IND: Uttarakhand State Roads Investment Program (Project 3)

Transcription

1 Resettlement Plan November 2011 IND: Uttarakhand State Roads Investment Program (Project 3) Pauri Bend Magnesite Factory Road Subproject Prepared by Public Works Department, Government of Uttarakhand for the Asian Development Bank.

2 CURRENCY EQUIVALENTS (as of 29 November 2011) Currency unit Indian rupee (Rs) Rs1.00 = $ $1.00 = Rs ABBREVIATIONS ADB Asian Development Bank DH Displaced Household DP Displaced Person BPL Below Poverty Line EA Executing Agency FGD Focus Group Discussions GOI Government of India GRC Grievance Redressal Committee HH Household IPSA Initial Poverty & Social Assessment IP Indigenous People IPP Indigenous Peoples Plan LA Land Acquisition NGO Non-Government Organization NRRP National Rehabilitation and Resettlement Policy PIU Project Implementation Unit PMU Project Management Unit PRA Participatory Rural Appraisal PWD Public Works Department RF Resettlement Framework RO Resettlement Officer R&R Resettlement & Rehabilitation SC Schedule Caste SPS Safeguard Policy Statement ST Schedule Tribe TOR Terms of Reference WEIGHTS AND MEASURES km kilometer Displaced Household (DH) Displaced Person (DP) GLOSSARY project affected household consisting of such persons, his or her spouse, minor sons, unmarried daughters, minor brothers or unmarried sister, father, mother and other members residing with him/her and dependent on him/her for their livelihood. In the context of involuntary resettlement, displaced persons are those who are physically displaced (relocation, loss of residential land, or loss of shelter) and/or economically displaced (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas

3 Compensation payment in cash or in kind of the replacement value of the acquired property Grievance Redressal Committee the committee established under the subproject to resolve the local grievances Involuntary resettlement addresses social and economic impacts that are permanent or temporary and are (i) caused by acquisition of land and other fixed assets, (ii) by change in the use of land, or (iii) restrictions imposed on land as a result of an ADB Project. Land Acquisition the process whereby land and properties are acquired for the purpose of the project construction Rehabilitation the measures provided under the resettlement plan other than payment of the compensation of acquired property. Replacement Cost the method of valuing assets to replace the loss at market value before the project or dispossession, or its nearest equivalent, plus any transaction costs such as administrative charges, taxes, registration, and titling costs. Replacement cost is based on market value before the project or dispossession, whichever is higher. Resettlement all the measures taken to mitigate all or any adverse impacts of the project on the DPs property and/or livelihoods including compensation, relocation (where relevant), and rehabilitation NOTE In this report, "$" refers to US dollars. This resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

4 TABLE OF CONTENTS EXECUTIVE SUMMARY...i RESETTLEMENT PLAN...1 A. Project Description...1 B. Scope of Land Acquisition and Resettlement...1 C. Socio-economic Information and Profile...4 D. Information Disclosure, Consultation and Participation...6 E. Grievance Redress Mechanisms...7 F. Legal Framework...7 G. Entitlements, Assistance and Benefits...9 H. Relocation of Housing and Settlements...9 I. Income Restoration and Rehabilitation...9 J. Resettlement Budget and Financing Plan...9 K. Institutional Arrangements...9 L. Implementation Schedule...10 M. Monitoring and Reporting...10 Annexure I: List of the Marginally Displaced Households and Persons...15 Annexure II : Public Consultation Participants...18 Annexure III: Photo Gallery...21 Annexure IV : Terms of reference for the Non-Government Organization...22 Annexure V : Terms of Reference for External Monitoring and Reporting Agency...26 Annexure VI: Leaflet for Public Information (in Local Language)...28 Annexure VII: Compensation Paid by PWD at Sub-Project Road...34 Annexure VIII: Details of the Sub-Project Road as per PWD Record (D to I)...35

5 A. Description of the Project EXECUTIVE SUMMARY 1. Under the Uttarakhand State Road Investment Program (USRIP) Project III, Pauri Bend Magnesite Factory (Paldichhina - Magnesite Factory) is one of the sub-projects road in Package IV, selected for improvement funded by the Asian Development Bank (ADB). The existing carriageway varies between 3.2 meters to 3.75 meters. The selected road is an Other District Road (ODR) with single road specification or to be upgraded from single to single lane having adequate passing places and hill side proper with shoulders with 3.75 m carriageway. The key benefits envisaged out of the Project mainly comprise of improved connectivity and accessibility to access to Paurhi Dhar, Patli, Bhargaon, Chaugaon Chhina, Bhitadi, Agar, Paldi Chhina/Joshi Paldi, Bilori, Matela and Magnesite factory at Kafaligair besides better transport facility to Almora and Nainital. Indirect benefits will be available in the form of improved living conditions, a healthier living environment and the prospect of improved health status of the population plus an improved economic climate with employment opportunities 2. In keeping with ADB s multitranche financing facility (MFF) loan procedures; this Resettlement Plan (RP) has been prepared in accordance with approved Resettlement Framework (RF). This RP identifies the broad scope of the sub-project and outlines the policy, procedures for acquisition of land, compensation and other assistance measures for displaced persons and institutional requirements for this sub-project under the loan. B. Scope of Land Acquisition and Resettlement 3. This Resettlement Plan is prepared to deal with impacts of land acquisition and resettlement issues resulting from the rehabilitation of the said road subproject. The Plan provides an analysis of the impacts, identifies the nature and types of losses, and establishes an entitlement matrix as a guide to payments for compensation and resettlement benefits. The primary objective of this RP is to prepare a plan, restoring the income and living standards of the displaced persons (DPs), due to land acquisition within a short period of time without any disruptions in their own economic and social environment. 4. The Project has its objectives of avoiding involuntary resettlement wherever possible, by means of adopting an appropriate technical design, which leads to minimization of the resettlement impact. In keeping with this objective, the technical design aims at minimization of the resettlement impact by means of best utilization of the available space by avoiding private and public assets and land acquisition as far as possible. In keeping with the technical design and the census survey undertaken during November, On this basis, the resettlement impact in this subproject is classified as Category - B. Based on the detailed technical design and census survey, the nature of resettlement impacts identified in the subproject is mainly on private structures. After minimizing the impacts, 9 private structures (3 residential, 2 have courtyards, 1 residential cum commercial, 1 damaged, 1 have car way and 1 have boundary wall) are likely to be affected between Chaugaon Chinna to Paldi Chhina (Chainage 4.8 to 10.8 Km). 1 As per ADB s Safeguard Policy Statement (2009), a project is classified as Category B if it includes involuntary resettlement impacts that are not deemed significant. A resettlement plan, including assessment of social impacts, is required.

6 ii C. Socio-economic Profile of Displaced Households 5. The census survey identified religious and social categories of the displaced households (DHs). All 9 households belong to Hindu (5 General, 2 General cum BPL status and 2 belong to Schedule Caste having BPL status). All the households are non-titleholders; it is evident from the fact that 9-12 m ROW was common at the initial stage of the roads construction before the commencement of the Forest Conservation Act, Thus, all the 9 structures are illegally construction by the local people for their convenience and income generation. The literacy level among the DHs is 77% and about 89% households have annual income between Rs.75, 000 Rs. 100,000 and 11% have annual income more than Rs. 100, In the State of Uttarakhand, the scheduled tribe (ST) population constitutes only 3% of the total population. In this road subproject, not a single ST household is being negatively impacted. Therefore, no separate Indigenous Peoples Plan (IPP) has been prepared for this road subproject. 7. As a part of the social assessment, FGDs with women provided information on the status and needs of women in the subproject area and the potential impact of the Project on them. The subproject as per the women s group will benefit them indirectly by means of better access to nearby urban centers, better access to health facilities and educational institutions. In their view, the probable negative impact may include increase in accidents due to high speed of vehicles. Overall, they felt that the proposed rehabilitation would lead to the greater prosperity in their area. D. Information Disclosure, Consultation and Participation 8. Meaningful consultations were carried out within the project location for resettlement and rehabilitation of the people. The list of people consulted during social study duly signed is enclosed as Annexure - II. Due consideration was also given for Stakeholder consultations and community participation at different levels in the preparation of the RP. The RP will be translated into Hindi and will be made available to the displaced persons by the Executing Agency (EA) for review and comments. Copies of the RP will also be made available at the local level public offices such as revenue offices to stakeholders for local inputs prior to award of civil work contract. The final RP will also be disclosed on the ADB and Uttarakhand PWD websites. E. Grievance Redress Mechanisms 9. A Grievance Redressal Committee (GRC) will be established at the subproject level with the primary objective of providing a mechanism to mediate conflict and disputes concerning compensation payments and cut down on lengthy litigation. Headed by the District Collector, the GRC shall comprise of members from the District Land and Revenue Department, representatives of displaced persons (DPs), including women and vulnerable groups. The GRC will meet as and when grievances are referred it for redress, grievances will be redressed within two to four weeks from the date of lodging the complaints. 10. All compensation and other assistances will be paid to all marginally DHs prior to the commencement of civil works. A detailed implementation schedule for the various activities is provided in the main text.

7 iii F. Legal Framework 11. The resettlement principles adopted for this subproject recognize the Government of India s Land Acquisition (LA) Act of 1894 and the entitlement benefits as listed in the National Rehabilitation and Resettlement Policy of 2007, and the relevant Asian Development Bank s (ADB) policies and operations manuals, in particular the Safeguard Policy Statement of 2009, and Operations Manual F1 of The RP is based on the general findings of the census survey, field visits and meetings with various persons in the subproject area. Taking into account the various losses, the Entitlement Matrix provides for compensation and resettlement assistance to all displaced persons (DPs) including the non-titleholders in the subproject area. In general terms, the people affected by the Project will be entitled to the following types of compensation and assistance - (i) Compensation for loss of land and crops/trees at replacement value; (ii) Assistance for restoration of income and livelihoods and (iii) Additional assistance to vulnerable groups namely women-headed households (WHHs), Scheduled Caste (SC), Scheduled Tribe (ST), belong to Below Poverty Line (BPL) and Physically Handicapped Household (PHH). A detailed Entitlement Matrix for the subproject is provided in the main text. G. Entitlement Assistance and Benefits 13. An Entitlement Matrix specific to the road has been developed, which recognizes and lists of various types of losses and the compensation and resettlement packages presented in Table - 12 of the main text. H. Relocation of Housing and Settlements 14. In the subproject, no relocation of households is envisaged as there is no total loss of any residential and commercial structures. All the 9 identified households likely to be marginally affected. However, in this subproject road, none of the identified households will be displaced. All DHs indicated for cash compensation against partial loss of their structures and other assets. I. Income Restoration and Rehabilitation 15. The DHs will be linked with various other development schemes like the Mahatma Gandhi National Rural Employment Guarantee Act (MNREGA) in order to restore their income. J. Resettlement Budget and Financing Plan 16. The total estimated cost for resettlement operation and management for the Project is Rs. 8, 31,975/- (Eight Lac Thirty One Thousand Nine Hundred Seventy Five Only). K. Institutional Arrangement 17. PWD of the State Government of Uttarakhand will be the Executing Agency (EA) for the Project. The Project Management Unit (PMU) with assistance of Social Development & Resettlement Specialist & experienced NGO/agency will have the primary responsibility of the RP preparation and its effective implementation. The PMU would ensure monitoring any

8 iv changes to subproject design which may require re-evaluation of the need for and adequacy of the RP. The PMU will ensure resettlement budgets and disbursed among the marginally DHs on time for smooth and effective implementation of the project. L. Implementation Schedule 18. The various resettlement activities will be implemented within a time frame of 9 months. M. Monitoring & Reporting 19. Both internal and external monitoring will form part of the implementation process. Internal monitoring will be the responsibility of the concerned PIU and PMU. This will include: administrative monitoring, socio-economic monitoring and impact evaluation monitoring. The Supervision Consultant would be responsible for external monitoring and reporting of the implementation of the RP. For this, relevant provisions have been made in the terms of reference (TOR) of the Supervision Consultants- namely Every Supervision Consultant would be required to have an R&R expert who will be responsible for monitoring as well as reviewing the implementation of the Resettlement Plans. The external monitoring report will be submitted to the EA and ADB on a semi-annual basis.

9 1 RESETTLEMENT PLAN A. Project Description 1. Under the Uttarakhand State Road Investment Program (USRIP) Phase - III, Pauri Bend - Magnesite Factory (Paldi Chhina - Magnesite Factory) motor road is one of the subprojects in Package - IV, selected for improvement funded by the Asian Development Bank (ADB). USRIP is intended to support the State s infrastructure vision under ADB s multi tranche financing facility (MFF). The focus in the second tranche is on improving the condition of the existing road by carrying out rehabilitation and reconstruction works that are mostly confined within edge-to-edge of the road, as decided by the Public Works Department to be applicable in the hilly areas. 2. The selected road is other district road (ODR) with single road specification and is proposed to be upgraded from single to single lane upgradation with 3.75 meters carriageway including hill side drains and shoulders. The existing carriageway varies between 3.2 meters to 3.75 meters. Since it has been decided to use the formation width in general the question of land acquisition is ruled out, owing to the availability of sufficient width. Therefore, the minimum width of 5.95 meters has been taken for conducting census and socio-economic survey. 3. The key benefits envisaged out of the Project mainly comprise of improved connectivity and accessibility to access to Paurhi Dhar, Patli, Bhargaon, Chaugaon, China, Agar, Bhitadi, Paldichhina/Joshi Paldi, Bilori and Matela besides better transport facility to Almora and Nainital. Indirect benefits will be available in the form of improved living conditions, a healthier living environment and the prospect of improved health status of the population plus an improved economic climate with employment opportunities. However, the surveys and assessments undertaken during Project Preparation also indicate that the subprojects will entail some degree of resettlement impacts. 4. In keeping with ADB s MFF loan procedures; the resettlement plan RP has been prepared for this subproject based on the technical design for Pauri Bend - Magnesite Factory (Paldi Chhina - Magnesite Factory) Motor Road totaling a distance of 22 kilometers. No land acquisition is required for this road and hence there will be no legal titleholders to be affected. However, there are non-titleholders who would be losing their assets. Overall, this subproject s resettlement impact is classified as Category B. The RP identifies the broad scope of the subproject and outlines the policy, compensation and other assistance measures for DHsand institutional requirements for this subproject under ADB loan. 5. The Public Works Department (PWD) of the State Government of Uttarakhand is the Executing Agency (EA), of the subproject and will be responsible, through its Project Management Unit (PMU) for overall strategic guidance. The Project Management Unit (PMU) will have the primary responsibility for RP implementation. B. Scope of Land Acquisition and Resettlement 6. This RP is prepared to deal with the impact of resettlement impact resulting from the improvement of the said road subproject. The plan has been prepared on the basis of survey findings and consultations with various stakeholders in accordance with the Government of India s Land Acquisition (LA) Act 1894 and the entitlement benefits as listed in the National Rehabilitation and Resettlement Policy of 2007 (NRRP), and the ADB Safeguard Policy

10 2 Statement (2009) and Operations Manual F1 (Safeguard Policy Statement, 2010). The following issues have been identified and discussed in the present RP. Type and extent of loss of assets, loss of income and livelihood opportunities, common property resources and other social assets, if any. Impact on vulnerable groups (SC, ST, BPL, WHH & PHH) and identification of indigenous groups and impact on women, if any. Identification of issues through consultation with displaced persons and other stakeholders. Existing policies and guidelines and legal framework and formulation of project specific entitlements. Entitlement matrix with provisions for relocation assistance. Estimation of cost for implementation of R&R activities. Institutional framework for the implementation of plan and including monitoring and reporting mechanism and grievance redress mechanism. 7. The Project has its objectives of avoiding involuntary resettlement wherever possible, by means of adopting an appropriate technical design, which leads to minimization of the resettlement impact. In keeping with this objective, the technical design aims at minimization of the resettlement impact by means of best utilization of the available space by avoiding private and public assets. Initial site visits and the originally planned widening to two-lanes, brought forth the possible large number of resettlement issues. The discussion among the social, engineering and traffic specialist reflected that considering the current and project traffic, the double-laning is not required. Based on the available width and likely improvement strategy, it was agreed in consultation with the PIU to confine the improvement within the existing formation width, thereby saving large number of private assets and avoided land acquisition. Hence, the minimization of resettlement was achieved mainly by reducing the corridor of impact. 8. In keeping with the technical design and the census survey undertaken during November, The resettlement impact in this subproject is classified as Category B. Based on the detailed technical design and census survey, the nature of resettlement impacts identified in the subproject mainly comprise of private structures. After minimizing the impacts, 9 assets of various type will be affected. Type and use of various structures with number of households and project marginally displaced persons (DPs) as enumerated during the census survey are summarized in Table 1. From the table, it becomes apparent that no impact was found on the fully commercial structures in this sub-project. Out of the nine displaced households (DHs), six households comprise of an average household size up to five members and remaining three households have more than five members. Types and uses of affected structures are given in Table 1 and list of DHs with their location and legal status is shown in Table 2. The list of the marginally DPs has been provided in Annexure I.

11 3 Table 1: Types and Uses of Assets to be Affected Sl. No. Type of Structures No. of Assets No. of HHs No. of Marginally Displaced persons 1. Residential structure Residential cum commercial Commercial structure Other Units Religious structure (Gate) Total Sl. No. Name of Household Head 1. Mr. Gopal Ram 2. Mr. Lal Mani Sharma 3. Mr. Rajendra Prasad 4. Mr. Mohan Singh 5. Mr. Anand Singh 6. Mr Bahadur Singh 7. Mr. Govind Singh 8. Mr. Prem Singh 9. Mr. Pradeep Janoti Table 2: List of Households Likely to be Displaced Father's/ Location with Chainages Husband Name Village Km Side (L/R) Area to be Affected (Sq. m.) Social Category Legal Status Late Sh. Shovan Ram Chaugaon Chhina 4.8 R 15 SC & BPL Late Sh. Moti Chaugaon 5.0 R 7 General Ram Sharma Chhina Late Sh.Pani Bhitadi 9.5 L 18 SC & BPL Ram Late Sh. Uday Paldi 10.6 L 30 General Singh Chhina Late Sh. Trilok Paldi 10.6 L 15 General Singh Chhina Late Sh. Madan Paldi 10.6 L 10 General Singh Chhina Late Sh. Deelip Paldi 10.7 R 14 Gen & BPL Singh Chhina Late Sh. Pan Paldi 10.8 L 16 General Singh Chhina Late Sh. Paldi 10.8 L 16 Gen. & BPL Mahender Singh Chhina Total Gen, 2 Gen with BPL & 2 SC with BPL 9. Titleholders and Non-titleholders Details: The private structures likely to be affected belong to Encroachers. The details of ownership by various types of impacts are given in Table 3. Table 3: Legal Status of Affected Structures Sl. No. Categories of Losses Titleholders Squatters Encroachers Total 1. Residential structure Residential cum commercial structure 3. Commercial Structure Other Properties Religious Structure (Gate) Total Structures will be marginally affected. No relocation is required. The extent of losses of various kinds is provided in Table 4 as given below. Non-Titleholder

12 4 Table 4: Extent of Impact Sl. Categories of Losses % Coverage No. < > Residential structure Residential cum commercial structure Commercial structure Other Total Source: Census Survey, November, Within the area of project influence, 4 structures are permanent, 3 semi-permanent and remaining 2 are temporary in nature as shown in the Table 5. Table 5: Type of Construction Sl. No. Type of Construction No. of Structures Number of Households 1. Permanent Semi-Permanent Temporary 2 2 Total 9 9 Source: Census Survey, November, 2011 C. Socio-economic Information and Profile 12. The size of affected household has been summarized in Table 6. Table 6: Size of Households Sl. No. Number of Members No. of Households 1. Up to >15 0 Total 9 Source: Census Survey, November, The survey also identified social composition of displaced households. Out of them, 5 households belong to General category, 2 General having BPL status and remaining 2 households belong to Schedule Caste and BPL (Table 7). Table 7: Social Composition and Vulnerability of DHs Sl. No. Social Category No. of Households 1. General Caste 5 2. General with BPL Status 2 3. SC with BPL Status 2 4. ST 0 5. OBC 0 6. Not Available 0 Total 9 Source: Census Survey, November, 2011

13 5 14. Literacy among the marginally DPs was found to be high (77%). Out of the total 52 persons, only 23% people were found illiterate. The educational attainment and literacy level is detailed out in Table 8. Table 8: Educational Attainment of DPs Sl. No. Educational Attainment No. of Marginally Displaced persons 1. Illiterate 12 (23%) 2. Literate 40 (77%) Total 52 Literate a. Primary 9 b. Middle 3 c. Secondary 17 d. Higher Secondary 3 e. Higher Education 8 Total 40 Source: Census Survey, November, Out of total 9 households, 7 are cultivators and 2 have private jobs. The details are summarized in Table 9. Table 9: Main Occupation of Displaced households Sl. No. Occupation Category No. of Households 1. Cultivators 7 2. Agricultural/Labours 0 3. Trade/Business 0 4. Government Service 0 5. Private Service 2 6. Not Available 0 Total 9 Source: Census Survey, November, The annual income of 9 DHs range between Rs. 75,000 Rs. 100,000. The annual income pattern is given in the Table 10. Table 10: Average Annual Income of Displaced households Sl. No. Range of Annual Income (Rs.) No. of Households 1 < > Total 9 Source: Census Survey, November, The survey also aimed to identify the socially and economically vulnerable groups amongst those affected, needing special consideration so that they can benefit from the project namely - (a) those who are below the poverty line (BPL); (b) those who belong to Scheduled Castes (SC), (c) Scheduled Tribes (ST); (d) women-headed households (WHH);

14 6 (e) disabled person headed households. According to the census survey, only 2 households belong to the vulnerable group (SC). 18. In the state of Uttarakhand, the scheduled tribe (ST) population constitutes only 3 percent of the total population. In this road subproject, not a single ST household is being negatively impacted. Further, one may observe in this state that the socio-cultural customs and practices of tribal population are not distinctive from the rest of the population in the sense that they have also adopted the modern way of living and having a similar lifestyle of that of the dominant population. The ST groups share the sources of water, folklore, food and other resources with the mainstream population and also freely interact with them. Mostly, they cannot be differentiated from the mainstream population as they also have nuclear families. Hence the socio-economic impact in general will be the same as on the mainstream population. Therefore, no separate Indigenous People Plan has been prepared for this road subproject. 19. As a part of the social assessment, FGDs with women provided information on the status and needs of women in the subproject area and the potential impact of the Project on them. As mentioned earlier, there is no women headed household who would experience insignificant impact on their assets due to the subproject. None of these households would experience loss of productive assets. In most cases, the impact is marginal. During FGDs, women brought forth that adequate compensation will remove the adverse impact and further they added that the improvement of this road will benefit most of the people, those who reside in close proximity. 20. In general, the subproject, as per the women groups will benefit them indirectly by means of better access to nearby urban centers, better access to health facilities and educational institutions. In their view, the probable negative impact may include increase in accidents due to greater speed of vehicles. Therefore they suggested that near settlements appropriate measures should be taken. Overall, they felt that the proposed improvement would help ushering in greater prosperity in their area. 21. In case there is any change in the subproject design during project implementation, it will necessitate updating of the project impact and preparation of the final RP for implementation purposes by the EA. The final RP will be submitted to ADB prior to award of civil works contract. D. Information Disclosure, Consultation and Participation 22. Meaningful consultations were carried out with both primary and secondary stakeholders including displaced persons, executing agency, local administrative departments and elected representatives. Directly affected population was consulted to disseminate information regarding the project, understand their concerns and take their suggestions on the types of mitigation measures that should be addressed. In this road section, one consultation meeting in terms of focus group discussion was organized at Joshi Paldi. The name and signature of participants at different locations are enclosed with this report as Annexure II. The Consulted people reflected on how the adverse impact can be minimized, type of compensation and assistance will be required to rebuild their assets. Besides, they expressed their views on the negative and positive impacts. They pointed out that the compensation should be at replacement costs and should be provided before the commencement of demolition of structures. Positive impacts as aired by them include overall development of the area, good transportation, enhanced frequency of public transport,

15 7 increase in business and income and reduction in accidents due to proper safety measures that would be adopted. 23. The consultations and discussions with the project displaced persons will be a continuing activity throughout the implementation of the project and PIU will be assisted by local NGO for it. The NGO involved in the implementation activities will keep the displaced persons informed about the impacts, the compensation and assistances proposed for them and facilitate addressing any grievances 24. The summary of this Resettlement Plan and the entitlement matrix will be translated in Hindi and will be disclosed to the displaced persons and made available at offices of PWD, PMU and ADB website. For illiterate people other suitable communication methods will be used. E. Grievance Redress Mechanisms 25. A Grievance Redressal Committee (GRC) will be established at the PIU level with the primary objective of providing a mechanism to mediate conflict and disputes concerning compensation payments and cut down on lengthy litigation. The GRC, headed by the district collector (DC), shall comprise of members from the District Land and Revenue Department, representatives of displaced persons, including women and vulnerable groups. Other than disputes relating to ownership rights under the court of law, GRC will review grievances involving all resettlement benefits, compensation and other assistance. The GRC will meet as and when grievances are referred to it for redress. Grievances will be redressed within two to four weeks from the date of lodging the complaints. 26. All compensation and other assistances will be paid to all displaced households/dps prior to commencement of civil works. A detailed implementation schedule for the various activities is provided in Figure 1 in the main text. F. Legal Framework 27. The resettlement principles adopted for this Project recognize the Government of India s Land Acquisition Act (1894), National Rehabilitation and Resettlement Policy (2007), and the relevant Asian Development Bank s (ADB) policies and operations manuals, in particular the Safeguard Policy Statement, 2009 (SPS), and Operations Manual F1 (2010). 28. Under the Land Acquisition Act of 1894, the compensation is paid only to the legal titleholders and does include non-titleholders for any kind of compensation. However, the National Rehabilitation and Resettlement Policy (2007) addresses development induced resettlement. The policy included poor (BPL) and deprived groups including small and marginal farmers, SC/STs and women-headed households. For linear acquisition, the exgratia proposed is Rs. 20,000/- per household. Still, as far as encroachers are concerned, this policy falls short as no transitional allowance is provided to them. Based on the above analysis and ADB s SPS, the project specific resettlement and rehabilitation measures have been formulated as given below: The negative impact on persons affected by the project would be avoided or minimized as far as possible;

16 8 For negatively impacted households, the persons affected by the project and vulnerable groups will be identified and assisted in improving or regaining their standard of living; Information related to the preparation and implementation of resettlement plan will be disclosed to the stakeholders and people s participation will be ensured in all stages; No land acquisition is envisaged, as this project would follow the existing formation width. However, in case required due to curve improvement etc. it will be done as per the Land Acquisition Act, 1894 and NPPR, 2007; Before taking possession of the acquired assets, compensation and R&R assistance will be paid in accordance with the provisions described in this document; An entitlement matrix for different categories of people affected by the project has been prepared and provisions will be kept in the budget for those who were not present at the time of the census survey. However, people moving in the project area after the cut-off date will not be entitled for any entitlements. For nontitleholders the date of the census survey will be considered as cut-off date; Appropriate grievance redressal mechanism will be established at the district level to ensure speedy resolution of disputes; All resettlement activities at different stages would ensure the involvement of women and other vulnerable groups; and Meaningful consultation with marginally affected/dps will be a continuous process during the implementation. 29. The primary objective of this RP is to identify impacts and to plan measures to mitigate various losses due to the implementation of the subproject. The RP is based on the general findings of the census survey, field visits, and meetings with various project-displaced persons in the subproject area. Taking into account the various losses, the Entitlement Matrix provides for compensation and resettlement assistance to all displaced persons including the non-titleholders in the subproject area. 30. The displaced persons will be entitled to the following types of compensation and assistance: (i) (ii) (iii) (iv) (v) (vi) Compensation for loss of land and crops/trees at replacement value; Compensation for loss of structures (residential/commercial); Assistance for restoration of income and livelihoods/ business loss/wage loss Assistance for shifting; Additional assistance to vulnerable groups namely - women-headed households, Scheduled Castes (SC), Scheduled Tribes (ST), Other Backward Classes (OBC), those below poverty line, elderly and disabled; and Rebuilding or restoration of community assets/facilities. 31. The cutoff date for those who have legal titles of their land/asset is the date of notification of acquisition under the State Land Acquisition Act 1990 and for those without titles the cut-off will be the date of the census survey as undertaken on April People moving into the subproject area after this date will not be entitled for support or otherwise stated above.

17 9 G. Entitlements, Assistance and Benefits 32. An Entitlement Matrix specific to the road has been developed, which recognizes and lists various types of losses and the compensation and resettlement packages presented in Table 11. H. Relocation of Housing and Settlements 33. In this subproject, no relocation of households is envisaged as there is no total loss of any residential or commercial structures. As far as the relocation is concerned, DPs have indicated relocation within their own land. However, in this subproject none of the DPs will be displaced. All DHs indicated for cash compensation for partial loss of their assets. 34. The impact will not affect the income and livelihood of the DHs since no commercial structure is getting affected. Overall, the DHs will remain where they are. I. Income Restoration and Rehabilitation 35. In this subproject no major impact is envisaged on income of displaced persons and hence no rehabilitation activities are required. J. Resettlement Budget and Financing Plan 36. The total estimated cost for resettlement operation and management for the Project is Rs. 8, 31, (Rupees Eight Lac Thirty One Thousand Nine Hundred Seventy Five Only). The R&R costs will be borne by the Government of Uttarakhand. The estimate includes all costs related to compensation and other benefits as per the entitlement benefits. The itemized subproject budget is enumerated in Table 12. K. Institutional Arrangements 37. PWD, Government of Uttarakhand will be the Executing Agency (EA) for the Project. The Project Management Unit (PMU) in Dehradun will have the primary responsibility of the RP implementation. For resettlement activities, PMU will do the overall coordination, planning and implementation. PMU has already appointed one R&R Officer look after these activities. The R&R Officer will be assisted by the consultant appointed by PWD for supervision during implementation. This will include on social development/ resettlement specialist, primarily responsible for implementation. PMU will coordinate with PIUs for road level RP related activities, and each PIU will designate one senior staff (not below the rank of Executive Engineer) to coordinate the resettlement activities. The PIU, if required, depending on the workload, will also appoint one Assistant Resettlement Officer (ARO) of rank of assistant engineer. The staff at the PIU level will be provided training by the social development/ resettlement specialist of the supervision consultants for implementation of the RP. 38. The PIU will maintain databases, work closely with DPs and other qualified NGO in this field engaged to assist the PIUs in the implementation of RP. Keeping in view the minimum resettlement impacts that occurred from the project, only one NGO can be hired for Project 2 roads. The NGO would play the role of a facilitator and will work as a link between the PIU and affected community. An outlined terms of reference (ToR) for NGO is attached as Annexure-III.

18 10 L. Implementation Schedule 39. The timeframe for various activities of RP are shown in Figure 1. Sl. No. Activity 1. Selection and training of RO 2. Selection of NGO to assist implementation 3. Selection of Supervisory Consultant 4. Census of DPs and impacts (updating exercise as per the RP) 5. Advice to District Revenue Offices Information dissemination campaign Preparation of final compensation awards Disputes mediation 8. Disbursement of compensation 9. Internal resettlement performance monitoring 10. External monitoring 11. Civil work M. Monitoring and Reporting Figure 1: RP Implementation Schedule Months Both internal and external monitoring will form as the part of implementation process. Internal monitoring will be the responsibility of the PIU. This will include: (i) (ii) (iii) Administrative Monitoring: daily planning, implementation, feedback and trouble shooting, individual DP database maintenance and progress reports; Socio-economic monitoring: case studies, using baseline information for comparing DP s socio-economic conditions, demolition, salvaging materials, morbidity and mortality rate, community relationship, public consultations and number of appeals; and Impact monitoring: income standard restored/improved, socio-economic conditions of the displaced persons, monitoring and documenting progress on resettlement implementation and RP completion reports will be provided by the PIU to PMU for review and approval from ADB. 41. Both internal and external monitoring will form part of implementation process. Internal monitoring will be the responsibility of the PIU. The Supervision Consultant would be responsible for external monitoring and reporting of the implementation of RP. The Supervision Consultant would be required to have experience in resettlement activities and familiarity with Government of India policy and ADB s SPS The R&R Expert with the Supervision Consultant will monitor and verify RP implementation to determine whether resettlement goals have been achieved, livelihood and living standards have been restored and provide recommendation for improvement. The mandate of the external monitor will also

19 include site survey, compensation-evaluation and disbursement, grievance redressal procedures, assess the performance of PIU and NGO. The PMU will submit semi-annual progress report to ADB. The relevant provision has been made in the terms of reference (TOR) of the Supervision Consultants. The terms of reference for External Monitoring Agency i.e. the Supervision Consultants are enclosed as Annexure V. 11

20 12 Table 11: Entitlement Matrix Sl. No. Type of Loss Unit of Entitlement Entitlement Details A. Loss of Agricultural Land and Assets 1. Loss of Agricultural land and assets a) Titleholder b) DPs with customary land right c) Permit from local authority A. LOSSES OF NON-TITLEHOLDERS 2. Loss of Households who have agricultural land, illegally extended their residential and legally owned land/ commercial structure property onto public or by other private land Compensation at replacement value Resettlement Assistance Transitional Allowance Special provision for vulnerable group No compensation for land Compensation for structures to only vulnerable household Shifting assistance for vulnerable encroachers a) Compensation will be paid as per the LA act. b) If the compensation determined by the Competent Authority/DC as per LAA is less than the replacement value, then the difference is to be paid by the EA as assistance. c) If the residual plot(s) is (are) not viable, i.e., the DP becomes a marginal farmer, any of the following three options are to be given to the DP, subject to his acceptance: 1. The DP remains on the plot, and the compensation and assistance paid to the tune of required amount of land to be acquired. 2. Compensation and assistance are to be provided for the entire plot including residual part, if the owner of such land wishes that his residual plot should also be acquired by the EA, the EA will acquire the residual plot and pay the compensation for it. 3. If DP is from vulnerable group, compensation for the entire land by means of land for land will be provided if DP wishes so, provided that the land of equal or more productive value is available. d) Transitional allowance of Rs. 3000/-per month for 6 months if the residual land is not viable or for 3 months when the residual land is viable. This will be calculated by prevalent daily wage rate. e) All fees, stamp duties, taxes and other charges, as applicable under the relevant laws, incurred in the relocation and rehabilitation process, are to be borne by the EA. a) Encroachers will be notified and given a time in which they will be required to remove their assets and harvest their crops. b) Compensation for structures at replacement cost to the vulnerable households.

21 13 Sl. No. Type of Loss Unit of Entitlement Entitlement Details encroachers R&R Assistance only to c) Training would be provided for upgrading of skills to vulnerable households Right to salvage materials the DPs belonging to vulnerable groups and losing their commercial structures. d) Shifting allowance of Rs to 2500/- lump sum for shifting depending on the type of structure and extent of impact. e) Right to salvage materials from the demolished structure. B. ADDITIONAL SUPPORT TO VULNERABLE GROUP 3. Primary source of Vulnerable Additional assistance to income households including vulnerable groups BPL, SC, ST, WHH, disabled and elderly C. LOSS OF COMMUNITY INFRASTRUCTURE/COMMON PROPERTY RESOURCES 4. Temporary impact during construction include disruption of normal traffic, increased noise levels, and damage to adjacent parcel of land / assets due to movement of heavy machinery D. ANY OTHER IMPACT 5. Unforeseen impacts if any One time lump sum assistance of Rs. 5000/ to vulnerable households. This will be paid above and over the other assistance(s) as per this framework. Community / Individual Compensation The contractor shall bear the cost of any impact on structure or land due to movement of machinery during construction All temporary use of lands outside proposed RoW to be through written approval of the landowner and contractor. Location of Construction camps by contractors in consultation with PWD. Individual / Community Unforeseen impacts will be assessed on case by case basis and suitable compensation / assistance will be paid as deemed fit by the Executive Agency / State government.

22 14 Table 12: Itemized Subproject Budget Sl. No. Item Quantity Total Unit Unit Cost ( Rs) Total (in Rs) A. Compensation 1. Permanent (Four Structures)* Sq. m. 6, , Semi permanent (Three Structures) Sq. m. 4, * 188, Temporary (Two Structures) * Sq. m. 2, ,00.00 Sub-total (A) 148 Sq. m. 634, B. Assistance 2. Shifting Allowance 1 2, , Sub-total (B) 2, Total (A + B) 636, Contingency** (15% of the total) 95, Sub-total 731, C. Implementation of RP Engaging of NGO for RP 4 implementation Lump Sum 100, Grand Total 831, In Words: Eight Lac Thirty One Thousand Nine Hundred Seventy Five Rs. Only *The cost denotes prevailing market rates as obtained from the field. ** Cost of Consultations and community preparation and other administrative costs.

23 15 Sl. No. 1. Location/ Village Chaugaon Chhina Distance from Center Line (m) 2.5 Annexure I: List of the Marginally Displaced Households and Persons Name of Father's/ Age Sex Social Type of HHs Head Husband Name (Yr/M) (M/F) Status Assets with members Mr. Gopal Ram Mr. Shovan Ram 58 Yr M Ms. Jayanti Mr. Gopal Ram 55 Yr F Mr. Deepak Mr. Gopal Ram 28 Yr M Mr. Manju Mr. Gopal Ram 25 Yr F SC Residential Structure Type of Loss Area Affected (Sq.m) L B Area Floor Mis. Babli Mr. Gopal Ram 23 Yr F Sub-total 5 members 15 Mr. L.M.Sharma Sh. M. R. Sharma 63 Yr M 2. Mr. Meena Courtyard Chaugaon Mr. L. M. Sharma 55 Yr F Residential 2.5 Devi Gen /Boundary Chhina Structure Mr. Wall Mr. L. M. Sharma 24 Yr M Kewlanand Mr. Pramod Mr. L. M. Sharma 22 Yr M Sub-total 4 members 14 Mr. Rajendra Late Sh.Pani Ram 48 Yr M Mr. Meena Mr. Rajendra Pr. 38 Yr F Building Devi Corner( Mr. Ashok Under Mr. Rajendra Pr. 22 Yr M Kr. Cost. Residential 3. Bhitadi 2.0 Mrs. SC House & Mr. Ashok Kumar 22 Yr F Structure Poonam area Mr. Pramod Mr. Rajendra Pr. 18 Yr M encroached Mr. Raunak Mr. Ashok Kumar 1 Yr M along the Mr. Deeraj Mr. Rajendra Pr. 16 Yr M road Mr. Manoj Mr. Rajendra Pr. 15 v F Sub-total 8 members Paldichhina 1.5 Mr. Mohan Late Sh. Uday Residential 65 Yr M Gen Singh Singh Structure Courtyard Mrs. Luxmi Singh Mr. Mohan Singh 55 Yr F Mr. Rajendra Mr. Mohan Singh 35 Yr M

24 16 Sl. No. Location/ Village Distance from Center Line (m) Name of HHs Head with members Father's/ Husband Name Age (Yr/M) Sex (M/F) Social Status Type of Assets Type of Loss Area Affected (Sq.m) L B Area Ms. Asha Mr. Mohan Singh 18 Yr F Sub total 4 members 30 Mr. Anand Late Sh. Trilok Singh Singh 40 Yr M Ms. Bhagwati Mr. Anand Singh 35 Yr F 5. Paldichhina 1.5 Mrs. Haruli Late Sh. Trilok Damaged Damaged 80 Yr M Gen Devi Singh Structure Structure Mr. Sanjay Singh Mr. Anand Singh 23 Yr M Mr. Vikram Singh Mr. Anand Singh 19 Yr M Sub-total 5 members 15 Mr Bahadur Late Sh. Madan Singh 35 Yr M 6. Paldichhina 2 Ms. Mr Bahadur Singh 32 Yr M Residential Lachhima Gen Structure Courtyard Ms. Puja Mr Bahadur Singh 16 Yr F Mr. Darshan Mr Bahadur Singh 7 Yr M Sub-total 4 members 10 Mr. Govind Late Sh. Deelip Singh Singh 43 Yr M 7. Paldichhina 2 Mrs. Parvati Late Sh. Deelip 75 Yr F Residential Devi Singh Building Gen cum Mrs. Munni Corner Mr. Govind Singh 40 Yr F Commercial Devi Ms. Bharati Mr. Govind Singh 16 Yr F Mr. Nikhil Mr. Govind Singh 13 Yr M Sub-total 5 members Paldichhina 2 Mr. Prem Residential Late Sh. Pan Singh 60 Yr M Gen Singh Structure Car Way Mrs. Devika Devi Mr. Prem Singh 55 Yr F

25 17 Sl. No. 9. Location/ Village Distance from Center Line (m) Name of HHs Head with members Mr. Govind Singh Father's/ Husband Name Age (Yr/M) Mr. Prem Singh 40 Yr M Mrs. Sunita Mr. Govind Singh 35 Yr F Sex (M/F) Social Status Type of Assets Type of Loss Area Affected (Sq.m) L B Area Mr. Tushar Mr. Govind Singh 14 Yr M Ms. Isha Mr. Govind Singh 9 Yr F Mr. Raju Janoti Mr. Prem Singh 35 Yr M Mrs. Lata Mr. Raju 30 Yr F Sub-total 8 members 16 Mr. Pradeep Late Sh. Mahendra Janoti Singh Janoti 35 Yr M Mrs. Rewati (Step Mother Late Sh. Mahendra of Mr. Singh Janoti 55 Yr F Pradeep) Mr. Asha Paldi Chhina 2.00 Janoti Mr. Pradeep Janoti 28 Yr F Ms. Kajal Mr. Pradeep Janoti 7 Yr F Mr. Tushar Mr. Pradeep Janoti 4 Yr M Mr. Late Sh. Mr. Anup Mahendra Singh Janoti Janoti 32 Yr M Gen Residential Structure Boundary Wall Mrs. Neema Mr. Anup Janoti 23 Yr F Ms. Ruchi Mr. Anup Janoti 2 Mon F Mr. Ashi Mr. Anup Janoti 2 Mon F Sub-total 9 members 16 Grand-Total Source: Census Survey, November, 2011

26 18 Annexure II : Public Consultation Participants Pauri Bend - Magnesite Factory Road Sub-Project Place: Paldichhina Block: Bageshwar District: Bageshwar Date of Public Consultation: Cutoff Date : 20 April, 2010 Date of Joint Inspection with PMU: Participants: Local people and shop keepers Mr. Manish Verma, Mr. Ummed Singh, Mr. Puran Chandra Singh, Mr. Bhola Ram (Village Joshi Parli), Mr. Vijay Verma, Mr. Rajendra Singh, Mr. Nand Ballabh Singh (Village Parlichhina), Mr. Mohan Singh (Village Jhirauli) Issues Discussed: Problem faced by the local people to meet up their daily requirement due to improper road network. Impacts on the social and environment due to upgradation of the sub-project road. Scope of employment generation among the local people due to improvement work. Construction activity whether causing any type of health hazard or not. Any loss of land or property due to improvement work. Any damage to religious and cultural properties or historical monuments etc. Stakeholder s Response: Local villagers are facing immense problem to reach nearest town due to improper road network. Some stretches of road are earthen and gravel road cause problem, especially in rainy season things are getting more difficult for villagers. Local people are aware about the social and environmental degradation due to felling of trees and cutting of hills but they think there will be negligible impact on the environment due to improvement work. Road near Magnesite mines are very much damaged and continuously change its way due to mining. Villagers want to deploy the local people during execution of the project. Construction activity is not causing any major health hazard. Generation of dust in

27 19 only matter of concern which is causing some problem to the local people Recommendations & Suggestions: Construction of strong road is recommended keeping in mind that Magnesite factory fall in between this road stretch due to which heavy vehicle loaded with stones and other material frequently run on the road. Efforts should be taken for the generation of employment for local people during improvement work. List of the Participants

28 20

29 21 Annexure III: Photo Gallery Plate - 1: Encroachment at 4.8 Km. at Chaugaon Chhina Plate - 2: Boundary Wall at Courtyard at 5.0 Km. near Chaugaon Chhina Plate - 3: Structure under construction at 9.5 Km. at Chaugaon Chhina Plate - 4: Damage Structure and Court yards on both side at 10.6 near Paldichhina Plate - 5: Residential cum Commercial Structure at 10.7 Plate - 6: Car way at 10.8 Km. near Paldichhina Plate - 7: Blind curve at 10.8 km. near Paldichhina

30 22 Annexure IV : Terms of reference for the Non-Government Organization I. Project description The Uttarakhand State Road Sector Investment Project (USRIP) Phase III is the State Government s initiative to support economic growth and reduce poverty by improving connectivity and access to development opportunities and social services, including health and education. The Project also supports state government s initiative to improve the effectiveness and efficiency of state road sector management, and provide the sector with the capacity to ensure efficiency of road investments and sustainable road development impacts to support Uttarakhand s social and economic development. The Project Implementation Unit (PIU) intends to engage an experienced agency to assist with the implementation of the social and resettlement aspects of the project namely the subproject RP, Project Community Participation Strategy and implementation of the IPDP. II. Scope of work In general, the NGO / Agency will be responsible for the effective, timely and efficient execution of the RP. The key tasks of the selected organization will be responsible for the following: - (i) Information Campaign on Resettlement Entitlements The NGO will design, plan and implement an information campaign in the affected areas primarily to inform the DPs about the entitlement policy and how to avail their respective entitlements. In particular, the agency will be responsible for undertaking a public information campaign at the project areas to inform the displaced persons regarding:- The likely consequences of the project on the communities; The R&R policy and entitlements; Assist DPs in getting the compensation for their land and properties acquired for the project; Ensure proper utilization by the DPs of various grants available under the R&R package. The agency will be responsible for advising the DPs on how best to utilize any cash that may be provided under the RP, with emphasis placed on using such funds in sustainable way e.g. purchasing replacement land for that acquired. The campaign would include measures such as distribution of information booklets, leaflets, notices and other materials among the DPs, community meetings, public announcements, and any other measures necessary to provide information to all the DPs. (ii) Identification of DPs and Issuance of Identity (ID) Cards The agency will identify and verify DPs, on the basis of the resettlement census survey carried out and will facilitate the distribution of ID cards. This work will include identification of DPs based on a census survey, preparation of ID cards, taking photograph of DPs in the field, issuance of ID cards to DPs and updating of ID cards, if required. An identity card would include a photograph of the DP, his/her socio-economic

31 23 profile and vulnerability, the nature and extent of loss suffered due to the project construction, and the choice of DP with regard to the mode of compensation and assistance (if applies, as per the RP). The agency shall prepare a list of DPs, enlisting the losses and the entitlements as per the RP, after verification. During the identification and verification of the eligible DPs, agency shall ensure that each of the DPs are contacted and consulted either in groups or individually. The agency shall especially ensure consultation with vulnerable groups namely (a) those who are below the poverty line (BPL); (b) those who belong to scheduled castes (SC), scheduled tribes (ST); (c) female-headed households (FHH); (d) elderly and (e) disabled persons. (iii) Updating of DP Database and Creation/Computerization of Database and DP Files The agency will be responsible for updating and preparing a comprehensive computerised database containing the data on land, structure, trees and other affected properties of the DPs which will be used to prepare DP files and entitlements cards (EC). The database will contain information from land records and resettlement census data. The DP and EC files will be used for making payments of entitlements to the DPs and monitoring the progress of resettlement work. (iv) Participation in Grievance Redress The NGO will be a part of the Panchayat level committee and will try to resolve the grievances at the Panchayat level. If the dispute remains unresolved at the Panchayat level. the agency will play a key role in assisting the DPs in presenting their grievances or queries to the Grievance Redress Committee (GRC) which will be established at the PIU level with the primary objective of providing a mechanism to mediate conflict and cut down on lengthy litigation. (v) Income Restoration The agency will also play a key role in providing income restoration assistance to the DHslosing their primary sources of livelihood/income as a result of the Project. Emphasis will be laid on the vulnerable groups such as female headed households, SC & ST households, poor etc. In addition, the development agency would also be responsible for liaising with the various government departments, in order to create a link- up between the existing government schemes and the affected groups. (vi) Relocation assistance The development agency shall facilitate the transfer of shifting allowance to the displaced persons in a timely manner, ie, before the before the actual shifting. (vii) Community Participation In addition to the resettlement activities, the NGO will implement Community Participation Strategy for the Project. As part of this, the NGO will mobilize the various stakeholders in the

32 24 community and organize focus group discussions (FGDs) 1 at the subproject level, with community leaders, eminent citizens, Community based Organization (CBOs), as well as women and other socio-economically vulnerable groups such as Indigenous groups, scheduled caste and poor households, in order to establish direct public contact. The FGDs will aim at sharing information regarding the Project in each of the subproject area so as to ascertain views of the various groups in the community on their priorities, choice of technology, their views and concerns on the Project design and any other concern on safety and other issues. In particular the NGO will undertake the following: Formation of Community based groups in the subproject areas so as promote organized community participation and representation. Special focus will be made on formation of women s groups representing women belonging to various socio-economic groups to act as active agents and change makers in the process of participation thereby leading to their empowerment. Awareness Building Component would focus on conducting public awareness campaigns like awareness building campaigns would be undertaken on road safety especially in case of areas where road alignment is passing through built-up areas. Women would be especially encouraged in playing an active role as Community Action Groups in raising awareness and disseminating information of road safety measures. Capacity Building Component: Under this component, training and sensitization inputs would be provided to the NGOs, community based organizations and groups such as women s groups in leadership and management of the asset created under the subprojects. In addition, maintenance skills trainings would also be conducted. III. Selection criteria, Staffing, Implementation Plan The NGO/agency to be selected for the tasks must have proven experience in resettlement planning and implementation. Specifically, key quality criteria include: - Experience in direct implementation of programs in local, similar and/or other states; Availability of trained staff Competence, transparency and accountability based on neutral evaluations, internal reports, and audited accounts; and Integrity and experience to represent vulnerable groups against abuses and demonstrable mandate to represent local groups. Demonstrated experience in computerizing and managing resettlement-related database, Experience in resettlement survey, planning, monitoring and reporting. 1 Focus Group Discussion (FGD) is a qualitative method of in-depth interview with a small number from a homogeneous group, brought together to discuss various topics. Some examples of focused groups are men, women, youth, farmers, panchayat representatives etc.

33 25 The agency chosen will have to agree to the terms and conditions under the RP. The following staffing provision may be necessary for smooth and effective implementation of the RP within the time frame: Team Leader ; Field coordinator ; Resettlement Implementation Worker Interested agency should submit proposal for the work with a brief statement of the approach, methodology, and field plan to carry out the tasks. The proposal should include: - (i) (ii) (iii) Relevant information concerning previous experience on resettlement implementation and preparation of reports. The proposal should also include samples of ID cards, information brochures, DP files etc. to be used during the implementation phase. The field plan must address training and mobilization of resettlement workers. Full CVs (2-3 pages) of key personnel (for e.g. the Team Leader, Field Co-coordinator) must be submitted along with the proposal. The Team Leader must have degree in social science (preferably economics, sociology, anthropology, development studies). The Field coordinator must have prior experience in resettlement operation and management. The agency must be an established organization registered with the Government of India. IV. Budget The budget should include all expenses such as staff salary, training, computer/ database, transport, field and any other logistics necessary for resettlement implementation. Additional expense claims whatsoever outside the budget will not be entertained copies of the proposal - both technical and financial - should be submitted.

34 26 Annexure V : Terms of Reference for External Monitoring and Reporting Agency I. Project description The Uttarakhand State Road Investment Programme (USRIP) Phase III is the State Government s initiative to support economic growth and reduce poverty by improving connectivity and access to development opportunities and social services, including health and education. The Project also supports state government s initiative to improve the effectiveness and efficiency of state road sector management, and provide the sector with the capacity to ensure efficiency of road investments and sustainable road development impacts to support Uttarakhand s social and economic development. The Project includes a provision for monitoring and reporting of the implementation of the subproject resettlement plan by an external monitoring agency i.e Supervision Consultants. Therefore, the Project Management Unit (PMU), requires services of a reputed individual/consultancy firm for monitoring and reporting of RP implementation. II. III. Scope of work - Generic To review and verify the progress in resettlement implementation as outlined in the RP; To monitor the effectiveness and efficiency of PIU and NGO in RP implementation. To assess whether resettlement objectives, particularly livelihoods and living standards of the Displaced Persons (DPs) have been restored or enhanced; To assess the efforts of PIU & NGO in implementation of the Community Participation strategy with particular attention on participation of vulnerable groups namely (a) those who are below the poverty line (BPL); (b) those who belong to scheduled castes (SC), scheduled tribes (ST); (c) female-headed households (FHH); (d) elderly and (e) disabled persons. To assess resettlement efficiency, effectiveness, impact and sustainability, drawing both on policies and practices and to suggest any corrective measures, if necessary. To review the project impacts on Indigenous People and groups and assess the effectiveness of the mitigation measures adopted; Scope of work- Specific An external monitoring agency i.e Supervision consultant will be involved for monitoring the resettlement efforts by the EA/IA. The major tasks expected from the external monitor are: 1. To develop specific monitoring indicators for undertaking monitoring for implementation of Resettlement Plans. 2. To review results of internal monitoring and verify claims through random checking at the field level to assess whether resettlement objectives have been generally met. 3. Identify the strengths and weaknesses of the resettlement objectives and approaches, implementation strategies. 4. To review and verify the progress in resettlement implementation of subproject on a sample basis and prepare quarterly reports for the EA/IA and ADB. 5. To assess the adequacy of compensation given to the DPs and the livelihood opportunities and incomes as well as the quality of life of DPs of project-induced changes.

35 27 6. To assess the adequacy and effectiveness of the consultative process with affected DPs, particularly those vulnerable, including the adequacy and effectiveness of grievance procedures and legal redress available to the affected parties, and dissemination of information about these. IV. Time Frame and Reporting The external monitoring agency will be responsible for overall monitoring of the Executing Agency (EA) and will submit semi-annual report directly to ADB and determine whether resettlement goals have been achieved, more importantly whether livelihoods and living standards have been restored/ enhanced and suggest suitable recommendations for improvement. V. Qualifications The monitoring agency will have significant experience in resettlement policy analysis and RP implementation. Further, work experience and familiarity with all aspects of resettlement operations would be desirable. Candidates with degrees in anthropology, sociology, and development studies will be preferred. Interested agencies/consultants should submit proposal for the work with a brief statement of the approach, methodology, and relevant information concerning previous experience on Monitoring of resettlement implementation and preparation of reports. The profile of agency along with full CV of monitors to be engaged must be submitted along with the proposal. The agency must be an established organization registered with the Government of India. VI. Budget and Logistics The proposal - both technical and financial - should be submitted and the budget should include all cost and any other logistics details necessary for resettlement monitoring. Additional expense claims whatsoever outside the budget will not be entertained.

36 28 Annexure VI: Leaflet for Public Information (in Local Language) yksd lwpuk gsrq izi= (Leaflet for Public Information) ifj;kstuk kh"kzd ^^mrrjk[k.m jkt; lm+d lq/kkj dk;zdze^^ (Uttarakhand State Road Improvement Programme) pj.k & r`rh; ¼iSdst & prqfkz½ Phase III (Package IV) 1-izLrkouk mrrjk[k.m+,d uol`ftr jkt; gs] tks 9 uoecj 2000 dks iw.kz :Ik ls i`fkd jkt; ds :Ik esa vflrro esa vk;ka ftldk vf/kdka k Hkkx lsavy fgeky; dk iozrh; Hkw&Hkkx gsa vf/kdka k Hkw&Hkkx iozrh; vkapy esa gksus ds dkj.k jsy,oa ok;q;ku tslh lqfo/kkvksa dk vhkko gsa QyLo:Ik lm+d ekxz gh,dek= vkokxeu dk lqyhk lk/ku gsaa jkt; esa lelr fodkl khy ;kstuk;sa lm+dksa dh miyc/krk,oa xq.korrk ij gh vk/kkfjr gsaa jkt; ds iozrh; Hkw&Hkkx esa ekstwnk lm+dksa dh mfpr xq.korrk u gksus ds dkj.k mdr uol`ftr jkt; ds pgqweq[kh fodkl gsrq dsunz ljdkj }kjk,f k;kbz fodkl csad ds forrh; lg;ksx ls mrrjk[k.m jkt; lm+d lq/kkj dk;zdze ds :Ik esa,d egrokdka{kh ifj;kstuk lapkfyr dh tk jgh gsa mdr dk;zdze ds vurxzr jkt ekxksaz ¼,l0,p0½] eq[; tuinh; lm+dksa ¼,e0 Mh0vkj0½] vu; tuinh; lmdksa ¼vks0Mh0vkj0½ br;kfn lm+dksa dks lq/kkj gsrq lfeefyr fd;k x;k gsa mrrkjk[k.m+ yksd fuekz.k fohkkx jkt; esa lm+dksa dh ekstwnk flfkfr esa lq/kkj ykus gsrq dk;zjr gsa fdlh Hkh {ks= ds fodkl esa lm+d }kjk vkokxeu dh lqfo/kk vfr egroiw.kz le>h tkrh gsa jkt; esa ekstwnk lm+dksa dh flfkfr n;uh; gksus ds dkj.k jkt; ljdkj,f k;kbz fodkl csad ds forrh; lg;ksx ls turk ds e/; ;g liuk lkdkj djus gsrq opuc) gsa mrrjk[k.m yksd fuekz.k fohkkx us mdr ifj;kstuk esa lm+dksa ds v/;;u gsrq dulyvsav~l fu;qdr fd;s gsaa ftuesa ls jkt; ds vyeksmk] ckxs oj,oa fifkksjkx< tuinksa esa yxhkx 500 fdeh0 lm+dksa dk v/;;u dulfyvax

37 29 bathfu;fjax lfozlst ubz fnyyh }kjk lapkfyr fd;k tk jgk gsaa tks jkt; ds rhu tuinksa ls p;fur lm+dksa dh folr`r ifj;kstuk vk[;k ¼Mh0ih0vkj0½ mrrjk[k.m yksd fuekz.k fohkkx dks izlrqr djsxka mdr pj.k dk v/;;u dky 15 ekpz 2009 ls izkjehk gks pqdk gssa mdr ifj;kstuk ls lecfu/kr laf{kir lwpuk vke tuekul ds lwpukfkz,o egroiw.kz lq>ko gsrq mdr izi= ds ek/;e ls turk ds lakku gsrq izlrqr dh tk jgh gsa 2-mn~ns ; (Obj ti ) fdlh lekt dk fodkl,oa izkd`frd Ik;kZoj.k,d gh fldds ds nks igyw gsaa ;fn izkd`frd Ik;kZoj.k ds larqyu,oa lao)zu dh vksj /;ku dsfunzr fd;k tk, rks fuf pr gh fodkl ds nq"izhkkoksa dks fu;af=zr fd;k tk ldrk gsa ijurq fodkl dh nksm+ esa tgkwa u;s ekxksza dk fuekz.k dk;z vfr vko ;d gsa mlh izdkj ls ekstwnk lm+dksa dk lq/kkjhdj.k djuk Hkh vfr vko ;d gsa vu;fkk nsfud Hkkx&nkSM+ esa lm+d n?kzvukvksa ls cp ikuk lehko ugha gksxka mdr lel;k ds lek/kku gsrq mrrjk[k.m+ jkt; us ekstwnk lm+dksa dh flfkfr esa lq/kkj ykus ds fy,,f k;kbz fodkl csad ds lg;ksx ls lm+d lq/kkj dk;zdze@ifj;kstuk lapkfyr dh gsa ftlds izeq[k mn~ns ; fueuor~ gsa jkt; esa ekstwnk eksvj ekxksza dk iqu:)kj,oa lqn`<+hdj.ka th.kz& kh.kz lsrqvksa] dyovksaz] jivksa br;kfn dh ejeera jkt; ds nqxze LFkkuksa rd turk dks lqxe vkokxeu dh lqfo/kk miyc/k djkuka,sls {ks= tks mpp vkffkzd xfrfof/k;ksa,oa fodkl ds vurxzr vkrs gsa] mudks vu; {ks=ksa ls tksm+uk rkfd mulsa izkir gksus okys equkqksa dks jkt; ds izr;sd Hkkx rd igqwapk;k tk ldsa v/;;u dk eq[; mn~ns ; lm+dksa ds vfhk;kaf=dh] ifjogu] vkffkzdh] lkekftd,oa i;kzoj.k lecf/kr xfrfof/k;ksa dks izkfkfedrk dh lwph esa lfeefyr djuk rfkk folr`r ifj;kstuk vk[;k ¼Mh0ih0vkj0½ fu/kkzfjr djrs le; LFkkuh; turk ds egroiw.kz lq>koksa dks en~nsutj j[kuka ifj;kstuk ls izhkkfor O;fDr pkgs izr;{k :i ls ykhkkfuor u gks] ysfdu ijks{k :i dks lk{; ekurs gq, ifj;kstuk ds fø;kuo;u ds Ik pkr vke tuekul ds thou esa lq/kkj vkuk lqfuf pr gsa eq[;r;k vke tuekul dh vkftfodk ij izhkko vksj Hkwfe vf/kxzg.k,oa i;kzoj.k vou;u tsls udkjkred izhkko ;FkklEHko de ls de gks tsls iz;kl djuka tks mdr v/;;u dk izeq[k y{; gsa

38 30,f k;kbz fodkl csad ds uhfr funsz kksa ds rgr ekfezd vkcknh ¼oh0ih0½ ds vurxzr efgyk lrkred ifjokj] cqtqxz oxz] xjhch js[kk ls uhps thou;kiu ¼ch0ih0,y0½ djus okys ifjokj vksj lkekftd :i ls finms oxksz ¼,l0lh0],l0Vh0½ dks lfeefyr fd;k x;k gsa mdr oxksz ds ifjokjksa ij fo ks"k /;ku dsfunzr fd;k tk;sxka mdr dk;zdze ds vurxzr 10 o"kkzsa dh le;kof/k esa yxhkx fdeh0 dh ekstwnk lm+dksa dh xq.korrk esa lq/kkj ykuk izlrkfor gsa mdr dk;zdze ds rgr lm+dksa ds pksm+hdj.k gsrq eksvj ekxksaz esa im+us okys o`+{kksa ds vfrdze.k tsls izeq[k eqn~nksa ij ljdkj,oa LFkkuh; tuekul ds e/; fopkj foe kz djuka mrrjk[k.m jkt; lm+d lq/kkj dk;zdze ds vurxzr lelr Ik;kZoj.kh;,oa iquokzl ds laosnu khy eqn~nksa dks flfoy dk;ksza ds fdz;kuo;u gksus ls nks ekg iwoz fu"ikfnr fd;k tkuka 3-i;kZoj.k ifjn` ; (Environmental Scenario) lm+d lq/kkj ifj;kstuk ds vurxzr i;kzoj.k ifjn` ; dk eq[; mn~ns ; izkd`frd i;kzoj.k,oa lrr~ fodkl dks en~nsut+j j[krs gq, csgrj fodyiksa dks i;kzoj.k laj{k.k gsrq n`f"vxkspj djuk gsa ftlesa lqfu;ksftr ;kstuk] vkys[ku,oa ifj;kstuk ds fø;kuo;u ds le; fofhkuu volfkkvkas esa fueufyf[kr fcunqvksa dks lfeefyr fd;k tk;sxka ifj;kstuk ds vurxzr izeq[k i;kzoj.kh; eqn~nksa ¼ty] t+ehu] taxy] ok;q,oa izkd`frd lalk/kuksa dk laj{k.k½ dh igpku,oa ewy;kadu djuka izeq[k i;kzoj.kh; eqn~nksa ¼ty] t+ehu] taxy] ok;q,oa izkd`frd lalk/kuksa dk laj{k.k½ ij im+us okys udkjkred izhkkoksa ij fu;a=.k,oa U;wuhdj.k djuka ifj;kstuk ds lqy lapkyu gsrq iquokzl ;kstuk@izkjfehkd Ik;kZoj.k ijh{k.k ¼vkbZ0bZ0bZ0½] i;kzoj.k izca/ku ;kstuk ¼bZ0,e0ih0½,oa i;kzoj.k izhkko fo ys"k.k ¼bZ0vkbZ0,0½ tsls egroiw.kz nlrkostksa dks lqfu;ksftr,oa fø;kuof;r djuka 4- izzkd`frd i;kzoj.k ds vax (Parts of Natural Environment) ¼v½ HkkSfrd i;kzoj.k (Physical Environment) ty lalk/kua e`nk laj{k.ka

39 31 i;kzoj.k iznw"k.k ¼ok;q] ty] /ofu br;kfn½a vif k"v inkfkksz dk fu"iknua /kkrq lalk/kua LFkykd`fr br;kfna ¼c½ tsfod i;kzoj.k (Biological Environment) miyc/k ekxkzf/kdkj ¼vkj0vks0MOyw0½ eas vfrdze.k dk folfkkiu,oa vkpnkfnr vojkss/k mriuu djus okys o`{ka ou; tho,oa muds izkd`frd vkokl ¼ou] tyk k;]?kksalys] fnnz] xm<snkj Hkwfe vkfn½a ou] vh;kj.;] jk"vªh; ikdz] tso&e.my fup; br;kfna ¼l½ lkekftd,oa lkald`frd i;kzoj.k (Socio cultural Environment) is;ty ds lzksra fo ky;] egkfo ky;] vlirky br;kfna /kkfezd LFky ¼efUnj] efltn] xq:}kjk br;kfn½a lkald`frd,oa iqjkrkfrod LFky ¼/kjksgj½A vif k"v inkfkkzs ds fu"iknu gsrq vu; LFky,oa flfoy dk;z gsrq yh xbz HkwfeA Rkkfydk&1% ^^mrrjk[k.m jkt; lm+d lq/kkj dk;zdze^^ pj.k & r`rh; ¼iSdst & prqfkz½ Eksa lq/kkjhdj.k gsrq izlrkfor ekxksza dh lwph dze fodkl[k.m lm+d [k.m izlrkfor y0 la0 dgka ls dgka rd ¼fdeh0½ tuin vyeksmk 1- rkm+h[ksr LkkSuh flyksj egknso /kksyknsoh /kksyknsoh [ksrh HkSfl;kNkuk isv kky HksVkMkax h 4- fhkfd;klsa.k HkrjkSt[kku Tkhukikuh 5-118

40 32 5- Lkkses oj Lkkses oj fxjsfnuk Lkkses oj et[kkyh Lkkses oj Lkkses oj ikryhcxm eejfnuk Lkkses oj khryk[ksr [kwav }kjkgkv }kjkgkv nwukfxjh }kjkgkv }kjkgkv fcurk fhkfd;klsa.k & xukbz S[kqfV;k Ekklh 12- }kjkgkv }kjkgkv fcekams oj & bzmk 13- fhkfd;klsa.k tsuy ns?kkv fhkfd;klsa.k tsuy MksfV;ky L;kYns ns?kkv [kksymqvk fhkfd;klsa.k fhkfd;klsa.k fouk;d jkuh[ksr tkyyh&ekklh kgkv tuin Ckkxs oj 18- Ckkxs Ckkxs oj didksv V 19- didksv Lkkek fyfr cktkj & xksfxuk 20- didksv fyfr cktkj fyfr xkao Ckkxs oj Ckkxs oj nqksv Ckkxs oj iksmh cs.m esxuslkbv QSDVªh 23- didksv Hkkuh & fjbkcxm gjflafg;kcxm & fouk;d tuin fifkksjkx< 24- ewukdksv Lkkrflfyax Fky fcu p.mkd Ckakl fcu Ckakl vkaoyk?kkv Cksjhukx jk;vkxj flaxksyh Cksjhukx Lkkunso & pksckvh Eqokuh

41 33 dqekka;w (Kumaon) Xk<okYk (Garhwal) lalfkkxr izcu/ku (Institutional Arrangements) 1. i0 fdz0 b0 vyeksm+k (PIU: Alomra),f k;kbz fodkl csad (Asian Development Bank) Hkkjr ljdkj (Government 5. i0 fdz0 b0 tks kheb 2. i0 fdz0 b0 Ckkxs oj (PIU: Bageshwar) 3. i0 fdz0 b0 usuhrky (PIU: Nainital) 4. i0 fdz0 b0 fifkksjkxk< (PIU: Pithoragarh) mrrjk[k.m+ yksd fuekz.k fohkkx (Uttarakhand Public Works Department) ifj;kstuk izcu/ku bdkbz & nsgjknwu PMU (ADB/PWD) 6. i0 fdz0 b0 fvgjh (PIU:Tehri) 7. i0 fdz0 b0 iksmh (PIU: Pauri) 8. i0 fdz0 b0 nsgjknwu {kfriwfrz lfefr (GRC) izhkkfor O;fDr (APs) xsj ljdkjh lalfkk (Non Government Lora= vuqjo.k,oa ewy;kadu lykgdkj (Independent Monitoring & Evaluation Consultant)

42 34 Annexure VII: Compensation Paid by PWD at Sub-Project Road

43 Annexure VIII: Details of the Sub-Project Road as per PWD Record (D to I) 35