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Environmental and Social Management System

(ESMS)

Punjab Public Private Partnership Cell (PPP Cell)

December 2018

This document presents an ESMS for the PPP projects to be financed by ADB under the ‘Enhancing Public

Private Partnership in Punjab Program’, approved by the PPP Steering Committee in their 39th meeting held

on 17.12.2018

Table of Contents

1 Background ..................................................................................................................... 9

2 Environmental and Social Policy of Punjab PPP Cell ................................................... 12

3 Legal and Policy Framework ......................................................................................... 15

3.3.1 National & Provincial Environmental Legislation .......................................... 15

3.3.2 Environmental Safeguards in the PPP Policy and Legal Framework ........... 17

3.4 Other Environment Related Legislations ............................................................. 20

3.4.2 Involuntary Resettlement ........................................................................... 20

3.4.3 Indigenous Peoples ..................................................................................... 25

3.4.4 Addressing Gender Issues in Environment and Social Safeguards Management ................................................................................................. 25

3.4.5 Incorporating Social Dimensions and Social Protection in ESMS................. 26

4 Organizational Responsibilities, Resources and Capacity ............................................. 27

4.1.1 PPP Steering Committee ........................................................................... 27

4.1.2 Punjab PPP Cell ......................................................................................... 28

4.1.3 Risk Management Unit ................................................................................ 29

4.1.4 PPP Nodes ................................................................................................ 30

4.1.5 Punjab Environmental Protection Agency (PEPA) ....................................... 34

4.2.1 Punjab PPP Cell ......................................................................................... 34

4.2.2 Selected PPP Nodes ................................................................................. 34

5 Operational Procedures for Environmental and Social Compliance ............................... 35

5.3.1. Punjab EPA Requirements ......................................................................... 45

6 References ................................................................................................................................... 49

ANNEXURES ........................................................................................................................................ 50

ANNEXURE – I: ADB Safeguard Policy Statement .............................................................................. 51

ANNEXURE – II: INDICATIVE LIST OF MEA’s, LEGISLATION AND GUIDELINES APPLICABLE TO PUNJAB ........................................................................................................................................ 60

ANNEXURE – III: PEPA - PROJECTS REQUIRING AN IEE ............................................................... 64

ANNEXURE – IV: PEPA - PROJECTS REQUIRING AN EIA .............................................................. 66

ANNEXURE – V: PROCEDURAL AND SECTORAL GUIDELINES FOR ENVIRONMENTAL ASSESSMENT ............................................................................................................................. 69

ANNEXURE – VI:ADOPTION OF ENVIRONMENTAL ASSESSMENT CHECKLISTS AND GUIDELINES ---------------------------------------------------------…………………………………………70

ANNEXURE VII:PUNJAB ENVIRONMENTAL QUALITY STANDARDS ............................................. 81

Annexure – VIII: PEPA & ADB Project Environmental Assessment Guidelines…………………… ….94

Annexure – IX: ADB’s Social Protection Requirements ........................................................................ 98

ANNEXURE – X: ToRs for ESMS Focal Person - PPP Cell ................................................................. 99

ANNEXURE – XI: ToRs for Environment Specialist-PPP Cell ........................................................... 100

ANNEXURE – XII: ToRs for Social Safeguards Specialist-PPP Cell ................................................. 102

ANNEXURE – XIII: ToRs for Gender Specialist-PPP Cell .................................................................. 104

ANNEXURE – XIV PROHIBITED INVESTMENT ACTIVITIES LIST (PIAL) ...................................... 105

ANNEXURE – XV: ADB ENVIRONMENTAL ASSESSMENT CHECKLISTS FOR DIFFERENT PROJECT TYPES ...................................................................................................................... 107

ANNEXURE – XVI: INVOLUNTARY RESETTLEMENT IMPACT CATEGORIZATION ..................... 122

ANNEXURE – XVII: INDIGENOUS PEOPLES IMPACT CATEGORIZATION ................................... 124

ANNEXURE – XVIII: OUTLINE OF A RESETTLEMENT PLAN FOR PROJECTS ............................ 127

ANNEXURE – XIX: OUTLINE OF AN INDIGENOUS PEOPLES PLAN FOR PROJECTS ............... 131

ANNEXURE – XX: SUGGESTED OUTLINE OF ENVIRONMENTAL AND SOCIAL DUE DILIGENCE REPORT ..................................................................................................................................... 134

ANNEXURE – XXI: SUGGESTED SCOPE FOR AN ANNUAL SOCIAL SAFEGUARDS ................. 136

ANNEXURE- XXII: GRIEVANCE REDRESSAL MECHANISM .......................................................... 136

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List of Figures

Figure 4.1: Institutional Framework For PPP's in Punjab………………………………..…31

Figure 4.2: Structure of PPP Cell w.r.t. ESMS ................................................................. 32

Figure 4.3: Structure of GRM ........................................................................................... 33

Figure 5.1: Procedure Flow – Project Categorization & Preparation ............................. 40

Figure 5.2: Expected Timelines for Category wise Environmental Approvals………… 42

Figure 5.3: Reporting Requirement and Monitoring Arrangements………………………43

Figure 5.4: Procedure Flow – Social Management ......................................................... 44

List of Tables

Table 2.1 ESMS’s Policy Principles and Mitigation Actions ......................................... 12 Table 3.1: Land Acquisition Procedure as per LAA 1894 ............................................... 21 Table 3.2: Eligibility and Entitlements for the persons affected by PPP Cell Projects. 22 Table 5.1: Safeguards Categorization of Proposals for PPP Cell Support .................... 36 Table 5.2: ESMS Requirements ........................................................................................ 36

Acronyms

ADB

AFs

BoR

BoD

CAP

DDR

DP

EIA

EMP

EPC

ESMS

E&S

FI

FPIC

GoP

Asian Development Bank

Affected Families

Board of Revenue

Board of Directors

Corrective Action Plan

Due Diligence Report

Displaced Person

Environmental Impact Assessment

Environmental Management Plan

Environmental Protection Council

Environment & Social Management System

Environment and Social

Financial Intermediary

Free, Prior and Informed Consent

Government of Pakistan

GoPb Government of Punjab

GRM

IA

IEE

ICP

IFI

ILO

IP

IPP

IR

LAA

LARP

NGO

NOC

PD

PDF

P&DD

PIAL

PMU

PPP

Grievance Redressal Mechanism

Implementing Agency

Initial Environmental Examination

Informed Consultation and Participation

International Financing Institution

International Labor Organization

Indigenous People

Indigenous People Plan

Involuntary Resettlement

Land Acquisition Act 1894

Land Acquisition and Resettlement Plan

Non Government Organization

No-Objection Certificate

Project Director

Project Development Facility

Planning and Development Department

Prohibited Investment Activities List

Project Management Unit

Public Private Partnership

REA

RMU

SC

SDDR

PEPA

PEQS

PPP Cell

SPS

TRTA

VFM

VGF

Rapid Environmental Assessment

Risk Management Unit

Steering Committee

Specific Due Diligence Report

Punjab Environment Protection Agency

Punjab Environment Quality Standards

Punjab PPP Cell

Safeguard Policy Statement

Transaction Technical Assistance

Value for Money

Viability Gap Fund

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Glossary

The Act means the Punjab Environmental Protection Act (Amended), 2012.

Displaced Persons In the context of involuntary resettlement, displaced persons are those

who are physically displaced (relocation, loss of residential land, or loss of shelter) and/or

economically displaced (loss of land, assets, access to assets, income sources, or means of

livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on

land use or on access to legally designated parks and protected areas.

Due Diligence is a process of investigation/audit, performed by Nodes, into the details of a

potential project, such as an examination of operations and management and the verification

of material facts, especially from the Environment and Social safeguards point of view.

Gender Responsive/Gender-Inclusive means different needs and priorities of women and

men have been considered, and efforts have been made to ensure that they participate in and

equally benefit from development activities.

Grievance Redress Mechanism will be established at project level to facilitate amicable and

timely resolution of complaints and grievances of the stakeholders including local communities

regarding social, environmental, and resettlement aspects of the projects.

HSE Health, Safety and Environment – reference to applicable national and international

standards on health, safety and environment (e.g PEQS, WHO standards on Noise and air

quality etc.).The Punjab PPP Cell is responsible for building awareness, maintaining and

monitoring and enforcing application of these standards.

Involuntary Resettlement refers to social and economic impacts that are permanent or

temporary and are (i) caused by acquisition of land and other fixed assets, (ii) by change in

the use of land, or (iii) restrictions imposed on land as a result of a project operation.

Indigenous Peoples are groups with social or cultural identities distinct from that of the

dominant or mainstream society as defined in the section ‘Indigenous Peoples’ of the ADB

SPS 20091.

Indigenous Peoples Plan (IPP) is a project specific set of plans with respect to Indigenous

People impacted or potentially impacted by project operations. IPP promotes the (i)

participation of Indigenous People in project preparation and implementation; (ii) ensures

benefit from development interventions that affect Indigenous People, and (iii) provides

effective safeguards against adverse impacts.

PPP Node is a focal point within each Government Agency / Department of the Government

of Punjab, responsible for developing a PPP project in its specific sector.

The Regulations means the Pakistan Environmental Protection Agency (Review of Initial

Environmental Examination and Environmental Impact Assessment) Regulations, 20002.

Voluntary land transactions refer to market transactions in which the seller is not obliged to

sell and the buyer cannot resort to expropriation or other compulsory procedures if

negotiations fail.

Project means a public project implemented on PPP basis.

1 Para 23, Page 7 of ADB SPS 2009. 2 This ESMS will be used in the light of all applicable statutes, regulations, rules, orders, restrictions and controls

as amended, supplemented or modified from time to time

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1. Background 1.1. Overview

The Government of the Punjab (GoPb) requested the Asian Development Bank (ADB) to develop ‘Enhancing Public–Private Partnerships (PPP) in Punjab’ Program, which aims to develop financially sustainable and fiscally responsible PPPs in Punjab. The project outputs are (i) project development fund (PDF) and viability gap fund (VGF) resources for PPP projects augmented, and (ii) PPP institutional capacity enhanced and strengthened. The project builds on ADB’s partnership with Government of Pakistan (GoP) and GoPb to develop financially sustainable and fiscally responsible PPP projects that offer value-for-money (VfM).

The program will help address the deficiencies in the financing resources of GoPb to support more commercially viable PPP projects but more importantly, the program will help address the identified capacity gaps to ensure selected PPP projects offer value-for-money (VfM).The proposed institutional arrangement for managing VGF resources will put in place strong corporate governance, risk controls and an environmental and social management system to effectively manage the approval, allocation and monitoring of VGF resources to support and deliver more fiscally responsible PPP projects in Punjab.

1.2. Scope and Applicability of ESMS

The Punjab PPP Cell is an environmentally and socially responsible entity and has established a structured and systematic mechanism to address environment and social requirements as a core function of its management system. This shall ensure that the PPP Cell’s financing activities would avoid, minimize and/or manage adverse environment and social impacts and enhance any positive impacts. The PPP Cell’s environment and social policy and principles adhere to the requirements of national legal and regulatory and internationally ratified conventions and agreements. It also helps establishing a good reputation of the PPP Cell among donors, civil society, Nodes and other national and international stakeholders to ensure its E&S practices are in line with international standards and international best practices such as ADB safeguard requirements for Financial Intermediaries (FIs). In addition to this, the PPP Cell shall also comply with environment and social policies of the respective financing source(s).

For projects involving investment of funds from different financing source(s) to or through FIs, this environmental and social management system (ESMS) has been established and maintained by the PPP Cell as part of its overall management system to meet national laws and/or financing source(s) requirements for FI projects.This ESMS fulfills that requirement.

The ESMS defines safeguard requirements pertaining to various project types, identifies different applicable national legal requirements relevant to these safeguard requirements, outlines internal procedures to be adopted in meeting these safeguard requirements and provides guidelines on what needs to be done by the project proponent/ node.

1.3. Approach towards developing ESMS

PPP Cell has employed an efficient and effective approach in developing this ESMS that is compatible with international environment and social safeguard standards and best practices such as ADB safeguard requirements for FIs that entail: (i) collation of

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relevant national legal and regulatory requirements, and international ratified conventions and agreements, (ii) consultations with potential donors and Nodes for developing a draft ESMS, (iii) deliberations on draft ESMS, and (iv) finalizing the draft ESMS in line with the comments/feedback.

1.4. ESMS Defined

This ESMS defines policies, principles, procedures, institutional arrangements and its financing operations for managing the adverse environmental and social impacts and associated risks that may result out of PPP projects. The PPP Cell has established this ESMS as a part of its overall management system to meet E&S related national laws and regulations, and international conventions and agreements as well as international best practices such as ADB requirements for FIs.

The ESMS has the following elements: (i) environmental and social policies that clearly articulate the PPP Cell’s commitment to environment, social (E&S), indigenous people and gender mainstreaming objectives and principles based on applicable national E&S laws and regulations and international ratified applicable conventions and agreements that guide the PPP Cell to achieve sound E&S performance, (ii) screening for identification of E&S risks and impacts, and categorization of projects based on nature of activities, scale of operations, technology, locations, significance and severity of E&S risks and impacts, (iii) development of procedures to systematically and fully mitigate the identified risks and impacts, (iv) institutional arrangements including organizational structure and staffing with appropriate skills and competencies in ESMS and institutional accountability by defining roles and responsibilities, (v) gender responsive GRM, and (vi) gender inclusive monitoring and reporting procedures.

1.5. Outcome of ESMS

The expected outcomes of this ESMS are as follows:

Enhancement of environmental and social performance;

Fulfillment of compliance obligations;

Achievement of environmental and social management objectives.

1.6. Structure of ESMS

The ESMS comprises a main volume and an annex volume. The main volume includes separate sections that provide the following:

(i) Background of ESMS (this section); (ii) Policies and principles on social and environment core values of the PPP Cell for

the management of environment and social risks and impacts; (iii) Description of E&S safeguard requirements of national and provincial laws and

regulations, international ratified conventions and agreements and safeguard policies of FIs;

(iv) Standard operating procedures that PPP Cell will follow to address E&S safeguard requirements, e.g. project screening and categorization based on E&S risks and impacts, and assessing, avoiding, minimizing and/or managing them, development of supporting tools and guidance material; and

(v) Organizational arrangements to ensure institutional accountability, by defining roles and responsibilities, capacity-building through training and technical

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assistance in the use of supporting tools and guidance material, internal audits, monitoring and reporting, annual external audits and disclosure of audit reports.

1.7. Continual Improvement of ESMS

The PPP Cell will continually improve the ESMS through periodic reviews and update, particularly when existing legal requirements are modified or new legislation is introduced. The annual review and revision (if any) will be the responsibility of the PPP Cell.

1.8. Training and Capacity Building

The PPP Cell shall take all necessary measures to:

(i) Develop the capacity within the PPP Cell and PPP Nodes to manage public–private partnership projects;

(ii) Ensure effective project implementation and results monitoring; and (iii) Support awareness and capacity building workshops, training and consultations with

project stakeholders from the public and private sectors.

Capacity building will be carried out in the area of review and monitoring of environmental and social safeguards for category ‘A’ and category ‘B’ projects. Certain financing sources might choose to provide support in capacity development through providing experts to conduct trainings and arrange exposure visits etc. for the focal safeguards staff at the PPP Cell and PPP Nodes.

The proposed loan will be accompanied by a transaction technical assistance (TRTA) to address skill and resource gaps in the relevant government agencies. The scope of the TRTA is detailed in the Technical Assistance Report.3

3.ADB. 2017. Technical Assistance to the Islamic Republic of Pakistan for Enhancing Public-Private Partnerships

in Punjab. Manila.

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2. Environmental and Social Policy of Punjab PPP Cell (PPP Cell)

2.1. Policy Statement

The PPP Cell at all levels is fully committed to promoting sustainability in all its business operations by effectively managing environmental and social risks, impacts and ensuring gender equality and enhancing beneficial impacts through implementation of the following policy principles:

Comply with applicable national and international environmental and social laws and international ratified conventions and agreements (Annexure II) and ensure their adequate integration in financing contractual agreements of all Nodes to ensure compliance in planning, designing and construction/implementation of projects.

Avoid, minimize/protect and/or mitigate, and fully compensate negative environmental (including health and safety) and social impacts in its operations and risks to the social and physical environment, particularly to eco-sensitive and culturally important areas and people who may be affected through financing projects.

PPP Cell adheres to social inclusion and gender equality and equity. Communicating E&S policy and principles to all staff, potential Nodes, affected

persons and external stakeholders, including both men and women and ensure transparency in implementation of ESMS;

No financing to projects with high risks that would cause heavy and irreversible/harmful social and environment impacts.

Encourage the development of projects eligible for consideration for green financing4.

2.2. Policy Principles for Environment and Social Management

The policy principles and actions required to mitigate E&S impacts are based on best practices and elaborated in Table 2.1 below.

Table 2.1 ESMS’s Policy Principles and Mitigation Actions

S.No Principles in Environment and Social Management

Actions

1 Environmental and Social Management System (ESMS)

Screening for identification of E&S risks and impacts and categorization of subprojects based on nature of activities, scale of operations, technology, locations, significance and severity of E&S risks and impacts;

Development of procedures to systematically and mitigate the identified risks and impacts,

Institutional arrangements including organizational structure and staffing with appropriate skills and competencies in ESM

4Green finance refers to any financial instrument or investment – including equity, debt, grant, purchase & sale or

risk management tool (for example: investment guarantee, insurance product or commodity, credit or interest rate derivative, etc.) – issued under contract to a firm, facility, person, project or agency, public or private, in exchange for the delivery of positive environmental externalities that are real, verified and additional to business as usual, whereby such positive externalities result in the creation of transferrable property rights recognised within international, regional, national and sub-national legal frameworks.

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and institutional accountability by defining roles and responsibilities,

Gender inclusive and responsive stakeholder consultations in its operations as well as Nodes, and disclosure of environment and social safeguard instruments, and their internal and external audit reports through appropriate means of communication e.g. websites, disseminationto institutional stakeholders and affected persons/communities through localized means of communication.

Gender inclusive monitoring/auditing reviews and reporting procedures.

2 Land Acquisition and Involuntary Resettlement

Refers to both physical displacement (relocation or loss of shelter) and economic displacement (loss of assets or access to assets that leads to loss of income sources or means of livelihood) as a result of project-related land acquisition;

Does not apply to physical or resettlement resulting from voluntary land transactions;

Avoid, minimize, mitigate or compensate for adverse social and economic impacts irrespective of the ownership status either titled or non-titled owner from land acquisition or restrictions on land use through the process of social and environmental assessment and no forced evictions will be carried out;

Pay compensation and provide other resettlement entitlements before physical or economic displacement.

3 Indigenous Peoples Identification of all impacts (positive & negative) on IPs; social assessment, informed consultation and Participation (ICP) to Indigenous Peoples’ Development Plan (IPDP);

Anticipate and avoid, or when avoidance is not possible, minimize and/or compensate subproject adverse impacts on communities of Indigenous Peoples; and

Applies to subprojects that impact individuals or communities that meet the definition of Indigenous Peoples, determination of which may require Free, Prior and Informed Consent (FPIC).

4 Social Inclusion, Gender Equality and Equity

Protects human rights of men, women and children and complies with national and international human rights standards, treaties, and due diligence practices in this regard.

The PPP Cell will protect discrimination against women that could limit equal opportunity and will also develop a specific mechanism to monitor men and women participation in, decision-making and in accessing benefits.

Ensure protection of men, women and children against violence.

5 Labor and Working Conditions

Comply with national labor laws and internationally recognised ILO Core Labor Standards as follows:

Promote the fair treatment, non-discrimination, and equal opportunity of workers for both men and women;

Establishes, maintains and improves worker- management relationship;

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Addresses child labour, forced labour, migrant workers, workers engaged by third parties, and workers in the client’s supply chain; and

Promotes safe and healthy working conditions and practices

6 Consultation, Communicaiton and Information Disclosure

PPP Cell is committed to carry out gender inclusive and gender responsive stakeholder consultations in its operations as well as Nodes, and disclosure of environment and social safeguard instruments, and their internal and external audit reports through appropriate means of communication e.g. websites, dissemination to institutional stakeholders and particularly with affected persons/communities through localized means of communication.

Information dissemination to internal and external stakeholders regarding the PPP Cell policies and Principles.

Ensure disclosure of ESMS and environment and social documents prepared by Nodes including internal and external audit reports.

7 Cultural Property and Heritage

Recognizes the importance of cultural property and heritage for current and future generations, consistent with the Convention Concerning the Protection of the World Cultural and Natural Heritage; and

Seeks to guide Nodes in identifying and protecting cultural heritage in the course of project design and execution.

8 Biodiversity Conservation and Natural Resource Management

Includes protection, conservation and sustainable management of biodiversity and living natural resources;

Maintain the benefits from ecosystem services; and

Evaluate primary suppliers’ risk of significant conversion of natural and/or critical habitats.

9 Pollution Prevention and Abatement and Climate Change

Addresses pollution prevention and management of impacts arising from project activities;

Ensures conformance with global good practice and standards;

Promote more sustainable use of resources; and

Ensures that climate change issues associated with project activities are assessed, mitigated and monitored.

10 Community Health, Safety and Security

Seeks to avoid or minimize the risks and impacts to affected Community health, safety and security that may arise from project activities.

The project’s direct impacts on priority ecosystem services may result in adverse health and safety risks and impacts to affected communities;

Ensures that the safeguarding of personnel and property is carried out in accordance with relevant human rights principles and in a manner that avoids or minimizes risks to the Affected Communities; and

Includes special requirements related to the safety of dams associated with projects.

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3. Legal and Policy Framework 3.1. Overview

The PPP Cell’s project pipeline contains projects that may require acquisition of private land and assets, thereby causing physical as well as economic displacement of men and women within the project boundaries. The E&S impacts of projects, whether significant or insignificant will be effectively managed during the project lifecycle to enable the displaced persons (DPs) in improving their living conditions or atleast restoring them to a pre-project situation, if not improved. The ESMS adopts a systematic safeguards management approach that is expected to ensure smooth and effective projects planning and implementation.

3.2. Applicability of Donor and IFI E&S Policies

It is expected that the PPP Cell may receive financing from various IFIs and donor agencies. Funding has been received from the Asian Development Bank (ADB) for the New VGF managed by PPP Cell. Related to this, the ADB Safeguard Policy Statement (2009) provided as Annexure I is to be complied with.

Safeguard Policies and Social Standards of other IFIs whose financing may be requested for PPP projects could be added to the ESMS, if and when required.

It is also understood that for projects that do not require financing from IFIs or other donors, the PPP Cell would only be required to comply with the relevant national standards and regulations.

3.3. Environment Safeguards

There are several project-related environmental impacts for which safeguards are essential. These impacts include direct, indirect, cumulative and induced impacts in the project’s area of influence as well as transboundary impacts.

Each project needs to be scrutinized as to its type, location, scale, and sensitivity and the magnitude of its potential environmental impacts. Environmental impacts include those related to the natural environment (air, water, and land), human health and safety, and transboundary and global environmental aspects.

Environmental safeguards, policies and requirements, seek to avoid, minimize or mitigate adverse environmental impacts.

3.3.1. National & Provincial Environmental Legislation

Pakistan in general, and Punjab in specific, has a fairly reasonable Country Safeguard System. After the 18th Constitutional Amendment in 2010, environment as a subject has been fully devolved to the provinces; hence making the environmental legislation a provincial responsibility.

Accordingly, the GoPb has amended the Punjab Environmental Protection Act, 20125 (the Act) on the 18th of April 2012 and notified the rules and regulations for environmental

5.http://epd.punjab.gov.pk/system/files/pepa_2012_0.pdf

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assessment and management in the province. Recently, it has also notified the Punjab Environmental Quality Standards (PEQS) on the 15th of August 20166.

In addition to the provincial legal framework, environmental safeguard policies, principles and protocols of IFIs and DFIs need to also be complied with, especially if the private sector partner intends to approach these institutions for Project Finance or project related corporate loans. However, there is an increasing willingness by the IFIs to use country safeguard systems (through equivalence assessment) to the extent possible,and build countries’ capacity in implementing their own environmental safeguards.

i. Punjab Environmental Protection Act (Amended), 2012

This is the principal provincial legislation dealing with environment with the purpose of providing for protection, conservation, rehabilitation and improvement of the environment, prevention and control of pollution, and promotion of sustainable development.

Section 3(1) of the Act requires the establishment of an Environmental Protection Council (EPC), which is meant to be the apex authority with regards to the coordination and supervision of enforcement of the provisions contained in the Act (Section 4(1a)).

In addition to the above, the EPC has other wide ranging powers and functions (refer to Section 4 of the Act for complete powers and functions of the EPC) such as approving environmental guidelines and policies and ensuring their implementation etc.

Section 5 of the Act requires the establishement of the Punjab Environmental Protection Agency (PEPA), while Section 6 provides details of the functions of the Agency.

Section 12(1) of the Act requires all project proponents to file an Initial Environmental Examination (IEE), Environmental Impact Assessment (EIA) or IEE Performa, whichever is applicable as per Schedule I or II of the Regulations with PEPA before commencing construction or operations.

The PEPA will review the IEE, or may ask the proponent to make a presentation on the IEE, and accord its approval subject to such conditions as it may deem fit to impose, or will require submission of an EIA report by the proponent if the project is perceived to have significantly adverse environmental impacts.

In the case of EIA, after reviewing the EIA study, PEPA can accord its approval subject to such conditions as it may deem fit to impose and require that the EIA be re-submitted after such modifications as may be stipulated, or can reject the project as being contrary to environmental objectives (Section. 12(2(b))).

The Provincial Agency shall communicate its approval or otherwise within a period of four months from the date of the initial environmental examination or environmental impact assessment is filed, complete in all respects in accordance with the prescribed procedure, failing which the initial environmental examination or, as the case may be, the environmental impact assessment shall be deemed to have been approved, to the extent to which it does not contravene the provisions of this Act and the rules and regulations made thereunder (Section 12(4)).

6.https://www.agaportal.de/_Resources/Persistent/2f057ea3def802dbc79280a4339d4aef4c958fd0/ESIA% 20Pakistan%20Gas%20Dampfkraftwerk.pdf

https://www.agaportal.de/_Resources/Persistent/2f057ea3def802dbc79280a4339d4aef4c958fd0/ESIA%25

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The contravention of the Sections 11,12,13 or 16 or any order issued thereunder shall be punishable with fines which may extend to to five million rupees and an additional fine up to one hundred thousand rupees for every day during which such contravention or failure continues (Section 17).

The Act has been enacted along with the relevant provincial rules, regulations and Environmental Quality Standards for the Punjab province. An indicative list of multilateral environmental agreements, national and provincial laws, rules, regulations, standards, guidelines, operations manuals and codes of practice applicable to Punjab province is provided as Annexure II.

ii. Pakistan EPA Review of IEE and EIA Regulations, 2000

The Regulations categorize the projects according to the anticipated severity of adverse environmental impacts. The activities listed under Schedule I require an IEE and the activities listed under Schedule II require an EIA .The Schedules I & II are given as Annexures III, and IV respectively.

If any project is located in an ‘environmentally sensitive area’ as declared by PEPA, the proponent will have to submit an EIA, irrespective of its categorization under any of the Schedules.

The regulations also provide instructions on filing environmental reports, review fees, scrutiny process, public participation, review, forums for review and approval, environmental approval, conditions of compliance including the Environmental Management Plan (EMP) and inspection and monitoring.

The Regulations should be read in conjunction with the guidelines issued by the PEPA for preparation and review of environmental reports, public consultation, and undertaking projects in sensitive and critical areas. Additionally, PEPA may also issue such guidelines from time to time.

iii. For projects/sub projects does not covered under PEPA Review of IEE/EIA Regulations, 2000, Punjab EPA has adopted EPA-NWFP and EPA-Balochistan’s Environmental Assessment Checklists and Guidelines vide Notification No.1 (1)2003-Dir (EIA) under subject “Adoption of Environmental Assessment Checklists and Guidelines” (copy of notification is attached as Annexure VI).For all those projects/sub projects, this ESMS will be used as per notification attached as Annexure VI.

iv. Punjab Environmental Quality Standards Following enactment of the Act and notification of the Regulations and other

relevant rules, the GoPb notified the PEQS on 15th of August, 2016. These standards have been added as Annexure VII.

The standards set allowable limits of different parameters for liquid effluents, gaseous emissions and noise levels. These are key elements of environmental assessment of any activity or project.

3.3.2. Environmental Safeguards in the PPP Policy and Legal Framework

i. National Policy

Under the Pakistan Policy on Public Private Partnerships, environmental due diligence for government-originated project is to be undertaken by the Transaction Advisor

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at the third step of the cycle. The Policy also binds the PPP transactions to ensure public health, safety, social safeguards and protection of environment. However, no guidelines have so far been developed at the national level to facilitate environmental safeguard compliance in the public private partnership infrastructure projects. This underlines the need for alignment and sufficient integration between the policy decisions implemented at national and provincial levels.

ii. Punjab PPP Policy, 2009

The PPP Policy aims to include the promotion of social development and inclusive economic growth, protection of environment and interests of all stakeholders, which the policy aims to achieve by complying with relevant laws and regulations of Punjab and Pakistan and ensuring fairness, transparency and access to information. Prior to submitting PPP proposals, the policy requires undertaking feasibility studies (including environment and social impact assessments), obtaining the necessary approvals from Punjab Environment Protection Agency (PEPA) for IEEs and EIAs and acquiring land using the Punjab Land Acquisition Rules 1983 and Pakistan’s Land Acquisition Act of 1894. Environment assessment and its approval being a condition precedent to the effectiveness of the Concession Agreement, the PPP nodes are required to ensure environmental approvals from EPA but the land acquisition is not always consistent with the requirements of ADB’s SPS 2009.

iii. Punjab Public-Private Partnership Act, 2014

The PPP act shall be applied to PPP projects implemented through PPP for the following sectors as per First Schedule of the Act7:

Canals or dams;

Education facilities;

Health facilities;

Housing;

Industrial estates;

Information technology;

Land reclamation;

Mining;

Power generation facilities;

Roads (provincial highways, district roads, bridges or bypasses);

Sewerage or drainage;

Solid waste management;

Sports or recreational infrastructure, public gardens or parks;

Trade fairs, conventions, exhibitions or cultural centers;

Urban transport including mass transit or bus terminals;

Water supply or sanitation, treatment or distribution;

Wholesale markets, warehouses, slaughter houses, or cold storages, grain silos and

7.The Government may, by notification in the official Gazette, amend the Schedule

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street lights etc.;

Livestock and Dairy Development;

Food processing, Testing, Certification & other food related projects;

Tourism and Resort development;

Forestry, Wildlife & Fisheries;

Public Buildings and Offices; and

Urban Services.

The Act states that:

Section 9(4) – a project proposal should include an initial environmental examination or environmental impact assessment;

Section 15 (3f) - environmental impact assessment should be part of bidding documents;

Section 17 (2) – on receipt of bids, the Government Agency shall assess environmental responsiveness of the bid, and shall reject non-responsive bids;

Section 20 (2, 3, and 5) – unsolicited proposals shall be accompanied by environmental impact statement. The Government Agency should consider all aspects of those proposals including environmental safeguards;

Section 22 (2f) – the draft PPP agreement shall include environmental and safety requirements (as applicable);

Section 33 (f) – the Government may prescribe the mode of conducting public hearings and consultation with stakeholders;

iv. Punjab PPP Policy, 2009

The PPP policy underlines the Government’s commitment to ensuring transparency and developing institutional support within the public sector to respond effectively to the private sector partners. The policy also lays out our intention to develop a cross-departmental PPP institutional framework to undertake PPP projects in various sectors.

The PPP Policy (Para 21) states that it puts great weight on safeguarding public interest and consumer rights by:

Safeguarding the interests of end users in local communities, particularly those belonging to the vulnerable groups;

Ensuring public health and safety; Protecting the environment; Providing adequate protection of end users' rights to privacy; Providing information to the public about the obligations of the private sector and the

Government;

Para. 59. The policy lists environmental sustainability of PPP projects among the project preparation objectives.

Para. 65. The preparation will consist of a feasibility study, supplemented by an initial environmental examination, and environmental impact assessment (if required);

Para. 71. During the first phase of the PPP Node Bid evaluation, the technical, operational, environmental and commercial soundness of the bids will be assessed.

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3.4. Other Environment Related Legislations

3.4.1. Social Safeguards

Infrastructure development projects that tend to or cause change in patterns of use of land and, water and other natural resources may entail adverse impacts on people who use these resources for their livelihoods. Often the projects involve expropriation of land and assets that affect housing, public and community structures and systems, social networks and social services which can be disrupted and productive assets including land, income sources and livelihoods of people can be lost. The affected people have no option except to rebuild their lives, incomes and asset base elsewhere.

The PPP Cell is committed to avoid, minimize (where avoidance is not possible) and mitigate all adverse social and economic impacts that subprojects may entail. Furthermore, if avoidance is not possible, fully mitigate all adverse social and economic impacts. The Constitution of Pakistan safeguards the interests of people related to their property rights, while the LAA provides for acquisition of land and disbursement of compensation to the titleholders.

The PPP Cell, through the application of this ESMS, complies with both constitutional provisions (relevant to social safeguards) and LAA procedures (in cases where land needs to be expropriated) and the E&S principles and mitigation actions adopted by PPP Cell in its Environment and Social Policy Statement.

3.4.2. Involuntary Resettlement

i. National and Provincial Legislation on Involuntary Resettlement

a. Constitution of the Islamic Republic of Pakistan

The Constitution of Pakistan (1973) clearly addresses the protection of property rights (Article 24) such that “no person shall be deprived of his property save in accordance with law” (Article 24(1)), and “No property shall be compulsorily acquired or taken possession of save for a public purpose, and save by the authority of law which provides for compensation therefor and either fixes the amount of compensation or specifies the principles on and the manner in which compensation is to be determined and given” (Article 24(2)).

Further, Article 4(2a) reiterates the right of the people by stating that: “No action detrimental to the life, liberty, body, reputation or property of any person shall be taken except in accordance with law”.

b. The Land Acquisition Act, 1894

The Land Acquisition Act of 1894 (LAA), as amended from time to time, is the primary legislation governing the acquisition of land and compensation. The LAA 1894 is a Federal law but its implementation is with Provincial Boards of Revenue (BOR). The Act is meant for the acquisition of land only and it does not explicitly consider the social, cultural, economic, and environmental conditions of those needing to be resettled and/or rehabilitated.

The LAA requires that following notification of land acquisition, impacts assessment and valuation, land, structures, crops and other improvements are compensated in cash at market rate to titled landowners and registered land tenants/users. In addition, a 15% compulsory acquisition surcharge is provided.

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Only legal owners and tenants registered with the land revenue department or with formal lease agreements are eligible for compensation / livelihood support. The LAA 1894 also does not openly mandate the provision of specific rehabilitation / assistance to poor and vulnerable groups, nor does it require rehabilitation of income / livelihood losses or resettlement costs. Section 17 of the LAA allows acquisition of land prior to compensation of DPs.There is also no requirement to monitor and assess resettlement outcomes and impacts, or disclosure of monitoring reports.

The land acquisition process officially starts with the publication of preliminary notification under Section 4 of the LAA. This is followed with the conducting of surveys, measurements, valuation, inquiry on objections, formal declaration of intent to acquire land, dispute resolution, payment of compensation and taking possession of the acquired land as reflected in Table 3.1 below.

Table 3.1: Land Acquisition Procedure as per LAA 1894

Relevent Section of LAA 1894

Procedural Description

Section 4 Publication of preliminary notification and power for conducting survey.

Section 5 Formal notification of land needed for a public purpose. Section 5a covering the need for enquiry of the concerns or grievances of the affected people related to land prices.

Section 6 The Government makes a more formal declaration of intent to acquire land.

Section 7 The Land Commissioner shall direct the Land Acquisition Collector (LAC) to take order the acquisition of the land.

Section 8 The LAC has then to direct that the land acquired to be physically marked out, measured and planned.

Section 9 The LAC gives notice to all DPs that the Government intends to take possession of the land and if they have any claims for compensation then these claims are to be made to him at an appointed time.

Section 10 Delegates power to the LAC to record statements of the DPs in the area of land to be acquired or any part thereof as co-proprietor, sub-proprietor, mortgage, and tenant or otherwise.

Section 11 Enables the Collector to make enquiries into the measurements, value and claim and then to issue the final “award”. The award includes the land’s marked area and the valuation of compensation.

Section 16 When the LAC has made an award under Section 11, he will then take possession and the land shall thereupon vest absolutely in the Government, free from all encumbrances.

Section 17/4/6 Emergency clause that allows acquisition of land prior to compensation of DPs. This clause will not be applied in any project of PPP as it conflicts the IR principles of SPS e.g. it denies theright to appeal against the land valuation and related matters.

Section 18 In case of dissatisfaction with the award, DPs may request the LAC to refer the case onward to the court for a decision. This does not affect the Government taking possession of land.

Section 23 The award of compensation to the title holders for acquired land is determined at i) its market value of land, ii) loss of standing crops, trees and structures, iii) any damage sustained at the time of possession, iv) injurious affect to other property (moveable or immoveable) or his earnings, v) expenses incidental to compelled relocation of the residence or business, and vi) diminution of the profits between the time of publication of Section 6 and the time of taking possession plus 15% premium in view of the compulsory nature of the acquisition for public purposes.

Section 28 Relates to the determination of compensation values and interest premium for land acquisition.

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Section 31 Section 31 provides that the LAC can, instead of awarding cash compensation in respect of any land, make any arrangement with a person having an interest in such land, including the grant of other lands in exchange.

Section 48A (LAA-1986-Punjab Amendment)

Compensation to be awarded when land not acquired within one year. If within a period of one year from the date of publication of declaration under section 6 in respect of any land, the Collector has not made an award under section 11 in respect to such land, the owner of the land shall, unless he has been to a material extent responsible for the delay be entitled to receive compensation for the damage suffered by him in consequence of the delay.

C. Punjab Land Acquisition Rules (Amendment) 1983

In Punjab, the LAA 1894 was amended in 1983 and the amendment was approved and passed by the Provincial assembly. The LAA 1894 as a result of this amendment was called the “Punjab Land Acquisition Rules, 1983.

ii. Eligibility and Entitlements of Displaced Persons (DPs)

To ensure that PPP Cell follows both requirements of national legislation (LAA) and international standards (ADB SPS 2009) for compensating and assisting persons displaced by projects funded under the VGF, a consolidated set of eligibility and entitlements for compensation and rehabilitation assistance for different categories of DPs to be adopted are shown in Table 3.2 below. The types of losses typically encountered vary according to the nature and complexity of each project. Additional support may be provided to assist DPs in restoring their livelihood and living standards.

Table 3.2: Eligibility and Entitlements for the persons affected by PPP Cell Projects

Type of Loss Specification Eligible Person Compensation Entitlement

1. Agricultural land, including, uncultivable wasteland

All land losses

Legal and legalizable owner(s) of Land

Cash compensation at replacement cost plus 15% Compulsory Acquisition Surcharge (CAS) (as per Section 23 of LAA 1894), free of taxes, registration and transfer costs; or

Where possible and subject to the parties agreeing, land for land compensation through provision of plots of equal value and productivity as that of lost.

Sharecropper/ tenant (registered or not)

Cash compensation equal to the market value of gross annual yield of lost land, proportionate to their share for two years.

Lessee (registered or not)

Cash equivalent of the market value of the gross yield of lost land for the remaining lease years, up to maximum of three years

Non-titled user (squatter, encroacher)

No compensation for lost land

Rehabilitation allowance equal to the market value of

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the gross annual yield of lost land in addition to standard crop compensation. (see Loss Type 7 below)

Additional provision for DPs losing more than 10% their total operational agricultural holding

Owner / lessee/, sharecrop tenant/squatter/ encroacher

Severe agricultural land impact allowance equal to the market value of the gross annual yield of lost land for one year.

2. Temporary impact on arable land

Land required temporarily during civil works

All eligible persons, as above, (with and without title)

Crop compensation for lost season (s) and reclamation of land to original use.

3. Residential/ commercial land

Owner (legal/legalizable)

Cash compensation at replacement cost plus 15% compulsory acquisition surcharge (CAS) free of taxes, registration and transfer costs;

Renter/ Leaseholder Cash compensation of a value proportionate to the duration of the remaining lease period.

Non-titled user (squatter, encroacher)

No compensation for lost land

Non-titled owners (squatters) occupying land for dwelling identified by the census (only those actually occupying the dwellings)

Self relocation allowance (equivalent to one year’s income calculated at the prevailing official monthly minimum wage)

Non-titled owners (squatters) occupying land for shops/stalls/ kiosks identified by the census and inventory of lost assets (only those actually occupying the facilities)

Option to set up a stall through a space rental agreement with respective local governments or authority at a designated commercial area in public land and at a location comparable to the last location.

4. Residential, commercial, agricultural and community structures

Owner(s), titled and non-titled of the structure and squatters (in case of squatters only those actually occupying the structures and in case of community structures the members of the committee jointly)

Cash compensation at replacement cost for affected structures by type of construction and other fixed assets.

In case of partial loss cash assistance compensation will be provided to restore the remaining structure. If more than 25% of the building’s floor area is affected, cash compensation will be

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computed for the entire building/structure. Salvaged materials will be free of deductions.

A lump sum transportation Allowance will be paid to relocating households, businesses, agricultural operations and mosques etc. for shifting their belongings, inventory, equipment and installations

Renter/ Leaseholder Cash compensation equivalent to three months rent or a value proportionate to the duration of the remaining lease.

5. Loss of livelihood during relocation

Residential structures affected

Head of the displaced household

Transition Allowance equivalent to 3 months of average monthly household income in the area.

6. Loss of business and employment

Shops, stalls and kiosks.

Business owners; (including, renters and informal settlers and squatters) and employees identified by the census.

Cash grant for net income loss for duration of business stoppage (6 months for permanent loss and no more than 3 months for temporary stoppage.)

A one- time cash grant will be paid to affected employees equivalent to 2 month’s official monthly minimum wage.

7. Crops Affected crops Cultivator of crops irrespective of status of tenure

Crop compensation in cash at the full market rate for one year’s gross crop yield.

8.Trees All affected trees Owners of fruit and wood trees

Compensation for mature fruit- bearing trees will comprise of the market rate of the yearly yield multiplied by the number of years required to grow such a tree to the same productive level it was cut; and for immature trees that are yet to bear fruit compensation will be based on the gross expense needed to reproduce the tree to the same age it was cut.

Timber trees will be valued based on the market value of their dry wood volume. The wood of the fallen tree will remain with the owner and its value will not be deducted from the compensation.

9. Affected Poor and female- Head of the Lump sum assistance

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Vulnerable households

headed households and other vulnerable households, including the elderly, identified through the SIA.

household

allowance in cash equivalent to 3 months of average monthly household income in the area.

Temporary or permanent employment during construction or operation of the facility that necessitated involuntary resettlement, where feasible.

10. Unidentified Losses

Unanticipated impacts

All DPs Dealt with in accordance with SPS 2009.

Note: The current national/provincial legislation on acquisition of land (i) does not recognize non-titled and non-registered DPs as eligible for compensation for structures and improvements made on land and to receive rehabilitation assistance; and (ii) provides no attention to displaced poor and vulnerable groups, which are required in policies of international financing institutions (IFIs). The compensation entitlements in this table fulfill the IR safeguards requirements of both the national legislation and IFIs.

3.4.3. Indigenous Peoples

Although the GoP does not recognize indigenous peoples, Article 36 of the Pakistan Constitution requires the State to safeguard the legitimate rights and interests of minorities including their representation in the Federal and Provincial services. While Pakistan does not have any national policies on indigenous and tribal peoples, it has ratified the International Labor Organization (ILO) Convention 107 on Indigenous and Tribal Populations in 1960.

In the absence of national legislation on indigenous peoples, PPP Cell will be guided by IFI policies wherein projects will be screened for potential impacts for indigenous peoples and will require that projects are designed and implemented in a manner that fosters full respect for indigenous peoples’ identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the indigenous peoples themselves so that they (i) receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of projects, and (iii) can participate actively in projects that affect them.

3.4.4. Addressing Gender Issues in Environment and Social Safeguards Management

Processes of compulsory land acquisition, physical displacement or any form of involuntary resettlement and their aftermath affect men and women differently and it is therefore imperative to have gender as a frame of analysis mainstreamed in ESMS. E&S due diligence process will be carried out with due regard to gender considerations. Gender analysis related to E&S risks and impacts will be conducted that will include collection of gender disaggregated data to identify and address gender issues safeguards management, Gender equity and equality will be ensured for both genders in the provision of entitlements, and other measures under the E&S safeguard instruments

The PPP Cell will ensure participation of women in all phases of project activities. Women will be consulted on the issues pertaining to them and those issues will be dealt adequate. Negative impacts of subprojects on female-headed households will be taken up on a case-to-case basis and assistance to these households will be prioritized under the subprojects. The specific measures will be formulated to ensure that socio-economic conditions, needs, and priorities of women are identified and the process of land acquisition and resettlement does not disadvantage women. During disbursement of compensation and resettlement and rehabilitation assistance, priority will be given to female-headed households. Joint ownership in the name of husband and wife will be

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encouraged, particularly in cases where land and other assets were acquired after marriages.

Potentially harmful impacts on women, men, girls and boys, including changes in livelihood, environmental degradation, and heightened violence directly or indirectly related to projects will be identified and prevented. In case of substantial impacts on women, based on gender analysis, Nodes will develop a Gender Action Plan to address women and men issues seperately. Nodes will pay adequate attention to gender concerns, including specific measures addressing the need of female headed households, gender-inclusive consultation, information disclosure, and grievance mechanisms, to ensure that both men and women receive adequate and appropriate compensation for their lost property and resettlement assistance, if required, as well as assistance to restore and improve their incomes and living standards. The resettlement plans will specify the gender inclusive income and livelihoods restoration plans.

3.4.5. Incorporating Social Dimensions and Social Protection in ESMS

The PPP Cell will follow international standards for incorporating social protection elements in its ESMS to ensure that vulnerable groups (men, women and children) that maybe negatively affected by any of the projects are adequately compensated and mitigation measures put in place to avoid creating further poverty, and comply with internationally recognized core labor standards in the designing and implementation of subprojects, and monitor compliance. As an example of international best practice, ADB Social Protection Strategy (2001) is provided as Annexure-IX.

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4. Organizational Responsibilities, Resources and Capacity

This chapter presents the institutional arrangements and role of the different orgnanizations in development of PPP projects in Punjab province.

4.1. Roles and Responsiblities of Different Organizations within the PPP Framework

The institutional framework for this PPP project is defined by the Punjab PPP Act (2014) and the Punjab PPP Policy (2009). It is comprised of the following entities: (i) a high level inter-departmental PPP Steering Committee; (ii) a central PPP Cell located in the Planning and Development Department (PDD) to provide support to the PPP Steering Committee and PPP Nodes; (iii) PPP Nodes as focal points for specific PPP projects in Government Agencies, Departments and city district governments; and (iv) a Risk Management Unit (RMU) as fiscal guardian in the Finance Department (FD). A VGF subcommittee of the PPP Steering Committee for overview of VGF specific approval matters for PPP projects is established. The PPP Cell will act as the ESMS focal point for VGF supported PPP projects.

All these units will play specific roles in ensuring that projects supported through the VGF can effectively address and manage environmental and social risks and impacts associated with such projects.

The Punjab EPA may be engaged as an assistive institution for review and approval of the environmental assessment, mitigation measures, and any additional capacity building in implementing national environmental safeguards. The Government Agencies or PPP Nodes may consult other government regulatory agencies on matters pertaining to their jurisdiction.

The Figure 4.1 illustrates the proposed organizational structure of the PPP Cell with respect to the ESMS Framework.

4.1.1. PPP Steering Committee

To ensure a consistent approach to PPPs across sectors and an efficient use of funds by Government Agencies, Departments and local governments, strong and effective coordination is essential. Such coordination will be provided by the PPP Steering Committee consisting of:

Minister for Planning and Development; (Chairperson) Minister for Finance; (Vice Chairperson) Two members of Provincial Assembly of the Punjab to be nominated by the Speaker of

the Assembly; (Members) Chairman, Planning and Development Board of the Government; (Member) Secretary to the Government, Finance Department; (Member) Secretary of the concerned Government Agency; (Member) Secretary to the Government Communication & Works Department; (Member) Secretary tp the Government, Law and Parliamentary Affairs Department; (Member) Two experts from private sector to be nominated by the Government for a term of two

years; (Member) Member (PPP) Planning & Development Board. (Secretary/Member)

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The PPP Steering Committee will be the final deciding body for all PPP projects in Punjab. As such, it will have the following responsibilities as stated in Section 4.6 of PPP Act, 2014:

(i) Formulate the policies relating to the projects for approval of the Government;

(ii) Supervise and coordinate implementation of the Act, rules and regulations;

(iii) Approve, reject or send back for reconsideration any project proposal submitted by a Government Agency;

(iv) Decide on any direct or contingent support for a project requested by a Government Agency;

(v) Approve, reject or send back for reconsideration the recommendation submitted by a Government Agency for a PPP agreement to be awarded to a private party on the rates or terms and conditions different from the original approval;

(vi) Assist the Government Agencies in solving major problems impeding project preparation and implementation;

(vii) Be the final deciding authority for all the projects;

(viii) Notify, with the approval of the Provincial Cabinet, critical sectors as also the duration or window of opportunity during which the Government shall undertake to extend preferential facilitation to projects falling under critical sectors;

(ix) Determine the maximum limit of government support referred to in section 19 for any project; and

(x) Take all other steps necessary for giving effect to the provisions of the Act.

4.1.2. Punjab PPP Cell

The PPP Cell will be required to establish an ESMS, as required by ADB SPS 2009 for environmental and social safeguards, to determine, mitigate, and manage environmental and social impacts of PPP projects as a basis for recommending projects for consideration by the PPP Steering Committee. The PPP Cell will be the ESMS focal point for the project and perform the coordinating function for environmental and social issues, will ensure that the resources are made available for environmental and social management. The PPP Cell will submit to ADB the annual environmental and social performance report on the implementation status of its ESMS.

As the ESMS focal point under the project, the PPP Cell will ensure that adequate resources have been committed to allow for the effective implementation of the ESMS policy and procedures and provide technical safeguards support. The PPP Cell will appoint an ESMS Focal person who will be assisted by an Environment Specialist and a Social Specialist. The ESMS Focal person will ensure that VGF supported projects are prepared in full accordance with ESMS and implemented/supervised in line with the arrangements agreed in ESMS.

The PPP Cell, in coordination with PPP Nodes will also submit semi-annual environment and social monitoring reports to ADB; identify the safeguards capacity building and training requirements for PPP Nodes; and design and deliver training modules based on the training needs of PPP Nodes. The PPP Cell will also develop close linkages with the Punjab EPA to seek technical advice as and when required.

The PPP Steering Committee is administratively and technically supported by the PPP Cell in PDD. Its mandate is to promote and facilitate PPP development in Punjab and assist Government Agencies, Departments and local governments in preparing and executing high-quality PPP projects. To fulfill this mandate, the PPP Cell performs the role of a PPP catalyst and advocate, knowledge manager, and policy and project advisor.

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The PPP Cell has the following main functions as stated in Section 5.3 of the PPP Act, 2014:

(i) Facilitate the preparation of a project by a Government Agency; (ii) Act as a PPP Catalyst and advocate, knowledge manager, and policy and project

advisor in the Province; (iii) Provide technical support to the Committee and act as its secretariat; (iv) Develop operating guidelines, procedures and model documents for projects for

approval by the Committee; (v) Provide support and advice to any Government Agency regarding PPP projects

throughout the public private partnership process;

(vi) Assist the Committee to evaluate and prioritize project proposals submitted by the Government Agencies;

(vii) Evaluate, in close consultation with the Risk Management Unit, the type and amount of Government support that may be made available for a project and make recommendations to the Committee for appropriate decision;

(viii) Prepare and regularly update a pipeline of the projects in consultation with the Government Agencies and make available updated lists of the said PPP projects to the Government Agencies; and

(ix) Perform any other functions as may be assigned to it by the PPP Steering Committee.

The PPP Cell has prepared the following guidelines to facilitate the PPP process:

(i) Environmental Assessment Guidelines

(ii) PDF Guidelines

(iii) Project Inception Guidelines

(iv) Project Preparation Guidelines

(v) Risk Management Guidelines

(vi) Social Impact Assessment Guidelines, which will be reviewed and made consistent with ADB’s SPS requirements during project implementation

(vii) Transaction Execution Guidelines

4.1.3. Risk Management Unit

The RMU will perform the following functions as stated in Section 6 (2) of the Act:

Develop risk management guidelines for approval by the Committee; Provide support and advice to any Government Agency with regard to risk management

in a project throughout the public private partnership process; Examine, in consultation with the PPP Cell, whether requests for Government support

and the proposed risk sharing arrangements are consistent with the Act, rules and regulations, and are fiscally sustainable;

Make recommendations to the Committee through the PPP Cell; Recommend the inclusion of approved Government support in the annual budget of the

province; Monitor direct and contingent liabilities of the Government incurred through the projects;

and Perform such other functions as may be prescribed or as the Committee may assign.

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4.1.4. PPP Nodes

Both the Government Agency (termed as PPP Node in the project) and the private sector partner (in case of an unsolicited proposal) are responsible for preliminary screening of the project proposal, assessment of environmental effects, stakeholder participation and consultation, development of mitigation measures and associated costs, seeking environmental approval, setting-up the implementation and monitoring mechanisms, and compliance reporting.

For these purposes, the Punjab PPP Act (2014) requires each government agency to set up PPP Nodes in case it intends to develop and implement a PPP project. The potential PPP Nodes that shall be considered under the program are as follows:

Communications and Works department Health Department Housing Urban Development & Public Health Engineering Department

Other potential PPP Nodes will be further discussed and assessed as part of the loan processing.

The government agencies and PPP Nodes with insufficient capacity or expertise will continue to be facilitated by the PPP Cell for project development, preparation, and execution and safeguards capacity building/training.

Under this Project, the selected PPP Nodes will have an environment specialist and a social specialist provided under TRTA who will assist PPP Nodes in preparation and implementation of land acquisition and resettlement plans (LARPs) in line with ESMS and SPS requirements, and provide internal social monitoring reports on a semi-annual basis. The PPP Nodes will further ensure screening and assessment of environment and social impacts and risks of PPP projects, hold community consultations and put in place an efficient grievance redressal mechanism (GRM) relevant to the full project life cycle. Figure 4.2 depicts the Institutionl Arrangements for implementation of ESMS at PPP Cell

During the project implementation phase, the PPP Nodes will ensure environmental and social monitoring on a regular basis by engaging a qualified E&S consultant firm/individuals to ensure implementation of the EMP and LARP in true letter and spirit to ensure compliance.

The GRM will receive, review and resolve any grievances that are received from any project affected persons, including physically and economically displaced persons and thereby, facilitate the efficient and effective implementation of the ESMS by the PPP Nodes. The GRM framework will consist of a three-tiered structure, the first level being at the project site level, the second being at the Node level, while the third being legal recourse, as shown in Figure 4.3 below (detail of GRM is attached as Annexure XXII) .

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Figure 4.1: Institutional Framework for PPPs in Punjab

PPP Steering Committee

PPP Node PPP Node PPP Node PPP Node PPP Node

P&DD

Finance Department

RMU PPP Cell

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Figure 4.2: Structure of PPP Cell w.r.t. ESMS

Member PPP/Head PPP Cell Project Director

Specialists Team

Environment Specialist

Social Safeguards Specialist

Gender Specialist

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Figure 4.3: Structure of GRM

Displaced Persons/Group/Affected Properties

Grievance Arises Action/Lack of Action by Contractor/Project Authority

First Level Grievance

Second Level Grievance

Third Level Grievance

Grievance Redressed

Project Management Unit (PMU) Safeguards staff (Env. & Social)

GRC (PPP Node rep., PD-PMU, rep. of district administration etc.)

Legal Ruling Court of Law

3-10 days

Grievance Redressed

10-30 days

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4.1.5. Punjab Environmental Protection Agency (PEPA)

The Punjab Environmental Protection Agency (PEPA) may be engaged as an assistive institution for review and approval of the environmental assessment, mitigation measures, and any additional capacity building in implementing national environmental safeguards.

The Government Agencies or PPP Nodes may consult other government regulatory agencies on matters pertaining to their jurisdiction.

4.2. Staffing

The indicative structure for PPP implementation is provided in Figure 4.1 above with staff proposed for the PPP Cell at different designations. The PPP Cell staff will play a key role in establishment and management of the ESMS. The staff required related to ESMS is provided below.

4.2.1. Punjab PPP Cell

The PPP Cell consists of the following ESMS focal staff:

ESMS Focal Person (One person)

Environment Specialist (One person)

Social Safeguards Specialist (One person)

Gender Specialist (One person)

The detailed ToRs for the staff engaged for development of PPP projects are provided as Annexures X to XIII.

4.2.2. Selected PPP Nodes

Each selected PPP Node will be staffed by legal, financial and PPP specialists. The head of each PPP Node shall be the ESMS focal person.

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5. Operational Procedures for Environmental and Social Compliance

5.1. Procedures for Screening and Categorization of Projects (Project Initiation Phase)

This chapter explains the operational procedures that will be followed for environmental and social safeguards compliance, based on (i) the Country Safeguard systems (applicable to the Punjab Province), and (ii) the safeguard policy principles and performance standards as defined by the financing sources.

As envisaged by the Punjab PPP Act (2014) and the Policy (2009), any government agency (a department, attached department, body corporate, autonomous body of the Government, local government or any organization or corporation owned or controlled by the Government) can identify a project to be developed and implemented under any PPP arrangement. The PPP Node will clearly be made responsible for taking lead in conceptualizing and processing the project idea.

The first screening for eligibility of a project will be based on the Prohibited Investment Activities List (PIAL) (refer to Annexure-XIV) and will be conducted by the PPP Cell. If the project involves a prohibited activity, the project’s owner will be informed that the project cannot be considered.

Once it is confirmed that the project is not in the PIAL, the PPP Cell will work with the project owners to make a rapid assessment of the likely environmental and social impacts based on the Financing Source requirements. The Environment Checklist (Annexure XV) and the Social Safeguard Screening Checklist (Annexure XVI and XVII) are designed to help the PPP Cell and PPP Nodes determine the significance of potential environmental and/or social impacts associated with the project.

Once the checklists and the verification work have been reviewed by the PPP Cell, the PPP Node, in consultation with the Environment Specialist and Social Safeguards Specialist based at Punjab PPP Cell, will tentatively categorize the project idea based on its nature and anticipated environmental effects. This categorization shall be vetted by the ADB as and when required. The step wise procedural flow for screening and subsequent categorization of projects is shown in Figure 5.1 below.

The projects will be classified under one of the categories provided in Table 5.1 below. In addition, the safeguard requirements are provided as Table 5.2 below.

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Table 5.1 Safeguards Categorization of Proposals for PPP Cell Support

Category Environment Involuntary Resettlement

Indigenous Peoples

A- Significant Investments that anticipate significant adverse environmental impacts those are irreversible. These impacts may affect an area larger than the sites or facilities subject to physical works.

Investments where 200 or more persons will experience major impacts, which are defined as (i) being physically displaced from housing, or (ii) losing 10% or more of their productive assets (income generating).

Investments that are expected to significantly affect the dignity, human rights, livelihood systems, or culture of Indigenous peoples or affects the territories or natural or cultural resources that Indigenous Peoples own, use, occupy, or claim as an ancestral domain or asset.

B - Less Significant

Investments with potential adverse impacts that are site-specific, few if any of them are irreversible, and in most cases mitigation measures can be more readily designed than for Category ‘A’ investments.

Investments with involuntary resettlement impacts that are not deemed significant.

Investments those are likely to have limited impacts on Indigenous Peoples.

C - Minimal or No Impact

Investments that have minimal or no adverse environmental impacts.

Investments with no involuntary resettlement impacts.

Investments that are not expected to have impacts on Indigenous Peoples.

Table 5.2: ESMS Requirements

Category (Risk Rating)

Environmental Safeguards

Involuntary Resettlement Safeguards

Indigenous Peoples Safeguards

Category A (with potential significant impacts) (will also require prior review and approval by the IFI fund source)

Comply with Pakistan national legal requirements, and IFI requirements (e.g. ADB SPS) (EIA study to fulfill both national and IFI environmental regulatory requirements)

Comply with Pakistan national legal and IFI requirements (e.g. ADB SPS) (LARP to be prepared)

Comply with Pakistan national legal and IFI requirements (e.g. ADB SPS) (IPP to be prepared)

Category B (with less significant impacts)

Comply with Pakistan national legal requirements (IEE study to fulfill national environmental regulatory requirements)

Comply with Pakistan national legal and IFI requirements (i.e. ADB SPS) (LARP to be prepared)

Comply with Pakistan national legal and IFI requirements (i.e. ADB SPS) (IPP to be prepared)

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Category C (with minimal or no impacts)

(Checklist to be completed to fulfill national environmental regulatory requirements & Checklist along with DDR to fulfill IFI requirements

(SDDR to be prepared) (SDDR to be prepared)

Note: All projects will be screened against the PIAL regardless of safeguards category.

All PPP projects will be categorized for environment, involuntary resettlement (IR) and indigenous peoples (IPs) safeguards in the following manner:

Environment Category ‘A’: The projects that may have diverse, irreversible, unprecedented and significant adverse environmental impacts, which may go beyond physical boundaries of the project. All projects listed under Schedule II of the Pakistan EPA Review of IEE & EIA Regulations, 2000 and those sited within a declared environmentally sensitive area are included in this category. In this case, the project shall be subject to both national environmental regulations along with any specific environmental and social safeguard policies from the Financing Source. IFI (i.e. ADB) prior review and approval will be required.

Environment Category ‘B’: The projects that may have potential adverse but site-specific environmental impacts (less adverse than those of category A). All projects listed under Schedule I of the Pakistan EPA Review of IEE/EIA Regulations, 2000 are included in this category. An Initial Environmental Examination (IEE) is required for such projects in accordance with the Pakistan EPA Review of IEE and EIA Regulations, 2000 along with any specific environmental and social safeguard policies from the Financing Source(s) that might apply.

Environment Category ‘C’: The projects that may have minimal or no adverse environmental impacts and are listed under Schedule III of the Pakistan EPA Review of IEE/EIA Regulations, 2000 will require the completion of an environmental performa. Such projects may be required to follow the sectoral environmental guidelines issued by the Punjab EPA along with any specific environmental and social safeguard policies from the Financing Source(s) that might apply.

Similarly, the detail of IR/IP categorization is provided as follows:

Involuntaty Resettlement Category ‘A’: A proposed project is classified as category A if it is likely to have significant IR impacts that include 200 or more persons who are physically displaced from housing, or losing 10% or more of the productive assets (income generating). A resettlement plan, including assessment of social impacts is required, (Annexure XVIII:Outline of Resettlement Plan).The IFI’s (i.e. ADB) prior reviewand approval of the final/updated resettlement plan isrequired before its implementation

Involuntary resettlement Category ‘B’: A proposed project is classified as Category B if less than 200 people are affected, in which case the impacts are deemed insignificant.However,a resettlement plan ,including assessment of social impacts is still required.The IFI’s (i.e. ADB) prior review and approval of final/updated resettlement an is not required before its implementation.

Involuntary Resettlement Category ‘C’: A proposed project is classifies as

category C if it has no IR impacts what so ever.Asocial due diligence report (SDRR)

is prepared to record the impacts situation and design/engineering related

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measures to avoid any unanticipated impacts during implementation.Subsequent

to preparation of SDRR,no further action is required.

In terms of Indigenous People (IP) impacts and risks, projects will be classified into one of the following categories:

Indigenous Peoples Category A: Aproposed project is classified as category A if it is likey to have significant direct or indirect impacts on the IPs’dignity,customary rights on use and access of land and natural resources, socio economic status, cultural and communal integrity,health,education,livelihood and social security status,recognition of indigenous knowledge and vulnerability. An Indigenous Peoples Plan (IPP), including assessment of social impacts, is required. Where IPs are the overwhelming majority of directo project beneficiaries, the elements of the IPP could be integrated into the project design in lieu of preparing a separate IPP.(Annexure XVIII- Outline of Indigenous Peoples Plan).Likewise, the IFI’s (i.e. ADB)priorreviewand approval of final/updated IPP is required before its implementation.

Indigenous Peoples Category B: A proposed project is classified as category B if it is likey to have limited direct or indirect impacts on the IPs’ dignity, customary rights on use and access of land and natural resources, socio economic status, cultural and communal integrity, health, education, livelihood and social security status, recognition of indigenous knowledge and vulnerability.An Indigenous Peoples Plan (IPP), including assessment of social impacts, is required. (Annexure XIX- Outline of Indigenous Peoples Plan). Likewise, the IFI’s (i.e. ADB) prior review and approval of final/updated IPP is required before its implementation

Indigenous Peoples Category C: A proposed project is classified as category C it is not expected to have any impacts on IPs’. A due diligence reports will be prepared to document the IP’s situation following which no further action is required.

Due Diligence

An outline of a due diligence brief note is provided in Annexure XX-Outline of Environment and Social Due Diligence Report. Furthermore, the suggested scope for an Annual Social Safeguards Monitoring report for projects is provided as Annexure XXI.

The PPP Cell will ensure that all investment agreements for projects financed by it will contain adequate social protection covenants requiring, among other things, that sub-borrowers comply with: (a) all applicable laws and regulations of Pakistan; (b) the safeguard policies of the Financing Source i.e. ADB (c) core labor standards and the applicable laws and regulations of Pakistan, including, but not limited to, the requirements relating to (i) workplace occupational safety norms; (ii) no use of child labor; (iii) no discrimination against workers in respect of employment and occupation; and (iv) no use of forced labor.

The PPP Cell will further ensure that the workers engaged by these sub-borrowers for the projects are not restricted from developing legally permissible means of expressing their grievances and protecting their rights regarding conditions and terms of employment.

5.2. Procedures for Environmental and Social Assessment of Projects (Project Preparation Phase)

The procedural flow for the environmental assessment process as part of the project preparation phase for the different projects based on their respective categorization is provided

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in Figure 5.1 below. The timelines for approval of the different projects based on their respective environmental categorization are provided as Figure 5.2 below.

The detailed environmental review and assessment procedures for PEPA along with other Financing Sources for the three different categories of projects are provided as Annexure III, IV and VI. The procedural flow for the social assessment process is reflected as Figure 5.4 below.

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Figure 5.1: Procedure Flow – Project Categorization & Preparation8

8 In instances where Nodes and/or private parties directly submit the project proposal instead of submitting the

Concept paper, the submitted proposal shall be screened and assessed based on the Procedure flow.

Project screening using PIAL

Project categorization (using REA/IR & IP Checklists & National Env. Guidelines)

Non-Prohibited Activity

Vetting by ADB

Category ‘A’ Project (PEPA Schedule II)

Category ‘B’ Project (PEPA Schedule I)

Category ‘C’ Project (PEPA Adopted

Checklists/Guidelines)

Checklists Performa submitted to PEPA

Checklists to be completed and available for review by ADB (as required)

Preparation of EIA/IEE by Consultant as per approved ToRs

Review of EIA/IEE study by PPP CELL & PPP Node staff

Submission of EIA/IEE study to ADB for review and comments

Consultant addresses all comments on draft EIA/IEE report & resubmits

final report

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Category ‘A’ projects: ADB to disclose on website for 120 days

Final version of EIA/IEE report is disclosed on ADB website

EIA approval process (4-months period for review and approval)

IEE approval process (2-months period for review and approval)

EIA/IEE report submitted to PEPA for review

Initial review by PEPA and Notice by project proponent in newspaper for Public hearing

Public Hearing held 30 days after newspaper advertisement

All comments at Public Hearing to be addressed by Project Proponent & Revised

EIA study submitted to PEPA

Revised EIA study reviewed by PEPA

NOC issued by PEPA

Revised IEE study reviewed by PEPA

Revised IEE study submitted to PEPA with all comments addressed

Comments issued by PEPA and presentation to PEPA (if required)

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Figure 5.2: Expected Timelines for Category wise Environmental Approvals

ADB Category ‘A’ Project (PEPA Schedule II)

ADB Category ‘B’ Project (PEPA Schedule I)

ADB Category ‘C’ Project (PEPA Checklists/Guidelines)

ADB Approval Timeframe

(4 months) Review of EIA prior to Board approval, mandatory 120 day period

PEPA Approval Timeframe (4 months)

Review of EIA by PEPA & Public Hearing prior to NOC issuance.

ADB Approval Timeframe (2 months)

Review of IEE by ADB Environment Focal Staff & SDCC division

PEPA Approval Timeframe (2 months)

Review of IEE study by PEPA & addressing of any comments & NOC issuance.

ADB Approval Timeframe (2 weeks)

Formal acceptance of Project Categorization

PEPA Approval Timeframe (2 weeks)

Formal acceptance of Project Categorization

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Figure 5.3: Reporting Requirement and Monitoring Arrangements

Environmental Monitoring based on EMP (Roles & Responsibilities as per EMP)

Project Construction Commences

Reporting

PEPA Requirements

ADB Requirements

Annual Monitoring Report (can vary based on NOC)

Project Completion Report

Review of Report by PPP Cell

Semi-Annual Environment Monitoring Report from

PPP Node

PPP Cell Requirements

No Concerns

Concerns observed

No Action required

PPP Cell to convey to PPP Node

Development of CAP by Node

Implementation & Monitoring of CAP by

PPP Node

Semi-Annual E&S Monitoring Report from

PPP Cell

Acquire & review any environmental reports for

projects (as required based on sensitivity)

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Figure 5.4: Procedure Flow – Social Management

IR ‘A’ & ‘B’ category Projects IR ‘C’ category projects

Land Acquisition and Resettlement Planning Process (3- 6 months)

IR planning and LARP preparation (90-120 days)

Land Acquisition under LAA 1894 (120 days)

Preparation of Draft LARP of IR ‘A’ or ‘B’ category project by PPP Nodes and submitted for review and clearance (30 days)

LA

A s

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n 4

notifie

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hed

Estim

ate

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osts

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eposited

LA

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hed

Obje

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ecord

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atio

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ria a

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l consultatio

ns

docum

ente

d f

ully

Socio

econom

ic s

urv

ey a

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Imp

act

assessed &

Invento

ry

fin

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ed

LA

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n 6

notifie

d a

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publis

hed

Land p

ossessio

n taken

Com

pensatio

n f

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paid

Land a

ward

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LA

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ectio

n 9

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0

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R&

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pro

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/c

R&

R c

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ims

pro

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R&

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Encum

bra

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rem

oved

First 3 IR B category project LARPs, reviewed by IFI

All IR A category LARPs Endorsed by PPP Cell to IFI for its review and

Approved IR A / IR B LARPs disclosed by PPP nodes/PPP Cell in 7-15 days

LARP implementation and Monitoring by PPP Node (3-6 months)

IR/Social monitoring and reporting until subproject completion

Civil works allowed on confirmation of LARP implementation

GRM (at Project) in PPP Nodes and GRM (for Facility) in PPP

Cell available to address safeguard

issues

GRM available under LAA explained

and accessible to address land

acquisition issues

DDR Completed by Node, reviewed / accepted by PPP Cell

Except first 3, all IR B category LARPs reviewed and approved by PPP Cell in 15-30 days

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5.3. Procedures for Environmental Management and Compliance during Project Implementation and Operational Phase

During the project implementation phase, the procedure flow for conducting the different activities is provided as Figure 5.3 above. In addition, the specific monitoring and reporting requirements for Punjab EPA are provided in the sections below.

5.3.1. Punjab EPA Requirements

Once the project implementation commences, monitoring of EMP implementation will start according to the monitoring plan provided within the EMP. The ESMS Focal person, PPP Cell will monitor the EMP compliance according to set performance indicators in the EMP. Given financial institutions’ involvement through financial closure, an independent audit for environmental safeguard compliance may also be required. The costs of monitoring and reporting requirements will be reflected in the project budgets.

As per the Pakistan EPA Review of IEE & EIA Regulations, 2000, the proponent will be required to submit an annual monitoring report to the Punjab EPA summarizing operational performance of the project with reference to the conditions of environmental approval, and maintenance and mitigation measures adopted by the project. In close coordination with the PPP Node, the respective Project Implementation Unit or the Project Manager within the Node will be responsible for monitoring and preparing the monitoring report.

However, this responsibility may also be shifted to the concessionaire9 through inclusion in its Operation and Management Plan. The same will be submitted by the PPP Node to the PPP Cell, the Punjab EPA and the donors, as under their respective policies on safeguards.

If at any stage of the project implementation, the Punjab EPA feels that the EMP is not being complied with, it can issue notice to the proponent; and if remains unsatisfied, can cancel the environmental approval. The proponent will also submit a project completion report to the Punjab EPA at the completion of construction of the project. Additional reporting requirements may also apply in case of industrial units listed under the Punjab Environmental Quality Standards (Self-Monitoring & Reporting by Industry) Rules, 2016.

During the project implementation, the Punjab EPA will inspect and monitor the EMP implementation and compliance through its authorized staff or any other arrangement, as provided under Section 19 of the Punjab Environmental Protection Act, 2012. The Punjab EPA may also require the PPP Node to submit an environmental audit or environmental review report comparing the actual environmental impacts of the project with those anticipated in the EIA/IEE Performa earlier approved by the Punjab EPA.

The PPP Node will also submit semi-annual Environmental monitoring reports to the PPP Cell, which shall be reviewed by the Environment Specialist at the PPP Cell and who will formally convey to the PPP Node if there are any concerns regarding EMP implementation.

Based on the Environmental monitoring reports, in case there are any gaps in implementation, the Environment and Social Specialists at the PPP Cell will instruct the respective PPP Node to get the Corrective Action Plan(s) (CAPs) developed and approved by the ESMS Focal person, PPP Cell to address any unanticipated adverse environmental

9.Here is the concessionaire is differentiated from the proponent. In case of the PPP approach, proponent of EIA/IEE can

be a government agency or a private sector entity making unsolicited proposal while the concessionaire will be the successful bidder.

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impacts surfacing during the project implementation.These CAPs will also be implemented and monitored in the same manner as for the EMP.

Once the contract is signed, the EIA/IEE reports and the EMP will be publicly disclosed through the PPP Cell website so that all stakeholders and affected persons can be vigilant of the project implementation accordingly.The environmental monitoring reports and any CAPs will also be disclosed in the same manner

5.4. ESMS Audit Scope and Procedure

The PPP Cell will be subjected to an annual independent auditing of its ESMS that will be limited to the projects financed by ADB:

(a) An assessment of the PPP Cell’s ability to manage and address all relevant environmental and social risks and impacts of its business and operations;

(b) Review of compliance record with applicable laws and regulations in Pakistan related to environmental and social matters, and

(c) Identification of the VGF’s and its main stakeholder groups and current stakeholder engagement activities. The audit will cover the ESMS within the PPP Cell and selected projects for their implementation compliance to safeguard requirements.

External and independent resource persons will be identified as ESMS auditors and will undertake this audit. The ESMS auditors will have the experience to do both management systems audits as well as audits of projects. Resource persons, either as individuals or agencies, certified as auditors by reputed accreditation bodies, will be employed. PPP Cell shall ensure that the audit team has a good mix of both auditing and subject knowledge/experience on environmental and social safeguards.

The PPP Cell will furnish required information on their activities to the auditor and provide proper support and cooperation in the conduct of the audit. All projects that are categorized to have high impacts will be covered in these audits as long as disbursements have been made in the current or the previous year. Approximately 25% of other projects will be selected, and will necessarily include at least one project from different project types.

ESMS auditors will submit an audit report to the PPP Cell for follow-up. The PPP Steering Committee may agree on the follow-up action for each of the audit findings and on a timeframe to implement the follow-up actions.

5.5. Information Disclosure and Grievance Redressal Procedure

Each PPP Node will set up a Grievance Redressal Mechanism (GRM) to receive and facilitate resolution of project affected peoples’ concerns, complaints, and grievances in relation with the EMP compliance, and will publicly notify it through its website and/or other channels. The ADB will be requested to provide all required support to each PPP Node in development and implementation of the GRM for the first few projects until the capacity and confidence of the Node staff has been developed.

The PPP Node will maintain records of the following:

Complaints, grievances, or protests received from local communities, recording dates and organizations involved, actions taken to resolve grievances, any outstanding issues, and proposed measures for resolution;

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Details of information disclosure and consultations, if any, with affected people, local communities, civil society groups, and other stakeholders; and

Details of approach/methodology on addressing the concerns and issues raised at consultations.

The PPP Cell will ensure that all investment agreements for projects contain provisions enabling: (a) Representatives of the Financing Source to inspect the project(s) being financed by them and any relevant records and documents; and (b) The Financing Source i.e. ADB, in case of any breach in any project(s) being financed by them, to require sub-borrowers to bring the project(s) into compliance with all applicable laws and regulations of Pakistan and the laws applicable by the FI.

The details on the GRM are provided as Annexure XXII.

5.6. Track record in Environmental and Social Management

Since the VGF is to be newly established within the PPP Cell, therefore so far there is no track record of past projects that have been developed under this fund. Thus, at this point, it is not possible to assess the performance of the VGF with regards to compliance of past projects from an environmental and social perspective.

In the future, this section shall be updated based on the track record as a result of the performance of the PPP Cell with regards to implementation of environmental and social safeguards for the respective projects.

5.7. Existing Facilities

In instances where the PPP Cell shall desire to secure financing from ADB for projects that either already exist or are under construction, the relevant Node will be required to conduct an environment and/or social compliance audit, including on-site assessment, to identify past or present concerns related to impacts on the environment, involuntary resettlement and Indigenous peoples.

The objective of the compliance audit shall be to determine whether actions were in accordance with ADB’s safeguard principles and requirements for the PPP Cell as the borrower and to identify and plan any appropriate measures to address outstanding compliance issues. Where a non-compliance shall be identified, a corrective action plan shall be prepared and agreed on by ADB and the PPP Cell.

The plan will define necessary remedial actions, the budget for such actions, and the time frame for resolution of any non-compliance(s). The audit report (including corrective action plan, if any) will be made available to the public in accordance with the information disclosure requirements of the ADB’s Safeguard Requirements 1–3.

For environment category A projects involving facilities and/or business activities that already exist or are under construction, the borrower/client will submit the audit report to ADB to disclose on ADB's website at least 120 days prior to ADB Board approval. If a project involves an upgrade or expansion of existing facilities that has potential impacts on the environment, involuntary resettlement, and/or Indigenous Peoples, the requirements for environmental and

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social impact assessments and planning specified in Safeguard Requirements 1-3 will apply in addition to compliance audit.10

10 ‘Existing Facilities’ under Section F, Paragraph 12, Page 67, Appendix 4: Safeguard Requirements 4, ADB

SPS 2009.

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6. References

ADB 2011. Involuntary Resettlement Safeguards:- A planning & Implementation Good Practice Source Book –Draft Working Document . Asian Development Bank. March 2011

EPA, 1997: Guidelines for Public Consultation. Pakistan Environmental Protection Agency, Government of Pakistan

EPA, 1997: Guidelines for Sensitive and Critical Areas. Pakistan Environmental Protection Agency, Government of Pakistan, October

GoP, 1997: Sectoral Guidelines for Environmental Reports:- Environmental Protection Agency, Government of Pakistan, October

GOP, 1997: Pakistan Environmental Protection Act 1997:- Government of Pakistan, October

GOP, 1997: Policy Guidelines for Preparation and Review of Environmental Reports:- Environmental Protection Agency, Government of Pakistan, November

GOP, 1997: Policy and Procedures for filling, review and approval of Environmental Assessment:- Environmental Protection Agency, Government of Pakistan, November

Survey of Pakistan, 1997. Atlas of Pakistan. Director Map Publication, Survey of Pakistan, Rawalpindi.

World Bank. 2005. OP 4.10 - Indigenous People. The World Bank Operational Manual. The World Bank. July 2005.

World Bank. 2003. Social Analysis Sourcebook, Incorporating Social Dimensions into Bank-Supported Projects. Social Development Department, The World Bank. December 2003.

World Bank. 2001. OP 4.12 - Involuntary Resettlement. The World Bank Operational

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ANNEXURES

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ANNEXURE – I: ADB Safeguard Policy Statement

Environmental Safeguards

1. The ADB’s SPS is approved by its Board of Governors and is required to be fully implemented on all ADB funded projects since June 2009. The SPS combines the three safeguard policies comprising the Involuntary Resettlement Policy (1995); the Policy on Indigenous Peoples (1998); and the Environment Policy (2002). The goal of SPS is to promote the sustainability of project outcomes by protecting the environment and people from project’s potential adverse impacts. The objectives of ADB’s safeguards are to:

(i) Avoid adverse impacts of projects on the environment and affected people, where

possible; (ii) Minimize, mitigate, and/or compensate for adverse project impacts on the environment

and affected people when avoidance is not possible; and (iii) Help borrowers/clients to strengthen their safeguard systems and develop the capacity

to manage environmental and social risks.

2. For environmental safeguards, ADB has defined its policy objective as “to ensure the

environmental soundness and sustainability of projects and to support the integration of environmental considerations into the project decision-making process.” As per Policy, “the environmental safeguards are triggered if a project is likely to have potential environmental risks and impacts”. The SPS outlines 11 policy principles for environmental safeguards compliance, which are provided in Table 1 below. These Policy Principles elaborate the process of environmental assessment and management to be followed by proponents of projects and the Bank borrowers.

Table 1: ADB Policy Principles

Policy principle Summary

1 Screening and categorization

Screening process initiated early to determine the appropriate extent and type of environmental assessment.

2 Environmental assessment

Conduct an environmental assessment to identify potential impacts and risks in the context of the project’s area of influence.

3 Alternatives Examine alternatives to the project’s location, design, technology, and components and their potential environmental and social impacts, including no project alternative.

4 Impact minigation Avoid, and where avoidance is not possible, minimize, mitigate, and/or offset adverse impacts and enhance positive impacts. Prepare an environmental management plan (EMP).

5 Public consultations Carry out meaningful consultation with affected people and facilitate their informed participation. Involve stakeholders early in the project preparation process and ensure that their views and concerns are made known to and understood by decision makers and taken into account. Continue consultations with stakeholders throughout project implementation. Establish a grievance redress mechanism.

6 Disclosure of environmental assessment

Disclose a draft environmental assessment in a timely manner, in an accessible place and in a form and language(s) understandable to stakeholders. Disclose the final environmental assessment to stakeholders.

7 Environmental management plan

Implement the EMP and monitor its effectiveness. Document monitoring results, and disclose monitoring reports.

8 Biodiversity Do not implement project activities in areas of critical habitats.

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Policy principle Summary

9 Pollution prevention Apply pollution prevention and control technologies and practices consistent with international good practices. Adopt cleaner production processes and good energy efficiency practices. Avoid pollution, or, when avoidance is not possible, minimize or control the intensity or load of pollutant emissions and discharges. Avoid the use of hazardous materials subject to international bans or phaseouts.

10 Occupational health and safety Community safety.

Provide workers with safe and healthy working conditions and prevent accidents, injuries, and disease. Establish preventive and emergency preparedness and response measures to avoid, and where avoidance is not possible, to minimize, adverse impacts and risks to the health and safety of local communities

11 Physical cultural resources

Conserve physical cultural resources and avoid destroying or damaging them. Provide for the use of “chance find” procedures.

Comparison between GoP/Punjab & ADB Safeguard policies

3. Most of the GoP/Punjab and ADB requirements pertaining to environmental safeguard policies are similar. The environmental related steps for both types of policies i.e. EIA, IEE and Environmental Checklist preparation for Category A, B and C type of projects respectively in ADB terminology are equivalent to Schedule I, II and III type of projects in GoP/Punjab terminology.

4. The only difference is that while the GoP/Punjab have categorically issued specific project types along with details regarding capacities and/or capital investments in order to classify projects into Schedule I, II or III, the ADB policies require the REA Checklist to be completed and assessed by ADB staff to officially issue a categorization of the project under consideration.

Social Safeguards

5. The ADB’s SPS 2009 requires that adverse land acquisition and resettlement (LAR) impacts of development projects are avoided or minimized (if avoidance is not possible), and mitigated and compensated in accordance with IR and IP policy principles and implementation and monitoring procedures. Pakistan’s legal system also safeguards the interests of people related to project-induced acquisition of private land and assets fixed to the land through a set of legal instruments and laws that are explained below. The Enhancing PPP in Punjab Province project (a FI project), will have the following policies and legislations together with project screening and categorization procedures applied to all subprojects financed through VGF of PPP Cell.

6. The SPS 2009 is based on the following objectives: (i) to avoid involuntary resettlement wherever possible; (ii) to minimize involuntary resettlement by exploring project and design alternatives; (iii) to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels; and (iv) to improve the standards of living of the displaced poor and other vulnerable groups. The following principles are applied to reach these objectives:

Table 2: SPS ScopeTriggers and Policy Principles

Scope and Triggers:

The involuntary resettlement safeguards covers physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access

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to legally designated parks and protected areas. It covers them whether such losses and involuntary restrictions are full or partial, permanent or temporary.

Policy Principles:

1 Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks.fgfgd

2 Carry out meaningful consultations with affected persons, host communities, and concerned nongovernment organizations. Inform all displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase.

3 Improve, or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible.

4 Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required.

5 Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing.

6 Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status.

7 Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of nonland assets.

8 Prepare a resettlement plan elaborating on displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule.

9 Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders.

10 Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of project’s costs and benefits. For a project with significant involuntary resettlement impacts, consider

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implementing the involuntary resettlement component of the project as a stand-alone operation.

11 Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation.

12 Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports.

Comparison of LAA 1894 and ADB’s SPS 2009

7. A comparison of Pakistan’s LAA and ADB’s SPS 2009 (Table 3 below) shows that there exist major differences in the two instruments. The objective of this comparison is to identify if and where the two sets of procedures are in conformity with each other and more importantly where there are differences and gaps. The key ADB Policy Principles are (i) the need to screen the project early on the planning stage (ii) carry out meaningful consultation (iii) at the minimum restore livelihood levels to the pre-project conditions and improve the livelihoods of the affected vulnerable groups (iv) prompt compensation at full replacement cost is to be paid (v) provide displaced people with adequate assistance (vi) ensure that displaced people who have no statutory rights to the land that they are working are eligible for resettlement assistance and compensation for the loss of no-land assets and (vii) disclose all reports. Table 3 below presents a gap-analysis between the Pakistan’s LAA and ADB’s SPS 2009.

Table 3: Comparison of LAA and ADB’s SPS 2009

Pakistan LAA 1894 ADB SPS 2009 Proposed Measures to Address Gaps

Compensation for land and other assets is based on average values and department unit rates that do not ensure replacement market value of the property acquired. However, LAA requires that a 15% compulsory acquisition surcharge supplement the assessed compensation.

DPs are to be compensated for all their losses at replacement cost, including transaction cost and other related expenses, without deducting for depreciation.

Land valuation is to be based on current replacement (market) value with an additional payment of 15%. The valuation for the acquired housing land and other assets is the full replacement costs keeping in view the fair market values, transaction costs and other applicable payments that may be required.

No provision for resettlement expenses, income/livelihood rehabilitation measures or allowances for displaced poor and vulnerable groups.

Requires support for rehabilitation of income and livelihood, severe losses, and for vulnerable groups.

Provision should be made to pay for resettlement expenses (transportation and transitional allowances), compensate for loss of income, and provide support to vulnerable persons and those severely impacted (considered to be those losing more than 10% of their productive assets).

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Pakistan LAA 1894 ADB SPS 2009 Proposed Measures to Address Gaps

Lack of formal title or the absence of legally constituted agreements is a bar to compensation/rehabilitation. (Squatters and informal tenants/leaseholders are not entitled to compensation for loss of structures, crops).

Lack of formal title is not a bar to compensation and rehabilitation. All DPs, including non-titled DPs, are eligible for compensation of all non-land assets.

Squatters, informal tenants/ leaseholders are entitled to compensation for loss of structures and livelihood and for relocation.

Land acquisition and compensation process is conducted independently by the Land Acquisition Collector following a lengthy prescribed legal and administrative procedure. There are emergency provisions in the procedure that can be leveraged for civil works to proceed before compensation is paid.

Involuntary resettlement is conceived, planned and executed as part of the project. Affected people are supported to re-establish their livelihoods and homes with time-bound action in coordination with the civil works. Civil works cannot proceed prior to compensation.

Respective EAs will prepare land acquisition and resettlement plans, as part of project preparation based on an inventory of losses, livelihood restoration measures, Pakistan law and principles enumerated in SPS. Where gaps exist in the interpretation of Pakistan law and resettlement practices, requirements of ADB’s involuntary resettlement policy will prevail. Civil works may only proceed after the resettlement plan is implemented and compensation for loss of assets and other allowances (budgeted as part of the project cost) is fully paid.

No convenient grievance redress mechanism except recourse of appeal to formal administrative jurisdiction or the court of law.

Requires the establishment of accessible grievance redress mechanisms to receive and facilitate the resolution of DPs’ concerns about displacement and other impacts, including compensation.

EAs will establish easily accessible grievance redress mechanism available throughout project implementation that will be widely publicized within respective project area and amongst the DPs.

Remedial Measures to Bridge Gaps

8. The following principles (LAR Policy for Punjab PPP Projects) have been adopted in this ESMS to address any gaps in ADB’s SPS and applicable national and pronvicial (Punjab) laws, regulations and acts, etc.

i. LAR Policy for Punjab PPP Projects

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9. All projects/subprojects funded under the Punjab PPP project with ADB’s funding are required to comply with Pakistan’s LAA and the IR and IPs requirements (SR 2 & 3) of ADB’s SPS 2009. Further in case of any gaps (as identified in Table 3 above) in SPS 2009 and Pakistan’s LAA 1894, the following LAR principles/policy measures will be applied to address them:

ii. Involuntary Land Acquisition and Resettlement:

i. Avoid, minimize, mitigate or compensate all adverse impacts resulting out from acquisition of land and/or resettlement impacts (including economic and physical displacement of those affected by the projects) in accordance with LAA 1894 and ADB’s SPS 2009 (SR 2).

ii. All projects/subprojects will be screened against ADB’s Prohibited Investment Activities List (PIAL), and IR and IPs impacts, and accordingly categorized per SPS’s IR/IP impacts significance criterion. Any project involving business activites included in the PIAL will not qualify for FI support using ADB funds.

iii. For projects that involve LAR impacts, LARPs will be prepared, implemented and monitored in accordance with SPS 2009 (SR 2) and applicable national/provincial laws, and monitoring reports provided to ADB and disclosed to DPs.

iv. Non-title holders are also eligible for compensation at replacement costs (SR 2, para 10) for the loss of assets other than land, such as dwellings, and other improvements to the land provided they have been occupying/using the land or structure prior to establisihg the project’s cut-off date for eligibility for compensation/resettlement assistance. Special efforts will be made to identify the displaced persons losing livelihood (who are considered vulnerable) and will be provided with appropriate targeted assistance to help improve their standard of living or enable restoration to at least the pre-project conditions. No forced evictions will be carried out except in accordance with the provisions/entitlements and agreements with DPs as provided in the project-specific LARP and SPS 2009.

iii. Indigenous Peoples Impacts

10. Any project involving impacts on indigenous peoples who are defined in SPS as distinct, vulnerable, social and cultural group possessing the following charateristics in varying degrees; (i) self-identification as memebrs of a distinct indigenous cultural group and recognition of this identity by others; (ii) collective attachment to geographically distinct habitats or ancestral territories in the protected areas and to the natural resources in these habitats and territories; (iii) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and (iv) a distinct language, often different from the official language of the country or region.

i. An Indigenous People Plan (IPP) will be prepared, implemented and monitored in accordance with SPS 2009 (SR 3) for all projects that involve impacts on IPs as described in item V above.

ii. All projects involving both IR and IPs impacts will be screened (for IR, IPs and PIAL) and categorized, based on the SPS’s impacts significance threshold, first by PPP nodes (through environment and resettlement specialists deputed or to be hired by PPP nodes), LARPs and/or IPPs prepared, reviewed by PPP Cell (through enviorment and resettlement specialists deputed or to be hired), and implemented and monitored with monitoring reports provided to ADB on a semiannual basis and disclosed to DPs by PPP Cell.

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6.1. ADB’s Indigenous Peoples Safeguards

Objectives: To design and implement projects in a way that fosters full respect for Indigenous Peoples’ identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the Indigenous Peoples themselves so that they (i) receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of projects, and (iii) can participate actively in projects that affect them.

Table 4: ADB’s Indigenous Peoples (IP) Policy Principles

S# Policy principle

Summary

1 Screening and categorization

Screen early on to determine (i) whether Indigenous Peoples are present in, or have collective attachment to, the project area; and (ii) whether project impacts on Indigenous Peoples are likely.

2 Impact assessment

Undertake a culturally appropriate and gender-sensitive social

impact assessment or use similar methods to assess potential project impacts, both positive and adverse, on Indigenous Peoples. Give full consideration to options the affected Indigenous Peoples prefer in relation to the provision of project benefits and the design of mitigation measures. Identify social and economic benefits for affected Indigenous Peoples that are culturally appropriate and gender and intergenerationally inclusive and develop measures to avoid, minimize, and/or mitigate adverse impacts on Indigenous Peoples.

3 Meaningful Consultations

Condcuted meaningful consultations with affected Indigenous Peoples communities and concerned Indigenous Peoples

organizations to solicit their participation (i) in designing, implementing, and monitoring measures to avoid adverse impacts or, when avoidance is not possible, to minimize, mitigate, or compensate for such effects; and (ii) in tailoring project benefits for affected Indigenous Peoples communities in a culturally appropriate manner. To enhance Indigenous Peoples’ active participation, projects affecting them will provide for culturally appropriate and gender inclusive capacity development. Establish a culturally appropriate and gender inclusive grievance mechanism to receive and facilitate resolution of the Indigenous Peoples’ concerns.

4 Information disclosure

.Ascertain the consent of affected Indigenous Peoples

communities to the following project activities: (i) commercial development of the cultural resources and knowledge of Indigenous Peoples; (ii) physical displacement from traditional or customary lands; and (iii) commercial development of natural resources within customary lands under use that would impact the livelihoods or the cultural, ceremonial, or spiritual uses that define the identity and community of Indigenous Peoples. For the purposes of policy application, the consent of affected Indigenous Peoples communities refers to a collective expression by the affected Indigenous Peoples communities, through individuals and/or their recognized representatives, of broad community support for such project activities. Broad

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S# Policy principle

Summary

community support may exist even if some individuals or groups object to the project activities.

5 Mitigation Measures

Avoid, to the maximum extent possible, any restricted access to and physical displacement from protected areas and natural resources. Where avoidance is not possible, ensure that the

affected Indigenous Peoples communities participate in the design, implementation, and monitoring and evaluation of management arrangements for such areas and natural resources and that their benefits are equitably shared.

6 Indigenous Peoples plan

Prepare an Indigenous Peoples plan (IPP) that is based on the social impact assessment with the assistance of qualified and experienced experts and that draw on indigenous knowledge and participation by the affected Indigenous Peoples communities. The IPP includes a framework for continued consultation with the affected Indigenous Peoples communities during project implementation; specifies measures to ensure that Indigenous Peoples receive culturally appropriate benefits; identifies measures to avoid, minimize, mitigate, or compensate for any adverse project impacts; and includes culturally appropriate grievance procedures, monitoring and evaluation arrangements, and a budget and time-bound actions for implementing the planned measures.

7 Disclosure of Disclose a draft IPP

Disclose a draft IPP, including documentation of the consultation

process and the results of the social impact assessment in a timely manner, before project appraisal, in an accessible place and in a form and language(s) understandable to affected Indigenous Peoples communities and other stakeholders. The final IPP and its updates will also be disclosed to the affected Indigenous Peoples communities and other stakeholders.

8 An action plan

Prepare an action plan for legal recognition of customary rights to lands and territories or ancestral domains when the project involves (i) activities that are contingent on establishing legally recognized rights to lands and territories that Indigenous Peoples have traditionally owned or customarily used or occupied, or (ii) involuntary acquisition of such lands.

9 Monitoring of Implementation of IPP

Monitor implementation of the IPP using qualified and

experienced experts; adopt a participatory monitoring approach, wherever possible; and assess whether the IPP’s objective and desired outcome have been achieved, taking into account the

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S# Policy principle

Summary

baseline conditions and the results of IPP monitoring. Disclose monitoring reports.

Incorporating Social Dimensions and Social Protection

11. ADB Social Protection Strategy (2001) requires ADB to (a) ensure that vulnerable groups that maybe negatively affected by an ADB intervention are adequately compensated and mitigation measures put in place to avoid creating further poverty, (b) comply with internationally recognized core labor standards in the design and formulation of loans, and (c) as part of its regular loan reviews, monitor that these are complied with ADB’s Social Protection Strategy (2001).

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ANNEXURE – II: INDICATIVE LIST OF MEA’s, LEGISLATION AND GUIDELINES APPLICABLE TO PUNJAB

Indicative list of MEA’s, legislation and guidelines applicable to Punjab

Multilateral Environmental Agreements

Convention on Biological Diversity (CBD). Ratified 26 Jul 1994. Followed by Cartagena Protocol on Biosafety (Cartagena Protocol). Signed 4 Jun 2001.

Pakistan Biosafety Rules, 2005.

National Biosafety Guidelines, 2005.

Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (Basel Convention). Accessed 26 Jul 1994.

Convention Concerning the Protection of the World Cultural and Natural Heritage (World Heritage Convention). Ratified 23 Jul 1976.

Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES). Accessed 20 Apr 1976.

Convention on the Conservation of Migratory Species of Wild Animals (CMS). Signed 1 Dec 1987.

Convention on the International Maritime Organization (IMO). Signed 1958.

Convention on Wetlands of International Importance (Ramsar Convention). Signed 23 Nov 1976. Followed by Paris Protocol of 1982.

International Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA). Accessed 2 Sep 2003.

Montreal Protocol on Substances that Deplete the Ozone Layer (Montreal Protocol). Accessed 18 Dec 1992.

Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides International Trade (PIC). Ratified 14 Jul 2005.

South Asia Co-operative Environment Programme (SACEP). Member 1982.

Stockholm Convention on Persistent Organic Pollutants (POPs). Signed 6 Dec 2001.

United Nations Convention to Combat Desertification (UNCCD). Ratified 24 Feb 1997.

United Nations Framework Convention on Climate Change (UNFCCC). Ratified 1 Jun 1994.

Kyoto Protocol to the UNFCCC (Kyoto Protocol). Accessed 11 Jan 2005.

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Vienna Convention for the Protection of the Ozone Layer (Vienna Convention). Accessed 18 Dec 1992.

International Plant Protection Convention. Adhered 10 Nov 1954.

Agreement for the Establishment of a Commission for Controlling the Desert Locust in the Eastern Region of its Distribution Area in South-West Asia (as amended), Rome, 1963.

Agreement on the Network of Aquaculture Centres in Asia and the Pacific, Bangkok, 1988.

Plant Protection Agreement for the South-East Asia and Pacific Region (as amended), Rome, 1956.

Vienna Convention for the Protection of the Ozone Layer, Vienna, 1985.

Laws

Punjab Environmental Protection Act, 1997 (Amended 2012)

Punjab Prohibition on Manufacture, Sale, Use and Import of Polythene Bags (Black or any other Polythene bag Below Fifteen Micro Thickness) Ordinance, 2002

Rules/Regulations

Punjab Environmental Protection Council (Procedure) Rules, 2016

Punjab Environmental Quality Standards for Muncipal And Liquid Industrial Effluents

Punjab Environmental Quality Standards for Drinking Water

Punjab Environmental Quality Standards For Motor Vehicle Exhaust and Noise

Punjab Environmental Quality Standards for Ambient Air

Punjab Environmental Quality Standards for Noise

Punjab Environmental Quality Standards for Treatment of Liquid and Disposal of Bio-medical Waste

Punjab Environmental Quality Standards For Industrial Gaseous Emissions

Environmental Tribunal Rules, 1999

Review of IEE & EIA Regulations, 2000

Certification of Environmental Laboratories Regulations, 2000

Provincial Sustainable Development Fund Board (Procedure) Rules, 2001

Environmental Samples Rules, 2001

NEQS SMART Rules, 2001

Pollution Charge Rules, 2001

Provincial Sustainable Development Fund (Utilization) Rules, 2003

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The Punjab Polythene Bag Rules, 2004

Hosptial Waste Mnagement Rules, 2005

Biosaftey Rules, 2005

Environmental Tribunal Rules, 2012

Punjab Environmental Protection Base Transceiver Station (BTS) Regulations, 2012

Punjab Environmental Protection Motor Vehicles Rules, 2013

Punjab Environmental Protection Administrative Penalty Rules, 2013

Punjab Bio-safety Rules, 2014

Punjab Hospital Waste Management Rules, 2014

Environmental Quality Standards

National Environmental Quality Standards for Municipal and Liquid Industrial Effluent, Industrial Gaseous Emissions, and Motor Vehicle Exhaust and Noise, 1993. Pakistan Environmental Protection Agency, Government of Pakistan. Notified 24 Aug 1993; amended 8 Aug 2000 and 16 May 2009.

National Environmental Quality Standards for Ambient Air, Drinking Water and Noise, 2010. Pakistan Environmental Protection Agency, Government of Pakistan. Notified 18 Oct 2010.

Guidelines

Guidelines for the Preparation and Review of Environmental Reports, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Guidelines for Public Consultation, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Guidelines for Sensitive and Critical Areas, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Major Thermal Power Stations, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Major Chemical and Manufacturing Plants, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Housing Estates and New Town Development, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Industrial Estates, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Major Roads, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Major Sewerage Schemes, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

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Sectoral Guidelines: Oil and Gas Exploration, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

National Biosafety Guidelines, 2005. Pakistan Environmental Protection Agency, Government of Pakistan

Sectoral Guidelines for Environmental Reports: Wind Power Projects, 2010. Pakistan Environmental Protection Agency, Government of Pakistan.

Operations Manuals

Pakistan Environmental Assessment Procedures, 1997. Government of Pakistan.

Policy and procedures for the filing, review and approval of environmental assessments, 1997. Government of Pakistan.

Pakistan Environmental Legislation and the NEQS, 1997. Government of Pakistan.

Codes of Practice

Sectoral Guidelines for Upstream Petroleum Sector – Onshore, 2004 (Volume 1 & 2). Pakistan Petroleum Exploration and Production Companies Association.

Compliance with International Standards – Guidelines for Textile Industry. Small & Medium Enterprise Development Authority.

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ANNEXURE – III: PEPA - PROJECTS REQUIRING AN IEE

PEPA - Projects requiring an Initial Environmental Examination

SCHEDULE I

(See Regulation 3)

LIST OF PROJECTS REQUIRING AN IEE

1. A.Agriculture, Livestock and Fisheries etc.

1. Poultry, livestock, stud and fish farms with total cost of more than Rs.10 million

2. Projects involving repacking, formulation or warehousing of agricultural produce

2. B. Energy

1. Hydroelectric power generation less than 50 MW

2. Thermal power generation less than 200 MW

3. Transmission lines less than 11 KV, and large distribution projects

4. Oil and gas transmission systems

5. Oil and gas extraction projects including exploration, production, gathering systems, separation and storage

6. Waste-to-energy generation projects

3. C. Manufacturing and processing

1. Ceramics and glass units with total cost of more than Rs.50 million

2. Food processing industries including sugar mills, beverages, milk and dairy products, with total cost less than Rs. 100 million

3. Man-made fibers and resin projects with total cost of less than Rs. 100 million

4. Manufacturing of apparel, including dyeing and printing, with total cost of more than Rs.25 million

5. Wood products with total cost of more than Rs.25 million

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4. D. Mining and mineral processing

1. Commercial extraction of sand, gravel, limestone, clay, sulphur and other minerals not included in Schedule II with total cost of less than Rs.100 million

2. Crushing, grinding and separation processes

3. Smelting plants with total cost of less than Rs.50 million

5. E. Transport

1. Federal or Provincial highways (except maintenance, rebuilding or re-construction of existing metalled roads) with total cost of less than Rs.50 million

2. Ports and harbor development for ships less than 500 gross tons

6. F Water management, dams, irrigation and flood protection

1. Dams and reservoirs with storage volume less than 50 million cubic meters of surface area less than 8 square kilometers

2. Irrigation and drainage projects serving less than 15,000 hectares

3. Small-scale irrigation systems with total cost less than Rs.50 million

7. G. Water supply and treatment

Water supply schemes and treatment plants with total cost of less than Rs.25 million

8. H. Waste disposal

Waste disposal facility for domestic or industrial wastes, with annual capacity less than 10,000 cubic meters

9. I. Urban development and tourism

1. Housing schemes

2. Public facilities with significant off-site impacts e.g. hospital wastes

3. Urban development projects

10. J. Other projects

Any other project for which filing of an IEE is required by the Federal Agency under subregulation (2) of Regulation 5

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ANNEXURE – IV: PEPA - PROJECTS REQUIRING AN EIA

PEPA - Projects requiring an Initial Environmental Examination

SCHEDULE II

(See Regulation 4)

LIST OF PROJECTS REQUIRING AN EIA

11. A. Energy

1. Hydroelectric power generation over 50 MW

2. Thermal power generation over 200 MW

3. Transmission lines (11 KV and above) and grid stations

4. Nuclear power plants

5. Petroleum refineries

12. B. Manufacturing and processing

1. Cement plants

2. Chemicals projects

3. Fertilizer plants

4. Food processing industries including sugar mills, beverages, milk and dairy products, with total cost of Rs. 100 million and above

5. Industrial estates (including export processing zones)

6. Man-made fibers and resin projects with total cost of Rs. 100 M and above

7. Pesticides (manufacture or formulations)

8. Petrochemicals complex

9. Synthetic resins, plastics and man-made fibers, paper and paperboard, paper pulping, plastic products, textiles (except apparel),printing and publishing, paints and dyes, oils and fats and vegetable ghee projects, with total cost more than Rs. 10 million

10. Tanning and leather finishing projects

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13. C. Mining and mineral processing

1. Mining and processing of coal, gold, copper, sulphur and precious stones

2. Mining and processing of major non-ferrous metals, iron and

steel rolling 3. Smelting plants with total cost of Rs.50 million and

above

14. D. Transport

1. Airports

2. Federal or Provincial highways or major roads (except maintenance, rebuilding or re-construction of existing roads) with total cost of Rs.50 million and above

3. Ports and harbor development for ships of 500 gross tons and above

4. Railway works

15. E. Water management, dams, irrigation and flood protection

1. Dams and reservoirs with storage volume of 50 million cubic meters andabove or surface area of 8 square kilometers and above

2. Irrigation and drainage projects serving 15,000 hectares and above

16. F. Water supply and treatment

Water supply schemes and treatment plants with total cost of Rs.25 million and above

17. G. Waste Disposal

1. Waste disposal and storage of hazardous or toxic wastes including landfill sites and incineration of hospital toxic waste

2. Waste disposal facilities for domestic or industrial wastes, with annual capacity more than 10,000 cubic meters

18. H. Urban development and tourism

1. Land use studies and urban plans in large cities

2. Large-scale tourism development projects with total cost more than Rs.50 million

19. I. Environmentally Sensitive Areas

All projects situated in environmentally sensitive areas

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20. J Other projects

1. Any other project for which filing of an EIA is required by the Federal Agency under sub-regulation (2) of Regulation 5.

2. Any other project likely to cause an adverse environmental effect

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ANNEXURE – V : PROCEDURAL AND SECTORAL GUIDELINES FOR ENVIRONMENTAL ASSESSMENT

Procedural and Sectoral Guidelines for Environmental Assessment

Guidelines for the Preparation and Review of Environmental Reports, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Guidelines for Public Consultation, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Guidelines for Sensitive and Critical Areas, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Major Thermal Power Stations, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Major Chemical and Manufacturing Plants, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Housing Estates and New Town Development, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Industrial Estates, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Major Roads, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Major Sewerage Schemes, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines: Oil and Gas Exploration, 1997. Pakistan Environmental Protection Agency, Government of Pakistan.

National Biosafety Guidelines, 2005. Pakistan Environmental Protection Agency, Government of Pakistan.

Sectoral Guidelines for Environmental Reports: Wind Power Projects, 2010. Pakistan Environmental Protection Agency, Government of Pakistan.

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Annexure VI

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ANNEXURE – VII: PUNJAB ENVIRONMENTAL QUALITY STANDARDS

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Annexure – VIII: PEPA & ADB Project Environmental Assessment Guidelines

PEPA & ADB Project Environmental Assessment Guidelines

Category ‘A’ projects

EIA Preparation

Once the categorization for the project is agreed by both ADB and in accordance with national environmental guidelines, the PPP Cell will inform the Node to get the EIA study conducted by ensuring the Transaction Advisor engages reputed consultants.

The EIA will be prepared to meet national environmental regulations and guidelines as well as the ADB SPS, 2009 requirements and standards.

The PPP Cell ESMS Focal person will approve this draft version of the EIA report prior to submitting to ADB and PEPA for review.

ADB review process

The ADB project focal staff will review the report and assess compliance in terms of quality and compliance with the ADB SPS, 2009.

After review by the project environmental focal team and issuance of any comments, the report will be shared with the ADB SDCC department for review and any comments on the report.

All comments will be compiled by ADB and provided to the PPP Cell ESMS Focal person, who will share the comments wilh the Node and submit the revised EIA report with all comments incorporated to ADB for a second review.

Upon satisfactory review of this revised EIA draft report, this version of the report will be placed on the ADB website for public disclosure for a minimum period of 120 days prior to Board consideration and release of funds by the PPP Cell.

PEPA review process

In parallel to this process of ADB review and approval, the EIA report will be submitted to the Punjab EPA for seeking environmental approval. The specific process for review of the application by PEPA is as follows:

The Punjab EPA will scrutinize the EIA report for its completeness within 15 days of submission and may require additional information.

The Punjab EPA will arrange a public hearing of the relevant stakeholders through public notice in the national and local newspapers as well as website regarding the date, time and venue of public hearing on the EIA report.

The notice period will not be less than 30 days and during this period, copies of the EIA report will be made available at the EPA offices as well as offices of the proponent, i.e. relevant PPP Node or the potential concessionaire in case of unsolicited proposal.

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The video evidence of the Public Hearing is mandatory to be submitted by the proponent under Regulation 13(1) of the Punjab EPA Review of EIA regulations, 2000.

The PEPA will also circulate the EIA to the concerned Government Agencies and solicit their comments, which will be collated, tabulated and duly considered by it before making a decision on the EIA.

The PEPA will commission a review and/or field visit(s) of the proposed project site by its staff or a committee of experts.

Once the review and feedback process is complete, the PEPA will communicate its approval of the EIA along with conditions of approval, or other wise to the proponent – the PPP Node in most cases but the potential concessionaire in case of unsolicited proposal.

Upon receiving the environmental approval with conditions, the proponent will acknowledge acceptance of the stipulated conditions through an undertaking before commencing construction or operation of the project.

The proponent will request to the PEPA for confirmation of compliance accompanied by an Environmental Management Plan indicating the measures and procedures proposed to be taken to manage or mitigate the environmental impacts for the life of the project, including provisions for monitoring, reporting and auditing.

The PEPA will issue the requisite confirmation of compliance, ideally within 20 days, and may impose some other conditions regarding the Environmental Management Plan, operation, maintenance and monitoring of the project.

Since, in most cases, the EMP is submitted along with the EIA report, and the environmental approval includes conditions to be met with regards to the EMP, this step is merely procedural.

The PEPA is bound to complete the review of an EIA report within four months. If a decision on the EIA report is not made and communicated to the proponent within this deadline, the same would be deemed approved.

Category ‘B’ projects

IEE Preparation

Once the categorization for the project is agreed by both ADB and in accordance with national environmental guidelines, the Terms of Reference for the IEE will be prepared by the PPP Node and provided to the PPP Cell and will then be shared with ADB.

Any comments from PPP Cell or ADB will be incorporated into the ToRs for the study.

The IEE will be prepared by the PPP Node to meet national environmental regulations and guidelines as well as the ADB SPS, 2009 requirements and standards.

The PPP Cell will review and approve this draft version of the IEE report prior to submitting to ADB for review and comments.

Any comments from ADB will be incorporated into the IEE report by PPP Node and this finalized version of the report shall be submitted to the respective EPA for review.

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ADB review process

The ADB project focal staff will review the report and assess compliance in terms of quality and compliance with the ADB SPS, 2009.

The project environmental focal team will issue comments (if any), which will be compiled and provided to the PPP Cell who will share the comments will the Node that will in turn share the comments with the environment consultant and submit the revised IEE report with all comments incorporated to ADB for a second review.

Upon satisfactory review of this revised IEE draft report, this version of the report will be approved internally and placed on the ADB website for public disclosure.

EPA review process

The EPA will scrutinize the IEE report for its completeness within 15 days of submission and may require additional information.

The EPA will also circulate the IEE report to the concerned Government Agencies and solicit their comments, which will be collated, tabulated and duly considered by it before decision on the IEE report.

The EPA will commission review and/or field visit of the proposed project site to its staff or a committee of experts.

Once the review and feedback process is complete, the EPA will communicate its approval of IEE along with conditions of approval, or otherwise to the PPP Node.

Upon receiving the environmental approval with conditions, the PPP Node will acknowledge acceptance of the stipulated conditions through an undertaking before commencing construction or operations of the project. The PPP Node will request to the EPA for confirmation of compliance accompanied by an Environmental Management Plan indicating the measures and procedures proposed to be taken to manage or mitigate the environmental impacts for the life of the project, including provisions for monitoring, reporting and auditing.

The EPA will issue the requisite confirmation of compliance, ideally within 20 days, and may impose some other conditions regarding the Environmental Management Plan, operation, maintenance and monitoring of the project.

Since, in most cases, the EMP is submitted along with the environmental assessment report, and the environmental approval includes conditions to be met with regard to EMP, this step is merely procedural.

The EPA is bound to complete the review of an IEE within 60 days. If a decision on the IEE report is not made and communicated to the proponent within this deadline, the same would be deemed approved.

Category ‘C’ projects

REA/ Performa

An IEE Performa on the format as provided by EPA shall be completed while in the case of fulfillment of ADB requirements, an ADB REA Checklist will be completed by choosing the applicable Checklist, based on the respective project sector.

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ADB review process

The completed REA Checklist will be submitted to the ADB project team, which will review the information provided and might request for additional information, if felt necessary. Once satisfied with the project information provided, the categorization of the project as Category ‘C’ will be confirmed. If felt necessary, due diligence visits will be conducted during the project construction phase to ensure as per REA Checklist, no significant impacts are taking place in the project area(s).

EPA review process

The EPA will scrutinize the IEE Performa for its completeness within 15 days of submission and may require additional information.

The EPA will also circulate the IEE Performa to the concerned Government Agencies and solicit their comments, which will be collated, tabulated and duly considered by it before the decision on the Performa.

Once the review and feedback process is complete, the EPA will communicate its approval of the Performa along with conditions of approval, or otherwise to the PPP Node.

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Annexure – IX: ADB’s Social Protection Requirements

ADB’s Social Protection Requirements

1. The Social Protection Strategy requires PPP Cell to comply with applicable labor laws in relation to the Investment. Sub-borrowers should take the following measures to comply with the core labor standards11:

(a) Carry out its activities consistent with the intent of ensuring legally permissible equal opportunity, fair treatment and non-discrimination in relation to recruitment and hiring, compensation, working conditions and terms of employment for its workers (including prohibiting any form of discrimination against women during hiring and providing equal work for equal pay for men and women engaged by the sub-borrower);

(b) Not restrict its workers from developing a legally permissible means of expressing their grievances and protecting their rights regarding working conditions and terms of employment; and

(c) Engage contractors and other providers of goods and services:

(i) Who do not employ child labor12 or forced labor13;

(ii) Who have appropriate management systems that will allow them to operate in a manner which is consistent with the intent of (A) ensuring legally permissible equal opportunity and fair treatment and nondiscrimination for their workers, and (B) not restricting their workers from developing a legally permissible means of expressing their grievances and protecting their rights regarding working conditions and terms of employment; and

(iii) Whose subcontracts contain provisions, which are consistent with paragraphs (i) and (ii) above.

2. The above measures should be incorporated in the sub-borrowers’ environmental (and/or social) management plan (ESMP).

3. The monitoring and reporting requirements should also state that the (i) the sub-borrower will provide PPP Cell with a semi-annual report on its compliance with the measures identified above. PPP Cell should monitor the compliance of the sub-borrower and include this in the Semi-Annual Environmental and Social Performance Report.

11 The core labor standards are the elimination of all forms of forced or compulsory labor; the abolition of child

labor; elimination of discrimination in respect of employment and occupation; and freedom of association and the effective recognition of the right to collective bargaining, as per the relevant conventions of the International Labor Organization.

12 Child labor means the employment of children whose age is below the statutory minimum age of employment in Pakistan, or employment of children in contravention of International Labor Organization Convention No. 138 ‘Minimum Age Convention” (www.ioo.org).

13 Forced labor means all work or services not voluntarily performed, that is, extracted from individuals under threat of force or penalty.

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ANNEXURE – X: ToRs for ESMS Focal Person - PPP Cell

ToRs for ESMS Focal Person - PPP Cell

Context

1. The ESMS Focal person will report to the Member PPP Cell and ensure that adequate resources are committed to allow for the effective implementation of this ESMS policy and procedures.

Responsibilities

2. The key ESMS related tasks of this Focal person will be as provided below:

(i) Serve as overall ESMS focal person and have oversight for environmental and social issues (including involuntary resettlement, indigenous peoples’ issues, gender, labor, and other social risks) in VGF-funded projects;

(ii) Ensure that relevant units within the PPP Cell, RMU, PPP Nodes and PPP proponents are fully aware of the ESMS, including the policy, standards, and procedures;

(iii) Serve as primary link on the safeguards screening, safeguards review and supervision; (iv) Advise the PPP Cell and RMU (as required) on emerging safeguards issues and risks

and propose appropriate measures for addressing these issues and risks; (v) Sign and endorse the annual environmental and social performance report for

submission to ADB, and ensure that ADB is notified if and when the responsible staff has been changed or replaced;

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ANNEXURE – XI: ToRs for Environment Specialist-PPP Cell

ToRs for Environment Specialist-PPP Cell

Context

1. The PPP Cell intends to hire services of an Environment Specialist to ensure compliance of environmental safeguards, especially in terms of environmental impact assessment. Reporting to the PPP Cell focal person, the incumbent will have the following specific responsibilities.

Responsibilities

i. Support the ESMS Focal in PPP Cell, in finalization, implementation, and continual improvement of Environmental and Social Management System (ESMS);

ii. Identify, monitor and report environmental issues for PPP Projects; iii. Provide technical advice on environmental safeguard compliance issues; iv. Provide input on environment issues (including providing necessary advice to the PPP

Cell on the relevant cost items in the proposal) for the preparation of working paper; v. Provide support to PPP Cell in the review of PDF request for adequacy of

environmental assessment costs; vi. Proactively integrate environmental policies and safeguards into PPP process; vii. Provide technical advice and support for the screening/categorization of project

proposals for environmental impacts and climate change risks, and recommend further due diligence required for processing of the proposal to the PPP Nodes on environmental assessment;

viii. Prepare semi-annual environmental monitoring reports; ix. Review the annual environmental performance report for submission to ADB and other

IFIs x. Organize and conduct trainings on environmental aspects be incorporated in PPP

proposals; xi. Review and comment on Environmental Impact Assessment Reports; xii. Supervise the review of environmental assessment reports and plans, confirm

compliance with Punjab EPA regulations and prepare due diligence report for category A/B projects

xiii. Assess the potential environmental impacts and risks associated with PPP projects, including screening and categorization of the projects;

xiv. Liaison with the environment related regulatory authorities like Environment Protection Agency (EPA) etc.

xv. Inform the ESMS Focal on emerging environmental safeguards issues, risks and complaints and propose appropriate measures for addressing these

xvi. For environment category A projects, facilitate the submission of the EIA for ADB and other IFI’s review, where applicable

xvii. Coordinate monitoring of the compliance of agreed mitigation measures by the relevant Government Agency and the contractor

xviii. Track record of development and disclosure of periodic (normally biannual) Environmental Monitoring Reports as well as Corrective Action Plan(s), and submission of the same to the relevant authorities, including Punjab EPA, PPP Cell, ADB and other IFI’s;

xix. Report any violations of the environmental safeguards and recommend potential actions to ESMS Focal.

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xx. In coordination with the social specialist record and track resolution of project’s complains.

xxi. Any other environment-related task assigned by the competent authority.

Qualifications

Master’s degree in Environment Sciences from HEC recognized national or international university;

At least 8 years’ experience in environmental safeguards management, especially environmental screening, assessment including identification of potential impact and analysis of alternatives, management planning and monitoring;

Familiarity with concepts of Public Private Partnerships;

Should be able to analyze and solve problems;

Should be able to work independently as well as part of a team;

Excellent IT and communication skills;

Maximum age limit is 45 years.

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ANNEXURE – XII: ToRs for Social Safeguards Specialist-PPP Cell

ToRs for Social Safeguards Specialist - PPP Cell

Context

1. The PPP Cell intends to hire services of a Social Safeguards Specialist to ensure compliance of social safeguards. Reporting to the PPP Cell focal person, the incumbent will have the following specific responsibilities.

Responsibilities

(i) Support the ESMS Focal in PPP Cell, in finalization, implementation, and continual improvement of Environmental and Social Management System (ESMS);

(ii) Establish social management system including screening and categorizing PPP projects for social safeguards;

(iii) Provide input on social safeguard issues for the preparation of working paper on PPP project;

(iv) Identify the social safeguards issues aspects in the project activities; (v) Review PPP proposals with a social lens considering social aspects in PPP

projects and its implementation in line with Social Impact Assessment Guidelines (vi) Coordination with concerned departments regarding environmental and social

commitments and initiatives; (vii) Organize and conduct trainings on Social Safeguards and facilitate understanding

of social integration and mainstreaming in project orientation workshops and other events;

(viii) Develop social indicators in line with Social Guidelines and international benchmarks;

(ix) Provide input on social issues for the preparation of working paper on PPP project; (x) Assess the potential social impacts and risks associated with PPP projects; (xi) Provide technical direction for social safeguards management in PPP projects; (xii) Coordination, collaboration and liaison with concerned departments; (xiii) Review the proposals that are earmarked for VGF support to be financed by

funding from IFIs ensuring that the proposals have been screened for the IFI’s safeguards requirements;

(xiv) Review the responsiveness of safeguard documents with SPS, ESMS or any gaps in the documents and advise appropriate actions to address the gaps;

(xv) Review social monitoring reports ensuring that social safeguard provisions of LARPs and ESMS are fully implemented and complied with;

(xvi) For IR category A subprojects, ensure the submission of the LARP for IFI review and approval, where applicable.

(xvii) Provide support to the PPP Nodes during the LARP review process; (xviii) Track record of development and disclosure of periodic (normally biannual) Social

Monitoring Reports as well as any Corrective Action Plan(s), and circulate to PPP cell, ADB and other IFIs;

(i) Report any violations of the social safeguards and recommend potential actions to ESMS Focal

(ii) Oversee the implementation and monitoring of gender-related actions; and (iii) Any other task assigned by the competent authority.

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Qualifications

At least master’s degree in Sociology from HEC recognized national or international university;

At least 8 years’ experience in social safeguards management, especially related to involuntary resettlement, indigenous peoples, social assessments and developing land acquisition and resettlement plans.






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ANNEXURE – XIII: ToRs for Gender Specialist-PPP Cell

ToRs for Gender Specialist - PPP Cell

Context

1. The PPP Cell intends to hire services of a Gender Specialist to ensure compliance related to gender issues. Reporting to the PPP Cell focal person, the incumbent will have the following specific responsibilities.

Responsibilities

(i) Develop the “Guidelines on Reviewing PPP Proposals with a Social and Gender Lens”;

(ii) Develop a gender strategy for PPP Cell; (iii) Provide input on gender issues; (iv) Ensure gender mainstreaming in PPPs; (v) Develop a gender training module for government bodies relevant to PPP; (vi) Conduct gender training to RMU, PPP Cell, and select line departments; (vii) Orient relevant staff of the PPP Cell and RMU on the use of the Guidelines on

Reviewing PPP Proposals; Provide guidance and technical assistance to PPP Nodes in conducting gender responsive PPP projects;

(viii) Identify gender gaps and propose recommendations in PPP proposals; (ix) Develop and monitor gender indicators for PPP Projects; (x) Report on all the activities done, including lessons learned, and recommendations

to sustain the practice of doing a social and gender-inclusive assessment of PPP proposals; and

(xi) Any other task assigned by the Competent Authority.

Qualifications

At least master’s degree in Gender Studies from HEC recognized national or international university;

At least 8 years’ experience in relevant field.






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ANNEXURE – XIV PROHIBITED INVESTMENT ACTIVITIES LIST (PIAL)

Prohibited Investment Activities List

The following do not qualify for PPP Cell financing:

(i) Production or activities involving harmful or exploitative forms of forced labor14 or child labor;15

(ii) Production of or trade in any product or activity demed illegal under host country laws or regulations or international conventions and agreements or subject to international phaseouts or

bans, such as (a) pharmaceuticals,16 pesticides, and herbicides,17 (b) ozone-depleting substances,18

(c) polychlorinated biphenyls19 and other hazardous chemicals,20 (d) wildlife or wildlife products

regulated under the Convention on International Trade in Endangered Species of Wild Fauna and

Flora,21 and (e) transboundary trade in waste or waste products;22

(iii) Production of or trade in weapons and munitions, including paramilitary materials;

(iv) Production of or trade in alcoholic beverages, excluding beer and wine;23

(v) Production of or trade in tobacco;24

(vi) Gambling, casinos, and equivalent enterprises;25

(vii) Production of or trade in radioactive materials,26 including nuclear reactors and components

thereof;

(viii) Production of, trade in, or use of unbonded asbestos fibers;27

(ix) Commercial logging operations or the purchase of logging equipment for use in primary tropical moist forests or old-growth forests; and

14 Forced labor means all work or services not voluntarily performed, that is, extracted from individuals under

threat of force or penalty. 15 Child labor means the employment of children whose age is below the host country’s statutory minimum age of

employment or employment of children in contravention of International Labor Organization Convention No. 138 “Minimum Age Convention” (www.ilo.org).

16 A list of pharmaceutical products subject to phaseouts or bans is available at http://www.who.int. 17 A list of pesticides and herbicides subject to phaseouts or bans is available at http://www.pic.int. 18 A list of the chemical compounds that react with and deplete stratospheric ozone resulting in the widely

publicized ozone holes is listed in the Montreal Protocol, together with target reduction and phaseout dates. Information is available at http://www.unep.org/ozone/montreal.shtml.

19 A group of highly toxic chemicals, polychlorinated biphenyls are likely to be found in oil-filled electrical transformers, capacitors, and switchgear dating from 1950 to 1985.

20 A list of hazardous chemicals is available at http://www.pic.int. 21 A list is available at http://www.cites.org. 22 As defined by the Basel Convention; see http://www.basel.int. 23This does not apply to subproject sponsors who are not substantially involved in these activities. Not

substantially involved means that the activity concerned is ancillary to a subproject sponsor's primary operations.

24This does not apply to subproject sponsors who are not substantially involved in these activities. Not substantially involved means that the activity concerned is ancillary to a subproject sponsor's primary operations.

25This does not apply to subproject sponsors who are not substantially involved in these activities. Not substantially involved means that the activity concerned is ancillary to a subproject sponsor's primary operations.

26 This does not apply to the purchase of medical equipment, quality control (measurement) equipment, and any equipment for which the radioactive source to be trivial and adequately shielded.

27 This does not apply to the purchase and use of bonded asbestos cement sheeting where the asbestos content is less than 20%.

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(x) Marine and coastal fishing practices, such as large-scale pelagic drift net fishing and fine mesh net fishing, harmful to vulnerable and protected species in large numbers and damaging to marine biodiversity and habitats.

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ANNEXURE – XV: ADB ENVIRONMENTAL ASSESSMENT CHECKLISTS FOR DIFFERENT PROJECT TYPES

URBAN DEVELOPMENT PROJECTS

Rapid Environmental Assessment (REA) Checklist

Instructions:

Answer the questions assuming the “without mitigation” case. The purpose is to identify potential impacts. Use the “remarks” section to discuss any anticipated mitigation measures.

Screening Questions Yes No Remarks

A. Project Siting Is the project area…

Densely populated?

Heavy with development activities?

Adjacent to or within any environmentally sensitive areas?

Cultural heritage site

Protected Area

Wetland

Mangrove

Estuarine

Buffer zone of protected area

Special area for protecting biodiversity

Bay

B. Potential Environmental Impacts Will the Project cause…

Impacts on the sustainability of associated sanitation and solid waste disposal systems and their interactions with other urban services.

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Deterioration of surrounding environmental conditions due to rapid urban population growth, commercial and industrial activity, and increased waste generation to the point that both manmade and natural systems are overloaded and the capacities to manage these systems are overwhelmed?

Degradation of land and ecosystems (e.g. loss of wetlands and wild lands, coastal zones, watersheds and forests)?

Dislocation or involuntary resettlement of people?

Disproportionate impacts on the poor, women and children, Indigenous Peoples or other vulnerable group?

Degradation of cultural property, and loss of cultural heritage and tourism revenues?

Occupation of low-lying lands, floodplains and steep hillsides by squatters and low-income groups, and their exposure to increased health hazards and risks due to pollutive industries?

Water resource problems (e.g. depletion/degradation of available water supply, deterioration for surface and ground water quality, and pollution of receiving waters?

Air pollution due to urban emissions?

Risks and vulnerabilities related to occupational health and safety due to physical, chemical and biological hazards during project construction and operation?

Road blocking and temporary flooding due to land excavation during rainy season?

Noise and dust from construction activities?

Traffic disturbances due to construction material transport and wastes?

Temporary silt runoff due to construction?

Hazards to public health due to ambient, household and occupational pollution, thermal inversion, and smog formation?

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Water depletion and/or degradation?

Overpaying of ground water, leading to land subsidence, lowered ground water table, and Stalinization?

Contamination of surface and ground waters due to improper waste disposal?

Pollution of receiving waters resulting in amenity losses, fisheries and marine resource depletion, and health problems?

Large population influx during project construction and operation that causes increased burden on social infrastructure and services (such as water supply and sanitation systems)?

Social conflicts if workers from other regions or countries are hired?

Risks to community health and safety due to the transport, storage, and use and/or disposal of materials such as explosives, fuel and other chemicals during operation and construction?

Community safety risks due to both accidental and natural hazards, especially where the structural elements or components of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?

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BUILDINGS


Instructions: Answer the questions assuming the “without mitigation” case. The purpose is to identify potential impacts. Use the “remarks” section to discuss any anticipated mitigation measures.


A. Project Siting Is the project area adjacent to or within any of the following areas:

Underground utilities


Protected Area

Wetland

Mangrove

Estuarine



Bay


Encroachment on historical/cultural areas?

Encroachment on precious ecology (e.g. sensitive or protected areas)?

Impacts on the sustainability of associated sanitation and solid waste disposal systems?


Disproportionate impacts on the poor, women and children, Indigenous Peoples or other vulnerable groups?

Accident risks associated with increased vehicular traffic, leading to loss of life?

Increased noise and air pollution resulting from increased traffic volume?

Occupational and community health and safety risks?

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Risks and vulnerabilities related to occupational health and safety due to physical, chemical, biological, and radiological hazards during project construction and operation?

Generation of dust in sensitive areas during construction?

Requirements for disposal of fill, excavation, and/or spoil materials?

Noise and vibration due to blasting and other civil works?

Long-term impacts on groundwater flows as result of needing to drain the project site prior to construction?

Long-term impacts on local hydrology as a result of building hard surfaces in or near the building?



Risks to community safety caused by fire, electric shock, or failure of the buildings safety features during operation?

Risks to community health and safety caused by management and disposal of waste?

Community safety risks due to both accidental and natural hazards, especially where the structural elements or components of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?

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SOLID WASTE MANAGEMENT Rapid Environmental Assessment (REA) Checklist



A. Project Siting Is the project area…

Densely populated?

Heavy with development activities?

Adjacent to or within any environmentally sensitive areas?


Protected Area

Wetland

Mangrove

Estuarine



Bay


Impacts associated with transport of wastes to the disposal site or treatment facility

Impairment of historical/cultural monuments/areas and loss/damage to these sites?

Degradation of aesthetic and property value loss?

Nuisance to neighboring areas due to foul odor and influx of insects, rodents, etc.?



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Risks and vulnerabilities related occupational health and safety due to physical, chemical, biological, and radiological hazards during project construction and operation?

Public health hazards from odor, smoke from fire, and diseases transmitted by flies, insects, birds and rats?

Deterioration of water quality as a result of contamination of receiving waters by leacheate from land disposal system?

Contamination of ground and/or surface water by leach ate from land disposal system?

Land use conflicts?

Pollution of surface and ground water from leach ate coming form sanitary landfill sites or methane gas produced from decomposition of solid wastes in the absence of air, which could enter the aquifer or escape through soil fissures at places far from the landfill site?

Inadequate buffer zone around landfill site to alleviate nuisances?

Road blocking and/or increased traffic during construction of facilities?

Noise and dust from construction activities?

Temporary silt runoff due to construction?

Hazards to public health due to inadequate management of landfill site caused by inadequate institutional and financial capabilities for the management of the landfill operation?

Emission of potentially toxic volatile organics from land disposal site?

Surface and ground water pollution from leach ate and methane gas migration?

Loss of deep-rooted vegetation (e.g. tress) from landfill gas?

Explosion of toxic response from accumulated landfill gas in buildings?

Contamination of air quality from incineration?

Public health hazards from odor, smoke from fire, and diseases transmitted by flies, rodents, insects and birds, etc.?

Health and safety hazards to workers from toxic gases and hazardous materials in the site?

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Risks to community health and safety due to the transport, storage, and use and/or disposal of materials such as explosives, fuel and other chemicals during construction and operation?

Community safety risks due to both accidental and natural hazards, especially where the structural elements or components (e.g., landfill or incinerator) of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?

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AGRO INDUSTRIAL Rapid Environmental Assessment (REA) Checklist



A. Project Siting Is the Project area adjacent to or within any of the following environmentally sensitive areas?


Protected Area

Wetland

Mangrove

Estuarine



Bay


Ecological disturbances arising from the establishment of a plant or facility complex in or near sensitive habitats?

Eventual degradation of water bodies due to discharge of wastes and other effluents from plant or facility complex?

Serious contamination of soil and groundwater?

Aggravation of solid waste problems in the area?

Public health risks from discharge of wastes and poor air quality; noise and foul odor from plant emissions?

Short-term construction impacts (e.g. soil erosion, deterioration of water and air quality, noise and vibration from construction equipment?

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Environmental degradation (e.g. erosion, soil and water contamination, loss of soil fertility, disruption of wildlife habitat) from intensification of agricultural land use to supply raw materials for plant operation; and modification of natural species diversity as a result of the transformation to monoculture practices?

Water pollution from discharge of liquid effluents?

Air pollution from all plant operations?

Gaseous and odor emissions to the atmosphere from processing operations?

Accidental release of potentially hazardous solvents, acidic and alkaline materials?

Uncontrolled in-migration with opening of roads to forest area and overloading of social infrastructure?

Occupational health hazards due to fugitive dust, materials handling, noise, or other process operations?

Disruption of transit patterns, creation of noise and congestion, and pedestrian hazards aggravated by heavy trucks?

Disease transmission from inadequate waste disposal?

Risks and vulnerabilities related to occupational health and safety due to physical, chemical, and biological hazards during project construction and operation?

Large population increase during project construction and operation that cause increased burden on social infrastructure and services (such as water supply and sanitation systems)?


Community health and safety risks due to the transport, storage, and use and/or disposal of materials likely to create physical, chemical and biological hazards during construction, operation and decommissioning?

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IRRIGATION Rapid Environmental Assessment (REA) Checklist

Instructions: (i) Answer the questions assuming the “without mitigation” case. The purpose is to identify

potential impacts. Use the “remarks” section to discuss any anticipated mitigation measures.



Protected Area

Wetland

Mangrove

Estuarine




Loss of precious ecological values (e.g. result of encroachment into forests/swamplands or historical/cultural buildings/areas, disruption of hydrology of natural waterways, regional flooding, and drainage hazards)?

Conflicts in water supply rights and related social conflicts?

Impediments to movements of people and animals?

Potential ecological problems due to increased soil erosion and siltation, leading to decreased stream capacity?

Insufficient drainage leading to salinity intrusion?

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Over pumping of groundwater, leading to salinization and ground subsidence?

Impairment of downstream water quality and therefore, impairment of downstream beneficial uses of water?



Potential social conflicts arising from land tenure and land use issues?

Soil erosion before compaction and lining of canals?

Noise from construction equipment?

Dust during construction?

Waterlogging and soil salinization due to inadequate drainage and farm management?

Leaching of soil nutrients and changes in soil characteristics due to excessive application of irrigation water?

Reduction of downstream water supply during peak seasons?

Soil pollution, polluted farm runoff and groundwater, and public health risks due to excessive application of fertilizers and pesticides?

Soil erosion (furrow, surface)?

Scouring of canals?

Clogging of canals by sediments?

Clogging of canals by weeds?

Seawater intrusion into downstream freshwater systems?

Introduction of increase in incidence of waterborne or water related diseases?

Dangers to a safe and healthy working environment due to physical, chemical and biological hazards during project construction and operation?

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Community safety risks due to both accidental and natural hazards, especially where the structural elements or components of the project (e.g., irrigation dams) are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?

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GENERAL


Instructions: Answer the questions assuming the “without mitigation” case. The purpose is to identify potential

impacts. Use the “remarks” section to discuss any anticipated mitigation measures.




Legally protected Area (core zone or buffer zone)

Wetland

Mangrove

Estuarine



Impairment of historical/cultural areas; disfiguration of landscape or potential loss/damage to physical cultural resources?

Disturbance to precious ecology (e.g. sensitive or protected areas)?

Alteration of surface water hydrology of waterways resulting in increased sediment in streams affected by increased soil erosion at construction site?

Deterioration of surface water quality due to silt runoff and sanitary wastes from worker-based camps and chemicals used in construction?

Increased air pollution due to project construction and operation?

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Noise and vibration due to project construction or operation?

Involuntary resettlement of people? (physical displacement and/or economic displacement)


Poor sanitation and solid waste disposal in construction camps and work sites, and possible transmission of communicable diseases (such as STI's and HIV/AIDS) from workers to local populations?

Creation of temporary breeding habitats for diseases such as those transmitted by mosquitoes and rodents?



Risks and vulnerabilities related to occupational health and safety due to physical, chemical, biological, and radiological hazards during project construction and operation?


Community safety risks due to both accidental and natural causes, especially where the structural elements or components of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?

Generation of solid waste and/or hazardous waste?

Use of chemicals?

Generation of wastewater during construction or operation?

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ANNEXURE – XVI: INVOLUNTARY RESETTLEMENT IMPACT CATEGORIZATION

Involuntary resettlement impact categorization

A. Project Data

Project Title

B. Involuntary Resettlement Category

[ ] New [ ] Re-categorization ― Previous Category [ ]

Category A Category B Category C

C. Comments:

Field Team:

Consultant:

D. Approval

Prepared by: Date:

Reviewed/Cleared by: ADB Safeguard Unit: Date:

Involuntary Resettlement Impact Categorization Checklist

Probable Involuntary Resettlement Effects (Please elaborate in the Remarks column)

Yes No Not

Known Remarks

Involuntary Acquisition of Land

1. Will there be land acquisition?

2. Is the site for land acquisition known?

3. Is the ownership status and current usage of land to be acquired known?

4. Will easement be utilized within an existing right of way (ROW)?

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Probable Involuntary Resettlement Effects (Please elaborate in the Remarks column)

Yes No Not

Known Remarks

5. Will there be loss of shelter and residential land due to land acquisition?

6. Will there be loss of agricultural and other productive assets due to land acquisition?

7. Will there be losses of crops, trees, and fixed assets due to land acquisition?

8. Will there be loss of businesses or enterprises due to land acquisition?

9. Will there be loss of income sources and means of livelihoods due to land acquisition?

Involuntary Restrictions on Land Use or on Access to Legally Designated Parks and Protected Areas

10. Will people lose access to natural resources, communal facilities and services?

11. If land use is changed, will it have an adverse impact on social and economic activities?

12. Will access to land and resources owned communally or by the state be restricted?

Information on Displaced Persons:

Any estimate of the likely number of persons that will be displaced by the Subproject? [ ] No [ ] Yes

If yes, approximately how many? ______________________

Are any of them poor, female-heads of households, or vulnerable to poverty risks? [ ] No [ ] Yes

Are any displaced persons from indigenous or ethnic minority groups? [ ] No [ ] Yes

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ANNEXURE – XVII: INDIGENOUS PEOPLES IMPACT CATEGORIZATION

Indigenous Peoples impact categorization

Date:

A. Project Data

Project Title

B. Indigenous Peoples Category

[ ] New [ ] Re-categorization ― Previous Category [ ]

Category A Category B Category C

Project requires the broad community support of affected Indigenous Peoples communities.

Yes No

C. Comments by Project Team

Field Team:

Consultant

D. Approval

Prepared by: Date:

Reviewed/Cleared by: ADB Safeguard Unit Date:

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Indigenous Peoples Impact Screening Checklist

KEY CONCERNS (Please provide elaborations on the Remarks column)

YES NO NOT

KNOWN Remarks

A. Indigenous Peoples Identification

1. Are there socio-cultural groups present in or use the project area who may be considered as "tribes" (hill tribes, schedules tribes, tribal peoples), "minorities" (ethnic or national minorities), or "indigenous communities" in the project area?

2. Are there national or local laws or policies as well as anthropological researches/studies that consider these groups present in or using the project area as belonging to "ethnic minorities", scheduled tribes, tribal peoples, national minorities, or cultural communities?

3. Do such groups self-identify as being part of a distinct social and cultural group?

4. Do such groups maintain collective attachments to distinct habitats or ancestral territories and/or to the natural resources in these habitats and territories?

5. Do such groups maintain cultural, economic, social, and political institutions distinct from the dominant society and culture?

6. Do such groups speak a distinct language or dialect?

7. Has such groups been historically, socially and economically marginalized, disempowered, excluded, and/or discriminated against?

8. Are such groups represented as "Indigenous Peoples" or as "ethnic minorities" or "scheduled tribes" or "tribal populations" in any formal decision-making bodies at the national or local levels?

B. Identification of Potential Impacts

9. Will the project directly or indirectly benefit or target Indigenous Peoples?

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KEY CONCERNS (Please provide elaborations on the Remarks column)

YES NO NOT

KNOWN Remarks

10. Will the project directly or indirectly affect Indigenous Peoples' traditional socio-cultural and belief practices? (e.g. child-rearing, health, education, arts, and governance)

11. Will the project affect the livelihood systems of Indigenous Peoples? (e.g., food production system, natural resource management, crafts and trade, employment status)

12. Will the project be in an area (land or territory) occupied, owned, or used by Indigenous Peoples, and/or claimed as ancestral domain?

C. Identification of Special Requirements Will the project activities include:

13. Commercial development of the cultural resources and knowledge of Indigenous Peoples?

14. Physical displacement from traditional or customary lands?

15. Commercial development of natural resources (such as minerals, hydrocarbons, forests, water, hunting or fishing grounds) within customary lands under use that would impact the livelihoods or the cultural, ceremonial, spiritual uses that define the identity and community of Indigenous Peoples?

16. Establishing legal recognition of rights to lands and territories that are traditionally owned or customarily used, occupied or claimed by indigenous peoples ?

17. Acquisition of lands that are traditionally owned or customarily used, occupied or claimed by indigenous peoples ?

D. Anticipated project impacts on Indigenous Peoples

Project component/ activity/ output

Anticipated positive effect Anticipated negative effect

1.Not applicable Not applicable Not applicable

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ANNEXURE – XVIII: OUTLINE OF A RESETTLEMENT PLAN FOR PROJECTS

Outline of a Resettlement Plan for Projects

1. A resettlement plan is required for all projects with involuntary resettlement impacts. Its level of detail and comprehensiveness is commensurate with the significance of potential involuntary resettlement impacts and risks. The substantive aspects of the outline will guide the preparation of the resettlement plans, although not necessarily in the order shown.

A. Executive Summary

This section provides a concise statement of project scope, key survey findings, entitlements and recommended actions.

B. Project Description

This section provides a general description of the project, discusses project components that result in land acquisition, involuntary resettlement, or both and identify the project area. It also describes the alternatives considered to avoid or minimize resettlement. Include a table with quantified data and provide a rationale for the final decision.

C. Scope of Land Acquisition and Resettlement

This section:

i. Discusses the project’s potential impacts, and includes maps of the areas or zone of impact of project components or activities;

ii. Describes the scope of land acquisition (provide maps) and explains why it is necessary for the main investment project;

iii. Summarizes the key effects in terms of assets acquired and displaced persons; and

iv. Provides details of any common property resources that will be acquired.

D. Socioeconomic Information and Profile

This section outlines the results of the social impact assessment, the census survey, and other studies, with information and/or data disaggregated by gender, vulnerability, and other social groupings, including:

i. Define, identify, and enumerate the people and communities to be affected;

ii. Describe the likely impacts of land and asset acquisition on the people and communities affected taking social, cultural, and economic parameters into account;

iii. Discuss the project’s impacts on the poor, indigenous and/or ethnic minorities, and other vulnerable groups; and

iv. Identify gender and resettlement impacts, and the socioeconomic situation, impacts, needs, and priorities of women.

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E. Information Disclosure, Consultation, and Participation

This section:

i. Identifies project stakeholders, especially primary stakeholders;

ii. Describes the consultation and participation mechanisms to be used during the different stages of the project cycle;

iii. Describes the activities undertaken to disseminate project and resettlement information during project design and preparation for engaging stakeholders;

iv. Summarizes the results of consultations with affected persons (including host communities), and discusses how concerns raised and recommendations made were addressed in the resettlement plan;

v. Confirms disclosure of the draft resettlement plan to affected persons and includes arrangements to disclose any subsequent plans; and

vi. Describes the planned information disclosure measures (including the type of information to be disseminated and the method of dissemination) and the process for consultation with affected persons during project implementation.

F. Grievance Redress Mechanisms

This section describes mechanisms to receive and facilitate the resolution of affected persons’ concerns and grievances. It explains how the procedures are accessible to affected persons and gender sensitive.

G. Legal Framework

This section:

i. Describes national and local laws and regulations that apply to the project and identify gaps between local laws and ADB's policy requirements; and discuss how any gaps will be addressed.

ii. Describes the legal and policy commitments from the executing agency for all types of displaced persons;

iii. Outlines the principles and methodologies used for determining valuations and compensation rates at replacement cost for assets, incomes, and livelihoods; and set out the compensation and assistance eligibility criteria and how and when compensation and assistance will be provided.

iv. Describes the land acquisition process and prepare a schedule for meeting key procedural requirements.

H. Entitlements, Assistance and Benefits

This section:

i. Defines displaced persons’ entitlements and eligibility, and describes all resettlement assistance measures (includes an entitlement matrix);

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ii. Specifies all assistance to vulnerable groups, including women, and other special groups; and.

iii. Outline opportunities for affected persons to derive appropriate development benefits from the project.

I. Relocation of Housing and Settlements

This section:

i. Describes options for relocating housing and other structures, including replacement housing, replacement cash compensation, and/or self-selection (ensure that gender concerns and support to vulnerable groups are identified);

ii. Describes alternative relocation sites considered; community consultations conducted; and justification for selected sites, including details about location, environmental assessment of sites, and development needs;

iii. Provides timetables for site preparation and transfer;

iv. Describes the legal arrangements to regularize tenure and transfer titles to resettled persons;

v. Outlines measures to assist displaced persons with their transfer and establishment at new sites;

vi. Describes plans to provide civic infrastructure; and

vii. Explains how integration with host populations will be carried out.

J. Income Restoration and Rehabilitation

This section:

i. Identifies livelihood risks and prepare disaggregated tables based on demographic data and livelihood sources;

ii. Describes income restoration programs, including multiple options for restoring all types of livelihoods (examples include project benefit sharing, revenue sharing arrangements, joint stock for equity contributions such as land, discuss sustainability and safety nets);

iii. Outlines measures to provide social safety net through social insurance and/or project special funds;

iv. Describes special measures to support vulnerable groups;

v. Explains gender considerations; and

vi. Describe training programs.

K. Resettlement Budget and Financing Plan

This section:

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i. Provide an itemized budget for all resettlement activities, including for the resettlement unit, staff training, monitoring and evaluation, and preparation of resettlement plans during loan implementation.

ii. Describes the flow of funds (the annual resettlement budget should show the budget-scheduled expenditure for key items).

iii. Includes a justification for all assumptions made in calculating compensation rates and other cost estimates (taking into account both physical and cost contingencies), plus replacement costs.

iv. Include information about the source of funding for the resettlement plan budget.

L. Institutional Arrangements

This section:

i. Describes institutional arrangement responsibilities and mechanisms for carrying out the measures of the resettlement plan;

ii. Includes institutional capacity building program, including technical assistance, if required;

iii. Describes role of NGOs, if involved, and organizations of affected persons in resettlement planning and management; and

iv. Describes how women’s groups will be involved in resettlement planning and management.

M. Implementation Schedule

This section includes a detailed, time bound, implementation schedule for all key resettlement and rehabilitation activities. The implementation schedule should cover all aspects of resettlement activities synchronized with the project schedule of civil works construction, and provide land acquisition process and timeline.

N. Monitoring and Reporting

This section describes the mechanisms and benchmarks appropriate to the project for monitoring and evaluating the implementation of the resettlement plan. It specifies arrangements for participation of affected persons in the monitoring process. This section will also describe reporting procedures.

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ANNEXURE – XIX: OUTLINE OF AN INDIGENOUS PEOPLES PLAN FOR PROJECTS

Outline of an Indigenous Peoples Plan for Subprojects

1. An Indigenous Peoples plan (IPP) is required for all subprojects with impacts on Indigenous Peoples. Its level of detail and comprehensiveness is commensurate with the significance of potential impacts on Indigenous Peoples. The substantive aspects of this outline will guide the preparation of IPPs, although not necessarily in the order shown.

A. Executive Summary of the Indigenous Peoples Plan 2. This section concisely describes the critical facts, significant findings, and recommended actions.

B. Description of the Subproject 3. This section provides a general description of the subproject; discusses subproject components and activities that may bring impacts on Indigenous Peoples; and identifies the subproject area.

C. Social Impact Assessment 4. This section:

(i) Reviews the legal and institutional framework applicable to Indigenous Peoples in subproject context;

(ii) Provides baseline information on the demographic, social, cultural, and political characteristics of the affected Indigenous Peoples communities; the land and territories that they have traditionally owned or customarily used or occupied; and the natural resources on which they depend;

(iii) Identifies key subproject stakeholders and elaborate a culturally appropriate and gender-sensitive process for meaningful consultation with Indigenous Peoples at each stage of subproject preparation and implementation, taking the review and baseline information into account;

(iv) Assesses, based on meaningful consultation with the affected Indigenous Peoples communities, the potential adverse and positive effects of the subproject. Critical to the determination of potential adverse impacts is a gender-sensitive analysis of the relative vulnerability of, and risks to, the affected Indigenous Peoples communities given their particular circumstances and close ties to land and natural resources, as well as their lack of access to opportunities relative to those available to other social groups in the communities, regions, or national societies in which they live;

(v) Includes a gender-sensitive assessment of the affected Indigenous Peoples’ perceptions about the subproject and its impact on their social, economic, and cultural status; and

(vi) Identifies and recommends, based on meaningful consultation with the affected Indigenous Peoples communities, the measures necessary to avoid adverse effects or, if such measures are not possible, identifies measures to minimize, mitigate, and/or compensate for such effects and to ensure that the Indigenous Peoples receive culturally appropriate benefits under the subproject.

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D. Information Disclosure, Consultation and Participation 5. This section:

i. Describes the information disclosure, consultation and participation process with the affected Indigenous Peoples communities that was carried out during subproject preparation;

ii. Summarizes their comments on the results of the social impact assessment and identifies concerns raised during consultation and how these have been addressed in subproject design;

iii. In the case of subproject activities requiring broad community support, documents the process and outcome of consultations with affected Indigenous Peoples communities and any agreement resulting from such consultations for the subproject activities and safeguard measures addressing the impacts of such activities;

iv. Describes consultation and participation mechanisms to be used during implementation to ensure Indigenous Peoples participation during implementation; and

v. Confirms disclosure of the draft and final IPP to the affected Indigenous Peoples communities.

E. Beneficial Measures 6. This section specifies the measures to ensure that the Indigenous Peoples receive social and economic benefits that are culturally appropriate, and gender responsive.

F. Mitigative Measures 7. This section specifies the measures to avoid adverse impacts on Indigenous Peoples; and where the avoidance is impossible, specifies the measures to minimize, mitigate and compensate for identified unavoidable adverse impacts for each affected Indigenous Peoples groups.

G. Capacity Building 8. This section provides measures to strengthen the social, legal, and technical capabilities of (a) government institutions to address Indigenous Peoples issues in the subproject area; and (b) Indigenous Peoples organizations in the subproject area to enable them to represent the affected Indigenous Peoples more effectively.

H. Grievance Redress Mechanism 9. This section describes the procedures to redress grievances by affected Indigenous Peoples communities. It also explains how the procedures are accessible to Indigenous Peoples and culturally appropriate and gender sensitive.

I. Monitoring, Reporting and Evaluation 10. This section describes the mechanisms and benchmarks appropriate to the subproject for monitoring, and evaluating the implementation of the IPP. It also specifies arrangements for participation of affected Indigenous Peoples in the preparation and validation of monitoring, and evaluation reports.

J. Institutional Arrangement 11. This section describes institutional arrangement responsibilities and mechanisms for carrying out the various measures of the IPP. It also describes the process of including relevant local organizations and NGOs in carrying out the measures of the IPP.

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K. Budget and Financing 12. This section provides an itemized budget for all activities described in the IPP.

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ANNEXURE – XX: SUGGESTED OUTLINE OF ENVIRONMENTAL AND SOCIAL DUE DILIGENCE REPORT

Suggested Outline Of Environmental And Social Due Diligence Report

A. Introduction

1. Subproject description: title, type of subproject, location and setting, amount, size (production capacity, number of staff, etc.).

2. Environmental and social categorization and rationale.

3. Applicable Environmental and Social Requirements.

B. Scope of Review and Methodology

1. Documents reviewed (e.g., environmental assessment reports, involuntary resettlement plan, Indigenous Peoples plan, or environmental and social compliance audit reports, copies of permits/licenses, etc.).

2. Methodology adopted (e.g. site visit, inspection report, etc)

C. Compliance and Liability (by relevant safeguard requirements applicable for the specific subproject, examine environmental and social issues and compliance)

1. Examine issues in terms of environmental, involuntary resettlement and indigenous peoples impacts, mitigation measures to address these issues (or corrective action plan for existing facilities) and compliance status with applicable ADB environmental and social safeguard requirements and national laws, regulations, and standards:

(i) Environmental Safeguards

a. Appropriate identification of major anticipated environmental impacts and risks;

b. Adequacy of environmental assessment (for category A subprojects, including the adequacy of alternative analysis);

c. Compliance status with applicable requirements on (i) information disclosure, (ii) consultation with affected people and other stakeholders, (iii) occupational and community health and safety, biodiversity conservation and sustainable natural resource management, and physical cultural resources; and

d. Adequacy of mitigation measures and EMP (mitigation measures, monitoring and reporting, institutional arrangement, budget), or corrective action plan for existing facilities, if any.

(ii) Involuntary Resettlement Safeguards

a. Appropriate identification of major anticipated involuntary resettlement impacts and risks (including both physical displacement and economic displacement);

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b. Adequacy of assessment of social impacts, information disclosure and consultation with affected people and other stakeholders;

c. Adequacy of compensation and benefits for displaced persons

d. Adequacy of resettlement plan (measures to enhance or restore the livelihoods of displaced persons, monitoring and reporting, institutional arrangement, budget), or corrective action plan for existing facilities, if any; and

e. Private sector responsibilities under government-manages resettlement.

(iii) Indigenous Peoples Safeguards

a. Appropriate identification of major anticipated impacts on Indigenous Peoples (including potential impacts on traditional or customary lands under use; relocation of Indigenous Peoples from traditional and customary lands, and impacts on cultural resources);

b. Adequacy of information disclosure and meaningful consultation;

c. Broad community support, where applicable;

d. Adequacy of measures to avoid adverse impacts; and

e. Adequacy of Indigenous Peoples plan (benefit sharing, measures to mitigate and minimize adverse impacts, monitoring and reporting, institutional arrangement, budget), or corrective action plan for existing facilities, if any.

(iv) Adequacy of grievance redress mechanism arrangements

2. Recommend mitigation measures, or corrective action plans, if gaps are identified

3. For existing facilities including subprojects under construction, examine whether the subproject company paid pollution charges or fines/penalties for non-compliance in the last two years in accordance with national laws, whether the subproject company is exposed to potentially significant liabilities, such as those arising from known or suspected land/groundwater contamination, major accidents and incidents related to the company’s past or ongoing operations, and state further actions required/planned by the subproject, in particular actions to address any non-compliance problems and liabilities. Also examine whether there are complaints from the public or local communities regarding the subproject company’s environmental and social performance.

4. State any risk control or mitigation measures to be taken by the subproject, such as conditions, loan covenants or monitoring and reporting requirements

D. Other Subproject Specific Issues, if any

E. Conclusion and Recommendations

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ANNEXURE – XXI: SUGGESTED SCOPE FOR AN ANNUAL SOCIAL SAFEGUARDS MONITORING REPORT FOR SUBPROJECTS

Suggested scope for an annual social safeguards Monitoring report for subprojects

A. Introduction

i. Brief subproject description

B. Physical Progress of Subproject Components with Resettlement and Indigenous Peoples Impacts

i. List of subproject components with resettlement and indigenous peoples impacts and progress updates (including engineering progress, and ground clearing, land acquisition and structure demolition progress)

C. Scope of Resettlement Impacts and and/or Impacts on Indigenous Peoples

i. Actual scope of land acquisition and resettlement (including the methodology to determine the actual scope of land acquisition and resettlement, and comparison with the scope of impacts in resettlement plan(s)

ii. Actual impacts on Indigenous Peoples (including the methodology to determine the actual scope of impacts on Indigenous Peoples, and comparison with the scope of impacts in Indigenous Peoples plan(s))

D. Institutional Arrangements

i. Key organizations involved in resettlement plan and/or IPP implementation

ii. Progress of activities implemented by other organizations

iii. Specific implementation arrangements for Indigenous Peoples

E. Compensation Rates, Payment and Assistance Delivery

i. Compensation rates for land, resettlement subsidies, standing crops, and trees

ii. Compensation for buildings and allowances for relocation

iii. Allocation and utilization of resettlement compensation

iv. Payment delivery to affected village groups and individuals

v. Assistance delivery to affected Indigenous Peoples

F. Status of Land Acquisition, Resettlement, and Reconstruction

i. Housing relocation and reconstruction

ii. Provision of replacement agricultural and/or commercial land

iii. Restoration of affected public infrastructure and facilities

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iv. Restoration of land used for construction-related activities

v. Implementation progress of income restoration activities

vi. Support to vulnerable groups

vii. Implementation progress of specific measures for affected Indigenous Peoples

G. Status of Provisions for Indigenous Peoples

i. Culturally appropriate beneficial measures for each affected IP groups

ii. Mitigative measures for each affected IP groups

iii. Capacity Building measures for IP communities in the subproject area

iv. Broad community support, where required

H. Consultation and Disclosure Activities and Grievance Procedures

i. Consultations on compensation standards and fees, relocation options, etc.

ii. Specific consultations conducted with Indigenous Peoples on the subproject, its impacts and assistance to Indigenous Peoples

iii. Any good faith negotiation to resolve major disagreements with Indigenous Peoples

iv. Grievances received and actions taken to address them

I. Grievance Redress Mechanism

i. Date established and description of organizational arrangements

ii. Grievances reported and resolution processes (e.g., nature of grievance, recorded dates and organizations involved, actions taken to resolve grievances, and media or community reactions (if any)

J. Compliance with Applicable Social Safeguard Requirements as Defined in the Section II B of [Name of Bank]’s ESMS

K. Concerns and Work Plan

i. Concerns encountered, solutions provided and good practices established

ii. Work plan (staffing, training, and work schedules)

Name and Signature

Name: Date:

Position: Phone:

Signature: E-mail

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ANNEXURE – XXII: Grievance Redressal Mechanism

1. The Grievance Redress Mechanism (GRM) will be set up for all projects funded under

Punjab PPP project to address grievances arising from environment, social and IR / IP

impacts. This ESMS determines the structure, roles and functions of the GRM, to address

the grievances arising due to environment, IR related activities and execution of the project

works.

2. In the first instance, the efforts will be made to avoid grievances through strong

consultations participation and information disclosure strategy and the IR activities will be

conducted in accordance with this ESMS provisions. Nevertheless, it may be expected

that certain problems might not be resolved through community participation and,

therefore, Displaced Persons (DPs) might require an accessible and effective GRM. The

project will put in place its GRM structures from the beginning of its implementation, i.e.,

as soon as activities for project design and preparation or implementation of project

commence. The GRM will remain intact throughout project implementation period to

address the community concerns and issues arising during execution of project works.

3. Problems or complaints to be addressed by the GRM during the planning or

implementation of the projects are generally related to (i) project alignment and requests

to avoid specific affected assets, (ii) the omission of impacts and some DPs in a census,

(iii) impact assessment and valuation of losses, (iv) disbursement of compensation relative

to entitlements (v) disputes about ownership of affected assets apportionment of

compensation with payment delay issues, (vii) delays in payment of relocation and

rehabilitation costs and design and completion of relocation sites/facilities, or (viii) the

adequacy and appropriateness of income restoration measures, etc.

4. The GRM available under LAA 1894 to address the concerns of legal title holders about asset

evaluation, land ownership and payment of compensation will not be available to the

encroachers/non-title holders in the project corridor. Thus, the mechanism under LAA 1894

does not enable the project executors and the DPs to resolve their issues except those related

to land acquisition matters only. So to address the gaps, a mechanism will be established at

project level to address/resolve the project related issues of titled and non-titled DPs and

address their concerns or grievances related to impact assessment, valuation and

compensation of non-land assets, resettlement and relocation related issues as well as social

and environmental issues encountered during execution of the project works. Accordingly, the

GRM proposed in this ESMS is tasked to address any grievances raised by DPs on IR

implementation issues and their concerns related to social and environmental issues that

could arise during execution of project work.

5. Although the formal GRM will be set up with a three-tiered structure; one at project site (local)

level, the second at the PPP Node (PIU) level for enabling immediate local recourse to address

grievances while the third tier will be the legal recourse. To ensure that all geographic reaches

and relevant administrative units involved in the project are covered, the GRM will set up (i) a

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local mechanism in each affected locality with grievance redress focal points; and (ii) a

grievance redress committee (GRC) at the PIU level, as applicable and useful.

6.1.1. FIRST TIER OF GRM

6. The Project Management Unit (PMU) staff along with the local administration

officials is the first tier of GRM, which offers the fastest and most accessible

mechanism for resolution of grievances. The PMU’s Social and Resettlement

Specialist (SRS) and Environment Specialist (ES) shall be designated as the key

personnel for grievance redressal. Resolution of complaints will be completed

within ten (3) to fifteen (15) working days, depending on the nature of the complaint.

Investigation of grievances will involve site visits and consultations with relevant

parties (e.g. displaced persons, contractors, traffic police, general public, utilities

companies etc.). Grievances will be documented and personal details (name,

address, date of complaint, nature of complaint etc.) will be included unless

anonymity is requested. A tracking number shall be assigned for each grievance,

including the following elements:

Initial grievance sheet (including the description of the grievance), with an

acknowledgement of receipt handed back to the complainant when the complaint

is registered;

Grievance monitoring sheet, mentioning actions taken (investigation, corrective

measures);

Closure sheet, one copy of which will be handed to the complainant after s/he

has agreed to the resolution and signed-off.

COMPLAINTS MANAGEMENT REGISTER (CMR)

7. The Social and Resettlement Specialist (SRS) of the PMU will maintain a CMR to

record grievances brought forward by displaced persons and general public, and

ensure that these are appropriately addressed. The complaint register will provide

for: the date and particulars of the complaint; description of the grievance; follow–

up action required; name of person responsible for implementing the action; a

target date for redressal and up-dated status/final action with date.

8. The actual measures taken to mitigate the concerns will also be recorded in the register.

The complainant's views on the remedial action taken will also be documented in the

Register. All complaints received verbally or in writing will be properly documented and

recorded/written in the CMR. In addition to this, an easy to access web based GRM will

be designed on the same pattern, which will have updated status of each complaint to be

used by complainants to get an update on their complaints.

9. The updated register of grievances and complaints will be available to the public at the

PMU office, construction camps of contractors and other key public offices in the project

area (offices of the city district government and district administration), and at accessible

and visible places along the project corridor. Should the grievance remain unresolved, it

will be escalated to the second tier.

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SECOND TIER OF GRM

10. The SRS and ES in PMU will refer the unresolved issues (with written documentation) to

the second tier of GRM, the GRC (Grievance Redress Committee). The GRC shall be

established by the PPP Node so that the DPs and other key stakeholders have recourse

to refer their complaints.

11. The GRC will consist of the following persons: (i) representative of PPP Node as head of

GRC; (ii) Project Director-PMU; (iii) representative of district administration; (iv)

representative of relevant city district government offices; (vi) two representatives of the

displaced persons and (vii) representative of Punjab EPA (for environmental related

grievances).

12. A hearing will be called with the GRC, if necessary, where the displaced person can

present his/her concerns/issues. The process will facilitate resolution through mediation.

The local GRC will meet as necessary when there are grievances to be addressed. The

local GRC will suggest corrective measures at the field level and assign clear

responsibilities for implementing its decision within fifteen (7-15) working days, depends

on the nature of complaint. The contractor(s) will have observer status on the committee.

If unsatisfied with the decision, the existence of the GRC shall not impede the

complainant’s access to the judicial remedies.

13. The functions of the GRC are as follows: (i) resolve problems and provide support to

displaced persons arising from various social, resettlement and environmental issues.

Social and resettlement issues including land acquisition (temporary or permanent, as

applicable); asset acquisition; eligibility for entitlements, compensation and resettlement

assistance as well as environment issues including dust, noise, utilities, power and water

supply, waste disposal, traffic interference and public safety/utilities; (ii) reconfirm

grievances of displaced persons, categorize and prioritize them and aim to provide

solutions maximum within 15 to 30 days; and (iii) report to the aggrieved parties about

developments regarding their grievances and decision(s) of the GRC.

14. The relevant PPP Node will be responsible for processing and presenting all relevant

documents, field enquires and evidences/proofs to the GRC, maintaining a database of

complaints, recording decisions, issuing minutes of meetings and monitoring to see that

formal orders are issued and to ensure that required actions against decisions are

being carried out.

THIRD TIER OF GRM

15. In the event that a grievance cannot be resolved directly by the PMUs (first tier) or GRC

(second tier), the displaced person(s) can seek alternative redressal through the court of

law.

16. The monitoring reports of the LARP and EMP implementation shall include the following

aspects pertaining to progress on grievances: (i) Number of cases registered, level of

jurisdiction (first, second and third tiers), number of hearings held, decisions made, status

of pending cases; and (ii) lists of cases in process and already decided upon, may be

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prepared with details such as name with copy of NIC, complaint number, date of

application, date of hearing, decisions, remarks, actions taken to resolve issues, and

status of grievance (i.e., open, pending, closed).

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