SFG1207 REV Uttar Pradesh Pro-Poor Tourism Development Project Environmental and Social Management Framework June 2015 Updated September 2017 State Department of Tourism Government of Uttar Pradesh 4th Floor, Paryatan Bhavan, C-13 Vipin Khand, Gomti Nagar, Lucknow-226010 (Uttar Pradesh) TABLE OF CONTENTS Introduction ......................................................................................................................... 1 1.1 Striving for Excellence ...................................................................................................... 1 1.2 World Bank Safeguards Policies ........................................................................................ 1 1.3 Environmental and Social Management Framework ............................................................ 2 2. Project Scope and Institutional Arrangements................................................................ 1 2.1 Project Background .......................................................................................................... 1 2.2 Environmental and social baseline information ................................................................... 3 2.3 Project Objective ............................................................................................................. 3 2.4 Project Components ......................................................................................................... 3 2.5 Project Potential Activities and Investments (Subprojects) .................................................. 4 2.6 Roles and Responsibilities of Key Stakeholders .................................................................. 4 3. Potential Adverse Impacts of Subprojects ....................................................................... 6 4. Principles Guiding Action: Safeguards and Legislation.................................................. 10 4.1 Principles Guiding Action ................................................................................................ 10 4.2 World Bank Safeguards Triggered by the Project ............................................................. 10 4.3 Government of India and State-level Legislation and Regulations ...................................... 11 5. Steps for Compliance with World Bank Safeguards....................................................... 19 5.1 Introduction .................................................................................................................. 19 5.2 Developing Management Plans ....................................................................................... 19 6. Implementation and Monitoring .................................................................................... 25 6.1 Institutional Arrangements for Safeguards Management under the Project ........................ 25 6.2 Monitoring and Reporting ............................................................................................... 26 6.3 Integrated Grievance Redress Mechanism ....................................................................... 27 6.4 Capacity to Implement ESMF .......................................................................................... 28 6.5 Budget for the Implementation of Safeguard Mitigation Measures ..................................... 29 Annex 1: Overview of the World Bank Safeguard Policies ................................................ 30 Annex 2: Environmental and social baseline information ................................................. 32 Annex 3: Subproject Category Classification System ........................................................ 38 Annex 4: Subproject Screening Form ................................................................................ 40 Annex 5: Environmental and Social Impact Assessment ................................................... 42 Annex 6: Environmental and Social Management Plan ..................................................... 46 Annex 7: Resettlement Policy Framework ......................................................................... 49 Annex 8: Gender Development Framework ....................................................................... 70 Annex 9: Physical Cultural Resources Management Plan .................................................. 73 Annex 10: Summary of Environmental Management Guidelines for Contractors ............. 76 Annex 11: Field Monitoring Checklist (to be revised based on sub-project ESMP) ........... 78 Annex 12: Responsibilities of Environmental and Social Specialists and NGOs ................ 80 Annex 13: Sample Terms of Reference for Annual Assessment of Management Plans ..... 82 Annex 14: Minutes and Participant list of Validation Meetings for ESMF Consultations ... 84 ii List of Tables Table 1 - Summary of ESMF Consultations ...................................................................................... 4 Table 2 - Safeguards that apply to the project .............................................................................. 11 Table 3 - Key legislation that may apply to the project .................................................................. 12 Table 4 - Steps for compliance with World Bank Safeguards .......................................................... 21 Table 5 - Mitigation, monitoring, responsibility & timelines for social impacts .................................. 26 Table 6 - Mitigation, monitoring, responsibility & timeline for environmental & cultural heritage impacts ...................................................................................................................................... 27 Table 7 - Capacity Strengthening Plan .......................................................................................... 28 Table 8 - Surface water quality of rivers passing through some project cities (average 2012) .......... 33 Table 9 - Distribution of wetland areas in some project districts ..................................................... 35 Table 10 - Socioeconomic snapshot of UP ..................................................................................... 36 Table 11 - Land classification in UP .............................................................................................. 37 Table 12 - Work participation for various industries ....................................................................... 37 Table 13 - State's income and per capita income .......................................................................... 37 Table 14 - Stakeholder mapping .................................................................................................. 50 Table 15 - Entitlement matrix ...................................................................................................... 54 Table 16 - Information to be disclosed, frequency and location ...................................................... 60 iii ABBREVIATIONS ASI Archaeological Survey of India CPCB Central Pollution Control Board CPR Common Property Resources EA Environmental Assessment EIA Environmental Impact Assessment ESIA Environmental and Social Impact Assessment ESMP Environmental and Social Management Plan ESMF Environmental and Social Management Framework GAP Gender Action Plan GoI Government of India GoUP Government of Uttar Pradesh GRC Grievance Redress Cell IGRM Integrated Grievance Redress Mechanism INTACH Indian National Trust for Art and Culture MoEF Ministry of Environment and Forests NGO Non-Governmental Organization NMA National Monuments Authority OHS Occupational Health and Safety PAP Project Affected Person PAF Project Affected Family PCRMP Physical Cultural Resources Management Plan R&R Resettlement and Rehabilitation RAP Resettlement Action Plan RTI Right to Information Act (2005) SEIAA State Environment Impact Assessment Authority SIA Social Impact Assessment UPPCB Uttar Pradesh Pollution Control Board iv INTRODUCTION 1.1 Striving for Excellence The Uttar Pradesh Pro-Poor Tourism Development Project has been prepared by the Government of Uttar Pradesh, through its Department of Tourism, to strive for positive development outcomes in the activities and investments it supports. Its preparation has been informed by the lessons learned from similar projects implemented worldwide as well as by thorough analyses and studies of the areas, assets and people the project aims at supporting. The latter include (i) complete profiles of the target areas, (ii) a GIS- based inventory of their natural and cultural assets, (iii) a value chain analysis of local enterprises and tourism economy, (iv) a sample survey of street vending in Agra, and (v) mapping and assessments of crafts in all project target areas. The project preparation has also been driven by a participatory process through which ideas and findings have been shared with, and suggestions and proposals have been shaped by, more than 600 stakeholders – from government officials to experts and communities – consulted from its inception. This participatory process has not only informed the crafting of the project’s development objectives and components, but also all proposed subprojects and the institutional arrangements for their implementation and later sustainability. In order to ensure the project achieves its intended development objectives, similar standards of technical excellence, participation and transparency will be applied during its implementation. To this end, the World Bank safeguards policies discussed in this document provide important guidelines for the Department of Tourism, implementing entities and partners to prevent and mitigate, early on, potential undue harm to people and their environment and cultural assets while nurturing the expected positive impacts from the project preparation to closing. 1.2 World Bank Safeguards Policies The World Bank's Environmental and Social Safeguard Policies (Annex 1) are a cornerstone of its support to sustainable poverty reduction and shared prosperity. The core objective of these policies is to prevent and mitigate undue harm to people, their environment and cultural assets in the development process. Safeguard policies have often not only increased the effectiveness and development impact of projects and programs supported by the World Bank, but also provided a platform for the participation of stakeholders in project design, and thus have been an important instrument for building ownership among local populations, government agencies and partner organizations. To achieve these ends, clients are required to develop two overarching documents during a given project preparation. These include:  An Environmental and Social Management Framework (ESMF), which establishes the overarching standards that the client is to meet throughout the life of the project.  An Environmental and Social Impact Assessment (ESIA), which establishes the specific procedures, management and mitigation measures that the client is to meet for the implementation of each identified subproject and activity to be financed under a project supported by a World Bank loan or credit. 1 These documents also form the basis for the World Bank and Government of India’s evaluation of the environmental and social soundness of a proposed project prior to its approval. As part of the preparation of the Uttar Pradesh Pro-Poor Tourism Development Project, the Department of Tourism, Government of Uttar Pradesh, has conducted ESIAs of four identified activities and investments (subprojects) that will be supported under the project starting in the first year of its implementation. All required safeguards documents for these four subprojects (EMPs, SMPs and RAPs) have been prepared and disclosed as per the requirements of this ESMF. Since the exact location and/or specific scope of work of all subprojects to be financed under the project are not yet known, the Department of Tourism has also developed this project-level Environmental and Social Management Framework (ESMF) that sets out a comprehensive set of principles, rules, incentives and procedures to assess the potential positive and adverse cultural, environmental and social impacts of the identified subprojects to be supported under the project in general. The ESIAs and ESMF provide a practical tool for the Department of Tourism, its partners and associated implementing entities to identify measures to reduce, mitigate and/or offset potential adverse impacts while enhancing positive impacts during the project design and implementation. They also make provisions for the Department of Tourism, its partners and associated implementing entities to estimate and budget the costs of such measures, as well as providing information on the agencies responsible for addressing such impacts during the project implementation. Finally, given the pro-poor tourism development nature of the project as well as the distinctive features of its target areas, the ESMF and ESIAs will pay specific attention to and provide the Department of Tourism, its partners and associated implementing entities with the principles and guidelines for culturally sensitive and ecologically sound subprojects in the project target areas. 1.3 Environmental and Social Management Framework Objectives This Environmental and Social Management Framework (ESMF) is a project-level document for the Uttar Pradesh Pro-Poor Tourism Development Project. It is a technical day-to-day guide for the Department of Tourism and its partners at government, private, civil society and expert levels to identify and address the potential environmental and social and cultural concerns or adverse impacts of the project from the preparation stage to its implementation and post-implementation operation and maintenance. It provides guidance on cultural properties, environmental and social management aspects for the adequate planning, design, execution and operation of the works and investments to be financed under the project, ultimately enhancing the expected positive impacts of the project. The main objectives of the ESMF are to:  Establish clear principles and outline all relevant legislation/regulations for the cultural, environmental and social planning, review, approval, implementation and monitoring of subprojects to be financed under the project  Outline the procedures to be followed in order to comply with the principles, laws and regulations relevant to the project 2  Specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring cultural, environmental and social concerns related to subprojects to be financed under the project  Determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF  Establish the project funding required to implement the ESMF requirements  Provide practical information resources for implementing the ESMF. Specifically, it assists the Department of Tourism and concerned partners to:  Identify in a pro-active manner the project activities that can have potential adverse environmental impacts and to develop mitigation measures  Research and select the design and construction practices that are cost-effective and address upfront identified adverse impacts  Define the role of communities at different stages of the project  Achieve the project development objectives. This document will be updated as required during the implementation of the project to reflect any changes to proposed project investments or World Bank policies. Key Steps The ESMF is a framework that guides the Department of Tourism in the preparation of environmental, social and cultural heritage impact assessments and management plans that guide the development, management and oversight of works under the project, while ensuring sensitivity to environmental, social and cultural heritage concerns. The key steps involved in preparing such assessments and plans are outlined below and detailed procedures required for each of these steps are described in section 5: i. Screening and category classification. ii. Impacts identification and analysis of alternatives. iii. Stakeholder identification and gathering of baseline data. iv. Development of mitigation measures and actions. v. Public consultation and disclosure. vi. Review and approval. vii. Conditionality and contractual obligations. viii. Monitoring. ix. Reporting. In addition, the ESMF presents the typical potential impacts on the environment, social groups and cultural heritage. It also lists all key legislation and regulations that may apply to the project. Specific templates and further guidance on the safeguards and regulatory framework are provided in the annexes. ESMF Consultation and Public Disclosure Following the participatory methodology employed in the project preparation, this ESMF also benefited from the insights and suggestions of key government agencies and concerned stakeholders. Public consultations were carried out in core project areas, namely Agra and 3 Mathura, to get feedback and suggestions, especially from local stakeholders on the draft ESMF1. To ensure wider access to the ESMF and productive discussions, the draft version of this ESMF was translated into Hindi and was disclosed on websites, main newspapers in the state and placed with the offices of the nodal agencies prior to the consultation meetings. The minutes of the meetings have been prepared by the Department of Tourism highlighting the key discussions and issues raised by the stakeholders (see Table 1 and Annex 14). This revised version of the draft ESMF document assessed and incorporated those suggestions. This version of the ESMF also incorporates extensive comments received from the World Bank project team and safeguards unit. Table 1 - Summary of ESMF Consultations Date Place Number and type Issues raised How issues have been of participants addressed in ESMF 15 (Communities in Main issue relates to The ESMF has an Entitlement Kachhpura Slum) land right as almost all framework which addresses the More than 25 Kachhpura is on state issue of non-titleholders. In 01-05- Agra (communities near gov. land. Community case of involuntary land taking 2015 11 Step Monument) is aware that dept. is the non-titleholders will be planning to take their enumerated and will be assessed agriculture land for its as per the provisions given in projects. the Framework. 12 (Vendors near Possible livelihood loss At the subproject level, a Mehtab raised in case of any SIA/EIA will be carried out Bagh and Shahjahan construction projects upfront prior to technical Park) near these monuments. drawings to identify and assess More than 50 Issues of Taj East adverse impacts. A mitigation 03-05- Agra (Tajganj drain, household toilets plan, if and as required, will be 2015 communities) and drinking water prepared at the subproject level facilities. in line with the ESMF Entitlement Framework. 4 (Farmers residing Families are aware that At the subproject level, a at the land allocated the land is designated SIA/EIA will be carried out for Braj Haat) for Braj Haat. They upfront to identify and assess raised issue of their adverse impacts. A mitigation loss of livelihood due to plan will be prepared, as 02-05- Mathura resettlement. required, at the subproject level 2015 10 (Vendors on the Possible displacement in line with the ESMF Entitlement road leading to as part of project Framework. Bihari ji Temple) implementation. 3 (Shop owners near Issue raised on At the subproject level, a Bihari ji Temple) inclusion as there are SIA/EIA will be carried out 2 (Priest at Bihari Ji no proposals for upfront and prior to technical temple) permanent shop drawings in order to identify and owners near the assess adverse impacts. A temple. There is lack of mitigation plan, as required, will toilets/shed for these be prepared at the subproject stakeholders. level in line with the ESMF 1 Consultations were also conducted in Varanasi and Sarnath, given the project’s initial scope that included destinations in the Buddhist Circuit. Activities in these destinations may be implemented in subsequent phases of this project. 4 More than 40 Lack of basic facilities Entitlement Framework. (Communities) i.e., sanitation, Subproject scope is not yet drainage, waste defined. In case of relocation, management etc in the subproject will assess the degree village. of impact and each displaced family/business should be assisted as per the ESMF Entitlement Framework which has provisions for assisting displaced families and economic losses. The ESMF addresses the issue of inclusion. The issue of inclusion and sheds for drivers will be addressed at the time of DPR preparation of subprojects. 02-05- Mathura DFO, Range Officer, Communities residing SIA and EIA will be carried out 2015 Mathura near forest areas and at the subproject level to identify their effective potential negative impacts and rehabilitation was address environmental concerns raised. It was along with social issues; and emphasized that any mitigation plan will be prepared activity related to forest in line with the agreed ESMF and areas should be its Entitlement Framework. implemented by Forest Dept. Mathura CDO Mathura. Issues of traffic and A Traffic management plan transport management around the tourist areas in both in Mathura and cities could be part of the Vrindavan are critical planned tourism development and very important to plan for the region. be addressed. Mathura Secretary, Chief The area near Bihari ji Stakeholder mapping will be Engineer- Mathura temple is highly carried out during DPR Vrindavan congested and includes preparation and stakeholder Development multi-stakeholders. concerns will be considered prior Authority. Therefore the official and during the design stage of suggested to consult the sub project. Revitalization of each of them while kunds is one of the planned planning subprojects. subprojects under the project as Revitalization of water already discussed with local in Kunds should be stakeholders during project taken up in the project. preparation. 05-05- Mathura 35 (Multi- Issues raised on the The ESMF provisions as 2015 stakeholders) management of work applicable will be added to key on ground effectively contract documents. and the provisions of ESMF to be integrated in the contracts of the contractors hired. 01-05- Agra Vice Chairman, Issues such as multiple The Operation Manual of the 2015 Secretary, Chief departments and project clearly outlines the Engineer, Accounts overlapping of roles project management framework. Officer- and responsibilities Agra Development were raised. The Authority. functioning of TSUs is important as the 5 experts' direction and inputs shall be needed to achieve the overall goal of pro poor tourism improvement and management effectively and efficiently. Tourist Policemen Issues related to lack of Capacity building of existing proper equipment and tourist police officers and sufficient man power volunteers will be carried out as including women police. part of this project. Hiring of police officials is beyond the scope of the project. 05-05- Agra 19 (Multi- Overall monitoring of Each subproject will require an 2015 stakeholders) the project along with implementable Operation and maintenance of assets Management prior to its created by the projects financing. During the project is important. preparation ICT based monitoring and feedback mechanism will be established, as appropriate, which will be accessible to all. 6 2. PROJECT SCOPE AND INSTITUTIONAL ARRANGEMENTS 2.1 Project Background Country context India has some of the greatest wealth in tangible and intangible heritage. As a powerful economic driver, its heritage has had undeniable positive implications. From subsistence practices and handlooms to precision engineering and a reputable steel industry, India’s economy has long relied essentially on its cultural assets, expressed through the creativity and adaptation of its indigenous industries, traditional skills and built heritage. As a socially invaluable endowment, heritage also has vast noneconomic development impacts. Women’s empowerment—as sources and transmitters of much local knowledge and cultural practices – and youth employment are at the core of associated creative industries. They are instrumental in leading to appreciation of differences and a renewed sense of identity and stronger social compacts, thereby increasing communities’ inclusion and generating economic vitality for heritage towns and historic areas. As endogenous assets, India’s heritage has provided essential services to areas, towns and communities – including reliable rainwater harvesting systems (kunds), shelter and places of worship, to mention a few. Most ancient Indian towns were planned and built applying what are considered today as advanced notions of “sustainable urban growth” by designing walkable and compact use of land through mixed-use development, and promoting the preservation of natural and cultural resources and open spaces at the core of their strategies for cities’ livability and socioeconomic vibrancy. Despite its wealth and strong related socioeconomic impacts, the reality is that India has been unable to harness the power of its heritage in a way that drives inclusive growth and reduces poverty. In practice, the economic benefits that have been generated from its heritage, especially linked to tourism – one of the main economic sectors associated to heritage – has had little trickle-down effect on host communities and the assets themselves. Much of the value from tourism expenditure is retained by transport and accommodation service providers, who tend to both be located outside the heritage-rich tourism attractions they explore, and insulate their clients from the surrounding communities. At the broader level, the World Economic Forum’s Travel and Tourism Competitiveness Report for 2011 ranked India 68th out of 139 countries on overall tourism competitiveness despite being ranked 19th in terms of touristic resources. India’s tourism, in spite of its assets, only ranked 36th globally in terms of international arrivals, 39th in international tourism receipts, and 54th in terms of expenditure per visitor. The state of Uttar Pradesh best exemplifies this paradox. State context Uttar Pradesh – India’s biggest tourist draw, containing some of the country’s most iconic heritage and annually attracting millions of devotees and visitors – remains one of India’s most lagging states. UP is the fourth largest and most populous state with over 199 million inhabitants, and is home to the emblematic Taj Mahal, to the second ancient living city in the world – Varanasi – located on the banks of the sacred Ganges, and to two of the world’s four most sacred Buddhist sites – Sarnath and Kushinagar – to mention a few of its heritage assets visited and worshipped by millions annually. In 2011, the state attracted 155 million domestic and 1.8 million international visitors out of 748 million domestic and 6.2 million international tourists visiting India, who contributed a total of USD 6 billion to Uttar Pradesh’s economy in the same year. Despite this unique endowment, Uttar Pradesh remains India’s third most lagging state, with a 37.7 poverty rate. Currently, over 50 million people live below the poverty line. The state has one of the lowest per-capita incomes at US$445 per annum compared to the national 1 average of US$922 per annum. It also lags behind most Indian states across a number of human development indicators, such as literacy and infant mortality. Specifically in terms of tourism, despite its staggering numbers, the majority of earnings have been captured by airlines, travel agencies and tour operators. Closer site-level data indicates that Agra, the Braj region and the Buddhist Circuit, which contain some of India’s and Uttar Pradesh’s prime tourist destinations and greatest wealth of heritage assets, have some of the state’s highest poverty rates. For instance, its most iconic heritage asset and India’s most significant tourism draw, the Taj Mahal in Agra, is surrounded by more than 20 slums with crumbling infrastructure and services, and associated low living standards – a lost opportunity for inclusive poverty reduction. The challenge A combination of ineffective approaches and practices are inhibiting Uttar Pradesh’s tourist destinations from leveraging their unique cultural and natural assets as endogenous sources of inclusive growth and poverty reduction through pro-poor tourism development. This is due to:  A tourism vision mostly centered on serving the needs of international tourists.  Ad-hoc planning, investments and institutional fragmentation.  Poor site management, threatening heritage and reducing visitor satisfaction and retention.  Policy approaches hindering communities from reaping the benefits of tourism development.  Infrastructure gaps as well as subpar connectivity, affecting visitors and poorer segments of the population to a greater extent.  An ineffectively developed and restrictive regulatory, business and investment climate, stunting private sector investment. Pro-poor tourism and an area-based approach The project supports the state’s plans for restructuring its tourism sector in a pro-poor manner with a view to increasing benefits to local communities and improving the management of its tourism destinations. Many developing countries have recognized pro-poor tourism as an effective means of reducing poverty and as a driver for more inclusive economic growth, as well as a means of contributing to better stewardship of heritage assets. Tourism’s pro-poor potential relies on the fact that, when well-planned and managed, tourism is consumed at the point of production, is labor intensive, and can finance basic services in backward areas often overlooked by traditional tourism development schemes. At its core, the project emphasizes the government’s key role in structuring and regulating tourism development for its adequate growth in a pro-poor manner. Experience shows that the greatest impediment to pro-poor benefits from tourism is not the type or size of tourism, but the way the tourism sector is structured, its approach to development, supply chains, linkages and expenditure reach. Governments also have a central role to play in removing bottlenecks to critical private sector investments in tourism through adequate policies, regulations and focused public investment. The pro-poor approach adopted by the project also aims at catalyzing the impact of key sectors in a given area, such as accessibility/connectivity, environmental preservation, asset management and business development on local communities. The project will do so by promoting an integrated area-based approach in which tourist destinations and their iconic 2 heritage assets are planned, promoted, served, stewarded and linked geographically. This area- based approach also allows for improved understanding of a given area’s potential and linkages with other industries, the strengthening of the skills of the local population, and the promotion of small-scale entrepreneurship, especially amongst poor women and youth. 2.2 Environmental and social baseline information For baseline data on the overall environmental and social contexts in the state of Uttar Pradesh, see Annex 2. 2.3 Project Objective The Project Development Objective is to increase tourism-related benefits for local communities in targeted destinations. 2.4 Project Components The project has four proposed components: 1. Component 1: Destination Planning and Governance (US$ 3.5 million) aims to test new approaches and establish the institutional structures, policies and coordination mechanisms necessary for bringing together the public and private sectors and local communities for effective destination-level tourism planning and governance. It will achieve this by providing a combination of advisory and technical assistance and financing for (i) the participatory formulation of destination-level tourism development plans for selected destinations; (ii) support to the refinement of branding and promotion strategies for target destinations; (iii) support to public-private dialogue and the strengthening of public, private and community institutions involved in the tourism sector for coordinated destination management and investments; (iv) the improvement of the state visitor information system; and (v) and training of individuals and groups employed in the tourism sector. 2. Component 2: Tourist Products Development and Management (US$ 35.8 million) aims to enhance the tourist experience while simultaneously contributing to improving local living conditions and livelihood opportunities by transforming existing tourist “attractions” into tourist “products” that incorporate local communities both physically and economically. Activities under this component include advisory and technical assistance and financing for (i) the enhancement of public areas and the surroundings of current main attractions; (ii) the provision of interpretation and information through visitors centers and signage; (iii) the rehabilitation of destination-level products and diversification of activities beyond monuments sightseeing; (iv) the provision of facilities and services for tourists and local communities alike, such as drinking water, shaded rest areas, toilets; and (v) the improvement of access to main sites and tourist products and their adjacent communities. 3. Component 3: Support to Local Economic Development (US$ 13.2 million) aims to improve the linkages of those involved in the productive and creative economies with the tourism value chain in the project target areas by providing advisory, technical assistance and financing for (i) mapping of local productive and creative industries and support to business development and tourism service providers with the highest pro-poor impacts; (ii) the provision of training, information, tools and infrastructure for business development, production and marketing within the tourism value chain; (iii) enhancement and diversification of skills; and (iv) promotion of locally produced goods linked to tourism products. 3 4. Component 4: Project Management (US$ 4.5 million) aims to provide the necessary technical, advisory and financial support for the adequate implementation, management and coordination of the project using country system through (i) the establishment and operation of a State Project Coordination Unit (SPCU) at the state Department of Tourism in Lucknow and the hiring of relevant technical specialists as Technical Support Units (TSUs) to support the Development Authorities in implementation; (ii) the development of a project monitoring and information system; and (iii) project communication. 2.5 Project Potential Activities and Investments (Subprojects) The following potential subprojects may be financed under the project: Agra  Tourism Development Plan  Branding and promotion (“Agra beyond the Taj”)  Support to public-private dialogue  Institutional strengthening  Improvement of visitor information systems  Training of individuals and groups employed in the tourism sector  Revitalization of Kachhpura and Mehtab Bagh area  Revitalization of Shahjahan Park and walkway between Taj Mahal and Agra Fort  Riverfront development and basic service provision from Ram Bagh to Mehtab Bagh (DPR preparation)  Visitor Centre and parking rehabilitation at West Gate of Taj  Taj East Drain Improvement (construction of sewerage treatment plant in Kachhpura)  Signage improvements Braj Region  Branding and promotion for Braj region  Support to public-private dialogue  Institutional strengthening  Improvement of visitor information systems  Training of individuals and groups employed in the tourism sector  Area-based improvement of Banke Bihari temple area  Revitalization of kunds along the parikrama  Development of a Center for Living Traditions Some proposed subprojects require further studies for either the definition of their exact location or the specific scope of investments. These are being sequenced and will be carried out throughout the project implementation. This ESMF will further guide these analyses and subprojects detailing. 2.6 Roles and Responsibilities of Key Stakeholders The Department of Tourism is the ultimate responsible body for guaranteeing the adequate application and monitoring of the safeguards policies of the World Bank under the project. The following are the key agencies and their roles and responsibilities for the project implementation:  Project management and coordination agency at state level: The Department of Tourism is the agency responsible for the overall management and coordination of the 4 project. It is supported by a State Project Coordination Unit (SPCU) in Lucknow and Technical Support Units (TSU) to be located in selected project target areas. The SPCU in Lucknow is responsible for ensuring all resource use, monitoring, and reporting functions are in compliance with defined state and central governments as well as World Bank fiduciary, safeguard and accountability processes and standards. The TSUs will be housed in the respective implementing entities in selected project target areas and will support and work directly with them in areas as diverse as procurement/contract management, civil works execution and supervision, and safeguards.  Project implementing entities at destination level: The existing Development Authorities in Agra (ADA) and Mathura-Vrindavan (MVDA) are the project implementing entities. 5 3. POTENTIAL ADVERSE IMPACTS OF SUBPROJECTS The overarching goal of the project is to contribute to improving living conditions and increasing income opportunities for the poor through enhanced tourism product development. The project aims to do so by generating improvements in basic service delivery, tourism-related infrastructure, income-generation opportunities and the general environment for poor people in and near the project target areas, ultimately benefiting them, as well as tourists, in a positive and long-term way. Such processes and improvements may cause some disruption in the local area. Below is a list of activities and issues which may give rise to negative impacts on the environment, social groups and cultural properties supported under similar projects. To ensure these are identified and mitigated or avoided as early as possible, potential adverse impacts at the subproject construction/rehabilitation/restoration phase and during operations and maintenance phase must be considered in the process of the subproject preparation and later implementation. Based on the lessons learned from similar projects implemented in India and worldwide, the Department of Tourism prepared an exhaustive list of potential adverse environmental, social and cultural heritage impacts that subprojects under the project may trigger. These are presented below for ease of reference and further action by the project’s coordination unit, implementing agency, implementing entities, and partners. Environment Generally, the type of civil works anticipated under the project will involve demolition and new construction; provision of basic services; rehabilitation, restoration and/or maintenance of existing infrastructure, historic properties/sites and public areas; construction of new or extended facilities on existing land or historic properties/sites; adaptive reuse of historic buildings; signage and interpretation; equipment replacement/installation; public amenities; landscaping and tree plantation. For the construction/rehabilitation/restoration phase, the general environmental issues are:  Trees may need to be moved or removed in order to rehabilitate historical structures/sites or touristic areas or in order to bring the areas to international and/or national standards. The project will ensure that no native species are impacted as a result of the project activities.  Incompatible new construction attached to historical structures or inside historic sites may be demolished in order to rehabilitate historical structures/sites or touristic areas or in order to bring the structures/sites/areas to international and/or national standards.  Materials supply – environmental compliance of suppliers dust, and material spillage/loss during transport, delivery and storage.  Noise during transport, delivery and construction.  Dust during transport, delivery and construction.  Management of solid wastes (non-hazardous): collection, transport, and disposal of any debris.  Emissions from construction equipment.  Worker and public health and safety.  Disposal of packaging waste.  Traffic management.  Chance find of cultural artifacts or archaeological items. 6 For the operation and maintenance phase, the main environmental issues are:  Solid waste management, including handling and final disposal of waste generated by visitors.  Wastewater management.  Noise from new equipment (i.e., air conditioning etc.).  Management of hazardous materials. Social Though it is envisaged that subprojects will involve very generic social issues that are manageable, there might be some subproject activities proposed in due course, that may carry a higher social risk and/or disruptions and/or impacts. The possibility of such issues arising in the subprojects sites will be identified during the subproject screening process. For the construction/rehabilitation/restoration phase, the main potential social issues are:  Loss of private land: No public and private land taking is foreseen under this project.2 To the extent possible, the project will not acquire any private land parcel.  Relocation of structures: Structures, such as street vendor stalls, may need to be moved or relocated in order to rehabilitate historical structures or touristic areas or in order to bring the areas to international and/or national standards. Removal/displacement of vendor stalls or small businesses may have adverse impacts with regards to security of said vendors. This can especially impact women vendors or small business owners. This will require action at the subproject level.  Loss of and/or access to public, common and/ or private property: Fences may need to be erected to protect current public grounds, and they could block access to people’s lands or assets (including crops). Vendor stalls may need to be moved to be outside or inside the fence (which could reduce the customer base of the vendor).  Inconvenience during construction: There could be temporary impacts during construction activities including dust, noise and increased vehicle traffic, and lighting during nighttime hours.  Loss of livelihood or sources of livelihood: There may be negative economic impacts on small businesses and individuals informally working in the structure/site/area to be rehabilitated. Vendors or small businesses removed or displaced from their original locations may be unable to return to these once they have been rehabilitated, thus facing significant loss of income. This requires action to avoid adverse impacts, or to restore livelihoods under the applicable resettlement instrument. For the operation and maintenance phase, the main potential social issues are:  Unequal benefits from the subprojects to the detriment of women, youth and other vulnerable and cultural groups, potentially resulting in intra-community conflict.  Increase in violence and harassment in public areas which can negatively impact economic activity of women, youth and other vulnerable and cultural groups.  Health issues if solid waste from construction is not properly disposed of; emissions from construction equipment; noise and dust during construction. 2 In case private land may need to be acquired during the project implementation, the project will first screen and assess any potential adverse impact, and thus mitigate losses and assist subproject affected persons as per the agreed entitlement framework given in this ESMF. 7  Conflict between construction workers and the community.  Inconvenience to the community if traffic flow is not managed during implementation.  Additional impact on community infrastructure due to influx of labor force. Cultural Heritage Negative impacts on cultural properties generally fall into the following broad categories: damage, destruction, wear, removal, burial, modification, change of use, neglect, denial of access, and desecration. Each of these impacts may, in turn, arise from a variety of causes. The types of cultural properties typically impacted are shown below in italics. The cultural properties impacted are not necessarily located on the subproject construction or engineering sites, and in some cases may be far away. For the construction/rehabilitation/restoration phase, the general issues are:  Work camps, if any: o Vandalism, theft and illegal export of movable cultural property, and of pieces of monumental cultural property accessible directly or indirectly to laborers. o Desecration of sacred sites.  Excavation, construction and soil compaction: o Direct physical damage to, or destruction of, human-made, natural, and buried cultural property on site.  Construction traffic: o Vibration, air, soil and water pollution, leading to damage to natural and human- made cultural property in the vicinity.  Use of heavy construction equipment: o Vibration, damaging built cultural property in the vicinity. o Soil compaction, damaging buried cultural property (archaeological and paleontological) on site, and damaging pipelines and drains serving built cultural property in the vicinity.  Creation of large or linear construction sites: o Barrier effects causing difficulty or denial of access by community to living-culture cultural property.  Resettlement: o Denial of access to all types of cultural property formerly used by community. o Abandonment of all types of cultural property, leading to neglect. o Damage/destruction of man-made, natural or buried cultural property in resettlement sites.  Waste disposal or landfill: o Burial or damage to natural, buried or underwater cultural property. For the operation and maintenance phase, the primary issues are:  New and upgraded roads: o Increased human traffic enjoying improved access to cultural property of public interest leading to increased wear and damage, sacrilege of sacred sites, theft and vandalism of movable and breakable cultural property. o New highways cutting off access to living-culture cultural property by residents of settlements on other side of the highway. o Increased air pollution and vibration from traffic causing damage to man-made cultural property, particularly monuments and buildings. 8 o Increased noise pollution interfering with enjoyment of cultural property such as tourist destinations, historic buildings, religious establishments and cemeteries. o In scenic areas, obtrusive highways having a negative visual impact on the landscape. o Roads and bridges which themselves constitute cultural property being damaged by increased traffic.  Induced development: o Induced development leading to increased wear and damage, sacrilege of sacred sites, theft and vandalism of movable and breakable cultural property, and damage to the aesthetics of scenic landscapes and townscapes.  Poor drainage: o Resultant erosion leading to exposure, damage and looting of archaeological cultural property.  Factories and other facilities using heavy equipment: o Increased noise pollution interfering with enjoyment of cultural property such as tourist destinations, historic buildings, religious establishments and cemeteries. o Damage to the aesthetics of scenic landscapes and townscapes.  Urban development: o Changes in demography or settlement patterns leading to decay of inner cities and abandonment and neglect of older residential areas containing built cultural property such as vernacular architecture. o Developments which are out-of-character with their surroundings diminishing the aesthetic value of the townscape, decline in property values and ultimately, neglect of built cultural property in the area. o Damage to aesthetics of scenic streetscapes.  Cultural heritage restoration: o Change of status, ownership or use resulting in altered settlement patterns and ‘gentrification’, leading to abandonment of the cultural property by the original users. o Use of unsympathetic materials or over-restoration resulting in negative impacts on the townscape. o Increased use leading to excessive wear and damage to built cultural property.  Cultural heritage inventorying: o Inventorying, mapping and publishing of cultural property encouraging theft and illegal trafficking of movable cultural property. o Introduction of excessively strict historic buildings code leading to difficulty in adaptive reuse, resulting in abandonment and neglect of historic buildings.  Land or protected areas management: o Change of status, ownership or use of land resulting indirectly in neglect, damage, destruction or change of use of all types of cultural property;  Increased pressure on land: o Increased pressure resulting in land-clearing and deforestation activities, causing damage to all types of cultural property. 9 4. PRINCIPLES GUIDING ACTION: SAFEGUARDS AND LEGISLATION 4.1 Principles Guiding Action To ensure lasting development goals of poverty reduction are achieved, the project will:  Ensure an environmentally sound and sustainable development in the target areas and communities it supports through the application of a precautionary approach to natural resources management.  Support the protection, maintenance and rehabilitation of natural habitats in its target areas.  Support the preservation of cultural property, historical, religious and unique natural value, including remains left by previous human inhabitants and unique environment features, as well as the protection and enhancement of cultural properties within its target areas.  Avoid or minimize involuntary resettlement where feasible, exploring all viable alternatives for project design; assist displaced persons in improving their living standards; foster community participation in planning and implementing resettlement; and provide assistance to affected people, regardless of the legality of land title, in its target areas.  Protect the dignity, right and cultural uniqueness of indigenous people and minorities in its target areas; ensure that they do not suffer due to development and that they receive social and economic benefits.  Apply a gender lens throughout the design and implementation of project activities and mitigate adverse impacts to women, particularly women entrepreneurs. The project also follows the Ministry of Environment, Forest and Climate Change, Government of India, guidance on ecologically sensitive zones for subprojects that may have significant, irreversible adverse impacts on a larger area beyond the project activities (see Annex 3). 4.2 World Bank Safeguards Triggered by the Project Given that the Work Bank provides core financing for the project preparation and implementation, its safeguard policies apply. Due to the nature of the project, all subprojects to be financed under it cannot be determined upfront. Proposed subprojects will be further developed after the approval of the project. For further guidance, Table 2 presents the probable impacts of proposed subprojects and the safeguards policies initially triggered by the project. 10 Table 2 - Safeguards that apply to the project Safeguard Policy Explanation OP/BP 4.01 OP 4.01 is triggered because the project will upgrade or provide basic services Environmental and infrastructure in touristic areas and near cultural and natural heritage sites. Assessment Impacts envisaged may relate to the execution of these civil works and their temporary impact, broadly defined, on the air, water, soil, ecosystems and human health. The project hence has been categorized as ‘Category B’ as per OP 4.01. OP/BP 4.11 OP 4.11 is triggered because the project will upgrade or provide basic services as Physical Cultural well as promote tourism in communities living and/or working near cultural and Resources natural heritage sites. Impacts envisaged may relate to the (i) rehabilitation/restoration of cultural properties or cultural landscapes and/or (ii) execution of civil works in surrounding communities, where lesser known monuments may be present. The possible discovery of archeological sites or random findings during the rehabilitation of cultural landscapes and/or the execution of civil works will require measures to manage chance finds. OP/BP 4.12 OP 4.12 is triggered as the project will have temporary adverse impact on Involuntary vendors while upgrading or providing basic services near cultural and natural Resettlement heritage sites in some densely populated or visited areas. Temporary impacts are expected to happen during construction phase, especially during the improvement of access roads, construction of tourist amenities, provision of basic services (i.e., toilets) to surrounding communities, and upgrading of public spaces. A total of 922 vendors will be temporarily shifted during construction phase. OP/BP 4.04 Some of the project activities will promote the use of native species and potential Natural Habitats long term recovery of modified and/or degraded environmental areas, such as kunds and parks. No anticipated adverse impact is foreseen. In addition, the Occupational Health and Safety (OHS) guide lines of The World Bank Group also apply to the project activities. Section 5 onwards provides a step-wise description of how to address and comply with the triggered World Bank safeguards policies during project implementation through impact assessments and the mandatory preparation and implementation of quality environmental, social, and cultural heritage management plans, as applicable, as part of subprojects technical detailing and execution. 4.3 Government of India and State-level Legislation and Regulations In addition, as per the Government of India procedures on externally aided projects, the project and its subprojects also must be prepared and implemented in full compliance with the national legislation, regulations and standards governing protection and management of the cultural and natural heritage of the country, social development, and environmental management. Specific state and local level standards and regulations also apply based on the project location and nature of its proposed investments and activities (subprojects). The key legislation and standards applied to this project are further discussed below in Table 3. 11 Table 3 - Key legislation that may apply to the project Act/ Policy Year Objective Main stipulations Applicability to Responsible the project Agency Cultural Heritage – Government of India Ancient 1958 Declares certain Monuments are “protected” area. Yes, as Ministry of Culture; Monuments and monuments/sites as being of appropriate. NMA with Archaeological “national importance”. 100m radius is “prohibited” area – no construction Approximately 780 ASI Sites and Remains Stipulates conservation of or reconstruction. Repairs allowed. monuments/sites Act cultural and historical remains in UP are listed found in India. 200m radius is “regulated” area (structures can be under the Act. Amended 2010 constructed by archaeological officers with due sanctions from competent authority). Protection, maintenance and conservation managed by Archaeological Survey of India (ASI) Ancient 1904 Gives central government the Specifies agreements to be made between GoI and Possibly, if any Ministry of Culture Monuments authority to protect and monument/site owner for transfer of rights for subproject Protection Act conserve monuments, protection. supports privately particularly those privately owned monument. owned, through acquisition of Gives GoI right to intervene in potentially harmful rights. activities near site (e.g. mining, quarrying). The Antiquities 1972 To ensure registration of Registration of antiquities/remains/art is Possibly, if any Directorate of and Art Treasures antiquarian remains in personal mandatory. subproject involves Culture, Govt. of Act possession of individuals and chance find. UP. institutions. Cultural Heritage – Government of Uttar Pradesh Uttar Pradesh 1956 To declare sites and remains as Approx. 100 sites/monuments protected under this Yes. In case any Directorate of Ancient and protected. Act. Maintenance, protection and conservation are subproject located Archaeology, Govt. Historical the responsibility of the Directorate of at or near of UP Monuments and Archaeology, UP. protected Archaeological monuments/sites. Sites & Remains Preservation Act 12 Act/ Policy Year Objective Main stipulations Applicability to Responsible the project Agency Uttar Pradesh 1973 To serve as a standard template Yes. Development Mathura-Vrindavan Model Regulations for UP Development Authorities Lists interventions that are i) prohibited; ii) Authorities will be Development and Byelaws for to ensure any interventions are permissible with the Development Authority’s main implementing Authority; Agra Conservation of sensitive to heritage value. authorization; iii) no permission required. entities. Development Heritage Sites Authority; etc. (Uttar Pradesh Urban Planning and Development Act, 1973) Cultural Heritage – UNESCO Operational 2013 To facilitate the implementation Requires the establishment of boundaries, buffer Possibly, if any Ministry of Culture Guidelines for the of the World Heritage zones (where necessary), management systems subproject is with ASI; NMA Implementation of Convention, and sustainable use for effective protection of located near listed the World Heritage listed sites and to maintain their “Outstanding sites (e.g. Convention Universal Value”. TajMahal) and may impact In India, 16 cultural and 5 natural sites are listed management under the Convention. systems. Tourism National Tourism 2002 To increase the number of To focus on welcoming, information provision, Yes. The policy Ministry of Tourism, Policy domestic and international facilitation, safety, cooperation, infrastructure objectives are in Govt. of India tourists. To diversify the Indian development, and cleanliness. sync with project tourism product and objectives. substantially improve the quality of (tourism) infrastructure, marketing, visa arrangements and air-travel. Tourism Policy of 1998 To leverage a diversified Projects must improve and diversify the tourism Yes. The Department of Uttar Pradesh tourism sector for economic product base with a focus on adventure, religion objectives of the Tourism, Govt. of benefit of local populations. and monument-based travelers, while economically policy are in sync Uttar Pradesh benefiting local populations and increasing with project employment opportunities objectives. 13 Act/ Policy Year Objective Main stipulations Applicability to Responsible the project Agency Social Right to Fair 2013 To ensure rights of displaced Fair compensation for acquisition of immovable Yes. In case of Revenue Compensation and populations in the case of land assets; Resettlement of displaced population due acquisition of land Department. Govt. Transparency in acquisition. to land acquisition and economic rehabilitation of and /or of Uttar Pradesh Land Acquisition, all those who are affected due to private land resettlement Rehabilitation and acquisition. Resettlement Act Uttar Pradesh 2015 To ensure speedy land purchase Land to be purchased in mutual agreement with Yes. In case of Revenue Policy on direct in agreement with land owner land owner so that land owner gets the fair requirement of Department, Govt. purchase of land thus protecting the rights of compensation for the land and rehabilitation private land parcel. of Uttar Pradesh of through mutual land owner assistance in shortest possible time. agreement Street Vendors 2014 To regulate street vending while Local agencies must regulate vending through a Yes. In case Town Vending (Protection of ensuring rights and stating Plan, including relocation/eviction rules, vendor vending areas are Committees Livelihood and obligations of street vendors rights (e.g. certificate of vending) and vendor close to or at the Regulation of obligations (e.g. maintain cleanliness of area). location of Street Vending) subprojects. Act Code of Conduct 2010 To protect basic rights, Code encourages tourism activities to be Yes. Code’s Ministry of Tourism, for Safe and particularly of women and undertaken with respect to basic rights like dignity objectives are in Govt. of India Honorable Tourism children, in tourism activities. and safety, supports prevention of prostitution and sync with the exploitation and cultural and social intolerance project’s principal which could increase vulnerability to crime. guiding actions. Environmental Environmental 1986 To protect and improve the Prevention, control, and abatement of Yes, some specific MoEF. Govt. of (Protection) Act overall environment. environmental pollution. Gives central government permissions/ India; Central rights to monitor and test for environmental clearances may be Pollution Control pollution, and if necessary penalize for required under the Board; UP State infringements. Act, e.g. Pollution Control permission for Board; Central and extraction of Regional Ground ground water for Water Boards 14 Act/ Policy Year Objective Main stipulations Applicability to Responsible the project Agency use in construction activities, from State Ground Water board. Environment 2006 To provide environmental Projects classified as Category A or B based on Yes, in case any Ministry of Impact clearance to new development spatial extent of potential impact and potential subproject is Environment and Assessment activities following impact on human health and natural/man made categorized as Forests; SEIAA Notification environmental impact resources. Category A requires clearance from Category B assessment Ministry of Environment and Forests. Category B requires clearance from State Environmental Impact Assessment Authority (SEIAA) The Forest 1927 To check deforestation by If any forest land is proposed to be used for non- Unlikely, as no Forest Department, Conservation Act restricting conversion of forest purposes, the user agency needs to get the subprojects are Govt. of UP (for forested areas into non-forested clearances under the Forest (Conservation) Rules, planned in forest land conversion The Forest 1980 areas. 1981 areas below 5 hectare & (Conservation) Act 40% density), MoEF, Regional The Forest 1981 Office and MoEF. (Conservation) Rules The Forest (Conservation) 2003 Rules Wild Life 1972 To protect wildlife through The Act provides for protection of wild animals, Yes, in the case of Chief Conservator. (Protection) Act certain of National Parks and birds and plants and related matters. The Act the rehabilitation Wildlife, Wildlife Sanctuaries. contains specific provisions and chapters on of natural areas Wing, Forest protection of specified plants, sanctuaries and Department, Govt. national parks, etc. of UP and National Board For Wildlife, Govt. of India National Forest 1952 To maintain ecological stability Preservation and restoration of ecological balance Yes, in the case of Forest Department, Policy through preservation and by checking soil erosion and denudation in the subprojects in Govt. of India and restoration of biological catchment areas of rivers, lakes and reservoirs, natural areas Govt. of UP National Forest 1988 diversity. increasing forest/tree cover through massive Policy (Revised) afforestation, meeting requirements of fuel-wood, 15 Act/ Policy Year Objective Main stipulations Applicability to Responsible the project Agency fodder, minor forest produce of rural population, increasing productivity of forests, encouraging efficient utilization of forest produce, etc. Water (Prevention 1974 To control water pollution by Provides for the prevention and control of water Yes, for any UPPCB and Control of controlling discharge of pollution and the maintaining or restoring of subproject Pollution) Act pollutants as per the prescribed wholesomeness of water; creates Boards and involving water standards. assigns functions and powers for the prevention bodies, e.g kunds and control of water pollution. revitalization Air (Prevention 1981 To control air pollution by Act provides for prevention, control and abatement Yes, for any UPPCB; Transport and Control of controlling emission of air of air pollution and establishment of Boards for subproject Department. Pollution) Act pollutants as per the prescribed planning a comprehensive program for this task. involving impact of standards. Collect and disseminate information relating to air air pollution during pollution, lay down standards for emission of air construction/ pollutants into the atmosphere from industrial rehabilitation plants, automobiles or other sources. phases Central Motor 1988 To check vehicular air and noise Vehicles to be used for construction and other Yes. The impact of Motor Vehicle Vehicle Act pollution. purposes need to meet the standards and vehicular pollution Department certificates prescribed as per the Rules, 1989 to during Central Motor 1989 control noise, pollution, etc. construction/ Vehicle Rules 2013 rehabilitation and (Amendment) 2014 phases Rules Seventy Third 1992 To establish rules for Panchayat Enables participation of Panchayat level institutions Yes, especially for Department of Constitution involvement in project in decision-making by broadening the village level any subproject Panchayati Raj, Amendment Act preparation and functions, supporting implementation of located in Govt. of Uttar implementation. development schemes. Panchayat area Pradesh The Act provides for involvement of the PRIs especially, the Gram Sabha/ Panchayat during project preparation and implementation. The Panchayats at the village level will be involved for preparation and implementation of the project. 16 Where relevant, civil works contractors must also obtain the following clearances and/or observe the following laws/regulations before beginning construction/rehabilitation/restoration:  Labor license from Labor Commissioner for the engagement of labor  Workmen’s Compensation Act, 1923 - provides for compensation in case of injury by accident arising out of and during the course of employment  Payment of Gratuity Act, 1972 – gratuity is payable to an employee on satisfaction of certain conditions on separation if an employee has completed 5 years  Employees PF and Miscellaneous Provision Act 1952 – monthly contributions by the employer plus workers  Maternity Benefit Act, 1951 – provides for leave and some other benefits to women employees in case of confinement or miscarriage, etc.  Contract Labor (Regulation and Abolition) Act, 1970 – provides for certain welfare measures to be provided by the contractor to contract labor  Minimum Wages Act, 1948 – the employer is supposed to pay not less than the Minimum Wages fixed by the Government as per provisions of the Act  Payment of Wages Act, 1936 – lays down as to by what date the wages are to be paid, when it will be paid and what deductions can be made from the wages of the workers  Equal Remuneration Act, 1979 – provides for payment of equal wages for work of equal nature to male and female workers and not for making discrimination against Female employees  Payment of Bonus Act, 1965 – provides for payments of annual bonus subject to a minimum of 83.3% of wages and maximum of 20% of wages  Industrial Disputes Act, 1947 – lays down the machinery and procedure for resolution of industrial disputes, in what situations a strike or lock-out becomes illegal and what are the requirements for laying off or retrenching the employees or closing down the establishment  Industrial Employment (Standing Orders) Act; 1946 – provides for laying down rules governing the conditions of employment  Trade Unions Act, 1926 – lays down the procedure for registration of trade unions of workers and employers. The trade unions registered under the Act have been given certain immunities from civil and criminal liabilities  Child Labor (Prohibition and Regulation) Act; 1986 – prohibits employment of children below 14 years of age in certain occupations and processes and provides for regulation of employment of children in all other occupations and processes. Employment of child labor is prohibited in Building and Construction Industry  Inter-State Migrant Workmen’s (Regulation of Employment and Conditions of Service) Act, 1979 – the inter-state migrant workers, in an establishment to which this Act becomes applicable, are required to be provided certain facilities such as housing, medical aid, traveling expenses from home to the establishment and back, etc.  The Building and Other Construction Workers (Regulation of Employment and Conditions of Service) Act, 1996 and the CESS Act of 1996 – all the establishments who carry on any building or other construction work and employs 10 or more workers are covered under this Act; the employer of the establishment is required to provide safety measures at the building or construction work and other welfare measures, such as canteens, first-aid facilities, ambulance, , etc.  The Factories Act, 1948 – lays down the procedure for approval of plans before setting up a factory, health and safety provisions, welfare provisions, working hours and rendering information-regarding accidents or dangerous occurrences to designated authorities 17  Hazardous Wastes (Management and Handling) Rules, 1989 – govern handling, movement and disposal of hazardous waste  Manufacture, Storage and Import of Hazardous Chemicals Rules 1989, amended 1994 and 2000 – the Rules provide indicative criteria for hazardous chemicals and require occupiers to identify major accident hazards and prepare on-site and off-site emergency plans. 18 5. STEPS FOR COMPLIANCE WITH WORLD BANK SAFEGUARDS 5.1 Introduction To comply with the safeguards, laws and regulations outlined in Section 3, the Department of Tourism will conduct a number of assessments of the environmental, social, and cultural heritage risks posed by the individual proposed subprojects. The findings of these assessments form the basis of an Environmental and Social Management Plan (ESMP), Resettlement Action Plan and/or Gender Action Plan and/or a Physical Cultural Resources Management Plan (PCRMP). These management plans determine the appropriate measures and actions needed to identify, avoid, minimize, and mitigate potential adverse environmental and social impacts of subprojects supported under the project. 5.2 Developing Management Plans The development of the ESMP, RAP, GAP and PCRMP broadly consists of the following key steps: i. Screening and category classification. Upon the definition of the subproject scope, screening is the first step in the process prior to the preparation of any detailed project report and associated technical drawings. The purpose of screening is to get an early on and upstream overview of the nature, scale and magnitude of the potential impacts of the proposed subproject on the environment, social groups and cultural heritage. The screening process also helps in prioritizing the proposed subprojects and where required, start the clearance process in a timely manner. Each subproject is categorized depending on the findings of the screening category classification (Annex 3). ii. Impacts identification and analysis of alternatives. Based on the screening classification, the applicability of the World Bank’s environment and social safeguard policies is established along with Government of India’s and state government’s regulatory requirements. From an environmental perspective, special attention will be given to understanding and supporting the original features of the subproject areas and their ecosystems. From a social perspective, special attention will be paid to vulnerable or disadvantaged groups, including women, who could experience adverse impacts from the proposed subproject more severely than other groups. The screening will also determine any potential adverse or irreversible impacts on cultural heritage. iii. Stakeholder identification and gathering of baseline data. For all subprojects, baseline data describing the relevant existing conditions, such as the physical, biological, socio-economic and physical cultural assets in the subproject area will be collected. Key stakeholders which may be either affected by or influence the proposed subproject will be identified and their specific roles in the subproject assessed. Subproject beneficiaries will be actively involved in the preparation and implementation and oversight operation/maintenance of the subproject activities/investments as detailed in the Project Appraisal Document (PAD). iv. Development of mitigation measures and actions. If a proposed subproject presents risks to environmental, social or cultural heritage aspects of the subproject area, the ESMP, RAP, GAP and PCRMP, respectively, will be prepared which will include mitigation measures to prevent, minimize and mitigate or compensate negative 19 environmental and social or cultural impacts and enhance positive ones3. The ESMP and RAP will also include an Environmental and Social Monitoring Plan to specify how the mitigation measures will be applied and how their application will be tracked. A similar tool will be prepared to monitor the PCRMP implementation. v. Public consultation and disclosure. The project conducted several consultations in its target areas and has already disclosed the ESMF in country both in English and Hindi. The Department of Tourism is responsible for continuing to conduct consultations to disclose, discuss and seek feedback/suggestions on the proposed subprojects including all relevant safeguard documents during project’s implementation stage. Local people potentially impacted by a proposed subproject – as well as others with an interest in it, including NGOs and relevant government agencies will be consulted before and during subproject preparation and implementation to inform the public and seek their insights on the proposed subproject. This will ensure that potential impacts are identified early and together with potentially affected stakeholders. During subproject implementation consultations will take place with affected people to ensure they are properly compensated for impacts experienced.4 vi. Review and approval. The DoT is responsible for final review and approval of any environment and social safeguard documents prepared, to ensure compliance with World Bank policies as well as with any state or central government’s policies and/or regulations. vii. Conditionality and Contractual Obligations. The project will comply with all requirements set forth in the ESMF and safeguard documents. The DoT will ensure that this ESMF and relevant environmental and social safeguard clauses are included in any bidding or contract documents prepared under the proposed subproject. viii. Monitoring. Monitoring will be an integral part of each subproject supervisory work in the course of the project implementation. The Department of Tourism is responsible for ensuring that on-site managers of works contractors are familiar with the management plans and instruct workers/personnel on the compliance with them. The Department’s in- house capacity to carry out the supervisory functions may be supplemented by a project management firm, as required. The project will establish ICT based monitoring and feedback mechanism accessible to all. The checklist in Table 4 below outlines the actions to be undertaken when conducting the assessments and preparing management plans. See the relevant annexes for templates and guidance notes to complement each action. 3 At the time of the latest update of this document (August 2017), all required management plans for first year investments had been prepared. 4 The project is being prepared with meaningful participation of many stakeholders, from central, state and local government officials to representatives of the private sector, experts, religious bodies, visitors, pilgrims and local communities which are expected to benefit from the project activities, but may also experience direct impacts from the construction and operation of the infrastructure and activities to be supported under the project. Stakeholder consultations started at its concept stage. 20 Table 4 - Steps for compliance with World Bank Safeguards Action or Condition Status Next Step(s)/ Requirements 1. Screening & Has the subproject been screened according If no, complete the Subproject Screening Forms (Annex 4). Category to its cultural heritage, social and Classification environmental impacts by the DoT? If yes, include completed Subproject Screening Forms in the Project File. Has the subproject been classified according a) If Category A, no subproject will be financed unless the individual to type, location, sensitivity, scale and the subproject activity is replaced with an element that presents a less nature and magnitude of its potential significant environmental risk (Category B or C) and as per Annex 3 environmental, social and cultural properties guidance. impacts? (Annex 3) b) If Category B, prepare an ESIA as part of detailed project report for the subproject (Annex 5). c) If Category C, beyond screening, no further ESIA action is required. 2. Impacts Environment Identification & Do the screening findings indicate that there If yes, prepare a complementary Environmental and Social Management Plan Analysis of are potential environmental impacts/risks in (Annex 6) according to the specific provisions established in OP/BP 4.01 – Alternatives its areas of influence? Do the subprojects Environmental Assessment and Occupational Health and Safety (OHS) result in adverse environmental impact due to Guidelines of The World Bank Group deterioration in air and/or water quality, (http://www.ifc.org/wps/wcm/connect/9aef2880488559a983acd36a6515bb18/ improper waste management, forest/wildlife, 2%2BOccupational%2BHealth%2Band%2BSafety.pdf?MOD=AJPERES). natural habitats, etc. Social Did the screening findings indicate potential If yes, according to the requirements and procedures of OP/BP 4.12 – adverse social impacts/risks? Does the Involuntary Resettlement, subproject require involuntary taking of land a) Prepare Resettlement Action Plan in line with the Resettlement Policy or impact properties or impact Framework (Annex 7). trees/landscape/crops or result in relocation b) If less than 200 persons affected, prepare Abbreviated Resettlement Action which may affect livelihoods or sources of Plan (Annex 7). livelihoods? c) In any case, a Gender Assessment and Gender Action Plan should be carried out (Annex 8) Cultural Heritage Do the screening findings indicate that: If yes to any of a), b) or c), prepare a complementary Physical Cultural a) Significant excavations, demolition, Resources Management Plan (Annex 9) according to the specific provisions movement or earth, flooding or other established in OP/BP 4.11 – Physical Cultural Resources. environmental changes will be required under the subproject? b) The subproject will be located in, or in the 21 vicinity of, a physical cultural resource site recognized by competent authorities? c) The subproject is designed to support management of physical cultural resources? 3. Stakeholder Environment Identification & From an environmental perspective, the baseline information should cover the Baseline current environmental context in project target areas, including details such as Gathering air quality, water quality, forests, roadside trees, drainage, fauna, wetlands, etc. (to be completed) Social From a socio-economic perspective, the baseline information should be accurate and up-to-date, as rapidly changing situations, such as in-migration of people in anticipation of a project or lack of data on disadvantaged and vulnerable groups within a community, can affect the efficacy of social mitigation measures. Socio-economic studies which are conducted by the DoT and or the implementing entities and/or partners may be used to: (a) understand the socio-economic-cultural characteristics and dynamics of the subproject area, (b) establish the conditions of the people that will be impacted by the subproject, (c) identify events, including potential for conflict, that could affect the adequate implementation of the subproject; and (d) identify opportunities for enhancing subproject development benefits. The Gender Assessment (Annex 8) will support gender-disaggregated baseline data. Cultural Heritage From a cultural properties perspective, the baseline should cover all physical cultural resources that may be affected by the project, including movable or immovable objects, sites, structures and groups of structures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings, and may be above or below ground water. Their cultural interest may be at the local, provincial or national level, or within the international community. Inventories, interviews, surveys, photographs, and other methods of data collection may be used to assess the potential impact of the project on the cultural property. Cross- sectoral and other indirect impacts induced by the project activities should also be considered. 4. Development Do the screening findings indicate potential If yes, of Mitigation risks for the environment, social groups and a) Develop mitigation measures to prevent, mitigate or compensate negative 22 Measures & cultural heritage? the identified impacts and enhance positive ones. To make the measures Actions operational and practical, and to monitor and assess the results, each measure must establish objectives, target population, activities to be carried out, responsible unit or institution to implement it, timetable, and budget. b) Integrate those measures in the Environmental and Social Management Plan which will specify how the mitigation measures will be applied and how their application will be tracked through measurable and monitorable indicators. 5. Public Does the subproject adversely impact local Conduct consultations as outlined in the World Bank Public Consultation Consultation & people and other key stakeholders (i.e. NGOs, Documentation Requirements (Annex 7). If the World Bank is satisfied that Disclosure relevant government agencies)? the public consultation is consistent with country and World Bank requirements, further consultation is needed only if there is a material change to the project and its impacts, and in the interests of good corporate citizenship to inform the public whom the project aims to serve. Has the World Bank’s Involuntary If yes, conduct consultations to disclose the Resettlement Action Plan, and Resettlement Policy been triggered? ongoing consultations with affected people to gather their inputs regarding their compensation entitlements. Consultations should be well documented (who attended, information presented, concerns raised, answers to concerns, etc.) and attached to project documentation. 6. Review & Have all required environment and/or social If yes, Approval safeguard documents been prepared? a) Ensure all documentation is consistent and complies with World Bank policies, in liaison with the World Bank and central and state government’s policies and regulations. b) Ensure any significant issues raised at any public consultation are reflected in the respective safeguard documents. c) Subsequent ESIAs and/or ESMPs will be reviewed and cleared by the World Bank 7. Are elements of the subproject ready to be If yes, Conditionality submitted for tender? a) All management plans (environment, social, cultural heritage, involuntary & Contractual resettlement), as applicable, must be finalized prior to tendering works Obligations packages and included in the tender documentation, so that potential bidders are aware of environmental, social, cultural, etc., performance standards expected from them and are able to reflect that in their bids. Larger scale and discrete mitigation measures shall be included in the Bills of Quantities and priced respectively. b) This ESMF and Environmental Management Guidelines for Contractors (Annex 10) must be part of works contracts and must be implemented by 23 contractors. The DoT is responsible for enforcing compliance with the contract and the applicable management plans. 8. Monitoring Has subproject execution started? If yes, a) DoT must ensure that on-site managers of works contractors are familiar with this ESMF as well as all applicable management plans (environment, social, cultural heritage, involuntary resettlement) and instruct workers/personnel on compliance. b) DoT must request from works contractors timely submission of relevant environmental/social/cultural permits, licenses, and written agreements with local authorities on any relevant issue identified during screening and the ESIA. c) Conduct regular on-site monitoring of civil works area to verify contractors’ adherence to this ESMF as well as the requirements of any applicable management plan (environment, social, cultural heritage, involuntary resettlement), to identify any outstanding environmental issues/risks, and to ensure proper application of the prescribed remedial actions. In case of recorded incompliance with management plans, DoT should instruct contractors on the corrective measures and closely monitor progress. 9. Reporting Are subprojects’ works underway? If yes, a) Generate monthly monitoring reports by filling out Field Monitoring Checklists (Annex 11) reflecting quality and extent of the application of mitigation measures. Information provided in checklists should be supported with photo material taken on-site and dated. b) In quarterly progress reports on project implementation (to be shared with the World Bank), include more comprehensive, analytical information on the status of environmental performance, including overview of deviations/violations of management plans encountered over the report period, instructions given to the works contractors for addressing any weaknesses or identified issues, and follow-up actions on the revealed outstanding matters. c) Any accidents, emergencies, and unforeseen issues which may occur in the course of works and directly or indirectly affect environment, physical cultural resources, personnel of works providers, and or communities residing in the vicinity of a project site must be reported promptly to the World Bank, regardless of reporting timelines. 24 6. IMPLEMENTATION AND MONITORING 6.1 Institutional Arrangements for Safeguards Management under the Project The project will finance dedicated teams to be based in Lucknow and in selected project target areas responsible for managing, coordinating and monitoring the execution of its subprojects. The State Project Coordination Unit (SPCU) in Lucknow is located in the Department of Tourism and is supported by existing agencies (the Development Authorities in selected target areas) and competitively selected decentralized teams (Technical Support Units – TSUs) embedded in the Development Authorities, in principle in Agra and Mathura. The TSUs will support the respective Development Authorities, the project implementing entities, in the day-to-day the execution of respective subprojects. A Social Development Specialist and a Heritage/Landscape Conservation Specialist have been hired, and an environment specialist is being hired by the SPCU to coordinate, review, support and monitor all respective safeguards aspects of the project. The specialists will also train and strengthen the capacities of specialists in the TSUs and in the implementing entities. The project may hire qualified civil society organizations for the implementation of a Resettlement Action Plan or a Physical Cultural Resources Plan, if required. The SPCU and the decentralized TSUs may also be supported by competitively recruited experts in highly specialized areas, such as restoration of heritage properties, as needed. The responsibilities of the project’s social specialists and NGOs are listed in Annex 12. The environment and heritage management specialists would be responsible for similar tasks in their respective areas. Given that Department of Tourism is implementing a World Bank-financed project for the first time, the capacity to address social, cultural and environmental issues as per the World Bank safeguards policies is limited. The Department of Tourism project staff will require training in the management of safeguards issues. The training program is to be coordinated and anchored by the Department of Tourism with support from agencies/individuals experienced in safeguard aspects for developing courses on conducting training programs. The course contents will focus on this ESMF, concept, regulatory requirements, environment and social priority issues, project cycle of investments, outline of the ESIAs, management plans and report formats. It will also focus on the resettlement and rehabilitation and heritage policies and procedures, land acquisition process, identification of project affected people, social entitlement frameworks, social assessment, risk assessment and management skills. As part of the capacity building program, the Department of Tourism also aims to develop decentralized local capacity on managing environmental, social and cultural properties issues associated with various investments. In order to achieve this objective, the specialists will develop a network of technical man power resources such as staff from universities/research institutions, civil society organizations, etc. These persons will be trained during the course of the project, so that they can provide support to the project agencies in conducting the required impact assessments and later in implementing all applicable management plans (including Resettlement Action Plan, Gender Action Plan, as relevant) and also offer support on an on- going basis. 25 6.2 Monitoring and Reporting The SPCU is also hiring a monitoring and evaluation specialist to assist the Technical Support Units in the continued supervision of subprojects. A dedicated team of experts will manage the project-specific communication activities at local, state, country and regional levels, as needed. The SPCU through the respective implementing entities and Technical Support Units will monitor all the subprojects to ensure conformity to the requirements of this ESMF. The monitoring will cover all stages of planning and implementation. The monitoring will be carried out through the environmental, social and cultural heritage safeguard compliance reports that will form a part of Quarterly Progress Reports (QPR) for all subprojects and regular visits by the environmental, social and heritage specialists of the SPCU and implementing entities/TSUs. In addition to the above, the SPCU will undertake an annual assessment of the applicable management plans on sample basis and will review their status compliance, as per the Sample Terms of Reference for Annual Assessment of Management Plans provided in Annex 13. The SPCU will review these assessment reports and identify technical, managerial, policy or regulatory issues with regards to the compliance of the management plans. The identified policy and regulatory and technical issues will be duly incorporated in the subproject and the need for appropriate interventions will be determined. These interventions could include appropriate revision of this ESMF document or suitable analytical studies to influence policy or programs of the state, if found necessary/warranted. Specifically on involuntary resettlement, an external evaluation of the Resettlement Action Plan prepared for subprojects will also be undertaken twice during the implementation of the project – midterm and at the end of the implementation. During implementation, meetings will be organized by the SPCU, inviting all implementing entities in the state to provide information on the progress of the project work. Table 5 - Mitigation, monitoring, responsibility & timelines for social impacts Impact Monitoring Measures Responsible Agency 1 Land acquisition (not Regular internal monitoring by the SPCU expected to be SPCU and periodic evaluation applicable) 2 Acquisition of Regular internal monitoring by the IEs and TSUs property/structure IE/TSUs and periodic evaluation 3 Loss of livelihood or Regular internal monitoring by SPCU to hire independent source of livelihood IE/TSUs; midterm and end term evaluation consultants and evaluation management plan or RAP auditors 4 Loss of access to private Regular internal monitoring by the SPCU to hire independent and/or common property IE/TSUs; midterm and end term evaluation consultants and evaluation management plan or RAP auditors 5 Displacement of Non- Regular internal monitoring by the SPCU to hire independent Titleholders IE/TSUs; a midterm and end term evaluation consultants and evaluation management plan or RAP auditors 6 Gender Action Plan Regular internal monitoring by the SPCU to hire independent Social Development Specialist of evaluation consultants and SPCU along with NGO; midterm management plan or RAP and end term evaluation auditors 26 Table 6 - Mitigation, monitoring, responsibility & timeline for environmental & cultural heritage impacts Project Stage Monitoring Measures Responsibility 1 Subproject screening a. Discussions with implementing entities to SPCU to approve assess subproject eligibility based on project’s categorization of priorities and identify subproject scope proposed subprojects b. IE/TSUs to submit report along with proposed impact categorization 2 Subproject appraisal a. Detailed appraisal of the management plans SPCU to ensure satisfactory (ESMP, RAP, PCRMP) including site visits/ compliance with investigations if necessary, assess suitability of ESMF site, adequacy of management plans, risk analysis and regulatory clearances. b. Subproject to submit management plans for approval. 3 SPCU approval of a. SPCU to recommend to project Steering SPCU management plans Committee for review and approve 4 Management Plan a. Prepare quarterly progress reports implementation b. Schedule field visits as required SPCU, IEs, TSUs, monitoring and c. Third party assessment Contractors review 6.3 Integrated Grievance Redress Mechanism An Integrated Grievance Redress Mechanism (IGRM) is being established with Grievance Redress Cells (GRCs), with necessary officials and systems, at the state and district levels. Grievances if any, may be submitted through various mediums, including in person, in written form to a noted address, through a toll free phone line or through direct calls to concerned officials, and online. All local contact information and options for complaint submission will be available on site on local information boards. Moreover, they will be in addition to the Public Information Officers to be appointed under the Right to Information (RTI) Act. A half yearly report on Grievance Redress by the project will be prepared. The project will abide by the RTI Act of 2005; it will commit itself for proactive disclosure and sharing of information with the key stakeholders, including the communities/beneficiaries. The project will have a communication strategy focusing on efficient and effective usage of print and electronic media, bill boards, posters, wall writing, and adoption of any other method suiting local context, logistics, human and financial resources. A Grievance Redress Cell (GRC) will be set up at the state level and wherever investments have been or will be planned. The staffing of GRC will include representatives from implementing entities; subproject level E&S Officer; and two representatives from the community/affected persons. The head of the cell will be a person of repute but not continuing in the government service. The GRC will have its own bylaws. The functions of the GRC will include: (i) to redress grievances of community/beneficiaries/project affected persons (PAPs) in all respects; (ii) rehabilitation and resettlement assistance and related activities; (iii) GRC will only deal with the issues related to resettlement and rehabilitation and individual grievances; (iv) GRC will give its decision/verdict within 15 days after hearing the aggrieved person; (v) final verdict of the GRC will be given by the Chairman/Head of GRC in consultation with other members of the GRC and will be binding to all other members. In addition to the mechanism explained above, PAPs have the right to approach the judiciary of the country. 27 6.4 Capacity to Implement ESMF The State Project Coordination Unit (SPCU) in the Department of Tourism in Lucknow, responsible for safeguards compliance, is supported by competitively selected technical specialists at Technical Support Units (TSUs) based in selected destinations. The TSUs are housed in the respective Development Authorities, the project implementing entities, and will support them in the day-to-day execution of related subprojects. Given that the Department of Tourism is implementing a World Bank-financed project for the first time, the capacity to address environmental, social and cultural issues as per the World Bank safeguards policies is limited. To this end, the Department of Tourism has already hired an experienced Social Development Specialist and a Heritage/Landscape Conservation Specialist for the SPCU and is in the process of hiring an Environment Specialist to coordinate, review, support and monitor all respective safeguards aspects of the project. The specialists will also train and strengthen the capacities of specialists in the TSUs and in the implementing entities. The Department of Tourism/SPCU will also hire qualified civil society organizations for the implementation of a RAP or a PCRMP, as required. The SPCU and TSUs may also be supported by competitively recruited experts in highly specialized areas, as needed. The Department of Tourism/SPCU and TSUs will also continue to receive training in the management of safeguards issues. The training program is to be co-ordinated and anchored by the SPCU with support from agencies/individuals experienced in safeguard aspects of urban infrastructure investments for developing courses on conducting training programs. The course contents focus on the project's ESMF, concept, regulatory requirements, environment and social priority issues, project cycle of investments, outline of the ESIAs, management plans and report formats. It also focuses on the resettlement and rehabilitation and heritage policies and procedures, land acquisition process, identification of project affected people, social entitlement frameworks, social assessment, risk assessment and management skills. The course outline for various modules, the duration and the participation envisaged are illustrated in Table 7 below. In addition to the above, DoT program will continue to mainstream the environmental, cultural and social issues within the training programs of SPCU. The program will be structured in such a way that it clearly brings out the value addition and enhancement benefits of proper management of environmental and social issues. Table 7 - Capacity Strengthening Plan Modules Content Duration Participants ESMF  Project Concept Half a day Staff of:  ESMF Concept To be repeated SPCU  Regulatory Requirements every TSUs; and  E&S Priority Issues alternative year implementing  Subproject types entities  ESIA  Process Outline  Reporting Environmental  Environmental Laws & Regulations Full day Assessment  EIA process class room Process  Identification of Environmental training. Impacts  Impact Identification Methods Half a day  Identification Mitigation Measures field 28  Formulation of Environmental training. Management Plan  Implementation and Monitoring  Institutional Mechanism Social Assessment  Social Assessment process Half a day class Process  Description of project; RPF, gender room training. frameworks; and National regulatory frameworks Half a day field  LA process training.  Necessity for RAP/ ARAP, Gender plan and its preparation process  Implementation and Monitoring  Institutional Mechanism  Grievance Mechanism Cultural  Cultural Properties Assessment process Half a day class Properties  Description of project and national room training. Assessment regulatory frameworks Process  Necessity for PCRMP and its Half a day field preparation process training.  Implementation and Monitoring  Institutional Mechanism 6.5 Budget for the Implementation of Safeguard Mitigation Measures The budget for the implementation of various mitigation measures is an important aspect of the safeguard management activities of the project. The budget will be finalized when all subprojects to be financed under the project are detailed and all safeguard management plans (environmental, social and cultural) are prepared, which at the time of the latest update of this document, is not the case. In view of the above, and based on the review of similar projects implemented in India and elsewhere, the amount of US$ 5 million has been allocated for the implementation of safeguard management and mitigation measures for the whole project. The above cost also includes the cost of supervision, monitoring, training and capacity building activities. The exact cost of mitigation measures for individual subprojects will be finalized as part of the specific subproject Environmental and Social Assessment studies to be carried out as per the generic terms of reference specified in the ESMF. While R&R assistances will be paid by the project, cost towards land transfer and/or acquisition, if any, will be paid by the borrower. 29 ANNEX 1: OVERVIEW OF THE WORLD BANK SAFEGUARD POLICIES World Bank Safeguard Safe Guard Objective Applicability Requirements Policies OP/BP 4.01 To ensure that Bank financed Environmental issues are ESIA and/or EMP Environmental projects are environmentally addressed in advance through Assessment sound and sustainable an integrated Environmental Screening and Environmental Assessment (EA). An Environmental Management Plan (EMP) is developed to manage environmental risks and maximize environmental and social benefits wherever it is applicable. OP/BP 4.04 To support the protection, It applies to improvements of ESIA and/or EMP Natural maintenance and rehabilitation road requiring forest and/or Habitats of natural habitats in projects as wildlife lands, located close to well as policy dialogue and natural habitats with the analytical work it finances. The potential to cause significant Bank supports and expects the adverse impact or degradation Borrowers to apply a whether directly precautionary approach to (through construction) or natural resources management indirectly (through human to ensure environmentally activities induced by the sustainable development project). OP 4.36 To support the management, It applies to projects that may Forest land diversion Forestry conservation, and sustainable have impacts on the health and application has to be development of forest quality of forests; affect the prepared and ecosystems and resources. rights and welfare of people submitted to and their level of dependence respective Forest upon forests; and bring about Department. changes in the management, protection or utilization of natural forests or plantations, whether they are publicly, privately or community owned. The Bank does not support the significant conversion or degradation of forest areas or related natural habitats. OP/BP 4.12 To avoid or minimize involuntary It applies to project activities Resettlement Action Involuntary resettlement where feasible, which lead to physical Plan / Social Resettlement exploring all viable alternative relocation of people or of their Management Plan project design; to assist source of livelihoods. displaced person in improving their former living standards; community participation in planning and implementing resettlement; and to provide assistance to affected people, regardless of the legality of land title. OP 4.10 To protect the dignity, right and It applies when tribes are Indigenous People Indigenous cultural uniqueness of present in the project target Development Plan People indigenous people; to ensure areas. 30 World Bank Safeguard Safe Guard Objective Applicability Requirements Policies that they do not suffer due to development; that they receive social and economic benefits OP/BP 4.11 To support the preservation of It applies when project Application has to be Physical cultural property, historical, activities are located near or in prepared and Cultural religious and unique natural cultural properties which local, submitted to Resources value, including remains left by country, regional or global respective Cultural previous human inhabitants and significance and value. and/or Archaeological unique environment features, as Department. well as the protection and enhancement of cultural properties within project target areas. OP 4.09 To avoid use of harmful It applies if project activities Pest Management Pest pesticides in rural development involve the use of pesticides in Plan Management and health sector projects; to crop protection or in the fight encourage use of Integrated against vector-borne disease. Pest Management (IPM) techniques. OP/BP 4.37 To ensure that experienced and It applies in cases where For new dams: Safety of competent professionals design project activities include the experienced Dams and supervise construction, and construction of a new dam and professionals design that the borrower adopts and in cases where project activities and supervise implements dam safety rely on existing dams or dams construction; dam measures through the project under construction safety measures. cycle. Existing dams: implement dam safety assessment and safety measures. OP/BP 7.50 To ensure appropriate It applies to hydroelectric, If no existing International agreements are in place irrigation, flood control, agreements in place, Waterways between riparian states for parts navigation, drainage, water and notification of project of or entire waterways. sewerage, industrial, and to other riparian. similar projects that involve the use or potential pollution of international waterways. OP/BP 7.60 To ensure there is no objection It applies where project Statement that the Disputed Areas from other claimants to disputed activities are located in areas Bank does not intend area, or in case of objection, to disputed among claimants. to make any ensure specific circumstances judgment on the legal that allow Bank financing. or other status of the territories concerned or to prejudice the final determination of the parties’ claims. Occupational Provides guidance and examples Applies to all construction ESIA should review Health and of reasonable precautions to activities under the project. OHS issues related to Safety protect the health and safety of subprojects and Guidelines workers. integrate preventive and protective measures in the ESMP based on the guidance provided in these guidelines 31 ANNEX 2: ENVIRONMENTAL AND SOCIAL BASELINE INFORMATION The State of Uttar Pradesh comprises an area of about 243,290 km2, equal to 6.88 of the total area of India, and is the fourth largest Indian state by area. With over 200 million inhabitants in 2011, it is the most populous state in the country. Physiography: The state can be divided into two physiographic regions: the central plains of the Ganges (Ganga) River and its tributaries (part of the Indo-Gangetic Plain) and the southern uplands. The vast majority of Uttar Pradesh lies within the Gangetic Plain, which is composed of alluvial deposits brought down from the Himalayas by the Ganges network. Most of this area is a featureless, though fertile, plain varying in elevation from about 300 meters in the northwest to about 60 meters in the extreme east. The southern uplands form part of the highly dissected and rugged Vindhya Range, which rises generally toward the southeast. The elevation of this region rarely exceeds 350 m. Seismic Zone: According to GSHAP data, the state of Uttar Pradesh falls in a region of moderate to high seismic hazard. Soils: The dominant soil landscapes, representing the northern plains, constitute gently to very gently sloping lands. In some areas the soil is highly calcareous. The soils in general are neutral in reaction and have moderate clay and low organic carbon content. Traditionally, rain fed and irrigated agriculture is common. The main crops grown are rice, maize, pigeon pea, sorghum, pearl millet, moong beans during kharif and wheat, Bengal gram, green peas, rapeseed and mustard and lentil during rabi season. Sugarcane is the main cash crop. The rice–wheat cropping system is more predominant. In the eastern part of the state, the districts of Gorakhpur, Basti, Mahrajganj, Siddarthnagar and Gonda contain two varieties of soil, which are locally known as ‘Bhat’ and ‘banjar’. The alluvial soil is called ‘dhuh’. The one described as ‘mant’ is loamy sandy- calcareous, comparatively. The soil in the north-western district of the state contains less phosphate. The district of Jaunpur, Azamgarh and Mau are found to be lacking in potash and the drier areas are known as ‘usar’ and ‘reh’. Mixed red and black soil is found in the Jhansi division of the state and the districts of Mirzapur and Sonebhadra as well as the karchhana and Meja tehsils of Allahabad besides Chakia and Varanasi district. Black soil is sticky, calcareous and fertile. It expands as it soaks up moisture and contracts on drying up. In the upper plateau of these districts the soil is red and is of two kinds – ‘parwa’ and ‘rackar’. ‘Parwa’ is light sandy or sandy-loam while ‘rackar’ is alkaline. Climate: The climate of Uttar Pradesh is primarily defined as humid subtropical with parts of Eastern UP as semi-arid. .P has a climate of extremes. With temperatures fluctuating anywhere from 0 °C to 50 °C in several parts of the state and cyclical droughts and floods due to unpredictable rains, the summers are extremely hot, winters cold and rainy season can be either very wet or very dry. The state has three main climatic seasons: The winter in January and February is followed by summer between March and May and the monsoon season between June and September. Summer temperatures shoot upto 43 degree celcius in the summer months of April, May and June. Torrid, scorching winds blow throughout the plains of UP generally. In the winter the temperature oscillates between 12.5 and 17.5 degree celcius. Agra and Jhansi are the hottest districts. The Gangetic plain varies from semi-arid to sub-humid. The mean annual rainfall ranges from 650 mm in the southwest corner of the state to 1000 mm in the eastern and southeastern parts of the state. About 90of the rainfall occurs during the southwest Monsoon, lasting from about June to September. With most of the rainfall concentrated during this four-month period, floods are a recurring problem and cause heavy damage to crops, life, and property, particularly in the eastern part of the state, where the 32 Himalayan-origin rivers flow with a very low north-south gradient. Some sporadic rains due to the western disturbances and North-East Monsoon also occur in different parts of the state. Drainage: The state is well drained by a number of rivers originating in either the Himalayas to the north or the Vindhya Range to the south. The Ganges and its main tributaries—the Yamuna, the Ramganga, the Gomati, the Ghaghara, and the Gandak—are fed by the perpetual snows of the Himalayas. The Chambal, the Betwa, and the Ken, originating from the Vindhya Range, drain the southwestern part of the state before joining the Yamuna. The Sone, also originating in the Vindhya Range, drains the southeastern part of the state and joins the Ganges beyond the state. The entire alluvial plain can be divided into three sub-regions. The first in the eastern tract consists of 14 districts which are subject to periodical floods and droughts and have been classified as scarcity areas. The other two regions, the central and the western, are comparatively better off with a well-developed irrigation system. They suffer from water logging and large-scale user tracts. The Gangetic plain is watered by the Yamuna, the Ganges and its major tributaries, the Ramganga, the Gomati, the Ghaghra and Gandak. The whole plain is alluvial and very fertile. The Southern fringe of the Gangetic plain is demarcated by the Vindhya Hills and plateau. It comprises the four districts of Jhansi, Jalaun, Banda, and Hamirpur in the Bundelkhand division, Meja and Karchhana tehsils of Allahabad district, the whole of Mirzapur District south of Ganges and Chakia tehsil of Varanasi District. The ground is strong with low hills. The Betwa and Ken rivers join the Yamuna from the south-west in this region. Environmental Quality Ambient air quality: In general the state suffers from high dust problems. The State Pollution Control Board conducts regular monitoring of ambient air quality in major towns of the state. The annual average ambient air quality in 2012 suggests that in all the major towns/cities, the concentration of PM10 was higher than the prescribed limit. Kanpur, Ghaziabad, Firozabad Bareilly and Allahabad were among the most polluted cities as per the monitoring results of 2012. The concentrations of SO2 and NO2 in the air were found within the prescribed limit. Water quality: The monitoring of surface water quality for different surface water sources including major rivers and ponds are regularly conducted by the UP State Pollution Control Board. The annual average surface water quality of major rivers and other water bodies for the year 2012 is presented in Table 7. Almost all the surface water bodies from which water samples were collected show high biological contamination in term of Total Coliforms. Table 8 - Surface water quality of rivers passing through some project cities (average 2012) 5 Name of Name Sample Collection Point 2012 District of River DO BOD Total Coliform (mg/l) (mg/l) (MPN/100 ml) Varanasi Ganga UP Stream, Varanasi 7.88 3.20 9167 Varanasi Ganga Down Stream, Varanasi 7.40 4.95 44000 Varanasi Varuna Rameshwar, Varanasi 7.53 3.45 14175 Varanasi Varuna Before Meeting Ganga 5.10 14.77 112583 Varanasi Gomti Before Meeting Ganga, Rajwari 7.70 3.35 13750 Mathura Yamuna Shahpur, Mathura 4.26 9.80 43400 Vrindavan Yamuna KayseeGhat, Vrindavan 3.80 11.15 61800 Mathura Yamuna VishramGhat, Mathura 3.62 12.06 99700 5 Varanasi is included here due to its original inclusion in the project scope. Sites in/near Varanasi may be included under the project in a future second phase. 33 Ecological Resources Forests: The state has an abundance of natural resources. In 2011 the recorded forest area in the state was 16,583 km2, which is about 6.88 of the state's geographical area. Out of the total forest cover, 70.31 is Reserved Forest, 8.75 is Protected Forest and the remaining 21.12is Unclassed Forests. Only 4.46 of the total forest area is under dense forest. The existing forests in Uttar Pradesh can be classified into three categories: (i) wet tropical deciduous forests (ii) dry tropical deciduous forests and (iii) tropical thorny forests. Wet tropical forests are situated in areas which receive an annual rainfall of 100 to 150 centimeters. In the wet tropical forests, deciduous trees of uneven shapes and sizes are to be found in elevated areas while the low- lying areas have a significant presence of bamboo, creepers and climbers as well as cane and green bushes. The trees that grow in these forests are mainly:sal, plum, goolar, palash, mahua, amla, dhak, jamun, etc. Dry deciduous forests are generally found in the plains of almost all central and western regions of the state. Bushes and grasses grow here in abundance because of sunlight reaching the ground level. Large tracts of land have, however, been cleared for agricultural purposes.In these forests,sal, fig, palash and teak, as well astrees such as neem, peepal, mango, jamun, mahua and acacia grow near rivers or in places containing moisture. Thorny forests abound, mostly in the south-western parts of the state where rainfall is minimal (40 to 60 cm annually). Long stretches of land are covered with thorny bushes and stunted trees, mainly acacia and other fruit-bearing prickly plants. The land appears to be carpeted, temporarily, by short grass during the monsoon. Altogether, this part of the state is a permanent open dry woodland in which a variety of trees grow, yielding resin and gum. Roadside trees: In the state of Uttar Pradesh, linear plantations along national highways, state highways and canals within right of way have been declared as Protected Forests. As a result, any felling of trees within existing ROW will fall under the provisions of the Forest Conservation Act. The Forest Department has planted trees along most roads in the state. The predominant tree species along roads are neem, teak, shisham, babuland eucalyptus. Mango, peepal and ornamental trees like gulmohar, amaltas, acasiaauriculiformis, etc are also prominent. Fauna: Uttar Pradesh has varied fauna including tigers, cats, antelopes, deer, wild boar, elephants and rhinos, amongst other animals common in the state’s basin. Chinkara, sambar and chital, neelgai, swamp deer, hispid hare, Bengal floricans and black buck are the other common wild animals found in the forests of Uttar Pradesh. The avian population of Uttar Pradesh comprises a mix of residents as well as migratory birds. The birds migrate across the Himalayas from Tibet, China, Europe and Siberia during winters. Some of the major migratory birds during the season are greylaggoose, pintail, cotton teal, red-crested pochard, gadwall, shoveler, coot and mallard. Some major local migratory and residential birds are spotwill, sarus crane, painted stork, peacock, white ibis, dabchick, whistling teal, open-bill stork, white-necked stork, pheasant-tailed jacana, bronze winged jacana, purple moorhen, lapwing, tern vulture, pigeon, king crow, Indian roller and bee eater. Wildlife sanctuaries/National parks: Uttar Pradesh has one National Park and 23 Wildlife Sanctuaries covering a total area of 5712 sq Km, constituting 2.37 of the state’s geographical area. The largest wildlife reserve in Uttar Pradesh is Dudhwa National Park, situated in the district of Lakhimpur Kheri. Stretched across an area of nearly 500 km2, Dudhwa National Park is close to the Tarai region of Nepal and boasts a vivid fauna and flora, including tigers and rhinos. A second important reserve is Chandra Prabha sanctuary, in the district of Mughal Sarai, covering less than 80 km2. Pilibhit Tiger Reserve is home to a large number of rare and threatened species, including the Bengal tiger, Indian leopard, swamp deer, hispid hare and Bengal floricans. Stretched along the districts of Mirzapur in UP and Bhojpur in Bihar, the Kaimoor wildlife sanctuary covers an area of around 500 km2. This sanctuary is famous for 34 Taraipanthers and blackbuck. A bird sanctuary, NawabGunj, near Lucknow, boasts some of the rarest bird species in India, including pochard and shoveller. Wetlands: The state is dotted with a number of natural wetlands. Some of them are particularly ecologically significant and are therefore protected. The distribution of such wetlands in certain project cities is presented below: Table 9 - Distribution of wetland areas in some project districts District Total Total No. of Wetland Area Pre- Wetland Area Post- Reported Wetlands monsoon monsoon Area (ha) (ha) % of Total (ha) % of Total Area Area Agra 399784 14 489 0.12 489 0.12 Mathura 399 734 36 3518 0.88 3518 0.88 Source: MoEF, Wetland Atlas Of all wetlands in Uttar Pradesh, the Brijghat to Narorastretch of the upper Ganga river extending into Hapur and Bulandshahar districtsis one of the 26 Ramsar sites (Indian wetlands) deemed to be of "international importance" under the Ramsar Convention. In addition, a total of 16 of the state’s wetlands have been included under the National Wetlands Conservation Programme. Most of these wetlands form part of the Bird Sanctuary. Floods and droughts: The state faces flood situations mostly in the northern and eastern parts in the catchments of River Ghaghra and Ganga. Around 73.06 lac ha.is flood-prone and the districts affected are 31 in number, with 154 blocks and 18,958 villages. Some areas see flooding every year, while others flood every two to three years. In terms of drought, the southern part of the state, i.e. areas of the Bundelkhand and Vindhyan regions comprising of eight districts, face drought situations for almost three years in a period of five years. Incidentally, these districts have less than 50 of their area under irrigation. Social Profile Population: As per the Census Survey of 2011, Uttar Pradesh has a total population of 200 million, which is almost one-sixth of India’s population. The population density is 828 persons per square kilometer. Approximately 77 of the total population lives in rural areas. About 15 of the total population is below the age of 6 years. Gender classification: Over half the total population is male and the sex ratio stands at 1000:912, which is much less than the national figure of 943. At the all-India level, only 30 percent of women are defined as workers, main or marginal. In Uttar Pradesh, the female work participation rate is lower than the national figure and the gender gap in work is higher. In terms of the female work participation rate, Uttar Pradesh is ranked 2 in the entire country with a participation rate of 20. Uttar Pradesh has a very low sex ratio, reflecting the deteriorating situation of women in the state. In addition to the worsening mortality conditions, some of the reasons for this decline lie in increasing economic pressure for survival and sex-selective migration. Uttar Pradesh has always recorded sex ratios below the all-India levels and one primary reason is male migration from these states. The Child Sex Ratio in Uttar Pradesh is 899 as compared to 914 at the national level. The National Family Health Survey III (NFHS) findings highlight that in Uttar Pradesh, 53 percent of the female respondents (between the age of 20- 24) were married by the age of 18. While this figure was 30 percent in urban areas, it was a high 60.1 percent in rural areas. 14.3 percent of women between the ages of 14-19 were already mothers or pregnant. Marriage of girls before the legal minimum age of 18 is a widespread phenomenon in Uttar Pradesh, where nearly 49 percent of girls are married below 35 the age of 18 years. Early age of marriage is both the symptom as well as a cause of women's subordination in society. Girls are married off early for a complex array of reasons. Socially and culturally perceived as "parayadhan", premium is put on virginity and therefore restrictive controls are imposed on girls’ mobility and sexuality. Girls are thus seen to be protected from violence in society by an early marriage. Social Stratification: Over one fifth of the population belongs to scheduled caste and less than 1 percent is classified as tribal community. Hinduism is the dominant religion, followed by 80 percent of the population. Muslims form the second largest community, accounting for 18 percent of the total population. The other religions followed are Sikhism, Jainism and Buddhism. Indigenous People: In Uttar Pradesh, tribes make up less than 1 percent of the total population. The peripheral regions of Uttar Pradesh are home to a number of tribal communities such as Agaria, Baiga, Bhar, Bhoksa, Bind, Chero, Gond, Kol and Korwa. Five of these tribal communities have been recognized by the Government of India as disadvantaged scheduled tribes: Tharus, Boksas, Bhotias, Jaunswaris and Rajis. Districts with substantial tribal populations include Sonbhadra; Kheri; Agra; Lucknow; Allahabad; Kanpur; Deoria; and Jaunpur. None of the project districts have substantial tribal populations. Literacy rate: The literacy rate of the state is 68 percent, which is much lower than the national figure. The male literacy rate is 77 percent whereas female literacy stands at just 57 percent. As a result, Uttar Pradesh is ranked among the top 5 worst states in terms of women’s literacy. This could be because of low enrolment of female children in primary schools, coupled with high dropout rates. A brief socio-economic snapshot of the state is summarized below: Table 10 - Socioeconomic snapshot of UP Area 2,40,928 km2 19.95 crore (16% All India Share of Population (2011 census) Population) Density of population (2011) 828 persons per km2 Decadal growth (2001-11) 20.80 Percentage of male population 52 Percentage of female population 48 Sex ratio 912 Percentage of population between 0 to 6 years 15 Literacy rate (2011) 67.7 Male literacy rate 77 Female literacy rate 57 Percentage of scheduled caste population 21 Percentage of tribal population 0.6 Source: Statistical abstract of Uttar Pradesh, 2012 Economic Profile Land use Pattern in UP: The land use pattern in UP is predominantly agriculture-based. The breakup of the land use (2010-11) is given below: 36 Table 11 - Land classification in UP Area S. No. Land Classification (Thousand (%) Hectares) 1. Forest 1658 7 2. Barren and Uncultivated land 486 2 3. Land under non agriculture uses 2835 12 4. Waste land unfit for Agriculture 426 2 5. Permanent pastures and grazing land 66 0 6. Area under trees and grooves 354 1 7. Current fallow land 1215 5 8. Other fallow land 538 2 9. Net area sown 16592 69 Total 24171 100 Source: Statistical abstract on Uttar Pradesh, 2012 Employment Pattern: The work participation rate for total workers is defined as the age of total workers to total population. The calculation is similar for main and marginal workers. The main workers are distributed in nine industrial categories of economic activities as per the 2011 Census. As per the 2011 Census, employment opportunities seem to be much lower for women in Uttar Pradesh, which restricts their economic empowerment. The work participation rate (WPR) was very low for females at 16.5 as compared to 46.8 for males. The work participation for various industries are summarizes for the districts and presented below: Table 12 - Work participation for various industries 2007- 2008- 2009- 2010- Industries 2001-02 2004-05 08 09 10 11 1. Agriculture & livestock 769 754 802 808 749 749 2. Mining & Quarrying 13 11 12 13 12 12 3. Manufacturing 2224 1994 2016 1974 1963 1951 4. Electricity, Gas 396 398 410 414 415 418 5. Construction 1054 988 1009 1017 1014 1014 6. Trade & Commerce 807 647 636 620 618 619 7. Transport 492 457 471 482 493 498 8. Financing. Insurance 5195 5263 5332 5390 5440 5528 & Real Estate etc. 9. Services 14689 14873 14944 14958 15040 15069 Total 25639 25385 25632 25676 25744 25858 Source: Statistical abstract on Uttar Pradesh, 2012 As table 12 shows, the per capita income in the state is INR 23,132 which is less than half of the national per capita income of 54,835. Table 13 - State's income and per capita income Total State Income (2009-10) – current prices INR 4,53,020 crore Per capita Income (2009-10) current prices INR 23,132 Source: Statistical abstract on Uttar Pradesh, 2012 37 ANNEX 3: SUBPROJECT CATEGORY CLASSIFICATION SYSTEM Category Description Requirement A Proposed subproject is classified as Project will not finance any subproject that Category A, if it is likely to have can cause significant or irreversible significant adverse social and/or negative impacts on ecologically sensitive environmental impacts that are zones as defined by the Ministry of sensitive, diverse, or Environment, Forest and Climate Change unprecedented. These impacts may (see below*) unless the individual negatively transform the affected subproject activity is replaced with an area broader than the sites or element that presents a less significant facilities subject to physical works. environmental risk (Category B or C). B Proposed subproject is classified as ESIA examines the subproject's potential Category B if its potential adverse negative and positive environmental and social impacts on human social impacts and recommends any populations or environmentally measures needed to prevent, minimize, important areas—including mitigate, or compensate for adverse wetlands, forests, grasslands, and impacts and improve environmental and other natural habitats—are less social performance. adverse than those of Category A projects. These impacts are site- specific; few if any of them are irreversible; and in most cases mitigation measures can be designed more readily than for Category A projects. C Proposed subproject is classified as Beyond screening, no further ESIA action Category C if it is likely to have is required for a Category C subproject. minimal or no adverse social and/or environmental impacts. * Subproject siting (location) restrictions will apply to the project depend on the sensitivity of the surrounding environment. Sensitivity should be assessed in relation to proximity of the subproject to the identified ecologically sensitive zone as listed in Annex II of the EIA Manual issued in January 2001 by the Ministry of Environment, Forest and Climate Change, Government of India. These include:  Religious and historic places  Archaeological monuments  Scenic areas  Hill resorts/mountains  Beach resorts  Health resorts  Coastal areas rich in corals, mangroves, breeding grounds of specific species  Estuaries rich in mangroves, breeding ground of specific species  Gulf areas  Biosphere reserves  National park and wildlife sanctuaries  Natural lakes, swamps Seismic zones tribal Settlements  Areas of scientific and geological interests 38  Defense installations, especially those of security importance and sensitive to pollution  Border areas (international)  Airport  Tiger reserves/elephant reserve/turtle nestling grounds  Habitat for migratory birds  Lakes, reservoirs, dams  Streams/rivers/estuary/seas  Railway lines  Highways  Urban agglomeration The siting criteria delineated by the Ministry of Environment, Forest and Climate Change include:  As far as possible prime agricultural land/forest land may not be converted into an industrial site.  Land acquired should be minimum but sufficient to provide for a green belt wherein the treated wastewater, if possible/suitable, could be utilized from wastewater treatment systems.  Enough space may be provided for storing solid wastes. The space and the waste can be made available for possible reuse in future.  Layout and form of the project must conform to the landscape of the area without unduly affecting the scenic features of that place.  Associated township of the project if any to be created must provide for space for phytography barrier between the project and the township and should take into account predominant wind direction. 39 ANNEX 4: SUBPROJECT SCREENING FORM Uttar Pradesh Pro-Poor Tourism Development Project Screening Note no. Subproject Title: Subproject location (area/district/site): Subproject scope of work: Subproject cost: Implementing Agency: Date of screening: Responsible agency: S/n. Screening Criteria Assessment of category Explanation ENVIRONMENT 1 Is the subproject in or adjoining an environmentally sensitive area or monument? (Yes/No) If Yes, which is the area? Elaborate impact accordingly. 2 Will the subproject create significant/limited/no environmental impacts during the construction stage?  Clearance of vegetation/ tree-cover/other  Direct discharge of construction run-off, improper storage and disposal of excavation spoils, wastes and other construction materials adversely affecting water quality and flow regimes.  Flooding of adjacent areas.  Improper storage and handling of substances leading to contamination of soil and water.  Elevated noise and dust emission.  Disruption to traffic and visitors movements.  Damage to existing infrastructure, public utilities, amenities.  Failure to restore temporary construction sites.  Possible conflicts with and/or disruption to local community and/or visitors.  Health risks due to unhygienic conditions at workers’ camps.  Safety hazards during construction.  Other, specify. 3 Will the subproject create significant/limited/no environmental impacts during the operational stage? (Significant / limited / no impacts)  Flooding of adjacent areas  Impacts to water quality due to effluent discharge  Gas emissions  Safety hazards  Other, specify. 4 Does the subproject involve any prior clearance from the MOEF or State Forest Department for either the conversion of forest land or for tree- cutting? (Yes/ No). If yes, which? 40 CULTURAL HERITAGE 5 Will the subproject create significant/limited/no impacts on cultural properties and/or landscapes?  Involve significant excavations, demolition, movement of earth, flooding or other major environmental damages.  Is located within or in the vicinity of a recognized cultural property conservation area, monument or heritage site.  Is designed to support the management or conservation of a cultural property or landscape. Other, specify. 6 Does the subproject involve any prior clearance from the MoC or State Archeology Department for either the conservation or management of heritage sites or vicinities? (Yes/ No). If yes, which? SOCIAL 7 Will the subproject create significant/limited/no social impacts?  Involuntary land taking resulting in loss of income; livelihood; sources of livelihood; loss of access to common property resources and / or private residential and/or commercial property.  Land acquisition resulting in relocation of households.  Any loss / reduction of access to traditional dependent communities (to areas where they earn for their primary or substantial livelihood).  Adverse impacts to women, including economic and safety concerns.  Other, specify. Overall Assessment □ Subproject is declined □ Subproject is accepted □ Subproject is classified as environmental Category A and will not be financed under the project unless the individual subproject activity is replaced with an element that presents a less significant environmental risk (Category B or C). □ Subproject is classified as environmental Category B and requires an ESIA and ESMP. □ Subproject is classified as environmental Category C and does not require an ESMP. NOTE: Please attach photographs and location maps along with this completed Screening Note. 41 ANNEX 5: ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT Environmental Impact Assessment (EIA) An EIA will be prepared for each identified subproject in full compliance with the environmental assessment requirements of the World Bank Safeguard Policies (OP 4.01 and others) as well as guidance from the Ministry of Environment, Forest and Climate Change (see Annex 3). The EIA will include desk reviews and analysis as well as primary data collection and onsite assessments of the main environmental issues in each proposed subproject in the project areas. The EIA will be prepared as part of the technical detailing (Detailed Project Report preparation) for each subproject that entail civil works. The EIA begins with the screening and identification of environmental issues and stakeholders for each subproject (as indicated in Annex 4). The EIA document should include but is not limited to the following components: 1. Introduction and Methodology. 2. Project Description. The EIA should include a description of the project’s objectives, components and activities, including, for instance, diagrams, maps, design details, etc. 3. Policy and Institutional Framework. The EIA should describe the policy and institutional framework related to the management and conservation of environmental assets in the project areas, including state and national policies and international conventions, as applicable. This shall include (a) analysis of the relevant requirements of the concerned legislation and procedures for identifying and mitigating potential impacts on the environment, including provisions for monitoring such impacts, and (b) requirements – from design to approval of subprojects of concerned state, national and international agencies, laws and conventions, as applicable. The EIA should also assess the capacity of the DoT, GoUP and the implementing entities for implementing the proposed environmental safeguards and mitigation measures for each subproject and, where appropriate, recommend capacity strengthening action. 4. Environmental Baseline Data. The EIA should detail all the environmental features such as forest area, sanctuaries/national parks, water bodies, religious structures, archeological monuments, natural habitats, irrigation canals and other sensitive receptors. Environmental attributes such as water quality (surface and groundwater), ecological profile, ambient air quality, noise levels, etc. should also be profiled using a combination of primary and secondary data. The environmental screening and baseline shall be presented on a suitable map clearly indicating the location of each of features in relation to the project site. 5. Anticipated Environmental Impacts and Mitigation Measures. The potential positive as well as adverse environmental impacts (including OHS impacts) of the construction/rehabilitation and operation/maintenance stages of the subprojects (as detected by the subproject screening) shall be addressed in the EIA. When some impacts are not quantifiable, they should be fully described. Where applicable, safeguards and mitigation measures to ameliorate the impacts should be proposed with an objective assessment of their effectiveness. Legislative restrictions applicable 42 to the physical impacts are to be detailed. The EIA should recommend appropriate and practical mitigation measures to avoid or minimize the adverse environmental impacts, including any design and planning modifications that may be needed. The EIA should evaluate if significant environmental impacts can be reasonably and cost- effectively mitigated during the construction/rehabilitation/reconstruction and operation/maintenance phases. Mitigation measures can be grouped in three categories: no-cost, low-cost, high-cost. 6. Analysis of Alternatives (technology and site). The EIA should analyze, present and discuss project alternatives regarding, for instance, physical and engineering constraints, relevant environmental factors and community concerns. Discussion of reasons for rejecting certain alternatives and a summary of the environmental trade- offs of each option should be presented. 7. Additional Studies. The EIA should detail any additional environmental studies that may have been conducted in the project/subproject areas. 8. Project Costs and Benefits. The EIA should present a summary of both the short- and long-term environmental costs and benefits to be borne by the environment in project areas. 9. Environmental and Social Management Plan (see Annex 6 – includes social impacts). The ESMP comprises a set of incentives and remedial (prevention, mitigation and compensation) measures and ensures that these are commensurate with nature, scale and potential of any anticipated environmental (including OHS impacts) and social impact. The ESMP shall be supported by detailed cost estimates, bill of quantities and necessary standard drawings (wherever necessary) for implementation. The ESMP shall also include an implementation, monitoring and supervision plan and clearly identify the responsibilities of associated contractors, implementation and monitoring agencies. 10. Summary and Conclusion. 11. Disclosure of Consultants engaged. The EIA should identify all stakeholders who may be affected by the subprojects and conduct consultations with them to obtain their feedback. Inputs from these consultations shall be considered in assessing the environmental impacts and in designing the ESMP and associated monitoring mechanisms. After the draft EIA report, another consultation shall be carried out to ensure that all the critical environmental concerns are adequately addressed in the EIA and to share how stakeholders concerns have been incorporated in the project design or addressed in the ESMP. The consultation should take place at appropriate places, so as to ensure that all the stakeholders in the project area have reasonable opportunity to attend such consultations. All the consultations shall be documented in detail with information on minutes, details of people attended, issues raised and be supported by photographs/video. Social Impact Assessment (SIA) The SIA begins with the screening and identification of social issues and stakeholders and communities, including socially and economically disadvantaged communities, for each subproject (as indicated in Annex 4). 43 The SIA focuses on (i) identifying the local population likely to be affected by the subproject, (ii) carrying out a census of those directly affected by the proposed subproject, (iii) identifying and defining operationally relevant social issues that may affect subproject design, execution, and expected outcomes. The tasks to be carried out by the SIA include, but are not limited to the following: i) Identify key social issues associated with the proposed subproject and specify the social development outcomes; ii) Prepare based on available data the profile of the population and available infrastructure facilities for services (disaggregated by gender, ethnicity, vulnerable groups, socially and economically backward communities, youth and aged, economic aspects, etc.) in the project affected area; iii) Based on the assessment of potential social and economic impacts, the SIA should establish criteria that will assist in the formulation of strategies; to the extent possible maximize project benefits to the local population and minimize adverse impacts of the project interventions on the affected communities; iv) Assess the likely impacts of the subproject, in terms of land acquisition (loss of lands, houses, livelihood, etc.), and resultant involuntary resettlement extent and undertake the census of potential project affected people; v) Identify likely loss of community assets including the religious structures and common property resources (e.g. forest, grazing land, drinking water source, etc.); the impacts of their loss on the local population, and prepare mitigation plans; vi) Review all policies, regulations and other provisions that relate to land acquisition, resettlement and rehabilitation of project affected people and other social issues; vii) Develop an R&R entitlement framework in consultation with the affected people and other stakeholders and prepare a resettlement action plan (RAP) which is acceptable to the subproject affected people; viii) Screen the social development issues in the project area and its vicinity and design the social services that may be provided by the project in order to improve the quality of life and achieve the projects economic and social goals; ix) Inform, consult and carry out dialogues with the project stakeholders on matters relating to subproject design, objectives, and implementation and provide specific recommendations to avoid/ minimize high social risks (e.g. activities where it is advisable not to proceed), the proceedings of consultation with stakeholders shall be properly documented and video recorded; x) Develop a consultation framework for participatory planning and implementation of proposed mitigation plan; xi) Assess the capacity of institutions and mechanisms for implementing social development aspects of the project implementation including the social safeguard plans and recommend capacity building measures; and, xii) Develop monitoring and evaluation mechanism to assess social development outcomes. Such monitoring mechanisms should include indicators that are disaggregated by gender, caste, ethnicity, age, etc. While carrying out the above tasks, the methodology adopted should include both quantitative and qualitative techniques for data collection and analysis. The quantitative data collection will necessarily include census survey of potential project affected people and the likely impacts on their livelihood (on individual basis). The qualitative data collection will include community meetings, focus group discussions with diverse stakeholders’ groups, interviews with functionaries of relevant implementing entities, civil societies and other stakeholders. Stakeholders’ consultations should also be organized to get their feedback on the proposed 44 project interventions and their inputs on the social strategy (including resettlement policy) for the project. The following are indicative methods and tools that could be used for undertaking the social assessment: i) 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 informant interviews, focus groups discussions, beneficiary assessments, rapid and participatory rural appraisal, gender analysis); ii) Use relevant interview schedules, field survey instruments and checklist for data collection and discussions; iii) Screen and scope social issues to prioritize them through different techniques such as ranking and composite index; iv) For determining the magnitude of impact and analysis of alternatives develop social maps and indicate all information on structures, utilities and abutting land use that is likely to be affected within the project impact zone. The SIA methodology should emphasize consultation and participation of local communities including project affected people, project implementing agency, implementing entities at different levels (state, district and project). The discussions with the relevant government officials, local elected representatives, other institutions and organizations in the civil society, should be participatory and broad-based, leading to the identification, selection and agreement on project investments in consultation with the client. 45 ANNEX 6: ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN A project's environmental and social management plan (ESMP) consists of the set of mitigation, monitoring, and institutional measures to be taken during implementation and operation to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels. The plan also includes the actions needed to implement these measures6. Management plans are essential elements of Environmental and Social Impact Assessment reports for Category A projects; for many Category B projects, the EA may result in a management plan only. To prepare a management plan, the borrower and its EA design team (a) identify the set of responses to potentially adverse impacts; (b) determine requirements for ensuring that those responses are made effectively and in a timely manner; and (c) describe the means for meeting those requirements7. More specifically, the ESMP includes the following components. Mitigation The ESMP 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. Specifically, the ESMP:  identifies and summarizes all anticipated significant adverse environmental impacts (including those involving OHS issues, indigenous people or involuntary resettlement);  describes – with technical details – each mitigation measure, including the type of impact to which it relates and the conditions under which it is required (e.g., continuously or in the event of contingencies), together with designs, equipment descriptions, and operating procedures, as appropriate;  estimates any potential environmental impacts of these measures; and  provides linkage with any other mitigation plans (e.g., for involuntary resettlement, indigenous peoples, or cultural property) required for the project. Monitoring Environmental monitoring during project implementation provides information about key environmental and social 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 ESMP identifies monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the Environmental Assessment report and the mitigation measures described in the ESMP. Specifically, the monitoring section of the ESMP provides (a) a specific description, and technical details, of monitoring measures, including the parameters to be measured, methods to be used, sampling locations, frequency of measurements, detection limits (where appropriate), and definition of thresholds that will signal the need for corrective actions; and (b) monitoring and reporting procedures to (i) ensure early detection of conditions that necessitate particular mitigation measures, and (ii) furnish information on the progress and results of mitigation. 6 The management plan is sometimes known as an "action plan." The ESMP may be presented as two or three separate plans covering mitigation, monitoring, and institutional aspects, depending on borrowing country requirements. 7 For projects involving rehabilitation, upgrading, expansion, or privatization of existing facilities, remediation of existing environmental problems may be more important than mitigation and monitoring of expected impacts. For such projects, the management plan focuses on cost-effective measures to remediate and manage these problems. 46 Capacity Development and Training To support timely and effective implementation of environmental project components and mitigation measures, the SPCU and TSUs will be staffed with environmental specialists and ensure adequate budget to carry out and later implement the ESMP. If necessary, the ESMP may recommend the establishment or expansion of such expertise, and additional training of SPCU and TSU staff, to allow adequate implementation of EIA recommendations. Specifically, the ESMP provides a specific description of institutional arrangements – who is responsible for carrying out the mitigation 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 ESMPs cover one or more of the following additional topics: (a) technical assistance programs, (b) procurement of equipment and supplies, and (c) organizational changes. Implementation Schedule and Cost Estimates For all three aspects (mitigation, monitoring, and capacity development), the ESMP 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 ESMP. These figures are also integrated into the total project cost tables. Integration of ESMP with Project The borrower's decision to proceed with a project, and the Bank's decision to support it, is predicated in part on the expectation that the ESMP will be 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 ESMP within the project so that the plan will receive funding and supervision along with the other components. The basic structure of an Environmental and Social Management Plan (ESMP) may therefore include the following elements:  Background o Introduction o Project Description o ESMP Context o ESMP Objectives o Environmental Policy  Environmental and Social Management o Environmental and Social Management Structure and Responsibility o Approval and Licensing Requirements o Reporting o Environmental and Social Training o Emergency Contracts and Response  Implementation o Risk Assessment, including OHS risks 47 o Environmental and social Management Activities and Control o Environmental and Social Management Plans or Maps o Mitigation Plan o Environmental Schedules o ESMP Financial Budget  Monitoring and Review o Integrating ESMP into Work Contracts o Environmental and Social Monitoring o OHS Monitoring o Environmental and Social Assessment o Corrective Action o ESMP Review o Third Party Independent Monitoring and Assessment. 48 ANNEX 7: RESETTLEMENT POLICY FRAMEWORK These guidelines are prepared for addressing any resettlement and rehabilitation issues that may arise in this project and have an impact on project affected persons (PAPs). This policy has been developed based on the Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013 subject to subsequent supplements by GoUP orders and World Bank Operational Policy 4.12 on involuntary resettlement. Broad Principles The policy aims to resettle and rehabilitate the affected persons on account of its subprojects in a manner that they do not suffer from adverse impacts and shall improve or at the minimum retain their previous standard of living, earning capacity and production levels. It is also the endeavor of the Department of Tourism, Government of Uttar Pradesh that the resettlement shall minimize dependency and be sustainable socially, economically and institutionally. Special attention will be paid to the improvement of living standards of marginalized and vulnerable groups. This policy recognizes that involuntary resettlement dismantles a previous production system and a way of life. As a result, all such rehabilitation programs will adopt a developmental approach rather than the welfare approach. These guidelines detail the assistance provided in re-establishing the homes and livelihoods of the PAPs during the course of projects. All information related to resettlement preparation and implementation will be disclosed to all concerned, and community participation will be ensured in planning and implementation. Private negotiations will also be used for land acquisition as required. The broad principles of the Resettlement and Rehabilitation (R&R) policy are:  All negative impacts including displacement should be avoided or minimized wherever feasible by exploring all viable alternative project designs.  Where negative impacts are unavoidable, efforts should be made either to improve the standard of living of the affected persons or at least assist them in restoring their previous standard of living at no cost to them.  Ensure people's participation during the course of the project cycle.  Effort should be made towards the enhancement of the positive impact of the projects. The project may broadly have three impacts that require mitigation measures. These are:  Loss of immovable assets, such as houses encroached in monuments, commercial etc.  Loss of livelihood or income opportunities, for instance, for informal street vendors during construction or rehabilitation works, etc.  Impact on the community in terms of loss of common property resources (If any). The first two categories represent direct impacts on an identified population. The people likely to be affected will be surveyed and registered, and project monitoring and evaluation will compare long-term impacts against baseline socio-economic data. 49 The third category represents a group impact, where gains and losses of a group-oriented nature are not quantifiable in terms of impact on the individual. Mitigation and support mechanisms will be collectively oriented, and the monitoring will focus on impact on such groups. All acquisition of private land, if necessary, would be by direct purchase. However, the provisions of the Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013 and subsequent supplements by GoUP shall prevail in case direct purchase fails.  Support will be extended under the broad principles of this policy to meet the replacement value of the assets and loss of livelihood.  The policy further recognizes extension of support to non-titleholders for the loss of livelihood and replacement value for assets other than land.  The common property resources will be replaced as far as feasible and, if not, then assistance will be provided at replacement value to the group. Before taking possession of the acquired lands and properties, if necessary under the project, all compensation, resettlement and rehabilitation would be made in accordance with this policy. In case of displacement, resettlement sites will be developed as part of the project. In such circumstances care should be taken so that there is no/minimum adverse social, economic and environmental effects of displacement on the host communities and specific measures would be provided in the Resettlement and Rehabilitation Action Plan (RAP) to mitigate any such impacts. The implementation of the R&R Action Plan will be synchronized with any civil works to be conducted under the project. The project will ensure that no civil works are initiated before compensation and assistance to affected population has been provided in accordance with this policy. Stakeholder mapping: Through formal and informal consultation, the following stakeholders and interests have been identified: Table 14 - Stakeholder mapping Stakeholder Category Interests Potential/Probable impacts Primary stakeholders Project affected people Access to attractions, project entitlement, time- (+/-) bound delivery of benefits, enhanced quality of life Beneficiaries Access to attractions, project entitlement, time- (+/-) bound delivery of benefits, enhanced quality of life Secondary stakeholders Department of Tourism Project implementation, contracting; project (+/-) management, monitoring and evaluation NGOs, CSOs, Local Development, community participation, and (+/-) Administration community welfare 50 This tentative mapping is likely to change during the project implementation. Each of these stakeholders will be part of the consultation process and their views will be incorporated in the project design. Definitions Cut-off date: In the cases of land acquisition affecting legal titleholders, the cut-off date would be the date of issuing the publication of preliminary notification u/s 11(I) of RFCTLAR Act, 2013 & for the Non-Title holders cutoff date would be the date of Census Survey. Project Affected Person: Person who is affected in respect of his/her land including homestead land and structure thereon, trade and occupation due to construction of the project Project Displaced Person: A displaced person is a person who is compelled to change his/her place of residence and/or work place or place of business, due to the project. Projected Affected Family: Family includes a person, his or her spouse, minor children, minor brothers and minor sisters dependent on him. Provided that widows, divorcees and women deserted by families shall be considered separate families; Explanation - An adult of either gender with or without spouse or children or dependents shall be considered as a separate family for the purpose of this Act. Land Owner: “land owner" includes any person:  Whose name is recorded as the owner of the land or building or part thereof, in the records of the authority concerned; or  Any person who is granted forest rights under the Scheduled Tribes and other Traditional Forest Dwellers (Recognition of Forest Rights) Act, 2006 or under any other law for the time being in force; or  Who is entitled to be granted Patta rights on the land under any law of the State including assigned lands; or any person who has been declared as such by an order of the court or Authority Marginal farmers: “marginal farmer" means a cultivator with an un-irrigated land holding UP to one hectare or irrigated land holding up to one half hectare. Small Farmer: “small farmer” means a cultivator with an un-irrigated land holding up to two hectares or irrigated land holding up to one hectare, but more than the holding of a marginal farmer Encroacher: A person who has trespassed government/ private/community Land, adjacent to his or her land or asset to which he/she is not entitled and who derives his/her livelihood and housing there from prior to the cut-off date. Squatter: A squatter is a person who has settled on publicly owned land for housing or livelihood without permission or who has been occupying publicly owned building without authority prior to the cut-off date. Landless/Agriculture Labor: A person who does not hold any agriculture land and has been deriving main income by working on the lands of others as sub-tenant or as an agriculture labor prior to the cut-off date. 51 Below Poverty Line: A household, whose annual income from all sources is less than the designed sum as fixed by the planning commission of India, will be considered to be below poverty line (BPL). Vulnerable Person: The Vulnerable group may include but not be limited to the following:  Those people falling under Below Poverty line category as defined by GoUP.  Member of Scheduled caste/tribe community/other backward community.  Women Headed households.  Senior citizen-person above the age of 60 years.  Landless  Village artisan Potential Negative Impacts of the Project Though it is envisaged that subprojects will involve very generic social issues that are manageable, there might be some subproject activities proposed in due course, that may carry a higher social risk and/or disruptions and/or impacts. The possibility of such issues arising in the subprojects sites will be identified during the subproject screening process. For the construction/rehabilitation/restoration phase, the main potential social issues are:  Loss of private land: No public and private land taking is foreseen under this project.8 To the extent possible, project will not acquire any private land parcel.  Relocation of structures: Structures, such as street vendor stalls, may need to be moved or relocated in order to rehabilitate historical structures or touristic areas or in order to bring the areas to international and/or national standards. Removal/displacement of vendor stalls or small businesses may have adverse impacts with regards to security of said vendors. This can especially impact women vendors or small business owners. This will require action at the subproject level.  Loss of and / or access to public; common and/ or private property: Fences may need to be erected to protect current public grounds, and they could block access to people’s lands or assets (including crops). Vendor stalls may need to be moved to be outside or inside the fence (which could reduce the customer base of the vendor).  Inconvenience during construction: There could be temporary impacts during construction activities including dust, noise and increased vehicle traffic, and lighting during nighttime hours.  Loss of livelihood or sources of livelihood: There may be negative economic impacts on small businesses and individuals informally working in the structure/site/area to be rehabilitated. Vendors or small businesses removed or displaced from their original locations may be unable to return to these once they have been rehabilitated, thus facing significant loss of income. This requires action to avoid adverse impacts, or to restore livelihoods under the applicable resettlement instrument. For the operation and maintenance phase, the main potential social issues are:  Unequal benefits from the subprojects to the detriment of women, youth and other vulnerable and cultural groups, potentially resulting in intra-community conflict. 8 In case private land may need to be acquired during the project implementation, the project will first screen and assess any potential adverse impact, and thus mitigate losses and assist subproject affected persons as per the agreed entitlement framework given in this ESMF. 52  Increase in violence and harassment in public areas which can negatively impact economic activity of women, youth and other vulnerable and cultural groups.  Health issues if solid waste from construction is not properly disposed of; emissions from construction equipment; noise and dust during construction.  Conflict between construction workers and the community.  Inconvenience to the community if traffic flow is not managed during implementation.  Additional impact on community infrastructure due to influx of labor force. R&R Benefits for Project Affected Families The resettlement and rehabilitation (R&R) benefits shall be extended to all the Project Affected Families (PAF) whether they are classified as below poverty line (BPL) or non-BPL. The details are provided in the entitlement matrix. For tribal populations, the following provisions will be adhered to:  Each PAF in the scheduled tribe category shall be given preference in allotment of land.  Tribal PAFs will be resettled close to their natural habitat in a compact block so that they can retain their ethnic/linguistic and cultural identity.  Any tribal land alienated in violation of the relevant laws and regulations would be treated as null and void and the R&R benefits would be available only to the original tribal land owner. 53 Table 15 - Entitlement matrix S. Definition of Application Entitlement Details No. Entitled Unit A. Loss of Private Agricultural, Home-Stead & Commercial Land 1 Land Titleholder Compensation a) Land for land, if available. Or, cash family and at Market value, compensation for the land at market value, families with Resettlement which will be determined as provided under traditional land and section 26 of RFCTLARR Act 2013. rights Rehabilitation b) The land if allotted will be in the name of both husband and wife. c) If post acquisition, residual land is economically unviable, the land owner will have the choice of either retaining or selling off rest of the land. d) Refund of stamp duty and registration charges incurred for replacement land to be paid by the project; replacement land must be bought within a year from the date of payment of compensation to project affected persons. e) Subsistence allowance of Rs. 36000 as one time grant. f) One time grant of Rs. 500,000 or annuity. g) Compensation at market value for loss of crops, if any. B. Loss of Private Structures (Residential/Commercial) 2 Structure Title Holder/ Compensation a) Cash compensation for the structure at market Owner at Market value, value, which would be determined as per Resettlement & section 29 of the RFCTLARR Act 2013. House Rehabilitation under Indian Awas Yojna in rural area or Rs Assistance 50000 in lieu of and house under RAY in urban area or Rs 100,000 in lieu of. The house if allotted will be in the name of both husband and wife. b) Right to salvage material from the demolished structures. c) Three months' notice to vacate structures. d) Refund of stamp duty and registration charges for purchase of new alternative houses/shops at prevailing rates on the market value as determined in (a) above. Alternative houses/shops must be bought within a year from the date of payment of compensation. e) In case of partially affected structures and the remaining structure remains viable, additional 10% to restore the structure. In case of partially affected structures and the remaining structure becomes unviable additional 25% of compensation amount as severance allowance. f) Subsistence allowance equivalent to Rs. 36000 as one time grant. g) Each affected family getting displaced shall get a one-time financial assistance of Rs 50,000 as shifting allowance. h) Each affected family that is displaced and has cattle, shall get financial assistance of Rs 25,000/- for construction of cattle shed. i) One time grant of Rs. 50,000 as resettlement assistance. j) Each affected person who is a rural artisan, small trader or self-employed person and who has been displaced (in this project owner of any residential-cum commercial structure) shall 54 S. Definition of Application Entitlement Details No. Entitled Unit get a one-time financial assistance of Rs. 25,000/- for construction of working shed or shop. k) One time grant of Rs. 500,000. 3 Structure Tenants/ Resettlement & a) Registered lessees will be entitled to an Lease Holders Rehabilitation apportionment of the compensation payable to Assistance structure owner as per applicable local laws. b) In case of tenants, three months written notice will be provided along with Rs 50,000 towards shifting allowance. C. Loss of Trees and Crops 4 Standing Owners and Compensation a) Three months advance notice to project Trees, beneficiaries at market value affected persons to harvest fruits, standing crops Crops (Registered/ Un- and removal of trees. registered b) Compensation to be paid at the rate estimated tenants, by: contract i)The Forest Department for timber trees leaseholders ii) The State Agriculture Extension Department for crops iii) The Horticulture Department for fruit/flower bearing trees. c) Registered tenants, contracted cultivators & leaseholders& sharecroppers will be eligible for compensation for trees and crops as per the agreement document between the owner and the beneficiaries. d) Un-registered tenants, contract cultivators, leaseholders & sharecroppers will be eligible for compensation for trees and crops as per mutual understanding between the owner and the beneficiaries. D. Loss of Residential/ Commercial Structures to Non-Titled Holders 5 Structures Owners of Resettlement & a) Non-vulnerable encroachers shall be given within the Structures or Rehabilitation three months' notice to vacate occupied land. Government Occupants of Assistance b) Vulnerable encroachers will be provided cash land structures assistance at replacement cost for loss of identified as per structures as described in section 29 of the Project Census RFCTLARR Act 2013. Survey c) Any encroacher identified as non-vulnerable but losing more than 25% of structure used will be paid cash assistance at replacement cost for loss of structures. The amount will be determined as per section 29 of the RFCTLARR Act 2013. d) All squatters to be paid cash assistance for their structures at replacement costs which will be determined as mentioned in section 29 of the RFCTLARR Act 2013. e) All squatters (other than kiosks) will be eligible for one time grant of Rs 36000 as subsistence allowance. f) All squatters other than Kiosks will be given shifting allowance of Rs 50,000 per family as one time grant for a permanent structure and Rs. 30,000 for a semi- permanent structure and Rs. 10,000 for a temporary structure. g) Each affected person who is a rural artisan, small trader or self-employed person assistance of Rs 25,000/- for construction of working shed or shop. h) In case of Kiosks, Rs. 5000 will be paid as one 55 S. Definition of Application Entitlement Details No. Entitled Unit time grant. E. Loss of Livelihood 6 Households Title Holders/ Resettlement & a) Subsistence allowance of Rs. 36,000 as one Non-Title Rehabilitation time grant. (PAPs covered under 1(f), 2 (f) holders/ Assistance and 5 (e) above would not be eligible for this and assistance). employees b) Training Assistance of Rs 10,000/- for income generation per family. c) Temporary employment in the project construction work to project affected persons with particular attention to vulnerable groups by the project contractor during construction, to the extent possible. F. Additional Support to Vulnerable Families 7 Households SC,ST, BPL, Resettlement & a) One time additional financial assistance of WHH families Rehabilitation Rs. 50,000. Assistance b) Squatters and encroachers already covered under clause 5 are not eligible for this assistance. G. Loss of Community Infrastructure/Common Property Resources 8 Structures & Affected Reconstruction Reconstruction of community structure and other communities of community common property resources in consultation with resources and groups structure and the community. (e.g. land, common water, access property to structures resources etc.) H.Temporary Impact During Construction 9 Land & assets Owners of land Compensation Compensation to be paid by the contractor for loss temporarily & for temporary of assets, crops and any other damage as per impacted Assets impact during prior agreement between the 'Contractor' and the during construction 'Affected Party'. construction e.g. diversion of normal traffic, damage to adjacent parcel of land / assets due to movement of heavy machinery and plant site. I. Resettlement Site 10 Loss of Displaced Provision of Resettlement sites will be developed as part of the residential titleholders and resettlement project, if a minimum of 25 project displaced structures non-titleholders site/ vendor families opt for assisted resettlement. Vulnerable market PAPs will be given preference in allotment of plots/flats at the resettlement site. Plot size will be equivalent to size lost subject to a maximum of provision given in RFCTLARR Act 2013. Basic facilities shall be provided by the project at resettlement site as per the provisions given in the Third Schedule of RFCTLARR Act 2013. Similarly, if at least 25 displaced commercial establishments (small business enterprises) opt for shopping units, the Project Authority will develop the vendor market at a suitable location in the nearby area in consultation with displaced persons. Basic facilities such as approach road, electricity connection, water and sanitation facility, will be provided in the 56 S. Definition of Application Entitlement Details No. Entitled Unit vendor market by the project. Vulnerable PAPs will be given preference in allotment of shops in vendor market. One displaced family will be eligible for only one land plot at resettlement site or shop in the vendor market. Land Acquisition and Compensation Disbursement Process According to the assessment of the preliminary list of prioritized works, private land acquisition is not envisaged. However, in case of any involuntary resettlement, the scale is likely to be of small scale and would not trigger the need for a full resettlement action plan. Nevertheless, as a precaution, the classification of subprojects of the RPF describes actions and procedures to be followed in case any involuntary displacement does occur. In the event that involuntary displacement as defined in the Bank’s policy 4.12 takes place, the principles and procedures defined in the project’s RPF will apply. Land Acquisition Land needed for the project, if any, shall be acquired by direct negotiation as outlined in this policy framework. However, record of all those cases where negotiations have failed and reasons for failure of negotiations shall be maintained for future reference. Option I will be direct purchase of land as per Government Order No. 2/2015/215/1-13-2015- 20(48)/2011 dated March 19, 2015 whereas option II will be acquisition of private land in case negotiations under option I fail. Land acquisition will be the responsibility of the government. The Land Acquisition Plan (LAP) as per the detailed design giving details of each plot such as Plot No., total area of affected land, area of land to be acquired, age of total land area affected, names of interested persons, type of land, present use of land, etc. along with revenue map shall be prepared by the project.  In case of land being acquired through negotiation, the requiring agency will pay the entire negotiated amount to the land losers as bullet payment.  After approval of micro-plan, the Project Authority will pay all kinds of assistance to affected persons in a transparent manner.  In case of land being acquired through RFCTLARR Act, 2013, the compensation amount will be paid to the land losers as per provisions of the Act. The project will deposit the entire amount of compensation with the concern Land Acquisition Collector. The completion of land acquisition is considered only when the landowner receives the notice for collection of compensation amount.  In case some claimants are pending even after several reminders (maximum 4) and notifications, the compensation money will be kept in a separate account till the currency of the project. Interested parties either directly or through their legal heirs, as the case may be, may claim their compensation before the Land Acquisition Collector after satisfactory documentary verification. After project completion, however, the money may be kept in the government treasury as “unclaimed money”. Disposal of acquired properties Any acquired land and properties shall vest in the department/organization paying compensation for such lands/properties. Even after payment of compensation, PDPs and PAPs 57 will be allowed to salvage the materials from their houses, shops, etc. acquired by the project and no charges will be levied upon them from the government. Project authorities will give a notice to people to salvage the material within 15 days of the issue of the notice. Consultation Framework The Consultation Framework envisages involvement of all the stakeholders at each stage of project planning and implementation. The project will be responsible for ensuring participation of the community at subproject level. Involvement of the community is not limited to interactions with the community but also disclosing relevant information pertaining to the project tasks. Community participation shall be undertaken at the following stages:  Subproject identification stage– to sensitize the community about the project and their role;  Planning Stage– for disseminating information pertaining to the project, work schedule and the procedures involved; finalization of project components with identification of impacts, entitled persons, mitigation measures; and Grievance Redress; and  Implementation Stage– for addressing temporary impacts during construction and monitoring for transparency in the project implementation Identification Stage Dissemination of project information to the community and relevant stakeholders is to be carried out by the project at this stage. The community at large shall be made aware of the project alternatives and necessary feedback is to be obtained. This should include the process being followed for prioritization of the identified subprojects. Community and other stakeholders should be involved in the decision making to the extent possible. Information generated at this stage should be documented for addressal of queries arising out of the Right to Information Act, 2005. Project Planning Stage Subproject information is to be distributed amongst the community towards increasing their awareness and their roles and responsibilities. The planning stage is intended to be an interactive process with the community at least in two stages – initially while finalizing the best fit alternative to a subproject and second at the finalization of the detailed designs. This would be the joint responsibility of the consultants undertaking the design if not carried out by the project in-house. Consultations with community/beneficiaries and/or Project Affected Persons and their profiling are mandatory as per the requirements of SIA and preparation of RAP. This needs to be done as socio-economic and census surveys as part of the detailed designs. Consultations with respect to this and cultural aspects are to be carried out as part of the SIAs for all alternatives and the selected alternative subproject option. Implementation Stage Consultations as part of the implementation stage would be direct interactions of the implementation agency and entities with the community/beneficiaries and/or Project Affected Persons. These would comprise of consultations towards relocation of the PAPs, relocation of cultural properties, and towards addressal of impacts on common property resources (CPRs) such as water bodies, places of religious importance, community buildings, trees etc. 58 With the implementation of the R&R provisions in progress, consultations and information dissemination is to be undertaken to let the community/beneficiaries and/or affected persons informed of the progress. The implementation stage also involves redress of grievances in case of R&R aspects as well as relocation of common property resources through the grievance redress mechanisms. These would usually be one-to-one meetings of community/beneficiaries and/or PAP with the grievance redress committees established for the project. Information Disclosure The mechanism of information dissemination, for instance briefing material and community consultation sessions, will be accessible to all. Any briefing material (all to be prepared in local language) can be in the form of a. Brochures (including project information, project benefits; adverse impacts if any, and details of entitlements including compensation and assistance to be given to the PAPs) that can be kept in the offices of local self-government (municipal office in case of urban area and gram panchayat office in case of rural area) and project office; b. Posters to be displayed at prominent locations; and c. Leaflets that can be distributed in the impacted zone of the sub project. Consultation meetings should also be organized at regular intervals by the project to acquaint the community/beneficiaries and/or PAPs of the following:  Timeline and progress of the project;  Information on benefits / adverse impacts; compensation and entitlements;  Timeline for project completion. This Information Disclosure Policy is intended to ensure that information concerning the project activities will be made available to the public in the absence of a compelling reason for confidentiality. Information shall be provided in a timely and regular manner to all stakeholders, affected parties, and the general public. Access by the public to information and documentation held or generated by project will facilitate the transparency, accountability, and legitimacy as well as operations overseen by it. As a part of its disclosure policy, all documents shall be made available to the public in accordance with relevant provisions of the RTI Act, except when otherwise warranted by legal requirements. A designated individual shall be responsible for ensuring timely and complete dissemination in accordance with this policy. Information to be disclosed The following information needs to be disclosed:  Project specific information needs to be made available at each contract site through public information kiosks  Project information brochures shall be made available at all the construction sites as well as the office of the Implementation Agency and the project office in charge.  Reports and publications, as deemed fit, shall be expressly prepared for public dissemination e.g., English versions of the SIA and RAP and Executive Summary of SIA and RAP in local language.  Wherever civil work will be carried out, a board will be put up for public information which will disclose all desired information to the public, for greater social accountability. 59  All information will be translated into local language and will be disclosed to the public through the Panchayat, District Magistrate’s office, concerned project offices, websites of UP Department of Tourism.  All SIAs, RAPs / ARAPs will be disclosed both in English as well as in local language. Table 16 - Information to be disclosed, frequency and location Documents to be Topic Frequency Location disclosed Resettlement, Resettlement Action Once in the entire project World Bank’s Infoshop; on the Rehabilitation Plan (RAP). cycle. But to remain on the website of Department of Tourism; and Land website and other the client would make the RAP Acquisition disclosure locations available at a place accessible to throughout the project displaced persons and local NGOs, period. in a form, manner, and language that are understandable to the PAPs in the following offices:  DM’s Office  District Libraries  Local municipal and grampanchayat office  Contractor camp  Project Office Resettlement & Once in the entire project Distributed among Project Affected Rehabilitation Policy cycle. Persons (PAP) translated in local language Information Once at the start of the Through one-to-one contact with regarding impacts project and as and when PAPs; community consultation; list and their demanded by the PAP. of PAPs with impacts and entitlements in local entitlements to be pasted in the IA language office and website of project R&R and land 10th day of every month Website of project; hard copy in the acquisition/transfer office of IA and contractor in local monthly progress language report. RAP Impact At midterm and end of the Project’s website in local language Assessment Report RAP implementation Land As required under the Project’s website; hard copy in the acquisition/transfer RFCTLARR Act 2013, in project office and contractor office notifications case land is to be required in local language Grievance redress Continuous process World Bank’s Infoshop; on the process. throughout the project project website; hard copies in local cycle. language in the following offices:  DM’s Office  Local municipal and grampanchayat office  Office of the contractor  Project Office Public Minutes of Formal Within two weeks of On the project website; hard copies Consultation Public Consultation meeting in local language in the following Meetings offices:  DM’s Office  Local municipal and gram panchayat office 60 Documents to be Topic Frequency Location disclosed  Office of the contractor  Project Office Grievance Redress Mechanism An integrated system will be established with Grievance Redress Cells (GRCs), with necessary officials and systems, at the state as well as district levels. Grievances, if any, may be submitted through various mediums, including in person, in written form to a noted address, through a toll free phone line or through direct calls to concerned officials, and online. All local contact information and options for complaint submission will be available on site on local information boards. In addition, they will be available to the Public Information Officers to be appointed under the Right to Information (RTI) Act. A half yearly report on Grievance Redress by the project will be prepared. The project will abide by the RTI Act of 2005; it will commit itself for proactive disclosure and sharing of information with the key stakeholders, including the communities/beneficiaries. The project will have a communication strategy focusing on efficient and effective usage of print and electronic media, bill boards, posters, wall writing, and adoption of any other method suiting local context, logistics, human and financial resources. A Grievance Redress Cell (GRC) will be set up at the state level and at district level where investments have been or will be planned. The staffing of GRC will include representatives from implementing entities; subproject-level environmental and social officer; and two representatives from the community/affected persons. The head of the cell will be a person of repute but not continuing in the government service. The GRC will have its own bylaws. The functions of the GRC will include: (i) to redress grievances of community/beneficiaries/project affected persons (PAPs) in all respects; (ii) rehabilitation and resettlement assistance and related activities; (iii) GRC will only deal with the issues related to resettlement and rehabilitation and individual grievances; (iv) GRC will give its decision/verdict within 15 days after hearing the aggrieved person; (v) final verdict of the GRC will be given by the Chairman/Head of GRC in consultation with other members of the GRC and will be binding to all other members. In addition to the mechanism explained above, PAPs has the right to approach judiciary of the country. Institutional Arrangements for Addressing Social Safeguards The project will finance dedicated teams to be based in Lucknow and in project target areas responsible for managing, coordinating and monitoring the execution of its subprojects. The State Project Coordination Unit (SPCU) in Lucknow, located in the Department of Tourism, will be responsible for addressing social safeguard measures. The SPCU will be supported by competitively selected technical specialists (Technical Support Units – TSUs) based in selected project target areas, in principle in Agra and Mathura. The TSUs will support the respective Development Authorities, the project implementing entities, in the day-to-day execution of respective subprojects. The DoT has already hired a Social Development Specialist and a Heritage/Landscape Conservation Specialist for the SPCU and is in the process of hiring an Environment Specialist to coordinate, review, support and monitor all respective safeguards aspects of the project. The specialists will also train and strengthen the capacities of specialists in the TSUs and in the implementing entities. The project may hire qualified civil society organizations for the 61 implementation of a Resettlement Action Plan or a Physical Cultural Resources Management Plan, if required. The SPCU and the decentralized TSUs may also be supported by competitively recruited experts in highly specialized areas, such as restoration of heritage properties, as needed. The Environment and Heritage/Landscape Conservation Specialists would be responsible for similar tasks in their respective areas. Monitoring and Reporting The SPCU will also hire a Monitoring and Evaluation specialist to assist the Technical Support Units in the continued supervision of subprojects. A dedicated team of experts will manage the project-specific communication activities at local, state, country and regional levels, as needed. The SPCU through the respective implementing entities and Technical Support Units will monitor all the subprojects to ensure conformity to the requirements of this ESMF. The monitoring will cover all stages of planning and implementation. The monitoring will be carried out through the environmental, social and cultural heritage safeguard compliance reports that will form a part of Quarterly Progress Reports (QPR) for all subprojects and regular visits by the environmental, social and cultural specialists of the SPCU and implementing entities/TSUs. In addition, the SPCU will undertake an annual assessment of the applicable management plans on sample basis and will review their status compliance, as per the Sample Monitoring and Reporting Terms of Reference provided in Annex 14. The SPCU will review these assessment reports and identify technical, managerial, policy or regulatory issues with regards to the compliance of the management plans. The identified policy and regulatory and technical issues will be duly incorporated in the subproject and the need for appropriate interventions will be determined. These interventions could include appropriate revision of this ESMF document or suitable analytical studies to influence policy or programs of the state, if found necessary/warranted. Specifically on involuntary resettlement, an external evaluation of the Resettlement Action Plan implementation prepared for subprojects will also be undertaken twice during the implementation of the project – midterm and at the end of the implementation. During implementation, meetings will be organized by the SPCU, inviting all implementing entities in the state to provide information on the progress of the project work. Capacity Building Given that Department of Tourism is implementing a World Bank-financed project for the first time, the capacity to address social, cultural and environmental issues as per the World Bank safeguards policies is limited. The current project staff at the Department of Tourism project has received training in the management of safeguards issues. This training program will continue throughout the project implementation. The training program is coordinated and anchored by the Department of Tourism with support from agencies/individuals experienced in safeguard aspects for developing courses on conducting training programs. Training focuses on this ESMF, regulatory requirements, environment and social priority issues, project cycle of investments, outline of the ESIAs, management plans and report formats, as well as the resettlement and rehabilitation and heritage policies and procedures, land acquisition process, identification of project affected people, social entitlement frameworks, social assessment, risk assessment and management skills. 62 As part of this on-the-job training program, the Department of Tourism also plans to develop decentralized local capacity on managing environmental, social and cultural properties issues associated with various investments. To achieve this objective, the specialists will develop a network of technical man power resources such as staff from universities/research institutions, civil society organizations, etc. These persons will provide support to the project agencies in conducting the required impact assessments and later in implementing all applicable management plans (including Resettlement Action Plan, Gender Action Plan, as relevant) and also offer support on an on-going basis. 63 Annex 7A: Resettlement Action Plan The scope and level of detail of the resettlement plan vary with the magnitude and complexity of resettlement. The plan is based on up-to-date and reliable information about (a) the proposed resettlement and its impacts on the displaced persons and other adversely affected groups, and (b) the legal issues involved in resettlement. The resettlement plan covers the elements below, as relevant. When any element is not relevant to project circumstances, it should be noted in the resettlement plan. Element Satisfactory Comments Action Description of the project General description, and identification of the project area. Potential impacts Identification of: (a) project component or activities that give rise to (a) resettlement; (b) (b) zone of impact of such component or activities; (c) (c) alternatives considered to avoid or minimize (d) resettlement; and (d) mechanisms established to minimize resettlement, to the extent possible, during project implementation. Objectives Main objectives of the resettlement program. Socioeconomic studies Findings of the studies to be conducted in the early stages of project preparation and with the involvement of potentially displaced people: (a) Census survey covering: (i) (i) current occupants of the affected area to establish a basis for the design of the resettlement program and to exclude subsequent inflows of (ii) people from eligibility for compensation and resettlement assistance; (ii) standard characteristics of displaced households, including a description of production systems, labor, and household organization; and (iii) baseline information on livelihoods (including, as relevant, production levels and income derived (iv) from both formal and informal economic activities) and standards of living (including health status) of the displaced population; (iii) the magnitude of the expected loss--total or partial--of assets, and the extent of displacement, physical or economic; (i) (iv) information on vulnerable groups or persons, for whom special provisions may have to be made; (v) provisions to update information on the displaced people's livelihoods and standards of living at regular intervals so that the latest (ii) information is available at the time of their displacement. (b) Other studies describing the following: (iii) (i) land tenure and transfer systems, including an (iv) inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) 64 governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the project area; (ii) the patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the project; (iii) public infrastructure and social services that will be affected; (iv) social and cultural characteristics of displaced communities, including a description of formal and informal institutions (e.g., community organizations, ritual groups, nongovernmental organizations (NGOs)) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities. Legal framework The findings of an analysis of the legal framework: (a) (a) scope of the power of eminent domain and the nature of compensation associated with it, in terms of both the valuation methodology and the timing of (b) payment; (b) applicable legal and administrative procedures, including a description of the remedies available to displaced persons in the judicial process and the (c) normal timeframe for such procedures, and any available alternative dispute resolution mechanisms that may be relevant to resettlement under the (d) project; (c) relevant law (including customary and traditional (e) law) governing land tenure, valuation of assets and losses, compensation, and natural resource usage (f) rights; customary personal law related to displacement; and environmental laws and social welfare legislation; (d) laws and regulations relating to the agencies responsible for implementing resettlement activities; (e) gaps, if any, between local laws covering eminent domain and resettlement and the Bank's resettlement policy, and the mechanisms to bridge such gaps; and (f) any legal steps necessary to ensure the effective implementation of resettlement activities under the project, including, as appropriate, a process for recognizing claims to legal rights to land--including claims that derive from customary law and traditional usage. Institutional Framework The findings of an analysis of the institutional framework covering (a) (a) identification of agencies responsible for resettlement activities and NGOs that may have a (b) role in project implementation; (b) assessment of the institutional capacity of such (c) agencies and NGOs; and (c) any steps that are proposed to enhance the institutional capacity of agencies and NGOs responsible for resettlement implementation. Eligibility Definition of displaced persons and criteria for determining their eligibility for compensation and other resettlement assistance, including relevant cut- off dates. 65 Valuation of and compensation for losses Methodology to be used in valuing losses to determine their replacement cost; and a description of the proposed types and levels of compensation under local law and such supplementary measures as are necessary to achieve replacement cost for lost assets. Resettlement measures Description of the packages of compensation and other resettlement measures that will assist each category of eligible displaced persons to achieve the objectives of the policy.In addition to being technically and economically feasible, the resettlement packages should be compatible with the cultural preferences of the displaced persons, and prepared in consultation with them. Site selection, site preparation, and relocation Alternative relocation sites considered and explanation of those selected, covering (a) institutional and technical arrangements for (a) identifying and preparing relocation sites, whether rural or urban, for which a combination of productive potential, locational advantages, and other factors is (b) at least comparable to the advantages of the old sites, with an estimate of the time needed to acquire and (c) transfer land and ancillary resources; (b) any measures necessary to prevent land (d) speculation or influx of ineligible persons at the selected sites; (c) procedures for physical relocation under the project, including timetables for site preparation and transfer; (d) legal arrangements for regularizing tenure and transferring titles to resettlers Housing, infrastructure, and social services Plans to provide (or to finance resettlers' provision of) housing, infrastructure (e.g., water supply, feeder roads), and social services (e.g., schools, health services); plans to ensure comparable services to host populations; any necessary site development, engineering, and architectural designs for these facilities. Environmental protection and management Description of the boundaries of the relocation area; and an assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement). 66 Community participation Involvement of resettlers’ and host communities: (a) a description of the strategy for consultation with (a) and participation of resettlers and hosts in the design and implementation of the resettlement activities; (b) a summary of the views expressed and how these (b) views were taken into account in preparing the resettlement plan; (c) a review of the resettlement alternatives presented (c) and the choices made by displaced persons regarding options available to them, including choices related to forms of compensation and resettlement assistance, to relocating as individuals families or as parts of (d) preexisting communities or kinship groups, to sustaining existing patterns of group organization, and to retaining access to cultural property (e.g. places of worship, pilgrimage centers, cemeteries); and (d) institutionalized arrangements by which displaced people can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that such vulnerable groups as indigenous people, ethnic minorities, the landless, and women are adequately represented. Integration with host populations Measures to mitigate the impact of resettlement on (a) any host communities: (a) consultations with host communities and local (b) governments; (b) arrangements for prompt tendering of any (c) payment due the hosts for land or other assets provided to resettlers; (d) (c) arrangements for addressing any conflict that may arise between resettlers and host communities; (d) any measures necessary to augment services (e.g., education, water, health, and production services) in host communities to make them at least comparable to services available to resettlers. Grievance procedures Affordable and accessible procedures for third-party settlement of disputes arising from resettlement; such grievance mechanisms should take into account the availability of judicial recourse and community and traditional dispute settlement mechanisms. Organizational responsibilities Organizational framework for implementing resettlement, including identification of agencies responsible for delivery of resettlement measures and provision of services; arrangements to ensure appropriate coordination between agencies and jurisdictions involved in implementation; and any measures (including technical assistance) needed to strengthen the implementing entities' capacity to design and carry out resettlement activities; provisions for the transfer to local authorities or resettlers themselves of responsibility for managing facilities and services provided under the project and for transferring other such responsibilities from the resettlement implementing entities, when appropriate. Implementation schedule An implementation schedule covering all resettlement activities from preparation through implementation, including target dates for the achievement of expected benefits to resettlers and hosts and terminating the 67 various forms of assistance. The schedule should indicate how the resettlement activities are linked to the implementation of the overall project. Costs and budget Tables showing itemized cost estimates for all resettlement activities, including allowances for inflation, population growth, and other contingencies; timetables for expenditures; sources of funds; and arrangements for timely flow of funds, and funding for resettlement, if any, in areas outside the jurisdiction of the implementing entities. Monitoring and evaluation Arrangements for monitoring of resettlement activities by the Implementing Agency, supplemented by independent monitors as considered appropriate by the Bank, to ensure complete and objective information; performance monitoring indicators to measure inputs, outputs, and outcomes for resettlement activities; involvement of the displaced persons in the monitoring process; evaluation of the impact of resettlement for a reasonable period after all resettlement and related development activities have been completed; using the results of resettlement monitoring to guide subsequent implementation. 68 Annex 7B: Abbreviated Resettlement Action Plan If less than 200 persons are expected to be affected by a subproject, an abbreviated plan needs to be prepared, covering the following minimum elements: Element Satisfactory Comments Action (a) Census survey of displaced persons and valuation of assets; (b) Identification and quantification of impacts (c) Description of compensation and other resettlement assistance to be provided; (d) Consultations with displaced people about acceptable alternatives; (e) Institutional responsibility for implementation and procedures for grievance redress; (f) Arrangements for monitoring and implementation; (g) Timetable and budget. 69 ANNEX 8: GENDER DEVELOPMENT FRAMEWORK Introduction Mainstreaming gender equity and empowerment will be an intrinsic aspect of the project. Its development objective and proposed activities related to local economic development as well as the provision of basic services pay special attention to address women and men as well as girls’ and boys’ specific needs.9 Applying a gender lens to the project’s preparation and implementation means that:  All data should be disaggregated by gender, caste, ethnicity, location and age.  Issues of division of labor, access to resources and decision making power (who is doing what, who has access to what, who makes the ultimate decision) have to be assessed for their gender differential impact on women and men of different social identity group.  Assessment of policies, programs, institutional arrangements, human resources issues and M&E system has to be done from a gender perspective of project, project authorities and community groups. To this end, a Gender Development Framework that outlines the preparation of a Gender Assessment and Gender Action Plan is proposed under the project as part of this ESMF in order to provide the Department of Tourism, the implementing entities and partners with the necessary guidance for the analysis of gender issues during the subproject preparation and later execution. To gather data and ensure that subprojects are gender sensitive, gender analysis will be an integral part of the subproject screening. Any adverse gender issues identified will be further analyzed as part of the Social Impact Assessment of the subproject. This analysis will include gender specific queries both at primary data collection and review of available secondary data. This quantitative and qualitative analysis will bring out sex disaggregated data and issues related to gender disparity, needs, constraints, and priorities; as well as understanding of potential for gender based inequitable risks, benefits and opportunities. The subproject further technical detailing (feasibility studies and DPR preparation) will address the findings and recommendations from the gender analysis as well as feedback from potentially affected groups and individuals. In case of major gender issues identified beyond specific subprojects, the Department of Tourism will promote the necessary dialogue with the concerned authorities, such as the Ministry of Women and Children, National Commission for Women, National Mission for Empowerment of Women, the Federation of the Indian Chambers of Commerce and Industry’s Ladies Organization, to ensure national and state requirements are followed by the project. 9 The effectiveness and sustainability of any project relies substantially on its capacity to address the constraints on women’s participation in its several stages from design, implementation, operation and maintenance to training and monitoring and evaluation. Successful projects have also focused on understanding the linkages between gender and poverty, by identifying, for example, households headed by females and with special needs. Experience shows that an adaptive, learning-by-doing, and process- oriented approach works better than a blue print approach; continuous dialogue between the project team and its target population is therefore important. Project target groups and individuals are likely to have a stronger sense of ownership when the project gives them enough time, design flexibility, and capacity to take corrective action. Therefore, consultative mechanisms are being proposed under the project to allow such two-way interactions between its target population and service providers. 70 Gender Assessment and Gender Action Plan The gender assessment identifies the key gender issues in the project area as well as ways to mitigate any adverse effects. The assessment also provides an overview of the institutional or regulatory frameworks concerned with gender in the project area. The tasks to be carried out as part of the gender assessment include, but are not limited to, the following:  Desk review that looks at all available information (e.g. statistics, other gender reports or documents of previous tourism projects) in the project area and the socioeconomic profile of the target population. The review will identify the relevant legal policy and institutional frameworks and their gender implications as well as the government programs that encourage equal opportunities and participation of women in the project area.  Primary qualitative and quantitative data collection including household surveys, focus group discussions, and random interviews with women and men in sub projects.  Assessment of the most disadvantaged areas and sections of society (widows, female- headed households, disabled men and women) in terms of access to services and poverty level. Identification of major stakeholder groups that work on gender issues and assessment of women’s participation in implementing entities, community organizations, and tender boards or other decision-making forums related to the planning, implementation, monitoring, and evaluation of subprojects.  Identification of how tourism sector strategies, policies, or grievance mechanisms address gender issues. This can also include specific training, communication or gender sensitization workshops held for men and women in the tourism ministry / department staff and implementing entities. If required, a Gender Action Plan (GAP) will be prepared at the earliest stage of subproject preparation and implementation. The GAP will help (i) guide how any potential adverse gender impacts will be addressed, (ii) set forth guidelines and plans for each subproject to ensure that men and women participate and benefit equally, and support gender-disaggregated data collection. The tasks to be carried out as part of the gender assessment include, but are not limited to, the following:  Undertake quality social and gender analyses. Identify constraints to participating and benefiting men and women; develop strategies for each subproject to ensure that men and women participate and benefit equally.  Revisit gender design strategies at inception. The plan needs to be tested and reviewed early in implementation; identify detailed activities, targets, resources, and responsibilities for implementation.  Gender Action Plan must be fully owned and understood by the implementing agency. Use a participatory and flexible approach to developing the plan; a strong rationale that is directly linked to overall project objectives is needed for targeting and working with women.  Identify realistic targets linked to subproject objectives. Targets and strategies should enable step-by-step progress, bringing incremental changes and challenging culture without threatening it; linking targets to loan objectives helps all stakeholders to 71 understand the rationale for focusing on women and helps monitoring of participation and benefits.  Include gender capacity building in the Gender Action Plan. Both formal training and ongoing support and mentoring are needed for developing skills, ownership, and commitment.  Provide adequate skills and resources for implementation of Gender Action Plan. Long- term gender specialists in the implementing entities or project team and adequate resources for implementation of actions; nongovernmental organizations and other agencies contracted to implement project activities should have a demonstrated gender capacity.  Monitor and follow up gender-related targets and activities. Systematic follow-up to ensure that policy reforms and gender actions are implemented; routine monitoring and reporting; gender-sensitive indicators and gender-related risks must be included in project logical frameworks. 72 ANNEX 9: PHYSICAL CULTURAL RESOURCES MANAGEMENT PLAN Introduction Development of a physical cultural resources management plan is an integral part of the Environmental Impact Assessment process. Typically, the plan includes measures for avoiding or mitigating any adverse impacts on physical cultural resources, provisions for the management of chance finds, any necessary measures for strengthening institutional capacity, a monitoring system to track progress of these activities, and takes into account the country’s overall policy framework, national legislation10 and institutional capabilities in regard to physical cultural resources. The proposed monitoring system should cover the expected impacts, and the implementation of the mitigating measures recommended in the EIA report, as well as impacts that were not included in the impact assessment, possibly because it was thought that such physical cultural resource would not be affected. In the case of a major subproject in a culturally sensitive area, which requires substantial archaeological investigations during project implementation, consideration should be given to instituting a program of independent monitoring and review. Whenever it is considered possible for project related activities to encounter archaeological or paleontological sites, or artifacts, the contractors should be required to follow procedures outlined by the World Bank regarding chance finds. The PCR Management Plan The PCR Management Plan can constitute a section of the Environmental and Social Management Plan, if one is required. Otherwise, it may simply be part of the recommendations of the completed EIA. The Management Plan should clearly:  Schedule the implementation of the proposed PCR mitigating measures and PCR monitoring, if any, taking into account the weather pattern, and identify roles and responsibilities for such implementation;  Identify procedures for handling chance finds, including the role and responsibilities of the cultural authorities and the contractor;  Identify procedures for addressing PCR impacts which may occur during implementation but were not predicted in the impact assessment. PCR in the Environmental Impact Assessment The following PCR concerns should be included in the EIA, thereby guiding the preparation of the PCR Management Plan11. 10 Table 3 summarizes the key legislation that may apply to the project. Such legislation may be included in the contracts of firms/contractors in charge of related subproject execution. 11 The categorization of the project will have influenced the structure and format of the Environmental Impact Assessment conducted. In the case of a category ‘B’ project, the scope of work is usually narrower than that of a category ‘A’ project, and the EA report may not be a separate, stand-alone document. Furthermore, a ‘B’ project EA report may not contain separate chapters such as ‘Baseline’, ‘Impact Assessment’, and so forth. Nonetheless, in terms of content, the requirements set out below generally apply for both ‘A’ and ‘B’ project assessments. 73 1. Policy, legal and regulatory framework: This section should contain reference to the following, including identification of any implications for the PCR component of the EA, such as special standards or requirements:  The World Bank’s EA policy OP/BP 4.01 and the PCR policy OP/BP 4.11;  Sections of national EIA laws, regulations and guidelines relating to PCR;  Sections of the national environmental conservation strategy, if any, relating to PCR;  National, state/provincial or local legislation and regulations relating to:  Antiquities, including sale and export;  Procedures for addressing chance finds, in terms of ownership and requirements by the contractor and cultural authorities;  Archaeology, including the issue of permits;  Relevant authorities charged with PCR identification, protection and management, their powers, the legal basis for their authority, and their actual capacity;  PCR-related conventions and treaties to which the borrower country is signatory;  Sites in the borrower country listed as World Heritage Sites according to the UNESCO World Heritage convention, or included in UNESCO’s ‘tentative’ list under the same convention;  Sites in the borrower country currently listed by other international agency in the field of PCR such as the World Monuments Fund, or ICOMOS, as being of national or international importance;  Any national or provincial registers of PCR maintained by accredited authorities in the borrower country. 2. Project Description: The project description should detail construction and operation phases, including maps, diagrams and plans of planned activities. The description should take into consideration any potential impacts on PCR of planned activities, construction/rehabilitation processes, transport arrangements, etc. 3. Analysis of Alternatives: In cases where there are major PCR issues, the analysis of alternatives should consider alternative project sites or technologies that could specifically avoid or minimize those impacts on PCR. 4. Baseline Data: The EIA baseline data should begin with an investigation and inventory of physical cultural resources likely to be affected by the project. The data should consider all types of PCR that might be impacted, covering: a. Living-culture PCR, as well as historical, archaeological and paleontological PCR; b. Natural and human-made PCR; c. Movable and immovable PCR; d. Unknown or invisible PCR. The data collection activity should involve consultations with concerned parties and potentially affected communities. Potential data sources might include cultural authorities, national or provincial PCR registers, universities and colleges, public and private PCR-related institutions, religious bodies and local PCR NGOs. Sources at the community level typically include, for example, community leaders and individuals, schools, religious leaders, scholars, PCR specialists, and local historians. The baseline data section should include maps showing PCR baseline data within the potential impact areas. In addition, the EIA should detail the cultural significance or value attributed by the concerned or affected parties to the PCR identified in the baseline. Consultation is a 74 particularly important means of identifying PCR and documenting their presence and significance. This will normally not be expressed in monetary terms, but rather should explain the nature of the cultural significance, for example whether it is religious, ethnographic, historic, or archaeological. In the case of PCR of archaeological, architectural, paleontological or other scholarly or scientific value, the EIA should provide an assessment of the relative importance of the PCR in this regard locally, nationally and/or internationally. 5. Impact Assessment: PCR should be included in the impact matrix and PCR impacts for each project stage – construction/rehabilitation, operation, etc. – should be detailed. The EIA should specifically describe the nature and extent of the potential impacts and state precisely why they are considered to be significant or insignificant. The PCR components of the EIA must align with any PCR-related social impacts identified in the SIA, to ensure that elements of living culture are not overlooked in the assessment stage. The impact assessment should also consider the possibility of accidents during construction/rehabilitation and operations which might affect PCR, especially in urban settings, which might call for special precautionary measures. 6. Mitigation Measures: It is particularly important that consultations with concerned and affected parties are conducted on the proposed mitigation measures relating to PCR impacts. Agreements must be reached and evidence of such agreements should be included in the EIA. The EIA process should check whether the recommended mitigation measures might themselves have environmental impacts (e.g. archaeological excavations). This section should detail the cost of implementing and the timing of the recommended PCR mitigation measures. 75 ANNEX 10: SUMMARY OF ENVIRONMENTAL MANAGEMENT GUIDELINES FOR CONTRACTORS 1. Introduction 12 The introduction of the Contractor’s ESMP should include:  A brief description of the project  The Contractor’s environmental objectives  An explanation of the role of the Contractor’s ESMP and how it will be used during construction to achieve the project’s environmental objectives. 2. Environmental Management System The Contractor shall provide details of the environmental management system to be applied during the contract. The basic elements of the Contractor’s environmental management system to be detailed are likely to include:  Contractor’s environmental policy: Include a copy of the policy document and an explanation of how the policy will apply to the project.  Project organization chart: An organizational chart showing the reporting/responsibility relationships, position titles and personnel, including subcontractors, should be included. The personnel with specific site environmental management responsibilities should be highlighted.  Training, awareness and competence: Describe how the organization training policy will apply to this contract to ensure that all employees and subcontractors are aware of and adequately trained to discharge their environmental responsibilities. A specific site briefing prior to commencement of works shall occur.  Environmental management system documentation: Provide documented details of the system, if available, including any manuals, standard report sheets, checklists, etc.  Document control: Describe the document control system to be applied to the contract.  Checking and corrective action: Describe the procedures to apply to inspection, monitoring and assessment including non-conformance and corrective action. Procedures applicable for these basic elements should be documented. Existing quality assurance procedures may already respond to issues such as document control and corrective action. 3. Contractor’s ESMP Schedule Schedules may be presented under two categories, namely:  Specific response to the project ESMP 12 The ESMP for the project should be duly incorporated in the work orders for the subprojects. 76  OHS Management system and its implementation  Best practice response. Best practice responses should be detailed, particularly when a project-specific project ESMP is not developed. ESMP guidelines for Contractors can either be issue-based (e.g. flora and fauna protection, air quality controls, water quality protection) or activity-based (e.g. vegetation clearance, excavation, topsoil removal, drainage works, etc.) The Contractor shall include an inspection, monitoring and assess plan based on the Contractor’s ESMP Schedules. These are essential in order to establish whether the Contractor’s performance has achieved the project objectives. The Contractor’s ESMP must be relevant to the site activities and effectively implemented and managed. Inspections, monitoring and assessment will provide the basis to implement corrective action and to ensure the environmental outcomes are achieved. Resultant action may involve upgrading the Contractor’s ESMP, changing procedures, training staff or providing additional or repositioning controls. 77 ANNEX 11: FIELD MONITORING CHECKLIST (TO BE REVISED BASED ON SUB-PROJECT ESMP) Site location Name of contractor Name of supervisor Date of site visit Status of civil works Status Documents and activities to be examined Comments Yes Partially No N/A Contractor holds license for extraction of natural resources Contractor holds permit for operating concrete/asphalt plant Contractor holds agreement for final disposal of waste Contractor holds agreement with service provider for removal of household waste from site Work site is fenced and warning signs installed Works do not impede pedestrian access and motor traffic, or temporary alternative access is provided Working hours are observed Construction machinery and equipment is in standard technical condition (no excessive exhaust and noise, no leakage of fuels and lubricants) Construction materials and waste are transported under the covered hood Construction site is watered in case of excessively dusty works Contractor’s camp or work base is fenced; sites for temporary storage of waste and for vehicle/equipment servicing are designated Contractor’s camp is supplied with water and sanitation is provided Contractor’s camp or work base is equipped with first medical aid and firefighting kits 78 Workers wear uniforms and protective gear adequate for technological processes (gloves, helmets, respirators, eye-glasses, etc.) Overall implementation of OHS guidelines of World Bank Group Servicing and fuelling of vehicles and machinery is undertaken on an impermeable surface in a confined space which can contain operational and emergency spills Vehicles and machinery are washed away from natural water bodies in the way preventing direct discharge of runoff into the water bodies Construction waste is being disposed exclusively in the designated locations Extraction of natural construction material takes place strictly under conditions specified in the license Excess material and topsoil generated from soil excavation are stored separately and used for backfilling / site reinstatement as required Works taken on hold if chance find encountered and communication made to the State agencies responsible for cultural heritage preservation Upon completion of physical activity on site, the site and contractor’s camp/base cleared of any remaining left-over from works and harmonized with surrounding landscape 79 ANNEX 12: RESPONSIBILITIES OF ENVIRONMENTAL AND SOCIAL SPECIALISTS AND NGOS LEVELS ROLES and RESPONSIBILITIES SPCU  Responsible for all environmental aspects of the project and ensure Environmental implementation of ESMF of UPPTDC. Specialist  Work closely with the Environment Specialist of the TSU and ensure environmental safeguards activities and EMPs are implemented.  Develop monitoring and reporting formats / protocols and ensure their implementation by TSUs / contractors.  Design training programs and provide safeguard orientation training to TSUs, contractors and site staff at regular intervals.  Review ESAs, EMPs and other related documents with regard to their compliance with the ESMF, various environmental issues on ground and the adequacy of management measures and provide necessary guidance to SPCU, TSUs in implementing safeguard measures.  Providing guidance to the TSUs in obtaining securing regulatory clearances such as Environment, Forest, or consents from UP Pollution Control Board (UPPCB) and other agencies  Carry out monthly visits to subprojects implementation sites to monitor as well as to provide onsite guidance to the Project implementing agencies and the contractors on the implementation of respective EMPs.  Maintain a data base in a standard form, on the status of various environmental activities of the subprojects (clearances, compliances, EA reports, progress reports, etc.) and update the same on a regular basis.  Prepare and submit monthly / quarterly progress reports on all aspects related to environmental management of projects to the World Bank. TSU  Responsible for all environmental aspects of respective sub-project Environmental implementation. Specialist  Work closely with the Environment Specialist of the SPCU and oversee on the ground that all environmental safeguards specified in the EMPs are adhered to.  Prepare site specific safeguard training plan and deliver training to IAs / contractors  Supervise the work and provide advisory and technical support related to environmental aspects to the contractors at site level.  Review the Environmental Management Plans and environmental monitoring plan and other related documents with regard to their compliance with the ESMF, various environmental issues on ground and the adequacy of management measures and provide necessary guidance to the contractor in improving the safeguards.  Coordinate with the Project implementing agencies and facilitate obtaining necessary regulatory clearances such as Environment, Forest, or consents from UP Pollution Control Board (UPPCB) and other agencies  Carry out regular visits to subprojects implementation sites to monitor as well as to provide onsite guidance (at least once a week) to the Project implementing agencies and the contractors on the implementation of respective Environmental Management Plans (EMPs) and the ESMF.  Maintain a data base in a standard form, on the status of various environmental activities of the subprojects (clearances, compliances, EA reports, progress reports, etc.) and update the same on a regular basis.  Prepare and submit monthly progress reports to the implementing agencies/SPCU, on all the aspects related to environmental management of the subprojects. 80 LEVELS ROLES and RESPONSIBILITIES SPCU  Support the preparation and ensure quality of social safeguard documents based Social on the World Bank safeguard policies and central/state/municipal government Development applicable requirements; Specialist  Provide policy guidance to the project level counterparts;  Ensure dissemination of R&R Policy at state level;  Monitoring R&R and Land acquisition activities. Make budgetary provisions for R&R activities;  Liaison with state administration for land acquisition and implementation of RAP;  Participate in state level meetings;  Finalize TOR of contracting NGO for implementation and external agency for monitoring and evaluation;  Prepare training schedule for state and project level social development officials for capacity building to implement the RAP;  Prepare TOR for any studies required and qualitative dimensions to the implementation of RAP;  Facilitate appointment of consultants to carry out the studies and co-ordinate them;  Monitor physical and financial progress on implementation of RAP. TSU  Co-ordinate with district administration and NGO responsible for implementation Social of ESMF/ RAP and other safeguard documents; Safeguards  Translation of R&R policy in local language and ensure dissemination at state; staff district and community level - prepare pamphlets on policy for information dissemination;  Coordinate with the state and district level officials for acquisition of private land and implementation of ESMF/ RAP;  Liaison with district administration for dovetailing of government schemes for Income Restoration Schemes;  Monitor physical and financial progress of implementation of RAP;  Participate in the project level meetings;  Report progress, highlighting social issues not addressed, to provide for mid- course correction;  Coordinate training of project level staff with agencies involved;  Organize bi-monthly meetings with NGO to review the progress of R&R, and gender actions. NGO  Conduct the verification for the affected families and update the census and socio-economic data;  Develop rapport with PAFs and between PAFs and project;  Design and carry out information campaign and consultations with the local community during the implementation of the RAP;  Provide information to PAFs and local community and conduct awareness on R&R Policy and distribute the policy to the affected families;  Prepare and submit the micro plans for the PAFs;  Assist the PAFs in receiving the compensation and rehabilitation assistance;  Motivate and guide PAP for productive utilization of the compensation and assistance amount;  Assess the level of skills and efficiency in pursuing economic activities, identify needs for training and organize training program;  Assist PAFs in approaching the grievance redress mechanism;  Assist the PAFs in getting benefits from the appropriate local development schemes;  Prepare monthly progress reports and participate in monthly review meetings;  Participate in the training program for capacity building;  Carry out other responsibilities as required from time to time. 81 ANNEX 13: SAMPLE TERMS OF REFERENCE FOR ANNUAL ASSESSMENT OF MANAGEMENT PLANS Background: The Uttar Pradesh Pro-Poor Tourism Development Project has been prepared by the Government of Uttar Pradesh, through its Department of Tourism, to strive for positive development outcomes in the activities and investments it will support. Its preparation has been informed by the lessons learned from similar projects implemented worldwide as well as by thorough analyses and studies of the areas, assets and people the project aims at supporting. The latter include (i) complete profiles of the target areas, (ii) a GIS- based inventory of their natural and cultural assets, (iii) a value chain analysis of local enterprises and tourism economy, (iv) a sample survey of street vending in Agra, and (v) mapping and assessments of crafts in all project target areas. The project preparation has also been driven by a participatory process through which ideas and findings have been shared with, and suggestions and proposals have been shaped by, more than 600 stakeholders – from government officials to experts and communities – consulted from its inception. This participatory process has not only informed the crafting of the project’s development objectives and components, but also all proposed subprojects and the institutional arrangements for their implementation and later sustainability. In order to ensure the project achieves its intended development objectives, similar standards of technical excellence, participation and transparency will be applied during its implementation. To this end, the World Bank safeguards policies discussed in this document provide important guidelines for the State Department of Tourism, implementing entities and partners to prevent and mitigate, early on, potential undue harm to people and their environment and cultural assets while nurturing the expected positive impacts from the project preparation to closing. Objectives:  To assess the conformity of environmental and social categorization of subprojects with respect to the categorization prescribed in the ESMF.  To assess the compliance of the environmental and social aspects of approved subprojects which are under implementation. Outline of the tasks to be carried out: The selected consultant will essentially provide services as required, for the following tasks:  The consultants will assess the conformity of environmental and social categorization of subprojects with respect to environmental and social categorization in the ESMF.  The consultant will assess the compliance of environmental and social aspects during construction, operation and maintenance of projects, across all categories and different subproject locations. The selection of sample subproject shall be clearly spelt out in the consultant’s proposal. The list of sample subprojects shall be approved by the client before the commencement of the assessment.  The consultant will also assess the adequacy of the ESMP/RAP/PCRMP and recommend practicable measures to include/improve the management measures and the agency responsible for carrying out the measures, wherever found inadequate. The consultant 82 will also document the best practices and possible environmental and social enhancement measures with respect to the assessed projects.  To review the status report submitted by the project on the implementation of ESMP/RAP/PCRMP and the process adopted by design consultants in identification and mitigation measures while preparing the DPRs. To report on the adequacy and timely submission of the Quarterly Progress Reports including the process involved in addressing risk management.  The findings of the review and assessment should be summarized in a tabular form and will include compliance and/or, non-compliance, best practices and enhancement measures along with the name of the agency responsible for each of the above. In case of non-compliances, the consultants need to undertake a follow up visit after giving sufficient time (depending on the type of corrective measures) for the agency responsible to take corrective actions.  The entire tasks shall be completed in a timeframe of eight weeks. Client’s Responsibility: A copy of the Environmental and Social Management Framework and information containing the details of the subprojects sanctioned will be given by the client. Final outputs: The final documents that will be required of the consultant include;  Environmental and Social Assessment report indicating conformity of projects with ESMF guidelines.  Environmental and Social Assessment report indicating the conformity to agreed standards during construction, operation and maintenance of the approved projects. Table 19 - List of key positions whose CV and experience would be evaluated Sr. Key Professional No. of Qualification and Experience No persons 1. Project Coordinator and 1  Post Graduate in Environmental Engineering / Environmental Specialist Planning  15 years of experience in the subject  Must have worked on one World Bank funded project in the last five years  Must be conversant with the Bank policies on environment 2. Social Development 1  Post Graduate in Sociology / Social work Specialist  15 years of experience in the subject  Must have worked on one World Bank funded project in the last five years  Must be conversant with (i) World Bank’s operational policies on involuntary resettlement and (ii) the local language 83 ANNEX 14: MINUTES AND PARTICIPANT LIST OF VALIDATION MEETINGS FOR ESMF CONSULTATIONS 84 85 86 87 88 89 Minutes of Meetings 90 91 92 93 94