INFRASTRUCTURE LEASING & FINANCIAL SERVICES LIMITED
ENVIRONMENTAL AND SOCIAL REPORT
VOLUME m: REFERENCE DOCUMENTS TO TIE ESR
November 1995
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VOLUME I: REFERENCE DOCUMENTS TO THE ESR
I
LIST OF REFERENCE DOCUMENTS TO THE ESR
Attachment I : Distribution of Legislative Power between t'ie Centre and the State
Attachment 2 : Relevant Treaties Signed/Ratified by India (Environmental)
Attachment 3 : Summary of Key Environment Legislations in India
Attachment4: Environmental Rules and Notifications Relevant to InfrastructureProjects
Attachment 5 : Specified Project Categories as Listed in Schedule I of EnvirornmentImpact Assessment Notification, 1994 (MoEF)
Attachment6: Enviromnental Guidelines for Siting of Industry, Report of theWorking Group, Ministry of Environment and Forests, Governmentof India, August, 1985
Attachment 7 : Prohibited Activities in CRZ (Coastal Regulation Zone Notification,1990)
Attachment 8 : Organisation Structure for Environment Management at the StateLevel
Attachment 9 : Categories Requiring Environmental Analysis as per World Bank OD4.01
Attachment 10: Constitutional Provisions Related to Social Issues
Attachment II: Illustrative Policies on R&R
Attachment 12: Recognition of Project Affected Groups by Some Salient Documents
Attachment 13: Nature and Extent of Entitlements Recognised by Some SalientDocuments
Attachment 14: Operational Agencies: Key Players in R&R Plans and Implemen-tation
Attachment 15: Social Impact and Entitlement Framework for World BankFinanced Projects
2
Attachment 16: Guidelines for Preparing Resettlement Action Plan (source:World Bank)
Attachment 17 : Indigenous Peoples Developrnent Plan RecommendedContent and Fornat
Attachment 18: Public Consultation and Consensus Building Process
Attachment 19: Suggested TOR Format (source: FINNIDA guidelines)
Attachment 20: Guidelines for Description of Environmental Components
Attachment 21: The Details of EIA
Attachment 22: Suggested Review Checklist for Decision-makers
Attachment 23: Environment Appraisal Checklist
Attachment 24: Suggested Project Monitornig/Evaluation Questions(Environment) (adapted from: CIDA, 1988)
Attachment 25: Social Appraisal Checklist
Attachment 26: Suggested Project Monitoring/Evaluation Questions (Social)(adapted from: CIDA, 1988)
Attachment 27: Guidelines to Creating a Risk Assessment Checklist
3
LIST OF ACRONYMS
ADR - Altemative Dispute ResolutionBOO - Build Own OperateBOOT - Build Own Operate TransferBOT - Build Operate Transfer.CBO - Community Based OrganisationCC - Corporate ConsultantCFD - Contractual Framework DocumentationCOD - Committee of DirectorsCPCB - Central Pollution Control BoardCRZ - Coastal Regulation ZoneDFIBR - Detailed Feasibility and Investment Banking ReportDPI - Detailed Process of ImplementationEA - Environmental AssessmentEAP - Environmental Assessment ProcessEAR - Environmental Assessment ReportED - Executive DirectorEIA - Environmental Impact AssessmentEMP - Environmental Mitigation PlanESMG - Environmental and Social Management GroupESR - Environmental and Social ReportFRI - Forest Research InstituteGOI - Government of IndiaIL&FS - Infrastructure Leasing and Financial Services LimitedIPDP - Indigenous People Development PlanISR - Initial Screening ReportITRC - Indian Toxicology Research CentreLA - Local AuthorityLAA - Land Acquisition AssessmentMA - Multilateral AgenciesMoEF - Ministry of Environment and ForestsMOU - Memorandum of UnderstandingNDP - Neighbourhood Development PlanNEER] - National Environment Engineering Research InstituteNGO - Non Governmental OrganisationO&M - Operation & MaintenanceOD - Operational DirectivePAP - Project Affected PersonPRA - Participatory Rural Appraisal
4
R&R - Rehabilitation & ReplacementRSAP - Resettlement Action PlanREP - Risk Evaluation ProcessRMG - Risk Management GroupRMP - Risk Mitigation PlanSA - Social AssessmentSAMP - Social Assessment and Management PlanSAP - Social Assessment ProcessSAR - Social Assessment ReportSDP - Staff Development PlanSIA - Social Impact AssessmentSPCB - State Pollution Control BoardSPV - Special Purpose VehicleTOR - Terms of ReferenceUMTS - Urban Mass Transit SystemWB - World BankWII - Wildlife Institute of India
5
Atachment
DISTRIBUTION OF LEGISLATIVE POWERBETWEEN THE CENTRE AND THE STATE
Union List (List l) Includes defence, foreign affairs, atomic energy, interstatetransportation, shipping, major ports, regulation of air traffic,regulation and development of oil fields, mines and mineraldevelopment and interstate rivers
State List (List II) Includes public health and sanitation, agriculture, watersupplies, irrigation and drainage and fisheries
Concurrent List (List III) Parliament and State legislatures have overlapping and sharedjurisdiction. Includes forests, protection of wildlife, minesand mineral development not covered in the Union list,population control and family planning, minor ports andfactories
6
Attachment-2
RELEVANT TREATIES SIGNED/RATIFIEDBY INDIA (ENVIRONMENTAL)
(I) Convention Relative to the Preservation of Fauna and Flora in their Natural State(London, 1936)
(2) International Convention for the Regulation of Whaling (Washington, 1946)
(3) International Plant Protection Convention (Rome, 1951)
(4) The Antarctic Treaty (Washington, 1959)
(5) Convention concerning the Protection of Workers Against Ionizing Radiation(Geneva, 1960)
(6) Treaty Banning Nuclear Weapon Tests in the Atmosphere, in Outer Space and UnderWater (Brussels, 1975)
(7) International Convention on Civil Liability for Oil Poliution Damage (Brussels,1975)
(8) Convention on Wetlands of International Importance, Especially as WaterfowlHabitat (RAMSAR, 1972)
(9) Convention conceming the Protection of World Cultural and Natural Heritage (Paris,1972)
(10) Convention on International Trades in Endangered Species of Wild Fauna and Flora(Washington DC, 1943)
(11) Protocol of 1978 Relating to the Intemational Convention for the Prevention ofPollution from Ships, 1973 (MARPOL)
(12) Convention on the Conservation of Migratory Species of Wild Animals (13onn, 1979)
(13) Convention on the Conservation of Antarctic Marine Living Resources (Canberra,1980)
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(14) United Nations Convention on the Law of the Sea (Montego Bay, 1982)
(15) International Tropical Timber Agreement (Geneva, 1983)
(16) Convention on Climate Change (Rio, 1992)
(17) Convention on Biological Diversity (Rio, 1992)
(18) Montreal Protocol on Substances that Deplete Ozone Layer (1987)
(19) Rio Declaration on Environment and Development (Rio, 1992)
(20) Agenda 21, the operational programmes for sustainable development also adopted atthe UNCED, Rio de Janeiro (June 1992)
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Attachment-3SUMMARY OF KEY ENVIRONMENT LEGISLATIONS IN INDIA
NAME SCOPE AND OBJECTIVE KEY AREAS OPERATIONALAGENCIES/KEY PLAYERS
I. Water (Prevention To provide for the prevention and Controls sewage and industrial effluent Central and State Pollutionand Control of control of water pollution and discharges BoardsPollution) Act, 1974 enhancing the quality of water
2. Air (Prevention and To provide for prevention, control Controls emission of air pollutants Central and State PollutionControl of Pollution) and abatement of air pollution BoardsAct, 1981
3. Forest Act, 1927 To consolidate acquisition of Regulates access to natural resources; state State govemment; Forestcommon property such as forests has a monopoly right over land; categorises Settlement Officers;
forests
4. Forest Conservation To halt India's rapid deforestation Restriction on dereservation and using Central govemmentAct, 1980 and resulting environmental forests for non-forest purpose
degradation _
5. Wildlife Protection To protect wildlife Creates protected areas (national Wildlife Advisory Boards;Act, 1972 parks/sanctuaries); categories of wildlife Central Zoo Authorities
which are protected
6. Environment To provide for the protection and An umbrella legislation; supplements Central government; nodal agency(Protection) Act, improvement of the environment pollution laws; rules under this Act MoEF; can delegate powers; State1986 important Departments of Environment
9
Atachment-4
ENVIRONMENTAL RULES AND NOT1FICATIONSRELEVANT TO INFRASTRUCTURE PROJECTS
The Central Government has the authority to regulate any operntion that is not in keepingwith the following rules:
(1) The Hazardous Wastes (Management And Handling) Rules, 1989
(2) The Manufacture, Storage And Import of Hazardous Chemicals Rules, 1989
(3) Manufacture, Use, Import, Export And Storage of Hazardous Micro-OrganismsAnd Genetically Engineered Organism or Cell Rules, 1989
(4) December 1989, The Environment (Protection) Rules Were Amended ToPrescribe Ambient Air Quality Standards In Respect Of Noise
(5) The Environmental Impact Assessment Notification, 1994 as amended on 4-5-94
This notification lays down specific project categories that require environmentalclearance from the Ministry of Environment and Forests, Governnent of India,prior to establishing an industrial unit. It also addresses the inclusion of affectedpopulation and environmental groups in a coinsultation and participation process
(6) Environmntl Statement
This notification requests that in cases where consent is required under theWater/Air Act or authorisation under the Hazardous Wastes (Management andHandling) rules, an environmental statement must be submitted yearly to thePollution Control Board
(7) Procedure For Clearance From The Forest Angle
De-reservation of forests, transfer to forest land by way of lease, and clearing oftrees for the purposes of reforestation require prior approval from the MoEF
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(B) Site Clearance
In addition to the site clearance required under the Impact Assessmentnotification, there are environmental guidelines for Siting Industry given by theMoEF
(9) ProhibiedArcas
MoEF has prohibited and restricted specified industrial activities in certain areasof the country: Doon Valley in Uttar Pradesh, Antop Hill in Bombay, andDahanu Taluka (Maharashtra)
(10) Coastal Regulation Zone
To further supplement the law on site clearance there is a notification declaringcoastal stretches as Coastal Regulation Zone (CRZ) and regulating activities inthe CRZ
11
fachment-5
SPECIFIED PROJECT CATEGORIES AS LISTED INSCHEDULE I OF ENVIRONMENT IMPACT
ASSESSMENT NOTIFCATION, 1994 (MoEF)
The following project categories are required to obtain environimental clearance, prior toestablishing an industrial unit
New projects
For industrial units in the following project categories, if investment is more than Rs. 50crores:
(1) Nuclear power plant and related projects, such as Heavy Water Plants, nuclearfuiel complex, rare earths
(2) River valley projects including hydel power, major irrigation projects and acombination, including flood control
(3) Ports, harbours, airports (except minor ports and harbours)
(4) Petroleum refineries including crude and product pipelines
(5) Chemical fertilizers (Nitrogenous and Phosphatic other than singlesuperphosphate)
(6) Petrochemical complexes (both Olefinic and Aromatic) and Petrochemicalintermediates such as DMT. Caprolactam, LAB etc. and production of basicplastic such as LDPE, HDPE, PP, PVC
(7) Exploration for oil and gas and their production, transportation and storage
(8) Synthetic Rubber
(9) Hydrocyanic acid and its derivatives
(10) Primary metallurgical industries (such as production of Iron and Steel,Aluminium, Copper, Zinc, Lead and Ferro Alloys)
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(11) Electric Arc Furnaces (Mini Steel Plants)
(12) Chlor alkali industry
(13) Viscose staple fibre and filament yam
(14) Storage batteries integrated with the manufacture of oxides of lead and leadantimony alloy
(15) Therna' power plants
(16) Pulp, paper and newsprint
(17) Cement
For industrial units in the following project categories, irrespective of the investment
(1) Pesticides (Technical)
(2) Bulk drugs and pharmaceuticals
(3) Asbestos and asbestos products
(4) All touism projects between 200-500 meters of a High Tide Line and at locationswith an elevation of more than 1,000 meters with investments of more than Rs.5crores
(5) Mining projects (with leases of more than 5 hectares)
(6) Highway projects
(7) Tarred roads in the Himalayas and/or forest areas
(8) Distilleries
(9) Raw skins and hides
(10) Dyes
(11) Foundries (individual)
(12) Electroplating
13
Note: Small scale industrial units intending to manufacture any item of the projectcategories mentioned above, with investments less than Rs.l crore and which ison the reserved list, are exempted from environmental clearance
Who Requires Site Clearance ?
Site clearance from the Ministry of Environment and Forests is to be obtained in case ofthe following projects:
(I) Mining
(2) Pit-Head thermnal power stations
(3) Hydro power, major irrigation projects and/or their combination including floodcontrol
(4) Ports and harbours (excluding minor ports)
(5) Prospecting and exploration of major minerals in areas more that 500 hectares
For obtaining site clearance, application is to be submitted giving the location of theproject alongwith requisite details, to the Ministry of Environment and Forests. TheMinistry of Environment and Forests will convey its-decision about the suitability of theproposed site within a maximum period of 30 days
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Atchme6
ENVIRONMENTAL GUIDELINES FOR SITING OF INDUSTRY,REPORT OF THE WORKING GROUP,
MINISTRY OF ENVIRONMENT AND FORESTS,GOVERNMENT OF INDIA, AUGUST, 1985
The following areas should be avoided by entrepreneurs for siting an industry in order tominimise the adverse impact on the environment:
(I) Ecologically and/or otherwise sensitivc aras: at least 25 kin: depending on thegeo-conditions, the requisite distance will be increased by the appropriate agency
(2) Coaal Areal: at least 1/2 km. from the high tide line
-(3) Flood plains of the Riverine Systems: at least 1/2 km from flood plains ormodified flood plains affected by dams located upstream, or by flood controlsystems
(4) Transpog/Communication Syms: at least 1/2 kmn from any highway andrailway
(5) MAlor settlement (3-00-000) population: distance from settlements is difficult tomaintain because of the urban sprawl. At the time of siting of the industry, ifany major settlements notified limit is within 50 kIn, the particular directions ofgrowth of the settlement, for at least a decade, must be assessed, and the industryshall be sited 25 kmns from the projected growth boundary of the settlement
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AttschmenaL-
PROHIBITED ACTIVITIES IN CRZ(COASTAL REGULATION ZONE NOTIFICATION, 1990)
(I) Setting up of new industries and expansion of existing industries, except thosedirectly related to water front or directly needing foreshore facilities
(2) Manufacture or handling or storage or disposal of hazardous substances asspecified in the Notifications of the Government of India in the Ministry ofEnvironment and Forests No.S.0. 594(E) dated 28th July 1989, S.0 966(E) dated27th November, 1989 and GSR 1037(E) dated 5th December, 1989
(3) Setting up. and expansion of fish processing units including warehousing(excluding hatchery and natural fish drying in permitted areas)
(4) Setting up and expansion of units/mechanism for disposal of waste and effluents,except facilities required for discharging treated effluents into the water coursewith approval under the Water (Prevention and Control of Pollution) Act, 1974;and except for storm water drains
(5) Discharge of untreated wastes and effluents from industries, cities or towns andother human settlements. Schemes shall be implemented by the concernedauthorities of phasing out the existing practices, if any, within a reasonable timeperiod not exceeding three years from the date of this notification
(6) Dumping of city or town waste for the purposes of landfilling or otherwise; theexisting practice, if any, shall be phased out within a reasonable time notexceeding three year from the date of this Notification
(7) Dumping of ash or any wastes from thermal power stations
(8) Land reclamation, bunding or disturbing the natural course of sea waste withsimilar obstruction, except those required for control of coastal erosion andmaintenance or clearing of waterways, channels and ports and for prevention ofsandbars and also except for tidal regulators, storm water drains and structures forprevention of salinity ingress and for sweet water recharge
(9) Mining of sand, rocks and other substrata materials, except those rare mineralsnot available outside the CRZ areas
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(10) Harvesting or drawal of ground water and construction of mechanisms thereforewithin 200 m of HTL; in the 200 m to 500 m zone it shall be permitted only whendone manually through ordinary wells for drinking, horticulture, agriculture andfisheries
(I1) Construction activities in ecologically sensitive areas as specified in Attachment-Iof this Notification
(12) Any construction activity between the Low Tide Line and High Tide Line exceptfacilities for carrying treated effluents and waste water discharges into the sea,facilities for canying sea water for cooling purposes, oil, gas and similarpipelines and facilities essential for activities permitted under this Notification
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Attachmen
ORGANISATION STRUCTURE FOR ENVIRONMENTMANAGEMENT AT THE STATE GOVERNMENT LEVEL
State AsFsoiatedDeparbment of StateEnvironment Departments
Research State PolonInstituons Control Board
(SPCB)
egs.- Kerala Forest
Research institute
- M.P. Forest ResearchInsitute
- A.P. EnvironmentProtection & TrainingInstitute
- State WastelandDevelopment Board.Maharashtra
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Attachent-9
CATEGORIES REQUIRING ENVIRONMENTAL ANALYSISAS PER WORLD BANK OD 4.01
Category A: Projects/Components
A full EA is required if a project is likely to have significant adverse impacts that may besensitive, irreversible, and diverse. The impacts are likely to be comprehersive, broad,sector-wide, or precedent-setting. Impacts generally result from a major component ofthe project and affect the area as a whole or an entire sector
(1) Dams and reservoirs
(2) Forestry production projects
(3) Industrial plants (large-scale) and industrial estates
(4) Irrigation, drainage, and flood control (large-scale)
(5) Land clearance and levelling
(6) Mineral development (including oil and gas)
(7) Port and harbour development
(S) Reclamation and new land development
(9) Resettlement and all projects with potentially major impacts on people
(10) River basin development
(I1) Thermal and hydropower development
(12) Manufacture, transportation, and use of pesticides or other hazardous and/or toxicMaterials
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Category B: Projects/Components
The project may have adverse environmental impacts that are less significant thancategory A impacts. Few if any of these impacts are irreversible. The impacts are not assensitive, numerous, major, or diverse as category A impacts; remedial measures can bemore easily designed. Preparation of a mitigation plan suffices for many category Bprojects. Few category B projects will have a separate environmental report; most maybe discussed in a separate chapter of the project preparation or feasibility study
(I) Agro-industries (small-scale)
(2) Electrical transmission
(3) Aquaculture and mariculture
(4) Irrigation and drainage (small scale)
(5) Renewable energy
(6) Rural electrification
(7) Tourism
(8) Rural water supply and sanitation
(9) Watershed projects (management of resettlement) and
(10) Resettlement maintenance, and upgrading projects (small-scale)
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Category C: Projects/Components
An EA or environmental analysis is normally not required in this category because theproject is unlikely to have adverse impacts. Professional judgement finds the project tohave negligible, insignificant, or minimal environmental impacts
(I) Education
(2) Family planning
(3) Health
(4) Nutrition
(5) Institutional development
(6) Technical assistance and
(7) Most human resource projects
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AUachme10
CONSTITUTIONAL PROVISIONS RELATED TO SOCLAL ISSUES
Fundamental Rights:
(I) The State shall not deny to any person equality before the law or equal protectionof the law
(2) Expands on the right to equality and prohibits discrimination on the ground ofreligion, race, caste, sex or place of birth
(3) Guarantees the right to life and liberty
Directive Principles:
(I) Ownership and control of the material resources of the community should bedistributed such that is subserves the common good
Fundamental duties
(1) To value and preserve the rich heritage of our composite culture(2) To safeguard public property and abjure violence
Fundamental rights for the protection of rights of Tribals
(1) To conserve one's distinct language, script or culture
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Attachment-1
ILLUSTRATIVE POLICIES ON R&R
(1) Draft National Policy For Resettlement Of Persons Displaced As AConsequence Of Acquisition Of Land (Ministry of Rural Development)
To comprehensive!y deal with all issues of resettlement, applying to all projectswithin the Public Sector, Government Sector and Private Sector for whom land isacquired under any legislation
(2) Draft NGO Policy
To set right the deficiencies in the above national policy, by including conceptssuch as avoiding displacement, encouraging participation and alternate means ofcompensation
(3) The Orissa Resettlement Of Project Affected Persons Policy, 1994
To resettle and rehabilitate the affected persons such that they do not suffer fromadverse effects and at least their former standard of living is restored
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Aitachment-12
RECOGNITION OF PROJECT AFFECTEDBY SOME SALIENT DOCUMENTS
Documents ProJect Affected Groups
Document Name Status Scope and Displace Persons Losing Land Persons losing Persons depending HostApplicability d person livelihood/ on CPRs and forest Persons
tradeloccl ation resources/nomadsHfomestead Agriculture Agricultur Others
. ~~~~~~~~~~~~~~~~~al labourWith Others With Othcrs (usurrucV/valid valid customary/title title pana holder)
I.Land Acquisition Act, Legislatio Acquires Land1894 n (centre) for "Public 0 4i
Purpose"2. Maharashtra Project Legislatio Irrigation and
Affected Persons n (State) can be made * * *Rehabilitation Act, 1986 applicable to
other projects _ I
3. Madhya Pradesh Legislatio Irrigation,Parlyojana Ke Karan n (State) Power, PublicVisthapit Vyakti utility 0 * X(Punshthapan) Adhiniyam,1985
4. Draft National Policy for Draft Public sector,Resettlement of Persons Policy GovemmentDisplaced as a Sector andconsequence of Private Sector * * a 0 a a *Acquisition of Land Projects,(Ministry of RuralDevelogment, 1995) . . .
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RECOGNITION OF PROJECT AFFECTED GROUPS BY SOME SALIENT DOCUMENTS (Contd..)
Documents Project Affected Groups
5. Orissa Rehabilitatior. and Policy Water ResourcesResettlement of Project Projects . S * * * * * * *Affected Persons Policy,1994 _ .
6. NGO Response to NGO Pub!lc sector,Ministry of Rural Draft GovelnmentDevelopment's Draft Position Sector and E * * * * * * * E
Policy, 1995 Paper Private SectorProjects,
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Attachment-13
NATURE AND EXTENT OF ENTITLEMENTS RECOGNISED BY SOME SALIENT DOCUMENTSNature of Entitlements Extent of Entitlements
Document Name Cash Land Trade/occupation/ Homestead Grants/ Civic Others Adequacy Replace Developmlivelihood/training Allowances Amenities (communit ment ent
y benefits, value benefitsresource
___________ ________ base)Agricultural Others
I.Land Acquisition Act, * *1894
2. Maharashtra ProjectAffected Persons * * * * *Rehabilitation Act,1986
3. Madhya PradeshPariyojana Ke KaranVisthapit Vyakti 0 * 0 *(Punshthapan)Adhiniyam, 1985
4.Draft National Policyfor Resettlement ofPersons Displaced as aconsequence of 0 S 0 * * * SAcquisition of Land(Ministry of RuralDevelopment, 1995)
5. Orissa Rehabilitationand Resettlement ofProject Affected 0 * 0 0 0 S Persons Policy, 1994
6. NGO Response toMinistry of Rural * * 0 0 0 * * * *Development's DraftPolicy, 1995 _ _ . _
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Attcment14
OPERATIONAL AGENCIES:iKEY PLAYERS IN R&R PLANS and IMPLEMENTATION
(1) Land Acquisition Act, 1894
(a) Central/State Government(b) Collector/District Magistrate/Chief Revenue officer
(2) Maharashtra Project Affected Persons Rehabilitation Act, 1986
(a) Commissioner(b) Project Authority
(c) Advisory committee
(3) Madbya Pradesh Pariyojana Ke Karan Visthapit Vyakti(Punhstbapan) Adhinayam, 1985
(a) Chief Controlling Authority(b) Project Resettlement Officer(c) Advisory Board
(4) Drft Natioiial Policy For Resettlement Of Persons DisplacedAs A Consequence Of Acquisition Of Land
Scheme implemented by the Implementation Committed at the Project level.
(a) Project functionary(b) Collector(c) NGOs(d) Representatives of Displaced Persons(e) Representative of Govt. Department of Welfare etc.(f) Subject matter specialists(g) Personnel Manager of the project(h) Representative of the DepartmentMnistry concemed
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(5) Orissa Resettlement And Rehabilitation Of Project Affected Persons Policy,1994
(a) Plroject level
One officer for land AcquisitionOne officer for R&R along with supporting staff of different disciplinesDeveloping/Construction wingResettlement Advisory Committee
(b) Govemment level
Separate directorate of Land Acquisition/Resettlement and Rehabilitation
(c) Community Organisations
(d) Voluntary Organisation
*e) Volunteers from among the displaced persons
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Attacbment1
Social Impact and Entitlement Frariework for World Bank Financed Projects
In contrast to the environmental legislation which exists in India and provides a referencefor the environmental part of the Environmental and Social Report, no similar framework orlegislation exists for the general social impacts of development projects, of resettlement andrehabilitation (R&R) in particular. In order to provide a framework for the R&R process insub-projects where World Bank financing is involved, this ESR provides a list ofentitlements for the project affected individuals, families and establishments. Each sub-project will have to demonstrate compliance with the World Bank Entitlement Framework asfurnished in Table 1.3
Seven basic categories of issues/impact are foreseen under this entitlement framework:
(1) Loss of land(2) Loss of structure(3) Loss of Livelihood/Trade/Occupation(4) Loss of access to common resources and facilities and(5) Loss of standing crops and trees(6) Losses during transition of displaced persons/establishments(7) Losses to Host Communities
In five out of the seven impact categories the joint responsibility for ensring theprovision of entitlements to the beneficiaries lies with the Special Purpose Vehicle (SPV)and the local Government In the case of loss of livelihood and loss of standing crops, theresponsibility lies with the SPV. As a general principle, there will be a preference forproviding land-for-land compensation
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1.01 For the purposes of this framework, the following definitions will be applicable:
(a) Proected Affected Persons (PAP) : PAP means those who arc:
(i) physically displaced or economically advcrsely affected as a result ofphysical re-location;
(ii) economically affected but not physically re-located(iii) whose access to community amenities and resources is adversely
affected
(b) Replacement Value : Replacement Value means market value excludingdepreciation. Replacement value of land should be determined through aland market survey
(c) Family: Family is defined in terms of members of a household who share acommon kitchen
(d) Cut-off date : Cut-off date is used to determine the eligibility of PAPs. Thecut-off date will be the date of the baseline survey. The survey will identifythe residents or users of the land being acquired
(e) Land : The tenn land refers to land acquired under the Land Acquisition Act,or through private transactions. All land provided under the entitlementfiamework should be provided with secure tenure
PAPs should 6e given choices regarding the entitlements provided. If land-for-landis chosen by the PAP, the land should be of equivalent value and/or productivity.Basic units or minimum economic holding should follow the norms of the national,state or local Govemment sufficient to restore or improve the standard of living
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Table 1.1
SOCIAL IMUAI AND ElfllTEMENT FRAMEWORK FOR WORLD BANK FINANCE12 PROJECTS
Type of Issue/lmpact Entitlement Entitlement Options ResponsibilityBeneniciary
1. Loss of landa. Homestead Govt/SPV
(i) with valid title, or customary (i) Family (i) equiv. area of land oror usufruct rights cash comp. at replacenent value
(ii) squasters (ii) Family (ii) developed plot as per Govt. norns
b. Agricultural land(i) with valid title, or (i) Titleholders (i) alternate land of equiv.prod.
custory or usufruct rights potential orcash payment at replacent value
(ii) tenants, sharecroppers, (ii) Individual (ii) local std. for min. econ. landleaseholder, encroachers holding or cash payment for min.
econ. landholdingc. ComrnerciaU/ IndustriaU l
Institutional
(i) with valid title, or (i) Titleholder (i) equiv. land or casb at replacementcustomary or usufruct rights value
(ii) tenant, leaseholder (ii) Unit (ii) equiv leased land, reimbursementfor unexpired lease, transitionallow. equiv. tol year's income
(iii) squattr (iii) Unit (iii) equiv.land and transition aDlowanceL ____________________________ equiv. to I year's income
2 Loss of structurea. House GovtlSPV
(i) with valid tide. or customary (i) Family (i) structure of equiv. standard oror usufruct rights cash camp. at replacement value
(ii) tenant leaseholder (ii) Family (ii) transition allow. to re-establishresidence
(iii) squaters pavement (iii) Family (iii) basic dwclling unit as per govtLdwellers norms or cash payment for bisic
dwelling unitb. CommerciaV Industrial/
Institutional
(i) with valid title. or customary (i) Unit (i) stuctur of equiv. std or cashor usufruct rights comp. at replacement value
(ii) tenant, leaseholder (ii) Unit (ii) reasonable transition allowanceequiv. to I year's income
(iii) squatters, pavement (iii) Unit (iii) basic unit as per govt. norms ordwellers cash payment for basic unit
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3. Loss of livelihoodltradeoccupation SPV
a. Wage employment
(i) agriculturc/ commercial/ (i) Individual (i) employmenL in reconstructedindustrial/ institutional enterprise or package for re-
employment or starting a busincss.and transition allow. cquiv. to Iyear's wages
4. Loss of access to common resources Govt/SPVand facilities
a. Rural common property HH/ community (a) replacement CPRs/amenities orresources providing min. govt std
b. Urban civic amenities 11/community (b) acccss to cquiv. amenities/seriscesSPV
S. Loss of standing cropshrees
a. With valid title Family (ab,c) cash compensation equiv. to It Tenant/lessee Family year's income for crops and twelvCc. Encroachers/Squatters Famnily years for trees
6. Losses during transition of de- GovtISPVplaced persons/establistmeats
a. Shifting/Transport Family/Unit (a) provision of transport or cashb. Maintenance Family/Unit equivc. Construction Family/Unit (b) cash payment for one year
(c) cash payment for materials andlabour or provision of materials
7. Losses to Host communities
a. Amenities/Services Community Restore losses as a result of re- Govt/SPVsettlement or amenities/services equiv.to those provided to PAPs
The entitlements for each of the impacts is described below:
(1) Lf Land:
This impact affects families access to space for housing (homestead), agriculturalland or land for commercial industrial or institutional purposes.
(a) Loss of land for honiestead may impact owners with valid titles, orcustomary and usufruct rights. The beneficiary unit is the family, and theentitlement options offered to PAPs will include the provision of anequivalent area of land in acceptable location or cash compensation atreplacement value of lost property
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In the case of squatters, the family will also be considered as a unit andthey will be provided a developed plot as per Govemrnment norms with cashcompensation for the lost structure, or a basic dwelling unit as perGovermnent nonns
(b) Loss of agricultural property is envisaged to impact persons with validtitles or customary or usufruct rights. The beneficiary will be the titleholder who will be entitled to choose between an alternative land ofequivalent productive potential or cash compensation at replacement value
In the case of tenants, sharecroppers, leaseholders or encroachers theindividual will be the beneficiary. They will be entitled to choose betweenminimum. economic land holdings based on local standards or a cashcompensation for the minimum economic land holding at its replacementvalue
(c) Loss of commercial industrial or institutional land is envisaged to impactpersons with valid titles,-customary or usufiuct rights. The beneficiarywill be the title holder who will be entitled to choose between equivalentland in an acceptable location or cash compensation at replacement value
In the case of tenants and lease holders, the beneficiary will be thecommercial, industrial or institutional unit. The beneficiary unit will beentitled to equivalent leased land, reimbursement for unexpired lease and atransitional allowance equivalent to one year's income
In the case of squatts, the beneficiary will again be the commercial,industfial or institutional unit. The beneficiary will be entitled toequivalent leased land and a transitional allowance equivalent to oneyear's income
(2) Loss of Structur
This category of impact includes families or units loosing their houses or othercommercial, industial or institutional structures
(a) Loss of houses will impact families with valid title, customary or usufructrights. The beneficiary unit is the faumily which will be entitled to choosebetween a structue of equivalent standard in an acceptable location orcash compensation at replacement value
In the case of tenants and lease holders the beneficiary unit will again bethe family who will be entitled to a transitional allowance to re-establishresidence
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In the case of squatters and pavement dwellers, the beneficiary will be thefamily. They will be entitled to choose between a basic dwelling unit asper Government norms or cash payment for a basic dwelling unit atreplacement value
(b) Loss of commercial, industrial or institutional structures will affect unitswith valid titles, customary or usufiuct rights. The beneficiary will be thecommercial, industrial or institutional unit. The beneficiary unit will beentitled to choose between a structure of equivalent standard in anacceptable location or cash compensation at replacement value
In the case of tenants and leaseholders, the beneficiary will be again thecommercial, industrial or institutional unit entitled to a reasonabletransitional allowance equivalent to one year's income
In the case of squatters and pavement dwellers, the commercial, industrialor institutional beneficiary units will be entitled to choose between a basicunit as per Government norms or cash payment for the basic unit atreplacement value
(3) iLos fLieioordCJW=o
This impact affects individuals access to wage employment
(a) Loss of agricultural, commercial, industrial or institutional wageeinployment impacts specific individuals. The beneficiary individuals willbe entitled to employment in re-constucted enterprise or a package for re-enployment or- starting a business, and a transitional allowance equivalentto one year's wages
(4) Loss of Access to Commn Resources ad Facilities
In this category of impacts, the beneficiary is typically communities (in the caseof rural projects) or households (in the case of urban projects), and the lossesinclude loss of rual common property resources or urban civic communities
(a) In the case of rural common property resources, the beneficiary units willbe the households or the community entitled to replacement of commonproperty resources/amenities at minimum Government standards
(b) In the case of urban civic amenities, the beneficiary units will be thehouseholds or the community entitled to access to equivalent amenities orservices
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(5) Loss of Standing Crs and Trees
This category of impacts includes standing crops or trees for those with validtitles, tenants or lessees and encroachers or squatters
In all cases, the family will be the entitlement beneficiary. In all cases again, thebeneficiary family will be entitled to cash compensation equivalent to one year'sincome for crops and 12 years' income for trees
(6) L
Losses in this category include those during shifting/transport, maintenance, andconstruction. In all categories, the family or respective commercial, industrial o-institutional unit will be the beneficiary
(a) For shifting and transport, the beneficiary family or the unit will beentitled to provision of transport or cash equivalent for the transportationarrangement
(b) In the case of mainteance, the beneficiary family or the unit will beentitled to cash payment for one year
(c) In the case of constuction, the beneficiary family or the unit will beentitled to a lump sum cash payment for materials and labour or provisimnof mnaterials for the construction of structures
(7) Lose t lost Communities
In this category of impact, the host community, particularly in the resettled area,its access to amenities and services has reduced. The beneficiary host communitywill be entitled to restoration of losses as a result of resettlement oramenities/services equivalent to those provided to the project affected persons
IL&FS will ensure that all plans are approved by the competent authorties. It will ensurethat public consultation takes place at the necessary stages and that grievance redressal isa priority. IL&FS will also encourage the use of innovative financial mechanisms, suchas annuities in the implementation of approved social entitlement schemes
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In sub-projects where compensation has already been paid and it was not at replacementvalue, the rehabilitation package should include additional cash payments sufficient tomeet this requirement or other measures, acceptable to the PAPs, which enable them torestore or improve their standard of living
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Attachment- 16
TERMS OF REFERENCEfor
the preparationof
A RESETTLEMENT ACTION PLAN(Source: World Bsnk)
Introduction
Infrastructure Leasing and Financial Services Limited (IL&FS) is considering thefinancing of a pipeline of commercially viable projects which include urban bypasses,mass transit systems, water and sanitation infrastructure, and integrated area developmentfor infastructue development though the private sector in India. The Environmental andSocial Report (ESR) provides a framework of policies, procedures and assessments toguide IL&FS and its borrowers in the identification, assessment and management ofenvironmental and social concems at the organizational, and at the project level. The ESRhas been formally approved by the Board of Directors of EL&FS and will serve asguideline for the preparation of thc Resettlement Action Plan (RAP).
The Resettlement Action Plan should adhere to the policy objectives of theEnvironmental and Social Statement of IL&FS (ESR, Vol. 1, p.18) which commit eachproject to three cardinal principles:
(a) Enhance the quality of life and environment in and around the project location(b) Prevent adverse enviromnental and social situations'c) Mitigate possible advers- environmental and social impacts.
This statement is being internalized by IL&FS into its business operations.Adherence to these principles will be monitored and highlights made public as part of theAnnual Enviromnental and Social Audit along with the Annual Report
In adhering to the Environmental and Social Statement, the RAP will incorporateall resettlement and rc-habilitation measures necessary to ensure compensation for assetsacquired at replacement value, and mitigation of loss of livelihood for all Project AffectedPersons (PAPs), on the basis of the Social Impact and Entitlement Framework for WorldBank financed Projects (henceforth referred to as the resettlement and rehabilitation{R&R} Framework), summaridzd on pp. 43-46 of Volume II of the ESR (see Attachment15, for full explanation). The R&R Framework reconciles the policies of the Governmentof India with the Operational Directive (OD 4.30) of the World Bank, and shal serve asthe basis for preparation of the RAP.
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Preparatory Steps
Certain actions will be need to be undertaken by the project sponsor/SPV prior tothe preparation of the RAP. This includes the following preparatory steps:0 Establishment of a Neighbourhood Committee for the infrastructure project to make
policy inputs into the RAP and review the consultant's outputs0 Determination of the cxtent of adverse social impacts through a Land Acquisition
Assessment (LAA) for each infrastructure project at the initial concept stage, as thebasis for determining the scope of the RAP (guidelines for the LAA are provided inthe next section)
O Preparation of detailed terms of reference for the consultants on the basis of thespecific R&R issues emerging from the LAA
0 Make available to the consultants a copy of the ESR, the LAA, and the project designwith detailed maps of.the project for which the RAP is being commissioned
0 Providing feedback and policy guidance to the consultants when the results of thecensus and socio-economic survey are submitted to the Neighbourhood Committee.
During this preparatory phase and throughout the preparation of the RAP, IL&FS,through its Environmental and Social Management Group (ESMG), will ensure that theactivities are carried out in consonance with the principles and procedures enunciated inthe ESR. It will assign one member of the ESMG to act as liaison person/counterpart forthe RAP consultants.
Guidelines for Land Acquisition Assessment (LAA)
The LAA is a rapid assessment mechanism to determine the scope and extent ofR&R measures which will need to be undertaken for project implementation. The LAAconsists of a project-specific estimate of the amount of land to be acquired, the existingpattern of land tenure and land use, an estimate of the nunber of users, plots anddwellings, the process of land acquisition, and the land administration agency which hasjurisdiction over the land. The LAA should be based on project planning documents,existing secondary sources (government statistics, land use maps, etc.), on-siteverification by IL&FS staff;, and existing legislation and administrative practice withrespect to land acquisition in the project area.
The LAA provides the basis for the R&R Committee to determine what should bethe scale of the study, and to decide whether a full RAP needs to be commissioned, orwhether a limited RAP with rehabditation measures will suffice. The R&R Frameworkincorporates compensation to all PAPs for loss of property, loss of dwelling, or loss oflivelihood, when land or other resources are acquired by a project for public purposes.Adverse impact may include cases where people have to be assisted in their physicalrelocation, resettlement and rehabilitation, in which case a full RAP is neededL Adverseimpact also includes people who are not physically displaced but special actions areneeded to restore loss of income; in such cases the RAP may cover rehabilitationmeasures alone.
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Resettlement Plan Objectives
Preparation of the Resettlement Action Plan (RAP) is being comnmissioned as anintegral part, and one of the major components of the Social Assessment Processdescribed in the ESR (pp. 75-86). The need for the RAP has been identified by thepreliminary findings of the Land Acquisition Assessment and the analysis of expectedsocial impacts which require appropriate mitigation measures for all PAPs who, on thebasis of an established cut-off date, will be losing land, or other assets, or livelihood, as aresult of project implementation. The RAP will incorporate all R&R measures necessaryto ensure compensation for assets acquired at replacemnent value, and mitigation of loss oflivelihood for all PAPs.
RAPs are intended to be action-oriented documents. As such, they should be asprecise and affirmative as possible, to facilitate approval by IL&FS and the Bank.Clarifying the parameters of the RAP during the early stages will ensure that the R-AP is adocument focused on practical steps for implementation of R&R measures.
Practical Steps for RAP Prepartion
In undertaking this exercise, the consultants will be expected to follow a series ofsteps leading to the preparation of an acceptable RAP:
() Review the ESR as the guiding document for the RAP0) Review the detailed project design and the results and recommendations of the LAAC) Undertake a census of all PAPs (with 100 percent coverage), and a sample socio-
economic surveys of the project area and the proposed resettlement site(s) to establisha baseline of PAPs and the host popLtAAon; present summarized data relevant to R&Rdesign and implementation to the R&R Committee. For smaller projects, with lessthan 500 PAPs the census and socio-economic survey may be combined into one fieldstudy
) hold consultations with R&R Comm .tee to obtain their recommendations for RAPdesign
I The census should provide details of land and assets owned or held, and the precise amounts of assetsto be acquired on a temporary or pernent basis fomm every affected household for the project, aswell as data on the social and economic smtus and occupation of all PAPs.
2 The socio-economic survey should provide data on the existing social structure, tenurial arrangementsand resource use, access to social services and infirstuctre facilities by differcnt social groups in theproject area, and for the host population at the proposed resettlement site, clealy identifying allspecial interest groups, p- iicularly those who are poor and vulnerable (e g., tenants, landless laboes,women, indigenous peoples), and descriing their special characteristics in relation to the project, thesurvey should also descnbe the expected impact of the project - access to benefits, ifrastucture andsocial services, and advase impact - on different social groups.
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O hoid consultations with stakeholders (inclu. led PAPs) to obtain their inr its for RAPdesign; consultations with stakeholders will enhance ownership, facilitate theapproval process, and ensure ease of implementation
O prepare RAP in accordance with the outline provided.
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Outline of the RAP:
1. Project Description* Physical, social and economic characteristics of the project area;* Major features of the proposed project;* Relevant maps of the project site(s), and the project area;* Sununary description of the extent of land acquisition needed for the project,
and its expected adverse social impact - results of the LAA;* Analysis of major social groups likely to be adversely affected, and their
special characteristics in relation to the project;* Impact on archaeological sites and cultural property;* Identification of the principal stakeholders in the project;* Overview of the R&R steps envisaged within the project.
2. The Social Assessment Process* Preceding stages of the Social Assessment Process leading to the preparation
of the RAP;* Principal agencies, and personnel responsible for the preparation and appraisal
of the components of Social Assessment Process;D Consultation process with different stakeholders used during the Social
Assessment Process: if different forms of consultation have been used fordifferent stakeholders e.g. govenmment agencies, potential user groups, PAPsand NGOs, the consultative processes should be described separately.
3. Census Data and Social Impact AssessmentSocio-economic data of project area and expected social impact of the proposed projectbased on the census and socio-economnic survey:
* Details of land and other assets to be acquired on a temporary or permanentbasis for the project;
- Data on occupation and income levels of PAPs;* Access to benefits, and negative consequences on different social groups -
landowners vs tenants/landless laborers, large farmers vs small owner-operators, owners vs squatters, males vs females, local vs regional/nationalbeneficiaries - equity issues;
* Changes in the tenurial status and patterns of resource use by different socialgroups as a result of the project;
* Extent of relocation of PAPs required for the project;* Data on the proposed resettlement site(s) and host population(s), including
existing pattern of land use, existing infastructure and services, and economicopportunities for the additional population at the resettlement site(s).
* Access to social services prior to the project, and after completion of theproject;
* Impact on poverty in the project area.
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4. Policy of Entitlements* National, state, and local Laws and Rules on land acquisition and resettlement
applicable and relevant to this project;* Eligibility policy for PAPs, criteria for different categories of PAPs, cut-off
dates for eligibility;* Reproduction of R&R Matrix (see Attachment 15) retaining the different types
of loss/impacts applicable to the project
5. Participation* Identification of project stakeholders;* Previous experience of the local population (particularly negative experiences)
with development projects and resettlement;* Role of stakeholders at different stages of project cycle - consultations, R&R
implementation, and R&R monitoring;* Institutional mechanisms to facilitate participation;* Expected outputs of participation by stage of project cycle.
6. Consultation and Grievance Procedures* Major R&R issues to be discussed with PAPs and other stakeholders;* Process and time table proposed for consultation with stakeholders,
particularly project affectees;* Public information, and information dissemination program to ensure that
project affectees and other stakeholders are informed about the process ofproject implementation and R&R issues, on a continuing basis;
* Mechanisms established, such as Grievance Committee, for redressal ofgrievances.
7. Implementation Mechanisms and Due ProcessImplementation procedures proposed for delivery of key entitlements and the process forestablishment of adequate replacement value: summarize information in the form of acomplete Entitlement Matrix (see Table 1 for format), and add explanatory notes toclarify the following points, as relevant to the project
* Land-for-land provisions. including the location, quality, and presenteconomic use of the land being provided in replacement of acquired land;
* Additional incentives provided to supplement land-for-land provisions,including cost of relocation, subsidy for inputs to develop the land,compensation for need to create new network of services and inputs; etc.
* Detemination of replacement value, form of compensation and modality ofpayment;
* Provisions made to compensate tenants/share-croppers, squatters and otherswith temporary tenure or lien on property being acquired;
* Process of relocation, including development of resettlement sites, transitionalarrangements, housing, etc.
* Acquisition of resources managed as common property (CPRs):= Replacement Value of CPRs
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=> compensation for CPRs among its multiple owners/users= access to CPRs after project completion or alternative arrangements to
avoid depriving PAPs of the benefit stream from CPRs;* Measures proposed to provide additional services to PAPs (e.g. special
measures to ensure that they are included among the beneficiaries of theproject through access to project related services, employment opportunities,or public social services) in lieu of the personal loss they are incurring for apublic good.
8. Analysis of Alternatives and Assessment of Resettlement Sites* Alternatives to project design identified during RAP preparation, particularly
those alternatives where minor modification to the project may reduce adverseeffects, resulting in significant R&R benefits;
* Assessment of proposed rural resettlement sites or urban housing schemes interms of existing services, capacity to absorb additional population, prospectsfor assimilation within, or conflicts with the host population;
* Assessment of measures proposed to improve infras and services at theresettlement sites to ensure that the quality of life of the resettled population isat least as good at the resettlement location as in their original habitat;
• Provision of improved services to the host population (to avoid future conflictswith the resettled population).
9. Income Restoration (IR) Programs* Existing skills and employment pattern of PAPs;* Adverse impacts on employment pattem due to acquisition of land or other
assets, or due to relocation;- Feasibility analysis of income generation programs at the resecttlement site(s)
or at the existing location during the life of the project, and in the post-projectperiod;
3 Training needs of PAPs in me context of employment opportunities andmarket demands of the post-project situation, and describe how the projectwill ensure fulfillment of those training necds;
* Access to credit and micro-enterprise support to meet the PAPs' needs forcapital and other inputs for rehabilitation of livelihoods;
* Institutional arrargements to manage IR programs on a sustained basis -
initiation, implementation, handing over, sustainability.
10. Institutional Capacity and Responsibility* Which agency will be responsible to implement R&R activities?* Previous experience of the agency in undertaking R&R (the previous
experience should be described and evaluated);• Organizational structure to managb RLR activities for the project;* Resources available for R&R, including staffing, financial resources and other
facilities;* Budget for R&R agency, including extent of financial authority;
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* Capacity, experience, and resources of PAP's organizations within the projectarea;
* Capacity, experience, and resources of NGOs active within the project area;* Coordination mechanisms between R&R agency, local administration, line
administration, PAPs, and NGOs;* Technical Assistance needs and plans for staff capacity building.
11. Budget for R&R Operations* Assumptions underlying the budget and Total Estimated Cost of R&R
Operations> Estimated cost of land acquisition and resettlemenrunder the project;
=> Initial capital investment for rehabilitation activities;> Recurning costs for continued provision of rehabilitation services and
mitigation measures;=> Cost of administrative overheads/implementation management;=* Allocation for Contingencies;
• Detailed costs with identification of all major cost items for expenditureduring the first phase of implementation (minimum two years);
3 Sources of funding, and financing responsibility by component;3 Budgetary process and timing of expenditure;3 Authorization process regarding spending, and devolution of financial powers
for R&R to the field level;- Financial accountability process - the audit mechanism.
12. Monitoring & Eviluation* Procedures and organizational set-up for intemal monitoring of progress in
R&R operations - M&E structure within implementing agency;- Monitoring and reporting procedures and formats to be followed for reporting
progress with R&R;* Participatory monitoring - PAP and NGO monitoring responsibilities;* Provision for external, independent monitoring mechanism of R&R;* Project supervision - Bank responsibility;* Funding sources for M&E.
13. Action Plan for ImplementationPrepare an Action Plan with a time line for R&R implementation, coordinated with theproposed time table for project activities, beginning with a start date well enough inadvance to make the land available for project construction when it is needed:
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* Summarize coverage of the plan (time period, location of sites);* Draw up a list of key tasks to be performed to deliver the entitlements
provided in the RAP (use the Entitlement Matrix as a checklist for activitylist); ensure that all activities related to the following are included
=> land acquisition=> resettlement=> rehabilitation=> IR programs> consultation processes= mo.nitoring of R&R impacts.
* Incorporate critical activities/ events related to project construction /implementation which will have a bearing on the time frame;
* Prepare a Plan of Operations for R&R activities, for the first phase (minimum24 months) using the following format:
Activities Responsibility Monitoring Time FrameIndicator
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Table I
Entitlement Matrix
Compensation, Relocation and Rehabilitation
Type of Loss Definfiton of Definition of Application Additional Impbmntalio Organization(s) |/ Impacts3 entitlement / entitled guidelines services I n Issues responsible
rignt personfunit benft1. Loss ofland:
2. Loss ofstructure3. Loss oflivelihood _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
4. Loss ofaccess tocommonresourcesand fadlfties5. Loss ofstandingcropsibees6. Lossduringtransition Idisplacement | l l_l7. Loss toHostCommunities -
3 The first column of this matrix is indicative of generic types of losses. There are likely to be variationsbetween projects. In preparmg the RAP, the boxes in the fis column should be expanded on the basisof the first column of the R&R Matrix in Section 4: Policy of Entitlements of this RAP. Iffurdier sub-divisions are called for, based on different types of agricultural land, types of tenancy contracts, ortypes of wage employment, the matrix should be expnded to specify entitlements for each of thosevariations.
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Attachment-17
INDIGENOUS PEOPLES DEVELOPMENT PLANRECOMMENDED CONTENT AND FORMAT
If initial scoping and preliminary assessments have determined that indigenous peoples orvulnerable groups coming under the purview of OD 4.20 will be affected by the proposedproject, the Bank's policy mandates that:
For an investment project that affects indigenous peoples, the borrower shouldprepare an indigenous peoples development plan that is consistent with the Bank'spolicy. Any project that affects indigenows peoples is expected to includecomponents or provisions that incorporate such a plan. When the bulk of the directproject beneficiaries are indigenous people, the Bank's concems will be addressed bythe project itself and the provisions of this OD will thus apply to the project in itsentirety. (OD 4.20 para, 13)
The IPDP
Section I: Background Information
(1) Brief description of the projects main objectives, components, and time frame
(2) Description of how the project will affect indigenous peoples and special componentsrequired, outside and beyond the main project components, to ensure the protectionof indigenous peoples' rights
(3) Assessment of the legal status of groups as reflected in the country's constitution,legislation, and subsidiary legislation, and; description of their rights, entitlements,and vulnerability
Section HI: The content of the IPDP
The following information should be included but is not exclusive of other pertinentinformation to cover specific conditions and social groups
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(I) The baseline information will be collected by qualified technical and social expertswith visits to the specific sites involving indigenous groups and when available,utilising secondary infornation which will be verified and updated. The baselineinformation will include but will not be limited to:
(a) Maps
(b) Description followed by analysis of the social structure of the population
(c) Inventory of the resources and analysis of the sources of income of thepopulation
(d) Technical information about the systems of production
(e) Relationship of indigenous groups to national groups
(f) Examination of land tenure issues including lands under customary rule andassurance of continued use of these resources by the groups involved
(g) Strategy for local participation including the mechanisms defined with theassistance and in consultation with indigenous peoples for their participationin the decision making process throughout the project planning,impiementation and evaluation cycle
(h) Technical identification of development or mitigation activities. Detaileddescription should be prepared and appraised for proposed services such aseducation, training, heath, credit and legal assistance. Additionally, technicaldescriptions should be included for planned investments in productiveinfrastructure. Whenever possible indigenous knowledge should be utilisedand incorporated into these activities
(i) Examination and analysis of the institutional capacity will describe thegovernment institutions responsible for indigenous peoples' affairs, theircapabilities and an assessment of their capacity to carry out proposed plansand activities. Organisational issues will be addressed including: issues offunding for investments and field operations, adequacy of field staff, localindigenous and/or other local organisations to interact with govenunentinstitutions and ability of the executing agency to mobilise other agenciesinvolved in the plan's implementation
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Ci) The IPDP will include an implementation schedule with benchmarks toassess progress. When pilot projects are proposed the plan will demonstratewhere and how these projects will assist in the provision of planning orphasing information dealing with indigenous peoples
(k) Monitoring and evaluation, including specific indicators will be included inthe plan, as will a description of the process and agents to conduct bothmonitoring and evaluation. A proposed schedule of reports should beincluded
(l) Detailed cost estimates and financing plan and sources of funds for the IPDPcovering those planned activities and investments should also be included.Programmes involving revolving credit funds should also include adescription of the accounting procedures and mechanisms for financialtransfer or replenishment
Secion I: Processing and Documentation
(1) The plan for the development component for indigenous peoples should be submittedto the Bank along with the project's overall feasibility report, prior to projectappraisal. The adequacy of the plan will be assessed at appraisal as will thesuitability of the policies proposed and legal frameworks and the contents of theoverall plan as mandated by pargraph 18 OD 4.20. Appraisal teams should besatisfied that there has been meaningful participation on the part of the indigenouspeoples as mandated by paragraph 14
(2) Appropriate anthropological, legal and technical skills shall be provided for in thesupervision missions during project implementation
(3) The borrowers commitments to the implementation of the IPDP should be reflectedin the loan documents. Legal provisions should provide Bank staff with clearbenchmarks that can be monitored during supervision
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Aflachment-18
PUBLIC CONSULTATION AND CONSENSUS BUILDING PROCESS
Public consultation for consensus building is typically a four stage process of:
(1) Awareness generation
(2) Perceptions assessment
(3) Consensus building, and
(4) Agreement finalisation
At the first stage of awareness generation, the affected communities are provided informationand made aware of the project activities and their likely impacts. The team responsible forthe consultation process may suggest at this stage itself some of thc options available toaddress these impacts.
There are several methods and techniques that can be adopted for public consultations. Someof these include:
(1) Public hearings
(2) Public meetings
(3) Informal small group meetings
(4) General public information meetings
(5) Operating field offices
(6) Local planning visits
(7) Information brochures and pamphlets
(8) Field trips and site visits
(9) Public displays
(10) Model demonstration projects
(11) Material for mass media
(12) Response to public inquiries
(13) Press release inviting comments
(14) Workshops
(15) Advisory committees
(16) Task forces
(17) Employment of community residents
(18) Community interest advocates
(19) Ombudsman or representative
(20) Environmental impact statement review by public
T he project team responsible for the consultation process has to determine which techniqueor a consultation is most appropriate at a particular stage or the consultation and consensusbuilding process
At the second stage, the views and perceptions of the affected communities regarding theproject activities, its implications and also the options to address them is carefully mssessedand documented. Due to the discussions within and outside the communities, unforeseenimpacts, and mitigation options emerges
By this time the opinions of the local communities become quite evident. The opinionleaders also become visible and the areas of agreement and disagreement also start emerging
The next step of consensus building is critical and has to be delicately handled. In mostprojects it will be found that while most people agree on a majority of ie issues, it is the fewissues of disagreement that can create maximum- problems. Sometimes these few point ofdisagreement even decide the fate of a project. The team responsible for the consultationprocess has to very carefully ensure that each of the points of disagreement are resolved inthe most amicable manner. Sometimes, if a point of disagreement does not have majorimplications it may be useful to just leave it as unresolved and document it. The unresolvedissue may also be left to be addressed at a later date when more information, experience andunderstanding is available
Finally, the consensus built has to be translated into commitments and allocation ofresponsibilities. These commitments may be recorded in any form of agreements that theconcerned stakeholders are comfortable with
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Atachment-12
SUGGESTED TOR FORMAT (SOURCE: FINNIDA GUIDELINES)
(1) Introduction
(a) Purpose of terms of reference
(b) Responsible party for preparing the EIA report
(2) EIA guidelines
General guidelines to be followed and the procedure to be used in preparing the EIAreport should be provided
(3) Background information
(a) General background studies and reports that are available might be described
(b) Specific background studies and reports related to the project and the locationof the project might be listed or described
(4) Specific EIA guidelines
(a) Specific environmental effects
The environmental components which need detailed or further study shouldbe listed. The indicators of each listed component to be measured or assessedmight be specified
(b) Metigaing measu=
EIA reports should propose mitigating measures for all adverse effects,including discussion of alternativc approaches and recommendations.
(c) Monitoring
EIA reports should propose a monitoring programme for assessing the actualimpacts during the project's operation and beyond
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(d) EIA study prposal
The following should bc mcntioned in the proposal:
(i) Work tasks: each specific task to be done should be sufficientlydescribed
(ii) Study schcduc: the proposed plan for carrying out the EIA studyshould be needed
(iii) Review sessions: periodic reviews of the work during study might beneeded
(iv) Printing or reproduction ot the EIA report: provision of a budget forprinting and reproduction of the report as well as the number ofcopies required should be indicated
(v) Study team: expertise and specialists needed for the proposed projectstudy team should be described
(5) Time constralits
EIA report: the time required for the EIA report to be completed (e.g. within 3-12months)
(6) Budget
The estimated budget allowance for the EIA study and report for the proposed projectmay be given
(7) EIA report format (see Attachment-20)
(8) Other relevant information
Annexes I: Project Identification Document (including the results of "apreliminary environmental assessment ")
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Attchment-20
THE DETAJLS OF EIA
If the preliminary environmental impact identification and assessment showed that theproject/programme will give rise to potentially significant adverse environmental impacts orif the impacts and their mitigation and monitoring are not easily identified and planned, amore detailed study is required. It is important that, whenever possible, the study should bean integral part of ;he draft project document preparation
Depending on the size, nature and location of the development project/programme, theassessment can range from analysis of a couple of pages based on existing information andcarried out by a single individual to a comprehensive environmental impact statement basedon extensive field surveys and data gathering and carried out by a multi-disciplinary team
(X) Identification of PrQject Altematives
The consideration of altematives to the proposed project is one of the key aspects ofEIA, because it provides for the examination of different mechanisms to achieve astated objective and enables assessing the identified alternatives in relation to theireconomic, ecological and social costs and benefits. It assists the decision-makers inthe choice of an alternative which has the least adverse and greatest beneficialenvironmental, social and economic consequences
Already in the early stages of project identification and/or feasibility studies theoptions open for achieving the desired development objectives should be identified.Alternatives to be considered may include for example: demand, activity, location,processes, design, scheduling, raw-materials, fuels, fuels, mitigation measures, etc.Also the altemative of no project ("0-alternative", "no-go option") should beconsidered when comparing advantages and likely adverse impacts
It is important to recognise how the objectives have been made and who has beenable to participate in establishing the development objectives. The justification of theproposed project should always be seen in a broad context and not only from thenarrow viewpoint of the proposal
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(2) lmpact ldentification and "Scoping"
If a "preliminary assessment" has been undertaken, it will have broadly reviewed thepotential effects of the project. Identification of impacts is, however, complex andhas to continue throughout EIA work as more data becomes available on the projectand its environment. As an aid to the identification and anticipation of the impactstypical of different types of projects, examples of project specific checklists havebeen provided in the "Major Issues in Priority Sectors"
One function of scoping is that it may identify people who have relevant informationand induce them to make it available. This may save considerable research time andmoney. It will also act as the first step in building public confidence in the EIAprocess
First the study team's outlook is broadened - by discussions with the projectdevelopers, decision-makers, regulatory agencies, scientific institutions, localcommunity leaders, and other interested parties - to include all the possible issues andconcerns raised by these various groups. Then the study team, selects the mainimpacts for the EIA to focus on, choosing on the basis of magnitude, geographicalextent, significance to decision-makers, local concems or because of specific localsensitivities (e.g. soil erosion, the pressure to endangered species, nearby historicalsites, etc.)
When appropriate, a particular "scoping session" can be arranged. it is a meeting, orif necessary two or more meetings in different locations, held so that it is accessibleto all desired participants. There the proposed development activities are describedin a- form whiich is understandable to all affected groups; and potential projectalternatives, impacts and mitigation measures are reviewed. The main concemswhich should be addressed in EIA are agreed on an recorded to a document whichwill be annexed to the EIA report
In situations where there exists limited exchange of information and concemsbetween the project/EIA team, relevant agencies and the public, there is thepossibility that significant issues may be overlooked. This may then give rise to therejection of the assessment repDrt and public opposition, which at a late stage in EIAand project design can lead to costly delays, design changes and additional work. itis in the interests of all parties to avoid such situations
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(3) Environmental Baselne Studies
The baselinc study is a description of conditions existing in an area prior to theaction, against which subsequent changes can be detected through monitoring. Forthis definition it can be seen that baseline studies are closely linked to environmentalmonitoring. Because one of the practical objectives of EIA is to predict changes inthe ecological and socio-economic systems resulting from a proposed project,baseline studies are needed to provide the before-project measurements andmonitoring provides the after-project measurements, i.e. changes over space and time
There is a clear two-way relationship between baseline monitoring and impactidentification and prediction. As more data becomes available and as theenvironmental baseline becomes better understood, impact identification andpredictions can be made with greater specificity and confidence, in turn allowing thescope of baseline investigations to be better focused
In the course of the scoping exercise several of the most important impacts will havebeen identified. Since interest will be concentrated on those impacts, it is logical tomeasure the baseline levels of those environmental parameters which they will affect.Thus, the planning of the baseline survey should flow naturally from the short-list ofimpacts which is the output of the scoping exercise
The baseline survey itself must be developed through a study of existing documentsand supplemented by field sunreys
Against the established baseline information the likely changes in differentenvironmental parameters of each development alternative are predicted and thelikely, nature or characteristics of impacts are described in quantitative and/orqualitative terns
In order to provide a fair basis for examining human impacts, future environmentalstates in the absence of action must be estimated. For each of the proposed actions,and admissible combinations of these actions, there will be an expected state of theenvironment which is to be compared with the expected state in the absence ofaction. Forecasts will be required for several time scales, both for the "with" and"without" action cases
The following important features should be included in prediction:
(a) the variable subject to impact
(b) the magnitude of impact
(c) the spatial extent of influence of impact
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(d) the time and duration of impact
(e) the probability of occurrence of impact
(f) the confidence which can be placed in the quality of data used as the basisfor the prediction
(g) distribution of both positive and negative impacts between people affected
(h) reversibility/irreversibility of impact
The measurement of changes in environmental parameters is an important first step inestimating the nature of many impacts. The next step is to determine the nature ofthese effects on humans, animals, plants, ecosystems and society. This is probablyone of the most difficult activities within EIA. Models or dose-response curveswhich will aid prediction do not often exist in developing countries. In such cases theexperts can only make estimations or educated guesses of the effects of a particularchange on individual organisms and their communities
It is important to study the following:
(a) Magnitude of impact
(b) Affected Area
(c) Time and duration of impact
(d) Distribution of impact to affected people
(e) Indirect impacts
(f) Cumulative impacts
(g) Risks and uncertainty
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(4) Impact Interprctataon
After predicting the changes and impacts expected to result from a proposeddevelopment the significance, importance and acceptability of the impacts of eachaltemative should be evaluated. The aim is to determine whether the predictedadverse impacts are significant enough to warrant mitigation. The significance andextent of residual impacts (those which cannot be mitigated satisfactorily) arenormally the fundamental criteria on which decisions to proceed with or suspend aparticular course of action are taken
The judgment of significance can be based for instance on the following factors:
(a) comparison with laws, regulations or accepted standards
(b) reference to pre-set criteria such as protected sites, features or species
(c) consistency with government policy objectives
(d) consultation with relevant decision-makers
(e) acceptability to the local community, the general public and other interestedparties
The most widely used criteria are such standards as air and water quality standards.physical planning standards, building regulations and by-laws, safety standards.national laws and acts, etc. t'iat have statutory authority
Once the impacts have been interpreted, it is essential that the quantitative data andqualitative information on impacts is presented in a form easily understood even bynon-experts. Unless interested members of the public and decision-makers canunderstand impact information, they will be unable to form conclusions on the meritsand disadvantages of a proposal
(5) Identification of Mitigation Measures
A wide range of actions may be proposed to prevent, reduce, remedy or compensateeach of the adverse impacts "evaluated" as significant. Possible mitigation measuresinclude:
(a) changing project sites, routes processes, raw materials, fuels, operatingmethods, disposal routes or locations, timing or engineering designs, safetyrequirements
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(b) Introducing pollution controls, waste treatment, monitoring, phasedimplementation, landscaping, personnel training, special social services orpublic education
(c) Offering (as compensation) restoration of damaged resources, money toaffected persons, concessions on other issues, or off-site piogrammes toenhance some other aspects of the environment or quality of life for thecommunity
Most of the mitigation is unknown or poorly developed should be identified. Theenvironmental impact assessment should recommend delays in project approval if itis judged that time is needed to devise adequate environmental protection
(6) Identification of MonitoingsRequirements
Environmental monitoring is needed in development assistance projects for threemain reasons:
(a) to ensure that legal standards for effluents are not exceeded
(b) to check that mitigating measures are implemented in the manner described inenvironmental assessment report and related documents
(c) to provide early warning of environmental damage so that actions may betaken, if possible to prevent or reduce the seriousness of the unwanted impact
Monitoring of this type can also be used for checking the accuracy of impactpredictions made prior to approval of the project. The application of knowledge fromimpact monitoring can improve the accuracy of fure EIAs by indicating thosepredictive techniques which are the most successful and those impacts which haveactually occurred
The a number of different monitoring activities are relevant to EIA
(a) Baseline Monitoring refers to the measurement of environmental parametersduring a representative "pre-project" period in an attempt to determine thenature and ranges of natural variation, and where appropriate, to establish theprocesses of change
(b) Effects or impact monitoring involves the measurement of parameters duringproject construction, implementation and operation in order to detectenvironmcntal change which may have occurred as a result of the project
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(c) Compliance Monitoring takes the form of periodic sampling and/orcontinuous measurements of levels of e.g. waste, discharge, noise or similaremissions to ensure that conditions are observed and standards met
Monitoring and management plans should addressed in some detail. The assessmentreport should identify e.g.
(a) the impacts and indicators to be monitored
(b) the types of monitoring to be undertaken
(c) the management structure introduced for dealing with the feedback frommonitoring and the options open to management in dealing with that feedback
(d) the commitrnent of the parties responsible for monitoring and managementprogramme outlined
(e) the role of public members of the affected community
(f) the other agencies involved (usually government, especially regulatingagencies)
(g) the explicit roles and responsibilities of these agencies
(7) EIA Rcwrt
One of the primary objective of EIA is to aid decision-making. Therefore the resultsof EIA must be properly communicated to decision-makers and other interestedparties
The produce effective communication, one must identify the Key decision-makersand other target audience and shape and style the report to their specific needs,perceiving the questions they will be asking The report should be formatted for easyinterpretation by using e.g. tables, graphs, summary points, etc.
Depending on the extent and require level of detail of an environmental assessment,the report may be attached as a "Chapter" of the draft project document or, if that isnot practical, as a separate document. It is most important that the timing of EIAallows the decision-making and technical design to take the results of EIA fully intoaccount It is strongly recommended that every project document explicitly stateshow the results of EIA have been taken into account in the final design and decisions
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achment 21
OUTLINE OF A PROJECT-SPECIFIC EA REPORT
(I' A full EA report should be concise and should focus on the significant environmentalissues. The report's level of detail and sophistication should be commensurate withthe potential impacts. The target audience should be project designers, implementingagencies, and borrower and Bank staff. The report submitted to the Bank should beprepared in English, French, or Spanish
(2) The EA report should include the following items:
(a) .xecutive Summary
Concise discussion, in English, of significant findings and recommendedactions
(b) Policy. Legal. and Administrative Framework
Discussion of the policy, legal, and administrative framework within whichthe EA is prepared. The environmental requirements of any co-financiersshould be explained
(c) Project description
Concise description of the project's geographic, ecological, sociaL andtemporal context, including any off-site investments that may be required bythe project (e.g., dedicated pipelines, access roads, power plants, watersupply, housing, and raw material and product storage facilities)
(d) Baseline Data
Assessment of the dimensions of the study area and description of relevantphysical, biological, and socio-economic conditions, including any changesanticipated before the project commences. Current and proposeddevelopment activities within the project area (but not directly connected tothe project) should also be taken into account
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(e) Environmental Impacts
Identification and assessment of the positive and negative impacts likely toresult from the proposed project. Mitigation measures, and any residualnegative impacts that cannot be mitigated, should be identified.Opportunities for environmental enhancement should be explored. Theextent and quality of available data, key data gaps, and uncertaintiesassociated with predictions should be identified/estimated. Topics that do notrequire further atention should be specified
(f) Analysis of Altematives
Systematic comparison of the proposed investment design, site, technology,and operational alternatives in terms of their potential environmental impacts;capital and recurrent costs; suitability under local conditions; andinstitutional, training, and monitoring requirements. For each of thealternatives, the environmental costs and benefits should be quantified to theextent possible, and economic values should be attached where feasible. Thebasis for the selection of the altemative proposed for the project design mustbe stated
(g) MotinioPlan
Identification of feasible and cost-effective measures that may reducepotentially significant adverse environmental impacts to acceptable levels,and estimation of the potential environmental impacts; capital and recurrentcosts; and institutional, training, and monitoring requirements of thosemeasures. The plan should provide detail on proposed work programmes andschedules. Such details help ensure that the proposed environmental actionsare in phase with engineering and other project activities throughoutimplementation. The pian should consider compensatory measures ifmitigation measures are not feasible or cost-effective
(h) Environmental Management and Training
Assessment of the existence, role, and capability of environmental units on-site, or at the agency and ministry level. Based on these findings,recommendations should be made concerning the establishment and/orexpansion of such units, and the training of staff, to the point that EArecommendations can be implemented
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(i) Environmental Monitoring Plan
Specification of the type of monitoring, who will do it, how much it will cost,and what other inputs (e.g., training) are necessary
Appcndiges
(i) List of EA Prepares-individuals and organisations
(ii) Reference-written materials used in study preparation. The list isespecially important given the large amount of unpublisheddocumentation often used
(iii) Record of Interagency/Forum/Consultation Meetings-including listsof both invitees and attendees. The record of consultations forobtaining the informed views of the affected people and local NGOsshould be included. The record should specify any means other thanconsultations that were used to obtain the views of affected groupsand local NGOs
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Athchment-22
A. SUGGESTED REVIEW CHECKLIST FOR DECISION-MAKERS
(1) Impact Identification
(a) Does the project have an impact on any environmentally sensitive areas?
(b) Is there a clear statement of the significant beneficial and adverseenvironmen' al effects of the projects? Have the risks been evaluated?
(c) Has attention been paid to offsite effects (so called upstream and downstreameffects), including transboundary effects, and to the possible time-lag beforeeffects are exhibited?
(2) Mitigation Measures
(a) What mitigation measures are proposed and what alternative sites have beenconsidered?
(b) What lessons from previous similar projects have been incorporated into theenvironmental assessment of this project ?
(c) Have concerned populations and groups been involved and have theirinterests been adequately taken into consideration in project preparations ?
(3) Procedures
(a) How have environmental guidelines been used by the agency and how has therecipient government been taken into consideration?
(b) In which phases of the decision-making process has environmentalassessment been included?
(c) How have the beneficial and adverse environmental effects of the projectbeen integrated into the economic analysis of the project?
(d) Are the central authorities in the local government responsible for projectapproval aware of the environmental impact of the project and have theyapproved the environmental measures to be included?
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(4) Implementation
(a) How and by whom will the environmental impacts and mitigation measuresbe monitored during and after implementation?
(b) Have needed environmental measures been costed and are there adequate andrealistic assurances for their funding ?
B. CRITERIA FOR EVALUATING EIA REPORTS:(ADAPTED FROM ELKIN and SMITH, 1988)
(I) Administration
(a) Administrative reguirements: Does the report meet administrativerequirements?
(b) Rgquired contents: Does the report include all the required contents specifiedin TOR and "Operation Guidelines for EIA? Any deviation or exclusionsshould be explained and accounted for
(2) Effective communication
(a) Statement of 2urposc: Is there a clear concise statement of the purpose of theproject at the beginning of the report?
(b) Description of proiject activities: Are the proposed project activitiesadequately described to give readers an overall familiarity with the project?
(c) Description of the project setting: Is the description of the project settingsufficient to give readers a familiarity with local conditions? For example, isa map of the local area provided?
(d) Key issues: Does the report include a summary highlighting the mostimportant conclusions and major issues for decision making?
(e) Presation: Is the information presented in a comprehensive format, usingtables, maps, and diagrams to best advantage?
(f) Technical definitions: Are the technical terms clearly defined?
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(3) Identifying key concerns
(a) Key resources and uses: Does the report identify and discuss potentialimpacts in terms of those resources and uses considered important by
(i) the public(ii) national government(iii) national/ regional/ local environmental authorities(iv) non-governmental organisation?
(b) Ke activities: Are the activities identified which have significant impacts onthe key resources and uses?
(c) Does the report specifically address national environmental policies whichmay have direct implications for the project, its setting and proposedactivities?
(d) Reasons for importance: Does the report state and justify the reasons whythese resources and activities are considered (important (e.g. by references tonational laws and policies, public opinion, etc.)?
(e) Timing and duration: Does the report indicate precisely when specifiedproject activities will take place and for how long they will be continued?
(tf Geographic boundaries: Are the boundaries of the areas potentially affectedpresented? Are these boundaries appropriate? Do they take indirect impactsinto account?
(f) Social and administrative boundaries: Does the report specifically identifythose individuals and groups of people who will be impacted; and concernedgovemnment agencies and relevant policies?
(4) Looking at alternatives
(a) Examinin. ned: Does the report discuss project need (related to policy,socio-economic and ecological goals)?
(b) Altemnative means: have altemative means of achieving project goals beenconsidered? If not, does the report state why this was the case?
(c) Ng-o option: Does the report consider the option of not proceeding with theproject?
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(5) Collecting information
(a) Sources of information: Are the conclusions and recommendations based oninformation from specific sources? Are specific administrative documents.scholarly papers or consultations with "experts" or knowledgeable localpeople cited?
(b) Adequacy of information: Is there any basis for questioning the data cited tosupport conclusions?
(6) Describing baseline conditions
(a) Existing conditions: Does the report adequately describe existing conditionof key natural resources and land-uses as well as relevant social and policyissues of a local nature relating to the project?
(b) Natural fluctuations and human influence: Does the report identifyvariability due to natural fluctuations, for example seasonal variation inhabitat use; human influences such as pollution from existing activities? Thisenables separation of project impacts from changes due to other causes
(7) Predicting impacts
(a) Prediction methods and techniques: Does the report indicate on what basispredictions are made, e.g. case studies, models, literature, expert judgment,etc.?
(b) Assumptigns: Are the assumptions made in these methods clearly stated andjustified?
(c) Validity: Is there any basis for questioning the methods used in identifyingand measuring impacts?
(d) B.i: Is there undue emphasis placed on particular stages of the project,particular resources or particular beneficial or adverse impacts?
(e) Nature of im1paM Is each imnpact considered in terms of the followingfactors (where relevant): magnitude, severity, duration, frequency, risk anduncertainty, indirect effects?
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(f) Cumulative impacts: Does the report consider the cumulative impacts of theproject in respects to other past, ongoing and potential project in the generalregion?
(g) Proiect-caused impacts: Has an attempt been madc to isolatc project-generated impacts from other changes resulting from natural variabilityand/or activities not associated with the proposed project?
(h) ldentifying key impacts: Does the report identify the major impacts andspecify the rationale, criteria, or other bases supporting these judgments? Aresignificant ecological impacts related to the effects on such parameters asspecies populations, water and air quality, erosion, etc.? Arc significantsocial impacts related to the effect on particular interest groups?
(8) Managing and mitigating impacts
(a) Are e.g. following measures proposed to mitigate adverse environmentaleffects of the project:
gi) Could parts of the project be reduced or eliminated?(ii) Could impacted resources be repaired or rehabilitated?(iii) Could affected resources be replaced or compensated for?(iv) Could ongoing management procedures be instituted to reduce
damage?(v) Could project design, timing, equipment used or site management be
modified to reduce effects?(vi) Could effects be monitored, and provision made for future mitigation
when the exact nature and extent of effects are known better?
(b) Rationale for mitigating measurms: Does the report present rationale forselection of chosen mitigating measures?
(c) Feasibility: Are mitigating measures defined in specific. practical terns (i.e.costs. person-time, available equipment, timing, etc.) and evaluated foreffectiveness and impact on the physical environment?
(d) Residual impacts: Are there major residual impacts and does the report justifywhy these impacts are acceptable and cannot be mitigated?
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(9) Following up: surveillance, monitoring and project evaluation
(a) Monitoring programme and documentation: Is there recommendedsurvcillance and monitoring outlined as a specific programmc and reportingprocedure? For exampic, who carries out surveillance and monitoring, atwhat places and times; and what arrangements are made for reporting andfeed-back? Are there sufficient funds, technical expertise and facilitiesavailable for suggested monitoring? Is special funding, training orinstitutional and technical assistance needed?
(b) UnccrtainI: If uncertainty is recognised in the predicted impacts and/orassociated mitigating measures, does the monitoring programme address this?
(c) Need for Proiect Evaluation: Does the project document state the need forproject evaluation? On what basis? Does the report give recommendationson the timing, scope and expertise requirement for evaluation?
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Attachment -23
ENVIRONMENT APPRAISAL CHECKLIST
The Draft EIA will be reviewed to check the adequacy, especially for the following:
(1) Were the TORs followed ?
(2) Are the items required by the EA "Operational Guidelines" included?
(3) Is the Executive Summary adequate? Decision-makers may read only the summaly,therefore it must present the significant impacts (in order of importance), clarifyingwhich are unavoidable and which are irreversible; the measures which can be takento mitigate them; the cumulative effect of impacts; and the requirements formonitoring and supervision
(4) Are recommendations clearly stated in the Executive Summary?
(5) Is the project outline description complete, in so far as the aspects which can affectthe environment are concemed?
(6) Are project alternatives described?
(7) Is the baseline study section in the main report concise and useful to readers who arenot specialists in the scientific disciplines covered? Does the section give an overallpicture of present conditions and trends, and include ongoing and proposeddevelopment activities in the study area? Does it provide comments on the quality ofthe data and the completeness of the database?
(8) Is there consideration of probability in the section in which impacts are predicted andevaluated? Are potential impacts mentioned that were expected a priori but notfound? Are significant impacts analysed in more detail than less significant ones? Issufficient justification provided for dropping topics from further consideration?
(9) Do mitigating measures both control adverse impacts and enhance project benefits?Are the institutional arrangements for implementing the measures dlefined? Are thecosts of implementing all its recommendations adequately budgeted in the costtables?
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(10) Where monitoring programs are described, are the reasons for and costs of themonitoring activities covered? Is there a description of the institutional arrangementsfor carrying out the work, evaluating the results, and initiating any necessary actionto limit advcrse impacts disclosed by monitoring?
(I 1) Will the project be in compliance with the environment and social policy of IL&FS?
(12) Is there documentation of community involvement, including an overview of theissues raised and their disposition?
(13) In generaL is the report free of jargon, and are technical terms defined where theyoccur or in a glossary?
(14) Where existing databases. planning studies, other EAs, scientific papers, etc., areused as infonnation sources, are the references given?
(adapted from: World Bank EA Source Book Vol-I)
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Attachment-24
SUGGESTED PROJECT MONITORING/EVALUATION QUESTIONS(ENVIRONMENT-)
(ADAPTED FROM: CIDA, 1988)
(1) What were the environmental concerns discussed in EIA/project document?
(2) What are the actual environmental impacts?
(3) Are there unanticipated negativelpositive impacts on the environment?
(4) Were environmental concems justified? Were mitigation measures reasonable?Sufficient?
(5) Did annual project reviews change the substance of environmental mitigation?
(6) Were adequate resources assigned to the implementation of environmentalmitigation?
(7) Were the appropriate authorities involved?
(8) Were mitigation measures properly implemented at the site?
(9) Were the conditions stated in the project document complied with?
(10) What are the consequences of non-compliance, if any?
(I1) What are the costs/benefits of environmental mitigation?
(12) How could mitigation measures yet be improved upon a) in their substance, b) intheir implementation?
(13) Was monitoring and evaluation timely from the environment's perspective?
(14) Could recommendations be made to improve the mitigation of future project or theenvironmental assessment process?
(15) Other lessons learned?
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Atachment-25
SOCIAL APPRAISAL CHECKLIST
The Draft SIA, NDP and RAP will be reviewed to check the adequacy, especially for thefollowing:
(1) Were the TORs followed ?
(2) Are all the relevant social concems included?
(3) Is the Executive Summary adequate? Decision-makers may read only the summary,therefore it must present the significant impacts (in order of importance), clarifyingwhich are unavoidable and which are irreversible; the measures which can be takento mitigate them; the cumulative effect of impacts; and the requirements formonitoring and supervision
(4) Are recommendations clearly stated in the Executive Summary?
(5) Is the project outline description complete, in so far as the aspects which can affectthe social fabric?
(6) Are project alternatives described?
(7) Is the baseline study section in the main report concise and useful to readers who arenot specialists in the scientific disciplines covered? Does the section give an overallpicture of present conditions and trends, and include ongoing and proposeddevelopment activities in the study are? Does it provide comments on the quality ofthe data and the completeness of the database?
(8) Is there consideration of probability in the section in which impacts are predicted andevaluated? Are potential impacts mentioned that were expected a priori but notfound? Are significant impacts analysed in more detail than less significant ones? Issufficient justification provided for dropping topics from further consideration?
(9) Do mitigating measures both control adverse impacts and enhance project benefits?Are the institutional arrangements for implementing the measures defined? Are thecosts of implernenting all its recommendations adequately budgeted in the costtables?
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(10) Where monitoring programs are described, are the reasons for and costs of themonitoring activities covered? Is there a description of the institutional arrangementsfor carrying out the work, evaluating the results, and initiating any necessary actionto limit adverse impacts disclosed by monitoring?
(11) Will the project be in compliance with environmcntal and social policy of IL&FS onmatters, such as neighbourhood development and Resettlement?
(12) Is there documentation of community involvement, including an overview of theissues raised and their disposition?
(13) In general, is the report free of jargon, and are technical terms defined where theyoccur or in a glossary?
(14) Where existing databases, planning studies, other SAs, scientific papers, etc., are usedas infornation sources, are the references given?(adapted from: World Bank: EA Source Book: Vol-I).
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Attachment-26
SUGGESTED PROJECT MONITORING/EVALUATION QUESTIONS (SOCIAL)
(ADAPTED FROM: CIDA, 1988)
(1) What were the social concerns discussed in SIA/project document?
(2) What are the actual social impacts?
(3) Are there unanticipated negative/positive impacts on the social fabric?
(4) Were social concerns justified? Were mitigation measures reasonable? Sufficient?
(5) Did annual project reviews change the substance of NDP/RAP?
(6) Were adequate resources assigned to the implementation of NDP/RAP?
(7) Were the appropriate authorities involved?
(8) Were mitigation measures properly implementcd at the site?
(9) Were the conditions stated in the project document compiled with?
(10) What are the consequences of non-compliance, if any?
(11) What are the costs/benefits of NDP/RAP?
(12) How can mitigation measures be improved upon a) in their substance, b) in theirimplementation?
(14) Was monitoring and evaluation timely from the social perspective?
(15) Could recommendations be made to improve the mitigation of future project or thesocial assessment process?
(16) Other lessons leamed?
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Attachment-27
GUIDELINES TO CREATING A RISK ASSEiSSMENT CHECKLIST
The following are steps and issues that IL&FS will consider in preparing a RISKASSESSMENT checklist to use when assessing the risks involved in their projects
Steps and issues to be considered in preparation of a checklist
* CR = refers to review of the client* PR = refers to review of the project
The checklist should be framed such that the following has to be described:
(1) Description of proposed developments: distinguish between different stages in theproposed development (eg. construction and operating phases). - PR
(2) Description of existing and projected environmental conditions. - CR and PR
(3) Assessment of probable impact of development.- PR
(a) assess magnitude of impact (in present and future conditions)
- impacts on pristine natural areas, ecosystems, cultural- impacts on land- impacts on air- impacts on water- impacts on surface and ground water quality- impacts on biological diversity- impacts on endangered species- logging of tropical rainforests- radical changes in land use- noise and vibration levels- emissions- release of effluents- natural hazards- public health and safety- visual impacts- erosion-soil quality- aesthetic impacts- local traffic- eradication or significant depletion of unique or valuable habitats- disruption of area drainage patterns- promotion of downstam flooding due to siltation- solid waste generation- migratory species- aquatic ecosystem
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Sociil
- impacts on indigenous peoples- involuntary or major resettlements- serious socio economic concerns- induced (secondary) development- community fabric and cultural practices disrupted- trades/occupations/livelihoods affected- radical changes in lifestyle- impact on host communities, in case of resettlement
(b) Undertake a site assessment
Undertake an environmental risk analysis (environmental audit) of theactivity or real estate to be developed if there is anything to suggest that thismight be necessary. Questions to ask include the following:
- Do the existing machines and systems meet today's legal and technologicalrequirements?
Have the necessary permits been obtained for all machinery in its presentstate?
Are official proceedings pending? Were there any in the past or are theylikely to be any in the future?
Does the production process cause problems or have there been problems inthe past?
Does the appearance of the company site in itself give reasons for concem?
Has a soil survey been conducted?
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What contamination is there on the site (is there anything to suggest thepresence of environmentally hazardous substances, such as rusty drums, leakytanks, and so on)?
Are there any records of previous activities on the site, or records of formerowners or tenants and their activities? Do these refer to problems such asasbestos, PCBs, trichlorethylene, heavy metals, landfill activities or othersuch substances or activities?
Is there any history of disputes with neighbours?
What tightening up of regulations is expected in the future, and how will thisaffect operational costs?
What risks of accidents are there in, for example, the handling of hazardoussubstances?
1What arrangements are made for liability issues, in particular:
Product liability
Liability in the case of negligence or intent
Establishing the burden of proof
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(4) Compliance with other environmental plans, policies and controls. - CR and PR
(a) Assess prior compliance record by
- looking into items of non-compliance with national/local laws andregulations on the part of the client in prior projects
(b) Assess likely compliance of development with existing and proposed controlsby
checking if the project has all applicable environmental permits,keeping in mind project specific parameters such as changes in landuse, liquid effluents, air emissions
by keeping in mind the risks of a change in environmental thresholdlimits
anticipating stricter amendments in the local laws/regulations andnew constraints on future investment
(5) Review of alternatives to and in the proposed development.- PR
(a) assess the project needs related to policy, socio-economic and ecologicalgoals
(b) look into whether alternative means of achieving project goals have been* considered
(c) parameters will be demand, activity, location, processes, design, scheduling,raw materials
(6) Level and extent of public participation - PR
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