition or transfer mechanism and R&R polices; project area profile and Impact analyses of the project on affected and displaced people with disaggregated data analyses of men and women; impact on land and other assets vis-a-vis the total asset including impact on occupation (fonnal and informal) and income (formal and informal sources) with disaggregated data analyses of both men and women; relocation plan with alternate sites, selection of preferred sites in consultation with the affected people, and planning for development of altemative sites; livelihood restoration plan with training plan for skill upgradation, employment and credit; community participation and integration with host population; restoration and relocation plan for cultural/common properties; institutional arrangement specified with roles and responsibilities, and training plan for capacity building; implementation schedule; monitoring, and evaluation plan, including indicators and reporting formats; risk assessment; cost estimates including rate analysis, quantities for civil work items and detailed budget. 6. Reporting Schedule No. Title ofReport Due within from No. of Time for comment date of beginning of Copies from M&E Unit, assignment MIWRE/WB I Inception Report 1month 5 15 days HI Social Screening Report 3 months 10 1 month III Resettlement Action Plan 12 months 10 15 days 7. Consulting Team The consulting team shall include the following key experts in addition to any support staff that the consultant may decide. 99 E1851 No. Qualification Minimum Duration of Continuous/ Experience Service required Internittent Inputs I Post graduate Degree in 10 years 12 Continuous Sociology/Anthropology 2 Post graduate Degree in Social 10 years 12 Continuous work 3 Degree in Agriculture 5 years 5 Intermittent 4 Degree in Civil Engineering 5 years 6 Intermittent 5 Community Participatory 10 10 Continuous Specialist 6 Gender specialist 8 8 Internittent Other Information The consultant are advised to refer to the following World Bank policies in addition to any other resources that they may deem fit: 1. OP 4.12 Involuntary Resettlement 2. OPN 11.03 Cultural property 3. Involuntary Resettlement Sourcebook In addition, the consultant may refer to www.worldbank.org/socialanalysissourcebook. 100 E1851 Attachment 8 Procedures for Mine Risk Management in World Bank-Funded Projects in Afghanistan Background: The following procedures are designed to respond to the risks caused by the presence of mines in Afghanistan, in the context of: * Community rehabilitation / construction works to be identifiedc and implemented by the communities themselves (for small projects of up to $100,000 each); * Small and medium-size works to be identified by local authorities and implemented by local contractors (for projects up to $5m each); * Works to be implemented directly by Government departments/agencies, without use of contractors; * Large works to be implemented by contractors (for projects above $5m); General comment applying to all following procedures: All risk assessment and clearance tasks shall be implemented in coordination with the Mine Action Center for Afghanistan (MACA). These procedures may need to be amended in the future depending on evolving circumstances. Procedure for Community-Managed Works Applicability: This procedure applies to community rehabilitation/construction works to be identified and implemented by the comnmunities themselves (for small projects of up to $100,000 each). Overall approach: The communities should be responsible for making sure that the projects they propose are not in mine-contaminated areas, or have been cleared by MACA (or a mine action organization accredited by MACA). Rationale: Communities are best placed to know about mined areas in their vicinity, and have a strong incentive to report them accurately as they will carry out the works themselves. Procedure: 1. Communities are required to submit a reply to a questionnaire regarding the suspected presence of mines in the area where Bank-funded community-managed projects will be implemented. This questionnaire should be formally endorsed by the Mine Action Program for Afghanistan(MAPA). It will be a mandatory attachment to the project submission by the communities and should be signed by community representatives and the extemal project facilitator. External project facilitators will receive training from MAPA. Financing agreements with the communities should make clear that communities are solely liable in case of a mine-related accident. 2. If the community certifies that there is no known mine contamination in the area, the ministry responsible for the selection of projects should check with MACA whether any different observation is reported on MACA's data base. 101 E1851 o If MACA's information is the same, the project can go ahead for selection. The community takes the full responsibility for the assessment, and external organizations cannot be made liable in case of an accident. o IfMACA's information is different, the project should not go ahead for selection as long as MACA's and community's statements have not been reconciled. 3. If the community suspects mine contamination in the area, o If the community has included an assessment/clearance task in the project agreed to be implemented by MACA (or by a mine action organization accredited by MACA), the project can go ahead for selection. o If the community has not included an assessment/clearance task in the project, the project should not go ahead for selection as long as this has not been corrected. o Mine clearance tasks must be implemented by MACA or by a mine action organization accredited by MACA. Communities will be penalized (subsequent funding by World- Bank funded projects shall be reduced or cancelled) if they elect to clear mines on their own. Procedure for Small and Medium-size Works Contracted Out Applicability: This procedure applies to small- and medium-size works to be identified by local authorities and implemented by local contractors (for projects up to $5m each). OveraUl approach: MACA (or a mine action organization accredited by MACA) should provide detailed information on the mine-related risks (either based on previously done and updated general survey or on a new general survey) before projects are considered for selection. Only project sites assessed to have a nil- to-low risk would be eligible for selection, unless they have been demined by MACA or by a mine action organization accredited by MACA. Rationale: Neither local authorities nor local contractors have the capacity to assess the mine-related risks in a systematic way, while they may have incentives to underestimate them. Procedure: 1. Prior to putting up a project for selection, a general survey should be carried out by MACA (or a mine action organization accredited by MACA) to assess mine-related risks in the area of the project (this should include checking infornation available in the MACA data base). 2. If MACA provides information suggesting a nil-to-low risk in the proposed project area, the project can go ahead for selection. 3. The contract between the responsible ministry and the contractor will include a clause stating that in case of an accident, legal liability would be fully and solely borne by the contractor. 4. If MACA assesses a potentially high risk in the area (whether due to the presence of mines or uncertainty), 102 E1851 o If the project includes an assessment/clearance task agreed to be implemented by MACA (or by a mine action organization accredited by MACA), it can go ahead for selection based on agreed funding modalities (clearance may be funded either under a contract with a Bank-funded project or under existing donor agreements with the mine action organization); o If the project does not include an assessment/clearance task, it should not go ahead for selection as long as this has not been corrected. Procedure for Works to be implemented directly by Government Departments/Agencies, without use of contractors Applicability: This procedure applies to works to be implemented directly by Government departments/agencies, without use of contractors. Overall approach: MACA (or a mine action organization accredited by MACA) should provide detailed information on the mine-related risks (either based on previously done and updated general survey or on a new general survey) before works or installation of goods/materials are carried out in any given area. Work would only be allowed to proceed in areas assessed to have a nil-to-low risk, unless they have been demined by a mine action organization accredited by MACA. Rationale: Government departments and agencies responsible for providing services currently do not have the capacity to assess the mine-related risks in a systematic way, and currently follow a process of consulting with MACA prior to carrying out activities. Procedure: 1. Prior to carrying out work, the Govemment department/agency will consult with MACA to assess mine-related risks in the area (this should include checking information available in the MACA data base). If not already done, a general survey should be carried out by MACA (or by a mine action organization accredited by MACA) to assess mine-related risks in the area. 2. If MACA provides detailed information on mine-related risks which suggest a nil-to-low risk in the proposed area, the work can proceed. The Government would be solely liable in case of a mine- related accident. 3. If information provided by MACA cannot support the assessment of a nil-to-low risk in the proposed area (whether due to the presence of mines or uncertainty), works should not go ahead before MACA (or a mine action organization accredited by MACA) carries out the necessary further assessment and/or clearance for risks to be downgraded to nil-to-low, based on agreed funding modalities (clearance may be funded either under a contract with a Bank-funded project or under existing donor agreements with the mine action organization). Procedure for Large Works Using Contractors Applicability: This procedure applies to large works to be implemented by large contractors (projects above $5m). Overall approach: The main contractor should be responsible for dealing with mine-related risks, in coordination with the UN Mine Action Center. 103 E1851 Procedure: I As part of the preparation of the bidding documents, a general survey should be carried out by MACA (or a mine action organization accredited by MACA) on all the areas where contractors may have to work (broadly defined). This survey should provide detailed information on mine- related risks in the various areas allowing for an un-ambiguous identification of areas that have a nil-to-low risk of mine/lJXO contamination and areas where the risk is either higher or unknown. The survey should be financed out of the preparation costs of the bidding documents. 2. All survey information should be communicated to the bidders (with sufficient legal caveats so that it does not entail any liability), as information for the planning of their activities(e.g., location of campsites, access roads to quarries). 3. Depending on the nature and location of the project and on the available risk assessment, two different options can be used. Option 1- Mine-clearance activities are part of the general contract a. Based on the general survey results, a specific budget provision for mine action during construction is set aside as a separate provisional sum in the tender documents for the general contract. b. As a separately identified item in their bid, the bidders include a provision for a further detailed mine assessment and clearance during construction. c. On the instruction of the Supervision Engineer and drawing on the specific provisional sum for mine action in the contract, the contractor uses one of several nominated sub-contractors (or a mine action organization accredited by MACA) to be rapidly available on call, to carry out assessment prior to initiation of physical works in potentially contaminated areas, and to conduct clearance tasks as he finds may be needed. The Contractor may also hire an international specialist to assist him in preparing and supervising these tasks. The Contractor is free to chose which of the accredited sub- contractors to use, and he is fully responsible for the quality of the works and is solely liable in case of accident after an area has been demined. d. To avoid an "over-use" of the budget provision, the Contractor is required to informn the Supervision Engineer in writing (with a clear justification of the works to be carried out) well in advance of mobilizing the mine-clearing team. The Supervision Engineer has the capacity to object to such works. Option 2 - Mine-clearance activities are carried out under a separate contract a. Specific, separately-awarded contracts are issued for further surveying and/or clearing of areas with a not-nil-to-low risk (under the supervision of the Engineer) by specialized contractors (or a mine action organization accredited by MACA). The definition of the areas to be further surveyed / cleared should be limited to those areas where any contractor would have to work, and should not include areas such as camp sites and quarries/material sites which are to be identified by the Contractor during and after bidding of the works. As a result of these further surveys and possibly clearance works, mine-related risk in the entire contract area is downgraded to nil-to-low. 104 E1851 b. The contract with the general Contractor specifies the extent of the portion of the construction site of which the Contractor is to be given possession from time to time, clearly indicating restrictions of access to areas where the mine risk is not nil-to-low. It also indicates the target dates at which these areas will be accessible. Following receipt of the notice to commence works from the Engineer, the Contractor can start work in all other areas. c. The general Contractor is invited to include in its bid an amount for mine-security, to cover any additional survey / clearance he may feel necessary to undertake the works. 4. In case of an accident, a Board of Inquiry is assembled by MACA to investigate on the causes of the accident and determine liabilities. Large penalties should be applied on the Contractor if the Board determines that the accident resulted from a breach of safety rules. 5. All parties involved in this process are required to closely coordinate with MACA and to provide the Government, local communities, MACA, as well as any interested party the full available information on mine-related risks that may reasonably be required (e.g., maps of identified minefields, assessments for specific areas). 105