UTTAR PRADESH CORE ROAD NETWORK DEVELOPMENT PROGRAM Final Environmental and Social Management Framework (Feb 2019) Road and Transport Safety Projects Public Works Department, Government of Uttar Pradesh Public Works Department, Government of Uttar Pradesh Transport Department, Uttar Pradesh Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework TABLE OF CONTENTS ______________________________________________________________________________ Chapter Description Page 1 INTRODUCTION .......................................................................................................................... 1 1.1 Project Background .............................................................................................................. 1 1.2 Road Safety issues In Uttar Pradesh ...................................................................................... 1 1.3 Road and Transport Safety Project ........................................................................................ 2 1.4 Study Methods ..................................................................................................................... 4 2 Environmental and Social Baseline of the State .............................................................................. 5 2.1 Physical Features ................................................................................................................. 5 2.2 Ecological Resources .......................................................................................................... 18 3 Environmental and Social Regulations and Policy Framework ........................................................ 32 4 Environmental Management Framework ...................................................................................... 42 4.1 Introduction ....................................................................................................................... 42 4.2 Environmental Assessment Process ..................................................................................... 42 5 SOCIAL MANAGEMENT FRAMEWORK .......................................................................................... 67 6 Consultation and Public Disclosure ............................................................................................ 115 7 Institutional Arrangements for Implementation of Environmental and Social Safeguards .............. 121 7.1 Grievance Redressal Mechanism (GRM) ............................................................................. 123 7.2 Monitoring and Reporting ................................................................................................. 125 8 Summary and Conclusion. ........................................................................................................ 131 Transport Department, Uttar Pradesh Page ii Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework LIST OF TABLES Table 1.1: Road Network in Uttar Pradesh ............................................................................................ 1 Table 2.1: Average Ambient Air Quality of Major Cities of U.P. in the Year 2012 .................................... 12 Table 2.2: Surface Water Quality of Famous River and Other Water Bodies of U.P. ............................... 15 Table 2.3: District Wise Forests Cover in Uttar Pradesh in Year 2013 .................................................... 19 Table 2.4: Wildlife Sanctuaries/ National Parks in Uttar Pradesh ........................................................... 23 Table 2.5: District wise Wetland Area Estimates in Uttar Pradesh ......................................................... 25 Table 2.6: List of Wetlands of Uttar Pradesh identified under National Wetlands Conservation Programme ........................................................................................................................................................ 27 Table 2.7: Land Classification in U.P ................................................................................................... 30 Table 2.8: Growth of Agricultural Land in Area and Production in the State of Uttar Pradesh ............................................................................................................................................ 31 Table 2.9: Work Participation for Various Industries ............................................................................ 31 Table 3.1: Summary of Relevant Environmental and Social Legislations ................................................ 32 Table 3.2: Summary of Statutory Clearance Requirement of the Project ............................................... 35 Table 3.3: Safeguard Policies of World Bank applicable for ‘Safe Transport’ activities ............................ 38 Table 4.1: Environmental and Social Concerns in Design for Building and Construction Project .............. 52 Table 4.2: Environmental Concerns During Project Implementation and Operation – ............................. 57 Table 5.1: Environmental and Social screening checklist ...................................................................... 68 Table 5.2: Entitlement Matrix ............................................................................................................. 89 Table 5.3: Stakeholder Mapping ....................................................................................................... 105 Table 7.1: Responsibilities of Environmental & Social Specialists and NGO .......................................... 121 Table 7.2: Performance Indicators and Plan for Monitoring ................................................................ 125 Table 7.3: Capacity Strengthening Plan ............................................................................................ 128 Transport Department, Uttar Pradesh Page iii Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework LIST OF FIGURES Figure 2.1: Physiographic Map of Uttar Pradesh .................................................................................... 6 Figure 2.2: Physical Map of Uttar Pradesh ............................................................................................ 7 Figure 2.3: Geological Map of Uttar Pradesh ......................................................................................... 8 Figure 2.4: Seismic Zone of Uttar Pradesh ............................................................................................ 9 Figure 2.5: Rainfall Pattern in Uttar Pradesh ....................................................................................... 10 Figure 2.6: Drainage Pattern of Uttar Pradesh .................................................................................... 11 Figure 2.7: Forest in Uttar Pradesh..................................................................................................... 22 Figure 2.8: Wildlife Sanctuaries and National Parks in Uttar Pradesh .................................................... 24 Figure 7.1 Levels of Grievance Redressal .......................................................................................... 124 Transport Department, Uttar Pradesh Page iv Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ABBREVIATIONS BPL Below Poverty Line CBO Community Base Organisation COI Corridor of Impact CPCB Central Pollution Control Board CPR Common Property Resources DC District Collector EA Environmental Assessment EIA Environmental Impact Assessment EMP Environmental Management Plan EP Entitled/Eligible Person ESMF Environmental and Social Management Framework GSHAP Global Seismic Hazard Assessment Programme GoUP Government of Uttar Pradesh Govt. Government GOI Government of India GRC Grievance Redressal Cell HCA House Construction Allowance MoEF Ministry of Forests and Environment MORT&H Ministry of Road and Surface Transport NEIAA National Environmental Impact Assessment Authority NGO Non-Governmental Organisation PAP Project Affected Person PAF Project Affected Family PDF Project Displaced Family PDP Project Displaced Person PIU Project Implementation Unit PWD/UPPWD Public Works Department/ Uttar Pradesh Public Works Department R&R Resettlement and Rehabilitation RAP Rehabilitation Action Plan RFCTLAR&R Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement act, 2013 ROW/RoW Right of Way RRO Resettlement and Rehabilitation Officer Transport Department, Uttar Pradesh Page v Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework RTI Right to Information Act SC/ST Schedule Caste and Schedule Tribes SEIAA State Environmental Impact Assessment Authority SES Socio-Economic Survey SH State Highway SIA Social Impact Assessment SLAO Special Land Acquisition Officer SMF Social Management Framework SOR Schedule of Rates u/s Under Section UP/U.P. Uttar Pradesh UPPCB Uttar Pradesh Pollution Control Board Transport Department, Uttar Pradesh Page vi Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 1 INTRODUCTION 1.1 Project Background Uttar Pradesh has a road network of 299,604 km, out of which 174,451 km is under Uttar Pradesh Public Works Department (PWD). The roads under PWD comprise 7,550 km of National Highways (NHs), 7,530 km of State Highways (SHs), 5,761 km of Major District Roads (MDRs), 3,254 km of Other District Roads (ODRs) and 138,702 km of Village Roads (VRs). Only about 60% of SHs are two-lane (7 m). In the entire state 62% of MDRs and 83% of ODRs have widths less than 7 m. With a view to improve the transport network system, UP PWD has identified 24,095 km of Core Road Network (CRN) for the development. This network comprise NH, SH, MDR, ODR and the details are presented in the table below. Table 1.1: Road Network in Uttar Pradesh Road Category Length (km) National Highway (NH) 7.550 State Highway (SH) 7,530 Major District Road (MDR) 5.761 Other District Road (ODR) 3,254 Total 24,095 The Core road development works will consist of raising the formation level, widening to a full two lanes from the existing single and intermediate lane widths, and/or pavement rehabilitation/strengthening. Road sections with high volumes of non-motorised traffic will be widened to 2-lane black top carriageway of 7.0 m width with 1.5m full paved shoulders on either side covering a total carriageway width of 10 m. Road stretches crossing urban areas may also require upgrading to a four lane cross section, and/or provision for drains, sidewalks and parking where required. In some cases, new alignments (by-passes and/or re-alignments) may also be required. The GoUP through the PWD will be the executing agency for the project. 1.2 Road Safety issues In Uttar Pradesh The safe road transportation is a great challenging task in Uttar Pradesh. With just under 10% of the nation’s vehicles, it accounts for nearly 12% of India’s road deaths. More than 16,000 road deaths are reported annually, with 70% of these occurring on national and state highways and 60% being vulnerable road users (pedestrians, bicycles, two-wheelers, auto-rickshaws, other rickshaws, animal drawn carts and handcarts). The road safety component has been designed to support the decisions taken by the Government of Uttar Pradesh (GoUP) to strengthen road safety leadership, policy and coordination arrangements across the state. Its central focus is on best practice safety engineering and police Transport Department, Uttar Pradesh Page 1 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework enforcement and social marketing measures on high-risk national and state highways, which aim to achieve quick, visible and measurable results, and on comprehensive performance monitoring. For the purpose the state government has established Road Safety Cell. Rapid motorization, poor road conditions and infrastructure safety deficiencies are contributing to U P’s poor safety record and improving road safety performance is integral to achieving the development goals of the state. Although the Road Safety Cell already functional in the state but the actual results are far below than expected results. The GoUP confirmed its commitment to significantly reduce road deaths and injuries and on June 16, 2014, announced a State Road Safety Policy to systematically address 11 key themes: (i) awareness about road safety; (ii) strengthening institutional arrangements; (iii) establishing road safety information database; (iv) ensuring safe road infrastructure; (v) safer vehicles; (vi) safer drivers; (vii) safety for vulnerable road users; (viii) road safety education and training; (ix) enforcement of traffic laws; (x) emergency medical assistance to road accident victims; and (xi) research for road safety. On September 22, 2014, the Chief Minister at a high-profile policy launch engaging relevant partners, stakeholders and state and national media inaugurated the State Road Safety Policy. The support of the World Bank and New Zealand Police in the preparation of the policy was widely acknowledged and UPCRNDP road safety initiatives engaging PWD, Transport and Home (Police) were highlighted. 1.3 Road and Transport Safety Project In order to improve the performance of road and transport safety in the state the Government of UP has included Road and Transport Safety component in Uttar Pradesh Core Road Network Development Program (UPCRNDP) with financial assistance of INR 9100 Lakh from the World Bank. The project will have 4 components: Component 1: Capacity Building of Road Safety Cell: Different kinds of training on road and transport safety including exposure training will be organized for the officials of the Road Safety Cell in order to enhance their performance efficiency in handling Road and Transport Safety issues. It will also include procurement of different kind of materials and equipments related to roads and transport safety, for which it is proposed to take specialized services of Road Safety Expert, Procurement experts, Financial Expert, Statistical Analysis Expert. Component 2: Media Campaign on Road and Transport Safety: For creating widespread awareness on Road and Transport Safety among the general public, education, training and mass media campaigning will be included. For the campaigning, all the communication media mainly television, radio, print media and social media will be used for creating awareness among common people towards traffic rules, traffic symbols and other aspects of road safety. Transport Department, Uttar Pradesh Page 2 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Component 3: Drivers Training and Improvement in Basic Infrastructure: Under component 3 it is proposed to provide facilities for driver’s training and improvement of basic infrastructure. These include:  Opening of driving Training Institutes  Development of training materials and modern training techniques  Training facilities for drivers of U.P. Transport Corporation on road safety and emergency response system  Development of basic infrastructure for training and health checkup system for commercial vehicle drivers Component 4: Establishment of Inspection and Certification Centers: It includes construction of inspection and certification centers at 5 major cities of U.P., i.e., Kanpur, Allahabad, Varanasi, Barelley and Ghaziabad for checking fitness. One such center is already under construction in Lucknow. The above infrastructure will ensure adequate attention in assessing the fitness of vehicles for movement on roads, driving skill test and inspection of vehicles and their efficiency analysis. The proposed project will also help in generating mass awareness among common public and road users about road safety thereby reducing road accident to a large extent. Rationale and Objective of Environmental and Social Management Framework (ESMF) Although 5 cities of Uttar Pradesh have been selected to develop the infrastructure for strengthening of road safety, at present the location of different establishments for road safety infrastructures is not final. Given that the building and office complexes and the traffic simulation parks have been proposed at 5 cities of Uttar Pradesh and may likely to be added some other cities in future. This Environmental and Social Management Framework (ESMF) is a project-level document for the Uttar Pradesh Transport Department/ State Government. It is a technical day- to-day guidance document for the State Transport Department/ UPPWD and its partners at government 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. This guiding framework is prepared to ensure that subsequent project activities have a common understanding of the environmental and social issues involved, and a harmonized approach to handling these issues is followed. This Environmental and Social Management Framework (ESMF) will be used to identify the environmental and social impacts of each sub-project and help design commensurate mitigation/enhancement measures as well as to assign the responsibility for implementation of these measures. The overall goal of the ESMF is to ensure that decision making in subsequent stages of the project is informed and influenced by environmental and social considerations for each of the sub-projects, many of which are still to be identified. It aims to integrate environmental and social concerns into the project’s design and implementation. In order to achieve this, main objectives of the ESMF are Transport Department, Uttar Pradesh Page 3 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  To establish clear procedures and methodologies for the environmental and social planning, review, approval and implementation of subprojects to be financed under the Project;  To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to subprojects;  To determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF;  To establish the Project funding required to implement the ESMF requirements; and  To provide practical information resources for implementing the ESMF. 1.4 Study Methods The ESMF for Road Safety Enhancement Project has been prepared based on (iii) review of previous reports on environmental and social issues of the state of Uttar Pradesh relevant sector, (ii) review of secondary data on different environmental and social components including regulatory frameworks, and (iii) consultation with different stakeholders. The objective of the above exercise was: 1. To establish baseline environmental and social condition in the state at broad level 2. To understand type and distribution of environmentally and socially sensitive features in the state 3. Preliminary identification of environmental and social impacts likely to be triggered due to the project activities 4. To assess the applicable regulations and polices 5. Consultation and mitigation measures Transport Department, Uttar Pradesh Page 4 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 2 Environmental and Social Baseline of the State Uttar Pradesh is a northern State and located between 23°52'N and 31°28'N latitudes and 77°3' and 84°39'E longitudes. Garlanded by the Ganga and Yamuna, the two auspicious rivers of Indian mythology, Uttar Pradesh is surrounded by Bihar in the East, Madhya Pradesh in the South, Rajasthan, Delhi, Himachal Pradesh and Haryana in the west and Uttaranchal in the north and Nepal touch the northern borders of Uttar Pradesh. 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. 2.1 Physical Features 2.1.1 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. Physiographic Map and Physical Map of Uttar Pradesh is given in Figure 2.1 and Figure 2.2 respectively. Transport Department, Uttar Pradesh Page 5 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Figure 2.1: Physiographic Map of Uttar Pradesh Transport Department, Uttar Pradesh Page 6 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Figure 2.2: Physical Map of Uttar Pradesh 2.1.2 Geology The geological formation of the state is characterised by rock formations ranging in age from the Archean (the Bundelkhand Graniticgneisses) to the Recent (the Ganga alluvium). The Ganga plain which dominates the landscape and nearly covers three fourth of the geographical area of the State, lies between the rocky Himalayan belt in the north and the southern hilly tract comprised of mainly Pre-Cambrian rocks. Flexing of the Indian lithosphere in response to the compressive forces due to collision, and thrust fold loading produced the Ganga Plain foreland basin. It is filled with recent alluvial sediments which are at places more than 1,000m. thick and an amalgam of sand, silt, clay in varying proportions the southern hilly tract is roughly parallel to the Ganga-Yamuna lineament. The tract is underlain by granitic complex in Transport Department, Uttar Pradesh Page 7 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Bundelkhand region and in Sonbhadra. It is overlain by rocks Mahakoshal (Bijawar) and Vindhyan Supergroup. The younger rock comprise of coal bearing Gondwana in south Sonbhadra and basaltic rocks in southern part of Lalitpur. The granitic complex is considered to be potential for the search of metallic minerals like copper, lead, zinc, molybdenum, gold, nickel, uranium and platinum group of elements. The overlying sediments of Mahakoshal (Bijawar) and associated Iron Formation show a potential for the search of copper, uranium, and gold in Lalitpur and alusite, sillimanite, gold, calcite, marble and clay in Sonbhadra. The lower Vindhyan sediments of Sonbhadra contain deposits of cement grade limestone, flux grade dolomits, building stone and are also potential for the search of placer gold and other metals. While the Upper Vindhyan sandstones are suitable for making decorative slab/tiles or ballast. Deposits of silica sands and bauxite are available in Allahabad and Chitrakoot districts while coal deposits occur in the Gondwana rocks in southwestern corner of Sonbhadra. The geological map of Uttar Pradesh is given in Figure 2.3. Seismic Zone: According to GSHAP data, the state of Uttar Pradesh falls in a region of moderate to high seismic hazard. The Seismic Zone of Uttar Pradesh is shown in Figure 2.4. Figure 2.3: Geological Map of Uttar Pradesh Transport Department, Uttar Pradesh Page 8 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Figure 2.4: Seismic Zone of Uttar Pradesh 2.1.3 Soils The dominant soil landscapes, representing the northern plains, constitute gently to very gently sloping lands. In some area 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. Rice–wheat cropping system is more predominant. In the western districts of Uttar Pradesh viz. Saharanpur, Meerut, Muzaffarnagar, Bijnor, Moradabad, Pilibhit and Bareilly, the soil is typically the same. It is, generally, deep brown and loamy in some places, also mixed with sand. The soil is shallow, gravely and full of stones – being generally acidic. In the western plains (Saharanpur, Meerut and Muzaffarnagar) the soil is deeper and fertile. Further east- wards (Bareilly, Moradabad, Bijnor and Pilibhit) the soil gets to be loamy, still further down the Pilibhit district, some of the soil become acidic while the rest shows some alkaline properties. The soil in the central regions comprising Lakhimpur Kheri, Sitapur, Lucknow, Barabanki, Hardoi, Kanpur and Azamgarh districts is loamy and sandy loms. In the eastern part of the state, the districts of Gorakhpur, Basti, Mahrajganj, Siddarthnagar and Gonda contain two varieties of the soil, which are locally known as ‘bhat’ and ‘banjar’. The alluvial soil is called ‘dhuh’. The one described as ‘mant’ is l oamy sandy- calcareous, comparatively. The soil in the north western district of the state contains less of phosphate. The district of Jaunpur, Azamgarh and Mau are found to be lacking in potash and the drier areas are known as ‘usar’ and Transport Department, Uttar Pradesh Page 9 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ‘reh’. The soil of Aligarh, Mainpuri, Kanpur, Etah, Etawah, Sitapur, Unnao, Raibareilly and Lucknow is salt affected and known as ‘usar’ and ‘reh’ soils. 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 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. 2.1.4 Climate Uttar Pradesh has a humid subtropical climate and experiences four 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 U.P. generally. In the winter the weather temperature oscillates between 12.5 and 17.5 degree celcius. Agra and Jhansi are the hottest districts. The Gangetic plain varies from semiarid 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 90% of 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 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 part of the state. Rainfall pattern is shown in Figure 2.5. Figure 2.5: Rainfall Pattern in Uttar Pradesh Transport Department, Uttar Pradesh Page 10 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 2.1.5 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 Gangetic plain stretches across the entire length of the state from east to west. The entire alluvial plain can be divided into three sub-regions. The first in the eastern tract consisting 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 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 is demarcated by the Vindhya Hills and plateau. It comprises the four districts of Jhansi, Jalaun, Banda, and Hamirpur in 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. The map of major rivers and drainage basins is presented in Figure 2.6. Figure 2.6: Drainage Pattern of Uttar Pradesh Transport Department, Uttar Pradesh Page 11 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 2.1.6 Hydrogeology Hydrogeologically, the States can be divided into Five units namely (1) Bhabar (2) Tarai (3) Central Ganga plains (4) Marginal Alluvial plains and (5) Southern Peninsular zone. The first one is in the extreme north followed successively by the rest southwardly. The yield of tube wells tapping Bhabar and Tarai zones ranges between 100-300 m3/hr and 100-200 m3/hr, respectively. The water level is deep in Bhabar whereas in Tarai auto flow conditions are noticed with piezometric head of 6-9 magl. The Central Ganga plain is characterized by low relief and numerous alluvial features. There are four major aquifers in the depth range of 700 mbgl. The yield of these tube wells ranges from 90 to 200 m 3/hr. The thickness of sediments in Marginal alluvium is 50-300 m and yield of tube wells is between 35 to 70 m3/hr. The yield prospects of Vindhyan & Crystalline rocks in the southern peninsular region are limited. 2.1.7 Floods and Droughts in the State The State faces flood situation 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 with 154 blocks and 18958 villages. In certain areas, every year flood situation arises whereas in some areas it is once in two to three years. Regarding drought situation, the Southern part of the State i.e. areas of Bundelkhand and Vindhyan region comprising of eight districts are facing drought situation almost for 3 years in a period of five years. Incidentally, these districts are having less than fifty percent areas under irrigation. 2.1.8 Environmental Quality 1. Ambient Air Quality In general the state suffers from high dust problem. 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 (Refer to Table 2.1) 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. Table 2.1: Average Ambient Air Quality of Major Cities of U.P. in the Year 2012 S. Name of Concentration (g-3) Name of Station Category No. District PM10 SO2 NO2 1 Lucknow Hazratganj Commercial 181.4 7.7 30.9 Mahanagar Residential 183.4 7.7 30.8 Talkatora Industrial 197.0 8.2 32.5 Aliganj Residential 178.8 7.8 32.1 Sarai Mali Khan Chowk Commercial 189.0 7.9 31.6 Transport Department, Uttar Pradesh Page 12 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework S. Name of Concentration (g-3) Name of Station Category No. District PM10 SO2 NO2 2 Kanpur Darshanpurva Commercial 212.5 7.5 37.5 Kidwai Nagar Residential 203.1 6.8 41.2 Panki Site-5 Industrial 214.8 7.9 38.7 Shastri Nagar Residential 203.1 7.5 37.3 Awas Vikas Kalyanpur Residential 200.1 7.3 37.3 Dada Nagar Residential 306.5 21.8 33.7 I.I.T. Campus Residential 171.2 2.1 10.5 Ramadevi Commercial 295.5 2.8 31.6 3 Agra Bodla Sensitive 184.1 7.9 18.0 Nunhai Sensitive 216.4 9.4 23.8 4 Sonebhadra Anpara Colony Residential 132.5 17.5 27.4 Renu Sagar Colony Residential 136.7 17.6 27.4 5 Gajraula Raunak Auto Industrial 150.2 18.8 27.5 Indra Chowk Commercial 161.2 21.4 30.8 6 Ghaziabad Sahaibabad Industrial 249.3 29 33.9 Bulandshahar Industrial 243.0 29.7 34.2 7 Varanasi Jawahara Nagar Residential 139.3 17.7 21 Shivpur Residential 139.4 18 21.6 8 Noida G.P. Electroplating Ltd. Industrial 141 9.3 36.1 R.O. Noida Residential 136.7 8.1 31.5 9 Firozabad C.D.G.I., S.N. Marg Sensitive 219.9 13.8 32.3 Tilak Nagar Sensitive 206.4 12.3 29.8 Raza Ka Tal Sensitive 202.3 12.9 32.4 10 Jhansi Virangana Nagar Residential 96.3 7.1 33.2 Manik Chowk Industrial 124.3 8.4 23.0 11 Khurja CGCRI Campus Industrial 177.8 27.6 27.3 Ahirpara Residential 160.4 23.0 23.0 Transport Department, Uttar Pradesh Page 13 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework S. Name of Concentration (g-3) Name of Station Category No. District PM10 SO2 NO2 12 Allahabad Square Crossing, Laxmi Commercial 347.4 4.8 34.1 Talkies Bharat Yantra Ltd. Residential 285 3.5 28.3 13 Meerut Begum Bridge Commercial 129.5 4.3 41.2 Kesarganj Thana Railway Residential 128.8 4.2 38.5 Road 14 Moradabad P.T.C. Residential 142.1 12.3 20.5 Budhh Bazar Commercial 188.7 14.5 25.6 15 Bareilly I.V.R.I. Residential 201.9 11.4 21.8 I.O.C. Office Civil Lines Commercial 247.9 13.7 24.5 16 Raibareilly Townhall Colony Residential 155.5 10.0 14.7 Koya Mandi Tiraha Commercial 169.4 11.9 16.9 Lucknow Road Amawan Road Industrial 175.7 10.0 14.7 17 Mathura Combined Defulent Sensitive 182.5 21.9 29.7 Treatment Plant Regional Office Building Sensitive 198.6 23.5 31.1 18 Saharanpur Clock Tower Commercial 209.2 9.1 31.2 I.I.I. Saharanpur Residential 167.5 11.4 28.5 19 Gorakhpur M.M.M.E.C. Residential 87.2 14.3 25.8 Jal Kal Bhawan Commercial 130.4 20.2 36.7 GIDA Industrial 144.2 22.6 45.1 20 Unnao I.I.A. Unnao Industrial 122.0 9.0 34.6 Krishna Nagar Unnao Residential 83.9 6.8 29.2 Source: Central Pollution Control Board 2. Water Quality The monitoring of surface water quality for different surface water sources including major rivers and ponds are regularly conducted by the U.P. State Pollution Control Board. The annual averages surface water quality of major rivers and other water body for the year 2012 is Transport Department, Uttar Pradesh Page 14 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework presented in Table 2.2. Almost all the surface water bodies, from where water samples were collected, show high biological contamination in terms of Total Coliforms. Table 2.2: Surface Water Quality of Famous River and Other Water Bodies of U.P. (Average 2012) Year 2012 S. Name of Name of Sample Collection Total No. District River Point DO BOD Coliform (mg/l) (mg/l) (MPN/100 ml) Down Stream, Garh 1 Ghaziabad Ganga River 8.58 3.37 2125 Muktaswar 2 Bulandshahr Ganga River Up Stream AnoopShahr 8.71 3.12 975 Down Stream 3 Bulandshahr Ganga River 8.38 3.22 1112 AnoopShahr Raj Ghat Down Stream, 4 Bulandshahr Ganga River 8.59 2.64 1178 Naurara 5 Bulandshahr Ganga River Kachlaghat, Budaun 8.33 2.76 1517 6 Kannauj Ganga River Up Stream, Kannauj 8.56 3.99 24118 7 Kannauj Ganga River Down Stream, Kannuaj 8.25 4.78 29236 8 Kanpur Ganga River Bithoor, Kanpur 8.63 4.13 17245 9 Kanpur Ganga River Up Stream, Kanpur 9.14 4.26 26691 10 Kanpur Ganga River Down Stream, Kanpur 6.74 8.30 111818 11 Raibareilly Ganga River Dal Mau, Raibarilly 7.68 3.50 7883 12 Pratpgarh Ganga River Kalakankar, Pratapgarh 7.80 3.43 7658 13 Kaushambi Ganga River Kadaghat, Kaushambi 7.81 4.83 4958 14 Allahabad Ganga River Up Stream, Allahabad 7.71 5.25 7500 15 Allahabad Ganga River Down Stream, Allahabad 7.41 5.13 9583 Up Stream, Vindhyachal, 16 Mirzapur Ganga River 8.50 2.76 2575 Mirzapur 17 Mirzapur Ganga River Down Stream, Mirzapur 7.84 3.31 4058 Transport Department, Uttar Pradesh Page 15 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Year 2012 S. Name of Name of Sample Collection Total No. District River Point DO BOD Coliform (mg/l) (mg/l) (MPN/100 ml) 18 Varanasi Ganga River Up Stream, Varanasi 7.88 3.20 9167 19 Varanasi Ganga River Down Stream, Varanasi 7.40 4.95 44000 Ganga River, 20 Ghazipur Ganga River 7.44 3.67 16833 Tarighat,Gazipur 21 Varanasi Varuna River Rameshwar, Varanasi 7.53 3.45 14175 Before Meeting Ganga 22 Varanasi Varuna River 5.10 14.77 112583 River Kar Koda parishitgarh 23 Meerut Kali River (E) NIL 82.16 354583 Road, Village Kol 24 Kannauj Kali River Kannauj 7.19 6.38 26800 25 Kannauj Ram Ganga Kannauj 7.73 5.66 21436 26 Unnao Sai River Unnao 7.90 2.83 3750 27 Jaunpur Sai River Jalalpur Jaunpur 7.68 3.41 13200 Down Stream, 28 Saharanpur Hindon 1.16 18.90 1655 Saharanpur 29 Noida Hindon Down Stream, Kuleshra NIL 45.56 212500 Sardhana-Budhna Road, 30 Meerut Hindon NIL 51.24 268750 Village Baparasi 31 Sitapur Gomti River Up Stream , Sitapur 7.88 2.56 1992 32 Lucknow Gomti River Up Stream , Lucknow 7.25 3.16 3783 33 Lucknow Gomti River Down Stream , Lucknow 2.68 8.98 105417 34 Jaunpur Gomti River Down Stream , Jaunpur 7.50 3.50 16417 Before Meeting Ganga 35 Varanasi Gomti River 7.70 3.35 13750 River, Rajwari Transport Department, Uttar Pradesh Page 16 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Year 2012 S. Name of Name of Sample Collection Total No. District River Point DO BOD Coliform (mg/l) (mg/l) (MPN/100 ml) 36 Faizabad Saryu River Saryu, Faizabad 9.08 2.56 6583 Yamuna 37 Mathura Shahpur, Mathura 4.26 9.80 43400 River Yamuna 38 Vindavan Kaysee Ghat, Vrindavan 3.80 11.15 61800 River Yamuna 39 Mathura Vishram Ghat, Mathura 3.62 12.06 99700 River Yamuna 40 Allahabad Yamuna Allahabad 7.23 2.36 3226 River 41 Sonebhadra Rihandbandh Up Stream, Renukoot 7.18 1.40 1858 42 Sonebhadra Rihandbandh Down Stream, Renukoot 7.38 1.63 2167 43 Gorakhpur Ghaghra Badhalganj, Gorakhpur 7.63 3.08 378 44 Deoria Ghaghra Down Stream, Deoria 7.64 2.92 339 Down Stream, 45 Gorakhpur Rapti 7.63 2.84 251 Gorakhpur Raj Ghat Down Stream, 46 Gorakhpur Rapti 7.48 3.29 399 Gorakhpur Ramgarh Ramgarh Lake, 47 Gorakhpur 8.34 5.15 576 Lake Gorakhpur 48 Hamirpur Betwa River Betwa, Hamirpur 6.49 2.56 18250 Govind 49 Jhansi Govind Sagar, Jhansi 6.53 2.20 14750 Sagar Samarpur Lake, 50 Raibareilly Lake 5.50 4.38 8480 Raibareilly 51 Jhansi Pond Mahil Talab, Orai, Jalaun 2.19 28.50 46500 52 Jhansi Pond Lakshmi Talab, Jhansi 0.52 37.00 70250 Transport Department, Uttar Pradesh Page 17 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Year 2012 S. Name of Name of Sample Collection Total No. District River Point DO BOD Coliform (mg/l) (mg/l) (MPN/100 ml) Suk Taal Near Ganga 53 Muzaffarnagar Pond 7.60 1.63 - River Source Central Pollution Control Board, 2012 2.2 Ecological Resources 2.2.1 Forests The state has an abundance of natural resources. In 2013, the recorded forest area in the state was 14,349 km2 which is about 5.96% of the state's geographical area. As per Indian State of Forest Report 2013, the total forest cover in Uttar Pradesh is 14,349 km2. Out of this very dense forest is 1,623 km2, moderately dense forest covers 4,550 km 2 and open forest covers 8,176 km2. Out of the total forest cover, 70.31 percent of the forest cover is Reserve Forest, 8.75 percent area is Protected Forest and rest 21.12 percent is Unclassed Forests. 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, a special feature of which is that 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 also cane together with green bushes. The trees that grow chiefly in these forests are: sal, plum, goolar, palash, mahua, amla, dhak, jamun etc. Dry deciduous forests are to be generally found in the plains of almost the whole of central and western regions of the state. Bushes and grasses grow here in abundance because of sun light travelling right upto the ground level. Large tracts of land have, however, been cleared for agricultural purposes in these forests where sal, fig, palash and teak besides trees such as neem, peepal, mango, jamun, mahua and acacia grow nearby in rivers or in places containing moisture. Thorny forests abound, mostly, in the south western parts of the State where rainfall is scanty (40 to 60 cms. 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 permanent open dry woodland in which a variety of trees grow, yielding resin and gum. The district wise forest coverage is presented in the Table 2.3. Transport Department, Uttar Pradesh Page 18 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Table 2.3: District Wise Forests Cover in Uttar Pradesh in Year 2013 Forest Area (Sq Km) Geographical S. Area (GA) Very Mod. Percentage of Scrub District Open No. Dense Dense Total GA (Sq Km) (Sq. Km) Forest Forest Forest 1 Agra 4,027 0 65 208 273 6.78 74 2 Aligarh 3,650 0 7 60 67 1.84 2 3 Allahabad 5,137 0 27 69 96 1.87 48 4 Ambedkar Nagar 2,337 0 2 32 34 1.45 0 5 Azamgarh 4,234 0 1 26 27 0.64 0 6 Bagpat 1,321 0 5 13 18 1.36 0 Bahraich & 7 6,878 290 315 243 848 12.33 4 Shravasti 8 Balia 3,349 0 0 25 25 0.75 1 9 Balrampur 2,981 225 188 116 529 17.75 3 10 Banda 4,532 0 26 77 103 2.27 29 11 Barabanki 4,402 0 4 79 83 1.89 5 12 Bareilly 4,120 0 7 37 44 1.07 0 13 Basti 2,688 0 5 13 18 0.67 0 14 Bijnore 4,561 42 228 147 417 9.14 3 15 Badaun 5,168 0 12 32 44 0.85 6 16 Bulandshahar 2,910 0 33 83 116 3.99 0 17 Chandauli 2,549 6 194 365 565 22.17 12 18 Chitrakoot 3,092 0 358 205 563 18.21 28 19 Deoria 2,538 0 1 14 15 0.59 0 20 Etah 4,446 0 9 89 98 2.20 0 21 Etawa 2,311 0 44 146 190 8.22 48 22 Faizabad 2,174 0 5 50 55 2.53 0 23 Farrukhabad 2,181 0 13 33 46 2.11 0 24 Fatehpur 4,152 0 7 38 45 1.08 14 Transport Department, Uttar Pradesh Page 19 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Forest Area (Sq Km) Geographical S. Area (GA) Very Mod. Percentage of Scrub District Open No. Dense Dense Total GA (Sq Km) (Sq. Km) Forest Forest Forest 25 Firozabad 2,361 0 4 44 48 2.03 25 Gautam Budh 26 1,442 0 12 24 36 2.50 0 Nagar 27 Ghaziabad 2,590 0 18 32 50 1.93 0 28 Ghazipur 3,377 0 1 30 31 0.92 0 29 Gonda 4,003 0 60 47 107 2.67 0 30 Gorakhpur 3,321 0 40 24 64 1.93 0 31 Hamirpur 4,282 0 66 108 174 4.06 39 32 Hardoi 5,986 0 7 113 120 2.00 2 33 Hathras 1,840 0 1 22 23 1.25 0 Jyotlba Phule 34 2,249 0 24 62 86 3.82 0 Nagar 35 Jalaun 4,565 0 65 180 245 5.37 49 36 Jaunpur 4,038 0 11 40 51 1.26 0 37 Jhansi 5,024 0 33 181 214 4.26 114 38 Kannauj 2,093 0 0 28 28 1.34 0 Kanpur Nagar 39 6,176 0 12 97 109 1.76 37 & Dehat 40 Kaushambi 2,124 0 7 20 27 1.27 0 41 KheriT 7,680 409 475 427 1,311 17.07 1 42 Kushinagar 2,906 0 3 32 35 1.2 0 43 Lalitpur 5,039 0 128 444 572 11.35 40 44 Lucknow 2,528 0 116 188 304 12.03 3 45 Maharajganj 2,952 239 113 109 461 15.62 2 46 Mahoba 2,884 0 22 73 95 3.29 96 47 Mainpuri 2,760 0 1 13 14 0.51 0 48 Mathura 3,340 0 5 53 58 1.74 6 Transport Department, Uttar Pradesh Page 20 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Forest Area (Sq Km) Geographical S. Area (GA) Very Mod. Percentage of Scrub District Open No. Dense Dense Total GA (Sq Km) (Sq. Km) Forest Forest Forest 49 Mau 1,713 0 0 7 7 0.41 0 50 Meerut 2,590 0 34 32 66 2.55 0 51 Mirzapur 4,521 0 323 544 867 19.18 51 52 Moradabad 3,718 0 5 21 26 0.7 0 53 Muzaffarnagar 4,008 0 14 27 41 1.02 0 54 Oraiya 2,015 0 8 60 68 3.37 11 55 Pilibhit 3,499 340 157 193 690 19.72 0 56 Pratapgarh 3,717 0 25 68 93 2.5 2 57 Rai Bareli 4,609 0 5 93 98 2.13 1 58 Rampur 2,367 4 26 47 77 3.25 0 59 Saharanpur 3,689 0 175 200 375 10.17 0 60 Sant Kabir Nagar 1,646 0 0 2 2 0.12 2 Sant Ravidas 61 1,015 0 0 1 1 0.1 0 Nagar 62 Shahjahanpur 4,575 23 63 37 123 2.69 0 63 Siddharth Nagar 2,895 0 9 31 40 1.38 0 64 Sitapur 5,743 0 14 200 214 3.73 6 65 Sonbhadra 6,788 45 870 1,625 2,540 37.42 40 66 Sultanpur 4,436 0 15 162 177 3.99 0 67 Unnao 4,558 0 26 224 250 5.48 0 68 Varanasi 1,528 0 1 11 12 0.79 0 Grand Total 2,40,928 1,623 4,550 8,176 14,349 5.96 806 Source: India State of Forest Report, 2013, Forest Survey of India, Ministry of Environment and Forests, Government of India 2.2.2 Fauna Uttar Pradesh has vivid fauna and flora. The fauna of UP consists Tigers, Cats, Antelopes, Deer, Wild Boars, Elephants, Rhinos and other animals that are common in basin. Chinkara, Sambar Transport Department, Uttar Pradesh Page 21 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework and Chital, Neel Gai, Swamp Deer, Hispid Hare and Bengal Floricans, Black Buck are the other common wild animals found in different forests of Uttar Pradesh. The avian population here comprises a mix of residents as well as migratory birds. The birds migrate across Himalayas from Tibet, China, Europe and Siberia during winters. Some of these birds fly over 5000 km and above 8500 meters high to reach here. Some of the major migratory birds during the season are greylag goose, 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. Source: India State of Forest Report, 2013, Forest Survey of India, Ministry of Environment and Forests, Government of India Figure 2.7: Forest in Uttar Pradesh 2.1.1 Wildlife Sanctuary/ National Parks Uttar Pradesh has one National Park and 23 Wildlife Sanctuary covering a total area of 5712 sq Km, which contributes 2.37 percent of the state’s geographical area. The list of National Park and Sanctuaries of the state is presented in the Table 2.4. Transport Department, Uttar Pradesh Page 22 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Table 2.4: Wildlife Sanctuaries/ National Parks in Uttar Pradesh S. No. National Park/ Sanctuary District Remarks 1 Dudhwa National Park Lakhimpur Kheri All the three wildlife park put 2 Kishanpur Wildlife Sanctuary Lakhimpur Kheri together to form the Dudhwa Tiger Reserve. 3 Katarniaghat Wildlife Sanctuary Bahraich 4 Pilibhit Tiger Reserve Pilibhit 5 Nawabganj Bird Sanctuary Unnao Meerut, Muzaffarnagar, 6 Hastinapur Sanctuary Ghaziabad, Bijnor, Jyoti-ba Phule Nagar National Chambal Wildlife 7 Agra, Etawah Sanctuary 8 Mahavir Swami Sanctuary Lalitpur 9 Ranipur Sanctuary Banda, Chitrakoot 10 Chandra Prabha Sanctuary Chandauli Mirzapur and 11 Kaimoor Sanctuary Sonbhadra 12 Lakh Bahosi Sanctuary Kannauj 13 Samaspur Sanctuary Rae Bareli Balrampur, Gonda, 14 Suhelva Sanctuary Sravasti 15 Sandi Bird Sanctuary Hardoi 16 Bakhira Sanctuary Sant Kabir Nagar 17 Patna Bird Sanctuary Etah 18 Sur Sarovar Sanctuary Agra 19 Suraha Tal Sanctuary Ballia 20 Vijai Sagar Sanctuary Mahoba 21 Saman Sanctuary Mainpuri 22 Parvati Arga Sanctuary Gonda Gautam Buddha 23 Okhla Sanctuary Nagar Transport Department, Uttar Pradesh Page 23 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework S. No. National Park/ Sanctuary District Remarks 24 Sohagi Barwa Sanctuary Maharajganj 25 Kachhua Sanctuary Varanasi Figure 2.8: Wildlife Sanctuaries and National Parks in Uttar Pradesh The largest wildlife reserve in Uttar Pradesh is Dudhwa National Park that is situated in the district of Lakhimpur Kheri. Stretched in an area of nearly 500 square Kilometers, Dudhwa National Park is close to the Tarai region of Nepal and boasts off a vivid fauna and flora. This is the only park in UP where one can see tigers and rhinos. Apart from Dudhwa, the other very important reserve is Chandra Prabha sanctuary that is situated in the district of Mughal Sarai. Though this park is devoid of any member of the Indian Cat families, it has various species of Deer and Antelopes. Stretched in less than 80 square Kilometers, the park boasts off Chinkara, Sambar and Chital. Pilibhit Tiger Reserve is home to a large number of rare and threatened species, which include Bengal tiger, Indian leopard, Swamp Deer, Hispid Hare and Bengal Floricans. Stretched along the districts of Mirzapur in UP and Bhojpur in Bihar, Kaimoor wildlife sanctuary covers an area of around 500 square Kilometers. This sanctuary is famous for Tarai Panthers and Blackbuck. Equally popular if not more is Nawab Gunj bird sanctuary near Lucknow. This bird Transport Department, Uttar Pradesh Page 24 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework sanctuary boasts some of the rare bird species in India. Among others, Pochard and Shoveller can be found in abundance in this park. 2.1.2 Wetlands The state is dotted with a number of natural wetlands. Some of them are having significant ecological importance and protected. The district wise distributions of such wetlands are presented in Table 2.5. Table 2.5: District wise Wetland Area Estimates in Uttar Pradesh Wetland Area Pre- Wetland Area Total monsoon Post-monsoon Total No. of District Reported Wetlands % of Total % of Total Area (ha) (ha) (ha) Area Area Agra 399784 14 489 0.12 489 0.12 Akbarpur (Kanpur 511136 25 3022 0.59 3022 0.59 Dehat) Aligarh 502170 40 4244 0.85 4244 0.85 Allahabad 727463 64 8816 1.21 9066 1.25 Azamgarh 421985 48 4234 1.00 4657 1.10 Badaun 520523 52 5812 1.12 5812 1.12 Ballia 299265 35 5608 1.87 5739 1.92 Barabanki 447575 56 6194 1.38 7105 1.59 Bareilly 407490 28 1666 0.41 1666 0.41 Bijnor 484800 13 3465 0.71 4234 0.87 Bulandshahar 437139 17 1662 0.38 1662 0.38 Etah 443282 58 4841 1.09 4841 1.09 Etawah 436650 51 4256 0.97 4703 1.08 Faizabad 442694 27 2490 0.56 2490 0.56 Farrukhabad 428059 59 4841 1.13 4841 1.13 Fatehpur 421983 29 3917 0.93 3917 0.93 Firozabad 236274 30 4196 1.78 4196 1.78 Ghaziabad 258768 12 1721 0.66 1721 0.66 Gazipur 333209 26 6509 1.95 6705 2.01 Hardoi 598799 156 17300 2.89 17577 2.94 Transport Department, Uttar Pradesh Page 25 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Wetland Area Pre- Wetland Area Total monsoon Post-monsoon Total No. of District Reported Wetlands % of Total % of Total Area (ha) (ha) (ha) Area Area Haridwar 190849 3 423 0.22 423 0.22 Jaunpur 399713 26 2695 0.67 2695 0.67 Kanpur 104 328 6 353 0.34 353 0.34 Khiri 765 866 71 9341 1.22 10062 1.31 Lucknow 251 926 53 3053 1.21 3122 1.24 Mainpuri 274 058 62 6883 2.51 6883 2.51 Mathura 399 734 36 3518 0.88 3518 0.88 Mau 171 776 31 3874 2.26 5463 3.18 Meerut 392 812 8 2314 0.59 2314 0.59 Muradabad 595 378 26 3842 0.65 4525 0.76 Muzzafarnagar 417 553 16 5231 1.25 5231 1.25 Pilibhit 353 900 18 2510 0.71 2510 0.71 Pratapgarh 362 423 47 8570 2.36 9073 2.50 Raibareilly 458 453 86 7676 1.67 8324 1.82 Rampur 235 342 11 556 0.24 556 0.24 Saharanpur 394 941 4 298 0.08 298 0.08 Shahjahanpur 457 500 43 2835 0.62 2835 0.62 Sitapur 572 345 89 9641 1.68 13550 2.37 Sultanpur 439 180 64 4994 1.14 4994 1.14 Unnao 458 260 88 16071 3.51 16326 3.56 Varanasi 508 130 35 3797 0.75 5857 1.15 Source: National Wetland Atlas, 2010 Out of total wetlands of Uttar Pradesh, Brijghat to Narora Stretch of Upper Ganga River extended in Hapur and Bulandshahar districts is among the 26 Ramsar site Indian wetlands deemed to be of "international importance" under the Ramsar Convention. Apart from this, a total number of 16 wetlands of the state have been included under National Wetlands Conservation Programme. The list of such wetlands is presented in the Table 2.6. Most of these wetlands form part of Bird Sanctuary. Transport Department, Uttar Pradesh Page 26 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Table 2.6: List of Wetlands of Uttar Pradesh identified under National Wetlands Conservation Programme S. No. Name of Wetland District 1 Nawabganj Gonda 2 Sandi Hardoi 3 Lakh Bahoshi Kannauj 4 Samaspur Rai Baraeli 5 Alwara Wetland Kaushambi 6 Semarai Lake- complex Lakhimpur Kheri 7 Nagaria lake Lakhimpur Kheri 8 Keetham Lake Agra 9 Shekha Wetland Aligarh 10 Saman Bird Sanctuary Mainpuri 11 Sarsai Nawar Etawah 12 Patna Bird Sanctuary Etawah 13 Chando Tal Basti 14 Taal Bhaghel Bahraich Taal Gambhirvan & Taal 15 Azamgarh Salona 16 Aadi Jal Jeev Jheel Hathras 2.2 Social Profile Uttar Pradesh constitutes one of the largest states in India and the state itself represents one of the largest self-governing areas in the world in terms of population. The State of Uttar Pradesh, whilst fourth largest in India in geographical land area, has a population that is estimated to be of the order of 195 million people, a figure superseded by only six countries in the world. It covers 93,933 square miles (243,290 km2), equal to 6.88% of the total area of India. Hindi is the official and most widely spoken language in its 75 districts. Agriculture and service industries are the largest parts of the state's economy. According to the Uttar Pradesh Census 2011, the density of population in Uttar Pradesh is about 800 people per square kilometer which is way above the national average of about 380 and a major cause of concern. Hinduism is the dominant religion in Uttar Pradesh, followed by a majority of 80% people. Muslims forms the second largest community with a population of 18.4%. Rest of the population follows Sikhism, Buddhism, Christians and Jains. The scheduled castes are 17.5 % of the total population whereas scheduled Transport Department, Uttar Pradesh Page 27 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework tribes are less than 2 % of the total population. The literacy rate in the state has gone up in recent years and yet continues to linger at about 70% which is below the national average of 74%. The sex ratio is almost at par with the national average and stands at about 900. A socio-economic snapshot of the State is given below: Area 2,40,928 km2 Population (2011 census) 19.95 crore (16% All India Share of Population) Density of population (2011) 828 persons per km2 Decadal Growth (2001-11) 20.80 Literacy rate (2011) 69.72 Sarnath (Varanasi), Piprahwa, Kaushambi, Tourist & Historical Places Shravasti, Kushinagar, Agra, Lucknow, Chitrakut, Jhansi and Meerut Total State Income (2009-10) – current prices INR 4,53,020 crore Per capita Income (2009-10) current prices INR 23,132 Cultivated Area (2008-09) 16562 thousand hectare Motorised Vehicles – on road (2009-10) 1,19,97,000 Total Road Length- 2010 3.0 lakh km Public Works Department 1.75 lakh km Other Departments 5.25 Lakh km A summarized demographical profile (population in Lakhs) also is given below: of Households Total number Rural/Urban Population Population Population Scheduled Scheduled Literate Literate Female Female Total / Tribes Caste Place Total Male Total 449787 270605 140044 130561 306253 223422 588392 183917 India Rural 192891 157893 81336 76557 177111 144892 251445 89426 Urban 256896 112712 58708 54004 129142 78530 336947 94491 Uttar Total 72452 47426 24677 22749 79177 3686 104701 30668 Pradesh Rural 31225 29594 15165 14429 47593 2251 45091 15963 Urban 41227 17832 9512 8320 31584 1435 59610 14705 Source: Census of India, 2011 Transport Department, Uttar Pradesh Page 28 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 2.2.1 Gender Discussion with women in the project area shows that women work both for the labour market and for the household. Some of this work is recognized and remunerated, while most of it is not enumerated and remains unpaid. Women’s contribution to the household, economy and society goes unrecognized since most of the activities females are involved in do not enter the sphere of the market and remain non-monetized. Most of the work undertaken by women is often interspersed with other household chores, making it difficult to separate the various tasks performed. The perpetuation of gender stereotypes and the social division of labour that typecasts women mainly as workers in the domestic sphere has been the chief barrier to the recognition of women’s economic work participation. Non-recognition of women’s participation in economic activities is not only an outcome of (a) their work being intertwined with household activities; and (b) being unpaid, making it difficult for enumerators to identify women as workers, but also stems from flawed definitions and the limited scope of economic activity. At the all-India level, only 30 per cent of women are defined as workers, main or marginal. In Uttar Pradesh female work participation rate is lower than the national figure and the gender gap in work is higher. In female work participation rate, Uttar Pradesh is ranked 2 in the entire country with a participation rate of 20. Uttar Pradesh has 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. Child Sex Ratio in Uttar Pradesh is 899 as compared to 914 at all India level. Female literacy is extremely poor in Uttar Pradesh is ranked among the top 5 worst states in terms of women’s literacy. The state also has high gender gap in literacy. This could be because of low enrolment of girl child in primary schools coupled with high dropout rate. The NFHS III findings highlight that in U.P. 53 percent of the respondent women (between the age of 20-24) were married by the age of 18. While this figure was 30 percent in the urban area, it was a high 60.1 percent in the rural area. 14.3 percent women between the age 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. Nearly 49 percent girls are married below the age of 18 years in Uttar Pradesh. Early age of marriage is both the symptom as well as a cause of women's subordination in the society. Girls are married off early for a complex array of causes. Socially and culturally perceived as "parayadhan", premium is put on virginity and therefore restrictive controls are imposed on her mobility and sexuality. Girls are thus seen to be protected from violence in society by an early marriage. As per census 2011, employment opportunities seem to be much lower for women in U.P., which restricts their economic empowerment. The work participation rate (WPR) was very low for females at 16.5 percent as compared to 46.8 percent for males. 2.2.2 Indigenous People In Uttar Pradesh tribes are less than 1% 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, viz. Tharus, Boksas, Bhotias, Jaunswaris Transport Department, Uttar Pradesh Page 29 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework and Rajis. Districts with substantial tribal population includes Sonbhadra; Kheri; Agra; Lucknow; Allahabad; Kanpur; Deoria; and Jaunpur. None of the project districts have substantial tribal population. 2.2.3 Land Use Pattern The land use pattern in UP is predominantly agriculture based. The breakup of land use classification for the year 2008-09, reported by the Ministry of Agriculture, Government of India, is given in Table 2.7. Table 2.7: Land Classification in U.P Area (Thousand S. No. Land Classification Percent (%) Hectares) 1. Forest 1658 5.96 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 0.27 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: Land use Statistics, Ministry of Agriculture, Govt. of India, 2008-2009 2.2.4 Economic Profile Uttar Pradesh is a major contributor to the national food grain stock. Partly this is due to the fertile regions of the Indo-Gangetic plain and partly owing to irrigation measures such as the Ganges Canal and tube-wells. Lakhimpur Kheri is a densely populated sugar producing district in the country. It is also home to 78% of national livestock population. Uttar Pradesh supports about 15% of India's total livestock population of its livestock in 1961, 15% were cattle, 21% buffaloes, 13% goats and 8% other livestock. Between 1951 and 1956 there was an overall increase of 14% in the livestock population. There are about 8,000 km² of water area, including lakes, tanks, rivers, canals and streams. Growth of agricultural land and production of crops are presented in the Table 2.8 below. Transport Department, Uttar Pradesh Page 30 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Table 2.8: Growth of Agricultural Land in Area and Production in the State of Uttar Pradesh Area (Ha) Production (Tonnes) Crop 2001-02 2010-11 % Variation 2001-02 2010-11 % Variation Rice 60,71,325 58,13,159 -0.5% 12855857 12334146 -0.5% Jawar 3,22,575 2,01,120 -5.1% 309068 207108 -4.4% Bajra 8,50,727 9,39,976 1.1% 967732 1561644 5.5% Maize 9,31,137 7,77,207 -2.0% 1516580 1169085 -2.9% Wheat 92,55,937 98,01,194 0.6% 25498002 30486819 2.0% Gram 8,40,602 5,88,336 -3.9% 816795 542425 -4.4% Other Pulses 18,42,810 18,59,791 0.1% 1559633 1474088 -0.6% Total Pulses 26,83,412 24,48,127 -1.0% 2376428 2016513 -1.8% 2.2.5 Poverty level Approximately 38% of the total population in the state is below poverty line. A total of 738 lakh people are below poverty line. The rural urban divide shows that nearly 32% urban population and 39% in rural population, is below poverty line. The monthly per capita income in rural area is 664 as against nearly 800 in urban area. 2.2.6 State Economy Uttar Pradesh is the third largest economy in India after Maharashtra and Tamil Nadu. Uttar Pradesh's gross state domestic product for 2004 is $339.5 billion by PPP and $80.9 billion by nominal. After partition, the new Uttar Pradesh state produces about 92% of the output of the old Uttar Pradesh state. Between 1999 and 2008, the economy grew only 4.4% per year, one of the lowest rates in India. But between 2007 and 2011 the economy grew at over 7% GDP growth rate which was higher than their respective targets set for the 11th Plan period (2007 –12) so far. Uttar Pradesh registered a growth rate of 7.28% against the target of 6.10%. Uttar Pradesh attains an 8.08% GDP growth rate in 2010–2011. The state's debt was estimated at 67% of GDP in 2005. In 2012, the state was one of the highest receivers of overall remittances to India which stood at $66.13 billion (Rs. 3.43 crore). 2.2.7 Employment Pattern The work participation for various industries is summarized for the districts and presented in Table 2.9 below. Table 2.9: Work Participation for Various Industries Industries 2001-02 2004-05 2007-08 2008-09 2009-10 2010-11 Agriculture & Livestock 769 754 802 808 749 749 Mining & Quarrying 13 11 12 13 12 12 Transport Department, Uttar Pradesh Page 31 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Industries 2001-02 2004-05 2007-08 2008-09 2009-10 2010-11 Manufacturing 2224 1994 2016 1974 1963 1951 Electricity, Gas 396 398 410 414 415 418 Construction 1054 988 1009 1017 1014 1014 Trade & Commerce 807 647 636 620 618 619 Transport 492 457 471 482 493 498 Financing. Insurance 5195 5263 5332 5390 5440 5528 & Real Estate etc. Services 14689 14873 14944 14958 15040 15069 Total 25639 25385 25632 25676 25744 25858 Source: Statistical abstract on Uttar Pradesh, 2012 2.2.8 Worker’s Participation The work participation rate for total workers is defined as the percentage of total workers to total population. In a similar way it is defined for main and the marginal workers. The main workers are distributed in nine industrial categories of economic activities as per 2011 census. 3 Environmental and Social Regulations and Policy Framework India has developed a fairly comprehensive regulatory framework to address environmental and social concerns in relation to development projects. Its wide ranging enactments cover almost all major issues that need to be addressed in the course of development of infrastructure from a social and environmental perspective. 3.1 Key Environmental and Social Laws and Regulations Table 3.1 below presents Environmental and Social Regulations and Legislations relevant to this project, which are the responsibility of a number of government agencies. This is followed by salient features of important regulations and acts. Table 3.1: Summary of Relevant Environmental and Social Legislations Applicability to this Acts/Rule/Policy Year Objective Responsible Agency Project Environmental 1986 To protect and improve Yes, all environmental MoEFCC GoI; CPCB; (Protection) Act the overall environment. legislation is covered in this UP State Pollution umbrella Act Control Board Environment Impact 2006 To provide Applicable for Building and State Environmental Assessment environmental Construction projects Impact Assessment Notification clearance to new having >50,000 sq. Authority(SEIAA development activities following mtrs. and environmental impact Transport Department, Uttar Pradesh Page 32 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Applicability to this Acts/Rule/Policy Year Objective Responsible Agency Project assessment <1,50,000 sq. mtrs.of builtup area. ). No EIA is required. Project is appraised based on Form-1 and Form-1B. Indian Forest Act 1927 To check deforestation Not applicable as there is Forest Department, by restricting no proposal for land Govt. of UP (for land The Forest conversion of forested acquisition. All the centers conversion below 5 (Conservation) Act 1980 areas into non forested for Road Safety will be hectare & 40% The Forest areas. developed on the available density), MoEF, (Conservation) Rules land with the Transport Regional Office and Department only. MoEF. 1981 Wild Life (Protection) 1972 To protect wildlife May be required in case Chief Conservator. Act through certain of the project requiring Wildlife, Wildlife National Parks and environmental clearance Wing, Forest Sanctuaries. and falls in Eco sensitive Department, Gov. of zone outside the boundary U.P. and National of Wildlife Sanctuary/ Board For Wildlife, National Parks and will. GoI. need only recommendation of NBWL. National Forest 1952 To maintain ecological Not applicable as all the Forest Department, Policy stability through proposed centers for road GoI and Govt. of 1988 preservation and safety will be U.P. National Forest restoration of biological Policy (Revised) diversity. Water (Prevention 1974 To control water Applicable only for UPPCB and Control of pollution by controlling establishment and Pollution) Act discharge of pollutants operation of Batching as per the prescribed Plants during construction, standards. etc Air (Prevention and 1981 To control air pollution Will be for establishment UPPCB & Transport Control of Pollution) by controlling emission and operation of Batching Department. Act of air pollutants as per Plants during construction the prescribed standards. Central Motor 1988 To check vehicular air Yes. For construction Motor Vehicle Vehicle Act and noise pollution. vehicles Department, 1989 Central Motor Transport Department, Uttar Pradesh Page 33 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Applicability to this Acts/Rule/Policy Year Objective Responsible Agency Project Vehicle Rules Ancient Monuments 1958 Conservation of cultural Required only in case of the Archaeological Dept. and Archaeological and historical remains project located within 300 m GOI, Indian Heritage Sites and Remains found in India. from such features Society and Indian Act National Trust for Art and Culture Heritage (INTACH). Fair compensation for Right to fair acquisition of immovable compensation and assets; Resettlement of Not applicable as there is no transparency in land displaced population due proposal for land acquisition Revenue Department. 2013 acquisition, to LA and economic for the proposed centers for Govt. of U.P. rehabilitation and rehabilitation of all those Road Safety Resettlement Act who are affected due to land acquisition. Grants legal recognition to the rights of traditional forest dwelling The Scheduled communities, partially Tribes and other correcting the injustice Ministry of Tribal caused by the forest Not applicable as all 5 Traditional Forest Affaires, GOI and 2006 laws. proposed centers will come Dwellers Department of Tribal in urban area. (Recognition of Makes a beginning Welfare, GoUP Forest Rights) Act towards giving communities and the public a voice in forest and wildlife conservation To ensure speedy land Not applicable as there is no Revenue Department, purchase in agreement requirement of private land Govt. of Uttar Pradesh with land owner thus parcel. protecting the rights of land owner Uttar Pradesh Policy on direct purchase Land to be purchased in 2015 mutual agreement with of land of through mutual agreement land owner so that land owner gets the fair compensation for the land and rehabilitation assistance in shortest possible time. Transport Department, Uttar Pradesh Page 34 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 3.2 Summary of Statutory Clearance/Permits Requirement The project requires a number of statutory clearances under different Acts and Rules at different stage of the project. Table 3.2: Summary of Statutory Clearance Requirement of the Project Type of Responsibilit Time S. No. Clearance/Permit Applicability Project Stage y Required s 1. Environmental Prior Environmental Pre-Construction PIU, 6-8 months Clearance Clearance for for Department Building and of Transport Construction projects having ≥50000 sq.mtrs area and <1,50,000 sq.mtrs. of built up area 2. Environmental The building Pre-construction PIU Transport 2-3 months Condition in construction having Department Building Permission builtup area between 5000 sq m to <150000 Sq m will require ( As per MoEFCC Notification vide S.O. S.O. 3999(E)dated 9.12.2016 the environmental conditions to be integrated with the building permission as per housing by law) 2. Tree felling For tree cutting within Pre-construction PIU, 1-2 months permission Project area Department of transport 3. NOC (Consent to Applicable For siting Construction Stage Contractor 3-4 months Establish and and erection of (Prior to erection Consent to Batching plants etc. and operation of Operate) under Air Plants) and Water Act from SPCB 4. Permission for Extraction of ground Construction stage Contractor 3-4 months extraction of water (Prior to initiation of ground water for installation of Bore use in construction wells and Transport Department, Uttar Pradesh Page 35 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Type of Responsibilit Time S. No. Clearance/Permit Applicability Project Stage y Required s activities from State abstraction of water Ground Water from such source) board 5. Labour license from Engagement of Labour Construction stage Contractor 1. months Labour (Prior to initiation of Commissioner any work) Office 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 Transport Department, Uttar Pradesh Page 36 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  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, housing accommodation for Workers near the workplace, 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  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. 3.3 World Bank Safeguard Policies Projects financed with World Bank assistance should comply with World Bank Operational Policies. The World Bank has Environmental and Social Safeguard Policies to reduce or eliminate the adverse effects of development projects. Transport Department, Uttar Pradesh Page 37 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Table 3.3: Safeguard Policies of World Bank applicable for ‘Safe Transport’ activities World Bank Safeguard Safe Guard Objective Applicability Requirements Policies OP 4.01 The objective of The environmental issues will be Environmental Environmental this policy is to addressed adequately in advance. Assessment and/or Assessment ensure that Bank An integrated Environmental EMP required. financed projects Screening and Environmental are environmentally Assessment (EA) with sound and Environmental Management Plan sustainable (EMP) will be developed to manage environmental risks and maximize environmental and social benefits wherever it is applicable. OP 4.04 Natural The policy This policy may be triggered by the EIA and EMP require Habitats recognizes that the project area requiring forest/ specialised surveys, conservation of wildlife lands, locating close to the which will be natural habitats is natural habitats with the potential conducted at the essential for long- to cause significant adverse impact locations wherever term sustainable or degradation of natural habitats wildlife sanctuary, development. The whether directly (through national park or any Bank, therefore, construction) or indirectly (through other eco-sensitive supports the human activities induced by the area is encountered in protection, project). the project. maintenance and rehabilitation of natural habitats in its project financing, as well as policy dialogue and analytical work. The Bank supports and expects the Borrowers to apply a precautionary approach to natural resources management to ensure environmentally sustainable development Transport Department, Uttar Pradesh Page 38 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework World Bank Safeguard Safe Guard Objective Applicability Requirements Policies OP 4.36 Forests1 This policy Impact of construction activities on Not applicable focuses on the Forest areas required to be taken management, care of if the project is located in conservation, and the neighbouring areas of forest. sustainable There is no proposal for acquisition development of of forest land, so any direct impact forest ecosystems on forest in not envisaged. and resources. It applies to project that may have impacts on (a) health and quality of forests; (b) affect the rights and welfare of people and their level of dependence upon forests and projects that aim to bring about 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 critical forest areas or related critical natural 1 For the project as a whole, this policy has been triggered to cover potential impacts on Forests under other components Transport Department, Uttar Pradesh Page 39 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework World Bank Safeguard Safe Guard Objective Applicability Requirements Policies habitats. OP 4.09 Pest The objective of Pest / Vector management Not Applicable Management this policy is to involvement in the project is not promote the use likely. of biological or environmental control methods and to reduce reliance on chemical pesticides. OP/BP 4.12 The objective of The construction of centers will be Applicable. In case Involuntary this policy is to restricted to land owned by the of squatters / Resettlement avoid or state. However, the public land encroachers being minimize may have encroacher or adversely impacted, involuntary squatters. Relocation of squatters resettlement action resettlement and encroachers may result in plan (RAP) will be where feasible, loss of livelihood and / or shelter. prepared as per the exploring all provisions given in viable alternative this document. project designs. Furthermore, it intends to assist 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 title of land Transport Department, Uttar Pradesh Page 40 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework World Bank Safeguard Safe Guard Objective Applicability Requirements Policies OP 4.10 This policy aims Project will not be carried out in Not Applicable Indigenous People to protect the tribal areas or area having tribal dignity, right and community. cultural uniqueness of indigenous people; to ensure that they do not suffer due to development; that they receive social and economic benefits OP/BP 4.11 This policy aims This policy may be triggered by Application has to Physical Cultural at assisting in sub-projects in those areas where be prepared and Resources the preservation cultural property, historical, submitted to of cultural religious and unique natural Archaeological property, value-this includes remains left by department in case historical, previous human inhabitants and any impact is religious and unique environment features may envisaged due to unique natural be affected during construction of location/ value-this buildings and other infrastructure construction of the includes remains sub-projects. building and other left by previous infrastructure for human road safety project. inhabitants and The impact on such unique features should be environment integrated with EIA features, as well study and included as in the in EMP protection and enhancement of cultural properties encountered in Bank- financed project. Transport Department, Uttar Pradesh Page 41 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 4 Environmental Management Framework 4.1 Introduction Environmental and Social Management Framework (ESMF) is devised as a tool for use by Transport Department to identify and address the potential environmental and social concerns or impacts of a project right from the planning stage to its implementation and post-implementation operations. The objective the ESMF is to mainstream environmental and social considerations with other project documents in the planning, execution and post-execution stages in order to ensure that environmental and social concerns are adequately taken care of in all these stages. The ESMF would be used for incorporation of environmental and social safeguards in the planning, execution and operation stages of each sub-project activity. A step-by-step methodology has been provided that can be followed along with engineering and institutional interventions required for the sub-project activities. The ESMF is a framework that guides the Department of Transport 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. 4.2 Environmental Assessment Process The project will use a structured approach to environmental management to allow the project development process, follow the hierarchy of avoidance, minimization, compensation/mitigation for negative impacts and enhancement of positive impacts where practically feasible and advantageous. Following sections describe what needs to be done at each stage of the overall project life – sub-project selection, design of the project supported interventions, implementation of the project activities, and reporting on progress. 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:  Screening and category classification.  Impacts identification  Stakeholder Consultation  Development of mitigation measures and Environmental Management Plan.  Review and approval.  Conditionality and contractual obligations.  Monitoring.  Reporting. 4.2.1 Sub-project Selection/Screening All the proposed project will be screened to identify the key environmental issues within and around the proposed project location This step will involve review of the available environmental Transport Department, Uttar Pradesh Page 42 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework information about the project site and its surrounding areas. It would help to identify issues to be verified during reconnaissance site visits and also provide a preliminary idea regarding the nature, extent, and timing of environmental issues that would need to be handled during the subsequent stages. It will also help identify opportunities for avoidance and/or minimization early in the project cycle so that the design process can be informed appropriately. The steps to be followed include the following:  Confirm the presence of environmentally sensitive areas from secondary sources or site observations  Verify the extent of applicability of GoUP, GoI, and World Bank policies in sub-project activities  Identify potential negative and positive impacts and provide clarity on which issues need to be investigated more comprehensively during preparation of Environmental Impact Assessment that will be done during the Design stage.  This should help with sequencing of sub-projects, and factoring in timelines like those associated with regulatory clearance processes into project implementation. The following table provides the criteria that would be used for evaluating the sites as they are identified: Significance S. (based on extent Remark/ Environmental Feature Value No. or numbers Explanation involved) Physical Environment Topography Extent of cut/fill in cu. m. Surface Water Resources Distance from nearest edge of site (m) Construction Material Availability (Y/N) Biological Environment Vegetation within the site – Number of trees National Park / Wildlife Sanctuary Distance from proposed site (km) Eco-sensitive zone Distance from proposed site (km) Migratory routes Distance from proposed site (km) Forest area Distance from Transport Department, Uttar Pradesh Page 43 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Significance S. (based on extent Remark/ Environmental Feature Value No. or numbers Explanation involved) proposed site (km) Human Environment Settlement Sensitive Receptors Drinking Water sources Physical cultural Resources – Religious Physical cultural resources – Historic Utilities like electricity lines, pipelines for gas, etc. No site located on any area marked for protection such as Protected/Reserved Forest, Wildlife Sanctuary/National Park, Biosphere Reserve, Ramsar Wetland, Community Reserve, or Important Bird Area will be used for construction of any Driver Training Institute/Vehicle Testing Centre. The results of the screening will help: 1. To determine all regulatory and policy considerations that would need to be applied; including whether GoI Clearance under the Environmental Impact Assessment (EIA) notification is required, and from which level – NEIAA or SEIAA 2. To estimate the timeframe for obtaining the clearance and regulatory permissions as per GOI 3. To focus on the subsequent environmental impact assessment by identifying key impacts This information will help with the prioritization / phasing of sub-project both for subsequent EIA preparation and implementation. 4.2.2 Environmental Impact Assessment (EIA) The EIA is the most commonly used tool to ensure that environmental aspects are considered during decision making – by influencing design to avoid /minimize, and where unavoidable mitigating the residual adverse impacts and/or enhancing positive impacts. It also provides a platform for getting views from stakeholders including the directly affected population to improve the design so that the asset quality is improved. Detailed guidance regarding the EIA contents is available in the OP4.01 of World Bank. It may be noted that for environmental clearance under EIA Notification, 2006 of MoEFCC, EIA is not required for obtaining environmental clearance for Building and Construction Project and is appraised based on Form-1, Form-1B and Transport Department, Uttar Pradesh Page 44 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework conceptual plan. However in compliance to the World Bank’s safeguards policy EIA would be required for each project. The EIA includes the following:  Overview of the sub-project – its location, proposed improvements, along with a map, its benefits, costs and implementation schedule for all activities  Characteristics of the existing environment (baseline) of the alignment, within the broader region through which it passes  Description of potential impacts – both positive and negative, with quantified estimates where possible, otherwise qualitative judgments  Analysis of alternatives available to minimize negative impacts and maximize positive ones, including changes to alignment, materials, technologies, etc.  Consultations undertaken, including in project area with affected people, and with other line departments  Management measures selected to reduce the adverse impacts and increase positive impacts, monitoring and reporting arrangements, and capacity building needs if any, along with costs of each as a management plan including roles and responsibilities of various actors – Transport Department, consultants, and contractors, and other arms of GoUP, where appropriate  Conclusion regarding the completeness of analysis and need for any follow-on study other beyond monitoring of predicted impacts The key steps in preparing the EIA would include:  Defining the scope in line with the already completed screening following EIA Manual of MoEF&CC, and the Operational Policies of the World Bank  Obtaining from primary or secondary sources information regarding the current conditions of environmental features within the influence area of the sub-project  Carrying out effective stakeholder consultations, including along the proposed alignment  Identifying feasible alternatives on use of alternative materials /technologies etc. in close collaboration with the Design team  Identifying and estimating quantitatively to the extent possible key impacts and classify these for ease of understanding and determination of significance (by severity, duration, project phase, etc.)  Selecting measures that can help manage these impacts in cost effective manner – reduce the negative ones; and enhance positive ones and estimate the residual impacts, including those that may need further study  Clarifying the institutional arrangements, any capacity building needs, and resource requirements including budget as part of the preparation of environmental management plan The following will be the outline contents for each EIA under the project:  Executive Summary Transport Department, Uttar Pradesh Page 45 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Project Description  Policy, Legal and Institutional Framework  Baseline Environmental Condition  Potential Environmental Impacts  Analysis of Alternatives  Stakeholder Consultations, including Community Consultations  Environmental Management Plan (including additional studies, if any)  Recommendations and Conclusion  Annexes (including data sources, List of EIA preparers, consultation details, etc.) 4.2.3 Preparation of Environmental Management Plan An Environmental Management Plan (EMP) is the key document focused on implementation, after the potential impacts have been identified. It starts operationalizing the avoidance / minimization aspects from Design/ Pre-construction phase and ensures that the project impacts are reduced to an acceptable level during implementation of the sub-project. Thus, EMP becomes the document for ensuring that all the preceding analysis is used to preserve/improve environmental quality within the influence area of the project. The EMP should be sub-project specific, clearly and concisely describing adverse impacts, selected management measures to bring it to an acceptable level and timelines for implementing these measures. It should also clarify roles and responsibilities among the various stakeholders – UPPWD, PMC, Contractors, other GoUP departments. It would be useful if contract specific EMPs are prepared as this would facilitate integration with the bidding documents. The building blocks of an EMP are: 1. Potential Adverse Impacts Identified and Mitigation measures to be adopted, together with conditions within which one or other measure would apply and their integration with phases operations of road construction – Design, Pre-construction, Construction/ Implementation and Operation 2. Enhancement plans for positive impacts 3. Monitoring Plan with indicators, mechanisms, frequency, locations, 4. Budgetary allocations for all the above activities 5. Institutional arrangements for each activity and mitigation measures 6. Implementation schedules for each activity and its integration with the sub-project implementation timelines 7. Reporting procedures, including for redressing grievances related to environmental issues 4.2.4 Potential Environmental and Social Impacts Based on the lessons learned from similar projects implemented in India and worldwide, the potential environmental and social impacts related to different subprojects under the project at different stages can be identified. As stated in the previous section that the project has four components, out of which only development of training centers and simulation parks will have Transport Department, Uttar Pradesh Page 46 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework civil works. Such centers have been proposed in 5 major cities of the state and will be developed in the land already available with the respective Transport Department. There is no proposal of any land acquisition for development of such centers and infrastructure. The potential environmental and social impacts due to the project can be envisaged mainly during civil construction activities and to some extent during operation stage. Some important environmental issues are required to be addressed during design of such centers. In the proposed traffic and transportation safety project, only limited adverse environmental and social impacts are anticipated which will be mainly due to construction of buildings for training centers and other associated civic infrastructures within the proposed area including construction of simulation parks. Out of four project components, the impacts on environmental components are anticipated only for Training Centers and infrastructure where civil works are involved. All the potential impacts can be managed or mitigated through incorporating the mitigation measures in design and application of good construction practices. Generally, the type of civil works anticipated under the project will involve:  Demolition of old structures and construction of new office buildings:  Provision of basic services within the proposed centers;  Rehabilitation, restoration and/or maintenance of existing infrastructure;  Construction of new or extended facilities on existing land  Provision of public amenities;  Landscaping and tree plantation. For the operation and maintenance phase, the main environmental issues are: 1. Solid waste management. 2. Wastewater management. 3. Management of hazardous materials, etc. 4. Traffic management Based on the experience of the similar projects, several important issues have been identified that would need to be evaluated in the context of each sub-project following screening and scoping exercises. A summary of the issues, and potential impacts is presented in the following paragraphs to guide preparation of upcoming EIA and EMPs for the projects taken up in future. Impact on Land Resources: Since the proposed area is most likely to be located on the already available land with the transport Department, the impact on private land is not envisaged in any of the proposed area. However there will be change in the existing land use, which is a permanent impact. Impact on Topography and Drainage pattern: Only localized minor impact on topography of the project area as the project area will be located on already available land with the Transport Department which is located mainly in city settlement area. However there are chances of alteration of drainage pattern at micro level within Transport Department, Uttar Pradesh Page 47 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework the project area if the same is not considered while designing the building and associated infrastructure. The natural drain system should be maintained for ensuring unrestricted flow of water. No construction shall be allowed to obstruct the natural drainage through the site. The landscape development should follow the natural drainage in the project premises. . Deterioration in water quality is also possible during earthworks, if there is any water body in the vicinity and if proper care is not taken. Spills of material during construction can also impact water quality. Impacts on Forests and Wildlife Direct loss on forest and wildlife is not anticipated as the proposed project locations are generally within the city settlement area and is devoid of forest area in the vicinity. Impact on Trees: The project will ensure that no Rare, Endangered or Threatened species are impacted as a result of the project activities The project may require removal of trees within the proposed project area in order to accommodate the structures in the area which is unavoidable. However, the tree felling can be minimized by restricting tree felling only in the permanent construction area and retaining the trees in remaining area. It is required to obtain requisite permission from the line department and to carry out compensatory plantation in the ratio of 1:3, i.e. plantation of three trees in lieu of felling of 1 tree. This impact has medium impacts and can be reversed after the provision of landscaping and tree plantation within the project compound. Material Use The use of stone, earth, sand, bricks, cement, water, steel, timbers etc. Most of these materials will be procured from venders. The quantity of materials can be reduced by reusing the excavated and dismantled materials to the possible extent. Changes in water flow due to raising of ground level and paving of ground Flooding of surrounding area due to the raising of ground levels is possible and can create unhygeininc condition in the surrounding area. Construction of building and paving of the ground will likely to increase the surface runoff. This is required to be addressed properly by providing proper drainage network and rainwater harvesting structures which will ultimately help in improvement of groundwater level in the area Air Quality Deterioration of air quality is the common impact due to construction activities. During construction stage, deterioration of air quality in the surrounding area is anticipated mainly due to dust generation. Generation of fugitive dust is anticipated due to earth works, excavation, stacking and handling of sand, cement and soil, operation of concrete mixing, concreting activities and material transportation. However this impact is short term, temporary and localized in nature. The impact due to dust generation can be minimized by application of water sprinkling, Transport Department, Uttar Pradesh Page 48 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework transportation of materials in covered vehicles, stacking of materials like sand, top soil and other dust generating materials in covered sheds. The operation of generator set and concrete mixer and heavy equipment may lead to gaseous emission. These equipment and machinery will require to be maintained properly and should conform to the emission standards as stipulated by CPCB. Noise Pollution Increase in noise level during construction has the potential to disturb many people in the neighborhood area. There may be schools or hospitals or other such locations like places of worship which may face increased noise pollution due to construction activities. This issue has been identified d as one of the key negative impacts during the construction stage that would need to be suitably mitigated. Due operation of simulation park and training centers, office complexes, the localized traffic in anticipated to increase and the vehicle owners have to bring their vehicles for inspection, training as well as fitness certification, thereby increasing noise level in surrounding areas. This will require proper planning to manage noise pollution and vehicular emission during operation stage of the project. Contractors’ Camp and Plant Sites Improper siting of these elements could cause stress on the local infrastructure, may also cause social friction if the host communities feel that their resources are being used by ‘outsiders’. Pollution for the duration of the project implementation from construction plants is also potential adverse impact that needs to be planned for in advance. Demolition Waste Some existing structures such as boundary walls, surfaced area, sheds may require to be demolished for providing new structure. If dismantled structures are not disposed off properly, they cause waterlogging/obstruction in waterways. All construction and demolition debris shall be stored at the site (and not dumped on the roads or open spaces outside) before they are properly disposed off. Reusing of dismantled material to possible extent can potentially reduce the disposable quantity. Workers and Public Safety The workers and public safety during project implementation is one of the major issues requiring proper attention. The supply and use of proper PPEs to the workers during works, safe access to the work zone, safe working platforms, proper illumination at work zone, safe shuttering, scaffoldings, ladders, etc are required to be ensured during construction site. Barricadings around project area, warning signboards for public, development of emergency response system. First- aid box and medical facilities, etc. are some of the measures related to safety for those working at high structures occupational safety concerns would also need to be addressed. Traffic Safety Hazards During construction materials will be transported to the site through dumpers. Some heavy Transport Department, Uttar Pradesh Page 49 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework equipments may also be required for construction activities. This may pose risk of road accidents. The traffic accidents are mainly due to:  Offensive driving  In appropriate parking  Backing of vehicle without following appropriate methods  Machinery and debris on the access road are also hazards.  Unfit vehicle  Lack of appropriate information, education, and training of worker and driver. To mitigate such impacts, restriction of speed, transportation of materials during off peak hours only, regular checking of vehicles checking, training of drivers regarding the risk and also traffic rules, etc. to be imposed. A Driving Training Institute(DTI) with various infrastructure facilities such as class rooms with teaching aids like OHP, Slide Projector, T.V. and V.C.R./VCD and Multimedia Projector for handling theory classes on Traffic Rules and Regulations, Driving Procedures, Vehicle Mechanism, Public Relations and First Aid. To display cut section models of various working systems of an automobile, including failed components as well as static models on driving procedures, a separate driving lab, driving range is also required. Testing equipment’s to test physical abilities of drivers including eye vision, Driving Simulator, and a comprehensive driving range with various types of maneuvers to impart off road driving practice in basic driving procedures and driving practice in skill development are also required. The other infrastructure such as workshop shed for maintenance and repairs of training vehicles, canteen and Hostel facilities are also to be provided in the Institute itself. In case of Vehicle Health Checking Centre (VHCC) it will have the facility to test break, propeller shaft, speed, vibration sound emission and headlight, dimension of the vehicle also will be tested. It will identify all unsafe part of the vehicle which could lead to an accident will get detected during the test. In case of having such component vehicle will fail the fitness test. To cater above responsibility lots of mechanical, electrical, electronic equipment’s operation is required. During operation stage a number of vehicles including heavy vehicles are anticipated to reach on daily basis at center for checking of vehicle fitness. Plying of such vehicles will interfere the normal traffic around the training and certification centers, thereby increasing the risk of traffic jam as well as accidents, which is a major impact around the project area. It is important to prepare “Traffic Circulation Plan” around such centers. It is also important to designate ample parking area for the vehicles coming for certification at the centers away from the normal traffic flow. The Access for various stakeholders should be controlled in a manner that the all stake holder can perform their activities and duty in a smooth manner. The demarcated area will restrict un desired movement of stake holder in a specific area. Time schedule will prevent the gathering of stakeholders at a time. Defined activities and classification will separated stake holders from each other’s. Like DTI trainees will have different time schedule Transport Department, Uttar Pradesh Page 50 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework to avoid gathering at a time. Same way VHCC will schedule different time slot for number of vehicles. Commercial unit operator will not be allowed to come across the driving test range. Separate entry exit will be establish for different stakeholder as appropriate. In this way safe Access for various stakeholders can be ensured. Fire Hazards: All such facilities apart from workshop, canteen and hostels activities also may lead to fire incident which may lead to injury and death. The fire incident may occur due to number of reasons. DTI and VHCC facility authority need to laid down protocol and procedure for each activities in the premises so that chance of fire incident can be reduced. Fire from Fuel and flammable material and combustible material storage area Fuel and flammable material and combustible material storage area should be monitored on regular basis. In case of minor fire incident, it is to be attended with suitable fire protection equipments. If the fire is heavy, higher authority to be informed immediately. For avoiding any kind of disaster due to fire incident inside the fuel and flammable material storage area or combustible material storage area the following safety measures have to be undertaken: Fire Fighting Arrangements:  Fire extinguishers  Fire detectors  Fire Alarm Apart from above personnel training should be provided through rehearsals/drills to the staffs, worker, residents and divers. 4.2.5 Preparation of Environmental Mitigation and Management Plan The EMP should be sub-project specific, clearly and concisely describing adverse impacts, selected management measures to bring it to an acceptable level and timelines for implementing these measures. It should also clarify roles and responsibilities among the various stakeholders – Transport Department, PMC, Contractors, other GoUP departments. It would be useful if contract specific EMPs are prepared as this would facilitate integration with the bidding documents. The building blocks of an EMP are: 1. Potential Adverse Impacts Identified and Mitigation measures to be adopted, together with conditions within which one or other measure would apply and their integration with phases operations of proposed centers – Design, Pre-construction, Construction/ Implementation and Operation2 2. Enhancement plans for positive impacts 3. Monitoring Plan with indicators, mechanisms, frequency, locations, 4. Budgetary allocations for all the above activities 5. Institutional arrangements for each activity and mitigation measures Transport Department, Uttar Pradesh Page 51 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 6. Implementation schedules for each activity and its integration with the sub-project implementation timelines 7. Reporting procedures, including for redressing grievances related to environmental issues The general Environmental Concerns during design and project implementation stage associated with construction of building and associated infrastructure projects are presented in Table 4.1 and Table 4.2. These concerns are required to be addressed properly in preparation of Environmental Management Plan. Table 4.1: Environmental and Social Concerns in Design for Building and Construction Project Environmental Environmental and Social measures to S. N. and Social Issues be incorporated in Design Component Component 1: No environmental or social issues associated Capacity Building of Not Applicable as no civil works involved with this project Existing Safety Cell component Component 2: No environmental or social issues associated Media Campaign for Not Applicable as no civil works involved with this project Mass Awareness component Component 3: No environmental or Training Centers and social issues associated Not Applicable as no civil works involved infrastructure with this project Development component Component 4: Construction of Inspection and Certification Centers Transport Department, Uttar Pradesh Page 52 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Environmental Environmental and Social measures to S. N. and Social Issues be incorporated in Design Component  Buildings shall be designed to follow the natural topography as much as possible. Minimum cutting and filling should be done.  The natural drain system should be maintained for ensuring unrestricted flow of water. Topography and Protection of Natural 1 Natural  No construction features to obstruct the Drainage Pattern Drainage natural drainage through the site.  No construction on wetland and water bodies.  Suitable landscape, and other sustainable urban drainage systems (SUDS) to be provided for maintaining the drainage pattern and to harvest rain water.  Provisions on rain water harvesting should be followed as per Local Building Bye-Law. If local bye-law provision is not available, adequate provision for storage and recharge should be followed as per the Ministry of Urban Development Model Building Bye-Laws, 2016.  A rain water harvesting plan needs to be designed where the recharge bores (minimum one recharge bore per 5,000 Water Groundwater Conservation square meters of built up area) is 2 Environment Measures recommended.  In areas where ground water recharge is not feasible, the rain water should be harvested and stored for reuse. All recharge should be limited to shallow aquifer.  At least 20% of the open spaces shall be pervious. Use of Grass pavers, paver blocks with at least 50% opening, landscape etc. would be considered as pervious surface. 3 Facilities for solid waste  Solid waste: Separate wet and dry bins Solid Waste management within must be provided in each unit and at the Transport Department, Uttar Pradesh Page 53 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Environmental Environmental and Social measures to S. N. and Social Issues be incorporated in Design Component Management premises ground level for facilitating segregation of waste  In areas where there is no municipal sewage network, onsite treatment systems should be installed. Waste Water  Natural treatment systems which Waste water treatment 4 Management integrate with the landscape shall be and discharge facilities Facilities promoted. As far as possible treated effluent should be reused.  The excess treated effluent shall be discharged following the CPCB norms.  Compliance with the Energy Conservation Building Code (ECBC) of Bureau of Energy Efficiency shall be ensured.  Buildings in the States which have notified their own ECBC, shall comply with the State ECBC.  Outdoor and common area lighting shall be Light Emitting Diode (LED).  Solar, wind or other Renewable Energy shall be installed to meet electricity generation equivalent to 1% of the demand load or as per the state level/ Energy local building bye-laws requirement, 5  Conservation of Energy whichever is higher. Requirements  Solar water heating shall be provided to meet 20% of the hot water demand of the commercial and institutional building or as per the requirement of the local building bye-laws, whichever is higher.  Concept of passive solar design that minimize energy consumption in buildings by using design elements, such as building orientation, landscaping, efficient building envelope, appropriate fenestration, increased day lighting design and thermal mass etc. shall be incorporated in the building design. Transport Department, Uttar Pradesh Page 54 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Environmental Environmental and Social measures to S. N. and Social Issues be incorporated in Design Component  Wall, window, and roof u-values shall be as per ECBC specifications.  For indoor air quality the ventilation provisions as per National Building Code of India. 6 Air Environment Control of Air Pollution  The location of the DG set and exhaust pipe height shall be as per the provisions of the CPCB norms.  All the trees within project premises to be enumerated  The tree felling to be restricted only in permanent construction area. The existing trees to be retained to the possible extent. Tree marking to be done to delineate Tree Cutting Green Belt  Landscaping to be done to ensure 7 Green Cover and Landscaping minimum one tree in 80 sqm.  Where the trees need to be cut, compensatory plantation in the ratio of 1:3 (i.e. planting of 3 trees for every 1 tree that is cut) shall be done and maintained.  Native tree species to be preferred for plantation  Use of environment friendly materials in bricks, blocks and other construction Use of Environmental materials, such as fly-ash bricks, hollow Construction 8 friendly construction bricks, AACs, Fly Ash Lime Gypsum materials material blocks, Compressed earth blocks, etc. shall be required for at least 20% of the construction material quantity. Although largely proposed  The encroachers and squatters will be centers in 5 cities will be assisted as per entitlement matrix in RPF. developed over land 9 Land Issue already available with the  All common properties lost will be state Transport compensated at replacement value or will Department, there are be reconstructed. chances of land being Transport Department, Uttar Pradesh Page 55 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Environmental Environmental and Social measures to S. N. and Social Issues be incorporated in Design Component encroached. Removal of encroacher / squatters could lead to: Loss of structures used for residential, commercial and other purposes and associated loss of livelihood i.e., loss of livelihood due to impacts on sources of earning; Loss of other properties and assets such as boundary walls, hand pumps, bore wells, dug wells, ponds etc.; Loss of common property resources such as religious places, Samadhi, graveyard, cremation places, water resources, village gates, passenger shelters, etc; Transport Department, Uttar Pradesh Page 56 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Table 4.2: Environmental Concerns During Project Implementation and Operation – Activity and Sub S. No. Impact/s Measure/s Activity PC Pre – Construction Activities PC-1 Tree Felling  Loss of trees (i) Confirm with local authorities, including Forests Department, when appropriate, that no  Loss of canopy and protected area is part of the site. warming effect (ii) Minimisation of tree felling by retaining them in non-construction area Permission for tree felling from competent authority prior to cutting of tree. (iii) Compensatory plantation in the ratio of 1:3 (i.e. planting of 3 trees for every 1 tree that is cut) shall be done and maintained (iv) Green belt and Landscape development PC-2 Location of Storage Pollution from (i) Location criteria to be adopted Yards, labour camps, construction camps, and construction sites storage yards & labour camps Pressure on local (ii) Infrastructure arrangements to be infrastructure as per guidelines PC-3 Operation of Machinery likely to cause (i) Machinery to be procured shall be equipment and pollution in neighbouring in conformance with emission machinery areas standards of CPCB (ii) all precautionary measures to be taken at site to suppress dust emission Safety concerns in (i) Safety equipment for workers machinery operation (ii) Barricading and warning signboards for restricting trespassing Transport Department, Uttar Pradesh Page 57 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Activity and Sub S. No. Impact/s Measure/s Activity PC-4 Identification and Conflict with local for (i) Consultations and arrangements at Selection of Material using water for contractor-individual levels, Sources construction and other documentation of agreement domestic purpose from common source (ii) Separate source of water to be used for construction (iii) Bore well to be established after obtaining requisite NOC from Ground Water Authority prior to abstraction of water PC-5 Identification of Pollution due to location (i) Site selection in conformance to designated locations of close to settlements, criteria provided waste disposal EHS water bodies & other sensitive areas B Construction Activities B-1 Site Clearance Clearing and Grubbing Loss of fertile top soil (i) Topsoil should be stripped to a depth of 20 cm from the areas proposed for buildings, roads, paved areas, and external services. (ii) The top soil should be stockpiled appropriately in designated areas and reapplied during plantation and landscaping. B1.1 Clearing of vegetation Loss of vegetation cover (i) Restricting movement of machinery/equipment (ii) Cutting of trees only in the permanent construction area Debris generation (ii) Disposal / storage of grubbing creating unsightly waste and possible reuse conditions Transport Department, Uttar Pradesh Page 58 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Activity and Sub S. No. Impact/s Measure/s Activity B1.2 Dismantling of existing Generation of Debris (i) All construction and demolition structures, if any creating unsightly debris shall be stored at the site conditions (and not dumped on the roads or open spaces outside) before they are properly disposed off. (ii) Reuse of dismantled material to possible extent (iii) All demolition and construction waste shall be managed as per the provisions of the Construction and Demolition Waste Rules 2016. Flooding due to blockage (i) No materials/ to be stacked over of drainage paths natural drains (ii) All the drains to be cleared before rainy season (iii) Silt traps to be provided at the outlet to arrest the debris flow in the neighbouring drains causing choking of drains B4.0 Transport of materials Fugitive emissions from (i) Covering of material with tarpaulin to site transport trucks or use of covered box trucks during transport Dust emissions from haul roads (ii) Haul road management B-2.0 Materials handling at site B-2.1 Storage of Construction Dust Generation All construction and demolition debris and Demolition Debris Interruption of public shall be stored at the site (and not amenities dumped on the roads or open spaces outside) before they are properly disposed. B-2.2 Storage of materials Contamination to water (i) Provision of impervious base to sources, leaching into storage areas ground water B-2.3 Handling of Granular Dust rising and increase (i) Use of dust suppressants materials/Sand/ Cement in particulate concentration in ambient air Transport Department, Uttar Pradesh Page 59 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Activity and Sub S. No. Impact/s Measure/s Activity B5.8 Operation of construction Air & Noise pollution (xi) Conformance to Emission standards equipments and and norms machinery Operational safety of (xii) Conformance to Safety concerns of workers the workers in operation, first aid provision and mandatory provision of appropriate Personal Protective Equipment B-3.0 Construction works B-3.1 Earth works/ Excavation Damage risk to adjoining (i) Survey of foundation status and of for foundation works properties stability of adjoining structures/ building Risk of falling of adjoining building (ii) Excavation to be done at safe distance from the adjoining building (iii) Adequate safety to be provided for adjoining building before excavation Loss of topsoil (ii) Preservation of topsoil for reuse Chance Finds of cultural (i) Inform Transport Department and property through them, the local archaeological directorate/survey office. (ii) Stop work on site and until inspection is completed. (iii) Continue after authorisation by the Directorate/Survey officer, following instructions issued for further work. Transport Department, Uttar Pradesh Page 60 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Activity and Sub S. No. Impact/s Measure/s Activity Generation of dust (i) Screens for the building under construction (ii) Provision of continuous dust/ wind breaking walls of at least 3 m height all around the site. (iii) Sand, murram, loose soil, cement, stored on site shall be covered adequately so as to prevent dust pollution Waste generation (i) Safe disposal of waste & possible reuse B-3.2 Concreting works for Dust generation due to (i) Dust suppression with water foundation/Beams/Colum cement mixing (ii) Covers around the plant premises n/Roof and lintel (iii) nasal makes and gloves to the workers to be ensured Noise Generation due to (i) The concreting works to be done operation of concrete only during day time mixer and operation of (ii) No noise gen-set to be provided Genset (iii) Workers to be provided with ear muffles to avoid ill-effect of noise Contamination of water (i) Control measures as silt fencing, bodies/ water courses vegetative barriers etc (ii) Avoiding disposal of liquid wastes into natural water courses B-3.3 Plastering & Pointing Labour Safety (i) PPEs for handling Cement Works (ii) Safe working platform/lifting/ hanging platform and safe access to be provided (iii) Safety belts, helmets and safety boots to used for working at height, Transport Department, Uttar Pradesh Page 61 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Activity and Sub S. No. Impact/s Measure/s Activity B-3.4 Fabrication for Column/ Labour Safety (i) Appropriate PPEs to be used by Window & Doors workers during fabrication and loading/unloading of fabricated materials B-3.5 Maintenance at Collection of rainwater in (ix) Temporary drains during construction camp construction camps construction Provision of Drinking Potable Drinking water conforming Water to IS 10500 will be provided for all sites, including work sites and accommodation. Waste water from labour (x) Disposal of waste water into soak camps pits Contamination of soil (xi) Removal of oil / other chemical spills & wastes B5.7 Waste management Littering of debris at (ix) Waste to be disposed at disposal construction site locations only Contamination of (x) Prevention of runoff from entering surroundings due to water bodies runoff from construction site B13.0 Monitoring -Nil- (i) To be as per the codes of environmental environmental practice conditions B 14.0 Social Issues Likelihood of increased Contractor to ensure that accident risk in the construction site is barricaded, and neighbouring areas due safety signs are visible. The safety to construction activities signs will be in both English and Local language. Blockage of drainage and flooding in surrounding Contractor to ensure that drains areas during are clear of construction debris. construction Contractor will submit labour Impact on host management plan within 30 days community due to labour of mobilization. influx during NGO hired for the project along construction stage with supervision consultant will monitor the activities of contractor. Transport Department, Uttar Pradesh Page 62 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Activity and Sub S. No. Impact/s Measure/s Activity C Post Construction Activities/ Activities during operational stage C1.0 Clearing of construction camps C1.1 Dismantling of campsite Waste generation at the (i) Disposal of waste at designated construction site locations (ii) Restoration of site to original or better condition C1.2 Campsite rehabilitation Change of land use due (ii) Campsite to be restored to its to setting up of original condition as per the construction camp rehabilitation plan C2.0 Clearing of Water Generation of debris & silt (i) Removal of Debris and disposal Channels and drains Blocking of natural water darinage C3.0 Waste Management C3.1 Effluent discharge Contamination of (i) As far as possible treated effluent neighbouring drains and should be reused. water bodies due to liquid effluent discharge (ii) The excess treated effluent shall be discharged following the CPCB norms. C.3.2 Sludge Disposal Contamination of land (i) Sludge from the onsite sewage due to sludge disposal treatment, including septic tanks, shall be collected, conveyed and disposed as per the Ministry of Urban Development, Central Public Health and Environmental Engineering Organisation (CPHEEO) Manual on Sewerage and Sewage Treatment Systems, 2013 C.3.3 Solid Waste Domestic waste (i) The provisions of the Solid Waste Management (Management) Rules 2016 Transport Department, Uttar Pradesh Page 63 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Activity and Sub S. No. Impact/s Measure/s Activity C.3.4 Rainwater Harvesting Choking of drains/ (i) Clearing and Maintenance of all the structures Trenches drains and trenches before rainy season C.3.5 Traffic Management Interference with local (i) Preparation of “Traffic Circulation traffic and enhanced plan” around certification and accident risks training centers to avoid/ minimize interference with the local traffic (ii) Ample parking space to be provided for the vehicles coming for fitness test (iii) The Access for various stakeholders should be controlled in a manner that the all stake holder can perform their activities and duty in a smooth manner. (iv) Scheduling for testing will prevent the gathering of stakeholders at a time. Like DTI trainees will have different time schedule to avoid gathering at a time. Same way VHCC will schedule different time slot for number of vehicles. (v) Commercial unit operator will not be allowed to come across the driving test range. Separate entry exit will be (iv) established for different stakeholder as appropriate. (vii) An Emergency Action Plan to be developed for dealing with emergency situation/ accidents, fire, etc. Transport Department, Uttar Pradesh Page 64 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Activity and Sub S. No. Impact/s Measure/s Activity C.3.6 Fire and Accident Fires risk/ electrocution (i) Proper firefighting arrangements Hazards and accidents at centre (such as Fire Extinguishers, Fire Alarm, Fire Detectors) to be installed in all the (ii) Centers at all vulnerable locations and to be maintained on regular basis (iii) Periodical mock drils for fire and other emergency situation to be conducted (iv) All Emergency/Fire exist must be kept clear of all obstruction at all time and a clear marking of such exist route with luminous signboards and track to be maintained (v) An Emergency Action Plan to be prepared for dealing with occurrence of fire or other emergency (vi) Necessary support service to be established for the victim. (vii) A fully equipped first aid box to be provided at each centers and is required for use in emergency. (viii) A dedicated ambulance with all necessary equipment’s, medicine and material should be on site to transport accident victim to the nearest heath care facilities. All rescuers should be well trained (ix) and always present in the site. A small team of paramedics is necessary in the DTI and VHCC unit. Transport Department, Uttar Pradesh Page 65 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 4.2.6 Stakeholder Consultations Stakeholder consultations are integral to development projects and need to be carried out all through the project life. These are an effective way to communicate about the priorities for both the Transport Department and the stakeholders should be used extensively as the project progresses. These consultations can provide insights that may elude designers and help unravel inexplicable responses to proposals effectively. Ensuring an open and transparent information exchange right from start is a key ingredient of successful project implementation. At the identification stage, the general public in the area would be informed regarding the possible sub-project interventions and feedback would be sought on the overall picture. This will also help the scoping of the EIA since the local information regarding environmental aspects may be more robust and relevant for identifying key issues. Second round would start once iteration has happened with design response to the first round of inputs from stakeholders. There should be clarity regarding what is accepted, what is not accepted for consideration for integration with project design. There should be clear and convincing reasons for each choice made to maintain the integrity and sanctity of the process and to nurture trust among the stakeholders. Where mandatory consultations are required, such as Public Hearing for clearance under the EIA notification, these would be led by the respective authorities and Transport Department would provide its full support. On other occasions, Transport Department would be in-charge and would seek to ensure that the consultations are useful to the affected groups, are non-discriminatory by social status, and supplemented with timely and relevant information. These consultations would:  Make Transport Department aware of community needs and preferences for its sub-projects, with reference to improved road conditions, including safety;  Identify the best options and have minimum practicable impact on the stakeholder resources  Identify mitigation measures for adverse impacts and enhancement of positive impacts informing the selection of the measures in the EMP  Identify any opportunities to involve local stakeholders in subsequent project activities, including providing feedback  Disseminate information regarding avenues available for redressing grievances, including those about environmental quality. Transport Department, Uttar Pradesh Page 66 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 5 SOCIAL MANAGEMENT FRAMEWORK This ESMF defines (a) the approach for identifying the social issues associated with the project, (b) the requirements for conducting social screening and social assessment studies, and (c) measures to prevent, mitigate and manage adverse impacts and enhance positive ones. This SMF includes a simplified screening checklist, which will be used to determine the degree of social assessment. Based on screening results, Social Impact Assessment (SIA) will be carried out and Resettlement Action Plan (RAP) and Indigenous Peoples Development Plan (IPD)) for specific initiatives will be prepared if required. This SMF includes a resettlement policy framework describing mechanisms for addressing the possible temporary disruption of services and income (e.g., temporary displacement of informal vendors), and temporary restrictions on access to facilities while the construction work is ongoing in the project area. The SMF includes guidance on preparing of indigenous peoples development plan, gender action plan; consultation mechanism; capacity building measures and a monitoring mechanism. 5.1.1 Social Issues  Although largely proposed centers in 5 cities will be developed over land already available with the state Transport Department, there are chances of land being encroached. Removal of encroacher / squatters could lead to: Loss of structures used for residential, commercial and other purposes and associated loss of livelihood i.e., loss of livelihood due to impacts on sources of earning;  Loss of other properties and assets such as boundary walls, hand pumps, bore wells, dug wells, ponds etc.;  Loss of common property resources such as religious places, Samadhi, graveyard, cremation places, water resources, village gates, passenger shelters, etc;  Likelihood of increased accident risk in the neighbouring areas due to construction activities  Blockage of drainage and flooding in surrounding areas during construction  Impact on host community due to labour influx during construction stage 5.1.2 Social Screening Process 5.1.2.1 Identification of Impacts The purpose of screening is to get an overview of the nature, scale and magnitude of the issues in order to determine the need for conducting Social Impact Assessment (SIA) and preparing Resettlement Action Plan (RAP). After identifying issues, the applica bility of the Bank’s environment and social safeguard policies is established along with Government of India’s and state government’s regulatory requirements. Based on this, boundaries and focus areas for the SIA along with the use of specific instruments will be determined. The possibility of any adverse impact in the sub-project site will be identified during the screening process. The screening Transport Department, Uttar Pradesh Page 67 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework format has been designed to identify sub-project/s with potential social issues that may need to be addressed at the project planning stage. The social screening checklist is given below: Table 5.1: Environmental and Social screening checklist Assessment of Remarks S. Category Screening Criteria /Explanatory note No. (High/ low) for categorization 1 Is the project in an eco-sensitive area or adjoining an eco-sensitive area? (Yes/No) If Yes, which is the area? Elaborate impact accordingly. 2 Will the project create significant/ limited/ no social impacts? a Land taking resulting in loss of income b Land taking resulting in relocation of households. Any displacement or adverse impact on tribal c settlement(s). d Any specific gender issues. 3 Will the project create significant / limited / no Social impacts during the construction stage? A Flooding of adjacent areas B Improper storage and handling of substances leading to contamination of soil and water C Elevated noise and dust emission. D Disruption to traffic movements E Damage to existing infrastructure, public utilities, amenities; common properties; etc. F Failure to restore temporary construction sites G Possible conflicts with and/or disruption to local community 5.1.2.2 Establishing Impacts Having identified the potential impacts of the relevant sub-projects, the next step is to develop action plans to mitigate the impacts. This will require detailed social impact assessment. The Consultant along with Project authority will undertake a survey for identification of the persons and their families likely to be affected by the project. Every survey shall contain the following municipality / ward wise information of, the project affected families: Transport Department, Uttar Pradesh Page 68 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Members of families who are residing, practicing cultivation, any trade, or any other vocation in the project affected area;  Project Affected Families who are likely to lose their house, commercial establishment, employment or are alienated wholly or substantially from the main source of their trade occupation or vocation or losing any other immovable property.  Losing access to private property or common property resources  Loss of common property resources The project on completion of the survey will disseminate the survey results among the affected community. Based on the social impact assessment survey, will prepare an action plan to mitigate or minimize the adverse impacts as identified during the survey. The draft mitigation plan in form of resettlement action plan (RAP) will be again disseminated among the affected individuals / community. The feedback received from the affected groups will be incorporated to the extent possible before finalization of the RAP. 5.1.3 Resettlement Action Plan (RAP) RAP provides a link between the impacts identified and proposed mitigation measures to realize the objectives of involuntary resettlement. The RAPs will take into account magnitude of impacts and accordingly prepare a resettlement plan that is consistent with this framework for Bank approval before the sub-project is accepted for Bank financing.  Sub-projects that will affect more than 200 people due to land taking and/or physical relocation and where a full Resettlement Action Plan (RAP) must be produced.  Sub-projects that will affect less than 200 people will require an abbreviated RP (Resettlement Plan).  The above plans will be prepared as soon as subproject is finalized, prior to Bank’s approval of corresponding civil works bid document. 5.1.4 Resettlement Policy Framework Since exact locations of sub projects are not known, RPF will help in conducting SIA and preparation of RAP. Though no private land acquisition is envisaged under the project, encroaches / squatters on public land cannot be ruled out. Therefore, provisions of schedule II of Right to Fair Compensation and transparency in land Acquisition, Rehabilitation and Resettlement (RFCTLARR) Act, 2013 and subsequent supplements by state governments and World Bank Operational Policy 4.12 on involuntary resettlement has been adopted to develop RPF and entitlement matrix. The World Bank Operation Policy on involuntary resettlement aim to ensure that involuntary resettlement should be avoided or minimized, wherever feasible, exploring all viable alternative project designs, and where displacement is unavoidable, people losing assets, livelihood or other resources shall be assisted in improving or at a minimum regaining their former status of living at no cost to themselves. Also, World Bank safeguards policy requires consultation with PAPs during planning and implementation of resettlement action plan and tribal development plan and public disclosure of drafts. Once the draft is prepared it is to be made available at a place accessible to, and in a form, manner and language understandable to the displaced or affected people and local NGOs. Transport Department, Uttar Pradesh Page 69 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Based on the detailed comparative analysis of RFCTLARR Act 2013 and the World Bank Operation Policy on involuntary resettlement, key differences identified and addressed under the Resettlement Policy Framework (RPF) are listed in the table below: Transport Department, Uttar Pradesh Page 70 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF 1 Application of LA Direct economic and social impacts Section 2 Applicable to projects where Not applicable as acquisition of that both result from Bank-assisted government acquires land for its own use, hold private land is not envisaged. investment projects. Applies to all and control, including PSU and for public components of the project that purpose; for PPP where ownership of land result in involuntary resettlement, continues to vest with govt; private companies regardless of the source of where 80% of land owners3 have given financing. consent or 70% in case of PPP. Principle of avoidance Involuntary resettlement should be Alternatives to be considered as Act in chapter In line with bank OP 4.12 avoided where feasible, or II, point # 4 (d) says "extent of land proposed minimized, exploring all viable for acquisition is the absolute bare minimum alternative project design needed for the project; and (e) says land acquisition at an alternate place has been considered and found not feasible. Linkages with other OP 4.12 applies to all components of No such provision The ESMF will be applicable for all projects the project that result in involuntary components of the project that or resettlement, regardless of the any linked project necessary to source of financing. It also applies to achieve its objective. other activities resulting in involuntary resettlement, that in the judgment of the Bank, are (a) 3 Land Owner – whose land and immovable property acquired and land assigned by state or central govt under any scheme (Section 3 c (i) and (v)) Transport Department, Uttar Pradesh Page 71 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF directly and significantly related to the Bank-assisted project, (b) necessary to achieve its objectives as set forth in the project documents; and (c) carried out, or planned to be carried out, contemporaneously with the project. 2. Application of R&R Same as above In addition to the above, Provision of OP 4.12 to apply. Section 2(3) land purchased by private company as prescribed by Govt. or when part acquired by govt 3. Affected area Involuntary take of land resulting Section3(b): Area notified for ‘acquisition’ Provisions of OP 4.12 will be in loss of shelter, loss of assets or applicable access to assets, loss of income sources or means of livelihood 4. Family Section 3(m) includes person, his and her The definition of family given in spouse, minor children, dependent minor RFCTLAR&R Act 2013 will be brothers and sisters. followed Widows, divorcees, abandoned women will be considered as separate family. 5. Affected family for Section 3 (a): whose land and other eligibility immovable property acquired. Transport Department, Uttar Pradesh Page 72 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF (b)&(e): Family residing in affected area such as labourers, tenants, dependent on forest and water bodies, etc whose primary source of All adversely affected people livelihood is affected due to acquisition whether have formal legal rights or (c) Scheduled tribes and other forest dwellers do not have formal legal rights on whose rights recognized under the Forest land Dwellers Act 2006. (f) Family assigned land by state or central government under any schemes (g) Family residing on any land in urban area that will be acquired or primary source of livelihood affected by acquisition. 6. Cut-Off date Date established by the borrower Section 3 c (ii), (iv) (vi): Families residing for Provisions of OP 4.12 will be and acceptable to the Bank. It is preceding 3 yrs or more prior to “acquisition of followed as RFCTLAR&R Act has the date of census. land”. no such provision for people living on public land. Moreover, RFCTLAR&R Act requires proof of residing in the project area at least three years prior to initial notice on LA. Transport Department, Uttar Pradesh Page 73 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF 7. Consultation – Phase Consultation a continuous process Section 4(1) date issued for first consultation Provisions of OP 4.12 will be I during preparation during planning and with PRIs, Urban local bodies, Municipalities, etc followed. The draft and final SIA implementation to carry out SIA. will be disclosed in public as per the provision given in RFCTLAR&R Section 5: Public hearing of SIA in affected Act, 2013. area. Provide adequate publicity of date and time. 8. Time duration to Draft Social Assessment, Section 4 (2): within six months from the No gap found. RFCTLAR&R Act prepare SIA and SIMP Resettlement Action Plan and or date of its commencement. specifies a timeframe which is Social Management Framework followed by the client. prepared before appraisal. 9. Disclosure – Stage I To be disclosed before appraisal. Section 6(1): Translated in local language No gap found. available in PRI institutions and local urban government bodies; district administrative offices and websites of concerned government agency. 10. Formation of Expert Appraised by Bank staff Section 7(1): Constitute a multi-disciplinary No gaps found. Group to appraise SIA Expert Group include members of decentralized and SIMP govt Institutes (PRIs, ULBs). 11. Time stipulated for Before the decision meeting for Section 7(4): Submit its report within two No gaps found. Group to submit its appraisal months from the date of its constitution report Transport Department, Uttar Pradesh Page 74 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF 12. Scope of work of the Social Assessment, resettlement Section 7 (4) (a&b): assess whether it serves No gap found. Expert group action Plan reviewed and appraised any public purpose or not; if social costs by Bank staff and approved by outweigh potential benefits then should be Regional safeguard advisor abandoned; Section 7 (5) (a&b): if serves public purpose, then it has considered minimum land acquisition, and alternate options to minimize displacement; potential benefits outweigh social costs 13. Consultation – Phase In practice consultation workshops Section 2 (2): Prior consent of 80% and 70% No gap found. II during appraisal are organized in project affected of land owners in PPP and where private areas at district and state level. company has approached the govt to acquire balance land has been obtained, 14. Disclosure – Stage II Information dissemination through Section 7 (6): recommendations of expert No gap found. the planning and implementation group under 7(4&5) to be made public in local language in district and block administrative office and PRIs 15. Minimize impact on Select feasible design that has Section 10: In case multi-crop land is to be Not applicable as centres will multi-crop land minimal adverse impact. acquired under exceptional circumstances, the come up on public land in urban area to be acquired cannot exceed aggregate areas of land of all projects in district or state. The area to be acquired cannot exceed the total Transport Department, Uttar Pradesh Page 75 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF net sown area of the district or state. Wasteland equivalent to twice the area acquired will be developed. 16. Information Continuous part of the preparation Section 11 (1), (2) & (3): Notice published in Not applicable as no private land dissemination of and participation local language and meetings called of gram acquisition envisaged. preliminary notice sabhas, municipalities to provide full information about the purpose of the project, summary of SIA and particulars of administrator appointed for R&R’ summary of R&R scheme 17. Updating land records To be part of RAP Section 11 (5): Once established that the land Not applicable as no private land is required for public purpose, accordingly acquisition envisaged. notice to be issued under section 19 following which land records to be updated within two months 18. Census and To be part of RAP including both Section 16 (1) (2): carry out census of RFCTLAR&R Act takes only preparation of R&R titleholders and non-titleholders affected people and their assets to be affected, titleholders into account. schemes livelihood loss and common property to be Provision of OP 4.12 to be affected; R&R scheme including time line for followed. implementation. 19. Information Section 16(4) & (5): mandatory to Provisions of OP 4.12 to be dissemination and disseminate information on R&R scheme followed. Public hearing - including resettlement area and organize public Transport Department, Uttar Pradesh Page 76 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF Stage III hearing on the Draft R&R scheme in each Gram Sabha, Municipality and consultations in Consultation throughout the Scheduled area as required under PESA. process is mandatory 20. Approval of R&R As part of RAP prior to appraisal Section 17 & 18: Draft R&R Scheme to be No gap found Scheme finalized after addressing objections raised during public hearing and approved. 21. Final declaration of Approved RAP including budgetary Section 19 (2): Only after the requiring body No gap found. R&R Scheme provisions to implement it has deposited the money will the govt issue the notice along with 19(1). 22. Time period Included in RAP - Time line Section 19 (2): the entire process to update No gap found. stipulated. synchronized with Government’s land records, disseminate information, procedures or adopts innovative preliminary survey, census, hearing of methods to reduce the time which objections, preparation of R&R schemes and is based operated on the principles approval, deposit of money must complete of participation and transparency. within 12 months from the date on which section 11, the preliminary notice issued. Section 19 (7): If the final declaration not made within 12 months of section 11 (1), the process will lapse, except under special circumstances. 23. Preparation of land Section 20: Land marked, measured for Not applicable as no private land Transport Department, Uttar Pradesh Page 77 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF acquisition plans preparation of acquisition plans. acquisition envisaged. 24. Hearing of claims Section 21(1) (2): Notices issued indicating govt’s intension to take possession of land and claims on compensation and R&R can be made not less than one month and not more than six months from the date of issue of section 21(1). 25. Time period stipulated Section 25: It is required to announce the for declaring the award within 12 months of issue of Section award 19 (final declaration to acquire land, approved R&R scheme) after completing land acquisition plans, hearing of objection, settling individual claims for declaration of the Included in RAP. award. If award not made within the stipulated time, the entire proceedings will lapse. 26. LA Act 1984 deem to Section 24: where award is not declared under Not applicable as no private land lapse and RFCTLAR&R section 11, or where made five years ago but acquisition envisaged. is applicable land not taken in possession or where award declared but money not deposited in the account of majority of beneficiary. 27. Methodology for Full replacement Cost Section 26 and First Schedule: Recognizes 3 Not applicable as no private land determining market methods and whichever is higher will be acquisition envisaged. considered which will be multiplied by a factor Transport Department, Uttar Pradesh Page 78 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF value for land given in Schedule First; compensation given earlier will not be considered; if rates not available floor price can be set; steps to be taken to update the market value. 28. Valuation of Full Replacement cost Section 29 (1) without deducting the Provisions of OP 4.12 structures depreciated value. 29. Solatium and interest Section 30(1) 100% of the compensation No gap found. amount Section 30(3): 12% per annum on the market rate from the date of notification of SIA to the date of ward or land taken over Transport Department, Uttar Pradesh Page 79 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF 30. R&R Award Total cost included in RAP to Section 31, Second Schedule: A family as a No gap found resettle and rehabilitate the unit will receive R&R grant over and above the affected persons and assist in their compensation and those who are not entitled efforts to improve their livelihoods to compensation. and standards of living or at least to restore them, in real terms, to Second Schedule: Homeless entitled to constructed house, land for land in irrigation pre-displacement levels or to levels projects in lieu of compensation, in case of prevailing prior to the beginning of acquisition for urbanization 20% of developed project implementation, whichever land reserved for owners at a price equal to is higher compensation’ jobs or onetime payment or annuity for 20 years’ subsistence grant, transportation, land and house registered on joint name husband and wife, etc 31 Transparency Section 37(1): Information of each individual No gap found. family including loss, compensation awarded, etc will be available on the website. 38. Possession of land Taking of land and related assets Section 38(1): Land will be taken over by the No gap found. may take place only after government within three months of compensation has been paid and, compensation and 6 months of R&R benefits where applicable, resettlement disbursed; infrastructure facilities at sites and moving allowances have resettlement sites will be completed within 18 been provided to the displaced months from the date of award made under persons. section 30 for compensation; in case of irrigation and hydel projects R&R completed six Transport Department, Uttar Pradesh Page 80 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF months prior to submergence. 39. Multiple displacement Section 39: Additional compensation No gap found. equivalent to compensation determined will be paid to displaced 31. Acquisition for Not permeable in bank funded Section 40 (5): 75% additional compensation Not applicable as no private land emergency purpose projects will be paid over and above the compensation acquisition envisaged. amount 32. Prior consent before Mandatory to carry out Free, Prior, Section 41(3) Mandatory to get consent from Not applicable as no private land acquisition and Informed Consultation with Gram Sabha, Panchayat, Autonomous Councils acquisition envisaged. alienation Indigenous people. in Scheduled areas. Transport Department, Uttar Pradesh Page 81 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF 33. Development plans Indigenous Peoples’ Development Section 41: Separate development plans to No gap found. for SC and ST plan required along with RAP. be prepared, settle land rights before acquisition; provision of for alternate fuel Land for land for is an option fodder, non-timber produce on forest land to across all sectors. be developed within 5 years; 1/3rd compensation amount to be paid as first instalment and rest at the time of taking possession; ST to be resettled within Scheduled area; land free of cost for community purpose; land alienation will be null and void and ST and SC considered for R&R benefits; fishing rights restored in irrigation and hydel projects; if wish to settle outside the district additional benefits to be provided in monetary terms; all rights enjoyed under other laws will continue. Second Schedule: additional provisions for SC&ST for land for land in irrigation projects, additional sum over and above the subsistence grant, 34. Institutional Institutional arrangement must be Section 43-45: Appointment of No gap found. arrangement agreed upon and included in RAP, administrator, R&R Commissioner, when more IPDP. than 100 acres of land is to be acquired, R&R Committee will be formed at project level, Transport Department, Uttar Pradesh Page 82 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF social audit to be carried out by Gram Sabha and Municipalities. 35. Change of land use Compensation and R&R assistance Section 46(4): Land will not be transferred to No gap found. should be disbursed before taking the requisitioning authority till R&R is not physical possession of land. complied with in full 36 Monitoring and Indicators and monitoring system Section 48-50: Set up National and State No gap found Evaluation included in RAP and IPDP level Monitoring Committee to review and monitor progress 37. Authority to settle Section 51-74: The Authority will be set up No gap found claims settle any legal disputes that arise from acquisition and R&R, the aggrieved party can move to the high court thereafter. 38. Exempt from tax and Project to bear all taxes and other Section 96: Compensation and agreements No gap found fee expenses if new assets are will not be liable to tax purchased by the PAP 39. No change in status Section 99: Once the land is acquired for a Not applicable as no private land of land acquired particular purpose, its purpose cannot be acquisition envisaged. changed 40. Return of unutilized Section 101: If the acquired land remains Not applicable as no private land land unutilized for 5 years, then it will be returned acquisition envisaged. to original owner, heir or included in land bank Transport Department, Uttar Pradesh Page 83 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Remarks / Measures taken to Sl. No. Topics/Issues/Areas World Bank OP4.12 RFCTLAR&R address in ESMF 41. Distribution of Section102: 40% of appreciated value of Not applicable as no private land increased value of acquired land will be distributed to owners acquisition envisaged. land transferred provided no development has taken place. Transport Department, Uttar Pradesh Page 84 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 5.1.5 Broad Principles The Policy aims to resettle and rehabilitate the affected persons on account of its sub-projects in a manner that they do not suffer from adverse impacts and shall improve or at-least retain their previous standard of living, earning capacity and production levels. It is also the endeavour of department of transport that the resettlement shall minimize dependency and be sustainable socially, economically and institutionally. Special attention will be paid for the improvement of living standards of marginalized and vulnerable groups. This policy recognizes that involuntary resettlement dismantles a previous production system and a way of life, all such rehabilitation programs will adopt a developmental approach rather than the welfare approach. These guidelines detail out the assistance in re-establishing the homes and livelihoods of the Project Affected People (PAP) 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.  The persons affected by the project who do not own land or other properties but who have economic interest or lose their livelihoods will be assisted as per the broad principles brought out in this policy.  Before taking possession of the land identified, compensation and R&R assistance will be made to those who are available and willing to receive the entitlements in accordance with this policy.  There would be no/minimum adverse social, economic and environmental effects of displacement on the host communities, but if needed, specific measures would be provided.  Broad entitlement framework of different categories of project-affected people has been assessed and is given in the entitlement matrix. Provision will be kept in the budget. However, anyone moving into the project area after the cut-off date will not be entitled to assistance.  An appropriate grievance redressal mechanism would be established at project level to ensure speedy resolution of disputes.  All activities related to resettlement planning, implementation, and monitoring would ensure involvement of women. Efforts will also be made to ensure that vulnerable groups are included.  All consultations with PAPs shall be documented. Consultations will continue during the implementation of resettlement and rehabilitation works.  As required, a Resettlement Action Plan will be prepared including a fully itemized budget and an implementation schedule. The broad principles of the Resettlement and Rehabilitation (R&R) policy are as given below;  All negative impacts including displacement should be avoided/ minimized wherever feasible by exploring all viable alternative project designs. Transport Department, Uttar Pradesh Page 85 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  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 additional cost to them. Support will be extended under the broad principles of this policy to meet the replacement value of the assets and loss of livelihood.  Ensure peoples’ participation during the course of the project cycle.  Effort should be made towards the enhancement of the positive impact of the projects.  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.  All efforts will be made during implementation to minimize any disturbance in the daily activities of the local people.  Before taking possession of the land and properties, all compensation, resettlement and rehabilitation would be made in accordance with this policy.  The implementation of the R&R Action Plan will be synchronized with the execution of works under the project. 5.1.6 Definitions The following definitions are used in the RPF: Cut-off Date: Since no private land acquisition is envisaged, cut-off date for non-titleholders will 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 sister’s 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 policy. Land Owner: Land owner includes any person / body / authority whose name is recorded as the owner of the land or building or part thereof, in the records of the authority concerned; 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 therefrom 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. Transport Department, Uttar Pradesh Page 86 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Below Poverty Line: A household, whose annual income from all sources is less than the designed sum as fixed by the Government 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: 1. Member of Scheduled caste/tribe community/other backward community. 2. Households below poverty line 3. Women Headed households. 4. Senior citizen-person above the age of 60 years. 5. Persons with disability 5.2 Social Impact Assessment Process Based on screening results, the project will undertake a survey for identification of the persons and their families likely to be affected by the project. Every survey shall contain the following municipality / ward -wise information of, the project affected families:  members of families who are residing, practicing any trade, occupation or vocation in the project affected area;  Project Affected Families who are likely to lose their house, commercial establishment, employment or are alienated wholly or substantially from the main source of their trade occupation or vocation or losing any other immovable property.  Families belonging to scheduled caste and scheduled tribe categories  Vulnerable persons such as the disabled, destitute, orphans, widows, unmarried girls, abandoned women, or persons above the age of 50 years, who are not provided or cannot immediately be provided with alternative livelihood, and who are not otherwise covered as part of a family;  Families that are landless (not having homestead land,) and are below poverty line, but residing continuously in the affected area preceding the date of declaration of the affected area;  Losing access to private property or common property resources  Impact on women due to construction activities, loss of assets; loss of access; etc. The project on completion of the survey will disseminate the survey results among the affected community. Based on the social impact assessment survey, project will prepare an action plan to mitigate or minimize the adverse impacts as identified during the survey. The draft mitigation plan in form of resettlement action plan (RAP) will be disseminated among the affected individuals/ community. The feedback received from the affected groups will be incorporated to the extent possible before finalization of the RAP. 5.3 Resettlement Action Plan: Broad Structure and Processes In case the sub-project requires involves land taking resulting in loss of livelihood or shelter, department of transport shall ensure that a satisfactory RAP has been prepared and shared with Transport Department, Uttar Pradesh Page 87 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework the affected persons and the local community. The department shall not start the works until the assistance has been made available in accordance with the framework. The RAP document provides a link between the impacts identified and proposed mitigation measures to realize the objectives of involuntary resettlement. The RAPs will take into account nature and magnitude of impacts that is consistent with this framework for Bank approval before the sub-project is accepted for Bank financing. RAP will establish the cut-off date and anyone who encroach on the area after the cut-off date will not be entitled to compensation or any other form of resettlement assistance. In case, the 1. Sub-projects that will affect more than 200 people due to involuntary land taking and/or physical relocation will require a full Resettlement Action Plan (RAP). 2. Sub-projects that will affect less than 200 people will require an abbreviated RP (Resettlement -plan). 3. The above plans will be prepared as soon as subproject is identified. 4. Projects that are not expected to have any significant adverse social impacts; on the contrary, significant positive social impact and improved livelihoods are exempted from such interventions. Every- Resettlement Action Plan (RAP) prepared shall contain the following:  Baseline: 1. Municipality-wise list of project affected families and likely number of displaced persons by impact category. 2. Family-wise and the extent and nature of immovable property in their possession indicating the survey numbers thereof held by such persons in the affected zone. 3. Socio-economic survey of affected people including income/asset survey of PAPs. 4. Information on vulnerable groups or persons for whom special provisions may have to be made  Impact: 1. The extent of area to be taken for the project, the name(s) of the corresponding municipality 2. Adverse impact on common property resources including cultural properties 3. Any indirect impact  Quantification of impacts in terms of number of 1. Occupiers of government land who have lost or are likely to lose their employment or livelihood or who have been alienated wholly and substantially from their main sources of occupation or vocation consequent to the taking of land and / or structure for the project; 2. Number of public utilities, government buildings, cultural properties which are likely to be affected.  Mitigation Measures and Entitlements: Transport Department, Uttar Pradesh Page 88 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 1. Comprehensive list of benefits and packages which are to be provided to project affected families by impact category. 2. Measures to address impact on host community due to influx of migrant labour. 3. Gender Action Plan  Relocation: 1. Details of the extent of land available which may be acquired in settlement area for resettling and allotting of land to the project affected families. 2. Details of the basic amenities and infrastructure facilities which are-to be provided for resettlement.  Consultation Results and incorporation of community suggestions / feedback in project design.  Implementation Arrangements 1. Institutional mechanism for RAP implementation. 2. Consultation strategy; a disclosure plan and a capacity building plan 3. Grievance redressal mechanism 4. The time schedule for shifting and resettling the displaced families in resettlement zones.  Monitoring and Evaluation 1. Mechanism for internal monitoring 2. Mechanism for external evaluation 3. Indicators for monitoring and evaluation; and  Budget 5.3.1 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 belonging to below poverty line (BPL) or non-BPL. The details are provided in the entitlement matrix below. Table 5.2: Entitlement Matrix S. Definition of Application Entitlement Details No. Entitled Unit A. Loss of Trees and Crops 1 Standing Owners and Compensation a) Three months advance notice to project affected Trees, beneficiaries at replacement persons to harvest fruits, standing crops and removal value of trees. Crops b) Compensation to be paid at the rate estimated by: i) The Forest Department for timber trees ii) The State Agriculture Extension Department for crops Transport Department, Uttar Pradesh Page 89 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework S. Definition of Application Entitlement Details No. Entitled Unit iii) The Horticulture Department for fruit/flower bearing trees.c) B. Loss of Residential/ Commercial Structures of Non-Titled Holders 2 Structures on Owners of Resettlement a) Cash assistance at replacement cost for loss of the identified Structures or &Rehabilitation structures as described in section 29 of the land Occupants of Assistance RFCTLARR Act 2013. structures identified as b) All squatters (other than kiosks) will be eligible for per Project one time grant of Rs 36000 as subsistence allowance. Census Survey c) 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. d) 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. e) In case of Kiosks, only Rs. 5000 will be paid as one time grant. f) Employees working in the affected commercial establishment will be given subsistence allowance of Rs. 36000 as one time grant. g) Individual affected by the project and if interested will be given training in alternative livelihood option. h) 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 C. Additional Support to Vulnerable Families 3 Families on SC, ST, BPL, Resettlement One time additional financial assistance of Rs. 50,000. the identified WHH families & land Rehabilitation Assistance D. Loss of Community Infrastructure/Common Property Resources 4 Structures & Affected Reconstruction Reconstruction of community structure and Common other communities of community property resources in consultation with the community. resources structure and Transport Department, Uttar Pradesh Page 90 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework S. Definition of Application Entitlement Details No. Entitled Unit (e.g. land, and groups common water, access property to structures resources etc.) E Temporary Impact During Construction 5 Land & assets Owners of land Compensation Compensation to be paid by the contractor for loss of temporarily & Assets for temporary assets, crops and any other damage as per prior impacted impact during agreement between the 'Contractor' and the 'Affected during construction 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 families opt structures non- site/ vendor for assisted resettlement. Vulnerable PAPs will be given titleholders market 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 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 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. Transport Department, Uttar Pradesh Page 91 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 5.4 Gender Equality and Social Inclusion The centres will be constructed in urban areas and unlike road projects, the gender issues will be entire different. In order to ensure that project design is gender responsive, gender analysis will be carried out for all urban locations where centres will be constructed. The findings and recommendations of the gender analysis, gender action plan will be developed. A Gender Development Framework is being designed under the project as part of ESMF which will help analyse gender issues during the preparation stage of sub project and design interventions. At the sub project level, gender analysis will be part of the social assessment and the analysis will be based on findings from gender specific queries during primary data collection process and available secondary data. The quantitative and qualitative analysis will bring out sex disaggregated data and issues related to gender disparity, needs, constraints, and priorities; as well as understanding whether there is a potential for gender based inequitable risks, benefits and opportunities. Based on the analysis, the specific interventions will be designed and if required gender action plan will be prepared. The overall monitoring framework of the project will include sex disaggregated indicator and gender relevant indicator. The participation of beneficiaries and focus on poverty reduction are two other key determinants of the effectiveness and sustainability of any project. The project will address the constraints on women’s participation in project design, construction, and monitoring and evaluation (M & E). The project will also focus on the linkage between gender and poverty, by identifying, for example, households headed by women and those ho useholds’ will special needs. Three major tools are used to identify and deal with gender issues in the project cycle: gender analysis, project design, and policy dialogue.  Gender analysis will be an integral part of the initial social assessment at the screening stage itself. The issues identified can be scaled up during the feasibility and detailed analysis can be carried out during the project preparation stage.  The project designs will be gender responsive based on the gender analysis and will be included in the ESIA document.  The findings and recommendations from the gender analysis during project planning and feedback from beneficiaries during implementation will be discussed thoroughly to determine the need for further action. Listed below are the key action points: a) General Check list i. Identify key gender and women’s participation issues. ii. Identify the role of gender in the project objectives. iii. Prepare terms of reference (TOR) for the gender specialist or social development specialist of the client iv. Conduct gender analysis as part of overall Social Assessment. v. Draw up a socioeconomic profile of key stakeholder groups in the target population and disaggregate data by gender. Transport Department, Uttar Pradesh Page 92 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework vi. Examine gender differences in knowledge, attitudes, practices, roles, status, wellbeing, constraints, needs, and priorities, and the factors that affect those differences. vii. Assess men’s and women’s capacity to participate and the factors affecting that capacity. viii. Assess the potential gender-differentiated impact of the project and options to maximize benefits and minimize adverse effects. ix. Identify government agencies and nongovernmental organizations (NGOs), community-based organizations (CBOs), and women’s groups that can be used during project implementation. Assess their capacity. x. Review the gender related policies and laws, as necessary. xi. Identify information gaps related to the above issues. xii. Involve men and women in project design. xiii. Incorporate gender findings in the project design. xiv. Ensure that gender concerns are addressed in the relevant sections (including project objectives, scope, poverty and social measures, cost estimates, institutional arrangements, social appendix, and consultant’s TOR for implementation and M & E support). xv. List out major gender actions. xvi. Develop gender-disaggregated indicators and monitoring plan. b) Core Requirement for Mainstreaming Gender i. All data should be disaggregated by gender, caste, ethnicity, location and age; ii. Issues of division of labour, 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; iii. 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. c) Steps of Gender Mainstreaming Focus of Inputs and process indicators Data source intervention Policy checklist i. What are the requirements of the national gender equality Contract policy, if any, and the executive support provided to it? documents; Department of ii. Which ministry focal point or unit is responsible for Transport, Transport Department, Uttar Pradesh Page 93 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Focus of Inputs and process indicators Data source intervention advocacy and gender inclusion at the policy and project level? Government of Uttar Pradesh; iii. Does the transport sector strategy address gender issues Department of (labour issues, e.g. promotion of gender in labour-based Women and Child work, participation of women in prioritization and design of Development; works, measures to eliminate discriminatory labour or Contractor contracting practices, HIV/AIDS prevention and treatment) in its works and contracts? iv. Do transport policy and planning procedures explicitly take gender into account: identification of gender gaps and gender-specific needs, capacities, constraints, and opportunities inclusion of socio-economic empowerment as an integral element? v. Are women and men civil society stakeholders consulted on policies and programs; included in teams analysing policy and strategy; included in decision making? vi. Is there a system for monitoring the implementation of gender and other components of sector policies and strategies? vii. Sex disaggregation of beneficiary data and key gender indicators outreach and capacity building on gender and other social dimensions grants for addressing gender issues? viii. Are there training sessions on gender including gender- sensitive planning? ix. Is stakeholder consultation facilitated? x. Is there participation of implementing agencies or community organizations? xi. Are gender sensitization workshops held for men and women of transport department staff and implementing agencies, and do they consider knowledge gaps in gender elements in the sector? Project cycle: i. Conduct a rapid assessment to identify and quantify Stakeholder and potential gender-related issues and impacts affecting access, beneficiary Project risks, benefits, and participation assessments: user Transport Department, Uttar Pradesh Page 94 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Focus of Inputs and process indicators Data source intervention identification, ii. Identify disadvantaged or vulnerable groups, including whosatisfaction they are, where they live, and their socioeconomic survey, project preparation, and characteristics (scheduled castes, women-headed households, concept note, design widows, disabled) social assessments (household iii. Examine the impacts of project on these groups surveys and focus iv. Identify the gender-specific implications of land taking group discussions in project influence v. Identify gender-specific implications of employment area), mid-term opportunities to be created under the project and end term evaluation vi. Identify gender-specific constraints in receiving surveys; findings information and providing feedback and complaints on the of gender study in project transport vii. Discuss identified gender and other social issues in the project viii. Include both females and males affected by the project in stakeholder consultations ix. Use separate focus groups to enable women to voice their views separately from men x. Analyse the data collected to highlight gender differences in uses and the underlying causes of women’s and men’s project related problems xi. Examine relevant inter-sectoral linkages, such as access to health services, HIV/AIDS prevention, and access to markets and schools xii. Ensure that analysis of gender differences in needs, use, constraints, and access are included in the terms of reference for the social assessment xiii. Identify the gender-related issues that need to be addressed to ensure the effectiveness and sustainability of the project xiv. Develop approaches for addressing the gender-related issues identified and creating opportunities for equal access to project benefits for men and women, including training, organizational capacity building, grants programs, targets for Transport Department, Uttar Pradesh Page 95 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Focus of Inputs and process indicators Data source intervention women’s participation xv. Develop indicators for measuring progress on gender- related issues within the relevant project components (e.g. construction works, institutional arrangements, land acquisition and resettlement benefits, privatization, livelihood restoration, awareness building, consultations, complaint handling) Project cycle: i. Desk review (secondary literature) Other projects in Methodology the country/state ii. Review available information (e.g. statistics, gender and gender policy analysis, documents of previous transport projects, if documents, study available or other projects involving land taking for non-linear findings of gender projects) in the project area and the socioeconomic profile of study in transport; the target population household iii. Review the relevant legal framework (e.g. inheritance surveys, national law), policy framework (e.g. resettlement and rehabilitation), sample survey, and institutional framework (e.g. current administrative latest census data, system for land taking, compensation disbursement, participatory rapid grievance handling, awareness creation) and their gender appraisal of target implications area, focus group discussions, iv. Review government programs for encouraging equal consultations with opportunities and participation of women in the project beneficiaries influence area v. Household surveys (primary survey) vi. Draw up gender-disaggregated socioeconomic and cultural profiles and identify the problems faced by and needs of the target population vii. Conduct group discussions, random interviews, and transect walks to study the activity pattern viii. Collect quantitative information ix. Participatory methodologies (e.g. participatory rapid appraisal) x. Collect qualitative information that cannot be collected through surveys (socio cultural norms, behavioural questions) Transport Department, Uttar Pradesh Page 96 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Focus of Inputs and process indicators Data source intervention xi. Define ways in which men and women beneficiaries and other stakeholders, especially poor women, can equally participate in the project xii. Map out the target areas and assess which are 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 xiii. Identify major stakeholder groups and their positions xiv. Staffing xv. Ensure adequate gender balance in field teams xvi. Select field team members with gender awareness, local knowledge, cultural understanding, and willingness to listen Project cycle: Data i. Socioeconomic profile: Gender-disaggregated data District, block, collection and village ii. Demographic: Gender, sex ratio, caste, marriageable age, census data, female-headed households, migration trend, household size national sample iii. Economic: Income level and source, expenditure pattern survey data, and decision making, access to land and resources health survey data, household iv. Health: Population growth rate, infant and adult mortality surveys, focus rate, availability of medical facility, reproduction-related group decision making, HIV/AIDS awareness discussions, v. Education: Literacy, school enrolment and dropout ratio, child labour vi. Status of women: Political representation and awareness, socio cultural perceptions and practices of men and women, domestic violence, trafficking, gender-discriminatory policies and laws, gender roles, responsibilities and gender division of labour in productive areas (e.g. agriculture, income- generating activities) and reproductive areas (e.g. household chores, child care), and time allocation for each responsibility vii. Water and sanitation viii. Availability, quantity, and quality of water for the family, sources of drinking water, how men and women store and Transport Department, Uttar Pradesh Page 97 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Focus of Inputs and process indicators Data source intervention use water collected, how far away these resources are located, time spent on collection of the resources, mode of transport used to collect the resources, availability of sanitation service (chargeable or not, who runs it) ix. Access, control, constraints x. How men and women differ in their access to markets, employment opportunities, and credit xi. Whether external assistance is provided to improve access and control, and by whom xii. Participation xiii. Factors affecting the level of participation of men vs. women, incentives and constraints, means of information dissemination about the project preferred by men vs. women, labour demand for men vs. women, which modes of participation men and women favour (e.g. decision making in planning, cash contribution, labour contribution for construction, training, financial management, organizational management) xiv. Perception of benefits and impacts xv. Men’s and women’s perceptions of positive and negative impacts of the project, how negative effects can be mitigated Project i. Prepare gender action plan. Under this: Gender expertise, implementation ii. Undertake quality social and gender analyses. Identify Discussion and constraints to participating and benefiting men and women; : Gender action plan Participation with develop strategies for each component to ensure that men and women participate and benefit equally beneficiaries, separate focus iii. Revisit gender design strategies at inception to develop a group discussions detailed gender action plan. The plan needs to be tested and with men and reviewed early in implementation; identify detailed activities, women, targets, resources, and responsibilities for implementation government iv. Gender action plan must be fully owned and understood departments, Transport Department, Uttar Pradesh Page 98 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Focus of Inputs and process indicators Data source intervention by the executing agency. Use a participatory and flexible labour and approach to developing the plan; a strong rationale that is employment directly linked to overall project objectives is needed for laws, provisions targeting and working with women in project and budget, learning v. Identify realistic targets linked to loan objectives. Targets approaches from and strategies should enable step-by-step progress, bringing good practice incremental changes and challenging culture without cases threatening it; linking targets to loan objectives helps all stakeholders to understand the rationale for focusing on women and helps monitoring of participation and benefits. vi. 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. vii. Provide adequate skills and resources for implementation of gender action plan. Long-term gender specialists in the executing agency 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. viii. 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. Project i. Develop a participation strategy for men and women Gender expertise, during project implementation and monitoring and implementation Discussion and evaluation: : Participation participation ii. Avoid overly high expectation of women’s participation strategy and develop a practical schedule for participation with beneficiaries, iii. Planning: Conduct women-specific consultation to take separate focus their views and suggestions on the design. Any mechanism group discussions established during the project design, such as grievance with men and mechanisms, should have adequate representation of women, government Transport Department, Uttar Pradesh Page 99 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Focus of Inputs and process indicators Data source intervention women departments, labour and iv. Construction: Ensure work conditions that are conducive employment to women’s participation (e.g. gender-equal wage rates, laws, provisions construction season, toilet and child care facilities) in project and v. Training options: Identify ways to link up with income budget, learning generation, literacy, and other activities to support an approaches from integrated approach to poverty reduction and women’s good practice empowerment cases vi. Staffing, scheduling, procurement, and budgeting: Hire female project staff vii. Consider seasonal labour demand in scheduling civil works viii. If appropriate, set a minimum percentage of female labourers and prohibit the use of child labourers in the civil works contract ix. Ensure adequate and flexible budgeting to allow a learning approach (e.g. training budget, consulting service budget for women’s organizations) Project cycle: i. Establish whether men and women perceive positive and Project Impact negative impacts of the project differently, and assess how monitoring the negative effects can be mitigated reports, audits, group ii. Consider whether the benefits are likely to be distributed discussions, equitably household iii. For disadvantaged or vulnerable groups, find out who survey, they are, where they live, what are their socioeconomic characteristics (scheduled castes, women-headed households, widows, disabled), and how the project will affect them iv. Assess the gender-specific implications of land taking and utility relocation, if any - Monitoring and i. Develop a feedback mechanism in which both males and Focus group females have a voice discussions, Transport Department, Uttar Pradesh Page 100 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Focus of Inputs and process indicators Data source intervention Evaluation: ii. Disaggregate all relevant indicators by gender, such as project number of women gaining access to credit, increase in monitoring Feedback women’s income, and career prospects for project-trained reports mechanism women iii. Integrate sex-disaggregated beneficiary data and relevant measures of gender equality into the baselines and other routine monitoring and evaluation processes iv. Measure the impacts of the project components on women and men v. Assess the value added by women’s participation in the project Monitoring and i. Develop gender-informed results indicators for monitoring. Review of These include: gender-informed Evaluation: results indicators ii. Increased income, employment, and entrepreneurship. Gender informed Number of women and men employed in sector, number of indicators women and men employed in project; increased women’s and men’s income from produce marketed using project services. iii. Time saving and increased productivity. Reduced women’s and men’s time for domestic work; increased productive time used for economic activities. iv. Improved affordability. Percentage increase of income among women and men; increased participation in decision making; number of women and men participating in community decision meetings; reduced incidence of harassment, crime, and human trafficking; increased awareness of HIV/AIDS transmission and prevention; number of women and men leading committees; number of women and men managers in agencies; women control their income and establish bank accounts in their names; increased recognition of women’s contributions to the household and community 5.5 Consultation Framework and Information Disclosure 5.5.1 Consultation Framework Transport Department, Uttar Pradesh Page 101 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework The Consultation Framework envisages involvement of all the stakeholder at each stage of project planning and implementation. The department of transport through Design consultants and partner NGO during implementation will be responsible for ensuring participation of the community at sub-project level. Involvement of the community is not limited to interactions with the community but also disclosing relevant information pertaining to the project tasks. 5.5.2 Information Disclosure The mechanism of information dissemination should be simple and be accessible to all. Two of the important means that have been followed until now include briefing material and organization of community consultation sessions. The briefing material (all to be prepared in local language) can be in the form of (a) brochures (including project information, land requirements and details of entitlements including compensation and assistance to be given to the PAPs) that can be kept in the offices of local self-government (municipal office in case of urban area) and department of transport; (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 department of transport to acquaint the PAPs of the following:  Timeline and progress of the project;  Information on land taking, if any;  Time line for acquisition.  Information on compensation and entitlements; Also, opinion and consensus of the community needs to be sought for common and cultural property relocation. Information disclosure procedures are mandated to provide citizen centric information as well as all documentation necessary for addressing any queries under Right to Information Act, 2005. A computer based information management systems shall be employed to disseminate information pertaining to the project. Apart from MIS, project related information will be disseminated through project office and NGO. The hard copies of all relevant documents will be kept at contractor’s office; office of Regiona l Transport Officer; Department of Transport and Office of concerned district magistrate. Disclosure of information will enhance governance and accountability specifically with respect to strengthening of monitoring indicators to help the World Bank monitor compliance with the agreements and assess impact on outcomes. 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 department of transport will facilitate the transparency, accountability, and legitimacy as well as operations overseen by it. As a part of its disclosure policy, all documents shall be made available to the public in accordance with relevant provisions of the RTI Act, except when otherwise warranted by legal requirements. A designated Information Officer shall be responsible for ensuring timely and complete dissemination in accordance with this policy. Transport Department, Uttar Pradesh Page 102 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Information to be disclosed Table below specifies the type of additional information and frequency of dissemination for projects which are financed either from domestic or donors’ funds. Documents to be Topic Frequency Where Disclosed Resettlement, Resettlement Action Once in the entire World Bank’s IDU on the website of Rehabilitation Plan (RAP). project cycle. But to Park Developer, and Land remain on the The client would make the RAP taking website and other available at a place accessible to disclosure locations displaced persons and local NGOs, in throughout the a form, manner, and language that project period. are understandable to the PAPs in the following offices:  DM’s Office  State and District Libraries  Local municipal office  Office of the contractor Resettlement & Once in the entire Distributed among Project Affected Rehabilitation Policy project cycle. Persons (PAP) translated in local language Information regarding  of Once at the start Through one-to-one contact with impacts and their the project and as PAPs. entitlements in local and when  Community consultation language demanded by the PAP.  List of PAPs with impacts and entitlements to be pasted in the contractor’s office. R&R monthly progress 10th day of every  Website of department of transport. report. month  Hard copy in the office of contractor in local language RAP Impact At mid-term and On website of department of Assessment Report end of the RAP transport in local language. implementation Transport Department, Uttar Pradesh Page 103 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Documents to be Topic Frequency Where Disclosed Grievance redressal  Continuous process World Bank’s IDU process throughout the  On the web site of department of project cycle. transport  Hard copies in local language in the following offices: 1. DM’s Office 2. Local municipal office, office of the contractor Public Minutes of Formal Within two weeks of  On the web site of department of Consultation Public Consultation meeting transport Meetings  Hard copies in local language in the following offices: 1. DM’s Office 2. Local municipal office 3. Office of the contractor In addition to the information specified in the table, the following information shall also be displayed / disseminated, wherever applicable. i. Project specific information need to be made available at each contract site through public information kiosk ii. Project Information brochures shall be made available at all the construction sites as well as the office of implementation agency. iii. Reports and publications, as deemed fit, shall be expressly prepared for public dissemination e.g., English versions of the SIA and RAP and in local language. iv. 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. v. All information will be translated into local language and will be disclosed to the public through the District Magistrate’s office, concerned project offices, websit es of department of transport. 5.5.3 Stakeholder Mapping Through the formal and informal consultation, following stakeholder mapping has been done, identifying their interests concerned with the project activities. Transport Department, Uttar Pradesh Page 104 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Table 5.3: Stakeholder Mapping Potential/Probable Stakeholder Category Interests impacts Primary stakeholders Access to the facility, Project entitlement, Project affected people Time-bound delivery of benefits, enhanced (+/-) quality of life Access to the facility, Project entitlement, Beneficiaries Time-bound delivery of benefits, enhanced (+/-) quality of life Secondary stakeholders Department of Transport & Project implementation, Contracting; Project (+/-) PAPs management, Monitoring and evaluation NGOs, CSOs, Local Development, Community participation, and (+/-) Administration Community welfare This is a tentative mapping and is likely to change during the project implementation. Each of these stakeholders will be part of the consultation process and their views will be incorporated in to the project design. The key stakeholders can be grouped into two categories viz., primary and secondary. Their respective roles are presented below: Primary Stakeholders Project Affected Persons (PAPs) have the following roles:  Participate in public meetings and identify alternatives to avoid or minimize displacement  Assist Design consultants and NGOs in developing and choosing alternative options for relocation and income generation  Participate in census survey and meetings with host population  Provide inputs to entitlement provisions, thus assisting in preparation of the resettlement action plan  Participate in grievance redress as members of grievance redress cells (GRC)  Decide on relocation and management of common properties  Labour and other inputs in the project  Members of implementation committee Beneficiaries and Host Population have the following roles: Transport Department, Uttar Pradesh Page 105 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Assist Design consultants and M&E Consultants in data collection and design  Provide inputs to site selection  Identify possible conflict areas with PAPs  Identify social and cultural facilities needed at resettlement sites  Help develop consultation process between hosts and PAPs.  Manage common property  Participate in local committees.  Assist PAPs in integration with hosts. Secondary Stakeholders Department of Transport have the following roles:  Establish separate cell for social development  Identify land for construction of centres and carry out screening to identify any adverse social impact  Design and approval of resettlement policy  Coordinate with line departments such as telephone, state electricity board, public health engineering department and forest department for shifting of utilities  Participate with NGOs in verification survey of PAPs and categorization of PAPs  Participate in consultations with PAPs and beneficiaries  Designing and distribution of ID cards along with NGO If required,  Coordinate and facilitate relocation of displaced persons including designing and construction of resettlement colony / vendor market; provision of basic amenities; distribution of plots / houses / to residential and/or commercially displaced persons  Coordinate with NGO in identifying land for relocation of common property resources  Coordinate with civil construction contractor to relocate common property resources  Permission and liaison with line departments for provision of basic amenities in resettlement colonies, land taking and income restoration schemes;  Coordinate with revenue department and NGO for facilitating disbursement of compensation and resettlement and rehabilitation assistances  Monitoring of physical and financial progress  Approval of micro plans  Participate in training programmes for income restoration organized by NGOs NGOs have following roles:  Develop rapport with PAPs and between PAPs and Implementing Agency  Verification of PAPs  Consultations with the community  Assess the level of skills and efficiency in pursuing economic activities, identify needs for training and organise programs either to improve the efficiency and/or to impart new skills.  Assist PAP in receiving rehabilitation entitlements due to them  Motivate and guide AP for proper utilisation of benefits under R&R policy provisions; Transport Department, Uttar Pradesh Page 106 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Assist PAPs in obtaining benefits from the appropriate development programs.  Complete the consultation at the community level and provide support by describing the entitlements to the entitled persons (EPs) and assisting them in their choices  Accompany and represent the EPs at the Grievance Redress Committee meeting.  Assist EPs to take advantage of the existing government housing schemes and employment and training schemes that are selected for use during the project, and  Promote location specific Community Based Organisations (CBOs) of PAPs to handle resettlement planning, implementation and monitoring.  Create awareness among PAPs of HIV/AIDS, trafficking of women and child, child labour and health and hygiene 5.6 Construction Labour Management Plan The proposed centres in five urban areas may not require huge labour force at a given location. However, it is envisaged that during construction phase of the project, labourers for various jobs such as civil, mechanical and electrical works will be hired through authorised manpower agencies. It is also envisaged that many of the labourers will be employed from outside the region and will therefore, be migrant labourers and hence, accommodation will be provided. These migrant labourers will be accommodated in a temporary campsite within the sub project area. This could result in stress on local resources, disruption in community relations, and movement of labours. 5.6.1 Objectives The labour will be accommodated in temporary campsite within the project area which can have significant interface with the nearby community. The influx of migrant workers would lead to a transient increase of population in the immediate vicinity of the project area for a limited time. This would put pressure on the local resources such as roads, water, etc. Hence, a plan has been designed to demonstrate the:  Potential impacts associated with influx on the host population and receiving environment are minimized;  Provision of safe and healthy working conditions, and a comfortable environment for migrant labour; and  To ensure compliance with IFC Performance Standards 2 and 4 and national labour laws; 5.6.1.1. IFC Performance Standards International Finance Cooperation (IFC) Performance Standard 2- Labour and Working Conditions is specific to labour and working conditions. This Standard focuses on the protection of the basic rights of workers, fostering constructive worker-management relationships, as well as promoting fair treatment and the provision of a safe and healthy workplace. The basic provisions for migrant workers under PS 2 are enumerated below:  As per the provisions of PS 2, the client shall identify migrant workers engaged through third party and ensure that they are engaged on substantially equivalent terms and conditions to non-migrant workers carrying out similar work (if any); Transport Department, Uttar Pradesh Page 107 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  The Developer shall ensure provision of adequate accommodation, transportation, and basic services including water, sanitation, and medical care for the workers working on that project;  The compensation paid to the migrant workers should be non-discriminatory and the principle of equal opportunity and fair treatment to be followed; and  Wastewater, sewage, food and any other waste materials are to be properly handled, in compliance with local standards– whichever is more stringent – and without causing any significant impacts to the biophysical environment or surrounding communities. IFC PS 4 – Community Health, Safety and Security carries health and safety through to the community environment. The objectives of the Performance Standard are:  To minimize and manage health and safety risks to local communities; and  To ensure that the project does not harm community health and safety. 5.6.1.2. General Requirements All migrant workers are envisaged to be accommodated in temporary campsite within the project area. If migrant workers are accompanied by their families, provisions should be made accordingly. Guidance on Workers Accommodation developed by IFC and EBRD is also referred for inclusion of requirements for labour camp to be established by developers during construction phase of the project. Developer(s) shall ensure implementation of the following measures to minimise the potential negative impacts of worker accommodation and workers on local communities: Cleanliness: Pest extermination, vector control and disinfection are to be carried out throughout the living facilities in compliance with local requirements and/or good practice. Complaints and incident reporting: A formal Complaints Procedure will be implemented to ensure timely and transparent response to complaints as received from labour. Labour education: The workforce will be sensitized to local social and cultural practices through provision of an induction course for all employees that stipulates expected behaviour; Labour behaviour in campsite provided: A Code of Behaviour governing appropriate behaviour in the accommodation facilities to be kept in place and to be strictly enforced. The contractor shall ensure implementation of the “rules of engagement” between labourers living in campsite and community and shall be implemented by construction contractors for all engaged labourers. A code of conduct has been developed and has been annexed with the report. Labour Compensation and Accommodation: Client shall ensure that labourers are provided with benefits such as annual leave, weekly rest day, etc. Accommodation to be provided for the construction labour which cover facilities (including catering facilities, dining areas, washing and laundry facilities etc.) and supporting utilities. Transport Department, Uttar Pradesh Page 108 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Component Expected Impact Mitigation Measures Camp Site  Establishment of construction camp preferably within the project compound or away from the habitation area Conflict due to use of private land or  Campsite shall minimum be 100 m away from water body. encroached public  No labour camp will be provided within 1 km from Forest land for camp area, Wildlife Sanctuary, National Park or any other construction protected area.  Approval of camp site from implementing agency.  Hiring of work force from local communities;  Awareness raising of laborers/ workers on societal norms, taboos and other cultural practices Establishment of Social conflicts due camp and to influx of external  Organise awareness creation and educational programs machinery/equipmen workforce and for all workers and the general public on the behavioral t/ stone stacking migrants changes required to prevent the spread of HIV/AIDS and yard/workshop etc. other STDs  The ‘Labour Influx and Construction Workers Campsite Management Plan’ will be implemented. Use of hazardous  Asbestos containing material (such as AC roofing sheets) material for camp shall not be used. Any material that may pose a fire construction can lead hazard will not be used. to health and safety impacts. Conflicts arising due  Preference to provide jobs to local job seekers; to mixing of local & migratory job  Motivation to the workers for a good workmanship. seekers  For migrant laborer the contractor will provide labour camps with all basic facilities sufficiently away from local habitation.  Provisioning adequate arrangements of drinking water, Impact on water and Camp site facilities lighting, ventilation, bedding, bathing and other basic local environment facilities in the labour camps;  Provision of proper sewage and waste disposal system. Sanitation facilities have to be provided at the camp sites. Health risks due to  Experienced contractor with requisite licenses and well- Workers safety and unsafe and trained workers for the construction works and laid Transport Department, Uttar Pradesh Page 109 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Component Expected Impact Mitigation Measures hygienic conditions unhygienic living down Occupational Health & Safety (OHS) Policy to environment guide the construction activities will only be engaged.  Facilitating healthcare services and medical care in case of sickness.  First aid facilities to be provided at the construction camps.  Any case of disease outbreak may be immediately subjected to medical treatment.  Mosquito control measures will be implemented (including provision of mesh/screens and prevention of water logging).  The camps will maintain cleanliness and hygienic conditions.  Safety measures taken by the Contractor such as installation of firefighting equipment, safe storage of hazardous material, fencing at vulnerable locations;  Ensuring proper health-check-ups of all laborers employed at the project site;  Contingency measures in case of accidents.  Obligatory insurance of Contractors staff and laborers against accidents.  Provision of adequate sanitation, washing, lighting, cooking and dormitory facilities.  Regular OHS trainings (Monthly) to construction and camp staff. Security hazards.  Proper fencing of the camp site; Security related Camp site security  Deployment of guards for security; conflicts with local community  Friendly relations with the local community.  Proper maintenance of machinery and equipment; Soil and water contamination due to  Ensuring proper storage and disposal of used oil etc.; Parking/ repair of spillage of liquid  Ensuring good housekeeping practices at workshop machinery and wastes (lubricants, areas; equipment fuel, chemicals from the machinery yard)  Avoiding waste oil spill into soil and nearby water bodies; Transport Department, Uttar Pradesh Page 110 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Component Expected Impact Mitigation Measures  Appropriate arrangements such as usage of concrete base drip pans to avoid spills during fueling/oil change. Deterioration of air  Proper tuning and maintenance of generators. Operation of diesel quality; Noise  All vehicles and machineries should have a valid operated generators exceeding 55 dB is harmful for receptors Pollution Under Control (PUC) certificate.  The contractor has to make his own arrangements for Use of water for Conflict with local water required for construction ensuring that water construction and water demand availability and supply to nearby communities remain consumption unaffected.  Provision of safe drinking water supply at the camp as Water related health well as at working places by the Contractor. Water supply to risks (Gastroenteritis, labour camp  Ensuring safe water quality as confirmed by analysis Diarrhea etc.) from a NABL certified laboratory.  Providing separate toilet facilities for men and women at the accommodation as well as site;  Avoid disposal of sewage into adjoining water bodies;  Provision of sewage collection arrangement such as Sanitation and waste Soil and water lined septic tank and collection chamber; water disposal contamination  Provision of sullage collection arrangement such as soak pit.  Pumping of sewage from collection chamber  Prohibition on disposal of sewage and sullage into any water body or open land.  Ensure proper collection and disposal of solid waste generated from camp at designated disposal site Solid waste authorized by the local government authority and Land pollution approved by IA; generation  Prohibition on burning of waste; Good housekeeping practices to minimize waste generation. Storage, handling  Provision of double containment for storage of Work safety and and transport of hazardous material (if any). human health risks hazardous materials Restoration of camp Low esthetic value if  Remove all the material from the camp site. area camp site is not restored to its Transport Department, Uttar Pradesh Page 111 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Component Expected Impact Mitigation Measures original landscape Work Places  Experienced contractor with requisite licenses and well- trained workers for the construction works and laid down Health & Safety Policy to guide the construction activities will only be engaged.  The contractor will provide and enforce the use of appropriate personal protective equipment (PPE) such Occupational Health as safety boots, rain coats, hand gloves, earplugs and Manpower at work and Safety (OHS) nose masks. issues  The selected contractor will have adequate training in first aid and provide first aid kits on site to treat minor ailments. However, major cases will be referred to the nearest hospital or health center.  Provision of first aid facilities and emergency vehicle.  Organise Health camps  The contractor will preferably engage local labour force except for the laborer’s requiring special skills and non - availability of such skilled laborer from local area.  Project to assess and manage labor influx risk based on risks identified in the ESIA. Depending on the risk factors and their level, appropriate site-specific Labor Influx Management Plan and/or a Workers’ Camp Management Plan. Influx of migrant laborer’s additional  Project will incorporate the ESMP into the civil works pressure on the local contract. The responsibilities for managing these resources and social adverse impacts will be clearly reflected as a infrastructures contractual obligation, with a mechanism for addressing non-compliance. And  Organise awareness programs on environmental Risk of social conflict resource management  Awareness program on HIV aids and other communicable disease may be provided to the work force.  Employment of any person under 18 years of age will be strictly prohibited. Contractor will maintain a labour register with name, age and sex with supporting document (preferably copy of Aadhar card or voter’s ID Transport Department, Uttar Pradesh Page 112 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Component Expected Impact Mitigation Measures card). This will be monitored by Environmental and Social office of contractor.  Contractor and laborer will sign code of conduct to maintain good manners with the community and avoid GBV  Project will undertake awareness raising program for the workers and community on the risk of labor influx Avoiding Gender Based Violence  Contractor will prepare and implement robust measures to address the risk of gender-based violence that include(i) mandatory and repeated training and awareness raising for the workforce about refraining from unacceptable conduct toward local community members, specifically women; (ii) informing workers about national laws that make sexual harassment and gender-based violence a punishable offence which is prosecuted; (iii) introducing a Worker Code of Conduct as part of the employment contract, and including sanctions for non-compliance (e.g., termination), and (iv) contractors adopting a policy to cooperate with law enforcement agencies in investigating complaints about gender-based violence.  Additional measures can aim to reduce incentives to engage with the local community by providing workers with the opportunity to spend their time off away from the host community, where feasible with a small transport allowance, ideally allowing workers to regularly return for brief visits to their families, spouses and friends, or to visit nearby urban centers that provide a variety of legal social opportunities. For workers who need to travel further it may be attractive to forego weekends off in exchange for longer breaks that would allow for such home leave travel Contractor’s responsibility Within 30 days from the appointed date, the Concessionaire/Contractor shall prepare and submit 4 hard copies and 1 soft copy of Labour Influx and Worker’s Camp Management Plan to [Executing Agency] that addresses specific activities that will be undertaken to minimize the impact on the local community, including elements such as worker codes of conduct, training programs on HIV/AIDS, etc. A Workers’ Camp Management Plan addresses specific aspects of the establishment and operation of workers’ camps Transport Department, Uttar Pradesh Page 113 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework This Labour Influx and Worker’s Camp Management Plan will include: i. mandatory and repeated training and awareness raising for the workforce about refraining from unacceptable conduct toward local community members, specifically women; ii. informing workers about national laws that make sexual harassment and gender-based violence a punishable offence which is prosecuted; iii. introducing a Worker Code of Conduct as part of the employment contract, and including sanctions for non-compliance (e.g., termination), manual scavenging, engagement with local residents, child labour, non-discrimination, harassment of co-workers including women and those belonging to SC and STs and other minority social groups, iv. contractors adopting a policy to cooperate with law enforcement agencies in investigating complaints about gender-based violence. v. training programs on HIV/AIDS and other communicable diseases, vi. workers’ Camp Management Plan addressing specific aspects of the establishment and operation of workers’ camps provided the ULB/ Executing Agency is unable to cater to the demand for affordable housing for this additional workforce in terms of rentals, hostels, apartments etc.; and vii. compliant handling Mechanism at the project level Additional measures that aim to reduce incentives to engage with the local community by providing workers with the opportunity to spend their time off away from the host community, where feasible with a small transport allowance, ideally allowing workers to regularly return for brief visits to their families, spouses and friends, or to visit nearby urban centres that provide a variety of legal social opportunities. For workers who need to travel further it may be attractive to forego weekends off in exchange for longer breaks that would allow for such home leave travel. While clear and decisive measures by the contractor are critically important, the effectiveness of these measures often depends on complementary actions by the Borrower. Those are typically focused on public administration and law enforcement, such as: (i) reinforcing local police in a remote setting, where services may not be sufficiently staffed or equipped to maintain public order after the influx, (ii) ensuring that complaints about gender-based violence are taken seriously by local law enforcement, which may be supported by (iii) deploying female officers to the project area, and (iv) participating in preventive training with workers to demonstrate the presence of government authority in the project area. Transport Department, Uttar Pradesh Page 114 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 6 Consultation and Public Disclosure ESMF Workshop: The state-level ESMF workshop was carried out on January 28, 2019. The objective of consultation was to receive feedback from various stakeholders (Nodal Officer Traffic Directorate, Nodal Officer PWD HQ Lucknow, Board of Revenue, Nodal Officer of Forest Department, Lucknow, Uttar Pradesh Pollution Control Board (UPPCB)) and wider dissemination on draft ESMF-Road and Transport Safety document. The consultation was carried out in local language (Hindi) and was attended by representatives of the stakeholders from different target cities of the Road and Transport Safety components. The draft ESMF – Road and Transport Safety, ESMF Presentation and ESMF - UPCRNDP was circulated prior to the consultation. The development of the ESMF is based on a consultative process that engaged key stakeholders at the state and local levels and sought their feedback. Key government agencies have been consulted at the various levels to obtain their consent on the ESMF in general and specially on statutory clearances, safety and R&R assistances. The issues discussed during the consultation included:  Background for the project  Inclusion of Road and Transport Safety components into UPCRNDP  Components of Road and Transport Safety Project  Cities for Development of Road and Transport Safety Facilities  Need for ESMF in Road and Transport Safety Project  Objective of ESMF  Structure of ESMF  Environmental and Social Impact Assessment study  Environmental Concerns  Social Concerns  Gender Equality and Social Inclusion  Key Environmental and Social Regulations  Statutory Clearance/ Permit Requirement  Institutional arrangement for ESMF implementation  Roles and responsibility of ESMP implementation agency  Grievance Redressal Mechanism  Monitoring and Reporting  Budget provision for safeguards measures Information Disclosure Resettlement Action Plan (RAP) and Environmental Impact Assessment, if prepared for the project, summary of those reports and R&R Policy shall be translated into local vernacular language (Hindi) for the benefit of the community in general shall and kept at following locations: Transport Department, Uttar Pradesh Page 115 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Public Libraries of the districts  Office of Chief Development Officer, and  Libraries of various colleges in the district.  PWD offices in project districts  Schools of the villages affected, and  Any other public place along the highway A copy of EIA, RAP and R&R policy will also be placed at the office of Additional Transport Commissioner (Road Safety), Govt. of UP, Lucknow and respective PIUs: Public Information Dissemination PIU (Road and Transport Safety) offices located along the Project Corridors will provide actual information and policies and other rehabilitation action plan to the people in continous manner. For this, following are proposed  The NGOs involved in the implementation of RAP will organise Public meetings, and will appraise the communities about the progress in the implementation of limited works.  The NGO will organise public meetings to inform the community about the payment and assistance paid to the community. Regular update of the program of resettlement component of the project will be placed for public display at the PWD office. Transport Department, Uttar Pradesh Page 116 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Proceedings of the Public Consultation Meeting: mRrj izn's k dksj jksM usVodZ MsoyiesaV izksxzke ds vUrxZr fnukad 28-01-2019 dks ifjogu vk;qDr dk;kZy;] s k ij lEiUu cSBd dk dk;Zo`RrA mRrj izn’ ¼mifLFkfr layXu½ s k dksj jksM usVodZ MsoyiesaV izksxzke dh cSBd fnukad 28-01-2019 dks ifjogu foHkkx ds mRrj izn' dkWQzsl gkWy esa vk;ksftr dh x;h] ftlesa ;krk;kr foHkkx] yksd fuekZ.k foHkkx] mRrj izn' w k.k fu;a=.k cksMZ rFkk s k izn" bftl bafM;k ds vf/kdkfj;ksa }kjk izfrHkkx fd;k x;kA cSBd esa bftl bafM;k ds izfrfuf/k;ksa }kjk ESMF dk izLrqrhdj.k fd;k x;k rFkk ifjogu vk;qDr egksn; ds vuqeksnuksijkUr cSBd dk dk;Zo`Rr fuEuor~ gS & Minutes of Public Consultation Meeting Transport Department has invited on 27-01-2019 Nodal Officer Traffic Directorate, Nodal Officer PWD HQ Lucknow, Board of Revenue, Nodal Officer of Forest Department, Lucknow, Uttar Pradesh Pollution control board (UPPCB) for consultation meeting on environmental and social management framework (ESMF) for 28-01-2019. The meeting was held in conference hall of Transport Department. Representatives of the stakeholders were present during the consultation meeting. The representatives of EGIS India Consulting Engineers Pvt. Ltd. presented ESMF before the stakeholders during the meeting. Following points were discussed-  Consultant explained the Importance of Road Safety Component for inclusion into Uttar Pradesh Core Road Network Development Program (UPCRNDP). The stakeholders connected with the importance of Road Safety Component and appreciated for inviting them for there suggestions.  Stakeholders interacted on applicable rules and regulations for the Road & Transport Safety Components.  Consultant explained the condition of environmental clearance for building projects. The representative of UPPCB has further explain on NGT (National Green Tribunal) direction on clearance issues as well as permission for extraction of ground water.  Stakeholders appreciated for considering traffic safety issues at pre-construction stage. Some of them shared their experience in traffic hazards during construction phase of projects.  Additional Transport Commissioner (Road Safety) inquired on measurement of noise pollution. Representative of consultant and Representative of UPPCB explain him how measurement of noise level can be carried out and briefed on noise level measuring instrument.  Stakeholders wanted to know about the construction of the projects. Additional Transport Commissioner(Road Safety) explained them about establishment of Inspection and Certification Centers(I&CC). Transport Department, Uttar Pradesh Page 117 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework bZ&esy dk;kZy; ifjogu vk;qDr s kA mRrj izn' la[;k& l0lq0@2019& l0lq0@20 y[kuÅ%fnukad% tuojh] 2019 izfrfyfi fuEufyf[kr dks lwpukFkZ ,oa vko’;d dk;Zokgh gsrq izsf"kr& 1& Jh nsck'kh"k iky] ,0th0,e0]EGIS. 2& Jh ds0lh0 tks'kh] vks0,e0] EGIS. 3& Jh vuqjkx esgjks=k] Mh0,e0,Mfeu] EGIS. 4& Jh futke glu] ,e0Mh0] ;krk;kr funs'kky;]y[kuÅA s k pUnz jkor] ,l0ih0];krk;kr] okjk.klhA 5& Jh lqj' 6& Jh ';ke ukjk;.k flag] ,l0ih0]VªSfQd] xkft;kcknA 7& Jh lw;Z iky flag] lh0vks0] VªSfQd] dkuiqj uxjA 8& Jh ts0,u0 vLFkkuk] VªSfQd baLisDVj] cjsyhA s k izn" 9& Jh vt; 'kekZ] bZ0 bZ0]mRrj izn' w k.k fu;a=.k cksMZA 10&Jh lyhy ;kno] izkstsDV Mk;jsDVj]yksd fuekZ.k foHkkxA ¼ xaxk Qy ½ vij ifjogu vk;qDr ¼lM+d lqj{kk½] s kA mRrj izn’ Transport Department, Uttar Pradesh Page 118 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Transport Department, Uttar Pradesh Page 119 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Public consultation on Environmental and Social Management Framework Transport Department, Uttar Pradesh Page 120 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 7 Institutional Arrangements for Implementation of Environmental and Social Safeguards For successful implementation of Environmental and Social safeguards Institutional setup plays a vital role. The Transport Department has to setup Project Management Unit (PMU) for managing the projects of Transport and Road Safety under UPCRNDP to streamline decision-making and provide more autonomy for project execution and delivery. The PMU shall be supported by the Project Director, UPCRNDP at Head Office. The Project Director will have overall responsibility for implementation and procurement of projects. Under the PMU, an Environmental Social Development and Resettlement Cell (ESDRC) has to be established under Transport Department. ESDRC will be headed by a senior Officer of Department of Transport. He will be responsible for EIA preparation and EMP Implementation, coordinating and liaising with government organization as well as the World Bank with respect to different forest and environmental issues. He will also be responsible for progress monitoring of Environmental safeguards during project execution and submission of quarterly/ annual report on EMP compliance to the funding Agency. In the field, Project Implementation Unit (PIU) to be established. PIU will be headed by the District Transport Officer. The District Transport Officer in each PIU will be responsible to oversee the project progress at site in their respective area. Since only five centres are to be constructed on public land in urban areas, the adverse impacts will be limited and does not require elaborate implementation arrangement for Social measures however, during construction and operation of the five centres may have moderate environmental impacts and will require adequate mitigation measures to be implemented. The department of transport being first time client and with no previous experience of managing environment, social and resettlement issues, will recruit Environment and Social Specialist from the market. The specialist will report to the Project Director. The project will take help of Project Management Consultant (PMC) and partner NGOs in implementation of Environmental and social safeguards measures and RAP. The Environmental and social specialist will assist and guide the Contractor for implementation of environment and social safeguards measures as well as the NGO in implementation of RAP. The overall responsibility of RAP implementation lies with the Project Director. The responsibilities of all role players in the project are given below. It is also proposed to designated one of the Officer of District Transport Office as Environmental and Social Nodal Officer at Office of each PIU who will look into the compliance with the safeguards, liasoning with local authorities in connection with different permits and licenses, redressing the public complaints on environmental and social issues, etc Table 7.1: Responsibilities of Environmental & Social Specialists and NGO Levels Roles and Responsibilities Environment and Social  Finalize safeguard documents; Transport Department, Uttar Pradesh Page 121 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Levels Roles and Responsibilities Specialist, Department of  Provide policy guidance to the project level counterparts Transport  Ensure dissemination of R&R Policy at state level  Translation of R&R policy in local language and ensure dissemination at state; district and community level - prepare pamphlets on policy for information dissemination  Monitoring R&R activities. Make budgetary provisions for R&R activities  Liaison with state administration for implementation of RAP;  Participate in state level meetings  Draft TOR of contracting NGO for implementation and external agency for monitoring and evaluation  Draft training schedule 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;  Assist PAPs in addressing their grievances  Report progress, highlighting social issues not addressed, to provide for mid-course correction,  Organise by-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 rehabilitation assistance  Motivate and guide PAP for productive utilization of the assistance amount  Assess the level of skills and efficiency in pursuing economic activities, identify needs for training and organize training program  Assist PAFs in approaching the grievance redressal mechanism  Assist the PAFs in getting benefits from the appropriate local development schemes  Prepare monthly progress reports and participate in monthly review meetings  Participate in the training program for capacity building  Carry out other responsibilities as required from time to time Transport Department, Uttar Pradesh Page 122 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 7.1 Grievance Redressal Mechanism (GRM) An integrated system will be established with Grievance Redressal Cells (GRCs), with necessary officers, officials and systems, at the state as well as sub project 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. PWD will appoint a person to receive such calls and online messages. The person in charge based on nature of complaint, will forward the same to the concerned official. A ticket or a unique number will be generated for all such call and messages. The complainant will follow up based that unique number. All calls and messages will be responded within two weeks. In response is not received within 15 days, the complaint will be automatically escalated to next level. The project director is responsible for the implementation of GRM. The grievance registered online will be manned by a dedicated staff who in turn will forward the grievance to concerned staff. In case the staff fails to attend the grievance within the stipulate timeframe, same will get escalated automatically to the next tier. An Integrated Grievance Redress Mechanism (IGRM) will be established at the head quarter level that will register user complaints using combination of various mediums (e.g. a dedicated toll free phone line, web based complaints, written complaints in feedback register and open public days) and address them in a time bound system. The project will appoint a grievance redressal or Public Relation officer solely responsible for handling phone and web based complaints. The person will be responsible for directing the aggrieved person to the concerned official through e-mail. On receiving any phone call or web based or email, a unique number will be generated which will be the reference number for the caller and he can trace the progress of his grievance / query through that number. Any complaint lodged will be addressed within 15 days of receiving the complaint. System will have escalation matrix i.e. if grievance / query remain untended or there is no response from the concern officer for specified period of time than system will escalate the grievance / query to next level through email. The toll free line will be monitored between 10 AM to 5.30 PM on all working days. Any call made before or after the stipulated time, will get recoded and from the voice mail an e- mail will be generated addressed to the grievance officer. The grievance officer will then direct that mail to the concerned official and follow-up. The recorded message will be responded back the next day. The project will also commit itself for proactive disclosure and sharing of information with the key stakeholders, including the communities/beneficiaries. The website of PWD will have the name and number of social development officer; the toll free number and also the website address. NGO staff will be responsible for assisting illiterate and other vulnerable PAPs in registering their grievances. Transport Department, Uttar Pradesh Page 123 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework PAPs Grievances Structures Land Acquisition Redressed DLC / NGO Competent Redressed Authority Not Redressed Not Redressed Redressed GRC GRC Redressed Not Redressed Not Redressed Redressed DOT/ PIU, HQ DOT/ PIU, HQ Redressed Not Redressed Not Redressed Redressed Arbitration Arbitration Redressed Not Redressed Not Redressed Judiciary Judiciary Figure 7.1 Levels of Grievance Redressal Transport Department, Uttar Pradesh Page 124 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework As part of IGRM (Integrated GRM), a Grievance Redressal Cell (GRC) will be set up at the sub project level. The staffing of GRC will include Environmental and Social Specialist; two representatives from community / beneficiary / affected persons; and a representative from partner NGO. The head of the cell will be a person of repute or government employee but not below the rank of SDM.. In case GRC at sub project level is unable to resolve the issue, same will be escalated to Project Director. A project affected person however is free to approach judiciary system of the country if he or she is not satisfied with the decision of Project Director. A complaint register will be maintained at the project site by the contractor. All complaints will be recorded in the register whether written or verbal. If a complainant wants the complaint to be anonymous, his or her request should be honoured. The register will have the following details: a) Date of complaint received; (b) Name of the complainant (unless anonymity requested); (c) issue raised; (d) whether resolved or not; (e) if resolved, date of resolution; (f) solution provided; (g) if not resolved, why and whether escalated to PD or not; (h) if not, why and if yes, when. The register will be signed by the project in charge of the contractor. 7.2 Monitoring and Reporting The department of transport will monitor all the sub projects to ensure conformity to the requirements of the ESMF. The monitoring will cover all stages of planning and implementation. The monitoring will be carried out through the Environmental and Social Specialist. The reports of Environmental and Social Specialist will form a part of Quarterly Progress Reports (QPR) for all sub projects. An external evaluation of the RAP implementation prepared for sub projects will also be undertaken twice during the implementation of the project – midterm and at the end of the implementation as per the terms of reference. During implementation, meetings will be organized by Department of Transport for providing information on the progress of the project work. Project monitoring will be the responsibility of the Project Director who will submit Quarterly Progress Reports. The reports will compare the progress of the project to targets set up at the commencement of the project. The list of impact performance indicators will be used to monitor project objectives. The baseline environmental and socio-economic survey conducted will provide the benchmarks for comparison. 7.2.1 Details on Environmental and social aspects to be monitored The project will take up monitoring and evaluation of the ESMF covering process, output and outcome indicators in different intervals during the life of the project. Key monitoring indicators, frequency of monitoring and responsible agency details is presented in the table. Table 7.2: Performance Indicators and Plan for Monitoring Sl. Monitoring Performance Indicators Frequency No Parameters 1. Environmental and Safety Issues 1. Pollution level Air pollution levels, noise levels and water quality Quarterly Throughout the Transport Department, Uttar Pradesh Page 125 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Sl. Monitoring Performance Indicators Frequency No Parameters project cycle Top Soil Preservation of top soil & resuse Throughout Management construction period 2. Debris Removal of debris and disposal at designated site After completion of Management works & before issuing completion certificate 3. Personnel Total supply of appropriate PPEs and their use Throughout the Safety construction period by workers, safe access to work site and safe working platforms for work site 4. Public Safety Delineation of work zone, restriction of entry of public into Throughout the work zone, safety of adjacent properties and traffic construction period management 5. Site Visual Observation of Allied sites including plant site, camp After completion of Restoration site, stockyards, etc. works & before demobilization of the contractor 2. Social Safeguards 1 Dissemination  No. of consultations carried out with the community in Throughout the of information the project area; project cycle on project and  Proceedings recorded social issues 2 Information on  No. of consultations carried out with the affected Throughout the modes of persons disaggregated by participants; issues; gender; implementation valuation of economic and social classes stage assets, payment  Proceedings recorded schedules and disbursement modes 3 Demolition of  Number of houses / structures to be demolished Pre-construction house/ phase till RAP  No. of consultations carried out with the affected structure, if implementation any persons completed  No. of PAPs compensated for structure and assisted 4 Loss of  No. of affected persons Throughout the livelihood or implementation Transport Department, Uttar Pradesh Page 126 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Sl. Monitoring Performance Indicators Frequency No Parameters sources of  No. of affected persons re-engaged stage livelihood  No. of affected persons assisted affected 5 Displacement  No. of households displaced Pre-construction of non- phase till RAP titleholders  No. of households assisted implementation completed 6 Worker / Provision of all basic facilities at labour camp as per RPF Weekly Labour Living Standards 7 Employment  Number of people engaged, Half Yearly  Average days of engagement,  Average income from project association,  No. of SC/ST engaged;  Skill development (No. trained) etc.  Reduction in outmigration 8 Gender issues  No. of women engaged; Monthly  Proportional engagement of women to total human resource engagement;  No. of women engaged from women headed / vulnerable households;  Days / period of engagement;  Safety measures for women; 9 Functioning of  No. of grievances recorded and No. of cases disposed Quarterly GRC off;  Percentage of aggrieved persons satisfied with GRC. 7.2.2 Capacity Building The department of transport (DOT) is overall responsible for environment and social safeguards compliance. Given that DOT 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, DOT will be hiring experienced Environmental and Social Specialist to coordinate, review, support and monitor all respective safeguards aspects of the project. The specialist will also train and strengthen the capacities of DOT and contractors. DOT will also hire qualified civil society organizations for the implementation of a RAP as required. Transport Department, Uttar Pradesh Page 127 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Staff members of DOT and contractor involved in the project will also continue to receive training in the management of safeguards issues. The training program is to be coordinated and anchored by DOT with support from agencies/individuals experienced in safeguard aspects 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 will also focus on the resettlement and rehabilitation and procedures, identification of project affected people, 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 below. In addition to the above, DOT program will continue to mainstream the environmental and social issues within the department. Table 7.3: Capacity Strengthening Plan Modules Content Duration Participants ESMF Project Concept Half a day Staff of: ESMF Concept To be repeated DOT / Contractor every alternative Regulatory Requirements year E&S Priority Issues Subproject types ESIA Process Outline Reporting Environmental  Environmental Laws & Regulations Full day class Assessment Process room training.  EIA process  Identification of Environmental Impacts Half a day field training.  Impact Identification Methods  Identification Mitigation Measures  Formulation of Environmental Management Plan  Implementation and Monitoring  Institutional Mechanism Transport Department, Uttar Pradesh Page 128 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Modules Content Duration Participants Social Assessment  Social Assessment process Half a day class Process room training.  Description of project; RPF, gender frameworks; and National regulatory frameworks Half a day field  Necessity for RAP/ ARAP, Gender training. plan and its preparation process  Labour management plans  Implementation and Monitoring  Institutional Mechanism  Grievance Mechanism 7.3 Budget Each sub-project will have its own budget to cover the ESMP costs relating to mitigation measures, enhancements, wherever included in the plan, and monitoring costs. In addition, training and capacity building costs need to be added for specific issues that EIA and EMPs may bring out. For instance, there may be a need to have short courses on specific topics, experience exchanges on common issues, and so on. Similarly, for sites close to sensitive locations like schools or hospitals, periodic monitoring of pollution levels may be required. However, these costs will be finalized following the assessment on selected sites. Since exact sub project sites are not known and ESIA is yet to be carried out, budget for environment and social management cannot be produced here. Broadly, the budget for social safeguard management will include the following: 1. Compensation for private structures 2. Relocation of common property resources 3. R&R assistance in terms of subsistence allowance; shifting allowance; and training allowance 4. Hiring of NGO; monitoring and evaluation consultants 5. Capacity building of IA and NGO 6. Income restoration training 7. Establishing Integrated grievance redress mechanism Development of relocation sites if any. Transport Department, Uttar Pradesh Page 129 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ANNEXURE 1: 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). 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 The EIA document should include but is not limited to the following components: 1. A concise and self-standing Executive Summary of the document 2. Introduction and Methodology. 3. Project Description. The EIA should include a description of the project’s objectives, components and activities, including, for instance, diagrams, maps, design details, etc. 4. 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 Department of Transport, GoUP and the implementing entities for implementing the proposed environmental safeguards and mitigation measures for each subproject and, where appropriate, recommend capacity strengthening action. 5. 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. 6. Anticipated Environmental Impacts and Mitigation Measures. The potential positive as well as adverse environmental 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 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 Transport Department, Uttar Pradesh Page 130 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 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. 7. 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. 8. Environmental and Social Management Plan 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 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. 8 Summary and Conclusion. Transport Department, Uttar Pradesh Page 131 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 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. 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:  Identify key social issues associated with the proposed subproject and specify the social development outcomes;  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;  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;  Assess the likely impacts of the sub-project, 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;  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;  Review all policies, regulations and other provisions that relate to land acquisition, resettlement and rehabilitation of project affected people and other social issues;  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;  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;  Inform, consult and carry out dialogues with the project stakeholders on matters relating to sub-project 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; Transport Department, Uttar Pradesh Page 132 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Develop a consultation framework for participatory planning and implementation of proposed mitigation plan;  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,  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 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:  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);  Use relevant interview schedules, field survey instruments and checklist for data collection and discussions;  Screen and scope social issues to prioritize them through different techniques such as ranking and composite index;  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; and, The SIA methodology should emphasize consultation and participation of local communities including project affected people, project implementing and executing agencies 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. Transport Department, Uttar Pradesh Page 133 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ANNEXURE 2: 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 measures 3. 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 requirements 4. More specifically, the ESMP includes the following components. Mitigation Measures 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 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. 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 Transport Department, Uttar Pradesh Page 134 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 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 mitigatory and monitoring measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training). To strengthen environmental management capability in the agencies responsible for implementation, most 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: 1. Background  Introduction  Project Description  ESMP Context  ESMP Objectives  Environmental Policy 2. Environmental and Social Management  Environmental and Social Management Structure and Responsibility  Approval and Licensing Requirements  Reporting  Environmental and Social Training  Emergency Response SYSTEM Transport Department, Uttar Pradesh Page 135 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 3. Implementation  Risk Assessment  Environmental and social Management Activities and Control  Environmental and Social Management Plans or Maps  Mitigation Plan  Environmental Schedules  ESMP Financial Budget 4. Monitoring and Review  Integrating ESMP into Work Contracts  Environmental and Social Monitoring  Environmental and Social Assessment  Corrective Action  ESMP Review  Third Party Independent Monitoring and Assessment. Transport Department, Uttar Pradesh Page 136 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ANNEXURE 3: Terms of Reference - Required Qualifications and Experience of Environmental Specialist of PMC For ensuring addressal of Environmental Safeguards issues in each project, carrying out environmental screening and Environmental Assessment exercise and supervising and monitoring of implementation of ESMF the Consultant has to appoint Environmental Specialist. The required qualification and experience of the Environmental Specialist is as follows: Minimum Educational Master’s Degree or equivalent in Environment Sciences or related Qualifications field General Experience Minimum total work experience after post-graduation – 15 years Relevant Experience (i) Minimum 7 years of total work experience on carrying out environment impact assessments of road development projects (ii) Desirable - Environmental Expert in at least two World Bank funded projects Essential Knowledge and (i) The candidate must have knowledge of the World Bank’s Experience safeguards policy, guidelines, procedures and operational policies/directives. (ii) Candidate should be conversant with all the activities expected to be undertaken for Environmental / Forest / Wild life clearance procedures and pertinent guidelines of Ministry of Environment & forests (MoEF), Government of India. (iii) The candidate must have the experience of preparing environmental management plans and supervising & monitoring implementation of the plans. Job Responsibility  Preparation of Environmental Screening and Environmental Assessment Reports and formulation of environmental management plan  Ensuring the environmental safeguards specifications & clauses in the tender documents for contractor  Assessing the requirements of different statutory clearances and permits for the project  Liaison with the Client, regulatory authorities and other concern officer  Provide technical guidance to the Contractor for implementation of the EMP and preparation of checklists/formats/reports, etc. for implementing each of the activities as per the EMP. Transport Department, Uttar Pradesh Page 137 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Conduct regular monitoring of the implementation of the EMP and safety by the Contractor  Conduct regular monitoring of environmental quality (air, water, noise, soil) in and around the construction site as given in EMoP (Environmental Monitoring Plan) in the EA report  Prepare monthly or quarterly and annual monitoring reports on EMP implementation and compliance with environmental clauses of Contract Agreement.  Update the EMP if there are any changes in project profile that will cause new environmental impacts.  Record keeping, providing instructions to the field representatives for corrective actions, ensuring compliance of various statutory and legislative requirements  To visit sites on periodic basis including all the allied sites and incomplete as well as completed construction work sites  To report to the client about any incidence Transport Department, Uttar Pradesh Page 138 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ANNEXURE 4: Terms of Reference for Contractors Environment HEALTH and Safety (EHS) Officer Minimum Educational B.E. (Civil)/ Master’s Degree in Environment Sciences / M.Tech. Qualifications (Environmental Engineering) or equivalent or related field General Experience Minimum total work experience after post-graduation – 5 years Relevant Experience (i) Minimum 3 years of total work experience in implementation of EMP in road development projects (ii) Desirable - experience in at least one World Bank funded projects Essential Knowledge and  The candidate must have knowledge of environmental issues Experience related to road construction activities  Should familiar with the World Bank’s guidelines, procedures and operational policies/directives.  Candidate should be conversant with all the activities expected to be undertaken for implementation of EMP Job Responsibility  He shall be responsible for implementation of EMP and compliance of the environmental and safety safeguards as per EMP/Contract Specification,  He has to assist the Contractor in developing project specific Environment Social Health & Safety (ESHS) manual in accordance with the contract specification and World Bank Safeguards Policy  He shall inspect and ensure safety at work site, supply and use of PPEs for workers during works, safe working environment, safety of public tec.  He shall maintain close interaction with Environmental Specialist of PMC and Environmental; and Social Nodal Officer of PIU/PMU for environment and safety measure.  Maintaining the record of day to day monitoring of environmental and safety issues at site  Preparation of documents for approval different establishments for approval from Engineer  Maintaining close interaction with PMC and his Field Representative He shall seek instructions and guidance from PMC’s Environmental Officer on any issue related to implementation of environment and safety measures. Transport Department, Uttar Pradesh Page 139 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Preparation of incidence report, first aid report, environmental monitoring reports, etc.  Maintaining action taken reports on NCR on environmental issues.  Organise in-house safety and health awareness trainings (Tool box Talk, site specific safety training, Training on HIV/AIDS Awareness, Health and Hygiene etc.)  Organising Health check-ups camps  Assist the Environmental Specialist in preparation of different Reports Transport Department, Uttar Pradesh Page 140 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ANNEXURE 5: TERMS OF REFERENCE FOR SOCIAL SPECIALIST For ensuring the addressal of social issues in the project and for carrying out Social Screening and Social Impact Assessment of the project and preparation of Resettlement Action Plan as well as supervising and monitoring of implementation of ESMF the Consultant has to appoint Social Specialist. The required qualification and experience of the Environmental Specialist is as follows: Minimum Educational Master’s Degree or equivalent in any branch of Social Sciences/ Social Qualifications Works or related field General Experience Minimum total work experience after post-graduation – 15 years Relevant Experience (i) Minimum 7 years of total work experience on carrying out Social Impact Assessments of infrastructure projects (ii) Desirable – Social Specialist in at least two World Bank funded projects (iii) Experience in implementation of RAP/land acquisition Essential Knowledge and (i) The candidate must have knowledge of the World Bank’s Safeguards Experience Policy, guidelines, procedures and operational policies/directives. (ii) The candidate must have the experience of preparing Resettlement Action Plans (RAP) and supervising & monitoring implementation of the plans. Job Responsibility: The scope of works for Social Specialist will include but not limited to:  Support the preparation and ensure quality of social safeguard documents based on the World Bank safeguard policies and central/state/municipal government applicable requirements;  Provide policy guidance to the project level counterparts;  Ensure dissemination of R&R Policy at state level;  Monitoring R&R activities. Make budgetary provisions for R&R activities;  Liaison with state administration for 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; Transport Department, Uttar Pradesh Page 141 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  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.  Monitoring of relevant social issues during the construction stages  Monitoring and evaluation of labour standards, gender participation, Health and Hygiene of workers and public safety  Organising trainings on social issues to workers and other stakeholders  Preparation of Monthly, quarterly and semiannual/annual reports on the progress of implementation of Social Safeguard measures Transport Department, Uttar Pradesh Page 142 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ANNEXURE 6: TERMS OF REFERENCE FOR FACILITATING NGOS  Background of the Project  The Government of Uttar Pradesh has requested the World Bank through Government of India to provide assistance for developing different Training and certification Centers on Transport and Road Safety for overall improvement of Transport and Road Safety in the State of Uttar Pradesh under Uttar Pradesh Core Road Network Development Programme (UPCRNDP) of the state. Presently such centers are planned in 5 major cities of Uttar Pradesh, which are:  Kanpur  Allahabad  Varanasi,  Bareilly  Ghaziabad One such center is already under construction at Lucknow 2. Objectives of the Assignment 2.1 The main objective of the NGO consultancy is to facilitate the affected community in their resettlement and rehabilitation processes and help UP Transport Department in the implementation of RAP. Specifically, the main tasks of the selected NGO would be as follows:  Assist PMC consultants in identification of PAPs  Assist UP Transport Department/Project in undertaking information, education and communication (IEC) campaigns in the project areas to inform about the project and proposed measures.  Educate PAPs regarding their likely losses due to the project, their entitlements as per the Resettlement policy of UP Transport Department and the obligations under the RAP.  Ensure that PAPs get the compensation for the loss of their land and other assets at the prevailing market value. At the same time, it is important to ensure that PAPs receive their full entitlements under the RAP and use them productively. Where options are available, the NGO shall provide advice to PAPs on the relative benefits of each option.  Assist the physically displaced PAPs in their relocation including counselling and coordination with the local authorities, particularly on housing and infrastructure in the places where PAPs will be relocated. Transport Department, Uttar Pradesh Page 143 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Assist PAPs in their economic rehabilitation including counselling and coordination with the local authorities, particularly those implementing the government schemes for the socio-economic upliftment of the affected communities.  Assist PAPs in the redress of their grievances through the system implemented as part of the RAP. In this regard, inform PAPs about the functional aspects of various committees set up by the project/ District Administration and assist them in benefiting from such institutional mechanisms.  Assist UP Transport Department / Project in ensuring social responsibilities of the project, such as compliance with the labour laws, prohibition of child labour, HIV/AIDS and gender issues.  Any other relevant task that would be assigned by the project during the course of the consultancy period 3. Scope of Work 1. The NGO will be one of the stakeholders in the entire project cycle with primary responsibility of facilitating the implementation of RAP and help UP Transport Department in mitigating the adverse impacts of the project. This necessarily requires the selected NGO to only work with PAPs but also interface between the local communities of the project area and UP Transport Department. At the same time, NGO will function as a link between the UP Transport Department and the District Administration and relevant government agencies. The NGOs shall remain responsible for the development of a comprehensive livelihood system and facilitate PAPs to take advantage of the options available (as per the RAP). More detailed scope of work is provided in the following sections. 2. Administrative Responsibilities  Develop rapport with the Project authority, project staff as well as with the head quarter level Social and Environmental Cell of the UP Transport Department. This will be achieved through regular meetings and attending reviews carried out by the Project/UP Transport Department.  Assist UP Transport Department in ensuring compliance with the safety, health and hygiene norms; gender mainstreaming and actions proposed for HIV/AIDS and Child labour awareness/prevention campaign, .  Report to the project office at district level on a monthly basis. The report should include physical and financial progress both in terms of quantitative and qualitative reporting. The report should prominently feature the problems and issues addressed and tackled with the PAPs and the solutions found. The report should have a separate chapter covering the gender issues, their problems and what has been done (within the framework of the RAP) to ensure their participation in decision making as well as the options made available for them to access economic opportunities, marketing and credit. The report should clearly include the number of field units made by the NGO’s staff and the outcome of consultation with the people.  NGO shall also produce quarterly process documentation report for UP Transport Department head quarter at Lucknow. Transport Department, Uttar Pradesh Page 144 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 4. Responsibility of implementation of the RAP will include: 4.1 Undertake IEC Campaigns Undertake a public information campaign at the commencement of the project as well as continuing through project implementation to inform the affected communities of 1. The reasons and need for eviction of displaced households; and 2. The likely consequences of the project on the community’s livelihood 3. Proposed mitigation measures. Thus the NGOs shall establish rapport with the PAPs, consult them, provide them information about the respective entitlements as proposed under the RAP and distribute identity cards to the eligible PAPs. 4.2 Verify Social Assessment Results  Undertake a verification exercise of PAPs identified in the SIA Report to check the validity of the information on the affected and eligible families including the individual losses. This activity will be simultaneously carried out while PMC consultants will be carrying out census survey.  Based on the above verification exercise, the NGO shall prepare a list of PAPs eligible for R&R assistance and relocation, enlisting their entitlement as per the Policy and RAP after verification. The NGO shall display the list of eligible PAPs in prominent public places like Panchayat office or village school or any other public place in the vicinity.  During the verification of the eligible PAPs, the NGO shall ensure that each of the PAPs is contacted and consulted either in groups or individually. The NGO shall specially ensure consultation with the women headed families.  Participatory methods should be applied in assessing the needs of the PAPs, especially, with regard to the vulnerable group. The methods of contact may include (i) village level meetings (ii) gender participation through group interactions (iii) individual meetings and interactions.  Based on the final list of PAPs, NGOs will help the Project to prepare Identity Cards for individual PAPs and distribute it to them.  Prepare micro plan for each PAP and get it approved from competent authority 4.3 Counselling of PAPs  Explain to the PAPs, the need for project, the provisions of the policy and the entitlements under the RAP  Help project in disbursement of compensation/ assistance in timely manner  Hold specific discussions with the vulnerable groups of the affected community and help them understand their losses and entitlements  Distribute the copy of approved project specific Resettlement & Rehabilitation Policy and the translated version of the policy (into Hindi) to each and every PAF which would help them understand their entitlements and decide on their R&R options Transport Department, Uttar Pradesh Page 145 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Disseminate information to the PAPs on the possible consequences of the project on the community’s’ livelihood systems and the option available.  Help PAPs in making decisions and finalizing their option with regard to relocation and income restoration measures.  Help PAF to enter in to a written agreement with /UP Transport Department as an acceptance to the R&R options. 4.4. Disbursement of R&R Assistance  Determine the R&R alternatives opted by PAPs and accordingly document their R&R entitlements (for each PAF) on the basis of the RAP. In case of discrepancies, the NGO shall try to resolve it in consultation with the UP Transport Department on the basis of policy guidelines and if necessary, pursue the matter through the grievance redress mechanism.  Assist the project in ensuring a smooth transition during the relocation of the displaced families. In close consultation with the PAPs, the NGO shall inform the UP Transport Department about the shifting dates agreed with the PAPs in writing and the arrangements (to be made by the Project) desired by the PAPs with respect to their relocation.  Assist the PAPs in opening a joint bank accounts explaining the implications, the rules and the obligations of a joint account, and how she / he can access the resources she / he is entitled to.  Ensure proper utilization of the R&R support provided to PAPs and help restore their lost income/assets.  Identify means and accordingly advise the UP Transport Department to disburse the entitlements to the eligible persons / families in a manner that is transparent. 4.4 Address Grievances of PAPs  The NGO shall ensure that PAF’s representatives are nominated in the Grievance Redress Committee (GRC) and also a suitable person from its own staff to be a member of the GRC.  The NGO shall make PAPs aware of the availability of GRC and the grievance redress procedures. Organize training for PAPs on the procedures to file a grievance application and to confirm that a statement of claim from the concerned PAF accompanies each grievance application. In this regard, the NGO shall help PAPs in filing their grievances and also in clearing their doubts about the procedure as well as the context of the GRC award.  The NGO shall record the grievance and bring the same to the notice of the GRC within a reasonable time (at least within 15 days) after receiving the grievance from the PAPs. It shall submit a draft resolution with respect to the particular grievance of the PAF, suggesting multiple solutions, if possible, and deliberate on the same in the GRC meeting through the NGO representation in the GRC.  The NGO shall accompany PAPs to the GRC meeting on the decided date, help them express his / her grievance to GRC members. The NGO will inform the PAPs of the decision taken by the GRC within 3 days of receiving a decision from the GRC (The time frame for the GRC to take a decision is 45 days). Transport Department, Uttar Pradesh Page 146 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 4.5 Assist Displaced Families in Their Relocation  Obtain PAPs’ choice in terms of (i) site for relocation; (ii) identification of land for alternate housing; (iii) shifting plan and arrangements; (iv) resettlement assistance utilization plan; (v) community asset building plan; and (vi) institutional arrangements for maintenance of the community assets developed by the project for resettlers.  Assist PAPs in accessing government housing program (particularly for vulnerable groups) and in accessing institutional housing construction loans.  Guide PAPs in the construction of houses using locally available construction material, in procuring quality construction material at reasonable prices and check exploitation by vested interests. 4.6 Assist PAPs in Their Economic Rehabilitation  Define, evolve and implore alternative methods of livelihood using the local skill, resources and opportunities available both in the project and outside. Help the PAPs in realizing and optimizing the indigenous technology knowledge through the use of local resources.  Assist PAF, interested in land-based economic rehabilitation, in identifying suitable land for continuing with agriculture. This will require a survey of land market in the area, both for identification of land and negotiating price. Land based economic rehabilitation for tribal PAPs is an essential feature of the R&R policy agreed for the project.  Inform eligible PAPs about various economic opportunities available with UP Transport Department such as employment (including with contracting agencies); allotment of shops/kiosks, award of petty contracts, vehicle hiring; PCO/internet kiosk; newspaper vending; etc. NGO shall also help PAPs and local people in the formation of cooperatives and facilitate in their registration. Coordinate with the project staff to ensure that these cooperatives get contracts from the project on a preferential basis.  Undertake a training need assessment for PAPs, particularly on the activities opted by PAPs for their economic rehabilitation. Organize training programs on various income generation activities.  Coordinate the training and capacity building program with the project and relevant government and non-government training agencies and ensure that skill level of PAPs is upgraded to help them in their income restoration process. This will include the training to be given to members of the self-help group in accounting, record maintenance, skill acquisition in the chosen enterprise and marketing etc. This will also include training to the members of the labour cooperatives.  Establish linkages with the district administration for ensuring that the PAPs get access to public sector schemes available for the socio-economic development of the people, particularly those belonging to vulnerable sections. Similar efforts need to be made for the PAPs interested in availing institutional credit for scaling the operation of economic schemes. The focus for this component of the NGO’s work shall be the vulnerable PAPs for their income restoration. The NGO shall maintain a detailed record of such facilitation. 4.7 Inter-agency Linkages for Income Restoration and Other R&R Support  Develop good rapport with the local financial institutions and facilitate PAPs to access credit at acceptable terms and conditions. Transport Department, Uttar Pradesh Page 147 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  Work closely with local Government agencies and District Administration to ensure dovetailing their socio-economic development programs and help enrolling PAPs in their development schemes, particularly for housing and improving the economic the economic status of PAPs.  Coordinate with the local Training institutes for imparting skill and management of training programs for enterprise development.  Identify and work with marketing agencies and ensure forward and backward linkages to the economic activities opted by PAPs. 4.8 Assisting UP Transport Department in its Social Responsibility  As part of social responsibility, UP Transport Department might plan and implement a number of programs focused on the socioeconomic development of the communities in the project area. The facilitating NGO will help UP Transport Department to plan this component in such way that it meets the requirement of the local population (including the affected community) as well as to ensure that such activities help in their socioeconomic development.  Undertake IEC campaign and media/advertisement in collaboration with line agencies (such as National AIDS Control Organization and Uttarakhand State AIDS Control Society) local NGOs and international donor agencies active in the State. Besides NGO needs to ensure that signage / hoardings are available at suitable locations in and around the project area. There is also a need to link the HIV/AIDS and other sexually transmitted diseases with the medical facilities available in the area. In this regard, focussed attention is required on labour camps of the project and flow of new population in the project area. The NGO shall assist the UP Transport Department to implement these measures, including collaborating with the line agencies.  The NGO shall assist UP Transport Department to ensure that the contractors are abiding by the applicable laws, concerning women’s and the child labour issues, parity in wages, control of HIV/AIDS, etc. Any divergence from women’s and child labour issues should be brought to the notice of the HQ level Social Development Specialist and Project Director of UP Transport Department. 5. Monitoring and Evaluation 5.1 The implementation of RAP requires regular monitoring – both internal and external monitoring. The NGO involved in the implementation of the RAP will not only monitor the implementation and collect the required information, it should also provide the required information and documents for both internal and external monitoring. To this end, the contracted NGO shall keep proper documentation of its work and the R&R processes employed in RAP implementation. The NGO will be responsible for the upkeep and updating of such data/information and relevant documents regularly. The documents shall include photographs and videotapes of the pre-intervention, intervention and post intervention scenario of all R&R measures undertaken in the area. Transport Department, Uttar Pradesh Page 148 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 6. Reporting System 6.1 The NGO selected for the assignments shall be responsible to  Prepare and submit an inception report within three weeks on signing up of the contract, detailing the plan of action, manpower deployment, time schedule, detailed methodology and a withdrawal plan at the end of the period of contract. The withdrawal plan shall be detailed and shall reflect how the PAPs/local communities will maintain the assets created and transferred to the PAPs.  Prepare monthly progress reports to be submitted to the Project/UP Transport Department indicating the weekly progress and its synchronization with the project construction schedule. Prepare any other report as required by the Project.  Collect data required on monitoring of RAP implementation and on selected impact indicators at monthly frequency.  Submit a completion report at the end of the contract period summarizing the actions taken during the project, the methods and personnel used to carry out the assignment, a summary of supports / assistance given to the PAPs and lessons drawn.  Submit all other reports / documentation as described in the terms of reference. 1. All progress reports shall include data on input and output indicators as required by the Project. Documentation should be in writing as well as in photographs, videotapes etc. taken during the assignment which should be submitted to the Project long with the reports. Accounts on expenditure, office administration, training and other heads shall be submitted in the form of quarterly reports and final report along with the completion report. 2. The NGO shall document in full details the consultation / counselling processes, the process of identification of the resettlement sites (if found necessary) and a full description of the training imparted (or facilitated) as part of the assignment. These documents shall be submitted to the UP Transport Department as annual reports. 7. Conditions of Services 3. The NGO shall ensure that the RAP is implemented on an effective and proper manner. The prime responsibility of the NGO shall be to ensure that each and every eligible PAF receive appropriate and due entitlement (within the R&R policy of UP Transport Department). Additionally, the NGO shall help the UP Transport Department in all other matters deemed to be required to implement the RAP in its spirit and entirety. All documents created, generated or collected during the period of contract in carrying out the services under this assignment will be the property of the UP Transport Department. No information gathered or generated during and in carrying out this assignment shall be disclosed by the NGO without the explicit permission of the UP Transport Department. 4. In order to carry out above tasks, NGO staff (responsible for RAP implementation) will have to be stationed in the project area. While the NGO will have its office at Lucknow, its team members will be stationed in project corridors. Besides contacting PAPs on an individual basis to regularly update the baseline information, group meetings and Gram Panchayat (village level or habitation level in case of urban or peri urban areas) meetings will be conducted by the NGOs on a regular Transport Department, Uttar Pradesh Page 149 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework basis. The frequency of such meetings will depend on the requirements of the PAPs but should occur at least once a month to allow the PAPs to remain up to date on project development. NGO will encourage participation of individual PAPs in such meetings by discussing their problems.  Time Frame for Services 1. The NGOs will be contracted initially for a period of Thirty six months from the date of their appointment. This contract can be renewed, on mutual agreement, for another year based on the performance of the selected NGO to the satisfaction of the Project/UP Transport Department.  Data, Services and Facilities to be provided by the Client 1. The UP Transport Department will provide the NGO copies of the social assessment report, RAP, R&R policy, the list of the PAPs, and any other relevant reports/data prepared by the Social Assessment Consultants. 2. All facilities and support required in the performance of the assignment. shall be extended to the NGO. 10. Staff Requirement 1. The NGO team will have the following staff. No. of S. No. Position Qualification Positions 1. Team Leader 1 The Team Leader should be a post-graduate, preferably in social sciences, and should have experience of working in road sector projects and specifically in state or national highways. S/he should have about 5 years’ experience in implementing R&R and rural development works. S/he should have held management position in previous assignments should possess participatory management skills and must have good knowledge of the local language. Experience of working in conflict situation is preferred. 2. R&R Expert 1 Should be at least a graduate in social sciences. S/he should have about 5 years of working experience of which about 2 years in road sector. Should have specific experience in R&R of road projects. Should have sound understanding of the land acquisition process and experience in participatory management. Knowledge of local language is a desirable qualification. Experience of working in other linear projects is preferred. 3. Documentation 1 Should be at least Graduate in Social Sciences and have about 5 Specialist years working experiences of which 2 years in either R&R or Rural Development Projects in documenting the implementation processes. Should have adequate knowledge of handling large scale database and qualitative survey techniques. Should have participated in awareness campaigns of HIV/AIDS and Child Transport Department, Uttar Pradesh Page 150 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework No. of S. No. Position Qualification Positions Labour in previous projects. 4. Livelihood expert 4 Should be at least Post Graduate in Social Sciences and have about 5 years working experiences of which 2 years in either R&R or Rural Development Projects. Should have adequate knowledge of various poverty alleviation schemes of state and central government. Should have knowledge about the local area, its people and socio-political set up. 2. The organization will deploy a 'technical support' team to work at the site. Knowledge of local language is necessary qualification. Administrative staff will not be considered as 'technical support' professionals. The support staff should have one qualified accounts professional who shall be responsible for maintenance of not only internal accounts of the NGO, but also the disbursements made to the PAPs under different heads as per the approved R &R policy. 3. The accounts of NGO will be subjected to internal audit by UP Transport Department on half yearly basis. Transport Department, Uttar Pradesh Page 151 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ANNEXURE 7: TERMS OF REFERENCE FOR CONCURRENT MONITORING AND MIDTERM EVALUATION 4. Aim, Objectives and Scope of Work The aim of the monitoring is not only to ensure smooth implementation of the R&R program, but also to ensure that NGOs have followed the steps provided in RAP and approved policy of the project authority. The periodic evaluation will provide an assessment of RAP implementation to enable timely adjustments of implementation setup and also to verify whether the objectives of resettlement have been achieved or not. To achieve this aim, objectives of the project are:  to ensure timely implementation of Resettlement Action Plan (RAP) without deviation  to assess whether the implementation of the RAP is as per the R&R policy and RAP document  to evaluate whether the outcome of the social development objectives of the project are being achieved with respect to  those who have been physically resettled (displaced families)  those who have been assisted in re-establishing their income  those who have lost their land  functioning of reconstructed common property resources 1. Scope of work The scope of work for consultants would be: 2.1 Concurrent Monitoring  To develop methodology and formats for concurrent monitoring  To ensure that deployment of professionals by NGO is as agreed in their technical proposal.  Based on available information, prepare baseline monitoring indicators  To provide on the job training to NGO and Transport Department project staff and guide them on RAP implementation  To ensure that Transport Department / NGO aadheres to the agreed time-plan during implementation  To ensure proper documentation by Transport Department / NGO interalia (i) documentation of socioeconomic data; (ii) preparation of micro plans; (iii) documentation of consultations; (iv) documentation of GRC meetings; (v) NGO's monthly progress reports; and (vi) skill mapping and income restoration activities  Field-checking of the delivery of the (i) preparation and adequacy of resettlement sites; (ii) adequacy and quality of houses in resettlement sites; (iii) IRP and strategy in terms of adequacy and potential income level; (iv) various trainings, including process adopted for training needs assessment, selection of trainees, trades selected for training, selection process of master trainer or training agency; (v) identification and rehabilitation (including Transport Department, Uttar Pradesh Page 152 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework assistance) of vulnerable groups in line with the entitlement framework; (vi) identification of relocation sites for PAPs and CPRs; and (vii) relocation of PAPs  Survey among sample PAPs to assess their knowledge and concerns regarding the resettlement process, entitlements, and rehabilitation process.  Observe public consultations for PAPs; review the documentation of consultations held by implementing NGO; identification of gaps (if any) and suggest remedial measures (defined format for documentation).  Observe the functioning of the resettlement operation at all levels in order to assess its effectiveness and compliance with RAP.  Check the type of grievance issues and the functioning of grievance redress mechanisms by reviewing appeals at all levels and interviewing aggrieved PAPs.  Advise Transport Department regarding possible improvements in RAP implementation.  To validate and sign off monthly progress report submitted by NGO and Transport Department (Results of validation should come in the progress report)  To conduct consultation with PAPs in order to validate progress report  To ensure that compensation and R&R assistance is paid prior to physical possession of land and structure 2.2 Midterm Evaluation The consulting agency (CA) shall undertake mid-term Evaluation of the R&R components of the project. The midterm evaluation primarily focuses on the effectiveness of the processes adopted for implementation and extent of implementation and its relative completeness. It shall include but not limited to the following aspects:  The process of implementation of the RAP;  Consultations;  Transparency;  Delivery of the R&R services within the timeframe;  The grievance redress processes and systems;  Compensation disbursement and assistance;  Relocation;  Rehabilitation, which includes restoration of livelihood;  Training of staff of the TRANSPORT DEPARTMENT and the PAPs;  Institutional arrangement and capacity to implement the RAP.  Gender sensitivity and empowerment (decision making power at household and community level)  To assess whether the compensation and resettlement assistances provided were sufficient for short term income restoration  Utilisation pattern of compensation and assistances  Quality of resettlement sites including civic amenities provided  Benefits accrued to PAPs and difficulties encountered Transport Department, Uttar Pradesh Page 153 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  HIV/AIDS prevention awareness especially in labour camps and habitation close to labour camps- the relocated Haat village The CA shall undertake an assessment of people’s perception about the processes adopted for implementation of the RAP including about the (a) compensation and/or assistance received; (b) new relocation sites; (c) relation with the host communities; (d) grievance redress committees; and (e) the services of the NGO and TRANSPORT DEPARTMENT 1. Sampling The consultants shall take at least 50 percent of the total affected households as sample size for concurrent monitoring and at least 25% of the total households for impact evaluation. The distribution of households for both concurrent monitoring and impact evaluation should be proportionate to the number of households in different categories of impact. In case of host population, consultant must consult at least 10% of the total host population. 2. Consultants’ Team Consultant shall provide following experts to carry out the assignment: Position No. Of Deployment Qualification Positions Period Key Professionals Resettlement 1 10 months The Team Leader should be a post-graduate, Expert cum preferably in social sciences, and should have Team Leader experience of working in World Bank projects. S/he should have about 7 years’ experience in implementing R&R and rural development works. S/he should have held management position in previous assignments should possess participatory management skills and must have good knowledge of the local language. The team leader should have working knowledge of land acquisition process. Income 1 6 months Should be at least a post graduate in social sciences. Restoration S/he should have about 5 years of experience in R&R Expert or rural development projects. Should have sound understanding of the working of SHGs; income restoration schemes / options and experience in participatory management. Knowledge of local language is a desirable qualification. Support Professionals Research 1 12 months Should be at least a post graduate in social sciences. Associate S/he should have about 2 years of experience in R&R or rural development projects. Should have sound understanding of the working of SHGs; income Transport Department, Uttar Pradesh Page 154 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Position No. Of Deployment Qualification Positions Period restoration schemes / options and experience in participatory management. Knowledge of local language is a desirable qualification. Research Should be at least graduate in social science. Should be Investigators able to speak the local language and should have and knowledge of the local area, its people and socio- Facilitators* political set up. The curriculum viate of key professionals will be evaluated. *as per consultants’ own understanding. 3. Time Frame for Services The consultancy firm will be contracted for a period of twenty four months from the date of their appointment. 4. Data, Services and Facilities to be provided by the Client The Transport Department will provide the copies of the social assessment report, RAP, R&R policy, the list of the PAFs and any other relevant reports/data prepared by the Social Assessment Consultants. All facilities and support required in the performance of the assignment shall be extended to the consultants. Transport Department will provide office space to the consultants for the period of consultancy. 5. Deliverables The consultants shall provide following deliverables: S. No. Output Timeframe 1 Inception Report – (will describe proposed approach, Within 30 days of signing of methodology, formats for field surveys, schedule of field the contract work; and procedures proposed to be adopted for data collection.) 2 Monthly progress report Every month for one year from the date of signing of contract 3 Quarterly process documentation Every quarter for two years from the date of singing of the contract 4 Half yearly progress report Every sixth month from the start of second year. Transport Department, Uttar Pradesh Page 155 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 5 Midterm impact evaluation At the end of 18 month from the date of signing of contract 6 Project Completion Report At the end of 24th month from the date of signing of contract Transport Department, Uttar Pradesh Page 156 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework ANNEXURE 8: TERMS OF REFERENCE FOR CONCURRENT MONITORING AND MIDTERM EVALUATION 1. Aim, Objectives and Scope of Work The aim of the monitoring is not only to ensure smooth implementation of the R&R program, but also to ensure that NGOs have followed the steps provided in RAP and approved policy of the project authority. The periodic evaluation will provide an assessment of RAP implementation to enable timely adjustments of implementation setup and also to verify whether the objectives of resettlement have been achieved or not. To achieve this aim, objectives of the project are:  to ensure timely implementation of Resettlement Action Plan (RAP) without deviation  to assess whether the implementation of the RAP is as per the R&R policy and RAP document  to evaluate whether the outcome of the social development objectives of the project are being achieved with respect to  those who have been physically resettled (displaced families)  those who have been assisted in re-establishing their income  those who have lost their land  functioning of reconstructed common property resources 1. Scope of work The scope of work for consultants would be: 2.1 Concurrent Monitoring  To develop methodology and formats for concurrent monitoring  To ensure that deployment of professionals by NGO is as agreed in their technical proposal.  Based on available information, prepare baseline monitoring indicators  To provide on the job training to NGO and Transport Department project staff and guide them on RAP implementation  To ensure that Transport Department / NGO aadheres to the agreed time-plan during implementation  To ensure proper documentation by Transport Department / NGO interalia (i) documentation of socioeconomic data; (ii) preparation of micro plans; (iii) documentation of consultations; (iv) documentation of GRC meetings; (v) NGO's monthly progress reports; and (vi) skill mapping and income restoration activities  Field-checking of the delivery of the (i) preparation and adequacy of resettlement sites; (ii) adequacy and quality of houses in resettlement sites; (iii) IRP and strategy in terms of adequacy and potential income level; (iv) various trainings, including process adopted for training needs assessment, selection of trainees, trades selected for training, selection process of master trainer or training agency; (v) identification and rehabilitation Transport Department, Uttar Pradesh Page 157 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework (including assistance) of vulnerable groups in line with the entitlement framework; (vi) identification of relocation sites for PAPs and CPRs; and (vii) relocation of PAPs  Survey among sample PAPs to assess their knowledge and concerns regarding the resettlement process, entitlements, and rehabilitation process.  Observe public consultations for PAPs; review the documentation of consultations held by implementing NGO; identification of gaps (if any) and suggest remedial measures (defined format for documentation).  Observe the functioning of the resettlement operation at all levels in order to assess its effectiveness and compliance with RAP.  Check the type of grievance issues and the functioning of grievance redress mechanisms by reviewing appeals at all levels and interviewing aggrieved PAPs.  Advise Transport Department regarding possible improvements in RAP implementation.  To validate and sign off monthly progress report submitted by NGO and Transport Department (Results of validation should come in the progress report)  To conduct consultation with PAPs in order to validate progress report  To ensure that compensation and R&R assistance is paid prior to physical possession of land and structure 2.2 Midterm Evaluation The consulting agency (CA) shall undertake mid-term Evaluation of the R&R components of the project. The midterm evaluation primarily focuses on the effectiveness of the processes adopted for implementation and extent of implementation and its relative completeness. It shall include but not limited to the following aspects:  The process of implementation of the RAP;  Consultations;  Transparency;  Delivery of the R&R services within the timeframe;  The grievance redress processes and systems;  Compensation disbursement and assistance;  Relocation;  Rehabilitation, which includes restoration of livelihood;  Training of staff of the Transport Department and the PAPs;  Institutional arrangement and capacity to implement the RAP.  Gender sensitivity and empowerment (decision making power at household and community level)  To assess whether the compensation and resettlement assistances provided were sufficient for short term income restoration  Utilisation pattern of compensation and assistances  Quality of resettlement sites including civic amenities provided  Benefits accrued to PAPs and difficulties encountered Transport Department, Uttar Pradesh Page 158 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework  HIV/AIDS prevention awareness especially in labour camps and habitation close to labour camps- the relocated Haat village The CA shall undertake an assessment of people’s percep tion about the processes adopted for implementation of the RAP including about the (a) compensation and/or assistance received; (b) new relocation sites; (c) relation with the host communities; (d) grievance redress committees; and (e) the services of the NGO and TRANSPORT DEPARTMENT 1. Sampling The consultants shall take at least 50 percent of the total affected households as sample size for and at least 25% of the total households for impact evaluation. The distribution of households for both concurrent monitoring and impact evaluation should be proportionate to the number of households in different categories of impact. In case of host population, consultant must consult at least 10% of the total host population. 2. Consultants’ Team Consultant shall provide following experts to carry out the assignment: Position No. Of Deployment Qualification Positions Period Key Professionals Resettlement 1 10 months The Team Leader should be a post-graduate, preferably Expert cum in social sciences, and should have experience of Team Leader working in World Bank projects. S/he should have about 7 years’ experience in implementing R&R and rural development works. S/he should have held management position in previous assignments should possess participatory management skills and must have good knowledge of the local language. The team leader should have working knowledge of land acquisition process. Income 1 6 months Should be at least a post graduate in social sciences. Restoration S/he should have about 5 years of experience in R&R or Expert rural development projects. Should have sound understanding of the working of SHGs; income restoration schemes / options and experience in participatory management. Knowledge of local language is a desirable qualification. Support Professionals Research 1 12 months Should be at least a post graduate in social sciences. Associate S/he should have about 2 years of experience in R&R or rural development projects. Should have sound understanding of the working of SHGs; income Transport Department, Uttar Pradesh Page 159 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework Position No. Of Deployment Qualification Positions Period restoration schemes / options and experience in participatory management. Knowledge of local language is a desirable qualification. Research Should be at least graduate in social science. Should be Investigators and able to speak the local language and should have Facilitators* knowledge of the local area, its people and socio- political set up. The curriculum viate of key professionals will be evaluated. *as per consultants’ own understanding. 3. Time Frame for Services The consultancy firm will be contracted for a period of twenty four months from the date of their appointment. 4. Data, Services and Facilities to be provided by the Client The Transport Department will provide the copies of the social assessment report, RAP, R&R policy, the list of the PAFs and any other relevant reports/data prepared by the Social Assessment Consultants. All facilities and support required in the performance of the assignment shall be extended to the consultants. Transport Department will provide office space to the consultants for the period of consultancy. 5. Deliverables The consultants shall provide following deliverables: S. No. Output Timeframe 1 Inception Report – (will describe proposed approach, Within 30 days of signing of the methodology, formats for field surveys, schedule of field contract work; and procedures proposed to be adopted for data collection.) 2 Monthly progress report Every month for one year from the date of signing of contract 3 Quarterly process documentation Every quarter for two years from the date of singing of the contract 4 Half yearly progress report Every sixth month from the start of second year. Transport Department, Uttar Pradesh Page 160 Uttar Pradesh Core Road Network Development Program- Road and Transport Safety Environmental and Social Management Framework 5 Midterm impact evaluation At the end of 18 month from the date of signing of contract 6 Project Completion Report At the end of 24th month from the date of signing of contract Transport Department, Uttar Pradesh Page 161