E1038 Public Disclosure Authorized V8 - World Bank...¾ The Andhra Pradesh Urban Areas (Development)...

Andhra Pradesh Municipal Development Project

Social & Environmental Assessment & Management Framework

(SEAMF)

E1038 V8

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Andhra Pradesh Municipal Development Project Social and Environmental Assessment Management Framework

Rev.21May09 1

CONTENTS CHAPTER – 1: INTRODUCTION 1.1 Introduction 21.2 Policy and Regulatory Framework 21.3 Institutional Arrangements 31.4 Grievance Redressal 6

CHAPTER – 2: SOCIAL AND ENVIRONMENTAL CAPACITY BUILDING ACTION PLAN (SECAP)

2.1 Social Section 82.2 Environmental Section 12

CHAPTER – 3: INFORMATION AND CONSULTATION STRATEGY (ICS)

3.1 Social Section 17 3.2 Environmental Section 20

CHAPTER – 4: SOCIAL AND ENVIRONMENTAL SUB-PROJECT CATEGORIZATION AND SCREENING

4.1 Selection of Sub-projects 23 4.2 Screening of Sub-projects 23 CHAPTER – 5: SOCIAL AND ENVIRONMENTAL MANAGEMENT AND MONITORING PLANS

5.1 Social section 26 5.2 Environmental Section 29

CHAPTER – 6: SOCIAL AND ENVIRONMENTAL SAFEGUARDS 6.1 Urban Social Safeguard Framework 32 6.2 Urban Environmental Safeguard Framework 45

ANNEXURES I to XIV 50


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INTRODUCTION

1.1 INTRODUCTION 1.1 This document provides the Social and Environmental Assessment Management Framework for the Andhra Pradesh Municipal Development Project (APMDP). The APMD project has two main components:

Î State Level and Local Level Reform Î Urban Infrastructure Investments

1.2 The Social and Environmental Assessment Management Framework (SEAMF) is intended to be used during the project to ensure that the urban investment sub-projects being considered for financing are socially and environmentally sound and sustainable. The SEAMF tries to ensure that there is sub-project compliance with national and state regulatory policies and laws, and also with World Bank safeguard policies throughout the sub-project cycle. The framework and plans have been prepared in such a way that they are applicable to all municipal sub-projects as a whole and to the sectoral or sub-sectoral parts. 1.3 The SEAMF includes:

Î Information on Policy, Legal and Administrative requirements, and their implications for sub-projects;

Î Institutional arrangements, capacity building plan and information & consultation strategy for effective planning, implementation and monitoring of sub-projects

Î A social and environmental screening and categorization framework for sub-projects to identify the nature of social and environmental analysis and planning required for each sub-project

Î Guidance for the social and environmental assessments of sub-projects, and for the formulation of social and environment management and monitoring plans (that include mitigation measures for possible negative impacts as well as enhancement measures for positive impacts)

Î Social and environmental safeguard frameworks that need to be considered in the sub-project preparation and implementation

1.4 The SEAMF has been developed through close interactions with municipal staff and state officials at various levels, and inputs have been added from the public consultations conducted for this purpose. 1.2 POLICIES AND REGULATORY FRAMEWORK 1.5 The policies, legal provisions and the administrative frameworks provide the context within which the urban development projects need to be implemented. Table A gives the policies, legal acts and programmes that form the framework within which both

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social and environmental components of the proposed project APMDP would be implemented. Detailed analysis of these Acts, Policies and Programmes are given as Annexure – I and as Annexure – II.

Table – A: Reviewed policies, legal and administrative frameworks and programmes Policies Legal and Administrative Frameworks Programmes

Social Section ¾� The Five Year Plans ¾� Vision 2020 of Government

of Andhra Pradesh ¾� Vision 2021 of Government

of India ¾� R&R policy of Andhra

Pradesh 2005 as amended for Road Sector Projects

¾� Social Safeguard Policy of Andhra Pradesh Transmission Corporation Limited

¾� R&R Policy of Andhra Pradesh (Irrigation Sector), 2005

¾� World Bank Operational Policy 4.12 on Involuntary Resettlement

¾� World Bank Operational Policy 4.10 on Indigenous people

¾� National R&R Policy 2007 ¾� National Slum Policy (to be

notified)

¾� Andhra Pradesh Municipalities Act, 1965 ¾� Andhra Pradesh Town Planning Act, 1920 ¾� The Andhra Pradesh Municipal Corporations Act, 1994 ¾� The Hyderabad Municipal Corporations Act, 1955 ¾� The Andhra Pradesh Urban Areas (Development) Act,

1975 ¾� The Andhra Pradesh Infrastructure Development-Enabling

Act, 2001 ¾� Urban Land (Ceiling and Regulation) Act, 1976 ¾� Land Acquisition Act, 1894 as amended in 1984 ¾� The 74th Constitutional Amendment Act ¾� The Twelfth Schedule of the Constitution (Article 243W)

¾� Andhra Pradesh Urban Services for Poor (APUSP)

¾� Environmental Improvement of Urban Slums (EIUS)

¾� Nehru Rozgar Yojana (NRY)

¾� Prime Minister’s Integrated Urban Poverty Eradication Programme (PMIUPEP)

¾� Swarna Jayanti Shahari Rozgar Yojana (SJSRY)

¾� Integrated Development for Small and Medium Towns (IDSMT)

¾� Integrated Low Cost Sanitation (ILCS)

¾� Urban Basis Services for the Poor (UBSP)

Environmental Section ¾� World Bank Operational

Policy 4.11 on Cultural property

¾� Environmental policy of TRANSCO

¾� Operational Policy 4.01(Environmental Assessment of projects)

¾� OP 4.36 (Forestry), OP 4. 09 on Pest Management and OPN 11.03 on Cultural property

¾� Policy statement for abatement of pollution –MoEF 1992

¾� National Conservation Strategy And Policy Statement On Environment and Development, 1992

¾� The Environment Protection Act, 1986 ¾� The national environment appellate Act, 1997 ¾� Water (Prevention and Control of Pollution) Cess Act,

1977, including Rules ¾� Water (Prevention and Control of Pollution) Act, 1974

as amended in 1978 and 1988 ¾� Water, Land and Tree Act 2002 ¾� The Air (Prevention and control of Pollution) Act, 1991. ¾� Forest (Conservation) Act, 1980 – as amended in 1988 ¾� Wildlife Protection Act-as amended in 1972 ¾� Notification on Coastal Regulation Zone, 1991 ¾� The Municipal Solid Wastes (Management and

Handling) Rules, 2000 ¾� The Bio Medical Waste management ¾� The Hazardous Wastes (Management and Handling)

Rules, 1989 and 2003 amendment (inclusion of list of municipal solid wastes to hazardous wastes)

¾� The 74th Constitutional Amendment Act ¾� The Twelfth Schedule of the Constitution (Article

243W)

¾� State Environmental Action Programme

¾� State of Environment (SoE), Andhra Pradesh.

1.3 INSTITUTIONAL ARRANGEMENTS 1.6 In a sub-project cycle, based on the involvement of the institutions, the institutions can be divided into ‘Primary Institutions’ that are involved in direct implementation of sub-projects, ‘Support Institutions’ whose technical support and manpower is necessary for the implementation of sub-projects and ‘Project Specific Institutions’ whose technical knowledge and manpower is necessary in planning and implementing certain specific projects. The primary institutions in a typical project cycle identified are Municipal Council (MC), Urban Local Bodies (ULB), Commissionerate &


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Directorate of Municipal Administration (CDMA), Andhra Pradesh Urban Infrastructure Gund (APUIF), Public Health & Engineering Department (PHED), Directorate of Town & Country Planning (DTCP) and the Urban Development Authorities (UDA). The support institutions are Revenue Department (RD), District Collector (DC), Community Based Organizations (CBO), Non-Governmental Organizations (NGO) etc., and the project specific institutions can be the Roads and Buildings Department (R&B) in case of roads sub-projects, Hyderabad Metropolitan Water Supply and Sewerage Board (HMWSSB) in case of water supply sub-projects, Electricity Distribution Companies (DISCOMS) and Andhra Pradesh Transmission Corporation Limited (AP TRANSCO) for electricity sub-projects, Medical and Health Department (MHD) for health related sub-projects etc. Institutions like the Andhra Pradesh Pollution Control Board (APPCB) may involve in the planning and execution of the projects on the request of the municipality. Depending upon the type of project, the ULBs will seek specialist and technical support from these departments and elsewhere for planning and implementing sub-projects. 1.7 The APMD Project would be implemented in the State by the Department of Municipal Administration and Urban Development (MAUD) through the CDMA and APUIF. 1.8 The CDMA, in its capacity as the authority in charge of ULBs, would provide general institutional and administrative support to all ULBs. A Municipal Strengthening Unit (MSU) would be set up at CDMA to assist ULBs to undertake infrastructure sub-projects under APMD Project, monitor their implementation and provide institutional support, in the form of capacity building and reforms, to ULBs and also assist them. The CDMA/MSU would take the responsibility for engaging consultants to undertake the social & environmental assessment of sub-projects. It will also engage the services of two specialists – social scientist & environmental specialist - who would appraise the sub-projects for social and environmental compliance with the safeguards. 1.9 The APUIF would be the nodal agency responsible for financing the sub-projects under APMDP, after they have been appraised by the MSU. It will have three project windows – the project development division for appraisal of sub-projects, the investment division for financing the sub-projects and the institutional development division for sub-project specific institutional development. 1.10 At the field level the concerned ULBs would play an important role in implementation of the project. The ULBs would be responsible for designing, implementing and managing the sub-projects. They will form an Environment and Social Management Committee (ESMC) to carry out the necessary social and environmental functions in the sub-project areas. 1.11 The Social and Environmental needs of the APMD Project would be managed at different levels. At the state level, the MSU of CDMA would enable ULBs to prepare socially and environmentally sound project proposals and help build required skills through a concerted capacity building programme. The social and environmental specialists located with the MSU would ensure that appraised sub-projects are socially


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and environmentally sound, apart from providing advisory services to ULBs. At the local level, the ESMCs would be vested with powers to monitor and manage S&E issues during sub-project implementation.

1.12 The organizational structure at the ULB is given in the figure below. Each ULB will consist of the implementation arrangements and the ESMC. The Municipal Chairman, Municipal Commissioner, Municipal Engineer and S&E Officer (senior officer designated by the CDMA), supported by section heads at the ULB, and representatives from NGOs/community will form the primary implementing arrangements at the ULB and the ESMC will be responsible for overlooking social and environmental activities implemented under each sub-project in the ULB. For specific environmental issues, the Regional Officer of APPCB may be consulted. 1.13 The S&E officer, working under the Municipal Engineer, would ensure the implementation of SMP/TDP/EMP at sub-project level through the existing machinery by entrusting the execution of separate sectoral components to the concerned line departments. The responsibilities for handling social issues would be coordinated with the Town Planning and the Revenue Wings as they are more acquainted with issues such as land acquisition, measurements, structural assessments etc. Similarly the S&E Officer will coordinate with the other Engineering department officials, the Medical and Health Officials and environmental consultants on environmental issues such as solid waste management, sanitation etc. The role and the functions of the ESMC would include, but not be limited to, the following:

Î Ensuring social and environmental compliance in sub-project preparation Î Coordinating acquisition of land and undertaking surveys Î Overseeing preparation of SMPs/EMPs through internal sources and/or external

consultants Î Implementation of SMPs/EMPs Î Undertaking/coordinating construction of resettlement colonies

FIG: 4.7 – INSTITUTIONAL ARRANGEMENTS AT THE ULB

S&E Officer

Municipal Engineer / Manager

Town Planning Wing

Revenue Wing

Health and Sanitation Wing

Engineering Wing

CommissionerESMC

Municipal Chairperson (Chairman) Commissioner (Exec – Chairman) Municipal Engineer/Manager S&E Officer (Designated) Town Planning Officer Medical and Health Officer R Officer


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Complaint Cell/Public Information Center (ULB)

Grievances

ESMC (ULB)

S&E Officer (ULB)

Courts

Grievance Redressal

Body (District

and State Level)

If not resolved

GRIEVANCE REDRESSAL MECHANISM

Î Coordinating with NGOs in SMP/EMP implementation and various agencies involved

Î Grievance redressal Î Organize training programmes for identified PAPs through the Government

agencies/ NGOs / other sources 1.1.4 The role and the functions of the S&E Officer would include, but not be limited to, the following:

1. Coordinate planning and implementation of social and environmental aspects of sub-projects in the ULB.

2. Assess the Detailed Project Reports (DPRs) for social and environmental compliance with safeguard framework.

3. Monitor the sub-project interventions for social and environmental sustainability 4. Support and coordinate trainings programmes for the capacity building of the PIA

and its partners like the NGOs and CBOs as the case may be. 5. Coordinate with all the agencies for ensuring implementation of social &

environemntal activities. 6. Carry out assessment of the project affected people; assess vulnerability and

entitlement issues and coordination of SMP/EMP implementation at the ULB. 7. Mobilizing the community and ensuring their participation in addressing

emerging social and R&R issues. 8. Reporting the progress, highlighting the social and environmental issues not

addressed and also provide for course correction in subsequent projects 9. Develop a system of environmental monitoring and social audit to achieve

maximum benefits from the sub-project. 10. Auditing the monitoring indicators collected by the implementing staff

1.4 GRIEVANCE REDRESSAL MECHANISM 1.15 It is expected that through a participatory process, acceptance of the sub-projects and grievances can be minimized. However, it is necessary to establish an effective grievance redressal mechanism to address complaints/grievances related to social & environmental issues that may arise. The figure given alongside indicates the grievance redressal mechanism for this purpose. 1.16 The affected persons can register their grievances at the complaint cell established at the ULB. The


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Complaint Cell would forward the grievance to the S&E officer for redressal. The Complaint Cell will also act as a Public Information Centre, where the grievances of the community will be registered and other information with regard to the project, the sub-projects, social and environmental safeguards will be provided. The grievances can pertain to any social and/or environmental issues triggered by sub-projects under the APMD Project. A ‘District Urban Grievance Redressal Body’ will be established for giving independent advice to the concerned Municipal Commissioner for redressing the grievances. This body will consist of 4 to5 eminent citizens in the District and are from diverse backgrounds such as, education, health and sanitation, urban infrastructure, civic affairs, etc. In an advisory capacity, it will facilitate and suggest suitable action to redress the grievances of the community/people. At the state level a ‘State Urban Grievance Redressal Body’ will be established along similar lines. The Complaint Cell would forward the grievance to the S&E officer for redressal. If the S&E officer cannot redress the grievance within a specified time period, the grievance would be forwarded to the ESMC and further to the District Urban Grievance Redressal Body constituted at the district level. The grievances which cannot be redressed at the district level would be referred to the State Urban Grievance Redressal Body. Each of these authorities can be approached directly for grievance redressal by the aggrieved person/party.


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SOCIAL AND ENVIRONMENTAL CAPACITY-BUILDING ACTION PLAN (SECAP)

2.1 It is imperative to build the capacities of an institution to enable a well-planned and efficient set of arrangements with functionaries equipped with required skills for achievement of desired goals. In the present context, while implementing sub-projects in the urban areas the Project Implementing Agencies (PIAs) may encounter various problems in planning, implementing and managing social and environmental issues, including the need to mitigate and manage adverse impacts. The PIAs need to build capacities to address the issues that arise in a typical project cycle. 2.1 SOCIAL SECTION

2.2 Capacities for managing social tasks need to be built in two ways. Firstly, capacities should be built considering the overall institutional development in addressing social issues and secondly, sub-project specific capacities that are useful in implementation of the sub-project. Accordingly, an institutional capacity development strategy and project specific capacity plan has been developed which specifically identifies the shortcomings in the capacities at different levels and suggests relevant measures to overcome them. 2.1.1 INSTITUTIONAL CAPACITY BUILDING STRATEGY

2.3 The shortcomings in the capacities of the institutions have been identified and accordingly the following appropriate measures and training programmes are suggested for capacity enhancement. 2.1.1.1 KNOWLEDGE ON POLICY, LEGAL AND ADMINISTRATIVE PROVISIONS 2.4 A comprehensive document highlighting the roles and responsibilities of various functionaries, laws and legislations, constitutional provisions, policies of state and central Governments, World Bank policies etc., needs to be prepared by the DMA. It has to be prepared in crisp and easy language for better understanding, and possibly circulation in both in English and Telugu. Staff will be able to handle grievances and conflicts with competence with the help of such reference documents. In addition to this, special steps to devise training modules that can be used to train and test the competence of the functionaries at the municipality level on the legal, policy and administrative framework need to be designed. Training programmes would help the municipal functionaries in understanding the framework and help in enhancing their capacity. 2.1.1.2 TRAINING 2.5 Training is an important component for developing capacities. Appropriate and timely training to the officials with regard to various issues can bring a positive change in the functioning of the staff. Apart from training in generic areas such as human resource

2


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management, information management, government functionaries require training in handling certain specialized tasks pertaining to social issues as given under. For Project Managers/State Level Functionaries 2.6 Training on Social Assessment, Appraisal and Management: Staff at the state level at MSU (CDMA) and at APUIF would require capacity building inputs to help them understand the social risks attached to different sub-projects and the appropriate R&R measures that can be taken to mitigate adverse impacts on the community. In addition, they would require training to equip them with skills they can use to appraise sub-projects on key social criteria and ensure that they are socially sound. For Municipal Staff 2.7 Training on consultations and surveys is important for municipal staff to enable them to get acquainted with processes linked to community participation, community mobilization, census surveys, baseline surveys, etc. Training on consultation processes for specific projects and exposure to various participatory methods of consultation can be imparted by consultants. The training should concentrate on inducing participation and transparency in sub-project implementation. It should also stress on the type of information to be generated through the surveys, especially on the socio-economic information and other related issues. Steps such as attaching municipal functionaries to consultants and NGOs while undertaking surveys can help the municipal staff in developing their capacities. Training can also be imparted to NGOs that are involved in the sub-project. This training would help the staff to be in close contact with the community as well as all the stakeholders involved.

2.8 Training on Social Assessment of Sub-projects: to enable the municipal staff to understand the social risks attached to different sub-projects and the appropriate measures that can be taken to mitigate adverse impacts on the community. This would not only enable them to prepare socially sound sub-projects but also help them put in place strong monitoring and management plans. 2.9 Training on Resettlement and Rehabilitation is another very essential requirement for the municipal staff in addressing social issues. Staff in the ULBs need to build capacity in this regard. This could include information on related laws and legislations, safeguard policies, methods of implementation, valuation of assets, grievance redressal, preparation and implementation of Social Management Plan (SMP)/ Tribal Development Plan (TDP), social impacts etc., that may be encountered in a typical urban infrastructure sub-projects. Functionaries who are especially involved in planning and drafting sub-projects at the ULBs should undergo this training as they play a primary role in implementing R&R provisions under the project.


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2.1.1.3 TECHNICAL ASSISTANCE ON ENGINEERING AND CONSTRUCTION

2.10 Designing proper technical plans for urban sub-projects keeping in mind the social risks is an essential task. Presently, for various technical works, municipalities often take the help of external consultants. With the consultants operating independently, the processes are rarely shared through adequate knowledge/capacity transfer. It is important to facilitate capacity building by (a) in-house training of staff (b) recruitment of technical staff on contract basis and (b) through better knowledge transfer from external consultants by linking municipal staff to the consultants. 2.1.1.4 COMMUNICATION STRATEGY 2.11 A well-developed communication strategy needs to be in place to realize better results in implementing the projects. The concerned municipalities have to develop and effectively implement their own consultation and communication strategy. Successful implementation of sub-project would depend, to a large extent, on the ability to maintain close contact with the community in the sub-project area. For this purpose ULBs need to develop consultation plans along with the help of an NGO/community. Such a communication strategy would help in better communication, clearer understanding of social problems, better service delivery, easier conflict resolution and grievance redressal. Training modules may be developed to help ULBs draft and implement appropriate consultation strategies. 2.1.1.5 DEVELOPING THE CAPACITIES OF THE COMMUNITY 2.12 Community can act as partners in the programmes and policies of the government and help in realizing the project objectives to an optimum capacity. Developing their capacities becomes vital for achieving the sub-project objectives and the ULBs can develop its capacities through timely identification of community groups as partners in sub-project implementation. Self-help groups, Citizens Groups, Neighbourhood Action Committees, DWCUA etc., can be trained under the project with specific plans to include them in the planning, implementation and monitoring of the project. Regular meeting with these groups can be organized to stay informed about the requirements of the people. The ULBs can also design specific training programmes directed towards developing their entrepreneurial ability and skill development. 2.1.1.6 OTHER MEASURES FOR CAPACITY DEVELOPMENT 2.13 Various special programmes can be undertaken by the ULBs to train their staff and help in developing their capacities. This could include:

Î Exposure field visits and tours to best practice sites in the state can be undertaken from time to time to expose the municipal staff to newer concepts in urban project management through experience learning.

Î Plans to coordinate and work with the public representatives would help the municipal officials in understanding and coordinating with the political representatives and devising a united approach in addressing social problems.


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Î Training programmes in skill development, attitudinal and personality development can also help the officials in developing responsibility and better higher standards of work culture.

Î Initiation of appropriate learning mechanisms like lecture-based training, on-the-job mentoring, etc., can also help in developing the capacities of the municipal administration.


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2.1.2 STEPS FOR DEVELOPING SUB-PROJECT SPECIFIC CAPACITIES

Enhancing participation skills

Participation of all stakeholders in sub-projects is an important social objective. ¾� At all stages of sub-project cycle ¾� For addressing social and R&R issues related to sub-projects All functionaries in municipal administration from senior to municipality level should be informed and sensitized to recognize the efficacy of participatory approaches.

Identifying stakeholders

There are various stakeholders involved in the sub-project cycle. The capacity building should bring coordination among these stakeholders to address implementation and management issues. The capacities of following stakeholders need to be built.

¾� The functionaries who belong to municipal administration and other institutions and who would be involved in the project as S&E officers, project managers and field staff to interact with the PAPs and beneficiaries.

¾� Project Affected Persons, and ¾� The NGOs/community organisations who have role in supporting the PIA and the PAPs to achieve the project goals

Developing capacities of project implementing agency

Not all officials in the PIA have innate capacities to address social and R&R issues. To develop these capacities the PIA should consider the following: ¾� Seek participation and respond to participatory endeavors of PAPs. ¾� A clear structure of institutional arrangements and linkages with R&R functions ¾� Institutionalizing participatory process for consultations ¾� Regular training programmes to staff of the PIA and other key stakeholders to sensitize them on R&R activities ¾� Daily interaction with the community at the field ¾� Special focus on vulnerable groups like women, aged, Schedules Castes, Scheduled Tribes and economically

weaker sections of the society. Understand the risks to these vulnerable groups through participation techniques like FGDs, Transect Walks, Social and Resource mapping etc

¾� Developing inter-departmental coordination and intra-departmental coordination ¾� Coordination and collaborative functioning with external departments and organizations

Developing the capacities of the community

To address social problems with expertise and ease, the capacities of the PAPs should be utilized at various stages of the sub-project. Some of the steps that need to be considered are as follows: ¾� PIA should consider making the PAPs potential partners in designing, planning, implementing and monitoring sub-

projects ¾� Mobilizing the PAPs to participate through interactive sessions ¾� Developing community-based organizations for interaction between PIA and PAPs ¾� Exposing the PAPs and beneficiaries to participation helps the PIA in the following.

1. To minimize resistance through information sharing 2. Seeking stakeholders’ view on intended interventions 3. To form partnerships 4. Better R&R implementation

¾� Identify the skills of the PAPs and help them in income generation activities in cases of displacement or loss of livelihood.

¾� Training the PAPs to help the PIA in implementing R&R provisions, conducting negotiations and managing conflicts.

Capacity building through Non Governmental Organizations (NGO)

The NGOs/community organizations can play an important role while implementing the sub-projects and in addressing R&R and social issues. Some of the aspects that need to be examined in this direction are as follows. ¾� PIAs should identify credible NGOs, which have long record of working with the local communities ¾� PIA should explore possibilities wherever needed to see if Community Organizations can substitute the role of NGOs ¾� The NGOs/community organizations can help the PIA in various ways, namely:

1. They act as mediators to facilitate initial contact and dialogue between the PIAs and PAPs 2. They supplement the skills and capacity of the PIA all along the sub-project cycle 3. They act as coordinators in planning and implementation R&R plans 4. They help in building capacity of the PIA and PAPs through their experience and knowledge 5. Help coordinating and organizing the community groups 6. They also help as arbitrators in dispute resolving between PIA and PAPs


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2.1.3 MEETING NEEDS FOR ADDITIONAL EXPERTISE 2.14 Building the social and environmental capacities of municipal officials in ULBs will take time. For the effective assessment, planning and implementation of sub-projects, the ULBs will be advised to take the help of external consultants according to their requirements. The social and environmental consultants recruited to help the ULBs would be from among environmental specialists, urban planners, social planners and sociologists, civil engineers/architects, civil supervisors etc. 2.2 ENVIRONMENTAL SECTION 2.15 Capacities for the environmental components need to be built across different institutions that are involved at different stages in the sub-project cycle. 2.16 The prime institution at the implementation stage of the project is the ULB. The ULBs require improvements in various environmental skills and capacities for the effective implementation of sub-projects. This is detailed below.

Ensure environmental compliance for sub-projects finalized for investments: Sub-projects in every town would be identified through the CMAPP process – aconsultative process initiated by respective municipalities. This involves consultation with the key stakeholders on the town wide infrastructure problems and needs, with particular emphasis on slum development. The municipal officials need to be informed, in greater measure, about the potential adverse environmental impacts of sub-projects and measures that can mitigate such impacts.

Collection of primary and secondary data for environmental

screening/assessments: The ULB needs to collect the necessary primary and secondary data for the environmental screening and, if required, for the detailed/limited environmental assessment. This requires identification of areas of information, methods for gathering data, legal/regulatory issues, etc.

Environmental screening and assessment: The identified sub project investments

by the ULB or the sub project investment proposals by any other external agency has to undergo environmental screening to assess the intensity of the negative environmental impacts. To enable the ULB screen sub-projects easily, a list of sub-projects categorized on the basis of intensity of environmental impacts has been provided in this document (Annexure – III). Sub-projects categorized as EA would need to undergo a detailed environmental assessment and for those categorized as EB, a status report along with an EMP must be prepared. The ULB must build capacity to either undertake this activity or outsource it.

Implement sub-project specific environmental management and monitoring plans:

To mitigate the negative environmental impacts, general environmental management and Monitoring plan has been prepared, for all sub-project


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investments (Annexure - IV). The ULB should take the responsibility of preparing sub-project specific environmental management and monitoring plans, referring to the annexure provided. The implementation of these mitigation measures needs diversified capacities. Hence the PIA has to build the required capacities for its implementation. Necessary capacity building through handholding support and training will be provided to the ULBs for this purpose.

Organizing and recording public consultations at the sub-project level: As per the

Information and Consultation Strategy, the ULB needs to conduct and organize public consultations at different stages of sub-project implementation. The suggestions and views of the public are essential and useful in the identification, design, implementation, and monitoring, and operational phases of the investment in addition to proper grievance redressal.

Capacity enhancement of the Social and Environmental Management Committee

(ESMC): The proposed social and Environmental Management Committees, at the level of the ULB, which is supposed to make decisions in finalizing the sub-project investments, ensure implementation of the Environmental Management Plan, enable redressal of grievances, etc., would require capacity enhancement to undertake such tasks.

2.17 Staff at the state level at the MSU (CDMA) and APUIF would require capacity building inputs to help them understand the environmental risks attached to different sub-projects and the appropriate measures that can be taken to mitigate adverse environmental impacts on the community. In addition, they would require training to equip them with skills they can use to appraise sub-projects on key environmental criteria and ensure that they are socially sound. 2.2.1 ENVIRONMENTAL TASKS 2.18 Given below is the table with a general list of environmental tasks/activities involved in a sub-project investment, for which the capacities need to be strengthened.

ENVIRONMENTAL ISSUES - ACTIVITIES / FUNCTIONS Environmental

Tasks Actions Performed / Capacities required

Information and Consultation

• Addressing Public complaints and Grievances • Conducting Public consultations and Focused Group Discussions in the problematic areas • Identification of Infrastructure problems and Environmentally sensitive issues • Prioritization of problem issues with respect to severity of environmental impacts • Coordination with the concerned departments in designing the sub projects for sustainable

solutions to the infrastructure problems and environmental degradation • Identification of infrastructure development investments that enhances the environmental

positive impacts. • Procurement of environmental related data of the sub-project intervention area through

consultations. Data collection for environmental screening and assessment

• Primary and secondary data collection through surveys, consultations, studies/reports pertaining to the intervention area.


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ENVIRONMENTAL ISSUES - ACTIVITIES / FUNCTIONS Environmental

Tasks Actions Performed / Capacities required

Environmental screening and Assessment

• Categorization of the sub-projects as per the guidelines given in the screening frame work • Detailed Environmental Assessment for the sub projects that fall under EA category. • Limited environmental assessment for EB categorized sub-projects. • Delegating to the consulting firms for detailed assessments • Review the assessment report for quality assessment that should include environmental

management and monitoring plans including costing for each activity. • Thorough knowledge and understanding of all the environmental policies, legislations,

administrative frame works and their applicability in a sub project intervention. Environment Management and Monitoring

• Preparation of sub-project specific environmental management and monitoring plans referring to the annexure-IV provided.

• Incorporating the EMP and associated costs in to the bid documents. • Implementation of the mitigation measures at the design, construction and monitoring stages of

the sub project. • Monitoring the sub-project investments at the construction and operation stages. • Coordinate with the consultants for proper and feasible mitigation measures at the design,

construction and operation phases. Annexure-IV should be referred for this purpose. • Quality assessment and monitoring the contracter’s work for the implementation of mitigation

measures and environmental monitoring during construction and operation. • Coordinating with investment specific public consultations and participation through the

formation of sub-project specific committees (number depending on the length / area of the investment) for quality monitoring and sustained usage through proper maintenance.

2.2.2 ENVIRONMENTAL TRAINING

2.19 Environmental training is the critical component of capacity building action plan. It is this that imparts the knowledge of environmental concepts, impacts of development on natural environment and ecology. The training in various environmental issues and exposure to best practices in environmental management will make the ESMC, communities, NGOs, contractors and key stake holders to be environmentally sensitive. 2.20 The components of training on environmental issues would pertain to, but not be limited to, the following:

o Basic environmental concepts and issues o Legal/regulatory framework of environmental issues for urban sector projects o Identification of environmental impacts o Environmental screening of sub-projects o Environmental assessments of sub-projects o Preparing and implementing Environmental Management Plans (EMPs) o Regular training programmes in project management, public consultation and

information dissemination, out sourcing, quality monitoring. o Software training for effective data base administration.

2.2.3 ENVIRONMENTAL CAPACITY BUILDING ACTION PLAN –

TARGET GROUPS 2.21 Based on the existing capacities for each environmental task, the capacity building action plan identifies the additional capacities required to implement and manage environmental issues. This is provided in the table below including the target group for each component of environment capacity building.


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ENVIRONMENTAL ISSUES – CAPACITIES REQUIRED – ACTION PLAN - TARGET GROUPS Desired

Environmental Output/Component

Existing Capacities Additional Environmental Capacities Required

Environmental Capacity Building Action Plan – Target

Group Identification of Environmental problems / needs of the town.

CMAPP process Conducting public consultations Key stake holder consultations Preparation of CIIP (critical infrastructure investment proposals)

Environmental outlook Identifying environmental sensitive issues.

�Training in basic Environmental concepts

�Training programme in understanding environmental hazards of an infrastructure problem/need/development.

Target group – ULB staff (Engineering and Health Sections)/ Consultants

Expertise of the environmental committee in environmental issues and decision making

Limited Identifying environmental sensitive issues, undertaking environmental assessments, implementing EMPs.

�Training in environmental issues, environmental analysis of alternatives, Environmental legislations, Environmental safeguards, etc.

Target Group: ESMC, Engineering and Health section staff, NGOs, community, consultants

Collection of environmental related base line data.

Collection of engineering, technical, demographic data

Environmental baseline data. Air and water quality data Ground water data. Data related to existing Infrastructure. Data related to flora and fauna.

�Training in the usage of air quality monitoring machinery, awareness in identifying the endangered floral and faunal species

�Coordinating with line departments.

�Engaging community from sub-project investment area and involving professional NGOs.

Target group: ULB staff Environmental screening and assessment

Limited Capacities to categorise and coordinate with consultants for assessment of the sub-project investments environmentally.

�Training in environmental assessment of sub projects

� Hiring environmental consultants for detailed assessments.

Target group: ULB Staff Preparation and implementation of sub-project specific environmental management and monitoring

Limited Knowledge of impacts on physical environment due to sub-project intervention and mitigation steps. Coordinate with consultants in the preparation of EMP. Incorporating EMP and associated costs in the bid document. Monitor the contractors in the implementation of EMP.

�Training on “development and impact on land, air and water environment”

�Contracting environmental monitoring including preparation of bid documents with EMP costs.

�Developing task forces for monitoring/ management with communities / ULB staff.

�Best practice study tours Target group: Contractors, ULB staff, NGOs, Community

Public consultations CMAPP process Consultations with environmental angle, grievance redressal, bringing people suggestions in to design and implementation of sub-project

�Training in environmental issues and problems in connection with developmental interventions.

Target group: ULB staff, NGOs, Community

2.2.4 OUTSOURCING AS A MEANS OF CAPACITY BUILDING 2.22 The tasks that the ULB may find difficult to handle currently, either because of lack of human resource and/or limited technical know-how or for efficiency reasons, may be outsourced to environmental consultants, contractors, surveyors, NGOs, community groups as and when required. Over a period of time, the ULB may implement some of


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the outsourced tasks on its own, as it builds its own resources and technology. The following tasks can be outsourced. • Collection of data necessary for environmental screening and assessment: For

huge investments, intervening with vast area, where the existing ULB staff is not enough, the procurement of information required for environmental assessment and management may be outsourced to professional NGOs / Consultants / surveyors that is.

• Detailed environmental assessment of sub-project investments: The ULBs do not

have the required capacities and technical know how for undertaking detailed environmental assessment of sub-project investments. Hence, the EA/EB categorized sub-projects may be given to professional environmental consultants for the environmental assessment.

• Involving the communities/NGO’s in monitoring the investments: At the sub-project

investment level, the day-to-day monitoring may be devolved to the communities by forming task forces. They would report to the municipality any discrepancy by the contractor in sub-project construction. The progress of the sub-project and the duties of the contractor may be displayed at the sub-project site and disclosed to the public.


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INFORMATION AND CONSULTATION STRATEGY 3.1 The Information and Consultation Strategy (ICS) is intended to lay out the way in which information will be provided to the project implementers and beneficiaries and also how consultations will be held during project implementation. Its purpose is to ensure social and environmental issues are effectively addressed by the project and sub-projects through a transparent and participatory manner. 3.2 The primary responsibility for the implementation of the ICS is vested in the ULBs. The following matrix shows a typical plan for provision of information and consultations for sub-projects in this urban project. 3.1 SOCIAL SECTION Stages of a sub-project Consultation and Information steps

Pre-sub-project planning stage

STEP – 1: Proposal and Feasibility (Information Role)

Once a sub-project is identified the PIU should undertake a study determining the feasibility of the sub-project in view of the adverse social impacts it may pose. This study is an important source of information to the ULBs and also to the community for whom the sub-project has been proposed. The feasibility study should address the following: ¾�Are the proposed goals of the sub-project valid ¾�Who is the public for whose benefit the sub-project is being introduced ¾�How is the sub-project going to serve them and is it in their interests ¾�The alternatives to the sub-project and whether the alternatives are cost affective ¾�Will there be any adverse social impacts due to the implementation of the sub-project ¾�What would be the implementation strategy of the sub-project etc.

Pre-sub-project planning stage

STEP – 2: Initial Public Consultation (Consultation Role)

The sub-project feasibility, its benefits and impacts need to be discussed with the community for whom the sub-project is proposed. This would help the implementing agency in taking the opinion of people, make them understand the pros and cons of the sub-project, alternatives examined and the sub-project finalized.

Planning and grounding stage

STEP – 3: Socio Economic Assessment/Analysis (Information and Consultation Roles)

In this stage it is important to ensure that there are no adverse social impacts of the sub-project. The sub-project may be passed if it has no impacts and implementation can be initiated. However, if the sub-project triggers any social impacts then the following steps are to be considered while planning the sub-project. ¾�Identification of the PAPs through census survey ¾�Collection and analysis of the baseline data ¾�Preparation of Resettlement Action Plan ¾�Preparation of Tribal Development Plan in case the sub-project effects tribal communities ¾�Land Acquisition Assessment ¾�Generation of other relevant information and ¾�Consultation and communication strategy Task – 1: Identification of PAPs – Title holders and non-title holders (Information Role) ¾�Verification of project records: Review of available records on the sub-project area to

generate any information on the sub-project and the PAPs affected by it so that the information can be made use of in conducting the census survey.

¾�Census survey/Enumeration: It is the most exhaustive method of generating the data on the PAPs as it covers all the affected persons in the sub-project area. The survey must be undertaken to collect two types of information, firstly, the extent and type of physical and financial loss to the PAPs in terms of loss of structure, land, source of livelihood, etc., and secondly, the socio-economic profile of the families/ individuals affected by the project.

¾�Verification of records of right and land records: The records of rights maintained by the revenue department are the primary land records and they need to be consulted to determine the ownership, size of land and type of soil and utilization pattern of the land.

¾�Verification of electoral and public utility records: Other than the titleholders there are also various other sections of the society that may be encountered in the implementation f j t like the squatter and encroachers. To identify these groups it is important to

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Stages of a sub-project Consultation and Information steps


of a project like the squatter and encroachers. To identify these groups it is important to verify public records such as ration cards, electoral records, electricity bills etc., to assess the tenure of stay and ownership of the structure in the project area.

Task – 2: Identification of PAPs (Consultation Role) ¾�Loss of access to community infrastructure, loss of public utility lines and problems with

host population etc need to be identified. To address these issues consultations with people in the sub-project area will help.

¾�Public consultations can be very useful but to achieve greater success the ULBs can use various participatory methods like public/locality meetings transect walks and observations, social and resource mapping, focus group discussions and in-depth interviews etc.

¾�The consultations on the sub-project should also concentrate to include the problems of the vulnerable sections of the society like SCs. STs and women. FGDs with these vulnerable groups, separately, allow free discussion, interest and opinion sharing.

Task – 3: Generation of other information needed (Information Role) Along with the verification and identification of the PAPs the ULBs have to undertake various other assessment to address all possible social and R&R issues in a sub-project. Other information in a sub-project includes: ¾�Land Acquisition Screening: The LA screening addresses information issues like

quantity of land required, location of the land required, use of land required and determining the necessity for LA. This information can be generated through the planning documents prepared for the sub-project including the engineering designs and maps. Field verification is also very important to generate this information.

¾�Land Acquisition Assessment: Through the LA assessment information pertaining to legal process for LA, timing of the LA, present land use patterns, estimated number of PAFs affected, tenural status of present users, presence of squatters and encroachers, presence of public utility services, cultural and historical sites etc., has to be generated. This information can be generated by a review of the project planning documents, LA Act and regulatory procedures, information maintained by the ULBs, secondary data like government statistics, social and demographic research and field survey.

¾�Institutional capacity: The institutional capacity assessment will list the tasks as to which administrative entities are to be involved in LA, which personnel are responsible for the preparation and implementation of the SMP, which office will manage the information management issues etc.

¾�Socio-economic analysis: The socio-economic assessment and impacts of the sub-project can be indicated by the LA assessment and the census survey/enumeration. However the censes survey of the PAPs and inventory of assets to be acquired is important. Information and plans and strategies should be planned to address issues like minimization of displacement, designing of resettlement and rehabilitation measures, enlistment of PAPs, entitlements for the socially vulnerable, adjustment to host communities etc. LA assessments, plans, maps, other secondary sources, field observation, household surveys, FGDs and information generated through participation can be used to prepare this information database.

¾�Social Management Plan/Tribal Development Plan: Based on the above analysis the task of preparing the SMP/TDP should be undertaken accordingly for implementation.


STEP – 4: Detailed Project Report (Information Role)

Initial consultations, feasibility and socio-economic assessments on the sub-project will pave the way for the preparation of the Detailed Project Report (DPR). The DPR should constitute information on various components for successful sub-project implementation. The DPR will constitute: ¾�A final design of the proposed sub-project after examining the various alternatives to

reduce the social impact on the people ¾�The cost of the sub-project construction ¾�The time frame the completion of the sub-project ¾�The institutional arrangements for implementing the sub-project ¾�Plans and proposals covering R&R issues ¾�Design to ensure community participation in the sub-project (Beneficiaries, PAPs, NGOs,

community organizations) ¾�Plan for external help wherever needed (Experts, Advisors, Consultants) ¾�Grievance redressal mechanisms


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Stages of a sub-project Consultation and Information steps


STEP – 5: Preparing for project implementation and sharing information (Information and Consultation Role)

Once all the documents like prepared list of PAPS affected, the type of entitlements, plans for reconstruction of public utility infrastructures, details of land acquisition etc., steps have to be taken to disseminate the information among the PAPs and prepare agencies for project implementation. Task – 1: Announcement of the project (Information role) Before starting the project and plans for addressing the R&R issues, one of the foremost requirements is to announce the commencement of the project to the public and particularly to the affected people through the daily newspaper or through local radio or television. This is to make the people aware of the coming of the project. Task – 2: Displaying the layout of the project affected area (Information role) A layout map of the project indicating the affected area to be acquired has to be displayed publicly. The functionaries of the implementing agency can also make special visits to the project area and inform the people about the requirements of the projects and its impact on the people. Task – 3: R&R policy provisions and entitlements for the PAPs (Information role) Dissemination of information on the entitlement provisions for the losses can be undertaken by distributing leaflets incorporating the highlights of the provisions of the policy, and the benefits that will accrue to the people after the completion of the sub-project. If need be, the pamphlets may be printed in the local language and distributed. Task – 4: Consultations with the affected people and public hearing (Consultation Role) Before land acquisition and construction activity related to the sub-project, project implementation authorities need to organize consultations with the PAPs. These consultations would provide an opportunity to the people to interact with the project-implementing agency with regard to the various arrangements and help in coming to a consensus on the project arrangements. This would also help the project-implementing agency to make final changes in the plans, if required, and verify the details pertaining to the PAPs and land acquisition. Task – 5: Involving NGOs/community in R&R implementation (Consultation role) It is important to identify at an early stage, an NGO who has been working in that area for some time. The NGO can facilitate discussions with the affected people. The NGO will act as a catalyst in helping the affected people to resettle and rehabilitate themselves. In addition, it will lend transparency in the process of implementation of social safeguard measures by the PIA. The Environmental and Social Management Committee (ESMC) comprising of officials of the project implementing agency, other line departments and community/NGO representatives would be formed to supervise the R&R implementation. This committee can also undertake negotiations with the people at various stages of the implementation of the project.

Implementation stage

STEP – 6: Addressing issues that arise during implementation (Consultation Role)

As observed in the previous there may be many issues that the project-implementing agency may face during the implementation of the project such as: ¾�Problems pertaining to compensations & allowances ¾�Unexpected reactions from the PAPs with regard to the entitlements ¾�Conflicts between the displaced community and the host community etc. To overcome these problems the PIA would adopt a consensual approach and address the grievances and queries of the people affected.

Monitoring and evaluation stage

STEP – 9: Monitoring Process through participation (Information and consultation Roles)

The process of participatory monitoring and evaluation (M&E) is the logical extension of the ICS activities. Beneficiary committees can be formed for monitoring and supervision of the sub-project works. The process should also ensure that the project benefits have properly reached the affected people and the execution of the project sticks its original designs so that social compliance is achieved. Task – 1: Ensuring the implementation of the SMP/TDP and timely delivery of entitlements (Consultation Role) Ensuring that the SMP/TDP is implemented according to a designed plan and also the timely delivery of the compensations and rehabilitation assistance to the PAPs is the responsibility of the PIA. The role of an NGO can be very crucial at this stage.


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Stages of a sub-project Consultation and Information steps Task – 2: Reporting (Information Role) Reporting is an important aspect of the M&E process. Periodical reporting is important to generate information on the progress of the work undertaken. The status of the implementation of the SMP/TDP and progress has to be documented. Some thematic impact studies can also be planned and carried out on different aspects of rehabilitation in the project area carried out on different aspects of rehabilitation on a periodical basis. These aspects have to be indicated in the SMP since it will be a perspective plan document for the duration of project implementation. The information required for monitoring need to have the following characteristics: ¾�Timely reporting ¾�Relevant information provision (For example in a construction project, when the activity of

site clearance is behind schedule, the reporting system is to be able to help probe into the reasons for such delay)

¾�Reliable and realistic information ¾�Format oriented reporting

3.2 ENVIRONMENTAL SECTION

Stages of a project Consultation and Information steps

Identification and Design

STEP 1: proposal and feasibility (Information and consultation)

A new sub-project may be proposed in different ways viz. public demand, Government’s proposal, public representatives like chairperson, M.L.A. or M.P. A specific sub project may have financial or social benefits but may have adverse environmental impacts. CMAPP process shall be employed in the identification of sub-project investments for the town (participatory mechanisms and public consultations). It should be ensured that the environmental issues are also considered in the identification and prioritization of the sub-project investments along with social, financial, infrastructural and local issues. The PIA should procure the sub-project related information inclusive of the environmental issues, from primary and secondary sources, consultations, etc. A rapid appraisal for feasibility of the sub-project is necessary at this stage. The following information should be included for the feasibility, identification and prioritization of sub-projects, as part of the CMAPP process. ¾�Origin and purpose of the sub-project – urgency, needs addressed, background information

of the sub-project. ¾�Existing environmental scenario and anticipated change (positive and negative) in both the

situations (with and with out investment). ¾�Beneficiaries and the benefits Vs environmental impacts ¾�Analysis of alternatives i.e. possible alternative investments to address the identified needs

and problems.

Identification and Design

STEP 2: Initial public consultation (Information)

Any sub-project that has been identified is to be put forth for public consultation. This would help the ULBs to obtain people’s perception. This would also help the ULB gain public cooperation and participation during the implementation of the sub-project.

Planning and Grounding

STEP – 3: Environmental Screening

At this stage, it is very important that the sub-projects are screened for environmental categorization. All the sub-projects that are categorized as environmentally sensitive should under go detailed (category EA) or limited (category EB) environmental assessment, depending on the categorization.


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STEP – 4: Environmental Assessment (Information and Consultation)

For the assessment of sub-projects as specified above, the ULB may employ professional consultants to undertake detailed environmental assessments. Task 1: Review of the feasibility report (Information) To start with, it is necessary to provide consultants with the rapid appraisal information prepared by the concerned authorities as given in “Step – 1”. Task 2: Procurement of Baseline Data (Information) The sub projects that have to go through environmental assessment should have baseline data of various parameters listed below. ¾�Ambient Air Quality: Air quality data pertaining to the possible impact area at critical

locations of sub project intervention impact area. ¾�Water quality: Present water quality in the lakes/ponds/rivers that fall within the possible

impact area due to the sub project intervention. ¾�Ground water table: If there is a possibility of impact on the ground water table / ground

water quality due to the sub-project intervention ¾�Topography: The topographical details of the sub-project location; present flooding

patterns and soil conditions. ¾�Flora and Fauna: the endangered species, trees, green cover that may be affected. The

forest department can be consulted for the list of endangered flora and fauna along the sub-project alignment.

¾�Presence of environmentally sensitive sites/structures: presence of any cultural structure, site, urban reserve forest area, and location falling under CRZ, natural and tribal habitats in the sub-project intervention area.

¾�Existing Infrastructural facilities: existing infrastructural facilities that would be affected by various sub projects.

¾�Physical Survey & Environmental Mapping : Physical survey and mapping of sub-project alignment area should include demarcated flora, vegetation, water bodies, infrastructural facilities, environmentally sensitive structures along with other structures and features in the intervention area.

Task 3: Sub-project specific consultations (Consultation) Focus group discussions, consultation with PAPs, NGOs and/or community organisations should be conducted during environmental assessment to: ¾�Consider their views and representations during the assessment process. ¾�Identify alternatives for assessment, as may be required. ¾�Identify sub-project specific community teams and formulate management and monitoring

plans involving the communities, as may be required.


STEP – 5: Detailed Sub-project Report (Information)

Initial consultations and the assessment report on the sub-project will pave the way for the preparation of the Detailed sub-Project Report (DPR). The detailed sub-project report will have plans, recommendations of the assessment (assessment NA for “EC” sub projects), and various other components that are needed to implement the sub-project successfully. The DPR will constitute: ¾�A final design of the proposed sub-project including the recommendations. (as per the

assessment wherever applicable) ¾�The time frame within which the sub-project will be completed. ¾�The institutional and capacity arrangements for the implementation of the sub-project. ¾�The involvement of experts, advisors and external agencies wherever necessary in the sub-

project to achieve compliance with the environmental goals of the sub project. ¾�Grievance redress mechanisms for the sub-project investment ¾�Environmental management and monitoring plans inclusive of EMP costs.


STEP – 6: Information Disclosure and Public Consultations (Information and Consultation)

The final draft of the detailed sub-project report of each of the investments shall be disclosed to the public including the recommendations during public consultations. The DPR shall be made available to the public at a suitable place. The number of intermediary consultations depends on the duration and type of the sub-project. The consultations shall be done with the community to assess the quality of the construction and any other critical information related with the investment. Information in connection with environmental monitoring may be procured from time to time.


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Sub Project Implementation

STEP - 7: Intermediary Public Consultations (consultations)

The number of intermediary consultations depends on the duration and type of the sub-project. The consultations may be done with the community to assess the quality of the construction and any other critical information related with the investment. Information in connection with environmental monitoring may be procured from time to time.


STEP – 8: Display and Disclosure of Information (Information)

The periodic progress of the sub-project investment at each stage should be displayed at the construction sites. It should consist of the following parameters ¾�Number of complaints received and addressed ¾�Finance spent and progress ¾�Estimated time for completion


STEP – 9: Grievance Redress (Consultation)

The S&E Officer and the ESMC (Environmental and Social Management Unit) shall try to redress grievances of people during the sub-project implementation. They should accept the complaints from the sub project affected area through phone call or in writing, and take necessary action.

Monitoring and Evaluation

Step 10: Monitoring of Baseline Information (Information)

The monitoring process should ensure the proper implementation of the EMP. Periodical monitoring of change in air quality, water quality, soil erosion etc. that may occur due to sub-project intervention. This is useful to take up timely measures to reduce the adverse impacts. The frequency of monitoring may be as per the guidelines given in the assessment report of the sub project.

Operation and maintenance

Step – 11: consultations for sub-project maintenance (consultation)

Consultations with the public to form community task forces for the sub-project operation and maintenance should be conducted for the sustainability of the sub-project investment.


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SOCIAL AND ENVIRONMENTAL SUB–PROJECT CATEGORIZATION AND SCREENING

4.1 Screening and categorization of the sub-projects in the urban sector will be based on the likely impacts on social and environmental safeguards. 4.1 SELECTION OF THE SUB-PROJECTS

4.2 Under the APUS Project that is being implemented in 43 Class – I municipalities in AP, Critical Infrastructure Investment Plans (CIIP) are being prepared on the basis of the CMAPP process. The CIIP for each individual municipality (so far 19 CIIPs prepared) identifies the infrastructure requirements and details the prioritized preliminary sub-project proposals. This CMAPP process is being extended to all municipalities in AP. 4.3 The sub-projects identified by CIIP would cover citywide infrastructure, slum development and localized projects, identified by the municipalities in consultation with the communities and other stakeholders. 4.2 SCREENING OF SUB-PROJECTS

4.4 To ensure that the sub-projects are socially and environmentally sound, a screening methodology has been devised to identify the nature of impact. 4.2.1 SOCIAL SCREENING AND CATEGORIZATION

4.5 Social screening of a sub-project would be on the basis of whether it involves Project Affected Persons and/or tribal people. This information whether a sub-project involves PAPs or tribals can be ascertained based on the information collected through the socio-economic survey, verification of assets and losses and consultations with the community. Thus, sub-projects can be categorized into the following categories:

Î Sub-projects with adverse social impacts: A sub-project is considered as having adverse social impacts when there are person/persons or families affected/displaced due to loss of land, structures and assets, crops or trees, livelihood and/or community infrastructure or if there any tribal people who are affected by the intervention. In case where people are adversely affected, a Social Management Plan (SMP) would be required to be prepared. In case of indigenous groups being affected, a Tribal Development Plan (TDP) would be prepared. Steps for resettling and rehabilitating them would be undertaken or followed according to the provisions in the Urban Social Safeguard Framework (USSF).

Î Sub-project with minimal/no adverse social impacts: A sub-project will be

considered as having minimal/no adverse social impacts when there are no person/persons, families/tribal groups affected by it. However, it is important that

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such sub-projects are reviewed to ensure that they comply with equity, gender sensitivity, transparency and participation.

4.6 The possible adverse social impacts could be through:

Loss of land Loss of structures & immovable property Loss of livelihood Loss of crops and trees Loss of public utility lines/community infrastructure

4.7 It is important to consider losses to vulnerable sections of society and thus, special provisions must be put in place to mitigate such losses. 4.2.2 ENVIRONMENTAL SCREENING AND CATEGORIZATION

4.8 Based on the severity of the impacts due to the sub-projects on the people, the sub-projects can be divided into three main categories. 4.2.2.1 CATEGORY – EA SUB-PROJECTS

Î A sub-project is classified as Category – EA if it is likely to have significant adverse social and/or environmental impacts that are sensitive, diverse or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works. For a Category EA sub-project, a detailed environmental assessment along with an environmental management plan is necessary. This should examine the projects potential negative and positive environmental impacts, compare them with those of feasible alternatives (including the “without project” situation), and recommend any measures needed to prevent, minimize, mitigate or compensate for adverse impacts.1

4.2.2.2 CATEGORY – EB SUB-PROJECTS

Î A proposed sub-project would be classified as category – EB if it is likely to have potential adverse environmental impacts on human populations but such impacts are less adverse than those that fall under the Category – EA. These impacts are site specific; few if any of them are irreversible; and in most cases mitigatory measures can be designed more readily than for a category – EA projects.

1 Sub projects irrespective of their type, scale or any other parameter that are falling in locations or areas specific to natural habitats, tribal habitations, cultural sites, heritage constructions, religious monuments, coastal regulation zones, urban forestry or reserved forests shall undergo detailed environmental assessment.


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For sub-projects falling in the Category – EB, an environmental status report along with an Environmental Management Plan will have to be prepared. Like in the sub-projects falling in Category – EA, the potential negative and positive environmental impacts for the projects under Category – EB will have to be identified and measures needed to prevent, minimize, mitigate or compensate for adverse impacts should be examined.

4.2.2.3 CATEGORY – C SUB-PROJECTS

Î A proposed sub-project is classified as category – EC if it is likely to have minimal or no adverse social and/or environmental impacts. Beyond screening no further action is required for a Category – EC project.

4.9 A detailed list of potential sub-projects categorized into A, B, or C categories are provided in Annexure - III. The categorization of sub-projects as A, B, or C for this project was done on the basis of: ¾ Score given by the experts derived from Gujarat Urban Reforms project report

(modified Delphi Technique). ¾ Discussions with Municipal authorities, Urban and Environmental experts, and other

stakeholders. 4.10 However, irrespective of the categorization of the sub-project, if the investment falls in an environmentally sensitive location, a detailed assessment would be done for the sub-project. Such locations include:

Î Tribal habitats Î Natural habitats Î Coastal regulation zones Î Cultural sites/monuments/heritage structures Î Urban forestry/reserved forest

A list of environmentally sensitive locations is given in Annexure – V.


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SOCIAL AND ENVIRONMENTAL MANAGEMENT AND MONITORING PLANS

5.1 Monitoring and management of the sub-projects will be at two levels. The CDMA, through its Municipal Strengthening Unit (MSU), would be responsible for overall management and monitoring of different sub-projects across municipalities while the concerned ULB will undertake management and monitoring of individual sub-projects at the local level. 5.2 At the ULB level, the implementation, management and monitoring of the sub-projects will be under the control of the Municipal Commissioner. Field activity and implementation of the infrastructure works will be managed by the Municipal Engineer who would be assisted by a senior officer designated as the Social & environmental Officer. Since the Town Planning Wing and the Revenue Wing of the ULB are more acquainted with Land Acquisition and revenue issues, they would assist the S&E Officer (preferably Deputy Engineer level personnel) to manage and monitor the social tasks. Similarly the Medical and Health Officer in the ULB could take assist the S&E Officer to manage and monitor the environmental tasks. In this way all these wings within the ULB can share the work and also be in contact with the Engineering Wing that would be planning all the infrastructural projects in the municipalities. 5.1 SOCIAL SECTION

5.3 An important component of project management is monitoring of project implementation. Monitoring of sub-projects would ensure completion of sub-projects as per schedule and within the resources provided. Regular information on sub-project implementation through monitoring will be crucial in addressing social issues in time and redressing the grievances of people. 5.4 The social management plan has been prepared based on the potential adverse social impacts due to sub-projects. The detailed social management plan is annexed as Annexure – VI. This includes:

Î Potential social impacts Î Mitigation and other measures Î Monitoring strategy and contingency measures Î Agencies to be involved for the respective tasks

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5.1.1 SOCIAL MONITORING PLAN

5.5 In addition, a detailed social monitoring plan has been prepared based on social tasks involved at different stages of the sub-project cycle. This is given below: Social Monitoring Plan Stages of the Project

Social Task Monitoring and Management Activity Monitoring Agency

Support Institutions

Identification

Sub-project Identification through the CMAPP process.

¾�Through the CMAPP Process is participatory in nature, care should be taken that the community, especially the vulnerable groups are represented properly.

¾�The ULB officials should inform the community with regard to the specific sub-projects interventions in the sub-project locations.

¾�Municipal Councilors should be involved in the task of identification of sub-projects in specific wards/areas

¾�Local NGOs, community organizations, women’s groups, etc., can also be involved in this task.

All the wings of ULB and MC

Community, NGOs, CBOs, Councilors

Identification

Collection of information required for identification of social impacts

¾�Since the sub-projects have to be screened, the S&E Officer along with the support staff from the town Planning wing can collect the information for identification of social impacts.

¾�For identifying the land related issues the help of the Revenue Department can be taken and the S&E Officer will coordinate this activity.

ULB, (Town Planning, Revenue and Engineering Wings)

Revenue Department, NGO and Councilors, External Consultants

Sub-project Finalization

Compliance with Social Safeguards

¾�The S&E officer, along with the ESMC, will ensure that appropriate social safeguards have been incorporated into the sub-project.

ULB, MSU

Town Planning wing (ULB) Revenue Wing (ULB)


Preparation of a detailed sub-project proposal and compliance with Social Safeguards

¾�The Engineering wing of the ULB will prepare the Detailed Project Report. This would be done with the support from PHED, DTCP, UDA and other external institutions, if required.

¾�The S&E officer, along with the ESMC, will ensure that appropriate social safeguards have been incorporated into the sub-project and that positive benefits accrue to the vulnerable sections.

¾�Projects submitted to APUIF must be vetted by the MSU at CDMA office for social compliance. It will also ensure components like equity; transparency and participation are well covered in the sub-project implementation before giving clearance.

¾�The MSU/APUIF will appraise the proposals and ensure that proper measures are planned to mitigate social impacts.

ULB, MSU

PHED, DTCP, UDA External Institutions, External Consultants


Preparation of ICS for social issues to be addressed

¾�The consultation strategy should be planned from the inception of the project along with the various stakeholders in the sub-project. This task should be primarily undertaken by the S&E Officer with the help of the Municipal Councilors, Town Planning Wing and Revenue wing of the ULB. Regular consultations should

ULB and all its wings

NGOs, CBOs, SHGs, Councilors, others


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be planned at different phases of the sub-project.

¾�The community should be made to act as active partners in the implementation, management and monitoring of the sub-project. This task can be undertaken by the NGO or through the existing insti-tutional network created under APUSP.


Social assessment for sub-projects including socio-economic survey, identification of PAPs and SMPs and TDPs wherever necessary.

¾�A detailed social assessment may be undertaken for socially sensitive sub-projects. Wherever necessary the ULB needs to undertake the socio-economic surveys, identification of PAPs, preparation of SMP, etc. The primary responsibility to monitor these studies will be vested with the S&E Officer. The ME will monitor the progress of the activities of the S&E Officer.

ULB and all its wings

NGO, External Consultants


Land Acquisition screening and assessment

¾�The S&E Officer will primarily undertake the activity of LA assessment with the help of the TPO and his wing. The assessment details may be provided to the engineering wing of the ULB for the scrutiny of the ME.

¾�Revenue Department would be responsible for acquisition. The Municipal Commissioner with the help of the S&E Officer can undertake the activity of coordinating between the ULB and the RD.

ULB, Town Planning Wing

Revenue Department


Initial consultations with the PAPs and Beneficiaries

¾�The initial consultations with the community need to be undertaken by the S&E Officer and his support staff with the help of the Municipal Councilors to ensure that the people are informed about the sub-project, possible social impacts and mitigation measures planned.

ULB SHGs, CBOs, NGOs, Councilors


Prepare Institutional capacities to implement mitigation measures, monitor social and environmental components and establish Grievance Redressal Mechanisms

¾�The delegation of responsibilities according to the availability and need has to be prepared for every sub-project. The commissioner can play the role of a facilitator between the various wings of the ULB and, thus, may undertake this task of coordination of work and delegation of duties.

¾�The grievance redressal arrangements at the ULB level would consist of the complaint cell, S&E Officer and ESMC. Appropriate mechanisms must be put in place to monitor the redressal of grievances by the concerned authorities.

Commissioner,. Complaint Cell, ESMC, all wings of the ULB

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Implementation and Execution

Provision of entitlements to the PAPs and mitigate other social impacts

¾�The S&E officer will play the role of Chief field officer and monitor the provision of entitlements to the PAPs if any.

¾�The S&E officer can also take the help of a professional NGO in this activity.

¾�The S&E officer will also be responsible for redressing the grievances of the people.

¾�The help of the Revenue Department is very much necessary for timely acquisition of land and provision of entitlements

ULB Revenue Department, NGOs

Implementation Information ¾�Regular consultations during the project S&E officer, Contractor


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and Execution dissemination and consultation with the PAPs and beneficiaries on the implementation of the sub-project

implementation can be undertaken by the S&E officer with his support staff.

E1038 Public Disclosure Authorized V8 - World Bank...¾ The Andhra Pradesh Urban Areas (Development)...

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Transcript of E1038 Public Disclosure Authorized V8 - World Bank...¾ The Andhra Pradesh Urban Areas (Development)...