UTTAR PRADESH STATE ROADS PROJECT Under … WORKS DEPARTMENT Government of Uttar Pradesh, India...

PUBLIC WORKS DEPARTMENT Government of Uttar Pradesh, India

UTTAR PRADESH STATE ROADS PROJECT Under IBRD Loan No. 4684-IN

Technical Assistance for Implementation of Institutional Reforms in the Road Sector of Uttar Pradesh

SUGGESTIONS FOR IMPLEMENTING ENVIRONMENTAL AND SOCIAL MANAGEMENT (E&SM) POLICY,

PROCESSES, AND TRAINING (FINAL)

Report No. 20

May 2007

LEA International Ltd., Canada in joint venture with

LEA Associates South Asia Pvt. Ltd., India in association with

Ministry of Transportation of Ontario, Canada

Technical Assistance for Implementation of Institutional Reforms in Road Sector of Uttar Pradesh Report No. 20

May 2007 i

TABLE OF CONTENT

1. REASONS / NEEDS FOR AN ESDU IN PWD .................................................................. 1

2. CURRENT INSTITUTIONAL PRACTICES........................................................................ 2

2.1 ENVIRONMENT AND SOCIAL DEVELOPMENT UNIT (ESDU) AT PWD FOR UP SRP – PHASE II WB PROJECT ...................................................................... 2

2.2 ENVIRONMENT AND SOCIAL DEVELOPMENT UNIT (ESDU) AT NHAI ............ 3

2.3 ENVIRONMENT SOCIAL DEVELOPMENT AND RESETTLEMENT CELL (ESDRC) AT PRBDB ............................................................................................. 3

3. CONSTRAINTS AND UNCERTAINTIES OF THE EXISTING ESDU IN UP PWD – WORLD BANK PROJECTS.............................................................................................. 5

4. NEED FOR STRENGTHENING ESDU AS A LEAD UNIT IN PWD.................................. 6

5. PROPOSED ESDU FUNCTIONS, STRUCTURE AND RESOURCES ............................. 7

5.1 FUNCTIONS OF ESDU.......................................................................................... 7

5.2 ESDU IN PWD HEAD QUARTERS........................................................................ 8

5.3 PROPOSED STRUCTURE AT ZONAL LEVEL ................................................... 11

6. PROPOSED STAFFING SKILLS AND QUALIFICATIONS............................................ 13

7. TRAINING ........................................................................................................................ 16

7.1 TRAINING MODULES ......................................................................................... 16

8. POSSIBLE ACTION PLAN ............................................................................................. 25

9. PRESENTATION TO STEERING COMMITTEE ............................................................. 26

LIST OF TABLE TABLE 1 : REQUIRED QUALIFICATIONS AND SKILLS............................................................ 13

TABLE 2 : TRAINING MODULES (ENVIRONMENT).................................................................. 17

TABLE 3 : TRAINING MODULES (SOCIAL) ............................................................................... 22

LIST OF FIGURES FIGURE 1: EXISTING STRUCTURE OF ESDU AT PWD............................................................. 2

FIGURE 2 : PROPOSED (REVISED) STRUCTURE OF ESDU AT PWD................................... 11

FIGURE 3 : ENVIRONMENT AND SOCIAL MANAGEMENT UNIT AT ZONAL LEVEL ............. 12


May 2007 ii

ANNEXURES Annexure A : Review of R&R Policy

Annexure B : Review of RAP Reports

Annexure C : R&R Policy: A Critique

Annexure D : UP R&R Policy: An Addendum

Annexure E : Major Environmental Impacts

Annexure F : Environmental Management Measures

Annexure G : Best Practices

Annexure H : Applicability of Acts and Clearances

Annexure I : Minutes of the Meeting

Annexure J : List of Zones, Circles and Divisions

Annexure K : Procedural Delays in Land Acquisition

Annexure L : Construction Site: Guidelines

Annexure M : Debris Disposal: Guidelines

Annexure N : Borrow Areas: Guidelines

Annexure O : Quarry Management

Annexure P : Noise Mitigation

Annexure Q : Traffic Control and Safety

Annexure R : Environmental Reporting System

Glossary

ADB Asian Development Bank MDR Major District Roads

ADT Average Daily Traffic MLA Member of Legislative Assembly

AE Assistant Engineer MIS Management Information System

BOOT Build Own Operate Transfer MOST Ministry of Surface Transport

BOT Build Operate Transfer MoSRTH Ministry of Shipping, Road Transport & Highways

CBO Community Based Organisation MoRTH Ministry of Road Transport and Highways

CBR California Bearing Ratio MoEF Ministry of Environment and Forest

CE Chief Engineer M&E Monitoring and Evaluation

CEO Chief Executive Officer MIS Management Information System

CRF Central Road Fund MSS Mixed Seal Surface

CRRI Central Road Research Institute NABARD National Bank of Agricultural and Rural Development

CSR Civil Service Reforms NITHE National Institute for Training of Highway Engineers

DAO Divisional Account Officer NH National Highway

DASP Diversified Agriculture Support Program NHAI National Highway Authority of India

DBC Dense Bitumen Concrete NOIDA New Okhla Industrial Development Authority

DPR Detailed Project Report ODR Other District Road

DRDA District Rural Development Authority O&M Operation and Maintenance

EA Environmental Assessment PAC Public Accounts Committee

EC Executive Committee PCC Project Coordinating Consultant

EE Executive Engineer PCI Pavement Condition Index

E-in-C Engineer in Chief PCU Passenger Car – equivalent Unit

EMP Environment Management Plan PICUP Pradeshya Industrial & Investment Corporation of UP

EP Entitled Person PMS Pavement Management System

E&SM Environment and Social Management PPP Public Private Partnership

GNP Gross National Product PRI Panchayat Raj Institution

GO Government Order PSP Private Sector Participation

GOI Government of India PWD Publics Works Department

GoUP Government of Uttar Pradesh RAP Resettlement Action Plan

GSDP Gross State Domestic Product RES Rural Engineering Services

HDM Highway Design Model RIDF Rural Infrastructure Development Fund

HGV Heavy Goods Vehicle RMMS Road Maintenance Management System

HIV Human Immunodeficiency Virus RSPEU Road Safety Planning and Engineering Unit

HQ Head Quarter RSC Road Safety Cell

HR Human Resource R&R Resettlement and Rehabilitation

HRD Human Resource Development SDBC Semi Denise Bitumen Carpet

HRM Human Resource Management SE Superintending Engineer

IBRD International Bank for Reconstruction and Development SH State Highway

IDS Institutional Development Strategy SHA State Highway Authority

IDSP Institutional Development And Strengthening Plan SPV Special Purpose Vehicle

IRC Indian Road Congress SRF State Road Fund

IT Information Technology SRP-II State Road Project-II

ISAP Institutional Strengthening Action Plan SRP State Road Project

ILO International Labour Organisation SIA Social Impact Assessment

JE Junior Engineer TA Technical Assistance

ToR Terms of Reference

UP Uttar Pradesh

UPRNN Uttar Pradesh Rajkiya Nirman Nigam

UPSBC Uttar Pradesh State Bridge Corporation

UPSIDC Uttar Pradesh State Industrial Development Corporation

UPSRTC Uttar Pradesh State Road Transport Corporation

UPSRP Uttar Pradesh State Road Project

UPSHA Uttar Pradesh State Highway Authority

UNDP United Nations Development Programme

VOC Vehicle Operating Cost

VR Village Roads

WB World Bank

WBM Water Bound Macadam


May 2007 1

1. REASONS / NEEDS FOR AN ESDU IN PWD

An Environment and Social Development Unit (ESDU) needs to be established as a permanent body in the organisation structure of the PWD. The reasons are:

(i) IDSP Study recommends enhancement of project level integration of Environmental and Social Management requirements, implementation of PWD ‘lead unit’ for Environment and Social management policy, processes and training [IDSP Recommendation No. 4D].

(ii) There is a requirement to implement Government and State Policies to increase awareness on environmental and social problems in local development works and to obtain permits and approvals under a range of legislation and management of state level and policies relating to UP road development work. A brief review of relevant Acts and Policy Guidelines, an appraisal of RAP and EMP reports and a detailed account of best practices to be adopted in environment and social management processes are given in Annexure A, B, C, D, E, F and G. It is felt that strengthening of existing organisation is necessary, with broad spectrum of tasks, in planning, design and construction stages.

(iii) UP Road Sector requires the services of an ESDU for advice in construction and maintenance of roads and various road related activities, laws and regulations applicable, social and economic development of PAPs, environmental enhancement and mitigation measures.

(iv) It is necessary that PWD take into account the environmental and social issues as part of their own decision-making processes. This includes both technical and economic feasibility studies and analyses in order to incorporate environmental and social development requirements as an integral part of PWD operations.

(v) The World Bank underlines the need to develop ESDU at PWD as a fullfledged environment and social management body responsible for effective implementation of Environment Management Plans and Resettlement Action Plans [World Aide Memoir, April 2006].

A temporary Environment and Social Development Unit was established in UP PWD as part of the World Bank funded State Road Project vide Government Order dated 27.07.2003. There are several such examples where similar units exist in India. Further details are given in Section 2 of this Report.


May 2007 2

2. CURRENT INSTITUTIONAL PRACTICES

2.1 ENVIRONMENT AND SOCIAL DEVELOPMENT UNIT (ESDU) AT PWD FOR UP SRP – PHASE II WB PROJECT

The Environment and Social Development Unit established at UP PWD for UP SRP II deals with Environmental and Social issues. An Executive Engineer is the Head of ESDU who in turn reports to the Chief Engineer (World Bank) for implementing EMP and RAP.

The existing organization structure of ESDU is depicted in figure 1.

PWD

Chief EngineerWorld Bank

ESDU Executive Engineer

AE

JE JE JE JE

Figure 1: Existing Structure of ESDU at PWD

The existing ESDU is responsible for coordinating other government departments, supervision consultants, contractors, stakeholders and arranging public consultation and Environment Public Hearing as per MoEF Notification.

The Head of ESDU is assisted by one Assistant Engineer and four Junior Engineers who look after both environmental and social issues.

Presently, the duties of the AE cover the following:

• To review DPRs prepared by Consultants for his inputs and for further modifications in DPR.

• Responsible for Supervision of Construction Supervision.

• Interacts with the environmental offices of contractors to develop EMPs for borrow areas, quarry areas, camp sites, hot-mixing plant for approval from EE. He is mainly responsible for issues like tree cutting, tree plantation. He is solely responsible for area calculation for strip plantation. The necessary departmental communication with Forest Department for tree cutting, preparation of compensatory afforestation estimates is also done by AE in consultation with Forest Officials. AE also has to prepare environmental documents for various meetings in PWD. In addition to environmental issues,

• Looks into various R&R aspects including, resettlement site visits.


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• The MS-Access based M&E System Personnel, part of IDS is also helping the ESDU in Environmental and Social data management.

AE is assisted by four JEs who are also responsible for the field work and facilitating in implementation of Environment and Social issues in cooperation with Construction and Supervision Consultants (CSC). They are also responsible for correspondences related to Environmental clearance at National and State level.

Specific institutional arrangements of other organisations are detailed in the following section.

2.2 ENVIRONMENT AND SOCIAL DEVELOPMENT UNIT (ESDU) AT NHAI

ESDU at NHAI was formed vide Government Order on May 2001, and addresses Environmental and Social issues such as land acquisition, rehabilitation and resettlement, public consultation, and economic rehabilitation among others.

NHAI envisions that ESDU will improve capacity to design and, implement, as well as monitor and evaluate, resettlement plans for households displaced by development projects.

NHAI is implementing projects worth approximately $ 1 billion per year. NHAI has received substantial assistance from agencies like World Bank and Asian Development Bank (ADB) for institution development, capacity building (contract administration, environment and social development, corporate finance), private sector promotion, toll strategies, commercialization of operations and maintenance and road safety.

Assimilating from the technical assistance from ADB and World Bank, the NHAI has become an efficient highway management organisation with strong managerial and financial autonomy, extensive private sector involvement in infrastructure development, sustainable funding mechanism and strengthened capacity to deal with Social and Environmental issues.

2.3 ENVIRONMENT SOCIAL DEVELOPMENT AND RESETTLEMENT CELL (ESDRC) AT PRBDB

Punjab Roads and Bridges Development Board (PRBDB) of Government of Punjab is vested with the responsibility of implementing the Punjab State Road Sector Project with substantial assistance from World Bank. PRBDB has evolved a unique organisational set up exclusively dealing with environmental and social aspects of the project, viz., the Environment Social Development and Resettlement Cell (ESDRC). The salient features of the ESDRC at PRBDB are as follows.

• ESDRC is headed by a Deputy Project Director, who reports to Project Director, PRBDB on matters pertaining to Environmental and Social issues.

• Deputy Project Director is assisted by three Project Managers respectively responsible for social, environment and coordination aspects.

• A Secretarial Staff is assisting the ESDRC in its day-to-day activities.


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• The Project Managers are responsible for overall project implementation and management related to EMP and RAP. They interact with Contract Management Units (CMUs), Construction Supervision Consultants (CSCs) and Non-Government Organisations (NGOs) accordingly.

• Project Managers ensure the timely release of budget for implementation of EMP/RAP.

• Project Manager (Coordination) interacts with Nodal Officers designated with other Government Departments, viz., Department of Forest, Revenue Department, etc. He is also responsible for matters related to Clearance, release of payments to such Departments etc.

• Project managers at ESDRC compile data relating to implementation of EMP/RAP from all contract packages and brief Deputy Project Director and Project Director regarding progress achieved.

• Project Manager (Social) participates in Grievance Redress Committee (GRC).

• Suitable number of Contract Management Units (CMUs) is created for project implementation. Each CMU is headed by an Executive Engineer who is assisted by two/three Sub Divisional Engineers and Secretarial Staff.

• For rehabilitation packages, CMU supervises contractors engaged for execution of civil works under their area of jurisdiction.

• At least one Sub Divisional Engineer is given training regarding management of environment and social issues.

• Environmental and Social Specialists of Technical Advisory Service Consultants assist sub Divisional Engineers.

• In the case of upgradation package, Construction Supervision Consultant is responsible to supervise Contractors who execute civil works.

• CSC has one each Professionals for Environment and Social, respectively for monitoring and evaluation of EMP and RAP.

CSC reports to the ESDRC at PRBDB through concerned CMU and is responsible for submitting M&E Reports on monthly basis to ESDRC and CMU.


May 2007 5

3. CONSTRAINTS AND UNCERTAINTIES OF THE EXISTING ESDU IN UP PWD – WORLD BANK PROJECTS

The ESDU is overloaded with activities for implementing Environmental and social issues. Because the present numbers of staff are inadequate, it is failing to ensure that all environmental issues are correctly addressed.

World Bank in its mid-term review (World Bank Aide Memoir dated April 13 2006) also brought out the fact that insufficient action is taken in implementation of basic environmental management measures.

World Bank also brought out some of the shortfalls in implementing the measures resulting in suspension of works due to inadequate environmental and social plans. The contractors site locations for Hot Mix Plants, Landfill for construction debris, camp sites and stack yards, must be monitored by ESDU.

World Bank has clearly brought out the extremely weak performance of ESDU towards ensuring compliance with Environmental and Social safeguards.

Therefore there is a need to strengthen the existing temporary ESDU. The importance has been realized due to the specific nature of work with respect to planning, designing, implementing and monitoring E&SM issues in the road sector of UP which is a prerequisite for ensuring sustainable development. “The Road Development Policy of 1998” of Government of Uttar Pradesh (GoUP)’s reaffirms that Environment and Social aspects play an important role in the development and maintenance of the State Road Network.


May 2007 6

4. NEED FOR STRENGTHENING ESDU AS A LEAD UNIT IN PWD

The Environment and Social Development Unit (ESDU) proposed to be established in UP PWD is unique in character.

The strengthened unit would adopt a “Preventive Environmental and Social Policy” rather than mitigative and corrective process. It is preferable to prevent Environmental damage from occurring in the first place rather than attempting to restore degraded Environmental resources. Policy failures can emerge from various sources for the use of natural resources which adversely affects Environmental outcomes. The UPPWD should look into cross sectoral policies agriculture policy, land use policy, State Forestry Act, along with road construction. The road triggers linear development of settlement (ribbon development), other induced development activities which may deprive the communities for water, land for irrigation and healthy environment. The nature and human environmental aspects has to be combined in taking hierarchical decisions and establish synergies in relevant cross-sectoral policies.

The ESDU has to take all the necessary initiatives towards ensuring environment and social safeguards, which warrants restructuring of the present ESDU.

The broad objectives of the proposed ESDU are as follows:

• To prepare fresh proposals for upgradation and rehabilitation packages from State Funding besides International Lending Agencies.

• To take responsibility for regular maintenance programmes to take care of deterioration process assimilating local environment and social conditions.

• To give advice regarding the various laws and regulations that are applicable in the context of road related activities with respect to, social and economic development of people affected through roads and environmental importance of regions where road development takes place.

• To suggest precautionary measures for safeguarding environment and social issues according to contract specifications and responsible to make it implement by the Contractor to restore the original conditions of roads.

• To ensure the applicability of the operational acts and policies with respect to engineering interventions is defined in the matrix given in Annexure H. The various interventions as deemed important should normally follow the respective Acts. The matrix gives a primary indication at the policy level. At the construction stage, the clearances which the contractor should get from concerned authorities with respect to each construction activity.


May 2007 7

5. PROPOSED ESDU FUNCTIONS, STRUCTURE AND RESOURCES

5.1 FUNCTIONS OF ESDU

There are certain institutional and formal functional responsibilities to be adhered to by ESDU. This is in accordance with the various rules, regulations, laws and Acts of State and National Government. Other responsibilities are with respect to the development objectives, which each road project upholds, viz., livelihood enhancement, poverty eradication, sustainable environment development and gender development. The various functional responsibilities of ESDU are as follows. Further details of all functional responsibilities are given in Annexure I.

1. Ensuring compliance of projects with national policies on environment and resettlement and rehabilitation

2. Effective Management of Environmental and Social Impact Assessment Processes –

3. Implementation of Management information (MIS)

4. Preparation of Terms of Reference

i. Preparation of ToR for EA and SIA Processes

ii. Preparation of ToR for Independent Reviews

iii. Preparation of ToR for Supervision Consultancy

iv. Preparation of ToR for NGOs Implementing RAP

v. Preparation of ToR for Monitoring and Evaluation Consultancy

vi. Preparation of ToR for Technical Audit and Quality Assurance Consultancy

5. Appraising Environmental and Social Issues at the Inception Stage of Project

6. Enhancing Effectiveness of Environment and Social Screening

7. Baseline Data Collection

8. Analysis of Impacts and Mitigation Measures

9. Analysis of Alternatives

10. Community Consultations in Social Impact Assessment Processes

11. Management of RAP Implementing NGOs

12. Independent Reviews / Review of Reports and Documents


May 2007 8

5.1.1. Powers and Designation

Executive Engineer (EE) – powers to approve or levy penalties on contractors for not complying specifications prescribed in project implementation documents.

Project Sanctions for estimated cost for environmental enhancement programmes, field survey is limited to Rs. 5 lakh for EE and Rs. 50000 to 100000 for AE.

EE is empowered to take decisions with inter-agency group for environmental clearance, permits approval etc.

Decisions on environment monitoring locations, selection of environmental consultants and environmental laboratory.

Empowered to appoint selected personnel on contract basis.

Empowered to take decisions and implementation of emergency mitigation measures in case of accidents, oil spells, chemicals and hazardous substances during transportation under Hazardous Waste Act, 1989, Ministry of Environment and Forest.

Conduct Environmental Public Hearing (EPH) in accordance with the guidelines of Ministry of Environment and Forest, Government of India.

Initiate protection of natural resources (land, air and water).

Monitoring and preventing unauthorized structures, hoardings, storing construction debris, wood logs, etc along the corridor.

Also responsible for formulation and facilitation of Road Disaster Management Group (Crisis Management Group) to prevent environment degradation.

5.2 ESDU IN PWD HEAD QUARTERS

5.2.1. Specific Functions

Functions of CE

• Overall planning, coordination and management of ESDU Staff.

• Overseeing the preparation, implementation and monitoring of environment and social issues.

Functions of SE

• Assist CE in planning, coordination and management of ESDU activities, coordinate with other inter-agency Departments.

• Oversee and coordinate the functions of environment and social management units functioning at zonal level.


May 2007 9

Function of EE

• Implement the activities of ESDU, fulfill its functional responsibilities, especially of those responsibilities related to 4 assigned zones.

• Coordinate with zonal level ESMUs to implement, monitor and evaluate environment and social management responsibilities.

Functions of AE

• AE (Environment) (otherwise known as Environment Officer) coordinates environment surveys, supervision of CSCs, monitoring and evaluation, preparation of ToRs, progress reports, monthly quarterly and annually on the environment status and providing inputs to MS Access based data management system.

• AE (MIS) deals with collection, collation of data from various regions of road development. The information should be made available to ESDU and field units for better monitoring and evaluation.

• AE (Social) is responsible for preparation, implementation, monitoring and evaluation of R&R activities including resettlement action plan, preparation of ToR for SIA, Independent Reviews, Supervision Consultancy and RAP implementing NGOs.

Functions of JE

JEs would be assisting AE Environment:

• Environment surveys,

• Supervision of CSCs,

• Monitoring and evaluation,

• Preparation of progress reports, monthly, quarterly and annually on the environment status

• Providing inputs to MS Access Based Data Management System through AE (Environment).

JEs would be assisting AE Social:

• R&R activities, monitoring and evaluation,

• Progress of field activities,

• Awareness/training programmes on HIV/AIDS,

• Road safety measures etc.

Others

A Data Compiler and one IT Personnel for effective data management will assist AE (MIS).

A deputed Divisional Forest Officer to PWD will coordinate with ESDU, who is solely responsible for area calculation for strip plantation and raise necessary nurseries under his supervision and


May 2007 10

ensure PWD to meet compliance requirements of Forestry Act. He will be assisting AE (Environment) in compensatory afforestation and production of wild life and rare endangered species in the influence area of the project.

A deputed Special Land Acquisition Officer/Additional District Magiestrate to PWD will coordinate with ESDU, who is responsible for land acquisition, registry deeds and other vetting requirements as per Mutual Consent provisions or as per provisions of Land Acquisition Act. He will be functioning in association with AE (Social). This particular position is suggested due to extensive delay caused during the process of land acquisition and a detailed note on the procedural delays in land acquisition based on a case study of Ghaghra Bridge location is given in Annexure J.

5.2.2. Proposed Organisation Structure

The proposed structure requires Chief Engineer (CE, ESDU) as Head of ESDU, who reports to Engineer-in-Chief (Other Works). One Superintending Engineer (SE) under Chief Engineer (ESDU) and 3 Executive Engineers (EE) under SE will function for effective implementation of Environmental and social aspects of the project.

One each EE will be responsible for environment and social management in 4 each zones. Altogether the E&SM issues in 12 zones in the State will be handled by 3 ESDUs. Three number of Assistant Engineers (AE) will be assigned for Environmental, Social and management information system (MIS) functions respectively, to assist the EE. Three JEs would be assisting AE (Environment). Two JEs would be assisting AE (Social). The same functional structure will follow in three mentioned ESDUs at the Headquarters.

Following the comments from Focus Group dated 12.04.2007 and discussions with IDS Cell held on 21.12.2006 the recommended organisation structure is given below in figure 2.0 after discussing the four possible organisation structures as given in Annexure K. The minutes of the meeting is given as Annexure L.

5.2.3. Staffing Requirements

The proposed structure requires Chief Engineer (CE) as Head of ESDU, who reports to Engineer-in-Chief (Other Works). One SE, three EEs and nine AEs will function under CE. Three number of Assistant Engineers (AE) in one ESDU will be assigned for Environmental, Social and management information system (MIS) functions respectively, to assist the EE. Three JEs would be assisting AE (Environment). Two JEs would be assisting AE (Social). A Data Compiler and one IT Personnel for effective data management will assist AE (MIS).


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Engineer – in- Chief (5)Other Works

Chief Engineer

Environment and Social Development Unit (ESDU)

Superintending Engineer (SE)

ACF ACF ACF

ADM (LA) / SLAO

NaibTehsildar

NaibTehsildar

NaibTehsildar

EE, ESDU II

EE, ESDU I

EE, ESDU III

Environmental Officer

AEAE (MIS)

Social Development Officer

AE

Secretarial Staff

(6)

Horticulturist Chemist JE JE JE

Lab Asst

Data Compiler IT Person JE JE

DFO

4 Zones 4 Zones 4 Zones

Figure 2 : Proposed (Revised) Structure of ESDU at PWD

SE will coordinate with Forest Department and Revenue Department in matters related to forest clearance and land acquisition respectively. Simultaneously, SE will coordinate the multiple functions of ESDU under the supervision of CE.

5.2.3.1. Coordination with Forest and Revenue Department

Alternative 1: A deputed Divisional Forest Officer (DFO) from Forest Department and a deputed Additional District Magistrate (ADM) / Special Land Acquisition Officer (SLAO) from Revenue Department will coordinate with ESDU to ease the implementation process.

Alternative 2: Instead of deputation, one DFO assisted by 3 Assistant Conservators of Forest (ACF) should be made responsible for PWD projects. For land acquisition related issues, one ADM/SLAO assisted by 3 Naib Tehsildars should be made responsible for PWD projects.

5.3 PROPOSED STRUCTURE AT ZONAL LEVEL

5.3.1. Duties and Responsibilities

AE (Environment) will report to EE, ESMU at Zonal level. Zonal Head will function in coordination with any of the three units of ESDU at HQ. He will be responsible for coordinating Environmental surveys with help AEs and JEs and forward the filled up questionnaires to ESDU, HQ, supervision of CSCs, monitoring and evaluation of projects, providing necessary information in prescribed formats for preparing progress reports, monthly, quarterly and annually on the environmental status and provided inputs to MS Access based data management system.


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EE, ESMU is also responsible for providing information for preparation of screening reports, implementation, monitoring and evaluation of R&R activities including resettlement action plan, coordinate activities of contract NGOs and provide necessary information to HQ for preparation of progress reports, monthly, quarterly and annually.

The required qualification and skill set for EEs, AEs and JEs at Zonal level would be same as that of AEs at HQ and as prescribed in Table 1.

5.3.2. Proposed Organisation Structure

Environment and Social Management Unit (ESMU) at Zonal level shall be formed for effective management at field level and also in support of the ESDU, Headquarters (HQ). The Zonal ESDU will be headed by an EE and assisted by 2 AEs (environment and social). AEs will be assisted by the required number of Junior Engineers and Field Assistants (Figure 3). This structure of ESM Unit will be formed in all the 12 Zones.

ESDUHead Quarters

AE (Environment) AE (Social)

JE

Field Assistant (s) 4

JE JE


JE

EE, ESMU Zone

Figure 3 : Environment and Social Management Unit at Zonal Level

5.3.3. Staffing Levels

The proposed structure at Zonal level requires one EE as Zonal Head and two AEs entrusted with specific responsibilities on environment and social respectively. AEs will function with required number of Junior Engineers and Field Assistants. The functional structure at Zonal level is given in Figure 3.


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6. PROPOSED STAFFING SKILLS AND QUALIFICATIONS

The qualifications and skills that are required for the officers are described below in the table below. GOUP recruitment rules have to be followed in the selection of personnel to ESDU.

Table 1 : Required Qualifications and Skills

Sl No

Designation Qualification Experience Skills

1 CE (Head, ESDU)

Graduate in Civil preferably with Masters in Environmental Engineering / Masters in Planning

15-18 years in Road Environment Environment impact assessment National and State Environmental Policies Preparation of EMP and ESMPS Monitoring and Evaluation

Experience in Planning and Environmental Design Experience in Social Development Projects, R&R issues Conduct environmental training programmes Excellent inter-personal, diplomatic, team skills and ability to effectively negotiate and achieve balanced solutions Coordinating capabilities with inter-agencies for Environmental clearance and appraisal

SE (ESDU) Graduate in Civil preferably with Masters in Environmental Engineering / Masters in Planning




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Sl No


EE (ESDU Graduate in Civil preferably with Masters in Environmental Engineering / Masters in Planning



2 Environmental Officer (AE)

Graduate in Civil preferably with Masters in Environmental Science / Environmental Engineering

8 years experience in road environment Experience in EIA, Environmental Acts and Legislative requirements Field environmental survey Monitoring and Evaluation Construction and Supervision

Demonstrated experience in environmental analysisSupport to Construction and Supervision Consultants In depth knowledge in monitoring air, noise and water quality Environmental clearance of projects

3 Junior Engineer (Environment)

Diploma in Civil Engineering / Environmental Science

2-3 years experience in road construction / civil engineering projects

Environmental survey, baseline data collection for environmental components, stakeholder consultation, environmental reporting / MIS with computer skills Planning and design aspects


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Sl No


4 Social Development Officer (AE)

Master in any Social Science Discipline (Sociology, Anthropology, Economics and Social Work)

8 years experience in road based resettlement and rehabilitation activities experience in social safeguard policies including knowledge in involuntary resettlement policy demonstrated experience in social analysis and participation for development operations experience in preparation of social impact assessment reports and implementation of Resettlement Action Plan

Excellent interpersonal, problem solving, diplomatic and team skills and the ability to effectively negotiate and achieve balanced solutions to complex development problems Experience in community based conflict management techniques, consensus building and delivering constructive outputs

5 Junior Engineer (Social)

Bachelor / Diploma in Civil Engineering / Social Science Discipline (Sociology, Anthropology, Economics and Social Work)


Social survey, baseline data collection for social development projects, participatory rural appraisal techniques, stakeholder consultation

6 MIS Officer (AE) Bachelor in Computer Science and Engineering / Master in Computer Application

7-8 years experience in system administration and networking

Database administration, server application, development of database packages, training skills in computer application

7 Chemist MSc Chemistry 2-3 years experience in the analysis of air, water and soil samples


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Sl No


8 Horticulturist BSc Agriculture / Horticulture

1-2 years experience Knowledge on biodiversity, nursery, tree plantation techniques and tissue culture, etc.

9 District Forest Officer (DFO)

Deputation from State Forestry Department

10 Revenue Officer Deputation from District Revenue Department

7. TRAINING

7.1 TRAINING MODULES

The training programmes will need to be designed in relation to requirement and content, as well as schedule, in order that the following objectives can be achieved:

• To ensure the continual updating of knowledge, as well as enhancement of professional knowledge and skills, in order to provide better individual and organisational performance.

• To promote a better understanding of the requirements as well as the professional socio-economic and political environment in which work is to be undertaken.

Members of the Environment and Social Development Unit will be trained in environmental protection both in theoretical and practical aspects. While theoretical aspects will form the bedrock of the orientation programmes, it will be the practical site visits and /or hands-on training at project site itself as applicable, which will be of direct use to the project.

Basic orientation required for environmental awareness shall be provided initially and then experts in specific aspects of road-related works who will train the officials regarding the detailed procedures will be identified. Specific modules customized for the available skill set shall be devised after assessing the capabilities of the members of the Environment and Social Development Unit and the requirements of the project. The entire orientation programmes would cover basic principles of environmental assessment and management; mitigation plans and programmes, implementation techniques, monitoring methods and tools. The modules designed will be suitable for both upgradation and maintenance components. Specific issues for upgradation and maintenance shall be taken up in separate sessions. Not only will training in specific environmental and social courses be essential, but basic training for data collection, data maintenance and updating will also be of importance.

Training should be mandatory before taking an environmental assigned jobs involving role identification. The training content is designed specifically keeping the nature of responsibilities to be handled by the officers at different levels. In addition the training will also cover for the


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stakeholders such interdepartmental personnel, NGOs, CBOs and contractors. The various training modules, with duration and content are set out in Table.

Table 2 : Training Modules (Environment)

Module No.

Description Participants Form of Training

Duration/ Location

Pre-construction Stage

Session I

Module I

Introduction to Environment:

a) Basic Concept of environmental pollution and control

b) Environmental Regulations and Statutory requirements as per Government of India and World Bank

Chief Engineer [CE]

Superintending Engineers [SE], Executive Engineers [EE], Assistant Engineers [AE] and Junior Engineers [JE]

Lecture

Module II

Environmental Considerations in road projects:

a) Environmental components affected by the road development in construction and operation stages

b) Activities causing pollution during construction

c) Activities causing pollution during operation

Chief Engineer [CE]


Workshop

Module III

Methodology:

Environmental Assessment methodology

Methodology of assessment for Pollution monitoring

Methodology for site selection of borrow areas, construction camps, debris dumping

Methodology for selection of enhancement sites

Executive Engineers [EE] and Assistant Engineers [AE]

Interactive session and Field visit to enhancement site

1 working day for lecture / workshop / interactive session

2 working day site visit


May 2007 18

Module No. Description Participants Form of

Training Duration/ Location

Session II

Module IV

Baseline data generation:

Identification of environmental components

Impact Assessment::

Assessment methodology for individual components as – air, noise, water, soil etc

Chief Engineer [CE]


Lecture 1 working day

Module V

Mitigation measures:

Mitigation Measures devised for the project – General concepts

Component wise measures to be implemented

Chief Engineer [CE]


Lecture and field visit

1 working day lecture

Module VI

Environmental Enhancements:

Types of Measures

Concepts for enhancements

Design of enhancements

Landscaping

Implementation of EMP

Chief Engineer [CE]


Lecture and

Field visit

1 working day lecture (initial stages of construction)

7 days (including days of travel) field visit to locations where EMP is implemented

Construction Stage

Session III

Module VII

Institutional Setup

Roles and Responsibilities of officials/contractors/consultants towards protection of environment

Monitoring mechanisms

Chief Engineer [CE]

Superintending Engineers [SE], Executive Engineers [EE],

Lecture 1 working day in the initial stages of construction


May 2007 19



Reporting requirements with targets

Assistant Engineers [AE] and Junior Engineers [JE] and Contractor

Module VIII

Monitoring and reporting system

Chief Engineer [CE]

Superintending Engineers [SE], Executive Engineers [EE], Assistant Engineers [AE] and Junior Engineers [JE] and Contractor

Workshop 1 working day subsequent to Module VII

Module IX

Hill roads and Bio-diversity

Roads selected and treatments proposed

Environmental issues along hill roads

Ecological conditions & biodiversity

Road maintenance and impacts on conservation efforts

Slope stability – issues of providing adequate formation width.

Mitigation strategy and measures for protection and enhancement

Unanticipated impacts and mitigations required before commencement of works

Chief Engineer [CE]



May 2007 20



Session IV

Module X

Feedback from participants on problems encountered in the implementation of EMP

Chief Engineer [CE]

Superintending Engineers [SE], Executive Engineers [EE], Assistant Engineers [AE] and Junior Engineers [JE] and Contractor, EA Experts, CSC.

Workshop 1 Working day during construction

Module XI

Solutions to unresolved issues raised in Module X

Chief Engineer [CE]



Module XII

Additional training needs and institutionalizing the solutions arrived at in Module XI

Chief Engineer [CE]




May 2007 21



Session V

Module XIII

Additional training as per Module XII

Chief Engineer [CE]


Lecture/ workshop

1 working day during construction

Session VI

Module XIV

As per requirements of E&SM UNIT staff

Executive Engineers [EE], Assistant Engineers [AE] and Junior Engineers [JE] and Contractor

Lecture/workshop


Session VII

Module XV

Feedback lectures on environmental management from Environmental officers

Chief Engineer [CE]



Session VIII

Module XVI

Environmental management in Operation period

Environmental issues in Operation stage

Monitoring and reporting

Chief Engineer [CE]

Superintending Engineers [SE], Executive Engineers [EE],

Lecture/workshop



May 2007 22



Environmental management of issues subsequent to operation stage

Assistant Engineers [AE] and Junior Engineers [JE] and Contractor

The training outputs will be evaluated from the feedback of the trainees and training modules will be revised or modified accordingly. All the training programmes should be coordinated with Training / HRD Cell permanently established in PWD.

Table 3 : Training Modules (Social)


Training Duration/Loc

ation

Session I

Module I

Introduction to Social and R&R Issues

a) R&R Policies, Guidelines at State, National and International level

b) Social Issues pertaining to Resettlement and Rehabilitation [Gender, Participation, Poverty Assessment, Anti-Poverty Programmes, Highway related Diseases, Road Safety, Transparency, Right to Information, Information Dissemination)

Chief Engineer [CE]

Superintending Engineers [SE],

Executive Engineers [EE],

Assistant Engineers [AE]

and Junior Engineers [JE]

Lecture

1 working day


May 2007 23



ation

1 working day

Module II

Resettlement Action Plan and Social Impact Assessment

a) Social Assessment: Principles and Practices, Socio-economic survey techniques [including Rapid Rural Appraisal]

b) Resettlement Action Plan, Indigenous Peoples Development Plan, Entitlement Budgeting

c) RAP Implementation processes, institutional arrangements, NGO, Public Consultation

Chief Engineer [CE]





Workshop

1 day field visit

Module III

Land Acquisition

a) Rules, Regulations and Policy Guidelines in Land Acquisition, Institutions involved in the process, activities to be followed.

b) Micro Plan Preparation [valuation of assets, structures including common property resources]




Workshop



May 2007 24



ation

Module IV

Monitoring and Evaluation

a) Basic concepts, institutional arrangements in M&E, Field Visits, Review Meetings, Ad hoc Committees, M&E Schedule Preparation (Identification of major tasks, activities, targets, time management, involvement of persons and institutions)

b) Institutional Strengthening / Capacity Building measures based on M&E.

Chief Engineer [CE]




Workshop



May 2007 25

8. POSSIBLE ACTION PLAN

The Action Plan sets out some of the initial tasks that could be undertaken by the Environment and Social Development Unit.

1 2 3 4 5 6

Prepare database of projects

Training to ESDU and ESMU staff

Review of engineering works and activities and their environmantal and social impact

Identification of Environmental and Social issues during pre-construction, construction and post construction stages

Assessment of environmental and social impacts of various engineering activities

Listing the mitigation measures for Environmental issues by referring the Spefications For Road and Bridge Works - Fourth Revision, MoSRT&H, 2001

Review of National and State Policies

Review DPR Reports of studies conducted: EIA, SIA, EMP and RAP

Preparation of Monitoring and Evalutaion format for environment and social issues respectively

Review with interagency coordination with respect to environmnetal and social issues

Preparation of policy document for combating HIV/AIDS in the road sector of UP

Preparation of Management Information System (MIS) and review its efficacy for comprehensive and sustainable use

Continuous Input

Intermittent Input

MonthsDescription of Activities


May 2007 26

9. PRESENTATION TO STEERING COMMITTEE

Report No. 20: Suggestion for implementing environment and social management (E&SM) policy processes and training

UPSRP IDS

Social SpecialistDr. K. N. JayanEnvironment SpecialistDr. S. D. Badrinath

LEA International Ltd. and LEA Associates South Asia Pvt. Ltd.AE, IDS CellSri P. K. SaxenaEE, IDS CellSri Virendra YatiAE Maintenance -1 PWD LucknowSri S. K. SrivastavaAE SRP II, W.B. Division, KanpurSri A. K. SharmaAE SRP II, W.B. Division, KanpurSri D. S. YadavEE, CD 3, BarabankiSri Ajay Kumar AgarwalEE PD, Gautam Budha NagarSri Jitendra Pratap SinghStaff Officer, PWD, LucknowSir P. K. BanerjeeE-in-C Development and HODSri Krishna Kumar Mittal

PWD Focus Group - B


Focus Group B recognizes the importance of establishing an Environment and Social Development Unit (ESDU) to deal with various functions related to environment and social management (E&SM) in road projects

IDSP study recommends for Implementation of PWD ‘Lead Unit’ for environment and social management policy, process and training

World Bank suggests to develop ESDU as a full-fledged E&SM body

Present Situation: A temporary ESDU at PWD to deal with UPSRP

UPSRP IDS


Objectives of ESDU• To prepare fresh proposals for upgradation and rehabilitation

packages from State Funding and also International Lending Agencies.

• To take responsibility for regular maintenance programmes to take care of deterioration process assimilating local environment andsocial conditions.

• To give advice regarding the various laws and regulations that are applicable in the context of road related activities

• To suggest precautionary measures for safeguarding environment and social issues according to contract specifications and to monitor the implementation

• To be suggest policy measures and coordinate inter-agency initiatives in the road sector projects

UPSRP IDS


Major functions of ESDU• Ensuring compliance of projects with national policies on environment

and resettlement and rehabilitation• Effective Management of Environmental and Social Impact Assessment

Processes –• Implementation of Management information (MIS), include baseline

data collection• Preparation of Terms of Reference (for EA/SIA, Construction

Supervision, EMP/RAP etc) and overseeing its implementation • Preparation of ToR for Technical Audit and Quality Assurance

Consultancy• Appraising Environmental and Social Issues at the Inception Stage of

Project • Enhancing Effectiveness of Environment and Social Screening • Analysis of Impacts and Mitigation Measures

UPSRP IDS


ESDU at PWD Headquarters have the following personnel

• Chief Engineer

• Superintending Engineer

• Executive Engineer

• Assistant Engineer (Environment)

• Assistant Engineer (Social)

• Assistant Engineer (Management Information System)

• Junior Engineer

• Secretarial Staff

UPSRP IDS

UPSRP IDSEngineer – in- Chief (5)

Other Works

Chief Engineer

Environment and Social Development Unit (ESDU)

Superintending Engineer (SE)

ACF ACF ACF

ADM (LA) / SLAO

NaibTehsildar

NaibTehsildar

NaibTehsildar

EE, ESDU II

EE, ESDU I

EE, ESDU III

Proposed Revised Structure of ESDU at PWD

Environmental Officer

AEAE (MIS)

Social Development Officer

AE

Secretarial Staff

(6)

Horticulturist Chemist JE JE JE

Lab Asst

Data Compiler IT Person JE JE

DFO

4 Zones 4 Zones 4 Zones

UPSRP IDSReport No. 20: Suggestion for implementing environment and social management (E&SM) policy processes and training

ESDU, PWD Headquarters

The proposed structure requires Chief Engineer (CE) as Head of ESDU, who reports to Engineer-in-Chief (Other Works)

One SE, three EEs and nine AEs will function under CE

Three Assistant Engineers (AE) in one ESDU will be assigned for Environmental, Social and management information system (MIS) functions respectively, to assist the EE

Three JEs would be assisting AE (Environment). Two JEs would be assisting AE (Social).

A Data Compiler and one IT Personnel will assist AE (MIS)

SE will coordinate with Forest Department and Revenue Department in matters related to forest clearance and land acquisition respectively.


ESMU at Zonal level have the following personnel

• Executive Engineer

• Assistant Engineer (Environment)

• Assistant Engineer (Social)

• Field Assistants

UPSRP IDS

UPSRP IDS

ESDUHead Quarters

AE (Environment) AE (Social)

JE


JE JE


JE

Environment and Social Management Unit at Zonal Level

EE, ESMU Zone



ESMU, Zonal level

EE, Head, ESMU will function in coordination with any of the three units of ESDU at HQ

EE, ESMU will be responsible for coordinating Environmental surveys with help AEs and JEs and forward the filled up questionnaires to ESDU, HQ, supervision of CSCs, monitoring and evaluation of projects, etc.

EE, ESMU is also responsible for providing information for preparation of screening reports, implementation, monitoring and evaluation of R&R activities including resettlement action plan, coordinate activities of contract NGOs and provide necessary information to HQ for preparation of progress reports, monthly, quarterly and annually

UPSRP IDS

UPSRP IDS

Experience in Planning and Environmental DesignExperience in Social Development Projects, R&R issuesConduct environmental training programmesExcellent inter-personal, diplomatic, team skills and ability to effectively negotiate and achieve balanced solutionsCoordinating capabilities with inter-agencies for Environmental clearance and appraisal

12-14 years in Road EnvironmentEnvironment impact assessmentNational and State Environmental PoliciesPreparation of EMP and ESMPSMonitoring and Evaluation


SE (ESDU)




CE (Head, ESDU)

SkillsExperienceQualificationDesignation


UPSRP IDS

Demonstrated experience in environmental analysisSupport to Construction and Supervision ConsultantsIn depth knowledge in monitoring air, noise and water qualityEnvironmental clearance of projects

8 years experience in road environmentExperience in EIA, Environmental Acts and Legislative requirements Field environmental surveyMonitoring and EvaluationConstruction and Supervision

Graduate in Civil preferably with Masters in Environmental Science / Environmental Engineering

Environmental Officer (AE)




EE (ESDU



UPSRP IDS

Excellent interpersonal, problem solving, diplomatic and team skills and the ability to effectively negotiate and achieve balanced solutions to complex development problemsExperience in community based conflict management techniques, consensus building and delivering constructive outputs

8 years experience in road based resettlement and rehabilitation activitiesexperience in social safeguard policies including knowledge in involuntary resettlement policydemonstrated experience in social analysis and participation for development operationsexperience in preparation of social impact assessment reports and implementation of Resettlement Action Plan

Master in any Social Science Discipline (Sociology, Anthropology, Economics and Social Work)

Social Development Officer (AE)

Environmental survey, baseline data collection for environmental components, stakeholder consultation, environmental reporting / MIS with computer skillsPlanning and design aspects


Diploma in Civil Engineering / Environmental Science

Junior Engineer (Environment)



UPSRP IDS

Knowledge on biodiversity, nursery, tree plantation techniques and tissue culture, etc.

1-2 years experienceBSc Agriculture / Horticulture

Horticulturist

2-3 years experience in the analysis of air, water and soil samples

MSc ChemistryChemist

Database administration, server application, development of database packages, training skills in computer application

7-8 years experience in system administration and networking

Bachelor in Computer Science and Engineering / Master in Computer Application

MIS Officer (AE)

Social survey, baseline data collection for social development projects, participatory rural appraisal techniques, stakeholder consultation


Bachelor / Diploma in Civil Engineering / Social Science Discipline (Sociology, Anthropology, Economics and Social Work)

Junior Engineer (Social)



UPSRP IDSReport No. 20: Suggestion for implementing environment and social management (E&SM) policy processes and training

ACTION PLAN for the first 6 months

1 2 3 4 5 6

Prepare database of projects

Training to ESDU and ESMU staff

Review of engineering works and activities and their environmantal and social impact

Identification of Environmental and Social issues during pre-construction, construction and post construction stages

Assessment of environmental and social impacts of various engineering activities

Listing the mitigation measures for Environmental issues by referring the Spefications For Road and Bridge Works - Fourth Revision, MoSRT&H, 2001

MonthsDescription of Activities

Review of National and State Policies

Review DPR Reports of studies conducted: EIA, SIA, EMP and RAP

Preparation of Monitoring and Evalutaion format for environment and social issues respectively

Review with interagency coordination with respect to environmnetal and social issues

Preparation of policy document for combating HIV/AIDS in the road sector of UP

Preparation of Management Information System (MIS) and review its efficacy for comprehensive and sustainable use

Continuous Input

Intermittent Input

UPSRP IDSReport No. 20: Suggestion for implementing environment and social management (E&SM) policy processes and training ACTION PLAN for the first 6 months


May 2007 i

ANNEXURE - A

1. REVIEW OF R&R POLICIES

The various policy guidelines at state, national and international level gives an understanding on a comparative perspective. These comparative observations give inputs for incorporation in the UP R&R Policy.

1.1.1. National R&R policy

Ministry of Rural Development, Government of India has framed a National Policy on Resettlement and Rehabilitation for Project Affected Families - 20031 (NPRR). The NPRR aims to minimize displacement and to find non-displacing or least displacing alternatives, it also provides special considerations to Tribals and vulnerable sections, apart from making provisions for improving standard of living of PAPs and also looks forward for a harmonious relationship between the requiring body and PAFs through mutual cooperation.

The Policy is applicable to projects displacing 500 or more families in masses in plain areas and 250 families en masse in hilly areas, Desert Development Programme Blocks, and areas mentioned in the Schedule V and Schedule VI of the Constitution of India (Para 3 p). It could be inferred that the Policy is more particular about projects that are non-linear in nature. However, it insists that respective States are free to prepare their own Policy if the R&R packages are higher than that is stipulated in the NPRR.

1.1.2. World Bank Operational Policy on Involuntary Resettlement

World Bank has a detailed policy manual on involuntary resettlement that conceives the experience from numerous development projects carried out in various countries. The Policy indicates the mitigation measures in view of the severity of social, economic and environmental risks involved in involuntary resettlement. The Bank mainly aims at minimising the involuntary resettlement by exploring viable alternative project designs, makes provisions to execute resettlement initiatives as sustainable development programmes by way of delivering sufficient investment resources to the project affected population, ensures participatory development approach in restoring and improving the livelihood and standard of living of affected population. Bank also insists the formulation of a resettlement policy framework specific for its funded projects.

1.1.3. Operations Manual on Involuntary Resettlement, Asian Development Bank

The objectives of Involuntary Resettlement policy of ADB closely resembles with that of World Bank. According to ADB, the Policy provides an “effective opportunity” to the displaced or dispossessed people to achieve development benefits and it functions as a safeguard in consonant with the poverty reduction strategy and the long-term strategic framework. ADB treats resettlement either as part of the main investment or as a freestanding resettlement project that

1 Published in the Gazette of India, Extraordinary Part-I, Section 1, No-46, dated 17th February 2004.


May 2007 ii

is prepared, financed and implemented in association with the main investment. The major tenets of the policy are as follows.

a.) Participatory resettlement planning preceded by a social preparation phase to enhance participation of affected population.

b.) Provisions to protect social and cultural institutions.

c.) The absence of formal legal title to land, especially for indigenous people, ethnic minorities etc. is not a bar to ADB policy entitlements.

d.) Special attention to vulnerable groups that may be at high risk of impoverishment.

e.) Major impacts are defined as involving affected people being physically displaced from housing and or having 10 per cent or more of their productive, income generating assets lost.

1.1.4. R&R Policy Framework for Punjab State Road Sector Project

The Government of Punjab formulated a Policy as part of the World Bank funded State Road Sector Project, which is being implemented in Punjab. This has been framed in accordance with existing Kandi Watershed R&R Policy, National Policy on R&R for Project Affected Families 2003 (NPRR) and the World Bank operational Policy on Involuntary Resettlement. Highlights of the Punjab R&R Policy could be summarised as follows.

a.) The Policy intends to facilitate harmonious relationship between the Implementing Authority (Acquiring Body) and PAFs through mutual cooperation and regular interaction.

b.) Ensures participatory development approach.

c.) ‘Corridor of Impact’ approach for mitigation planning.

d.) Assures employment opportunities to local people and PAFs during construction phase of the project.

e.) Good institutional arrangements for the implementation of resettlement and rehabilitation activities.

f.) Ensures transparency in the project implementation and entitlement disbursement.

1.1.5. R&R Policy of Himachal Pradesh State Roads Project

This Policy was enacted as part of the Himachal Pradesh State Roads Project funded by World Bank and has closely followed the Involuntary Resettlement Policy of the Bank. The guidelines are prepared basically to address issues limited to the said project. The Policy elaborately discusses about various category of entitled groups and various forms of entitlements. The land acquisition for the project follows LA Act, 1894 and clearly mentions about the various sections relevant in the process. The Policy is silent on the institutional framework specific to the project and also on the explicit monitoring and evaluation arrangements.


May 2007 iii

1.1.6. Best Practices

The best practices that could be adopted for UP R&R Policy from that of other national and international policy documents is presented in the form of a matrix. UP Policy has got an appreciative coverage of all major aspects. However, more clarity is required in the institutional structuring, income restoration measures, gender participation, monitoring and evaluation etc.

Table 1: R&R Policy – Best Practice Matrix

Category UP R&R

Policy

NPRR-2003

Himachal Pradesh R&R Policy for WB funded SRP

Punjab R&R Policy for WB funded SRP

World Bank OP 4.12,

December 2001

ADB OM Section

F2/OP 29 October

20032 √ √ √ √ Eligibility –

Titled and Non-Titled [existence and non-existence of legal rights to land]

√ √

For the categories of PAPs whose ownership titles are not clear, like people residing in the abadi lands, or where the land was given to a person/group of persons under various govt. schemes or by the institution of local self government (allotted/leased/land share after Chakbandi etc), or allotted/leased land transferred through power of attorney or any other legal instrument, but the ownership

Reference to Punjab Tenancy Act, 1887 [Para 3 b and Annex 6]

Those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets – provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan [Section 15 b]

Legalizable: Those who do not have formal legal rights to land when the affected population is recorded, but could claim rights to such land, under the developing member country laws.

2 There is no formal R&R Policy document for NHAI. The draft document entitled, R&R Principles and Policy Framework for national highways project complies largely with ADB Policy on Involuntary Resettlement.


May 2007 iv

Category UP R&R

Policy

NPRR-2003



World Bank OP 4.12,

December 2001

ADB OM Section

F2/OP 29 October

20032 records are not

clear [Section 1.5.2]

[Section B 9]3

√ Compensation: Land

√ √ √ √

The Bank does not disburse against cash compensation and other resettlement assistance paid in cash, or against the cost of land (including compensation for land acquisition). However, it may finance the cost of land improvement associated with resettlement activities [Para 34, page 9]

√

Land Acquisition: Procedure

√ [Focus is on compensation aspects

In the case of acquisition of land in emergent situation

Government procedure for negotiations vide Notification no: PBW (B) A (6) 2-64/2001-dated 13

Land needed for the project shall be acquired by direct negotiation as per government

X X

3 For example, Kerala Prevention of Eviction Act, 1966 (1), Act 12 of 1966.


May 2007 v

Category UP R&R

Policy

NPRR-2003



World Bank OP 4.12,

December 2001

ADB OM Section

F2/OP 29 October

20032 of land acquisition]

such as under Section 17 of LA Act 1894 or similar provision of other Act in force, each PAF shall be provided with transit accommodation, pending resettlement and rehabilitation scheme. [Para 6.16]

July 2004 shall be followed to this effect. [Section 1.3]

procedure as outlined in this policy framework [Para 12 a] The Emergency Clause of Land Acquisition Act, 1894 contained in Section 17 thereof, shall not be invoked for land acquired for this project [Para 12 b]

Income Restoration

√ √ Vulnerable persons amongst non-agri THs - EPs would be provided one-time Economic Rehabilitation Grant (ERG), in the form of productive assets and free plot of 25 sq. m [ERG will be given in the form of productive assets but will not include any

√ The resettlement plan or policy framework include measures to ensure that displaced persons are offered support after displacement, for a transition period, based on a reasonable

√


May 2007 vi

Category UP R&R

Policy

NPRR-2003



World Bank OP 4.12,

December 2001

ADB OM Section

F2/OP 29 October

20032 consumables. Efforts will be made to dovetail poverty alleviation programmes of Government of India].

estimate of the time likely to be needed to restore their livelihood and standards of living [Section 6 c].

Institutional Framework / Organisational Structure

√ √ For carrying out the civil works, suitable number of CMUs will be created in the State. Each CMU will be headed by an officer in the rank of Executive Engineer and assisted by technical personnel, one Assistant R&R Officer, and additional secretarial staff. Assistant R&R Officer will assist the Head of CMU in matters related to R&R and land acquisition [Para 23] The Project Authority will


May 2007 vii

Category UP R&R

Policy

NPRR-2003



World Bank OP 4.12,

December 2001

ADB OM Section

F2/OP 29 October

20032 appoint on contract basis one Assistant R&R Officer (ARRO), one Assistant community development Officer and land acquisition officer for each contract package. The ARRO will report to head of the CMU and also take guidance and directions from R&R Officer at the Head Office [Para 26]

Participatory Approach [Gender concerns]

√ √ All activities related to resettlement planning, implementation, and monitoring would ensure involvement of women [Section 1.1]

Participation of women will be ensured with in activities related to resettlement planning and implementation [Section 15f]

√ √


May 2007 i

ANNEXURE - B

1. REVIEW OF RESETTLEMENT ACTION PLAN REPORTS

As part of UPSRP, two Resettlement Action Plans were respectively prepared for Phase I and Phase II initiatives, as under Project Co-ordinating Consultants Services, IBRD Loan No. 4114-IN. RAP for Phase I submitted in January 2002 has dealt with four distinct routes and two bye-passes, together covering a total length of 382.146 km. The total number of project-affected households in Phase I is 1015 (1722 families) or 5086 persons. In the case of Phase II, which deals with seven project routes and one bye-pass together cover 602.419 km. The total number of project-displaced families were1379 and project-affected families were 9470, revealing comparatively severe social consequences of the project. A review of the two RAP reports has exposed the following factors. • The RAP report holds the merit of conducting a detailed public consultation with a three-tier

stakeholder consulting method. The whole exercise has ensured community participation that is essentially a prerequisite for carrying out the proceeding stages of project implementation.

• Special attention is given to people belonging to various vulnerable categories as spelt out in the R&R Policy, viz., schedules castes, scheduled tribes, below-poverty-line families and women- headed households. However, there is no mention about disabled and aged and landless, who are also provisioned as vulnerable in the R&R Policy.

• The mitigation measures suggested with respect to income restoration fails in understanding the formal development processes sponsored by government functionaries1.

• No attempt has been taken to develop location specific income generation schemes. Presentation in two different RAP reports, regarding procedures for creating linkages with government agencies for accessing benefits by the PAPs is mentioned but the practical part of the same is doubtful.

• The monitoring and evaluation procedure presented in the RAP are more oriented and useful for outcome evaluation. The RAP should invariably develop process-evaluation indicators also, so that the delays caused in implementation, necessary reasons and corrective measures as follow up, operational alterations in the structure and pattern of implementation arrangements and necessary delivery of required resources to the NGOs, etc could be monitored timely.

1 The potential of income generation of Government of India’s poverty alleviation schemes, such as that of Indira Awas Yojana and Rajiv Gandhi National Drinking Water Mission are ambiguous. Moreover, Report should be aware of and should alternatively evolve specific mechanism to “recommend” a PAP into the established institutional framework of these anti-poverty programmes, if the RAP should be realistic. By the way, Integrated Rural Development Programme (IRDP mentioned under this section in along with other allied programmed were restructured to form Swarnajayanti Gram Swarozgar Yojana since April 1999.


May 2007 ii

• The basic tenet of combining social impact assessment and resettlement planning within RAP report require considerable revision. Based on the R&R Policy framework and, a census verification of 100 percent of population and a baseline socio-economic survey covering 25 percent of affected households is a requirement for social impact assessment. The preparation of RAP based on a sample survey and extrapolating the livelihood requirements of a community with diverse social, cultural and economic characteristics dilutes the purpose of genuine resettlement and rehabilitation as envisaged in the UPSRP R&R Policy.

• The multiplicity of tasks scheduled for RAP implementing NGOs makes the scenario more difficult. It virtually underestimates the inbuilt procedures and time requirements to conduct exercises like preparation of micro-plans, land / asset acquisition (public consultations for negotiation, necessary data collection for assessing land replacement value, lengthy procedures required in the process of deed transfer from PAP to project implementing authority) reconstruction / relocation of assets and structures, conduct of training programmes or skill upgradation workshops for willing PAPs, conduct of awareness programmes on issues such as road safety, highway related diseases etc.

SUGGESTIVE MEASURES

• RAP should review and conceive from the success of self-help groups, cooperative ventures, various NGO activities which successfully mobilised vulnerable segment of the population towards building up better livelihood opportunities in UP2.

• Socio-economic status survey (based on participatory principles) and Entitlement Budgeting should be done as a single entity, which is what normally discussed in present “RAP” reports. Preparation of Resettlement Action Plan should extended to the proceeding stage exclusively focusing on income restoration activities, establishing various linkages in providing a realistic plan of action, logically linked training programmes, skill upgradation programmes, exclusive guidelines (specifying activities, sub-activities and indicators, prescribed schedule formats and also a system-based data management framework) for monitoring and evaluation of project outcome as well as implementation process, etc.

A critical review of the structure and pattern of works beginning from preparation of screening – feasibility – detailed project report – land acquisition plan – social impact assessment – resettlement action plan – micro-plan for land acquisition – virtual resettlement and rehabilitation – monitoring and evaluation (short term and medium term) is required. Based on the learning, a more realistic work plan and respectively an appropriate budgeting could be generated.

2 The case of Boond Bachat Sanathan, a scheme in micro finance, initiated by Shramik Bharati, a Kanpur based NGO in urban slums or Kanpur and in two rural Blocks, viz., Kalayanpur and Bhitergaon has succeeded in inculcating habit of saving in poor women, providing loans for income generating activities and also in providing business development services. The efforts have won appreciation of Planning Commission.


May 2007 i

ANNEXURE – C

1. CRITIQUE TO RESETTLEMENT & REHABILITATION POLICY AND PRACTICE

Once the policy is formulated and necessary institutional arrangements made to execute the R&R activities, the implementation process will surely demand for modifications in various approaches spelt out in the policy. This change is inevitable to achieve the development objectives proposed in the policies. This is a crucial ingredient for institutional strengthening and development.

1.1 STAKEHOLDER FEEDBACK

1.1.1. PAP/PDP Perspectives

• Cash compensation for livelihood restoration (Economic Rehabilitation Grant) – Presently the entitled people receive cash for setting up their lost or affected income generating options. However, on receipt of cash, they may or may not invest in a venture that provides a sustainable source of income.

• Involvement of women also in the process of deciding on ERG needs to be defined unambiguously – In the case of ERG given to PAF, normally the male member decides on reinvesting the grant on income earning ventures. The decision may or may not favour women members in the family1.

1.1.2. PWD Perspectives

• The compensation mechanism is biased towards vulnerable segment –There is a provision for additional assistance to PAPs who belongs to vulnerable segment as defined in section 4 of UP R&R policy. In a way, this will create an environment for the non-vulnerable segment also to assert that they too are vulnerable. The present monitoring mechanism to check the intrusion of non-vulnerable people for “skewed project benefits” is weak. This will in turn costs additional expenses to the project exchequer.

• The R&R benefit incidence is too extensive and contains even encroachers and squatters – This gives ample room for non-deserving people to corner R&R benefits. The cut-off date mentioned in the R&R Policy document is not adequate to prevent encroachers cornering benefits. The present mechanism of monitoring the real field situation is also inadequate.

1 This should build on the information gathered through socio-economic survey conducted as part of RAP regarding role of women in the household decision-making. If the involvement of women in making investment decisions is submissive (RAP for Phase-II states that 90.68 per cent of the women have no role in deciding household financial matters), the ERG obtained to the family may not help her much.


May 2007 ii

1.1.3. NGO Perspectives

• Identification of Vulnerable Person Based on Caste Affiliation – This particular clause is misleading and the identified vulnerable category includes even economically well-off people. In the case of Upgradation packages 01 and 04, out of the total number of Scheduled Caste people identified, majority of them are below poverty line families. However, in the case of other backward communities, in realty only around half of them belong to below poverty line families. The remaining half though economically well off are considered as vulnerable and receives equal benefits. Hence, the identification of vulnerable people should be primarily based on their respective economic conditions (according to BPL criteria) rather than on caste affiliation in the case of OBCs.

1.2 POLICY VS PRACTICE

Organisation Structure and Functioning of R&R Cell – The organisation structure for implementing R&R activities as per the policy will have an R&R Cell with one Resettlement and Rehabilitation Officer (RRO) and a Land Acquisition Officer at the Project Implementation Unit. This is presented in Figure 1.

As represented by Figure 2, there is no R&R Cell exists which is supposed to take exclusive responsibility of resettlement and rehabilitation activities at the district level. Moreover, the Project Circles and Project Divisions at intermediary level remains to be administrative divisions without much functional responsibilities with respect to resettlement and rehabilitation. ESDU maintains communication with these two administrative divisions at the Executive Engineer Level.

Functioning of Grievance Redress Committee – World Bank had raised concerns regarding the functioning of GRC. The Aide Memoir of World Bank dated 01.06.2006 stated that process of addressing grievances remain ad hoc and informal. The unresolved conflict with respect to relocation of a Shiv Temple (belonging to upper caste) and an Ambedkar Statue (belonging to lower caste) under UPG-03 is also not reported to the GRC. However, the NGO concerned, Development Institute for System Alternatives, have communicated the issue to ESDU directly. In response, the NGO was directed to resolve the issue by initiating more consultations. Similarly a property dispute between two members in the same family has been taken up by Court, prior to which it was not referred to GRC. The role of GRC is undermined, mainly due to the lack of any statutory roles.

The role played by NGOs is crucial yet the guidance and support from an exclusive upper body could strengthen the functioning of NGOs at field level. If the capacity of NGO in implementing the proposed task is limited, as is evident from the slow progress recorded in various segments of assignments, measures should be taken to strengthen the resources of working NGOs. Additional qualified NGOs may also be entrusted with the lagging tasks so as to complete the works in time.

Monitoring of NGOs should be more systematic. The capacity of NGOs should be monitored at every stage of the work including, mobilising PAPs, disbursing R&R assistance and imparting


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training to PAPs, identifying specific income-restoration ventures and NGOs functional ways of orientating PAPs for proper utilisation of Economic Rehabilitation Grant.

Corrective measures based on learning from real field situation are very important and PIU could be more vigilant in delivering their expertise for maintaining the pace of project implementation.

It is observed that the delay caused in anyone of the scheduled activities of NGOs will affect their entire work schedules. The delay is caused mainly in coordinating land acquisition related activities. At the same time, the reasons of delay, the constraints in the field are neither documented properly nor communicated to the PIU. A proper documentation and communication with the PIU could help in making alternative arrangements intended to ease the implementation process. The PIU could also get involved with NGO functioning to identify the delay and direct them for better management of field situations.

Project Implementation Unit [PIU]

Resettlement and Rehabilitation Officer [RRO]

Land Acquisition Officer [LAO]

R&R CELL

DISTRICT R&R CELL

District Level Committee [DLC]

Project Affected/Displaced Population/Locale

Grievance Redress Cell [GRC]

EXTERNAL AGENCY

PWD

Figure 1: Organisation Structure for R&R Implementation: Theory


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Project Implementation Unit [PIU]

PWD

Environment and Social Development Unit

R&R Officer

LA Officer

Project Affected/Displaced Population/Locale

Grievance Redress Cell [GRC]

Construction Supervision Consultant

Project Circles

Project Divisions

District Level Committee [DLC]

DISTRICT LEVEL

Non-Government Organisation

Figure 2: Organisation Structure for R&R Implementation: In Reality


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ANNEXURE – D

1. UP RESETTLEMENT & REHABILITATION POLICY: AN ADDENDUM

The penitent issues which crop up during the execution of R&R Policy require institutional restructuring, some others could be possibly resolved through the present institutional arrangements itself, but the resolution package addressing core issues may be developed gradually based on a thorough understanding of the dynamic changes happening in real field.

1.1 ISSUES REQUIRE ATTENTION

• Procedures of land acquisition [virtual transfer of title deed from EPs to PWD] shall be clearly mentioned – the various activities that are followed in land acquisition are listed out in the Variation Order issued to concerned NGOs. These particular activities could be also applied for monitoring the process of land acquisition.

• Functions related to R&R activities for each category of personnel, especially that of ESDU, RRO should be detailed out and defined beyond doubt – these components should reflect in R&R Policy also – the percentage of inputs within “R&R Cell” Personnel’s functions may be clearly mentioned if he / she is heading additional responsibilities other than R&R implementation.

• Provisions of UP Road Side Land Control Act (UPRSLCA) may be mentioned in R&R policy1 – this is with respect to restraining people from roadside encroachments. Section 3(1) of the Act stipulates that the State Government may, by notification in the official Gazette, declare any land within a distance of four hundred and forty yards from the centre line of any road to be a controlled area. According to Section 5 of the Act, “…no person shall erect or re-erect any building, or make or extend any excavation, or lay-out any means of access to a road in a controlled area except with the previous permission of the Collector in writing.

• Government rule related to private negotiation may be mentioned – The Uttar Pradesh Land Acquisition (Determination of Compensation and Declaration of Award by Agreement) Rules, 1997 shall be added to the R&R Policy.

• Process of disbursing compensation shall be clearly mentioned – the mechanism for disbursing compensation shall be clearly mentioned in the R&R Policy. The flow of compensation money from PIU to PAPs should be mentioned in detail and the transparency in these disbursement procedures will ease the financial monitoring of the project.

• Construction started even before the release of Economic Rehabilitation Grant (ERG) – necessary steps should be taken to disburse all the entitlements before initiating construction works. The entitlements received by PAPs are being utilised for construction of houses, buying alternative land, setting up new business ventures etc. The post-disbursement utility of compensation needs to be documented by NGOs for future learning.

1 Refer PS & IDS Review Report, TCS et.al., October 2000. Chapter 3, pp.49.


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• Disbursement of ERG in the form of productive assets2 – substitution of cash as proxy for re-establishment of production capabilities is not an effective approach for income restoration. Productive assets would mean those resources, which provide an income or livelihood to the PAP. The following are some illustrative examples of productive assets, which could make an improvement in the livelihood of those PAPs who are affected due to the project.

• A flour mill from which the PAP used to earn livelihood,

• Various implements used in farm.

• Different types of fish species (fingerlings) for improved production in the PAPs’ homestead based fish-pond,

• Hybrid variety of seeds for improved farming,

• Hybrid variety of livestock for improved production in the backyards, etc.

• Approach and methodology for income restoration of PAPs may be spelt out in R&R Policy – The R&R Policy mentions about income restoration in entitlement matrix only.

• Information disclosure should also include the details of Loan from World Bank – Apart from providing information on R&R entitlements, the project implementing authority should also disclose about the total amount of loan, the interest rates there of, the potential ways of repaying the loan amount etc. This is in view of creating a feeling of integrity among entitled persons and as a basic attempt to sensitize them towards achieving national development objectives.

• Contents in Signboards placed in various project sites may be agreed upon before the project being initiated in the field – the video clips taken by PWD on UPSRP shows that the reconstructed / relocated / renovated structures, temples, statues, etc are “Constructed by UPPWD under World Bank Funded UPSRP - Phase I and II”, thus undervaluing civil liberties. Each signboard should carry information related to budget details of particular initiatives, duration of work, number of labour-days created etc., in order to highlight larger development benefits of the investment deal.

• The entire process throughout the project cycle shall be documented – this should contain all the processes right from the project discussion with funding agencies, feasibility studies, detail project reporting stages, prioritisation mechanism, RAP preparation stages, NGO selection, preparation of micro-plan, detailed procedures followed in land acquisition, monitoring and evaluation by external agencies (role of construction supervision consultants), etc., shall be compiled. This is with the objective of departmental reference, and is with an in-built sustainability motive.

• Sensitisation programmes shall be formulated – this should impregnate the twin objective of sensitising road agency personnel towards considering social and environment issues in

2 The Upper Krishna RAP Evaluation Report. OED, World Bank. Also mentions about the effectiveness of distributing productive assets instead of cash grant.


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their road management plan and also of sensitising public regarding the intended use of roads and of duties and powers of road agencies.

• Local governing bodies shall be empowered to take up the works carried out by NGOs –preparing micro plan, carrying out land acquisition procedures could be done by NGOs in the primary stage considering the urgency of work. It is worth to note that these NGOs could not function once these specific objectives are fulfilled. However, for sustaining the functioning of a facilitator, local governing bodies could be a better agency if properly oriented towards broader objectives such as evaluating income restoration initiatives carried out within the project sites, cost-benefit assessment of project benefits on individual and regional basis based on set criteria developed for the purpose.

• Integrating the project affected poor with other broad benefit-network of UP Government – the case of squatters who belongs to below poverty category, identify ways to integrate them with any slum development or housing programme existing in the State. This is crucial especially for those who are displaced at the same time not able to relocate themselves due to their acute poverty situations.

• Gender issues in Resettlement and Rehabilitation – The resettlement planning and entitlement compensation should have a gender dimension. Involvement of women in planning and implementing RAP shall be ensured. Proper consultations with women groups on their specific requirements with respect to livelihood (especially, supplementary economic activities after household activities, child development, health issues etc.).

• Protecting Legalizable Land Rights – Those who do not have any title deeds over the land, which they occupy for several years, shall be recommended for legalising their possession through any government land titling process or from customary or traditional usage.

1.2 THEMATIC AREAS FOR ADOPTION

Three core areas are presently identified and which requires more dedicated institutional support. This has to be viewed as the best opportunity to yield maximum benefit from each unit of public investment made for the transport infrastructure development in the State.

1.3 MONITORING AND EVALUATION

Monitoring and evaluation refer to the process of observing and assessing the progress and accomplishments of projects and programmes. Monitoring and evaluation are different yet related activities and the procedures followed usually overlap. United Nations Development Programme (UNDP, 20023) provides a useful definition on the two distinct concepts.

• Monitoring is defined as a continuing function that aims primarily to provide the management and main stakeholders of an ongoing intervention with early indications of progress, or lack thereof, in the achievement of results.

3 UNDP, 2002. Handbook on Monitoring and Evaluating for Results. Evaluations Office, United Nations Development Programme, New York. Pp.6.


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• Evaluation is defined as a selective exercise that attempts to systematically and objectively assess progress towards and the achievement of an outcome. It is basically an appraisal of whether the project has met its stated objectives, if not an in-depth analysis of reasons that contributed to the lapse.

• Levels of Monitoring and Evaluations – the stages at which monitoring and evaluation are done could be decided based on the nature, requirement and resource availability with respect to the project and also based on institutional capacity of project implementing body. The various level of M&E are as follows:

• State Level – the implementation unit responsible for social and environmental issues is the Environment and Social Development Unit.

• District Level – the District R&R Cell, which is functioning in close cooperation with District Level Committee, is the body responsible for monitoring and evaluation at this level.

• Community Level – the external evaluation agency, viz., Construction Supervision Consultant is exclusively responsible for the M&E at this level4. The working pattern of CSCs as M&E consultants could be modified and they be entrusted with additional responsibilities of M&E at field level in close cooperation with NGOs. At the same time CSCs could be empowered to assist the proceeding level organisations in compiling M&E Schedules.

Identification of Major Tasks – conceiving the specific objectives of the project, major tasks will be formed at respective levels of monitoring and evaluation. The major tasks thus formed will be bifurcated into activities and sub-activities. Major tasks could also be presented in quantitative terms; number of tasks at each level. The targeted attainment of each task at each stage is presumed to be cent percent. The major tasks under resettlement and rehabilitation may include, public consultation, land acquisition, entitlement disbursement, relocation / reconstruction of structures, training programmes, awareness programmes and income-restoration / micro-enterprise planning.

Identification of Activities – based on the major tasks pooled as per the requirements of the project, activities and sub-activities could be identified. Listing of the same has the twin advantage of assessing the manpower requirements to carry out the project work. As this will give a clear idea about the time targets with manpower requirements, the organisational capacity of NGO could be decided. This, in turn forms the basis of NGO selection based on specific criteria like, manpower requirements, in-built financial resources5, etc. Activities and sub-activities may be either done step by step or may overlap. In such cases, distinctive set of

4 However, presently Construction Supervision Consultants monitor or evaluate the work done by NGO.

5 A possible delay in the immediate or short-term mobilisation of financial resources from the project agency should not affect the progress of the work if NGOs or grassroots level implementing body possess necessary financial backup as prescribed by the project agency.


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manpower may be required to handle respective activities6. This is a major appreciation towards timely attainment of targets.

Identification of Indicators – this is built on the activities / sub-activities schedule prepared at the preceding stage. This forms the base-level information mostly in quantitative terms like, number of EPs, number of structures built, number of persons (male and female) attended in the training programmes, number of IEC materials distributed etc (Sample format for M&E is provided as Table 2).

Field Visits – Scheduled field visits by ESDU officials, especially to locations where progress is real slow is required. This could generate more insights on the social and institutional problems, which could possibly be documented and communicated to CE for institutional strengthening measures, if the location specific problems require so.

Review Meeting by PIU – Internal Review Meeting at PIU level, especially to review the overall progress and drawbacks of R&R activities will provide a holistic approach to the initiatives. Presently, internal review meeting under the chairmanship of CE is conducted once in a month. This could be continued and made more systematic with proper documentation of progress reviewed, problems identified and measures taken.

Review by Ad hoc Committees – Ad hoc Committees could be formed comprising of 2-3 members. The Committee could be empowered to assess the progress and to deliver internally possible alterations to the existing functioning.

CIRCLE

DIVISION

PROJECT DISTRICT

CSC

PROJECT BASE

NGO

PWD / ESDU

Major Task to be monitored by PWD/ESDU

Coordinate M&E information at respective Circles and Divisions

Activities and Sub Activities to be monitored at District Level

Major tasks, activities and sub-activities with specific indicators to be monitored by CSC

Major tasks, activities and sub-activities with specific indicators to be documented by NGOs

Figure 1: Monitoring & Evaluation (Social) Framework for UPSRP

6 NGOs normally overlap between activities for various reasons; possible hitches in completing one set of activity due to factors beyond their control, and erratic distribution of limited manpower (from project agency’s point of view) simultaneously in other activities causing unnecessary delay.


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Distribution of Monitoring & Evaluation Responsibility – the primary responsibility of monitoring and evaluation of R&R activities rests with ESDU as given in Figure 1. The distribution of M&E responsibilities could be as follows.

• Periodic assessment of achievement rate of targeted Major Task will be the primary responsibility of ESDU. Towards this goal, the compiled and quantitative data inferred from information at various levels should be depended upon.

• Personnel at Circle Level and Division Level should be empowered to compile the M&E information for respective levels, based on the data provided by District level R&R Cell (or RRO).

• At District level, the achievement rate of various identified activities will be assessed. The detailed field reports provided by Construction Supervision Consultants will be studied by RRO and necessary arrangements will be suggested and communicated to both ESDU and NGO at field level.

• The external evaluation agency, CSC will monitor NGO activities following the M&E filled up schedules containing major tasks, activities, sub activities and specific indicators provided by NGOs. CSC should cross check the information provided by NGOs at randomly selected locale. This should be substantiated with narrative reports of problem cases and necessary recommendations.

• At field level, NGOs will fill up M&E schedules simultaneously with the implementation of various R&R activities.

1.4 INCOME RESTORATION

Income restoration initiatives seek to achieve significant reduction of poverty. The economic rehabilitation grant (ERG) provided to the EPs and also the training/skill upgradation programmes have to achieve the specific goals of generating a better standard of living. A sustainable delivery of income is expected to occur from the micro-enterprise or agriculture / livestock based ventures, whichever is chosen by EPs. Places where entitlements were disbursed, the EPs have taken up their own micro-enterprise or are ‘planning to initiate’ a business. Once the money is disbursed, the NGOs have little say over the EPs’ decisions of utilising the money. In terms of sustaining the income flow for keeping the EPs, especially the vulnerable groups at least in their previous standard of living, the NGOs should follow up income generation activities with following steps through participatory approaches.

• Ensure gender equality in accessing productive resources

• A status survey of income restoration ventures which the EPs opted for (post-disbursement documentation)

• Additional resources (cash, labour, etc) mobilised by EPs

• Rate of return on investment for different IR activities

• Main constraints faced by EPs in scaling up their IR ventures


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• Follow-ups by NGO to eliminate the constraints and providing perennial income.

1.5 LAND ACQUISITION PROCEDURES

As per the Variation Order issued by UPPWD on the concerned Agency, NGOs facilitate Land Acquisition. The procedures followed in acquisition of land are listed in the first column of Table 1. Some more major activities, which are actually done in the field, may be added so that PIU could prepare a realistic work plan with respect to LA. The necessary institutional arrangement with respect to LA under UPSRP and the normal arrangements existing within the State are also mentioned in Table 1.

The present document provides details on additional arrangements and technical inputs pertaining to land acquisition, functioning of present ESDU, overall monitoring and evaluation and impact assessment tips for income restoration activities. This is basically short-term remedial measures in view of the existing institutional structure of ESDU. However, to achieve long-term social development goals, a wider institutional structure should be required implying a restructuring of the present ESDU. A number of consultations need to be done again at PWD level, NGO level and also at the grassroots project locale for a holistic social management policy paper.


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Table 1 : Procedures of Land Acquisition and Institutional Arrangements7

Institutional Arrangements Activities as per Variation Order to NGOs engaged in Land Acquisition

Activities to be mentioned Additionally* Normal UP Case UPSRP Case

Demarcation of the alignment on ground ---

Joint verification by revenue, PWD officials and NGOs of record of rights in the field with farmers who physically possess the land

---

Identification of outdated records of each plot, if any

---

Prepare the vanshavali of the titleholder ---

Collect Information on Annual Value of Gross Production from Agriculture Department

Collect Circle Rate from District Magistrate Office

Assess the market value of land in accordance with the R&R

Collect Registry Rate from Sub Registrar Office

Prepare the draft micro-plan indicating the R&R package each affected titleholder will receive

---

Follows LA Act 1894. [Section 18 of the Act insists for Court procedures in case of any objection with respect to measurement of land, amount of compensation etc)

Follows LA Act 1894

UPSRP R&R Policy Measures

Land Acquisition Officer

Direct Purchase based on Mutual Agreement

Involvement of District Level Committee

NGOs facilitates LA. Exists Grievance Redress Cell for settlement of objection before Court Procedures

7 Procedural delays in land acquisition under UPSRP is detailed out in Annexure-J


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Institutional Arrangements Activities as per Variation Order to NGOs engaged in Land Acquisition

Activities to be mentioned Additionally* Normal UP Case UPSRP Case

Carry out consultation with each affected titleholder on the package they will receive

---

Display the draft micro-plan in public places in the villages

---

Finalize the micro plan in consultation with the affected people

---

Documents the process of consultation ---

Submit the agreed replacement cost for the affected land to the Commissioner for approval along with all the documentations of consultations

---

After approval by the Commissioner, this will be forwarded to PWD and PWD will disburse compensation to concerned District PWDs and simultaneously informs NGO regarding the matter

After the approval of the replacement cost of the affected, disburse the R&R package to entitle person and purchase the land in favour of PWD

NGO Mobilises EPs, Concerned PWD Personnel for compensation disbursal and title deed transfer

Get registered the sale deed and land transferred in the name of PWD

---


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Table 2: Monitoring Schedule: Resettlement & Rehabilitation

Project Name Package Corridor Village District

Brief description of General Objective of project Description of Major Task – 1 Project start date Project end date Activities necessary to fulfil the Major Task. Indicate who is responsible for each activity and an indicator of activity accomplishment

Duration of Activity [in months or quarters]

Activity Responsible Body Indicator 1 2 3 4 5 6 1 2 3 4 5 Description of Major Task – 2 Project start date Project end date Activity Responsible Body Indicator 1 2 3 4 5 6 1 2 3 4 5


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Monitoring Record: Site Visit

Name of person (s) visiting project site:

Date of visit:

Package no. District: Village:

Objective of the visit: [i.e., routine supervision, technical assistance, problem resolution, etc]

Observations:

Recommendations:

Actions to be taken and next steps:


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ANNEXURE – E

1. MAJOR ENVIRONMENTAL IMPACTS

The environmental impacts that are likely to arise due to road improvement works are delineated in all the DPR/ feasibility reports. However these reports do not address large scale & sensitive impacts and cross environmental impacts during construction, design and planning stages. The cause effect relationship between the project and the impacts are delineated in this section with elaboration on other cross cutting themes which has to be incorporated in the Environmental Management Plans.

Typical road project impacts that require to be assessed, in respect to environmental and social considerations, include impacts on natural environment as well as human health and safety. This paper also deals with mitigation measures to offset the impacts.

1. Habitat Modification: There are two interrelated types of habitat modification:

a.) Transformation and Loss:

Transformation involves changes in the biophysical conditions of a habitat, e.g., increased temperatures, noise, or air pollution, as well as drying out of the habitat or cutting trees. When this occurs along roads, it is termed road effect or edge effect. The edge effect zone typically extends 200-400 m on either side of the cleared road surface, including verges and ditches. The edge effect zone is usually asymmetrical, with boundaries reflecting local environmental variables such as slope, winds, and habitat suitability on both sides of the road. Knowledge of the likely width of the edge effect zone allows informed estimation of the proportion of the land area, beyond the physically disturbed right-of-way, that needs to be included when estimating impacts.

Edge effects can be measured as changes in productivity, under-storey species numbers, overall species abundance and diversity, and micro-climatic conditions both new (green-field) and rehabilitation projects, which often significantly disturb vegetation and communities. The cutting of canopy trees leads to complete floristic transition from shade-loving species to pioneering and sun-tolerant plants. Naturally, these changes have profound effects on the local wildlife. While species richness in fragmented areas sometimes exceeds predevelopment levels, loss of native communities often occurs, and is considered a serious negative ecological impact. Unimproved roads may accommodate a considerable number of species that would be severely threatened by improvements such as widening. Only a small number of species or wildlife communities are associated with paved road rights-of-way. With transformation of land areas, rehabilitation and repair is possible, often at considerable cost, while loss such as for roadways, building sites, etc. is no longer available to the natural ecosystem. Loss represents a 100% removal of that land area from the interconnected natural environment.

b.) Isolation:

In regions where there are high population densities and steady degradation to natural habitat, wildlife populations, of all types, find it increasingly difficult to survive. Their main tactic for


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population maintenance is movement from one feeding/breeding area to another along established travel routes, usually forested corridors. A new road or a significantly upgraded road can easily cut off these travel routes, isolating populations in areas too small for survival and maintenance of genetic diversity. Coupled with other factors related to human encroachment and hunting pressures, populations can rapidly destabilize and die out.

2. Barrier Effects: Linear developments such as roads, railways, and even power transmission lines, become barriers when they are, or are perceived by wildlife to be, impossible or dangerous to cross. In this sense, the barrier effect is both physical and psychological. The four most important components of road corridors that can act as functional barriers to wildlife movements are: shoulders, ditches and drains; poorly-designed crossing structures and, traffic.

a.) Shoulders, Ditches and Drains:

The construction and operation of a road brings about changes in the microclimatic conditions at the edge of the road. Variables like temperature, humidity and evaporation are affected by the presence of roads. Research suggests that such edge effects extend from 200-400 meters on either side of the pavement. This zone of altered microclimatic conditions can become inhospitable barriers for the entire range of organisms from insects to large mammals. These conditions can assist non native species, which have been transported by vehicles to new areas, to get a foothold and out-compete local flora and fauna, eventually spreading and eliminating indigenous habitat.

The physical characteristics of roadside areas may also playa large role in determining the extent of the barrier effect. Deep ditches and steep embankments are especially formidable barriers to smaller terrestrial species such as amphibians and reptiles, as are cleared ground where most species are exposed to predators.

b.) Crossing Structures:

Culverts, underpasses, and bridges often do not incorporate features that encourage their use by animals, thus ultimately functioning as physical barriers to movements of both terrestrial and aquatic species. Factors influencing the effectiveness of crossing structures are structure width, approach area, length, height above ground, and visibility from the structure. A basic understanding of an animal's life history and generally preferred habitat, feeding activity and movement patterns are essential to successful design of crossing structures. Such data are nearly always available from local communities. For aquatic animals, channelisation of flowing water, where roads cross streams, creates a physical barrier, as it often results in increased water velocity, preventing many aquatic species from moving against the newly increased currents. Culverts are of particular concern since their configuration, diameter, length and placement in the watercourse directly determine whether they will block or permit passage of aquatic species and whether they will become chronic erosion points. Roads passing through or beside wetlands (e.g., marshes, swamps, and lakes) can inhibit or prevent aquatic animals from moving between the wetland and adjacent habitats. If these animals are able to cross the road barrier (e.g., amphibians, turtles), they then risk heavy mortality from road traffic.


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c.) Traffic:

Traffic is the second highest cause of animal mortality along roads, with hunting and illegal trapping being first. Traffic acts as a barrier due to the noise and air pollution it generates in a narrow band. In areas where wildlife travels existing routes, facilities such as underpasses should be constructed if the road alignment cannot be shifted. The better the road, the higher the traffic volume and, the larger the number of illegal hunters.

3. Resource Exploitation: There are four types or resource exploitation impacts directly linked to road development. These are:

a.) Tree Cutting:

Tree cutting is nearly always a part of road improvement. In India, however, starting in the 1960s, it has introduced a widespread tree replanting programme along roadsides to counter the rapid conversion of forests to agricultural land, whilst recognising the value of trees for shade, fuel and fodder. These roadside forests were planted almost to the edge of pavement and are now designated as protected. As well, India is also protecting its remaining forests by giving most a reserve and protected status and, prohibiting the cutting of these without special applications and clearances. All road planners must be aware of these requirements and the need to consult with State Department of Forests and submit a Forest Land Conversion Application, in each state.

b.) Non-Timber Forest Products (NTFP) Collection:

Traditional NTFPs have formed an important food and income source for populations living near or in forests, such as Tribals. Roadside 'forests' and areas on either side of the road for 100-200m are often picked clean of all NTFPs. PWD, the State Forest Department and State PWDs do not have the resources to enforce control of this harvesting. Most NTFPs can be harvested in a sustainable manner so long as they are removed with care to avoid damage to surrounding areas or, the local extinction of a particular NTFP.

c.) Hunting:

Hunting takes place in all forests in India even though in most it is prohibited. Any new roads passing into or close by previously inaccessible lands make the forest patches vulnerable to rapid \wildlife depletion by hunting. Road planners must be aware of this fact and consider options carefully, consulting wildlife specialist when possible.

d.) Tourism:

Improved and new roads stimulate tourism leading to both negative and positive effects. Destinations such as parks and sanctuaries previously off the beaten track, become easily accessible and are stressed, possibly damaged, by too many uncontrolled visitors due to a lack of staff, facilities and equipment. Conversely the added tourists bring needed revenues to the destinations helping to improve the facilities and staff resources (assuming that funds are applied where they originate).


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4. Impacts due to poor construction initiatives: Once completed, environmental studies, whether screening studies or full EIAs, are generally not used again, and/or are never brought to the attention of design engineers, contractors. As a result, contracts provide weak, if any, environmental guidance, with contractors and proponents being given few incentives (clauses) to comply with mitigation requirements. There is also marginal environmental inspection. This is unfortunate since it is the construction activities that often result in serious short and long term impacts, which could be almost totally avoided if dealt with in a preventative manner.

Impact Significance: Project impacts are likely to be significant if they are very large in scale or sensitive in nature. Given below are few cases where impacts can be assumed to be significant in nature.

a) Large Scale impacts

1. Extensive over space or time;

2. Intensive in relation to assimilative capacity;

3. Above or close to environmental standards or thresholds;

4. Likely to deplete or damage resources that are commercially exploited;

b) Sensitive impacts

1. Non-compliant with environmental policies, land use plans, sustainability strategy;

2. Likely to threaten public health or safety;

3. Likely to limit agriculture, wood gathering or resource uses on which people rely for subsistence;

4. Likely to affect protected or ecologically sensitive areas, rare or endangered species or heritage resources; and

5. Likely to disrupt the lifestyle of large numbers of people or that of vulnerable minorities.

c) Impacts: Preconstruction, Construction, Operational Period

1.) Preconstruction Period Impacts

It is during this stage that all EA documentation must be prepared and the plan for implementation of mitigative actions defined. By knowing where/what environmental hotspots exist or future issues are likely, due to inappropriate or shortsighted planning, planners can avoid serious impacts by; inter alia, modifying a design condition, adjusting alignment segments, varying construction techniques, or modifying the earthworks plan. Therefore, knowledge of these hotspots is the cornerstone to technically sound and credible EA.

Possible cause-effect scenarios associated with design and planning problems are illustrated in Table 1. Of these the most important relate to keeping land and asset losses to a minimum and


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making sure that drainage alterations will not affect the natural surface water system to the extent where long term chronic effects such as damming and desertification take place. Poor identification of valued ecosystem components, leading to a focus on less important impacts and overlooking the real issues, is sometimes very serious since the entire EA is thrown off track.

Table 1 : Common Environmental Impacts and Causes: Design/ Pre-Construction Stage

ALIGNMENT

Access Restrictions due to enlarged and fenced roadway, elevated sections, etc.

Land and asset losses due to unwillingness to make alignment adjustments

LAND

Call for excessive/extreme unprotected embankment slopes, due to attempts at cost savings

Use of unlicensed quarries and borrow areas, due to inadequate knowledge of regulations and/or misguided need to reduce costs per ton of material extracted

EARTHWORKS AND RELATED

Sloppy earthwork calculations leaving excessive fill or cut, requiring disposal plans and/or additional extraction leading to long-term impacts

Poor design and planning of quarry, aggregate and other borrow areas, including development of access

WATER

Constriction, blockage or chronic degradation due to inadequate road and crossing structure design

Inadequate preparation for construction water needs, knowledge of local water balance and depletion of local resources

Storm and surface water drainage obstructed due to engineering errors e.g., wrong ‘model-storm’ used

FLORA AND FAUNA

Excessive and uncontrolled loss of roadside tree plantations during construction

Restriction or obstruction of wildlife movement/ migration by enlarging road or placing of new component such as a bypass

Trespassing onto Reserve Forest

ENVIRONMENTAL QUALITY

Failure to note sensitive air quality sites such as hospitals and schools and reroute alignment around or away from these. Unmanaged Air Quality issues

Same problem as above for identified noise sensitive locations – Unmanaged Noise levels

Cultural heritage

Unnecessary loss of cultural properties due to inappropriate road planning or failure to properly identify cultural heritage and archaeological sites.


May 2007 vi

BUILT ENVIRONMENT

Deficient planning for early relocation of utilities such as electrical power and water services prior to ground breaking

Insufficient provisions for alternated access and detours for affected households and businesses

2. Impacts During Construction

Impacts during the construction period (Table 2) associated with the physical building of the road, and all associated infrastructure, are often linked to the most intensive short term effects and, if not properly mitigated, can lead to chronic long term impacts and losses for both the biophysical and human environment. The most well known of these relate to, poor soil conservation, inadequate surface water drainage restoration and, poor management of construction camp waste. A contractor, competent in implementing mitigative measures and, a proponent committed to enforcement can, together, avoid most impacts.

Table 2: Common Environmental Impacts and Causes: Construction Stage

SOIL

Soil Erosion due to inadequate and immediate application of stabilisation techniques

Illegal and excessive borrowing of earth

Contamination of soil from fuel and lubricants

Contamination of soil from construction wastes and quarry materials

Soil compaction due to excessive enlargement of construction work area

WATER

Damage to surface water resources used by local population, e.g. drainage of ponds and tanks. Construction materials blocking drainage and run-off

Contamination of construction site surface runoff leading to pollution of receiving water bodies such as rivers, lakes and ponds

Contamination of water from fuel and lubricants

Inadequate treatment of sanitation and waste disposal in construction camps

AIR

Emission from construction vehicles and machinery

Construction related dust, from movement of vehicles at site and to sites from borrow and quarry sites, etc.

NOISE

Inadequate prevention of construction related noise from vehicles, asphalt plants, crushing and batch plants and equipment

Noise from blasting operations


May 2007 vii

FLORA

Loss or damage to vegetation

Failure to properly manage/store topsoil, leading to degraded site rehabilitation, poor revegetation and often the introduction of non-native pioneering species.

FAUNA

Loss, damage or disruption !o fauna due unnecessary and un-approved increases in construction work areas and failure to control construction camp activities related to hunting and gathering of forest products, etc.

SAFETY AND ACCIDENT RISKS

Accident risks from construction activities

Loss of access / Traffic Jam

Health issues related to adequate drainage and prevention of stagnant water which can act as mosquito breeding areas, leading to such diseases as malaria, yellow fever and encephalitis.

Inadequate sanitation and first aid, leading to disease outbreaks and loss of productivity and even life.

CULTURAL PROPERTIES

Unaware or unconcerned contractors damaging, destroying or even looting religious /cultural/historical (archaeological) properties

2. Operating Period Impacts

The operating period of a road starts at commissioning. Impacts are nearly all related to air and noise pollution due to motor vehicle operation, safety issues due to increased traffic volume and, speed and the movement of hazardous and toxic materials on these roads, particularly through urban areas. Finally there is the issue of the maintenance and management of mitigative measures such as revegetation and tree planting schemes initiated during the construction period. Table 3 lists a number of the more common impacts stemming from the operation of new or upgraded roads.

Table 3 : Common Environmental Impacts and Causes: Operating Period

HAZARDOUS AND TOXIC MATERIALS

Contamination from spills due to traffic and accidents

Accidents involving hazardous materials without adequate spill contingency planning and clean up

AIR AND NOISE

Increased traffic, poor road geometry, insufficient vehicle emission control, leading to air pollution in previously unaffected areas

Failure to implement noise abatement measures such as plantings, berm construction, noise barrier construction, noise abatement awareness program (incl. use of horns) and relocation of


May 2007 viii

sensitive receptors such as hospitals and schools, leading to chronic noise pollution

STORMWATER RUNOFF

Unmanaged storm water drainage from road surfaces drained directly into water courses leading to chronic contamination

Permitting ponding of water along roadsides, ditches/drains and for more than 48 hours, creating breeding grounds for mosquitoes and other insect-borne diseases.

FLORA AND FAUNA

Failure of contractor to prepare a mitigation completion report for hand-over to PWD, leading to a collapse of the mitigation program.

lack of maintenance of revegetation and tree planting, leading to steady degradation

inadequate treatment of roadside vegetation leading to excessive wildlife losses, i.e., roadside grazing of large herbivours, etc.

inadequate Fencing and access controls along the roadways and at rest areas leading to trampling of vegetation, harvesting and animal-vehicle collisions.


May 2007 i

ANNEXURE – F

1. SUGGESTED ENVIRONMENTAL MANAGEMENT MEASURES

Environmental protection and management is a high priority for UP PWD roads. PWD should aim to achieve consistently sound environmental performance through a strong organisational commitment to a systematic approach and a process of continual improvement. The department has legal obligations to manage the road network consistently with environmental legislation and policy. There is also an obligation to the community to ensure that environmental issues arising during a project are adequately addressed.

In order to implement proper environment management practices keeping in consonance with the Institutional Development Study [2002] undertaken by TCE formulated a vision for UP PWD: “Creation and maintenance of an available, accessible and affordable road network in Uttar Pradesh which is safe, encroachment free, and eco-friendly for everyone at all time.”

Environmental management measures for reference by implementing authority are discussed below.

• Eco-friendly roads

• Mitigation Measures

• Monitoring

• Cost Estimates

1.1 ECO-FRIENDLY ROADS

Accordingly the various criteria that have to be taken care of developing eco-friendly roads are developed as follows:

a. Maximum resource protection and minimum restoration of forest area.

b. Avoid environmental sensitive areas as per MoEF, EIA guidelines. Roads sensitive areas like sanctuaries, reserve forests, protected forest, wetlands, hill slope.

c. Alignment should not pass through mining areas, minimum river crossings; avoid rolling terrain, minimum Erosion (E1 and E2), soil suitability indices for green belt development. Ensure survival of native trees and species.

d. Environmental large leaf area with green tunnel should be ensured. Minimum tree cutting and tree should only be cut up to formation width of the road toe line. The tree plantation strategy should such that at least a lane provision should be kept while planting.

e. Plantation of pollution tolerant trees.

f. The haulage for materials construction of roads should be of minimum distance


May 2007 ii

g. Natural drainage pattern in the creation of hazardous wastes land fill sites at critical black spot 25-50 mts away from the road

h. Environmental risk should be minimum with respect to accidents.

i. Environmental monitoring for a 7 kms on either side of the road (project influence area)

j. Eco-friendly road will have more environmental measures of eco-sensitive areas, improving/preserving ecological pyramid on the road side, cultural properties, protection of archaeological sites, and settlements

k. Eco-friendly road should have environmental audit environmental management system (EMS) 14001

l. While planting trees along road bhrytes (creepers to indicate the concentration of pollutants and attenuating efficiency of the air and noise pollutants) should be planted this would help in biological monitoring.

m. Debris Management: Ensure safe disposal of wastes, and reuse of cut materials.

n. Drainage: Proper location of drainage outfall, provision of longitudinal and cross drainage as per requirements and conduct hydrological investigations during project preparation.

o. Topsoil: Topsoil removal from areas temporarily/permanently used for construction, storage of topsoil in stockpiles and protection from erosion and reuse of topsoil at areas to be revegetated

p. Minimum social disruption including PAPs

q. Minimum land acquisition

r. Safety measures should be devised for primary schools located near road with respect to entry and exit.

s. Precaution against HIV/AIDs

t. PWD should have a dedicated team of Environmental Specialists, whose role would be to provide environmental advice, develop guidance and to assist with implementing Environmental programme. PWD may employ Environmental Consultants to undertake necessary Environmental surveys, and investigations.

1.2 MITIGATION MEASURES

When undertaking any type of highway work, PWD should examine the environmental features of the project area, create a matrix using the factors listed in Table 5 and 6, plus a limited cause effect diagram, and consider this a starting point for an impact checklist and, later, as part of an Environmental Management Plan [EMP]. Referring to such a checklist when designing a project can lead to large savings in mitigation costs, since preventative actions can usually be taken to avoid impacts.


May 2007 iii

Often mitigative actions are less a function of the severity of the predicted impact and more based on the money and time available at the time and the amount of public/political pressure to mitigate the impact. Clearly this not the environmentally responsible approach. PWD should strive to first examine impacts, predict their severity and duration, estimate economic losses due to inaction, and then estimate the cost involved knowing budget ceilings. If funds are in short supply, mitigation measures should be prioritised in relation to impact severity and cost. Every effort should be made to prevent/avoid negative impacts, since the cost of prevention is nearly always much less than mitigation.

a.) Common Planning and Design Phase Mitigation Measures

Mitigation measures associated with a projects Planning and Design Phase should be mostly preventative in nature (Table 1). By integrating mitigation measures into project planning and design elements, many impacts are avoided or reduced. Even though this action will cost a little more there will be a net benefit.

Table 1: Common Mitigation Measures Applied During Project Planning and Design Phase

IMPACT COMMON MITIGATION MEASURE

ALIGNMENT

Access Restrictions due to enlarged and fenced roadway, elevated sections, etc.

Provision of service roads

Underpasses or grade separations

Land and asset losses due to unwillingness to make alignment adjustments

Shift centerline of the road has been shifted adjusted.

Adopt suitable cross-sections and adjustment of median width

Design retaining/toe walls to limit extent of widening and property loss

LAND

Call for excessive/extreme unprotected embankment slopes, due to attempts at cost

At all critical slopes along the roadsides, turfing will be done to protect the slopes as per 1974 Indian.

Use of unlicenses quarries and borrow areas, due to inadequate knowledge of regulations and/or misguided need to reduce costs per tonne of material extracted.

Existing licensed quarries that are already in operation have been recommended.

Non-productive, barren lands, raised lands, riverbeds, waste lands have been recommended for borrowing earth materials; no productive land will be used for this purpose.

Through community consultation with the villagers and interactions with State


May 2007 iv

IMPACT COMMON MITIGATION MEASURE Department of Fisheries, low lying areas, wastelands that have a potential of being developed into fish ponds have been recommended for borrow areas.

EARTHWORKS AND RELATED

Sloppy earthworks calculations leaving excessive fill or cut, requiring disposal plans and/or additional extraction leading to long-term

Optimization of cut fill estimations, considering needs for fill, haul distances, and general cut-fill balancing

Poor design and planning of quarry, aggregate and other borrow areas, including development of access roads to these sites

Develop aggregate, borrow and any materials sites within the local, state and national regulations set out for that purpose. Avoid long access roads (See Annexure: M, N, O & P)

No borrowing from river-beds.

WATER

Constriction, blockage or chronic degradation due to inadequate road and crossing structure design

Maintain the existing course of the river, streams and canals if at all possible.

Protect perennial community pond near highways by staying more than 20m away or with 2m high embankment

Inadequate preparation for construction water needs, knowledge of local water balance and depletion of local resources

Through local consultation, establish water availability and a water use plan, including trucking water from outside the work area, in semi-desert areas such as Rajasthan and central Andhra Pradesh

Investigate and implement if possible groundwater recharging through water harvesting check dams, tanks (underground tanks created at the end of a natural/ man-made slope) or to be trucked).

Storm and surface water drainage obstructed due to engineering errors e.g., wrong ‘model-storm’ used

The natural drains will be suitably modified so that highway does not obstruct these cross drainage.

Provision of adequate size and number of drainage structures.

Excessive and uncontrolled loss of roadside tree plantations during construction

Trees saved by expanding the road on one side in uninhabited stretches and symmetrical in constricted places.


May 2007 v


Trees will be removed with prior approval of DFO. Compensatory afforestation as per Forest conservation Act 1980 will be adopted. 2 trees will be planted for each tree felled; 10 trees for each socially important (e.g. Food producing) tree lost, as per regulatory compliance

Restriction or obstruction of wildlife, movement/mitigation by enlarging road or placing of new component such as a bypass

Signage an/ or fencing

Keeping roadsides free of animal food sources, e.g. grasses and fodder

Provision for animal underpass at important travel routes

Trespassing onto Reserve Forest Signage and fencing

Posting of range of fines

ENVIRONMENTAL QUALITY

Failure to note sensitive air quality sites such as hospitals and schools and reroute alignment around or away from these. Unmanaged Air Quality issues

Design roads to reduce restrictions to a minimum and provide adequate passing and bypasses to urban congestion.

Plan for tree plantation on both sides of the road and in the median as soon as possible. These areas will be plan\ed with shrubs of suitable species to reduce the air pollutant concentrations and to attenuate noise.

Same problem as above for identified noise- sensitive locations- Unmanaged Noise levels

Pinpoint bottlenecks and relieve congestion in built- up stretches through improved design.

Improve design of junctions/intersections

Segregate of slow and fast moving traffic.

Include noise berms and plantations in design around sensitive sites or barriers

CULTURAL HERITAGE

Unnecessary loss of cultural properties due to inappropriate road planning or failure to properly identify cultural heritage and archaeological sites.

Based on public input and engineering limits, alignment will be suitably routed to avoid/minimize impact to cultural property


May 2007 vi


BUILT ENVIRONMENT

Deficient planning for early relocation of utilities such as electrical power and water services prior to ground breaking

Map out location of utilities and the extent of relocation needed. Prepare a timetable for relocation and reconnection suited to the Project Affected-Households

Insufficient provisions for alternated access and. detours for affected households and businesses

Consult with local officials to establish an adequate detour plan and sufficient access to areas cut off or constrained by the work

b.) Common Construction Period Mitigation Measures

Mitigation measures during the construction period (Table 2) are nearly all linked to contractors failing to carry out routine 'good housekeeping' tasks as part of the daily work routine. For example, not implementing a dust control program, permitting work camps to be located in areas where contamination or surface waters is possible, inspecting earthworks inconsistently leading to waste dumping and environmental damaged.

Proper control over borrow and aggregate extraction activities are often associated with the chronic long term impacts. Contractors often claim that they cannot be held responsible for development and operation of sites owned by others, thus these operations remain unmonitored. This is avoided by specifically including a contract clause requiring contractors to use only legally licensed operations.

Table 2: Common Mitigation Measures Applied During the Construction Period


SOIL

Soil Erosion due to inadequate and immediate application of stabilization techniques

Revegetate barren areas, cuts and work areas as soon after the work has been completed as is practical.

Illegal and excessive borrowing of Earth

No earth borrowed from within the ROW.

Non-productive, barren lands, raised lands, riverbeds, waste lands first choice as borrow areas

Contamination of soil from fuel and lubrications

Construction vehicles and equipment will be maintained and refueled at protected refueling stations.

Fuel storage and refueling sites located away from drainage channels and important water bodies.


May 2007 vii


Contamination of soil from construction wastes and quarry materials

Contaminated or hazardous waste such as bitumen waste to be dumped in selected & approved by PWD or its consultants.

Soil compaction due to excessive enlargement of construction work area

Identify work area boundaries with contractor (s) and describe system approvals for extensions and fines for violations

WATER

Damage to surface water resources used by local population, e.g. drainage of ponds and tanks.

Degraded water sources/ponds etc. will be rehabilitated arid compensated for, immediately; assuming road improvement planning and design not effective

Construction materials blocking drainage and run-off

All structures and channels must be kept clear of debris and immediately rebuilt if needed

Contamination of construction site surface runoff leading to pollution of receiving water bodies such as rivers, lakes and ponds

Drainage from all sites to be channeled to discharge via percolation area and for sensitive sites through a settling pond with a 24 hr retention period.

Contamination of water from fuel and lubricants

Waste petroleum products will be collected, stored and disposed off at the approved sites as per Hazardous Waste Management and Handling Rules, 2002

Inadequate treatment of sanitation and waste disposal in construction camps

The construction camps will be located away from the habitation.

The sewage system for such camps will be properly designed and built so that no water pollution takes place. Such facilities will be decommissioned at end of construction period.

Solid waste (garbage) system must also be operational, including provision for recycling and reuse.

AIR

Emission from construction vehicles and machinery

All vehicles, equipment and machinery used for construction will be regularly maintained to ensure that the pollution emission levels conform to the standards prescribed in Central Motor Vehicles Rules, 1969.


May 2007 viii


Construction related dust, from movement of vehicles at site and to sites from borrow and quarry sites, etc.

All precautions to reduce the level of dust emissions from the hot mix plants, crushers and batching plants will be taken up.

Water will be sprayed in the lime/cement and earth mixing sites, asphalt mixing site and temporary service and access roads.

Vehicles delivering material will be covered.

NOISE

Inadequate prevention of construction-related noise from vehicles, asphalt plants, crushing and batch plants and equipment

The plants and equipment used for construction will strictly conform to MOEF noise standards.

Noise standards for industrial enterprises will be strictly enforced to protect construction workers from severe noise impacts.

Working hours/ activities will be adjusted to avoid low-noise times (See: Annexure Q)

Noise from blasting operations

Blasting as per Indian Explosives Act will be carried out,

People living near such blasting sites gel prior information of operational hours.

Blasting will not be undertaken in night hours.

FLORA

Loss or damage to vegetation Forest Conservation Act-1980-policy, 2 trees will be planted for each tree to be cut.

Do not cut giant trees and ‘community’ trees

Failure to properly manage/store topsoil, leading to degraded and substandard site reclamation and revegetation

Cleary defined topsoil storage and handling in contract specs and follow up with regular inspection/monitoring and reporting.

FAUNA

Loss, damage or disruption to fauna due to unnecessary and un-approved increases in construction work areas, soil compaction and failure to control construction camp activities related to hunting and gathering of forest products, etc.

Construction workers will be directed not to disrupt or damage the fauna.

State rules for hunting (Wildlife Protection) will be adhered and rules for bird catching (Wildlife Protection) will be followed.

Off-limits fencing and signage where necessary


May 2007 ix


SAFETY AND ACCIDENT RISKS

Accident risks from construction activities Construction safety to be followed as defined in FIDC contract specifications and ILO conventions

Loss of access/ Traffic jam

Temporary access will be built at interchange of highway and other roads and temporary diversions will be provided wherever necessary with proper drainage facilities. (See Annexure: R)

Health issues related to adequate drainage and preventation of stagnant water which can act as mosquito breeding areas, leading to such diseases as malaria, yellow fever and encephalitis

Health provisions to be supplied as defined in FIOIC clauses.

Inadequate sanitation and first aid, leading to disease outbreaks and loss of productivity and even life.

Adequate drainage, sanitation and waste disposal facilities will be provided at work places

First Aid station to be provided to workers

CULTURAL PROPERTIES

Unaware or unconcerned contractors damaging, destroying or looting religious/ cultural/ historical (archaeological) properties

Relocation of cultural properties

If archaeological relics found, stop work and contract state Archaeology Departments for advice

Consistent compliance monitoring, reporting and follow-up actions, if non-compliance is detected, are the three most important mitigative measures after the preparation of an Environmental Management Plan.

c.) Common Operating Period Mitigation Measures

Mitigation during the operational period of a project (Table 3) most often has to do with installation of noise attenuation measures associated with traffic noise, the maintenance of roadside vegetation barriers designed to attenuate some of the emissions as well as the noise. Secondly measures that either failed or were not carried out, such as slope stabilization, are implemented/repaired at this time, usually at a considerable additional cost increase1.

1 Retrofitting a mitigative action that was not applied during a projects construction period, or at the start of the operating period, is usually more complex and, generally involves some repairs before the mitigative action can be implemented.


May 2007 x

Essential yet nearly always overlooked is the requirement for the contractor to prepare an End-of-Work Mitigation Summary, providing the operator a guide to what was done where and when, making the planning delivery of the new operational period mitigation programme seamless and relatively easy. This summary, prepared by the contractor(s) or the monitor, need not be more than a matrix table with, the mitigation measures as listed in the EMP down the first column and information for the following items identified in the adjacent columns:

• mitigation action start and completion date;

• action taken in relation to definition in EMP;

• where specifically was the mitigation measure applied;

• follow up operating period action recommended; and,

• reasons for non-compliance, e.g. incomplete mitigation measure.

The End-of Work Mitigation Summary should be on the contractors final payment checklist, with funds released only after PWD has received and accepted it.

Table 3: Common Operating Period and Associates Mitigation Measures

IMPACTS COMMON MITIGATION MEASURES

HAZARDOUS AND TOXIC MATERIALS

Contamination form spills due to traffic and accidents

The spills at the accident sites will be cleared immediately

The left over will be scrapped to small lined confined pits nearby, within the ROW

Accident involving hazardous materials without adequate spill contingency planning and clean up

The ‘rules’ as defined in Environmental (Protection) Act, 1968 will be complied.

Hazardous substances certificate/permits issued by transportation department namely permit license, driving license and guarding licenses will be required.

State spill management plan to be followed

AIR AND NOISE

Increased traffic, poor road geometry, insufficient vehicle emission control, leading to air pollution in previously unaffected areas.

Roadside tree plantation will be maintained

Vehicular emission control policy including engineering improvements. Fuel conversions encouraged

Mandatory annual vehicle inspection for heavy vehicles encouraged

Regular maintenance of the road will be done to ensure good surface conditions.

Failure to implement noise abatement measures such as

Undertake remedial planting and repair

Reduce use of horns


May 2007 xi

IMPACTS COMMON MITIGATION MEASURES plantings, berm construction, noise abatement awareness program (incl. Use of horns) and relocation of sensitive receptors such as hospitals and schools, leading to chronic Noise pollution

Monitors noise pollution and effectiveness of noise attenuation measures

Public awareness program will be launched.

STORMWATER RUNOFF

Unmanaged storm water drainage from road surface drained directly into water courses leading to chronic contamination

the drainage system will be periodically cleaned

undertake remedial drainage system repair including setting basins or interceptors runoff means (indirect route to receiving water)

Water quality will be monitored as per the monitoring plan

FLORA AND FAUNA

Failure of contractor to prepare a mitigation completion report for hand-over to road operator

Withhold final payment until such report is submitted to PWD. Also assist contractor with prep. Or the End-of-work Mitigation Report

Lack of maintenance of revegetation and tree planting, leading to steady degradation

Efforts will be made for proper maintenance of planted trees, shrubs and grasses will be done to maintain greenery and aesthetics through comm Unity contracts.

Inadequate treatment of roadside vegetation leading to excessive wildlife losses, i.e. roadside grazing of large herbivores, etc.

The replanting scheme to be repaired and strictly monitored for first 3 year

Inadequate Fencing and access controls along the roadways and at rest areas

Examine value of fencing and appropriateness in relation to species involved – consult experts and take action.

1.2.1. Mitigation Measures: Environmental Management Plan

The Environment Management Plan (EMP) is the synthesis of all proposed mitigation and monitoring actions, set to a timeline with specific responsibility assigned and follow-up actions defined. It primarily consists of:

A list of all project related activities and impacts, organised by development stage (planning, construction and operation);

1. Specific remedial and monitoring measures for construction and operation stages;

2. A list of regulatory agencies involved in implementation of the EMP and their responsibilities;

3. A Reporting Schedule, and,


May 2007 xii

4. Cost Estimates and sources of funding for EMP implementation expenses.

Project related impacts

Project related impacts have already been discussed.

Remedial measures are devised to minimise adverse project impacts. These are undertaken through the following key measures:

• Avoidance: Maintenance and Rehabilitation projects are examples of projects that ensure that major construction work and thus impacts on surrounding environment are avoided.

• Mitigation: Mitigation measures during the design stage ensure that impacts do not spill over to the surrounding environment.

• Compensation: In case of residual impacts compensatory measures are undertaken to replace the loss incurred due to adverse project impacts.

The aim of remedial measures should be; to deal first with significant adverse impacts and to realise opportunities for environmental gains and benefits. Once these have been addressed, attention can be turned to impacts that are adverse but not considered to be significant. Some of these may be mitigated easily, others may not. Good practice in mitigation requires a relevant technical understanding of the impacts and the measures that work in local circumstances. These aspects will be project-specific and must take account of various issues and considerations, such as practicality, cost-effectiveness, views of stakeholders, and policy and regulatory guidance.

1.3 MONITORING

Monitoring is the continuous process of assessment of implementation of remedial measures, at regular intervals, to ensure the desirable level of environmental quality envisaged in the EA document. Thus monitoring and contingency plans for unprecedented impacts are to be prepared before the start of construction. The objectives of monitoring may be specified as follows:

• To provide an ongoing picture and track progress of EMP implementation,

• To ensure timely implementation and maintain the desired environmental standards,

• To make sure environmental resources are used effectively,

• To identify problems and find solutions at an early stage

• To identify new emerging opportunities

• To maintain records of events

• To review adequacy of institutional capacity and budget allocations

• To assess EMP effectiveness and suggest modifications based on actual site conditions.


May 2007 xiii

Monitoring and Evaluation should be relevant for all stakeholders involved in the project. Each of the stakeholders has different needs and objective that must be adequately addressed through the monitoring system. The monitoring programme that forms a part of the EMP contains a monitoring plan for all performance indicators, reporting mechanism and format, and necessary budgetary provisions. Performance indicators may be classified as:

1. Environmental condition indicators: To determine efficacy of environmental management measures in control of air, noise, water and soil pollution;

2. Environmental management indicators: To determine compliance with the suggested environmental management measures;

3. Operational performance indicators: To determine efficacy and utility of the mitigation / enhancement design proposed.

For all key environmental components, the monitoring plan specifies the parameters to be monitored, monitoring location, frequency and duration of monitoring. The monitoring plan also specifies the applicable standards, implementation and supervising responsibilities. A typical monitoring plan for road projects during construction and operation stages is presented in Table 4. The locations at which performance evaluation has to be carried out are specified in Table 5.


May 2007 xiv

Table 4: Typical Monitoring Plan for a Road Project Institutional Responsibilities

Attribute Project Stage Parameter Special Guidance Standards Frequency Duration Location

Implementation Supervision

Air Construction RPM, SPM, SO2, NOx, CO & Pb

High Volume Sampler to be located 50 m from the plant in the downwind direction, Sampling and Analysis procedure according to the IS Specification

Air (Prevention & Control of Pollution) Rules, CPCB, 1994

Once every three seasons (except monsoon) per year for each year of construction.

48 Hours continuous on working days

At the location of Hot-mix plant, batch plant.

Contractor through approved monitoring agency

Environmental ESDU

Water Construction

pH, Suspended Solid, Turbidity, Total Hardness, Oil & Grease, Dissolved Oxygen, Fecal Coliform, Total Coilform

Grab sample collected from source and analyse as per Standard Methods for examination of water.

Indian Standards for Inland Surface Water (IS: 2296, 1982) & for Drinking Water (IS: 10500, 1991)

Twice a year, (pre monsoon and post monsoon seasons) for each year during construction period.

Grab Sampling following IS specification


Environmental manager, ESDU


May 2007 xv

Institutional Responsibilities Attribute Project

Stage Parameter Special Guidance Standards Frequency Duration Location Implementation Supervision

Construction

Noise level on dB (A) scale using Sound Level Meter

Free field at 1 m from equipment whose noise level are being determine

MoEF Noise Rules, 2000

Once every season (except monsoons) for each year of Construction

Readings to be taken at 15 seconds interval for 15 minutes every hour and then averaged.

At the Construction Equipment

At the critical receptors


Environmental Manager, ESDU

Noise

Operation

Noise levels on dB (A) scale Noise levels on dB (A) scale

Equivalent noise levels using an integrated noise level meter kept at a distance of 15 m from edge of pavement

MoEF Noise Rules, 2000

Once every season (except monsoons) for five year after completion of construction activity.

Readings to be taken at 15 seconds interval for 15 minutes every hour and then averaged.

At the critical receptors

Additional location will be decided by the ESDU

ESDU ESDU

Soil Construction Monitoring of Pb, Oil & Grease

Sample of soil collected to acidified and analyzed using absorption spectrophotometer

Threshold for each contaminant set by IRIS database of USEPA until national standards are promulgated

During the Pre monsoon & Post monsoon season each year for the entire construction period

Grab Sampling

At productive agricultural lands abutting traffic detours and traffic diversions and major intersections


ESDU

Hazardous Material

Monitoring after any major accidents / spillage during bulk transport of hazardous material. Depending on the type of spillage/accident the parameters to be monitored will be decided by the Engineer apart from those mentioned above


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Table 5: Monitoring Location

Attribute Stage Location

Air Construction

Where ever the contractor decides the Hot-mix plant (One Monitoring Station per Location)

At Critical Location:

At all the sensitive Receptors with in the radius of 1000 m per location of Hot-mix plant.

Water Construction At Critical Location:

At all water bodies and within the radius of 100 m of comm Unity drinking water facility.

Construction

Wherever the contractor decides to locate the equipment yard.

At Critical Location:

At all the sensitive Receptors (refer Annexure Q) with in the radius of 500 m per location of equipment yard.

Noise

Operation At the critical location mention above.

Soil Construction At productive agricultural land close to location of construction site.

At any accident / spill location involving bulk transport carrying hazardous material.

1.3.1. Reporting Schedule

An EMP should contain a clear reporting schedule, including discussion of what to submit, to whom, and when. For road projects the Reporting system for an EMP operates at two levels as:

1. Reporting for environmental condition indicators and environmental management indicators (except tree cutting indicator); and

2. Reporting for operational performance indicators at the Environmental Management Unit (ESDU) level.

An example of reporting framework for a DPR project is presented in Box 1.

Box 1: Reporting Framework for DPR project

Contractor and construction supervision consultants shall operate the reporting system for environmental condition and environmental management indicators (except tree cutting). The ESDU shall operate the reporting system for environmental management tree cutting indicator and operation performance indicators. The ESDU will set the targets for each activity envisaged in the EMP beforehand and all reports will be against these targets.

Contractor shall report to the Engineer of construction supervision consultant, on the progress of the implementation of environmental conditions and management measures as per the monitoring plans. The Engineer in turn shall report to the ESDU on a quarterly basis which is


May 2007 xvii

Box 1: Reporting Framework for DPR project reviewed by the ESDU by Environmental Manager. The ESDU will also send compliance report to the MoEF every six months as per the conditions of clearance granted for the project after receiving the report from the contractor and duly verified by the Engineer.

Reporting formats for contractors shall be prepared in addition to approval of the environmental personnel of the engineer in the request for application to proceed to ensure that the environmental provisions are suitably included along with the main works. These will not only ensure that the environmental provisions are addressed but also link the satisfactory compliance to environmental procedures prior to approval of the Interim Payment Certificate (IPC) by the Engineer. Construction related activities that are detrimental to the environment will be finalized based on discussions between the Environmental Manager of the ESDU, team leader of the Engineer and the Environmental personnel of the contractor. The decisions will be communicated to the contractor prior to the start of the construction activities.

An example of a reporting schedule is presented in Table 6.

Table 6: Reporting Schedule

Responsibility Sl. No Indicator Details Pre-

construction Construction Operation

A Environmental Condition Indicator and Monitoring Plan

1 Air Quality

2 Noise Level

3 Water Quality

4 Soil Quality

The parameter to be monitored, frequency and duration mentioned in Monitoring Plan prepared


Environmental Manager of E&SM Unit, PWD

B Environmental Management Indicator and Monitoring plan

1 Dumping Locations

Location for dumping have to be identified and parameter indicative of environment in the area has to be prepared

Contractor, E&SM UnitPWD

2 Construction Camp

Location Identification and Demobilization after Construction and parameter indicative of environment in the area has to be reported

Contractor Contractor, E&SM Unit, PWD


May 2007 xviii



3 Borrow Areas

Location identification & redevelopment of borrow areas and indicative parameter of environment have to be reported

Contractor

Contractor, Environmental Manager (E&SM Unit), PWD

4

Tree Removal / Tree Plantation

Progress or tree removal and plantation is to be reported

Contractor, Forest Department

E&SM Unit, PWD & Forest Department

5 Enhancement

Progress of enhancement measures suggested for cultural properties, water bodies and incidental places is to be reported.

Contractor, E&SM Unit, PWD

6 Top Soil

Implementation of measures suggested to preserve top soil preservation shall be reported to engineer by contractor

Contractor

C Management & Operational performance Indicator

1 Survival rate of Trees

The number of trees surviving will be compared with number of sapling planted

Contractor will be responsible upto the defect liability period. After this period, E&SM Unit will be responsible for monitoring over a period of 5 years.

2 Utility of Enhancement provision

The E&SM Unit will visit each enhancement location to determine the efficacy of the enhancement

Contractor will be responsible upto the defect liability period. After this period, E&SM Unit will be responsible for


May 2007 xix



measures monitoring over a period of 5 years.

3

Status of rehabilitation of borrow areas

The E&SM Unit will undertake the site visit to the borrow areas to assess the efficacy of redevelopment plan

Contractor will be responsible upto the defect liability period, After this period E&SM Unit will be responsible for monitoring over a period of 5 years.

4 Safety & Hygiene

Safety measures at the construction site and Hygienic environment around the construction camp and construction site

Contractor along with the environment personal from the E&SM Unit

Environmental personal from E&SM Unit, shall be responsible for the site clearance during the demobilization of contractor

5

Utility of Noise Mitigation measures of sensitive receptors

The E&SM Unit will visit each sensitive locations with environmental monitoring agency to check the efficacy of the mitigation measures.

Contractor will be responsible up to the defect liability period, After this period E&SM Unit will be responsible for monitoring over a period of 5 years.

A schedule of various reporting formats is presented in Table 7. The Formats are presented in Annexure S.


May 2007 xx

Table 7: Schedule of Reporting Formats

Contractor Forest Wing Construction Supervision Consultant (CSC)

E&SM Unit

Format No.

Item Stage Implementation & Reporting to

Engineer

Implementation & Reporting to E&SM UNIT

Supervision Reporting to E&SM

UNIT

Oversee

/ Field Compliance Monitoring

Report to WB if

funded by the WB

EM1 Identification of Dumping Locations

Pre-Construction One Time - One Time One Time One Time One Time

EM2 Setting up of Construction Camp


EM3 Borrow Area Identification


EM4 Tree Cutting Pre-Construction - Monthly - - Quarterly Quarterly

EM5

Enhancement Measures for Cultural Properties, Water bodies & Incidental Spaces

Construction Monthly - Monthly Monthly Quarterly Quarterly


May 2007 xxi

Contractor Forest Wing Construction Supervision Consultant (CSC) E&SM Unit

Format No. Item Stage Implementation &

Reporting to Engineer



UNIT

Oversee


Report to WB if

funded by the WB

EM6 Tree Plantation and Landscaping

Construction Monthly Quarterly Quarterly

EM7 Top Soil Monitoring

Construction Quarterly Continuous Quarterly Quarterly Quarterly

EC 1 Pollution Monitoring

Construction As Per Monitoring

Plan - Quarterly Quarterly Quarterly Quarterly

EC 2 Pollution Monitoring Operation - - - -

As Per Monitoring

Plan Half yearly

OP 1 Survival Rate of Trees

Operation - Quarterly - - Quarterly Half yearly

OP 2

Utility of Enhancement Measures for Cultural Properties, Water bodies and Incidental Spaces

Operation - - - - Half Yearly Half yearly


May 2007 xxii

Contractor Forest Wing Construction Supervision Consultant (CSC) E&SM Unit

Format No. Item Stage Implementation &

Reporting to Engineer



UNIT

Oversee


Report to WB if

funded by the WB

OP 3 Status Regarding Rehabilitation of Borrow Areas


OP 4

Utility of Double Glazing of Sensitive Receptors



May 2007 xxiii

1.3.2. Cost Estimates

Budgetary estimates for environmental management of any project corridor include all items envisaged as part of the EMP. These include both one-time costs and recurring expenses for EMP implementation. Estimation has to be done based on the detailed Bill of Quantities (BOQs) and specifications for the enhancement and mitigation measures. The environment budget includes provisions for various environmental management measures (other than measures considered under good engineering practices), the environmental monitoring and orientation costs. A sample form for estimating preliminary environmental costs is presented in Table 8.

Table 8: Form for Cost Estimates

To be developed by individual Division Offices as per the District Schedule of Rates

PWD Division:

District Schedule of

Rates:

Name of District Year:

Sl No Items Unit Estimated Quantity

Unit Cost (INR)

Total Cost (INR)

A Pre-Construction/Construction Phase

1 Site Clearance - Tree Cutting

1.1

Cutting of trees, only as directed by the Engineer, excluding stump removal, including transportation and stacking within a lead of 5 Km

i) above 300 mm to 600 mm girth Number

ii) above 600 mm to 900 mm girth Number

iii) above 900 mm to 2000 mm girth Number

iv) above 2000 mm Number

2

Removal of Tree stumps and roots, stacking and filling of pits complete as per Technical Specifications Clause 201 (cutting of trees by others unless otherwise directed by the Engineer)

i) above 300 mm to 600 mm girth Number

ii) above 600 mm to 900 mm girth Number

iii) above 900 mm to 2000 mm girth Number

iv) above 2000 mm Number


May 2007 xxiv

PWD Division:


Rates:



Unit Cost (INR)

Total Cost (INR)

B Construction Phase

1 Mitigation measures other than good engineering practices

1.1 Oil Interceptors Number

1.2 Deepening of Ponds Volume (Cu M)

1.3 AIDS Awareness Hoardings Number

2 Tree Plantation & Protection

2.1 Nursery

2.2 No of trees in Each Nursery Number

2.3 Maintenance Number

2.4 Tree Guards

2.4.1 Iron tree guard Number

3 Landscaping

3.1 Shrubs Number

3.2 Trees Number

3.3 Grass Sq.Mt.

3.4 P Tiles Sq.Mt.

4 Monitoring of environmental attributes during construction activity

4.1 Air Quality

4.1.1 Monitoring near hot mix plant No. of Samples

4.1.2 Monitoring at Critical Areas No. of Samples

4.2 Noise Monitoring

4.2.1 Monitoring near Equipment Yard Number

4.2.2 Monitoring at Critical Areas Number

4.3 Water quality


May 2007 xxv

PWD Division:


Rates:



Unit Cost (INR)

Total Cost (INR)


4.4 Soil Quality


4.4.2 Additional Monitoring during spills Number

C Good Engineering Practices

1 Dust Suppression (To be covered in Earthworks)

Cu M

2 Erosion Control Measures

Turfing (the Contract Unit rate for application of topsoil shall be as per Technical Specification Clause 301.9.5)

Cu M

Clause 301.9.5 The Contract Unit rate for the items of stripping and storing topsoil and of reapplication of topsoil shall include full compensation for all the necessary operations including all lifts, but leads up to 1000 m.

Pitching

3 Provision of adeqaute Cross-drainage and side drainage structure

Pipe Culverts (Contract Unit rate for the pipes shall include the cost of pipes including loading, unloading, hauling, handling, storing, laying in position and jointing complete and all incidental costs to complete the work as per these Specifications) - To be Covered in Highway Estimation

Box Culverts (To be covered in Highway Estimation)


May 2007 xxvi

PWD Division:


Rates:



Unit Cost (INR)

Total Cost (INR)

Road side drains (To be Covered in Highway Estimation)

4 General borrow area management and maintenance of haul road related to borrow areas

5 Provision of informatory sign

5.1 Informatory Signs

i) Facility information 800 mm x 600 m complete as per drawings and as per Technical Specifications Clause 801

Number

ii)

Advance direction sign complete as per drawings and Engineer's approval and as per Technical Specifications Clause 801

Sq. Mt

iii) Route Marker sign 450 mm x 600 mm complete as pere drawings and as per Technical Specifications Clause 801

Number

iv) Direction sign as approved by Engineer

Sq. Mt

5.2 Cautionary Signs

i) Triangular 900 mm side complete as per drawings and as per Technical Specifications Clause 801

Number

ii) Hazard marker 180 x 1200 mm complete as per drwaings and as per Technical Specifications Clause 801

Number

iii) Hazard marker 300 x 900 mm complete as per drawings and as per Technical Specifications Clause 801

Number

5.3 Mandatory Signs

i) Triangular 900 mm side (for "GIVE WAY" sign) complete as per drawings

Number


May 2007 xxvii

PWD Division:


Rates:



Unit Cost (INR)

Total Cost (INR)

and as per Technical Specifications Clause 801

ii) Stop sign - Octagon of size 900 mm complete as per drawings and as per Technical Specifications Clause 801

iii)

Speed limit compulsory keep left 600 mm dia meter complete as per drawings and as per Technical Specifications Claus e801

5.3.1 Pavement Markings with ,machine laid thermoplastic paint complete as per Technical Specifications Clause 803

i) Lane/centerline/edge marking or any other marking

Sq. Mt

ii) Directional arrows, lettering etc. Number

5.3.2 Providing and fixing hectometer and kilometer stones complete as per Technical Specifications Clause 804

i) RCC Hectometer Stone (Ref. Dwg IRC:26-1967)

Number

ii) Kilometer Stone (Ref. dwg.IRC:8-1980, Plate 1)

Number

5.3.3

Supplying and fixing of Road delineators complete as per drawing and Technical Specifications clause 805- Roadway indiactors (guide posts)

Number

6 Busbays (Covered in Highway Estimation)

7 Construction of Speed bumps/breakers (Covered in Highway Estimation)

8 Cattle crossing (Covered in Highway Estimation)


May 2007 xxviii

PWD Division:


Rates:



Unit Cost (INR)

Total Cost (INR)

9 Relocation of Public Utilities and Service (Covered in Highway Estimation)

10 Management of Quarries

11 Redevelopment of Borrow areas

12 Safety measures for workers

D Relocation of Cultural Properties and Comm Unity Assets

1 Relocation of Cultural Properties

Area in Sq. mt.

2 Relocation of water points( well, hand pumps, tube wells and water tanks)

CDWT Nos.

Well Nos.

Water structure Nos.

Taps Nos.

Nos.

3 Relocation of other comm Unity assetsArea in Sq. mt.

E Operational Phase

1 Noise Monitoring

1.1 Monitoring at Critical Areas Number

2 Air Monitoring


3 Water Monitoring


Total INR


May 2007 xxix

Table 9: Form for Environmental Mitigation/ Enhancement Cost

Sl. No. Component Stage Item Unit

Unit Cost (Rs.)

QuantityTotal Cost (Rs.)

ENVIRONMENTAL COST

A MITIGATION / ENHANCEMENT COSTS

Construction

Dust Management with sprinkling of water, covers for vehicles transporting construction material

km

A.1 AIR

Operation Facilities/Arrangements for Vehicle Exhaust Monitoring

No.

Pre-Construction

Provision of Taps No.

Oil Interceptors at Vehicle Parking Area

No. A.2 WATER

Construction Recharge pits under Urban Drains

No.

Construction Double Glazing of Windows at Sensitive Receptors

sq.m A.3 NOISE

Operation Noise Barriers (raising of boundary wall)

m

A.4 CULTURAL PROPERTIES

Construction Relocation of Shrines, Temples/religious properties

No.

Putting up of Barbed wire fence along outer edge of RoW @ 150km on either side

m

Compensatory Tree Plantation @ 2 trees for each felled

No.

Landscaping along the highway using specified tree species

m

A.5 FLORA Construction

Tree guard for the trees in No.


May 2007 xxx

Sl. No. Component Stage Item Unit

Unit Cost (Rs.)

QuantityTotal Cost (Rs.)

the first row @ 12m c/c

Median Plantation No.

Landscaping at X Junctions along the highway

No.

Provision of Bus Stops @ 2 Nos. in urban stretches

No.

A.6 SAFETY Operation

Provision of Hoarding /Posters at Construction Camps & Truck Lay bys and Provision of Health checks at construction sites

No.

Monitoring of Hot Mix Plant Locations approved by the Engineer

No. of Samples

Construction Monitoring at construction sites in tandem with construction

No. of Samples

B.1 AIR

Operation At sensitive receptors No. of Samples

Construction At Equipment yards No. of Samples

B.2 NOISE

Operation At sensitive receptors No. of Samples

B.3 SOIL Operation

At Accident/Spill locations involving bulk transport carrying hazardous materials

No. of Samples

B.4 FLORA Operation At locations of Compensatory Plantation

L.S year


May 2007 i

ANNEXURE – G

1. BEST PRACTICES

The ‘best practice’ in the implementation of Environment and social issues in UP Road Sector Projects is “The process of seeking out, emulating and measuring performance against the best standard available”

The benchmark of best practice is continually change to higher levels, warranting the actions for continuous improvement.

The best practice approach for tackling Environmental and social issues would be to adopt current best practice principles/procedures adopted in the country or elsewhere.

UPSRP - Surveys During Screening

For example, GoUP has initiated Environmental and Social survey teams for UPSRP Road Projects during 2000 merging which were merged to provide inputs to be selection of the roads for improvements. Two teams, each comprising of 5 investigators and social scientist were deployed to carryout the survey. The social indicators were quantified based on their significance/importance. Based on the evaluation of indicators, the potential impacts of the various alignments were quantified. Potential impact scores per sq. km calculated for the various Roads formed inputs to the projects overall feasibility study. Similarly, the screenings of Environmental parameters were evaluated, graded into high, medium and low for each corridor. The overall Environmental Quality and sensitivity of each road was decided based on the collective parameter scores, which were inputs to the feasibility.

These best practices are to be continued for other road improvement works and the methodology/practices of UPSRP has been recognised in the International arena and as well documented in “The World Bank Document, 2006 on management of Environmental and social issues in Highway Project in India. The paper aims to produce such best practices an EIA process after reviewing National and International Environmental Management Practices.


May 2007 i

Table 1: EIA Process – Best Practice Matrix

Component Present Practice Weakness Best Practice Screening • Overview of the nature and

magnitude of project.

• Identification of hotspots / sensitive areas using Strip Maps

• No uniformity in screening process.

• Time allotted is less.

• Screening is compressed and screening process skips many environmental and social considerations

• Social screening shall be based on selected indicators of importance.

• Combined environmental and social surveys (synergy surveys) to provide to the selection of road improvement works.

• Each of the selected parameters shall be graded including for the alternatives such as bye-passes, service roads etc.

• The cumulative scores (social and environment) are putting to feasibility studies.

• Involve stakeholder consultations with more time and resources to attend public views.

• The screening exercise should have more analytical content than descriptive.

• Involve and increase the key professional time for screening purpose.

Scoping • Formally undertaken scoping exercise done for drawing TOR.

• Consultant take judgments on their own

• Scoping exercise not specified to the Consultants.

• Relevant Key environmental and social issues are ignored.

• Always scoping should be well-defined output to arrive at a significant environment and social parameters from screening process.

• Scoping practice shall be pursued before issuing TOR to the Consultants.

• Scoping methodology should be approved by


May 2007 ii

Component Present Practice Weakness Best Practice the stakeholders and institution sponsoring the project.

• Selection of monitoring locations based on wind-shield survey.

• Ad hoc approach is not representative with likely impact that is likely to arise during pre-construction and construction stages.

• The data and air quality not represent the cross sectional distribution of air-shed basin.

• Baseline data collection is generally done without understanding and including other developmental activities.

• The data normally collected and collated is not sufficient for prediction purposes.

• Snap-shot monitoring to fulfill the EIA report requirements.

• A short-terms screening model can be used for locating monitoring locations for air and water

• Establish ambient air-quality design network based on,

• terrain

• topography

• availability of power

• access

• sensitive areas

• sharp curves

• bye-pass alignments

• congested areas

Baseline environmental status

• Baseline is collected after the finalization of engineering designs. The data does not include other major initiatives in the project site.

• The baseline collected on environment may not help in optimum design of roads based on environmental parameters.

• Overlapping of baseline data with other major initiatives depicts the uncertainty and fussiness in data interpretation

• Ensure environmental and social surveys are synergically collected before taking engineering design.

• The baseline data shall be collected for selection of camp sites, mixing plants, quarry areas and analyze for the alternative sites.


May 2007 iii

Component Present Practice Weakness Best Practice Monitoring and

Evaluation • M&E is done as per the

MORTH specifications • Performance indicators to indicate

the quality of environment is missing

• Selection of monitored parameters and comparing with the compliance requirements for limited parameters do not indicate the quality of monitoring schedule.

• The environment laboratories do not have expertise in analyzing samples for heavy metals, specific gas pollutants due to other major initiatives existing in the area.

• M&E shall be followed systematically through identified performance indicators.

• The samples (air, water. soil etc) should be analyzed by Centrally recognized laboratories which has EMS 14001 certificate, to meet prescribed quality standards.

• The sample shall be analyzed as per APHA Manual (19th Edition)

• GIS application and modeling shall be used for M&E over the years.

Site location for hot-mix, WBM, quarry,

borrow areas

• The sites are located by the contractors based on land availability and minimum haulage distance without analyzing alternative sites on environmental attributes.

• This leads to environmental conflicts with the community, local government and statutory authorities.

• The site shall be selected based on environmental, social and project attributes.

• These attributes have to be evaluated using value function graphs. This methodology will provide great site suitability index value for better selection.

Analysis of alternatives

• The selection of promising selection of alignments is based on topographic features and appraisal of the various developmental activities using satellite imageries on a scale

• The method does not consider comparative evaluation of alternative subsections and ranking of alternatives.

• The quantitative parameters for selection of alignments are

• A well defined methodology for alternatives can be used by applying various analytical tools and statistical models.


May 2007 iv

Component Present Practice Weakness Best Practice of 1:50000. completely ignored and are purely

based on qualitative and pragmatic judgments.

• Accessibility Index and distances for sensitive area specified in MoEF guidelines is randomly considered.

Environmental Audit / EMS 14001

• No such audits are undertaken for Highway projects.

• Absence of audit protocol, procedures and expertise in highway projects and type of audit (snap-shot, continuous) didn’t allow undertaking such innovative concepts for environmental certifications.

• Conduct environmental audit based on the procedures developed elsewhere for highway projects with the professional team to arrive at minimum economic costs for road maintenance and other improvement works.

• EMS 14001 shall be undertaken for the completed roads fulfilling the certified agency requirements.

• PWD should submit environmental statement during September/October to UP Pollution Control Board annually as followed in other sectors.


May 2007 i

ANNEXURE – H

Table 1: Applicability of Acts and Clearances: Policy Level

Engineering Interventions

Environmental Acts, Policies and Laws Clearance Authority New

Alignment4-6

laning

Widening to 2 lane with /

without Strengthening (of existing

section)

Reconstruction

Structural adjustment

Periodic maintenance

Routine maintenance

Environment (Protection) Act, 1986

Environment Impact Assessment (EIA) Notification dated 27/01/1994 and amendment dated 4/5/1994, 10/4/1997, 27/1/2000, 13/12/2000, 1/8/2001, 21/11/2001 and 16/06/2002, clearance is required if:

The project involves more than 20m land acquisition either side of the existing alignment put together.

A A A NA NA NA NA

Project road passes through ecologically sensitive area such as National Parks, Sancturies, Tiger Reserve, Reserve Forests etc.

A A A NA NA NA NA

Cost of bypass is exceeding 100 crores and cost of expansion / modernisation is exceeding 50 crores.

MoEF, GoI

A A A NA NA NA NA


May 2007 ii



Alignment4-6

laning



section)

Reconstruction



Routine maintenance

Project road passes through CRZ area and cost of the project is more than 5 crores.

A A A NA NA NA NA

Coastal Regulation Zone (CRZ) Notification 19/02/1991 and as amended up to 3/10/200, clearance is required if project road is passing through any CRZ areas.

CZMA NA NA NA NA NA NA NA

Forest (Conservation) Act, 1980 and as amendment up to 2004, clearance is required if: tree cutting is involved / Diversion of forestland.

R. O., MoEF, GoI A A A NA NA NA NA

The Indian Wildlife Protection Act 1972 and as amendment up to 2002, clearance is required if the project road passing through any wildlife habitat within 10 km surrounding area.

National Wildlife Board/Supreme Court

A A A A A A A


May 2007 iii



Alignment4-6

laning



section)

Reconstruction



Routine maintenance

The Air (Prevention and Control of Pollution) Act 1981 SPCB A A A NA NA NA NA

The Water (Prevention And Control Of Pollution) Rules, 1974 and as amendment in 1988

SPCB A A A NA NA NA NA

MoEF: Ministry of Environment and Forest, R.O.: Regional Office, SPCB: State Pollution Control Board, GoI: Government of India, CZMA: Coastal Zone Management Authority


May 2007 iv

Table 2: Applicability of Clearances at Construction Stage (To be obtained by the Contractor)

Associated Construction Activities

Clearances Authorities

Hot mix plants,

Crushers and

batching plants

Construction vehicles and equipment

Storage and transportation of hazardous materials and

explosives

Disposal of bituminous

wastes

Quarrying and borrowing operations

Extraction of Ground Water

Consent for Operation from Uttar Pradesh State Pollution Control Board as per The Air (Prevention and Control of Pollution) Act 1981:

A NA A A NA NA

PUC from Department of Transport as per Central Motor Vehicle Act, 1988, State Motor Vehicle Act, 1989

NA A NA NA NA NA

Geology and Mining Directorate, Govt of Uttar Pradesh

NA NA NA NA A NA

Central Ground Water Board or State Ground Water Authority

NA NA NA NA NA A


May 2007 i

ANNEXURE – I

FUNCTIONAL RESPONSIBILITIES OF ESDU

There are certain institutional and formal functional responsibilities to be adhered to by ESDU. This is in accordance with the various rules, regulations, laws and Acts of State and National Government. Other responsibilities are with respect to the development objectives, which each road project upholds, viz., livelihood enhancement, poverty eradication, sustainable environment development and gender development. The various functional responsibilities of ESDU are as follows.

A. Ensuring compliance of projects with national policies on environment and resettlement & rehabilitation –

Obtaining environmental Clearance for all new projects or activities listed in the Schedule to the Environment Impact Assessment Notification 20061. The Schedule includes, new National Highways and new State Highways and also expansion of National / State Highways greater than 30km involving additional right of way greater than 20m involving land acquisition.

Adherence to National Policy on the Resettlement and Rehabilitation of Project Affected Families2. Following the broad guidelines and executive instructions for guidance of all concerned and this is applicable to projects displacing 500 families or more enmasse in plain areas and 250 families enmasse in hilly areas, Desert Development Programme (DDP) Blocks, areas mentioned in Schedule V and Schedule VI of the Constitution of India. Appropriate Government and Administrator for R&R shall implement this policy in order to ensure that the benefits envisaged under the Policy reaches the Project Affected Families, especially resource poor sections including Scheduled Castes and Tribes.

B. Effective Management of Environmental and Social Impact Assessment Processes –

Management of environmental and social impact assessment processes by designated environment management and social development specialists in PWD.

Prepare and modify the EA and SIA Terms of Reference to suit project requirements and guide Consultants on the process to be adopted.

Modifications to R&R Policy in accordance with project entitlements.

C. Implementation of Management information (MIS)

Implementation of structured computerized management information system (MIS) that facilitates timely and informed decision making at all levels of management. ESDU will be

1 Published in the Gazette of India, Extraordinary, Part-II, and Section 3, Sub-section (ii) Ministry of Environment and Forests, dated 14th September 2006.

2 Published in the Gazette of India, Extraordinary Part-I, Section 1, No-46, Ministry of Rural Development, dated 17th February 2004.


May 2007 ii

consistent with respect to MIS strategy in the department’s institutional strengthening plan. The existing MIS developed by PWD can be refined and tested in a pilot scale for which two zones will be selected. The MIS system shall scale up only after successful completion of the pilot stage.

D. Preparation of Terms of Reference

Giving instructions regarding quality management of environment and social issues that arise out of road development projects. These instructions detailing the scope of work and mentioning corresponding responsibilities, for the professionals or agencies to be engaged in various stages of implementing the project, is considered as Terms of Reference (ToR). ToR requires to be designed for various distinct activities as detailed below.

Preparation of ToR for EA and SIA Processes

ToR should be very specific and clear about the nature, scope and methodology, technical contents and methods of collecting information. ESDU shall consider the following while preparing ToR.

Clearly spelt out objectives

Judicious blend of qualitative and quantitative information

Specific quantitative prediction tools

Precise survey techniques intended to collect focussed baseline data

Criteria for genuine analysis of alternatives

Sensitive methodology to absorb location specific environmental and social considerations

Clarity in output requirements

Realistic estimation of time, budget and personnel requirements for completion of EA and SIA

Integration with engineering designs and stakeholder consultations

Directions for effective stakeholder consultations

Preparation of ToR for Independent Reviews

Independent review of the EA and SIA is to be done for ensuring judicious assessments and also assuring skilful integration of outputs in engineering designs.

ESDU may assign, considering the financial resources of the project, Independent Review Consultants with the task of reviewing EA and SIA and the various outputs such as Screening Reports, Project EA/SIA, Generic and Corridor Specific EMPs, Resettlement Action Plan and R&R Policy along with other documents of upgradation and rehabilitation components.

ToR shall also guide to confirm that EA and SIA process is closely integrated with the Project’s economic, financial, institutional and technical aspects.


May 2007 iii

Preparation of ToR for Supervision Consultancy

Supervision of construction activities for its compliance with environment and social aspects and the scope and nature of work shall be reflected in the ToR designed for Supervision Consultancy.

Provisions shall be made for inducting one Environment Expert and one Social Expert in the Lead Consultant Team.

Evaluation of Environment and Social Experts for their qualification, experience and appreciation of the project.

The decision making authority of Environment and Social Experts over the Contractor shall be specified in the ToR apart from giving a detailed list of roles of Supervision Consultants in implementing EMP and RAP.

Preparation of ToR for NGOs Implementing RAP

Selection of NGOs through competitive bidding processes for implementing RAP.

Assess and rank the capacity of NGOs are specialised in community oriented development initiatives, their local experience, capacity to establish rapport with the community and thereby facilitate the implementation of RAP.

Ensure recruitment of experienced NGOs in resettlement and rehabilitation, livelihood restoration programmes, awareness building programmes on road safety and health issues like HIV/AIDS. The following aspects deem importance while preparing ToR for NGOs.

• Realistic estimation of works for NGOs with respect to RAP

• Ensure flexibility in ToR with respect to change of scope of work for NGOs3

• Provision for allocation of upfront financial resources

• Criteria for assessing NGOs capacity in terms of experience in RAP implementation, experience of staff in community development programmes, participatory research appraisal, report writing, conduct of awareness and facilitation meetings and networking with similar Government and Non-Government Agencies who are having stake in the project.

• Explicit directions for NGOs to provide necessary information and cooperation to Monitoring and Evaluation Consultants.

Preparation of ToR for Monitoring and Evaluation Consultancy

Project Implementing Authority shall either carries out M&E activities themselves or shall entrust the task with Supervision Consultants.

3 Scope of work for NGOs may change due to changes mainly related to design alignment changes. Information provided in RAP may not be specific, especially with respect to number of PAPs, PDPs etc and may change in due course of time, either because of the methodological problems in projections based on sample estimations or due to substandard reporting.


May 2007 iv

In case of projects with more than or equal to 100 affected population, PIA shall hire services of independent M&E Consultants.

The distinct components to be monitored with schedules specifically developed mentioning respective activities and sub activities shall become part of ToR.

Apart from complying with the M&E specifications provided by PIA, the hired Consultants shall be directed to modify and develop project specific M&E Schedules. The whole institutional structure, which facilitates project implementation, shall come under M&E framework and shall be mentioned accordingly in ToR.

Provision shall be made in ToR to ensure periodic submission of M&E Reports based on which necessary and urgent decisions shall be taken at PIA level or at any other institutional network for efficient project implementation.

Preparation of ToR for Technical Audit and Quality Assurance Consultancy

ToR for TA Consultancy shall conceive the concept of managing environment and social issues pertaining to maintenance and upgradation works.

Since the spread of maintenance works are large and varied, compared to upgradation works, ToR shall reflect systematic and uniform approach to address environment and social issues.

A) Appraising Environmental and Social Issues at the Inception Stage of Project Preparation

Inception Report basically elucidates the methodology and work plan for carrying out EA and SIA.

Work plan shall incorporate the specific EA and SIA methodology including that of reconnaissance surveys and stakeholder consultations.

EA and SIA outputs shall be defined for every project stage along with impact assessment techniques and models. Information generated through reconnaissance and rapid assessment could also be judiciously used for designing methodology and work plan, personnel deployment4 for EA and SIA5.

B) Enhancing Effectiveness of Environment and Social Screening

Screening is carried out to get an overview of the nature, scale and magnitude of the issues which gives preliminary outlook to the forthcoming EA and SIA processes.

4 For instance, presence of large number of cultural properties and special forms of traditional built-up development would require the inputs of a Conservation Architect, induction of Waterways Specialist to lead the EA and SIA process for pilot waterways component, Biodiversity Experts for addressing issues sensitive to natural habitats.

5 World Bank has rated the case of Inception Report prepared as part of Gujarat State Highways Project as good practice, for that it included work plan based on the outcome of an early reconnaissance and rapid assessment survey (please see, Sandhu S C., M Singh, T Paul, S Vaideeswaran and R Viswanathan, 2006. Management of Environment and Social Issues in Highway Projects in India. South Asia Environment and Social Unit, World Bank).


May 2007 v

Systematic examination or assessment, facilitating identification of significant environment and social issues conferring with safeguard policies at State, National and International level.

Determining the scope of EA and SIA along with the use of specific instruments.

Sketch out preliminary indications for preparing the draft resettlement and rehabilitation policy and classify project roads based on environment and social sensitivities.

The following issues shall be considered for effective environment and social screening.

Conducting scoping workshops to configure out location specific project designs.

Appropriate use of conventional participatory rural appraisal tools for identifying issues like that of share croppers, involuntary resettlement, land transfer, common property resources etc.

Prioritisation and selection of feasible roads / routes for upgradation or maintenance shall give due Weightage to environmental and social issues at par with engineering, economic and financial considerations.

Valuation of environmental and social benefits in the feasibility analysis.

C) Baseline Data Collection

Baseline studies provide a benchmark for measuring or comparing environmental parameters and attributes, including socio-economic conditions in the project area.

Documentation of accurate baseline data for developing management strategies that are locally appropriate and acceptable to foster sustainable natural resource management.

Assuring quality and reliability of baseline data considering the following aspects.

Apart from giving a macro level overview, the baseline data shall consistently cover selected project corridors, following national level policy prescriptions in this regard.

Baseline data shall be conducted for road maintenance projects also as maintenance projects also involves substantial environment and social impacts.

Information on economic and poverty conditions, health issues, vulnerability to HIV/AIDS, gender and child labour shall be comprehensively covered for potential impact assessment, EA and SIA.

Clear directions for maintaining consistency in the methods used in environmental surveys and monitoring6.

Baseline data collection schedules shall be accordingly designed to reflect other development activities (ongoing and proposal) that may have significant impact on proposed road projects.

D) Analysis of Impacts and Mitigation Measures

Implementation of environment related impacts and mitigation measures through Environment Management Plan (EMP). Guidelines for proper selection of construction site, debris disposal

6 For instance, Ambient Air Quality (AAQ) monitoring has to be done at critical locations such as intersections, settlements, congested sections, agricultural lands and bypass alignments.


May 2007 vi

site, borrow area, quarry management, noise mitigation, traffic control and safety and environmental reporting system are mentioned in M, N, O, P, Q, R and S.

Implementation of social impact mitigation measures and possible entitlements through Resettlement Action Plan (RAP). The following environmental and social factors shall be considered.

Environmental Issues

Bring out impacts and mitigation measures specific to the project routes.

Prompt measures to address direct environmental impacts (tree felling, borrow pit development, erosion of embankment shoulders and pavement etc.) and indirect impacts (on quarries, crushers, construction related environmental issues, induced development etc).

Preparation of specific guidelines for assessing cumulative and induced impacts of road development projects.

Integration of environmental measures into the contract document.

Monitoring plans for the components including air quality, noise levels, water quality and tree plantation shall be systematically developed. The specific methods of monitoring shall be worked out.

Reporting formats shall be finalized ensuring early detection of conditions that necessitate particular mitigation measures, and also to furnish information on the progress and results of mitigation.

Assessment of training equipments of personnel within the project implementing unit and also for various segments who have a direct stake in the project.

Preparation of detailed environment budget taking into consideration the estimate of the quantities required, their unit cost and specifications.

Appropriate planning and designing procedures to address ribbon development. Unaddressed development alongside roads becomes a major problem from individual sellers of market produce scattered along a highway to the many kilometres of ribbon (linear) development.

Social issues

Facilitate inter agency coordination (for instance, with the Revenue Department on Land acquisition related activities from the early stages of project preparation).

Capacity building measures shall be taken up within the project-implementing agency to deal with issues related to land acquisition.

Identification of gaps between revenue records and real field situations. Ensure coordinated work culture between social specialists and engineers for the preparation of land acquisition plans.


May 2007 vii

Appraisal of adequate compensation and or assistance to both titleholders and non-titleholders. Implement judicious and stringent monitoring mechanism to prevent the intrusion of non-deserving population into the project affected category. (Non-deserving may include those who seeks assistance after a stipulated “cut-off date” which is to be decided by project implementing authority).

• Identification of vulnerable people, especially those below poverty line. Proper utilization of information generated by local governing bodies shall be utilized.

• Specific methods to assess assistance should be evolved based on relevant project conditions (for instance, shifting allowance or rental assistance should take into consideration, the size of holding and type of structure impacted).

• Pertinent analysis of livelihood losses shall be taken up. Collection of relevant information for livelihood restoration as part of sample survey.

• Preparation of comprehensive action plan for livelihood restoration. Sharing of draft income restoration plans with PAPs through separate consultations. Participatory approaches shall stress on PAPs’ preferences and developing indicative IR plans accordingly.

Analysis of Alternatives

Identification, analysis and selection of corridor alternatives. Analysis of alternatives shall be done at various stages of project preparation. Proper documentation of the reason behind selection of final routes considering environmental and social aspects.

Conduct training or capacity building workshops on the analysis of alternatives for EA and SIA Consultants and PWD Personnel.

Community Consultations in Social Impact Assessment Processes

Conduct community consultations in the project locations following various forms such as village-meetings, public hearing, focus group discussions, informal and formal interviews and district / state level stakeholder consultations.

Identification of relevant stakeholders for consultation and prepare consultation guidelines for respective groups of stakeholders.

Drafting of designs by way of following participatory approaches like transect walks, marking of options on village maps and preparing rough sketches. Final designs shall be discussed in detail with community explaining how conflicting community concerns would be resolved and also giving reasons if certain suggestions of the community are not incorporated.

Preparation of road designs by a team including environmental and social specialists and highway design engineers, considering the multiple issues identified through community consultations.

Management of RAP Implementing NGOs

Mobilization of NGO for effective implementation of resettlement action plan.


May 2007 viii

Facilitating or imparting training to NGOs on environment and social impact mitigation measures.

Monitoring the functions of NGO through standard monitoring schedules / formats developed to suit specific project characteristics.

Documenting the process of land acquisition, preparing progress reports on implementation

Facilitating land acquisition processes and recommend / implement alternate institutional arrangements for delayed procedures.

Independent Reviews / Review of Reports and Documents

Commissioning independent review consultants to improve the primary EA and SIA outputs.

Review the EA and SIA process and the various outputs (screening reports, project EA/SIA, generic and corridor-specific EMPs, Resettlement Action Plan and R&R Policy along other documents and confirm that various policies (at state, national and international level as the case may be) have been complied with.

Confirm that EA and SIA are closely integrated with the project’s economic, financial, institutional and technical analyses and ensure that environment and social considerations are internalized and adequately weaved into the design and engineering decisions.

Review important design issues, their coverage in the EA and SIA process and vice versa such as,

• Options for pedestrian underpasses, service roads, bus stops, tuck lay-byes and any other such features proposed wherever required based on public consultations.

• Options of various access control and public consultation inputs for finalizing the alignment.

• Design options evaluating the degree of access control which would subsequently affect the height of the embankment, requirement of pedestrian / cattle crossing, number of balancing culverts, length of service roads etc.

• Options to use fly ash or any other waste material wherever possible – as an embankment material or as an ingredient / filler in the pavement layers.

• Ensure that the project impacts address environment and social issues relating to air, water, noise, land, natural hydrology, human health, safety, social and environmental aspects as per state, national and international policy guidelines, as the case may be.

Ensure that appropriate environment enhancement measures are developed, which may include the following: bus shelters, road side amenities, water harvesting units, community playgrounds, redevelopment of borrow areas, enhancement of the road side water bodies and cultural properties.


May 2007 i

ANNEXURE – J

PROCEDURAL DELAYS IN LAND ACQUISITION: A CASE STUDY

1. LAND ACQUISITION IN GHAGHRA BRIDGE LOCATION

The land acquisition process, which is being carried out for Ghaghra Bridge and approach road under UPSRP is studied in detail.

1.1 BACKGROUND

The proposed Bridge across Ghaghra River connects three major districts of UP, viz., Sant Kabir Nagar, Ambedkar Nagar and Gorakpur. The present study focused on Ambedkar Nagar District and consultations with Village Pradhan, PAPs and NGO representatives are carried out at Kamariaghat Village. The project affects four villages, viz., Kamariaghat, Jainpur, Sultanpur-Thapahaveli and Chandipur. These villages are under Alipur Tehsil. Altogether, 151 persons are affected. The land acquisition and R&R activities for this package is carried out by the NGO, Development Institute for Systems Alternatives (DISA) based at Lucknow.

1.2 OBJECTIVES OF THE STUDY

The study has the following objectives.

• To appraise the various procedures followed in acquiring land for the project.

• To analyze the process and identify the delays caused in acquiring land and transferring title deed from PAPs to PWD.

• To suggest alternative arrangements or to evolve a novel institutional support mechanism in PWD for completing land acquisition process within stipulated period.

1.3 LAND ACQUISITION PROCEDURES

The concerned NGO, DISA has collected land records of all the affected land, from Tehsil Office. Afterwards the NGO made public consultations as part of disseminating information about land acquisition and creates a suitable atmosphere for virtual land acquisition. The major procedures with details of activities and approximate time period required to complete the process is detailed out as follows,

1.3.1. Demarcation of Alignment on Ground

The land acquisition process on ground started with demarcation of alignment. The extent of land being affected due to project is clearly estimated through this exercise jointly carried out by Lekhpal (Revenue Personnel) from Alipur Tehsil and the NGO. Owners of affected lands are contacted and plot numbers are identified. Pillars are fixed on ground and exact areas of affected plots are estimated. Approximately two days per kilometer is required to carry out this exercise.


May 2007 ii

1.3.2. Joint Verification by Revenue, PWD and NGO Personnel

Verification of land records in the field with PAPs who possess land is carried out. Group-wise meetings with PAPs are conducted. Approximately 7 meetings in different locations are organized in which compensation related issues are also discussed. The entire process, including coordinating Revenue and PWD personnel takes 10 to 15 days.

1.3.3. Identification of Outdated Records of Each Plot

The joint verification also identified outdated records and advised PAPs to update the same. Out of the 151 total affected plots 28 are found to be outdated1. The Lekhpal who is responsible for updating records has taken 7 days to 35 days depending upon his other routine works.

1.3.4. Estimation of Land Value

Information on land cost from three major sources, viz., Agriculture Department, District Magistrate Office or Tehsil Office and Sub Registrar Office are collected by the NGO. Collecting land transaction cost as registered for the previous five years is collected village-wise2. This usually takes 15 to 20 days. After estimating village-wise average Registry Rate, it is then forwarded to Registrar for verification and approval that takes another 2 or 3 days.

1.3.5. Submission of Land Value Estimates to PWD

The estimated value of land in each village is then submitted to PWD. PWD after verification and recording forwards the same to concerned District Magistrate for verification and approval by DLC.

1.3.6. Approval and Disclosure through DLC

After verification of the rates by District Magistrate, these rates are disclosed in the District Level Committee headed by DM. Other than DM, DLC comprises Chief Development Officer, Sub-Registrar Officer, Executive Engineer, PWD (Gorakhpur Division-World Bank), NGO representative and one PAP representative. The process of disclosure and approval DLC takes a minimum of 10 days to a maximum of 60 days.

1.3.7. Mutual Consent and Submission to PWD for Endorsement by Law Department

Once the rates are disclosed, the preliminary step of title-deed transfer initiates. Details of plots affected including ownership details are filled up in the Mutual Consent format provided and vetted by Zilla Saskiya Adhivaktha (District Government Council). After vetting process the documents would be submitted to PWD and PWD forwards it to Law Department. It is observed that there is extensive delay occurs in Law Department, approximately 45 to 75 days.

1 In case of death of the titleholder, in whose name land records are, it should be cleared by way of presenting Death Certificate issued by Village Pradhan.

2 Information at the Tehsil Office is recorded year-wise and from which village-wise information needs to be extracted. One year’s Registry documents would be of around 1000 pages.


May 2007 iii

1.3.8. Preparatory Work for Title Deed Transfer

After receiving the documents from Law Department, PWD forward it to NGO. NGO facilitate the preparation of title deed for transferring ownership to PWD. Corrections as suggested by Law Department are incorporated in the documents prepared further. The title deed document includes photo of PAPs as certified by NGO and also of Deputy Secretary, PWD as certified by Executive Engineer, PWD. The preparatory work, on average takes 20 days.

1.3.9. Preparation of Draft Micro Plan

Once the various procedures for land acquisition are completed, NGO prepares Draft Micro Plan giving details of entitlements for each affected family. As part, Vanshavali of the affected family is also prepared in order to find out the number of persons within a family who are eligible for respective entitlements as prescribed in R&R Policy. NGO facilitates valuation of affected structures and other assets (other than land) by concerned practitioners3. Preparation of Draft Micro Plan approximately takes 30 days.

The simultaneous approach in implementing land acquisition and preparation of micro plan interrupts due to the delay caused in land acquisition procedures.

1.3.10. Display Draft Micro Plan in Public Places

The Draft Micro Plan prepared is displayed at several places within village. This is to receive community level reflections of any manipulations or underestimations of entitlements. This process assures transparency and inclusion of only eligible people and takes around three days.

1.3.11. Finalization of Micro Plan

PWD along with the NGO verifies the entitlements estimated in the Draft Micro Plan. This is done in consultation with entitled persons. The process of verification and finalizing Micro Plan takes on average 30 days.

1.3.12. Approval by District Magistrate

The NGO submits the Final Micro Plan to concerned Division, PWD (Gorakhpur) and they forward it to PWD Headquarters at Lucknow, for documentation. Final Micro Plan then reaches District Magistrate at concerned District (Ambedkar Nagar) for approval. This process takes a minimum of 10 days.

1.3.13. Issue of ID Cards and Bank Accounts to PAPs

Simultaneously NGO prepares Identity Cards for PAPs who are receiving entitlements. NGO facilitates in opening Bank Accounts jointly in the name of PAPs, PWD and NGO.

3 Structure valuation is done by a Licensed Engineer, tree valuation is done by concerned personnel from Forest Department, agriculture produce valuation by Agriculture Department and if in case of fruit-bearing trees the valuation would be carried out by Horticulture Department.


May 2007 iv

1.3.14. Disbursal of Compensation

Cheques will be issued from PWD Lucknow to entitled persons through Divisional Office and NGO facilitates the disbursal of the same.

1.3.15. Sale Deed and Land Transfer

Registering title deed transfer at the Sub Registrar Office is the concluding step with respect to land acquisition. NGO arranges an agreeable date for PAPs and PWD Personnel for deed transfer. It is also observed that some PAPs are reluctant to attend deed transfer thus delaying land acquisition4.

1.4 FINDINGS AND SUGGESTIONS

• Land acquisition process in the specific case of Ghaghra Bridge location takes approximately eight months.

• The major delay caused during the process of Land Acquisition and Micro Plan Preparation is at Government level. The Law Department endorses the transfer agreement of title deed. This causes significant delay and consequently affects all other processes including entitlement disbursement.

• Figure1 shows that there exists an overlapping set of activities with respect with respect to land acquisition and micro plan preparation at community level. However, these two distinct processes diverge once it reaches departmental level. This could be converged if appropriate coordination is ensured at District level especially under the statutory powers of District Magistrate.

• There is high possibility of discarding the replacement value by the PAPs as against the Mutual Consent. Since over the period of time, the current replacement value inflates by 10-15 percent over the estimated value. Few of the PAPs have raised the issue and have expressed their aversion.

• NGO distributes Identity Cards to PAPs and assists them in opening bank accounts jointly in the name of PAP, PWD and NGO. Training programmes are also conducted as part of restoring the affected livelihood pattern of PAPs. However, these activities are also delayed due to the “uncertainties” in endorsing Mutual Consent.

• After the virtual transfer of title deed from PAP to PWD at Sub Registrar Office, NGO also facilitates preparation of fresh title deed documents for remaining land possessed by PAPs. This is also a time-consuming process that is not given adequate attention. The time requires being devoted for training programmes to PAPs is considerably affected due to this activity.

4 Some PAPs lose only a very small proportion of their land and accordingly the replacement cost entitled to them is also small and hence they may not take interest in the deed transfer. In some other cases, expatriate PAPs also are reluctant to turn up causing delay.


May 2007 v

• Scope of District Level Committee also may be widened5. DLC’s involvement in converging land acquisition and entitlement disbursement based on micro plan may be ensured.

• A Representative from Law Department, on deputation basis at PWD Headquarters, could serve respective duties in endorsing the consent for title deed transfer.

• Procedures at the community level, though involves participation of personnel from various departments, viz., PWD, Forest, Revenue and DM Office, is worthily facilitated by NGO. The various procedures at community level could be further smoothened if PWD assures capacity building of NGO prior to the process. More number of NGO personnel is required to carry out multi-activities of land acquisition and micro plan preparation.

• The functioning of Local Governing Body at Kamariaghat is weak6 and could not take up any responsibility of assisting in any stages of the land acquisition process. However, the Village Pradhan has facilitated necessary requirements of the PAPs in updating their land records.

5 However, PWD Personnel are of the opinion that giving additional responsibilities to DM and DLC may slow down the process. Presently, some DLCs are delayed for lack of convenient dates for DM.

6 There is no building for the Gram Panchayat and the Secretary of the Panchayat works from his home.


May 2007 vi

Final Micro Plan Submission to PWD and subsequent approval by DM

Mutual Consent and Submission to PWD for

Endorsing by Law Dept.

Disbursement of Entitlements [PWD issues Cheque]

Title Deed Transfer and Disbursement of Replacement Value

[PWD issues Cheque]

Land Acquisition Micro Plan

Demarcation of Alignment

Identification of Entitlements, Preparation of Vanshavali

Joint Verification by PWD, Revenue

and NGO Joint Verification by PWD and NGO

Identification of Land Records

Estimation of Entitlements

Estimation of Land Value (Replacement Cost)

Submission of Land Value Estimates to PWD

Preparation of Draft Micro Plan

Approval by DM and Disclosure at DLC

Display of Draft Micro Plan, Public Consultation by PWD, NGO and Finalization

Trainings for Income Restoration

PROJECT AFFECTED PERSONS

Dep

artm

enta

l C

omm

unity

Issue of ID Cards, Opening Bank

Accounts

Tim

e la

g in

sim

ulta

neou

s ap

proa

ch

Figure 1: Land Acquisition and Entitlement Disbursement: Procedural Delays


May 2007 i

ANNEXURE – K

ESDU has been operating on a low level of staffing but are able to manage a large share of responsibilities. However, in lieu of various responsibilities assigned in review of designs and maintenance of roads, monitoring, coordination of other road agencies, supervision of Consultants, it is necessary to restructure ESDU for sustainable development of road network in UP.

Three possible institutional structures are given below:

1. Possible Institutional Structure

PWD

E-in-C

Design & Planning)

CE

Policy Research Wing

SE

(Design & Planning)

ESDU

EE

DFO

(Deputed from Forest Department

Legal Advisor

AE MIS (Social & Environmental)

AE MIS (Environmental) AE MIS (Social)

JE JEJEJEJE

PWD

E-in-C

Design & Planning)

CE

Policy Research Wing

SE

(Design & Planning)

ESDU

EE

DFO

(Deputed from Forest Department

Legal Advisor

AE MIS (Social & Environmental)

AE MIS (Environmental) AE MIS (Social)

JE JEJEJEJE

• The ESDU will be headed by an EE, who reports to SE (Planning and Design). The EE will be assisted by three AEs, who will be assigned with environmental, social and MIS (social and environment) functions respectively, so as to enable in fulfilling the objectives and principles of ESDU.

• ESDU will provide necessary environmental and social inputs for decision-making processes to Policy Research and Analysis Wing attached to Secretary, PWD. The ESDU will update the information in modifying environmental and social policies once in three years considering the related Acts and National Policy measures, requirements of actual social and environmental status of the State.

• A Legal Advisor will interact with ESDU in enacting State level environmental laws applicable to roads and also strengthening the Acts related to pollution control.


May 2007 ii

• AE (MIS) deals with collection, collation of data from various regions of road development. The information should be made available to ESDU and field units for better monitoring and evaluation.

• Three JEs would be assisting AE (Environment). Their role and responsibilities will be coordinated on environment surveys, supervision of CSCs, monitoring and evaluation, preparation of progress reports, monthly, quarterly and annually on the environment status and providing inputs to MS Access Based Data Management System through AE (Environment).

• Two JEs would be assisting AE (Social). Their roles and responsibilities will be coordinated on R&R activities, monitoring and evaluation, provide inputs to AE (Social) about the progress of field activities, awareness/training programmes on HIV/AIDS, road safety measures etc.


PWD

CE

SE

(Design & Planning)

EE

(Design, Environmental & Social)

EE

(Construction, Env. Social) a

AE

(Environment)

AE

(Social)

Env. Officer

AE

DFO

a

JE a

Social Specialist

JE (O & M)

PWD

CE

SE

(Design & Planning)

EE

(Design, Environmental & Social)

EE

(Construction, Env. Social) a

AE

(Environment)

AE

(Social)

Env. Officer

AE

DFO

a

JE a

Social Specialist

JE (O & M)

• Possible Institutional Structure 2 essentially consists of two EEs under SE (Planning and Design) who will look after the entire gamut of environment and social issues pertaining to road development works. Two EEs are solely responsible for planning, design and implementation stages incorporating all elements of environmental and social aspects. EEs are also responsible for providing training and coordinating with other agencies, viz., railways, forestry, irrigation, etc while dealing with design aspects.

• EE (Design: Environment & Social) will be assisted by two AEs who will be responsible in assisting EE in the state of art design for environmental and social issues respectively. They


May 2007 iii

will strictly adhere to design manuals, MORTH specifications and best social and environment practices available elsewhere.

• EE (Construction: Environment & Social) mainly review the technical drawing of road construction and review the incorporation of environmental and social elements in the construction documents. The procurement and contract documents will be verified for the above issues and ensure the environmental benign construction practices during implementation stage. EE will solicit the EMP drawings and specification from the contractor taking into consideration social and environmental requirements.

• EE (Construction: Environment & Social) will be assisted by one AE in the office scrutinizing the construction aspects including specifications and modification of drawings for construction conceiving social (like public taps, community structures etc) and environmental elements. AE (Environment) is supported by JE (O&M) for successful construction of all environmental structures, resettlement units as per EMP and RAP.

• A deputed District Forest Officer to PWD will coordinate with ESDU, who is solely responsible for area calculation for strip plantation and raise necessary nurseries under his supervision and ensure PWD to meet compliance requirements of Forestry Act. He will be assisting EE (Construction) in compensatory afforestation and production of wild life and rare endangered species in the influence area of the project.

• JEs will assist respective AEs. AE (Social) will be assisted by a Social Scientist who has experience in community development projects.


PWD

S E (Planning & Design)

ESDUEE

AE (MIS)

JE JE JE Data Compiler I.T. Person

A E (Env.) AE (Social)

JE JE Social Scientist

NGO (Social)

EnvironmentChemist

NGO (Environment)

• Possible Institutional Structure 3 is built on public-private partnership in the delivery of responsibilities of ESDU, and the intermediate arrangement and functions almost resembles with that of Possible Institutional Structure 1. Accordingly, EE will be responsible for coordinating, planning and implementation based on best alternatives on environment and social issues.

• Three AEs will be assisting EE on environmental, social and management information system respectively. AE (Environment) and AE (Social) will be functioning in close association with NGO (Environment) and NGO (Social) and Environment Chemist and Social Scientist respectively. Environmental Chemist should be drawn from State or Central Laboratories and Social Scientist should be hired on contract basis. NGO services should


May 2007 iv

also be hired through standard bidding process. This public-private consortium will provide strategic inputs to the decision making and implementation process at ESDU.

• Environment / Social Scientist will directly report to AE (Environment / Social). The concerned NGO also will report directly to AEs.

• AE (MIS) will be assisted by a Data Compiler and one IT Personnel for effective data management.

• AE (Environment) and AE (Social) will be assisted by three JEs and two JEs respectively.


UP PWD

Chief Engineer(Planning, Programme & Budgeting)

SE(Planning & Design)

ESDUEE

Division Forest Off icer

Revenue Official

Environmental Off icer AE

AE (MIS) Social Development Off icer AE

Secretarial Staff(6)

Horticulturist JE Data Compiler IT Person

Lab Asst.

Chemist JE JE JE JE

• Proposed structure 4 requires EE as head of ESDU, who reports to Superintending Engineer and SE will facilitate CE for effective implementation of environmental and social aspects of the project

• Three number of AEs will be assigned for environment, social and management information system respectively, to assist the EE.

• Three number of JEs would be assisting AE (Environment) and two JEs would be assisting AE (Social). A Data Compiler and one IT Personnel for effective data management will assist AE (MIS).

• A deputed Divisional Forest Officer to PWD will coordinate with ESDU, who is solely responsible for area calculation for strip plantation and raise necessary nurseries under his supervision and ensure PWD to meet compliance requirements of Forestry Act. He will be


May 2007 v

assisting AE (Environment) in compensatory afforestation and production of wild life and rare endangered species in the influence area of the project.

• A deputed Revenue Official to PWD will coordinate with ESDU, who is responsible for land acquisition, registry deeds and other vetting requirements as per Mutual Consent provisions or as per provisions of Land Acquisition Act. He will be functioning in association with AE (Social).


May 2007 i

ANNEXURE – L

Minutes of Meeting on “Implementation of Environment and Social Development Unit (ESDU) as Lead Unit”

Date: 21.12.2006

Time: 6.30 pm to 9.00 pm

Venue: Conference Room, LASA, Lucknow.

List of Participants

Discussion Points:

• Dr. Badrinath and Dr. Jayan made a powerpoint presentation about the need for establishing Environment and Social Development Unit (ESDU) and its importance for the Department. The presentation included,

• An organisational structure at the Head Office.

• The roles and responsibilities of ESDU Personnel including those of the deputed officials from Forest Department and Revenue Department.

• Required qualifications and skill sets of the proposed staff.

• Basic functional responsibilities of the Unit.

• Training modules on environment and social aspects.

• Tentative budget estimate for establishing ESDU.

• Mr. P S Tyagi, opined that these wide and varied functional responsibilities of ESDU with respect to environment and social issues are in-built in any infrastructure project, but was given little importance till recently. He reiterated the importance of establishing a dedicated Unit for carrying out the explicit and implicit responsibilities. Mr. Tyagi has appreciated the proposed ESDU structure and asked to detail out the hierarchy of the structure, especially when Officials are deputed from Forest and Revenue Departments.

LASA, Lucknow UP PWD

Mr. Anand Prakash, Deputy Team Leader

Dr. S D Badrinath, Environment Specialist

Dr. K N Jayan, Social Specialist

Mr. Srikanth Pandurangi, Traffic Engineer

Mr. P S Tyagi, Chief Engineer

Mr. Yogesh Mathur, SE

Mr. Virendra Yeti, EE

Mr. P K Sexena, AE

Mr. Sandip Saxena, AE

Mr. Rajesh Kumar, AE

Mr. Salil Yadav, AE


May 2007 ii

• Mr. Yogesh Mathur was of the view that the present structure is suitable at Headquarters and there is absolute need to establish similar structure at Zonal level to support the ESDU at Headquarters. This has to be established at all the 12 Zones. This may be an extension of the present PWD responsibilities at Zonal Offices and would be good enough to manage the functions at the grassroots level. It would be better, if we place Field Assistants at Zonal level rather than at Headquarters.

• Mr. Tyagi, supplemented that the staff recruitment for the proposed unit has to work within it and may not be engaging in other activities in PWD other than carrying out the basic functional responsibilities of ESDU. Hence recruiting should be oriented towards selection of staff for ESDU as per the specific qualification and skills as suggested in the presentation.

• Considering UP PWD’s present commitment of development of road infrastructure with annual budget of around Rs.7000 crores, it is highly necessary to establish ESDU with an efficient data management segment as proposed, opined Mr. Tyagi.

• Dr. Badrinath insisted that the role of Management Information System Personnel is very crucial. Information data base on road-base environment and social scenario of UP needs to be documented which will accentuate the process of planning and designing alternatives in road projects.

• Mr. Salil Yadav pointed out that the tentative budget estimate for ESDU may consider an overhead cost of 8% to 9% considering the present practice in UP PWD.

• Dr. Badrinath was of the opinion that in some of the renowned institutions of national importance considers an average overhead cost of 14%.

• Mr. Tyagi shared his experiences and observed that the social issues are typically high in the contemporary road development projects, especially Access Control Corridors. This is due to the unique social and cultural pattern of people in India. Since the number of such development projects is on the increase, the intensity of social problems will also increase which should be tackled through systematic approach.

• Mr. Tyagi suggested to incorporate the good practices mentioned in National Highway Act, 1956, with respect to land acquisition for use by UP PWD in future projects.

• Dr. Jayan illustrated the case of NHAI and the specific case of Grand Trunk Road Project, in which the delayed land acquisition procedures, created problems since the project-affected-community resisted to accept the replacement cost due to vicious delays.

• Mr. Anand Prakash has enquired about the specific procedures at UP PWD level to establish the proposed ESDU.

• In reply, Mr. Tyagi suggested to prepare a precise proposal incorporating all the details and modifications suggested, and make a presentation to Steering Committee. After the presentation, it is important to interact with the concerned personnel who will place the issue before the Governing Body and later to State Cabinet along with the Proposal. Once State Cabinet approves it will be necessary to pass it in the Legislature before it becomes an Act and forms the base for establishing a permanent ESDU.


May 2007 iii

Outcome

• Suggestions from Mr. Tyagi, Mr. Yogesh Mathur and other PWD Personnel would be incorporated in the presentation.

• The Proposal would be accordingly modified for submission before the Steering Committee along the presentation.


May 2007 i

ANNEXURE – M

GUIDELINES FOR SITING & LAYOUT OF CONSTRUCTION CAMP

A.) Siting

The contractor shall identify the site for construction camp in consultation with the individual owners in case of private lands and the gram panchayat or other concerned authority in case of government land. The suitable sites shall be selected (refer Box 1 for Construction Camp Site location) and finalized in consultation with R&BD-EMU.

Box 1: Selection of construction camp/site locations

Avoid the following … Prefer the following …

• Lands within 1000 m of habitations

• Irrigated agricultural lands

• Lands belonging to small farmers

• Lands under village forests

• Lands within 100m of community water bodies and water sources as rivers

• Lands within 300 m of watercourses

• Lands supporting dense vegetation

• Grazing lands and lands with tenure rights

• Lands where there is no willingness of the landowner to permit

• Waste lands

• Lands belonging to owners who look upon the temporary use as a source of income

• Community lands not used for beneficial purposes

• Private non-irrigated lands where the owner is willing

• Lands with an existing access road

B.) Layout

After finalization of the site, the contractor shall prepared a detailed layout plan (Figure 1) for development of the construction camp, including No Objection Certificate from land owner, extent of land required, photographs of the site in original condition and details of site restoration after completion.

Following are the guidelines need to be undertaken during the development of construction camps:

1. Drinking Water:

a. The contractor shall provide for a sufficient supply of cold potable water in the construction camps. The contractor shall identify suitable community water sources as hand pumps and ponds for procuring drinking water, in consultation with the authorities.

b. Only in the event of non-availability of other sources of potable water, the contractor shall obtain water from an unprotected source only after the testing for its potability. Where water


May 2007 ii

has to be drawn from an existing open well, the well shall be properly chlorinated before water is drawn from it for drinking. All such wells shall be entirely closed in and be provided with dust and waterproof trap door.

c. Every water supply or storage shall be at distance of not less than 15m from any wastewater / latrine drain or other source of pollution. Water sources within 15m proximity of latrine, drain or any source of pollution will not be used as a source of drinking water in the project.

d. A pump shall be fitted to each covered well, the trap door shall be kept locked and opened only for cleaning or inspection, which shall be done at least once a month.

2. Washing Facilities

a. Adequate and suitable facilities for washing clothes and utensils shall be provided and maintained for the use of contract labour employed therein.

b. Separate and adequate bathing facilities shall be provided for the use of male and female workers.

c. Facilities shall be conveniently accessible and shall be kept in clean and hygienic conditions.

3. Latrines and Urinals

a. Latrines shall be provided in every work place based on the following guidelines:

• Where males are employed, there shall be at least one latrine for every 25 males or part thereof.

• Where female workers are employed, there shall be at least one latrine for every 25 females or part thereof.

b. Every latrine shall be under cover and so partitioned off as to secure privacy, and shall have a proper door and fastenings.

c. Where workers of both sexes are employed, there shall be displayed outside each block of latrine and urinal, a notice in the language understood by the majority of the workers “For Men Only” or “For Women Only” as the case may be.

d. The latrines and urinals shall be adequately lighted and shall be maintained in a clean sanitary condition at all times.

e. Water shall be provided in or near the latrines and urinals by storage in drums.

4. Arrangement for Waste Disposal

a. Disposal of sanitary wastes and excreta shall be done by putting a layer of night soil at the bottom of a pucca tank prepared for the purpose and covering it with a 15 cm layer of waste or refuse and then covering it with layer of earth for a fortnight (when it will turn to manure)


May 2007 iii

b. Kitchen wastes shall be disposed into soak pits. Wastewater from campsites will be discharged and disposed in a kitchen sump located at least 15 meters from any body of water. Sump capacity should be at least 1.3 times the maximum volume of wastewater discharged. The bottom of the pit should be filled with coarse gravel and the sides shored up with board, etc. to prevent erosion and collapse of the pit

5. Provision of Shelter during Rest

a. Work place shall be provided four suitable sheds, two for meals and the two for the rest separately for the use of men and women labour.

b. The height of the shelter shall not be less than 3.0 m from the floor level to the lowest part of the roof.

c. These shall be kept clean and the space provided shall be on the basis of 0.6 sq m per head.

6. Crèches:

a. In case 20 or more women workers are employed, there shall be a room of reasonable size for the use of children under the age of six years.

b. The room shall be provided with suitable and sufficient openings for light and ventilation. Provision shall be made such that place shall be kept clean all the time.

c. One person shall be appointed to look after the children in the crèche. In case the number of women worker exceed 50 two persons shall be appointed

d. The use of the room earmarked as crèches shall be restricted to the children, their attendants and mother of the children.

7. First Aid Facilities

a. First-aid facility shall be provided and maintained, so as to be easily accessible during working hours.

b. First-aid boxes distinctly marked with a red cross on white back ground, at the rate of the not less than one box for 150 contract labour shall be maintained all the time and shall contain the following:

• 6 small sterilized dressings

• 3 medium size sterilized dressings

• 3 large size sterilized dressings

• 3 large sterilized burns dressings

• 1 (30 ml) bottle containing 2 % alcoholic solution of iodine

• 1 (30 ml) bottle containing salvolatile


May 2007 iv

• 1 snakebite lancet

• 1 (30 gms) bottle of potassium permanganate crystals

• 1 pair scissors

• Ointment for burns

• A bottle of suitable surgical antiseptic solution

c. In case where the number of contract labour exceeds 50; items in the first-aid box shall be doubled.

d. Adequate arrangement shall be made for immediate recalling of equipment when necessary.

e. A person trained in first-aid treatment shall be made in charge who shall always be readily available during the working hours at the work place

f. A suitable motor transport shall be kept readily available to carry injured or ill person to the nearest hospital.

g. In the work place where the number of contract labour exceed 500 and hospital facilities are not available within easy distance from the works. First-aid posts shall be established and run by a trained person.

Figure 1: Layout Plan for Construction Camp


May 2007 i

ANNEXURE – N

GUIDELINES FOR IDENTIFICATION OF DEBRIS DISPOSAL SITES

The locations of dumping sites have to be selected such that:

• No residential areas are located downwind side of these locations,

• Dumping sites are located at least 1000 m away from sensitive locations

• Dumping sites do not contaminate any water sources, rivers etc, and

• Dumping sites have adequate capacity equal to the amount of debris generated.

• Public perception about the location of debris disposal site has to be obtained before finalizing the location.

• Permission from the Village Panchayat is to be obtained for the dumping site selected

• Productive lands are avoided

• Available waste lands are given preference


May 2007 i

ANNEXURE – O

GUIDELINES FOR SITING, OPERATION & REDEVELOPMENT OF BORROW AREAS

(A) Siting

Specific locations of borrow areas to be used will be identified by contractor. The selection and recommendations for borrow areas will be based on environmental as well as civil engineering considerations. Location of source of supply of material for embankment or sub-grade and the procedure for excavation or transport of material shall be in compliance with the environmental requirements of the MoEF, MoRTH and as specified in IRC: 10-1961.

Certain precautions have to be taken to restrict unauthorized borrowing by the contractor. No borrow area shall be opened without permission of the Engineer. The borrowing shall not be carried out in cultivable lands, unless and until, it shall be agreed upon by the Engineer that there is no suitable uncultivable land in the vicinity for borrowing or private landowners are willing to allow borrowing on their fields.

(B) Operation

To avoid any embankment slippage, the borrow areas will not be dug continuously, and the size and shape of borrow pits will be decided by the Engineer. Redevelopment of the borrow areas to mitigate the impacts will be the responsibility of the contractor. The contractor shall evolve site-specific redevelopment plans for each borrow area location, which shall be implemented after the approval of the Supervision Consultant.

Precautionary measures as the covering of vehicles will be taken to avoid spillage during transport of borrow materials. To ensure that the spills, which might result from the transport of borrow and quarry materials do not impact the settlements, it will be ensured that the excavation and carrying of earth will be done during day-time only. The unpaved surfaces used for the haulage of borrow materials will be maintained properly.

Borrowing of earth shall be carried out at locations recommended as follows:

Non-Cultivable Lands: Borrowing of earth will be carried out upto a depth of 2.0 m from the existing ground level. Borrowing of earth shall not be done continuously. Ridges of not less than 8m width shall be left at intervals not exceeding 300 m. Small drains shall be cut through the ridges, if necessary, to facilitate drainage. Borrow pits shall have slopes not steeper than 1 vertical in 4 horizontal.

Productive Lands: Borrowing of earth shall be avoided on productive lands. However, in the event of borrowing from productive lands, under circumstances as described above, topsoil shall be preserved in stockpiles. The conservation of topsoil shall be carried out as described in


May 2007 ii

section of this chapter. At such locations, the depth of borrow pits shall not exceed 45 cm and it may be dug out to a depth of not more than 30 cm after stripping the 15 cm top soil aside.

Elevated Lands: At locations where private owners desire their fields to be leveled, the borrowing shall be done to a depth of not more than 2 m or up to the level of surrounding fields.

Borrow pits along Roadside: Borrow pits shall be located 5m away from the toe of the embankment. Depth of the pit should be such that the bottom of the pit shall not fall within an imaginary line of slope 1 vertical to 4 horizontal projected from the edge of the final section of the bank. Borrow pits should not be dug continuously. Ridges of not less than 8 m width should be left at intervals not exceeding 300 m. Small drains should be cut through the ridges to facilitate drainage.

Borrow pits on the riverside: The borrow pit should be located not less than 15m from the toe of the bank, distance depending on the magnitude and duration of flood to be withstood.

Community / Private Ponds: Borrowing can be carried out at locations, where the private owners (or in some cases, the community) desire to develop lands (mostly low-lying areas) for pisciculture purposes and for use as fishponds.

Borrow Areas near Settlements: Borrow pit location shall be located at least 0.8 km from villages and settlements. If unavoidable, they should not be dug for more than 30 cm and should be drained.

Criteria for Evaluation of Borrow Areas

(i) Existing land use (Agricultural/Barren/Scrub/grazing/any other type)

(ii) Vegetation / trees to be removed

(iii) Erosion/degradation potential

(iv) Distance and name of the nearest settlement

(v) Distance from the nearest surface water body

(vi) Drainage pattern of the area

(vii) Distance of the nearest Reserve Forest / Wild life Sanctuary /Mangroves (if any)

(viii) Distance of the nearest Sacred Tree (if any)

(ix) Distance from the nearest school / hospital / primary health center

(x) Daily/Occasional use of borrow area by the community

(xi) Any schemes or avenues for generation of income for adjoining community


May 2007 iii

GUIDELINES FOR REDEVELOPMENT OF BORROW AREAS

A.) Background

The guidelines provide basic information to the contractor on how to redevelop the borrow areas to ensure compliance with the environmental requirements of the MoEF, MoRTH and as specified in IRC: 10-1961. The following section provides the guidelines to the contractor for the identification, siting of borrow areas and also the enhancement measures to redevelop the areas with community participation.

B.) Identification of the Borrow Areas

Specific locations of borrow areas will be identified by contractor. The selection and recommendations for borrow areas; will be based on environmental as well as civil engineering considerations. Location of source of supply of material for embankment or sub-grade and the procedure for excavation or transport of material shall be in compliance with the environmental requirements of the MoEF, MoRTH, Clause 305.2.2.2 and as specified in IRC: 10-1961.

Certain precautions have to be taken to restrict unauthorized borrowing by the contractor. No borrow area shall be opened without permission of the Engineer. The borrowing shall not be carried out in cultivable lands, unless and until, it shall be agreed upon by the Engineer that there is no suitable uncultivable land in the vicinity for borrowing or private landowners are willing to allow borrowing on their fields.

C.) Operation

To avoid any embankment slippage, the borrow areas will not be dug continuously, and the size and shape of borrow pits will be decided by the Engineer. The contractor shall evolve site-specific redevelopment plans for each borrow area location, which shall be implemented after the approval of the Supervision Consultant.

Precautionary measures as the covering of vehicles will be taken to avoid spillage during transport of borrow materials. To ensure that the spills, which might result from the transport of borrow and quarry materials do not impact the settlements, it will be ensured that the excavation and carrying of earth will be done during day-time only. The unpaved surfaces used for the haulage of borrow materials will be maintained properly.

Borrowing of earth shall be carried out at locations recommended as follows:

Non-Cultivable Lands: Borrowing of earth will be carried out upto a depth of 2.0 m from the existing ground level. Borrowing of earth shall not be done continuously. Ridges of not less than 8m width shall be left at intervals not exceeding 300 m. Small drains shall be cut through the ridges, if necessary, to facilitate drainage. Borrow pits shall have slopes not steeper than 1 vertical in 4 horizontal.

Productive Lands: Borrowing of earth shall be avoided on productive lands. However, in the event of borrowing from productive lands, under circumstances as described above, topsoil shall be preserved in stockpiles. The conservation of topsoil is been discussed in subsequent section.


May 2007 iv

At such locations, the depth of borrow pits shall not exceed 45 cm and it may be dug out to a depth of not more than 30 cm after stripping the 15 cm top soil aside.

Elevated Lands: At locations where private owners desire their fields to be levelled, the borrowing shall be done to a depth of not more than 2 m or up to the level of surrounding fields.

Borrow pits along Roadside: Borrow pits shall be located 5m away from the toe of the embankment. Depth of the pit should be such that the bottom of the pit shall not fall within an imaginary line of slope 1 vertical to 4 horizontal projected from the edge of the final section of the bank. Borrow pits should not be dug continuously. Ridges of not less than 8 m width should be left at intervals not exceeding 300 m. Small drains should be cut through the ridges to facilitate drainage.

Borrow pits on the riverside: The borrow pit should be located not less than 15m from the toe of the bank, distance depending on the magnitude and duration of flood to be withstood.

Community / Private Ponds: Borrowing can be carried out at locations, where the private owners (or in some cases, the community) desire to develop lands (mostly low-lying areas) for pisciculture purposes and for use as fishponds.

Borrow Areas near Settlements: Borrow pit location shall be located at least 0.8 km from villages and settlements. If unavoidable, they should not be dug for more than 30 cm and should be drained.

D.) Probable Location of Borrow Areas

Table 1 : Probable Borrow Pits along the Project Corridor

Site identification Approximate Quantity (Cum)

Sam

ple

no.

Nam

e of

Vill

age

Mat

eria

l typ

e

Nearest

Chainage (Km.) Le

ft/ R

ight

Offset from

nearest chainag

e (m) Leng

th (m

)

Bre

adth

(m)

Dep

th (m

)

Tota

l (C

um) Available

land/ Terrain

Surrounding

land/ Terrain

Remarks

E.) Documentation of Borrow Pit

Following checklist provides guidelines in order to ensure that redevelopment of borrow areas must comply with MoRTH, Clause 305.2.2.2 and EMP Requirement. The contractor must ensure that following data based must be documented for each identified borrow areas that provide the basis of the redevelopment plan.

• Chainage along with offset distance

• Area (in Sq m)

• Type of Access/width/kutcha/pucca etc from carriageway


May 2007 v

• Soil Type

• Slope / Drainage Characteristics

• Water Table of the area or identify from nearest well etc/ask people

• Existing Land-use such as barren/agricultural/grazing land

• Location/Name/Population/Caste of Nearest Settlement/Community & distance from Borrow Area/Type and characteristics of settlement

• Daily/occasional use of the Borrow Area by the community, if any

• Identification of any other community facility in the vicinity of the borrow pit

F.) Guidelines for Stripping, Stocking, Preservation of Top Soil

During the excavation of the borrowing material contractor must ensure that the topsoil from all areas of cutting and all areas to be permanently covered shall be stripped to a specified depth of 150mm and stored in stockpiles. At least 10% of the temporarily acquired area shall be earmarked for storing topsoil. The stockpile shall be designed such that the slope does not exceed 1:2 (vertical to horizontal), and the height of the pile is restricted to 2m. Stockpiled will not be surcharged or otherwise loaded and multiple handing will be kept to a minimum to ensure that no compaction will occur. The stockpiles shall be covered with gunny bags or tarpaulin.

It shall be ensured by the contractor that the topsoil will not be unnecessarily trafficked either before stripping or when in stockpiles. Stockpiled topsoil will be returned to cover the disturbed area and cut slopes. Residual topsoil will be distributed on adjoining/proximate barren/rocky areas as identified by the Engineer in a layer of thickness of 75mm-150mm. Top soil shall also be utilized for redevelopment of borrow areas. Landscaping along slopes, medians, incidental spaces etc.

G.) Guidelines for Enhancement

As far as possible borrow area selected for enhancement shall be on government/community land in the vicinity of settlement. The contractor must ensure that any enhancement design proposed should be workable, maintenance free and preferably worked out in consultation with the community and proposed enhancement materials should be locally available. The borrow area can be developed either of the following:

Vegetative Cover:

Applicability

The options to consider in the case topsoil; the area to be reclaimed and does the area receive adequate amounts of rainfall


May 2007 vi

Definition:

The establishing of permanent vegetative cover to stabilize disturbed or exposed areas.

Descriptions:

• Vegetative cover must be established on all affected land.

• Topsoil must be placed, seeded, and mulched within 30 days of final grading if it is within a current growing season or within 30 days of the start of the next growing season.

• Vegetative material used in reclamation must consist of grasses, legumes, herbaceous, or woody plants or a mixture thereof.

• Plant material must be planted during the first growing season following the reclamation phase.

• Selection and use of vegetative cover must take into account soil and site characteristics such as drainage, pH, nutrient availability, and climate to ensure permanent growth.

• The vegetative cover is acceptable if within one growing season of seeding:

• The planting of trees and shrubs results in a permanent stand, or regeneration and succession rate, sufficient to assure a 75% survival rate;

• The planting results in 90% ground coverage.

• The site shall be inspected when the planting is completed and again at one year to ensure compliance with the reclamation plan.

Certificate of Completion of Reclamation

• Contractors have to obtained certificate of satisfaction from the landowner and submit it to the PIU before final payment is to done.

Reclaiming Borrow Areas through Detention Basin:

Applicability:

In barren land where the soil type is other than clay, borrow area can be redeveloped into detention basin. These basins collects runoff from the surrounding area and reusing it for cattle feeding, washing and also for irrigation purpose, while designing the detention basin care should be taken that proper drainage facility should be provided to avoid stagnation of water for a longer duration.

Design of Detention basin Reclaiming Borrow Areas:

Detention Basins are the sediments control ponds that are design to remove sediments and other organic matter. Design of the detention basin depends upon the particle size, settling characteristics, residence time and land area. A minimum of 0.02 mm size particle with a settling


May 2007 vii

velocity of 0.02 cm/sec (assuming specific gravity of solids 2.65) can be settled in the detention basin. The design area of detention basin governs on the following equation:

1.2 X Q Area (Sq M) = Vs

Where Q = Run off Discharge (Cu m) Vs = Settling Velocity (m /sec)

Pond should be located at the lowest point in the catchment area. Care should be taken that the horizontal velocity should be less then settling velocity to prevent suspension or erosion of deposited materials. Following are the other details that need to be considered while desgining the detention basin:

• Minimum Effective Flow Path : 5 times the effective width

• Minimum Free Board : 0.15 m

• Minimum Free Settling Depth : 0.5 m

• Minimum Sediments Storage Depth : 0.5 m

• Maximum interior slope : 2H : 1V

• Maximum exterior slope : 3H : 1V

• The inlet structure should be such that incoming flow should distribute across the width of the pond.

• A pre-treatment sump with a screening should provide to remove coarse sediments.

• Settled sediment should be removed after each storm event or when the sediment capacity has exceeded 33% of design sediment storage volume.

• Accumulated sediment must be disposed of in a manner, which will prevent its re-entry into the site drainage system, or into any watercourse.


May 2007 viii

Detention Basin Plan and Section

H.) Working Plan

The contractor must prepare a working plan before enhancing the identified borrow areas. Following are the inputs that provide the guidelines to the contractor to formulate the working plan:

• Access of Property /width of access/material

• Orientation of property with respect to the road

• Site Slope

• Local Drainage / water logging etc if any

• Location of nearest culvert etc if any to drain water if required

• Any other community resources such as tube well/well etc in vicinity


May 2007 ix

• Location of trees including Species/girth/foliage spread and afternoon shaded area on ground

• Surrounding land use; nearby settlements (name of structure/pattern of settlement)

• Mark on plan part of the borrow area, most suitable for storing and staking topsoil.

I.) Drawings to be Prepared

• The contractor have to prepared the drawings showing both cross-section as well as plan of the identified borrow areas incorporating following inputs:

• Contours if any, depth if any

• Location of trees, height, foliage spread and afternoon shaded area on ground

• Any other existing details at the road /property interface such as signage/railing/etc.

• Details of immediate surrounding for at least 5m on either sides

J.) Photographs to be Include

The contractor must ensure that photographs are to be taken before and after the excavation of borrow materials and also after the implementation of redevelopment plan, incorporating the following:

• Overall View from access side

• Any other community resource in the vicinity

• All spots to be detailed such as access to borrow pit /cluster of existing trees etc.

K.) OUTPUTS

The contractor must ensure based on the above-mentioned guidelines following outcomes must be evolved:

• Working plan

• Cross Section

• Longitudinal Section/Elevation of Site

• Details of all proposed Enhancements including signage etc.

• BoQ


May 2007 i

ANNEXURE – P

QUARRY MANAGEMENT PLAN

1. PROJECT PLANNING & DESIGN STAGE

Table 1 & 2 presents lists of licensed quarries operating within vicinity of the project corridor. In addition, also describe the leads from the project corridor, quantity of materials required, and land.

Table 1 : Details of Sand Quarry

Site Identification/ Location

Sample No.

Source of

Sand

Name of

quarry area

Nearest Chainage

(Km.)

Left/ Right

Offset from

nearest chainage (km)

ApproximateQuantity

(cum)

Approximate basic cost of the material

(Rs.)

Remarks

Table 2 : Details of Quarry Area for Aggregates

Sample no.

Chainages (Km.)

Left/ Right

Name of

Quarry area

Name of

crusher

Lead from

nearest chainage (Km.)

Basic cost of

the material (Rs.)

Available land/

Terrain

Surroundingland/

Terrain Remarks

2. OPERATION AND REDEVELOPMENT OF QUARRY

Following are the measures need to be taken during the excavation of the material to minimize adverse impacts on the environment:

a. Development of quarry area:

• Adequate drainage system shall be constructed to prevent the flooding of the excavated area

• At the stockpiling locations, the contractor shall construct sediment barriers to prevent the erosion of excavated material due to runoff.

• Construction of offices, laboratory, workshop and rest places shall be done in the Up-wind of the plant to minimize the adverse impact due to dust and noise.

• The access road to the plant shall be constructed taking into consideration location of units and also slope of the ground to regulate the vehicle movement within the plant.


May 2007 ii

• In the case of storage of blasting materials all precautions shall be taken as per The Explosive Rule, 1983.

b. Setting up of Crushers and other equipments

• The contractor shall acquire “No Objection Certificate (NoC)” from the Gujarat Pollution Control Board.

• All vehicles must possess Pollution under Control (PUC) Certificate and shall be renewed accordingly

• All machinery, equipments, and vehicles shall comply with existing CPCB noise and emission norms.

• The PIU must ensure that contractor shall submit the copy of NoC and PUC Certificate before the start of work.

c. Quarry Operation:

• Overburden shall be removed and disposed in environmentally sound manner.

• In the case of Blasting processes, safety measures shall be taken as per The Explosive Rule, 1983

• All worker safety measures such as helmet, footwear, earplugs, facemask, etc. shall be undertaken.

• The contractor shall ensure maintenance of crushers shall be done regularly as per manufacture schedule.

• Water sprinkling shall be done to minimize dust generation due to crushing / vehicle movement.

d. Quarry Redevelopment:

Quarry redevelopment plan shall be prepared prior to commencement of work and shall contain following:

• Photograph of the quarry site prior to commencement.

• The quarry boundaries as well as location of the materials deposits, the working equipments, stockpiling, access roads and final shape of the pit.

• Drainage and erosion control measures at site.

• Safety Measures during quarry operation.

• Design for redevelopment of exhaust site.

Option A: Revegetating the quarry to merge with surrounding landscape. This is done by conserving and reapplying the topsoil for the vegetative growth


May 2007 iii

Option B: Developing exhausted quarries as water bodies: The pit shall be reshaped and developed into pond, for harvesting rainwater. This option shall only be considered where the location of quarry is at the lowest point, i.e. surrounding areas / natural drainage slopes towards it.


May 2007 i

ANNEXURE – Q

NOISE MITIGATION OPTIONS, SELECTION CRITERIA AND LOCATIONS IDENTIFIED FOR MITIGATION

Location of Sensitive Receptors

Monitoring location has been identified, based on any sensitive criteria, Table below highlights the identified monitoring location and the criteria for selecting these stations

Chainage (km) Location Distance from CW (m) Height (m) Criteria*

12 Sensitive (School)

Noise Mitigation Options

• The noise attenuation can be worked out by the adoption of the following types of noise barriers

• Physical barriers in the form of walls, screen etc.

• Structural modifications at the receptor locations, in the form of provisions of double-glazing etc.

• Rearrangement of the sensitive locations, through changes in the internal planning where possible

• Earthen berms between the highway and the receptor and,

• Vegetative barriers in the form of thick screen of vegetation etc.

An evaluation of the various noise barrier types have been made and based on their suitability and extend of noise attenuation, to realistically work out the feasible measures that can be implemented for the project. Specific measures for the mitigation of noise have been worked out for several locations.

Physical Barriers: Provision of a physical barrier shall attenuate noise levels up to a maximum of 20dB(A). As they do not require any large spaces, they can be easily constructed. Material of construction of these walls can be bricks, plain cement concrete of foam concrete. Unlike the first two materials, foam concrete is a custom-designed mix, much lighter than concrete and available in modular components. These can be erected on site as per the shielding length required. However the provision of such barriers for the entire length of the settlement has not been proposed due to the following.

• The high cost involved in the construction of such barriers.

• The presence of such a barrier serves the community on either side of the highway, preventing crossroad access and causes a visual blight.

• The barrier facilities opportunistic encroachment for urban squatters. The availability of a free wall on a public land encourages the squatters to erect structures within the RoW.


May 2007 ii

Earthen Berms: Earthen berms, though they require a large area, can effectively reduce the noise levels up to 23dB(A). Earthen berms require a much larger base area since the angle of repose of the material used for the berm governs the height it can be raised to. Such a large area is not available along urban settlements or congested stretches of road.

Vegetation Barriers: The provision of vegetative barriers for attenuation of noise levels can reduce the sound level by 10dB(A). The vegetative barriers, similar to earthen berms, require a considerable area, and for the attenuation of 10dB(A), require a barrier of depth 40m. Such land acquisition will result in considerable social disruption and loss of livelihood of the various communities.

Other measures: This shall involve the introduction of the barrier to absorb the incoming sound waves completely and not allow any diffracted or reflected waves to reach the receptor. Other measures for noise levels reduction at the sensitive receptors as the structural modifications or change in the internal layout of these locations will call in for a consultation with the community and incorporation of their perceptions on the proposed actions.


May 2007 i

ANNEXURE – R

TRAFFIC CONTROL AND SAFETY DURING CONSTRUCTION

Figure 1: Diversion of traffic on half of the road width (say left)


May 2007 ii


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May 2007 v

Note : Background : White Color Letters : Signal Red Color Post : Alternate Black & White Stripes Height of post between bottom of road sign, caution board and crown of road shall be 1.5 m

Figure 7

SPEED RESTRICTION ENDS SPEED LIMIT

OVERTAKING PROHIBITTED

NARROW ROAD AHEAD NARROW ROAD AHEAD

BLA

CK

CO

LOR

SIGNAL RED COLOR

SIGNAL RED COLOR SIGNAL RED COLOR

SIGNAL RED COLOR BLACK COLOR

BLACK COLOR

MEN AT WORK


May 2007 vi

NARROW ROAD AHEAD

DRIVE SLOW

100070

0

(IN ENGLISH/HINDI)

1000

700

BE CAREFUL

KEEP YOUR WHEELS AWAY FROM

EXCAVATED AREA

1000

700

(IN ENGLISH/HINDI)

100070

0

Note : Background : White Color Letters : Signal Red Color

Post : Alternate Black & White Stripes

Height of post between bottom of road sign, caution board and crown of road shall be 1.5 m


May 2007 vii

WORK IN PROGRESS

DRIVE SLOW

100070

0

(IN ENGLISH/HINDI)

1000

700

(IN ENGLISH/HINDI)

100070

0

MEN AT WORK

DRIVE SLOW

1000

700

Note : Background : White Color Letters : Signal Red Color

Post : Alternate Black & White Stripes

Height of post between bottom of road sign, caution board and crown of road shall be 1.5 m


May 2007 i

ANNEXURE - S

ENVIRONMENTAL REPORTING SYSTEM

Format EM1: Selection of dump site locations

From

________ To _____

(Give chainage and nearest settlements from both ends)

Criteria on which information for each site is to be collected Site 1 Site 2 Site 3 Site 4

Area covered (m2)

Total Material that can be dumped within the site (m3)

Depth to which dumping is feasible (m)

Distance of nearest watercourse (m)

Nearest Settlement (m)

Date/s of Community Consultation/s

Whether the community is agreeable to siting of dumping site (Y/N)

Date of Permission from Land Owner

Proposed future use of the Site

Selected Site (tick any one column only)

Certified that the above information is correct to the best of my knowledge and belief.

(Contractor)

Verified: Date:

Recommendation on the suitability of the site

Signed: Date:

Name & Designation:

Decision Taken (tick one): Approved/Not Approved

Signed: Date:


May 2007 ii

Name and Designation of Deciding Authority

Enclosures

(Tick as appropriate)

1 Maps of each location

2 Photographs

a Each dumping location

b Each community consultation

3 Photocopies of permissions from Land Owner

Name and Designation of Verifier:


May 2007 iii

Format EM2: Construction Camp and Storage Area

CONSTRUCTION STAGE: REPORT - DATE____ MONTH______ YEAR______ (Site Layout of Construction camp and working drawings of dwelling units with allied facilities to be attached with format) Format to be submitted before target date (decided by ESDU) of establishing camps Location of Camp (km______ Package ______)

Sl. No Item Unit Details Remarks by CSC, if any

1 Detail of item camp

a Size of Camp mxm

b Area of Camp sq.m

c Distance from Nearest Settlement

d Distance from Nearest Water Source Type/Size/Capacity/Present Use/Ownership

e Date of camp being operational dd/mm/yy

f Present land use

g No other trees with girth > 0.3m.

h Details of Storage area(Availability of impervious surface)

mxm

i Availability of separate waste disposal from storage area

Cum

2 Details of top soil stacking

a Quantity of top soil removed sq.m

b Detail of storage of topsoil Describe stacking arrangement

3 Details of workforce

a Total No of Labourers nos

b Total no of Male Workers nos

c No of Male Workers below 18 years of age nos

d Total No of Female Workers nos

e No of Female workers below 18 years of age nos

f No of children nos

4 Details of dwelling units

a No of dwellings/huts nos

b Minimum Size of Dwelling mxm

c No of openings per dwelling nos


May 2007 iv

Sl. No Item Unit Details Remarks by CSC, if any

d Minimum size of opening mxm

e Walls specifications

f Roofing specifications

g Flooring specifications

h Drinking Water Tank specifications

i Capacity of Drinking water Tank cum

j Size of Drinking Water Tank mxmxm

k Total no of WC nos

l No of Wcs for female workers nos

m Minimum Size of WC mxm

n Total No of Bathrooms for female workers nos

o Size of septic tank for WC/Baths mxmxm

p Capacity of Water Tank for WCs/ Bathrooms and general purpose

q Fencing around camp Y/N

5 Details of facilities

a Availability of security guard 24 hrs a day Yes/No

b Details of First Aid Facility Yes/No

c Availability of Day Care Centre Yes/No

d Availability of dust bins (capacity 60 ltr) nos

Certified that the furnished information is correct the quality of work is as per god practice and all relevant information as required is attached Project Engineer


May 2007 v

Format EM3: Reporting for Borrow Areas

Construction Stage Report: Date ____ Month________ Year_________

Site Layout of Borrow Area and Proposed Borrow Area Redevelopment Plan to be attached with format

Format to be submitted before target date as (decided by ESDU) for establishing Borrow Areas

Borrow Area No. BA

Location of Borrow Area (Km______ Package ______)

Sl. No

Item Unit Details Remarks by CSC, if any

1 Details of Borrow Area

a Date of Borrow Area becoming operational dd/mm/yy

b Current Landuse

c Distance from Nearest Settlement Km

d No of settlements within 200m of Haul Road No.

e No of settlements within 500m of Borrow Area No.

f Total Capacity cum

g No of Trees with girth more than 0.3 m No.

h Length of Haul Road km

i Width of Haul road m

j Type of Haul Road metal/dirt

k Size of Borrow Area sqkm

l Area of Borrow Area km x km

m Quantity Available cum

n Distance of Nearest Water Source Type/Size/Capacity/Present Use/Ownership

o Quantity of top soil removed cum

p Detail of storage of topsoil

q Daily/occasional use of the Borrow Area by the community, if any

-

r Probable reuse of Borrow pit-ask community -

s Drainage channels/slope/characteristics of the area -

2 Enhancement Elements

a Quantity of top soil removed sq.m

b Detail of storage of topsoil sq.m

c Adjoining land use/Natural elements


May 2007 vi

Sl. No

Item Unit Details Remarks by CSC, if any

d Near by catchment for storing water

e Erosion Control Programme

f Preventive measures for

i Leaching

ii Mosquito Breeding

iii Water run-off/contamination

iv Any other environmental degradation

3 Details of workforce

a Total No of Labourers No.

b Total no of Male Workers No.

c No of Male Workers below 18 years of age No.

d Total No of Female Workers No.

e No of Female workers below 18 years of age No.

4 Details of redevelopment, Plan to be enclosed

Certified that the furnished information is correct the quality of work is as per good practice and all relevant information as required is attached

•

•

Project Engineer

(Supervision Consultant) (Contractor)


May 2007 vii

Format EM4: Tree Felling

Physical Target Completion Target Sl. No

Links Total Target

Target Achieved

% of task completed

Target Date

Date of Completion if task completed

Reason for Delay if any

Unit

1 nos

2 nos

3 nos

4 nos

(Signed)

(Authorized Personal From Forest Department)


May 2007 viii

Format EM5: Enhancements for Cultural Properties, Waterbodies & Incidental Spaces

Construction Stage: Quarterly Report: Date ____ Month_______ Year______

Target to be prepared by ESDU before Construction period

All Annexures to be appended with format

Physical Target Financial Target Completion Target

Sl. No

Activity Unit Target

Target Achieved

% of task completed

Total (Lakhs)

Budget Spent

% used

Target Date

Date of Completion/ %

completed

Reason for

Delay, if any

1 Cultural Properties

Nos.

2 Water Bodies

Nos.

3 Incidental Spaces

Nos.

Annexures Attached

Details of Cultural Properties Enhanced

Details of Water bodies Enhanced

Details of Incidental Spaces Enhanced

PROJECT ENGINEER CONTRACTOR

Construction Supervision Consultant)


May 2007 ix

Format EM6: Tree Plantation and Landscaping

• Construction Stage: Quarterly Report -Date____ Month______ Year______

All landscape works to be as per Landscape Plan

Physical Target Financial Target Completion Target

Target (tree/shrubs to be planted in Package)

for this Quarter

Target Achieved

% of task completed

Total (lakhs)

Budget Spent

% used

Target Date

Date of Completion/%

completed

Reason for

Delay if any

Sl. No

Activity

Unit No. of

Trees

Survival Rate (%)

1 Tree Plantation along roadside

km-km

2 Landscaping of Road Junctions

Nos.

3 Plantation at Incidental Spaces

Nos.

4 Plantation at Locations identified for enhancement

Nos.

5 Turfing on Embankment

km-km

6 Shrubs on Embankment

km-km

Certified that the above information is correct



May 2007 x

EM7 Topsoil Conservation Monitoring

Contract _________

Report No. _______ Date_______

Location

(Chainage)

Original Use of Topsoil

removed

Measures for preventing spillage of

topsoil on Haul Roads(Earthen/

Metalled)

Present Method

of Storage

Anticipated period of Storage

(Months)

Distance of

nearest Water course

(m)

Present Slope of Pile

(V: H)

Whether silt

fencing provided?

Is any other

covering / measure provided?

If yes, what is

it?

Improvements required

Extent of Compliance as on date of report

Certified that the above is true.

Signed________________________________ (Authorized Representative of the Contractor)

Verified

Signed__________________________

(Environmental Specialist of ESDU)


May 2007 xi

Format EC1: Target Sheet for Pollution Monitoring

CONSTRUCTION STAGE: REPORT - DATE_______ MONTH______ YEAR______

(Locations at which monitoring to be conducted as per EMP)

Completion Target

Sl. No

Chainage Details of Location

Duration of Monitoring

Instruments Used Target

Date Date of Completion if

task completed


Air Monitoring

1

2

3

4

5

Water Monitoring

1

2

3

4

5

Soil Monitoring

1

2

3

4

5

Noise Monitoring

1

2

3

4

5


May 2007 xii

Certified that the Pollution Monitoring has been conducted at all the locations specified in the EMP and as per the directions of the CSC

Project Engineer

Contractor

(Construction Supervision Consultant)


May 2007 xiii

Format EC 2: Target Sheet for Pollution Monitoring

OPERATION STAGE: REPORT - DATE_______ MONTH______ YEAR______

(Locations at which monitoring to be conducted as per EMP)

Completion Target

Sl. No

Chainage Details of Location

Duration of Monitoring

Instruments Used Target

Date Date of Completion if

task completed


Air Monitoring

1

2

3

4

5

Water Monitoring

1

2

3

4

5

Soil Monitoring

1

2

3

4

5

Noise Monitoring

1

2

3

4

5


May 2007 xiv

Certified that the Pollution Monitoring has been conducted at all the locations specified in the EMP

Signed

(Environmental Specialist of EC of ESDU)


May 2007 xv

Format OP 1: Survival Rate of Trees

OPERATION STAGE: REPORT - DATE_______ MONTH______ YEAR______

Landscape Section

Roadside Trees Landscaping at Junctions 1.1.1 Turfing on Embankment

S. No.

Km-Km Total Trees

Planted

Total Surviving

% Survival

Total Shrubs Planted

Total Surviving

% Survival

Total Area

Turfed

Total Turfed Area

Surviving

% Survival

Nos. Nos. % Nos. Nos. % Sqm. Sqm. %

Certified that the above information is correct



May 2007 xvi

Format OP2: Utility of Enhancements for Cultural Properties, Waterbodies & Incidental Spaces

Operation Stage: Report: Date ____ Month_______ Year______

To be monitored by ESDU during operation period

Details of remarks to be appended wherever necessary.

Use of the Property by Community

Drawbacks Identified Improvements Required

Sl. No

Activity Number of people

using Constructio

n Financial

Others (Ask

Community)

Technical

Financial

Remarks/ Suggestio

ns

1 Cultural Properties

2 Water Bodies

3 Incidental Spaces

111...222 SSSiiigggnnneeeddd (Environmental Manager of EC of ESDU)


May 2007 xvii

Format OP3: Redevelopment of Borrow Areas

Operation Stage: Report: Date ____ Month_______ Year______

To be monitored by ESDU during operation period

Details of remarks to be appended wherever necessary.

Drawbacks Identified Improvements Required Sl. No

Activity Particulars Construction Financial

Others (Ask Community)

Technical Financial Remarks/

Suggestions

1 Details of Borrow area and Surrounding Landuse

2 End use of the borrow area

3 Whether rehabilitation has been carried out in line with owners request

4 Erosion Control Measures

5 Number of trees planted

6 Reuse of topsoil

7

Preventive measures taken for

-Mosquito Breeding

-Water runoff/ contamination

-Other Environmental Degradation

8 Any problems faced by owner

9 Any problems faced by the local community

10 If it has been developed as a fish pond,

A Details of available catchment for storing water

B List of Fish species that can survive in that area


May 2007 xviii

Drawbacks Identified Improvements Required Sl. No

Activity Particulars Construction Financial

Others (Ask Community)

Technical Financial Remarks/

Suggestions

C Economic Benefits/Utility

11 If it has been developed as an orchard

A Details of suitability of soil and water.

B Type of Plantation

C Economic Benefits/Utility

12 Any Other End use

A Particulars

B Economic Benefits/Utility

Signed

(Environmental Specialist of EC of ESDU)

UTTAR PRADESH STATE ROADS PROJECT Under … WORKS DEPARTMENT Government of Uttar Pradesh, India...

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