INTEGRATED SAFEGUARDS DATA SHEET APPRAISAL STAGE Report No.:81328 Date ISDS Prepared/Updated: September 24, 2013 I. BASIC INFORMATION 1. Basic Project Data Country: India Project ID: P146653 Project Name: Uttarakhand Disaster Recovery Project Task Team Leader: Saurabh S Dani Estimated Appraisal September 12, Estimated Board October 29, 2013 Date: 2013 Date: Managing Unit: SASDC Lending Instrument: Investment Project Financing Sector(s): Housing Construction (10%), Rural and Inter Urban Roads and Highways (60%), Flood Protection (25%) and Other Social services (5%). Theme(s): Rural Services and Infrastructure (60%), Natural Disaster Management (20%), Climate Change (10%), and Social Risk Mitigation (10%). Is this project processed under OP 10.00, Para 11 (Situations of YES Urgent Need of Assistance)? Project Financing Data (in USD Million) Total Project Cost: 250 Total Bank Financing: 250 Total Co-financing: 0 Financing Gap: 0 Financing Source Amount BORROWER/RECIPIENT 0.00 International Development Association (IDA) 250.00 Total US$ 250.0 Million Environmental B Category: Is this a Repeater No project? Is this a No Transferred project? 2. Project Development Objectives 1. To restore housing, rural connectivity and build resilience of communities in the affected districts of Uttarakhand and increase the technical capacity of the State entities to respond promptly and effectively to an eligible crisis or emergency. 3. PROJECT DESCRIPTION A. Project Components Component 1: Resilient Infrastructure Reconstruction – US$ 25 million 2. The objective of this component is to focus on the immediate needs of reconstruction of damaged houses and Public Buildings. The aim is to reduce vulnerability of the affected population and restore access to basic services of governance. 3. Subcomponent 1.1 Resilient Permanent Housing- US$ 21 million - This component will involve building about 2,500 permanent houses that would be multi-disaster resilient. Houses will built under three categories:  Category 1: Houses constructed on the land of households who have title deeds to their land and that are safe for construction as verified by the District Magistrates office.  Category 2: Construction of cluster houses for households that have lost both their houses and land due to the disaster on land available within village area.  Category 3: Construction of cluster houses relocated to a new area for households that have lost both their houses and land due to the disaster. The land for this category of construction will be provided by GoU and developed within the project with basic amenities and services such as school building, primary health centres, community centres, water, sanitation, electricity etc., in case these facilities do not exist with an approachable distance. 4. Subcomponent 1.2 Resilient Public Buildings- US$ 4 million- This component will support reconstruction of damaged public buildings, such as Panchayati Raj Institution (PRI) offices, Block Offices, technical education institutes, and District offices. Total reconstruction cost includes restoration of partially damaged and reconstruction of fully damaged structures, equipment and furniture and other amenities. Component 2: Rural Road Connectivity – US$ 155 million 5. This component’s objective is to restore the connectivity lost due to the disaster by reconstruction of damaged roads and bridges: village roads (Non-PMGSY1), Other District Roads (ODRs)2, bridle roads and bridle bridges. The roads and bridges will be designed to withstand earthquake and flood forces as per the latest design guidelines from the Bureau of Indian Standards, the Indian Roads Congress and the Ministry of Road Transport and Highways. The affected rural areas will be benefitted by the restored access to the market thereby increasing the economic growth in these areas by bringing in new employment opportunities, trade and investment, and timely access to health and education services. 1 PMGSY – Pradhan Mantri Gram Sadak Yojana – a large National Program financed by GoI for improving/ establishment of rural roads to connect villages to the main road networks. This program is also partially financed by the World Bank 2 ODRs are generally the link roads between Village Roads and Major District Roads (MDRs) 6. Subcomponent 2.1 Village/ Rural Roads (Non PMGSY) - US$ 120 million - This subcomponent will support the reconstruction of damaged village roads totaling to about 3,600 kms that are not covered under the PMGSY program. Civil works for roads will include construction of damaged roads following the rural roads standards used for the PMGSY and will include reconstruction of damaged culverts and bridges, construction of new drainage woks and bridges to enhance drainage, retaining and breast walls and other structures to prevent landslides, and minor realignments wherever necessary and possible. 7. Subcomponent 2.2 Other District Roads (ODR) - US$ 13 million - This subcomponent will involve the reconstruction of damaged Other District Roads (ODR) totaling to about 675 kms in the flood affected districts of Uttarakhand, linking village roads to Major District Roads (MDRs), State Highways (SH) and/or National Highways (NH) to increase access and provide opportunities for overall economic development. 8. Subcomponent 2.3 Bridle Roads and Bridges - US$ 22 million - This subcomponent will undertake reconstruction of 440 kms bridle roads and about 140 bridle bridges that were damaged to facilitate connectivity for habitations located at the remote locations to the nearest village area or village road/ODR/MDR/SH. Affected communities would be involved planning and reconstruction of bridle roads and bridges. Component 3: Technical Assistance and Capacity Building for Disaster Risk Management - US$ 38 million 9. The objective of this component is to enhance the capabilities of government entities and others in risk mitigation and response. This component would entail the following tasks: 10. Subcomponent 3.1: Risk Assessment, Modeling and Capacity Building of Uttarakhand Space Application Center (USAC) - US$ 10 million: This sub-component will provided technical assistance to institutions to plan, set-up and implement a multi-hazard risk assessment of Uttarakhand. This subcomponent will include: (a) development of the framework and implementation of multi-hazard risk assessment models for Uttarakhand; (b) development of a historic hazard and loss database; (c) establishment of a technical advisory group for the multi- hazard risk assessment; (d) acquisition and processing of high-resolution satellite data for risk assessment (e) development of training courses (training of trainers) to build sustainable risk assessment capacity for the state officials and technical DRM experts; (f) development of a monitoring and evaluation framework to ensure the appropriate execution of the risk assessment and use of the risk information derived from the assessments; (g) development of a tool that will allow the optimal utilization of risk information derived through the risk assessment and increase the resilience of the communities and DRM capacity of the state; (h) develop a strategy to build upon and strengthen the USAC as a key institution within the DRM framework in the state to maintain and utilize satellite data for analysis related to all phases of the disaster cycle including the recovery phase. 11. Subcomponent 3.2: Establishment of a Decision Support System (DSS) - US$ 3 million: This subcomponent will entail setting up of a DSS that will integrate and analyze information from multiple sources in a geo-spatial integrated system that will allow for having the disaster related damages being set-up as a baseline and all recovery works integrated into a management information system for better monitoring of the project progress. The system will be designed for display and access in user-friendly way. 12. Subcomponent 3.3: River Morphology Study - US$ 3 million: This study would include study of the entire morphology of some key rivers that were impacted by the disaster. The study will also look into analyzing and identifying critical protection works needed for river bank strengthening. 13. Subcomponent 3.4: Slope Stabilization Study - US$ 4 million: The current disaster’s main impact has been on the road sector. Robust slope stabilization techniques and methods have been developed in certain countries which can find application and use in the Uttarakhand context. The scope would include learning’s from existing successful techniques, ongoing cutting edge work, and research in this sector and introduce appropriate technology for slope stabilization for Uttarakhand through small demonstrative works. 14. Subcomponent 3.5: Strengthening of the Uttarakhand State Disaster Management Authority (USDMA) - US$ 5 million: This sub-component will entail evolving and developing institutional set up of the USDMA, technical enhancement of the facilities at the DMMC, training, regular drills for emergency operations centers and Disaster Management Officers at the District and State levels. 15. Subcomponent 3.6: Strengthening Hydro-meteorological network and Early Warning Systems (EWS) - US$ 10 million: This sub-component will review existing hydro-meteorological capabilities at the state and national levels, and will develop and implement a hydro- meteorological modernization plan for Uttarakhand with the objectives of improved monitoring and forecasting. This sub-component will also review existing EWS, identify gaps and establish a robust fail safe EWS in the state including optimum use of strengthened networks and facilities. 16. Subcomponent 3.7: Strengthening Emergency Response Capacity - US$ 3 million: This sub-component will focus on strengthening the capacity of the state’s disaster response force and other key responders such as and fire services personnel in responding adequately to disaster situations through better search and rescue equipment and enhanced training. Component 4: Financing Disaster Response Expenses –US$ 12 million 17. This component will support the financing of eligible expenses already incurred by the State during the disaster response period. The expenses will include but will not be limited to reimbursement of fuel purchased and used for helicopter rescue missions, hiring of heavy equipment for clearing of roads to restore immediate connectivity, etc. Component 5: Implementation Support –US$ 20 million 18. This component will include incremental operating costs, that of operating the Project Management Unit (PMU) and respective Project Implementation Units (PIUs) in the line agencies. The component will also include creation of small, temporary field implementation offices with the necessary equipment and furniture etc. In addition, the component will also include consultancies required for the preparation and supervision of specific activities, trainings, exposure visits and knowledge exchange programs. Component 6: Contingency Emergency Response- US$ 0 million 19. Following an adverse natural event that causes a major natural disaster, the respective government may request the Bank to re-allocate project funds to support response and reconstruction. This component would draw resources from the unallocated expenditure category and/or allow the government to request the Bank to re-categorize and reallocate financing from other project components to partially cover emergency response and recovery costs. This component could also be used to channel additional funds should they become available as a result of an eligible emergency. 20. Disbursements would be made against a positive list of critical goods or the procurement of works, and consultant services required to support the immediate response and recovery needs. All expenditures under this component, should it be triggered, will be in accordance with paragraph 11 of OP 10.00 and will be appraised, reviewed and found to be acceptable to the Bank before any disbursement is made. In accordance with paragraphs 11 and 12 of OP 10.00, this component would provide immediate, quick-disbursing support to finance goods (positive list agreed with the Governments), works, and services needed for response, mitigation, and recovery and reconstruction activities. Operating costs eligible for financing would include the incremental expenses incurred for early recovery efforts arising as a result of the impact of major natural disasters. 4. Project location and salient physical characteristics relevant to the safeguard analysis (if known) 21. The project is located in the State of Uttarakhand in India. The State of Uttarakhand comprises of 13 districts that are grouped into two divisions (Kumaun and Garhwal) and has a total geographical area of 53,484 sq. km of which about 45% is Forested Area (forest land covers about 60% of the total geographical area of the state). The sub-projects will be located across the affected districts of the state of Uttarakhand. Most of the affected districts have substantial forest areas ranging from about 29% in Pithoragarh to about 61% in Bageshwar. 22. The State has a very fragile terrain that, that is prone to natural disasters. The entire State falls within Zone IV and Zone V (Zone V represents the highest level of seismicity) of the Earthquake Zoning Map of India. The districts of Bageshwar, Chamoli, Pithoragarh, Rudraprayag and Uttarkashi all fall within the Seismic Zone V. In the recent past the State has witnessed two major earthquakes (Uttarkashi 1991 and Chamoli 1999). Every year, the state faces massive losses, particularly during the monsoon season, due to rains, cloudbursts, flash floods, landslides, floods, hailstorms and water logging events. 23. The economy of the State primarily depends on agriculture and tourism. The State is home to some of the most important pilgrimage centres known as the “Char-Dham”, i.e. the Gangotri, Yamunotri, Kedarnath and Badrinath, all of which are situated in the northern region. The state receives over 32 million tourists annually, a majority of whom visit the state during the peak summer season (May-July). The region is also a well-known tourist destination and has many trekking trails. 5. Environmental and Social Safeguards Specialists on the Team Gaurav Joshi – Environment Specialist Shankar Narayanan - Senior Social Development Specialist Samuel Thangaraj - Consultant - Social Development BKD Raja – Consultant – Environment and Social Safeguards Management 6. Safeguards Policies Safeguard Policies Triggered Explanation (Optional) Environmental Yes Project activities have the potential to create adverse impacts on Assessment OP/BP 4.01 the environment if not designed and implemented properly because of the sensitive environmental conditions of the state. An Environmental and Social Management Framework (ESMF) is being prepared for the activities that are to be supported under the project. This ESMF builds on the tools already developed under the ongoing activities, including those supported by various international financial institutions. Natural Habitats OP/BP Yes The districts of Uttarakhand have some of the most well-known 4.04 protected areas of India.There are 6 National Parks, 7 Wildlife Sanctuaries, 1 Biosphere reserve and 3 Conservation Reserves. Currently, since the project work locations are not known, the provisions of this policy will be applied if natural habitats are encountered for specific activities. Forests OP/BP 4.36 Yes No commercial logging is to be supported under the project. However, some activities under the project can have impacts on the health of forests. Some minor realignments of roads in cases where current alignments are not usable may require going into Forest areas and therefore affect forests. Also in the case of change of bridge locations this remains a possibility. Pest Management OP 4.09 No Physical Cultural Yes The project will involve reconstruction and therefore has the Resources OP/BP 4.11 potential to encounter chance-finds. It is also likely that some activities may be close to locations of locally important resources like shrines, important religious trees, etc. for which appropriate mitigation measures will be developed during the activity specific EA. Indigenous Peoples OP/BP No 4.10 Involuntary Resettlement Yes Some project interventions are likely to trigger issues such as OP/BP 4.12 those related to land acquisition, loss of assets and impact on livelihood sources. Identification of any potential impacts and mitigation measures to address likely impacts is proposed. Safety of Dams OP/BP No 4.37 Projects on International No Waterways OP/BP 7.50 Projects in Disputed Areas No OP/BP 7.60 II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the project. Identify and describe any potential large scale, significant and/or irreversible impacts: 24. This project is designed to benefit the communities affected by the disaster and who are further exposed to such risks. Through strengthening of disaster risk management systems and institutions, the project has the potential to benefit the entire State of Uttarakhand.. The implementation of the proposed components of the Project may result in adverse impacts on people and land, if not mitigated appropriately. 25. Considering the environmental and social vulnerability of the affected regions of Uttarakhand the proposed investments on the reconstruction of existing infrastructure, and building disaster management capacity of the state government, needs to be planned carefully to avoid significant and/or irreversible impacts. Some of the key environmental impacts that may arise due to the proposed project have been summarized by component below: 26. Resilient Infrastructure Reconstruction: The proposed activities such as reconstruction of houses and public buildings through this component could (a) impact physical environment (air, water, soil, noise) due to construction activities and setting-up of temporary camps and plant sites; (b) have impacts associated with extraction and transportation of materials such as earth, sand, water and stones; (c) cause occupational health and safety issues related to various construction operations; (d) lead to temporary relocation or involuntary resettlement of households currently residing in areas where these activities are to be taken up (e) lead to generation and improper disposal of construction debris and other wastes; and (f) impact physical and cultural properties that are located in the immediate influence area of these sites. Apart from being minor, these will also be temporary and fully reversible. 27. Rural Road Connectivity: The proposed reconstruction of road network, reconstruction of bridges and other activities under this component could (a) impact natural drainage pattern due to inadequate cross drainage works; (b) possible diversion of small amount of forest land and/or plantation belt area or some tree felling ; (c) possible impacts on the natural habitats in the sensitive areas where these components are taken up (d) impacts on physical environment (air, water, soil, noise) due to construction activities and setting-up of temporary camps and plant sites; (e) impacts associated with extraction and transportation of materials such as earth, sand, water and stones; (f) occupational health and safety issues related to various construction operations; and (g) generation and improper disposal of construction debris and other wastes. 28. Land Requirement: GoU is implementing similar projects on a regular basis, which require land, of which the ownership could be either public or private. Accessing public land is easier, but arrangements will have to be made for securing privately owned land. When additional lands are required, GoU, as a first step, would try and secure public lands where feasible and available. If private lands are required, then GoU would resort to, either through voluntary donation or by outright direct purchase or through using LA Act. In addition efforts will be made to avoid/minimize the private land acquisition through engineering solutions. 29. Considering these impacts, the following environment safeguards policies are triggered under the project, and described below: OP/BP 4.01, Environmental Assessment Specific interventions envisaged under the project such as construction of houses, public buildings, rural roads and connectivity infrastructure may have potential adverse environmental impacts in their area of influence. OP 4.01 has been triggered to ensure that such investments are planned and designed to be sound and sustainable by integrating environmental dimensions into the over-all decision making process. OP/BP 4.04, Natural Habitats The proposed activities such as reconstruction of rural roads and connectivity infrastructure could have impacts on natural habitats, flora fauna and the local natural ecosystem. Considering these aspects OP 4.04 has been triggered. OP/BP 4.36, Forests No commercial logging is to be supported under the project. However, some activities under the project can have impacts on the health of forests. Some minor realignments of roads in cases where current alignments are not usable may require going into Forest areas and therefore affect forests. Also in the case of change of bridge locations this remains a possibility. The following social safeguard policies are triggered under the project, and described below. OP/BP 4.11, Physical Cultural Resources A few project interventions may be located close to sites, structures, natural/man-made features that have historical, archeological, religious or other cultural significance. The impacts on these resources will be determined through screening and EA/SA process for each sub-project and management measures, as required, will be taken and integrated into the sub-project cycle. OP/BP 4.12, Involuntary Resettlement Some project interventions are likely to trigger issues such as those related to land acquisition, loss of assets and common property resources, and impact on livelihood sources. The project will conduct assessments and implement the necessary measures as per the Entitlement Matrix agreed in the ESMF for the project. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: 30. The proposed rural road connectivity activities of the project could have long term impacts on the on the flora and fauna and the local natural ecosystem. However, most of these will involve reconstructing previously existing facilities. The proposed environment and social assessment process in the ESMF for the project ensures that these impacts are identified early in the project planning stage and suitably addressed through suitable mitigation measures. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. 31. The project considered alternatives of investing in new housing and rural connectivity versus investing on the reconstructing the existing infrastructure. Both from the point of view of potential negative social and environmental impacts and efficiency of the investments, it was decided to concentrate on investing in reconstructing the existing structures, wherever possible. In addition, during the design and preparation of specific project sub-components related to re- construction of housing, public buildings, roads and bridges, alternatives to minimize adverse impacts will be explored. These could include minimum adjustments in the existing alignments, and/or use of alternative materials to enhance the sustainability of infrastructure created. 32. The implementation of project components will include several construction activities, which have a potential to create adverse environment impacts, particularly if such activities are not properly managed. Although the general thrust and broad project interventions are known at the time of project appraisal, the specific details pertaining to planning and design of multiple sub-projects that the project envisages to support, will be known only later. In such a situation, where multiple sub-projects will be located across the targeted five districts; an Environment and Social Management Framework (ESMF) approach has been adopted for the project. While the project itself is designed to benefit the disaster hit communities, the management of unwarranted/adverse impacts is proposed to be managed through the application and implementation ESMF principles and specific Environmental and Social Assessments for the sub- projects (as applicable). 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. 33. The institutional and implementation arrangements are as follows: 34. Oversight and Approvals - Under the Uttarakhand State Disaster Management Act, 2005, the GoU has formed a ‘Core Committee’, headed by the Chief Secretary for evaluation and monitoring of the reconstruction program. This core committee will primarily be responsible for monitoring the post disaster works of all the implementing agencies. In addition the GoU has also constituted a ‘High Powered Committee for Sanctioning of Post Disaster Reconstruction Works’, chaired by the Additional Chief secretary. This committee will provide all approvals: administrative and financial to all the post disaster recovery, reconstruction and risk mitigation works. In addition the committee will also address interdepartmental coordination and follow on external clearances where required. 35. Project Management Unit - Under the USDMA a Project Management Unit (PMU) will be formed headed by a full time Project Director and supported by the three Project Managers, one each for housing and public buildings; roads and bridges; and strengthening disaster management components. In addition the PMU will be supported by Procurement, Financial Management, Administration, Project Support and MIS unit. Staff will be deployed from various departments and through recruitments from open market or using other existing arrangements for deployment of specialists. 36. Project Implementation Units - Housing and Public Building works will be carried out by the Uttarakhand Infrastructure Development Corporation, and Roads and Bridges by the Public Works Department. Technical and Capacity Building Component will be managed by the PMU itself with the support of Uttarakhand State Disaster Management and Mitigation Center and Uttarakhand Space Application Center. In addition there would be a District Coordination Committee wherein the District Magistrate will be the nodal officer for coordination, monitoring, and progress review etc. All implementing departments/agencies create exclusive setup for implementation of the project components including the nodal units at the departmental headquarter for preparation of detailed project reports, tendering, evaluation, financial management, safeguard compliance etc. 37. Overall Project Supervision, Reporting and Monitoring (SRM) Framework: The multi-tier implementation arrangements under the project include supervision and monitoring roles and responsibilities of the various players involved in implementation. Supervision will generally entail routine quality certification provided at various stages of construction, forming the basis of payment certification and other works. Monitoring will occur as a periodic function, and will include process reviews/audits, reporting of outputs, and maintaining progressive records. Broad thematic areas that will be supervised and monitored include the following: I) Social and Environmental Monitoring II) Regular Quality Supervision & Certification III) Periodic Physical Progress Monitoring & Third Party Quality Audit IV) Monitoring and Evaluation (M&E) 38. A summary is provided below: I) Social and Environmental Monitoring - This will comprise of the following sets of activities: a) Monitoring compliance with environmental regulations, social safeguards and Environmental and Social Assessment provisions b) Overall State-Level Monitoring and Oversight of social and environmental issues at state/project levels. II) Regular Quality Supervision & Certification – This will be carried out by the respective implementing departments, forming the basis of payment certification. Technical supervision staff shall be deployed by the implementing departments. III) Periodic Physical Progress Monitoring & Third Party Quality Audit –Physical progress monitoring will be carried out by the implementing departments on a monthly basis. The IAs will carry out monthly surveys in their respective domains (districts) to record and report on progress of works. They will also, in coordination with the respective beneficiaries and contractors, identify any constraints and delaying factors. In addition, a third party will be deployed for quality monitoring of works and compliance on social and environmental aspects. IV) Monitoring and Evaluation (M&E) - Continuous monitoring of the project, and its achievements would be taken up by the Core Committee. The Core Committee will also appoint special agencies to assist them. 39. The PMU will have the overall responsibility for project implementation including, but not limited to, reporting, monitoring and evaluation, procurement control, financial management, audit and disbursements, compliance with the environmental and social policy requirements, as well as coordination with the line agencies and the World Bank. Within the PMU, an Environment Manager and Social Manager will be deployed to handle all matters pertaining to environment and social management under the project, including implementing the ESMF. 40. The key responsibilities of the Environment and Social Managers include: (a) orientation and training of implementing agency teams and the contractors on environmental and social management, (b) leading/ providing oversight on the EA/SA process and its outputs, (d) review of monitoring reports submitted by the implementing agencies on ESMF/EMP implementation, (d) conducting regular visits to project sites to review ESMF compliance during sub-project planning, design and execution, (e) providing guidance and inputs to the implementing agency teams on environment and social management aspects. These Managers will also deal with matters pertaining to integration of ESMF into the sub-project design and contract documents; preparation of Terms of References for studies (such as for EA/SA); reporting, documentation, monitoring and evaluation on environment and social aspects and will ensure overall coordination with the Implementing Agencies and PIUs and DPIUs of PMU. The representative offices of the PMU at the district and block level will support the Environment and Social Managers in carrying out the responsibilities listed above. The Environment and Social Managers of the PMU will be supported by Environment and Social Experts positioned in the PIUs. 41. Further to the support the Environment and Social Managers, an ‘Independent Safeguard Audit’ (ISA) consultant will review the implementation of various EMP / RAP activities by all the sub-projects. In addition to providing regular inputs on improving the safeguard implementation practices in the project, the ISA will submit quarterly reports to PMU, which will be an important resource for Bank team’s assessment on safeguards management of the project. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. 42. Environment management and safeguards related risks are as follows: (i) lack of co- ordination between the key implementing agencies may lead to a delay in the preparation of required documentation; (ii) insufficient attention/delays in effective implementation of Environmental Management Plans (EMPs), Resettlement Action Plans (RAPs) and Social Management Plans (SMPs); (iii) Obstacles and delays in obtaining statutory clearance; (vi) improper monitoring and irregular reporting of compliance by line department and (iii) potential non-compliance with Bank environment safeguard policies/guidelines due to lack of capacity. 43. Key stakeholders of the project include the state government, local governments, and citizens living in the disaster affected districts of the Uttarakhand State. However, given the high profile of the project and the number of stakeholder groups, potentially there are certain groups that could feel negatively affected. 44. All stakeholders have a strong interest in the reconstruction of infrastructure that will lead to increased opportunities. To achieve this goal, the project emphasizes the need for synergies among state level sectors and local stakeholders to maximize the impact of investments in housing, transportation and disaster management. The project’s physical investments are aimed at improving disaster preparedness at the local level. Technical reviews will be undertaken to ensure that critical works and activities related to flood management and rehabilitation of the transport network do not have a negative impact local residents. Once the implementation begins, environmental and social safeguards experts will disseminate relevant information to local communities living in flood prone areas to further increase awareness of the project. 45. PMU will coordinate project components among state level departments and the implementation of the components at the local level. It will address governance, transparency, and accountability issues among the stakeholders throughout the process and institute necessary arrangements to address grievances. This approach will help stakeholders manage expectations, while keeping various implementation agencies accountable for their work. 46. Community meetings will be held in each affected village of the project and also to inform the local population of their rights to compensation and options available in accordance with these guidelines. The ESMF has guidance on carrying this out in the context of the experience of ongoing projects in Uttarakhand. The ESMF and subsequent implementation plans, as well as studies for investments, will be disclosed on the government websites and other public places accessible to the local people and NGOs in English and local language. 47. In case of a potential dispute on compensation, the local Sub Divisional Magistrate (SDM) shall hear and resolve the case in presence of (a) the affected party, (b) the in-charge of line department who is acquiring the land/ in-charge of the sub-project activity and (c) Pradhan of the village where the sub-project is being implemented. However, in case of non-satisfactory solution, the matter will be brought to the notice of the District Collector and he/she is the final authority to decide the case. 48. In addition a well thought communication strategy will create awareness, inform communities about various components, and will incorporate a grievance redress system. The Decision Support System (DSS) The system will integrate and analyze information from multiple sources and will display it in user-friendly ways for i) tracking and reporting financial and physical progress towards achievement of the targets set, ii) enabling citizen feedback and grievance redress mechanism for active participation of communities in the recovery and reconstruction program. An MIS system will assist procurement, financial monitoring, public disclosure of procurement performance and outcomes of PMU/ PIU on a regular basis and facilitate grievance redress mechanism at the PMU Level. B. Disclosure Requirements Environmental Assessment/Audit/Management Plan/Other: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank September 18, 2013 Date of "in-country" disclosure September 18, 2013 Date of submission to InfoShop For category A projects, date of distributing the Executive Summary of NA the EA to the Executive Directors Resettlement Action Plan/Framework/Policy Process: ESMF Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank October XX, 2013 Date of "in-country" disclosure October XX, 2013 Date of submission to InfoShop October XX, 2013 Indigenous Peoples Plan/Planning Framework: Not Applicable Was the document disclosed prior to appraisal? NA Date of receipt by the Bank Date of "in-country" disclosure Date of submission to InfoShop Pest Management Plan: Not Applicable Was the document disclosed prior to appraisal? NA Date of receipt by the Bank Date of "in-country" disclosure Date of submission to InfoShop * If the project triggers the Pest Management and/or Physical Cultural Resources policies, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the ISDS is finalized by the project decision meeting) OP/BP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) Yes [X] No [ ] N/A [ ] report? – ESMF was prepared If yes, then did the Regional Environment Unit or Sector Yes Manager (SM) review and approve the EA report? Are the cost and the accountabilities for the EMP incorporated Yes in the credit/loan? OP/BP 4.04 - Natural Habitats Would the project result in any significant conversion or Yes [ ] No [X ] N/A [ ] degradation of critical natural habitats? If the project would result in significant conversion or No degradation of other (non-critical) natural habitats, does the project include mitigation measures acceptable to the Bank? OP 4.09 - Pest Management Not Applicable Does the EA adequately address the pest management issues? Yes [ ] No [ ] N/A [X ] Is a separate PMP required? Yes [ ] No [ ] N/A [ X] If yes, has the PMP been reviewed and approved by a safeguards specialist or Sector Manager? Are PMP requirements included in project design? If yes, does the project team include a Pest Management Specialist? OP/BP 4.11 – Physical Cultural Resources Does the EA include adequate measures related to cultural Yes [ X ] No [ ] N/A [ ] property? Does the credit/loan incorporate mechanisms to mitigate the Yes potential adverse impacts on physical cultural resources? OP/BP 4.10 - Indigenous Peoples Not Applicable Has a separate Indigenous Peoples Plan/Planning Framework Yes [ ] No [ ] N/A [X ] (as appropriate) been prepared in consultation with affected Indigenous Peoples? If yes, then did the Regional unit responsible for safeguards or Sector Manager review the plan? If the whole project is designed to benefit IP, has the design been reviewed and approved by the Regional Social Development Unit? OP/BP 4.12 - Involuntary Resettlement Has a resettlement plan/abbreviated plan/policy Yes [ X ] No [ ] N/A [ ] framework/process framework (as appropriate) been prepared? If yes, then did the Regional unit responsible for safeguards or Yes Sector Manager review and approve the plan/policy framework/process framework? OP/BP 4.36 – Forests Has the sector-wide analysis of policy and institutional issues Yes [ X ] No [ ] N/A [ ] and constraints been carried out? Does the project design include satisfactory measures to Yes overcome these constraints? Does the project finance commercial harvesting, and if so, Yes does it include provisions for certification system? OP/BP 4.37 - Safety of Dams Not Applicable Have dam safety plans been prepared? Yes [ ] No [ ] N/A [X ] Have the TORs as well as composition for the independent Panel of Experts (POE) been reviewed and approved by the Bank? Has an Emergency Preparedness Plan (EPP) been prepared and arrangements been made for public awareness and training? OP/BP 7.50 - Projects on International Waterways Not Applicable Have the other riparian’s been notified of the project? Yes [ ] No [ ] N/A [X ] If the project falls under one of the exceptions to the notification requirement, has this been cleared with the Legal Department, and the memo to the RVP prepared and sent? What are the reasons for the exception? Please explain: Has the RVP approved such an exception? OP/BP 7.60 - Projects in Disputed Areas Not Applicable Has the memo conveying all pertinent information on the Yes [ ] No [ ] N/A [X ] international aspects of the project, including the procedures to be followed, and the recommendations for dealing with the issue, been prepared Does the PAD/MOP include the standard disclaimer referred to in the OP? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the Yes [X ] No [ ] N/A [ ] World Bank's Infoshop? Have relevant documents been disclosed in-country in a public Yes place in a form and language that are understandable and accessible to project-affected groups and local NGOs? All Safeguard Policies Have satisfactory calendar, budget and clear institutional Yes [ X ] No [ ] N/A [ ] responsibilities been prepared for the implementation of measures related to safeguard policies? Have costs related to safeguard policy measures been included Yes in the project cost? Does the Monitoring and Evaluation system of the project Yes include the monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed Yes with the borrower and the same been adequately reflected in the project legal documents? III. Approvals Signed and submitted by: Name Date Task Team Leader: Saurabh S Dani/ Deepak Singh September 24, 2013 Environmental Specialist: Gaurav Joshi September 24, 2013 Senior Social Development Shankar Narayanan September 24, 2013 Specialist Additional Environmental and/or B.K.D. Raja, Consultant, Safeguards September 24, 2013 Social Development Specialist(s): Management Additional Environmental and/or Samuel Thangaraj, Consultant, Social September 24, 2013 Social Development Specialist(s): Development Approved by: Regional Safeguards Coordinator: Francis V. Fragano / Zia Aljalaly September 24, 2013 Comments: Sector Manager: Bernice K. Van Bronkhorst October XX, 2013 Comments: