Social Safeguards Monitoring Report - Asian Development Bank

Social Safeguards Monitoring Report Social Safeguards Data Audit Sheets 2012

IND: India Infrastructure Project Financing Facility II Prepared by India Infrastructure Finance Company Limited This social safeguards monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

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India Infrastructure Finance Company Limited (A Govt. of India Enterprise) IIFCL

ISO 9001:2008

IIFCL/ESMU/2012-13/ 6616 I Date-18 th April 2013

To

Mr. Cheolsu Kim, Principal Financial Sector Specialist, Financial Sector, Public Management and Trade division, South Asia Department, Asian Development Bank, 6 ADB Avenue, Mandaluyong City, 1550 Metro Manila, Philipines

Dear Sir,

Sub: Submission of Social Safeguards data Audit Sheets:

Please find the enclosed document for your kind Perusal

1) Social safeguards data audit sheets of 13 Sub-projects under L2586/ L2717/L2822;

Thanking You,

kt■AA ,

Sanjeev Ghai, Chief General Manager

Itt-F TT71-67 84 9itR, frliTff 749' TURI, 18&20, TRIT4T 1Tit FM, 9 r4. 1-110001 91-11.23730270, 23708263-64 lt0 91.11-23766256, 23730251 Regd. Office : 8th Floor, Hindustan Times House, 18&20, Kasturba Gandhi Marg, New Delhi-110001 Phone : 91-11-23730270, 23708263-64 Fax : 91-11-23766256, 23730251

SOCIAL AUDIT RECORD SHEET OF

THE APPLICATION OF THE SOCIAL SAFEGUARD SYSTEMS

Reporting Period January 2012- December 2012 A. SUB PROJECT BACKGROUND INFORMATION

1. Name of the Sub-Project:

Widening and Up gradation of NH-9 section between Pune-Solapur Section in the state of Maharashtra, India.

2. Name of Concessionaire / SPV and address with contact numbers

Pune-Solapur Expressway Pvt. Ltd.

3. Name of Lead Bank and other Co-Lenders with Telephone numbers

IDBI Bank (Lead Bank), IIFCL, Bank of Baroda, Canara Bank, Andhra Bank, Indian Bank, ICICI, Yes Bank, Punjab National Bank, Union Bank of India, Bank of Maharashtra

4. Contact Details: ESMU / IIFCL with Tel numbers

Mr. Sanjeev Ghai, Chief General Manager, IIFCL, [email protected]

5. Location of the Subproject:

Pune and Solapur districts of Maharashtra

6. Sector / Sub-Sector as per ADB Guidelines:

Highway

7. Subloan (US$):

Till date disbursed amount is US$ 15,159,750.63

8. Status of Subproject Implementation: The project is under construction and has achieved 83.89% of physical progress. It has been informed by the concessionaire that NHAI has principally approved the interim extension of the time limit for COD upto February 2013.

9. What are the applicable ADB safeguard policies in case of this subproject?1

Policy on Involuntary Resettlement (1995): Applicable Policy on Indigenous Peoples (1998): Applicable Safeguard Policy Statement (2009): Not Applicable

10. Safeguard impact categories:

Involuntary Resettlement: Category A Indigenous Peoples: Category C

11. Has IIFCL conducted any environmental and social due diligence on the subproject?

Yes, Environment & Social due diligence study has been undertaken for the sub-project by Mr. Saumyasib Mukhopadhyay (Environmental Safeguards) and Mr. Kripasindu Guru (Social Safeguards) during the 2nd week of January 2011.

12. Number of safeguard site visits completed by IIFCL Safeguard Team

A site visit was undertaken by Environmental and Social Safeguard specialists during the 2nd week of January 2011. As part of annual audit, site visit was undertaken on 30th & 31st August 2012.

13. History of Previous Annual Audits This is the first annual audit. 14. Products Placed for Audit in the Current Year

Social Safeguard Implementation Monitoring

C. DOCUMENTS AND ACTIVITIES FOR THE

1 Subprojects approved under LN 2404-IND (approved on 20 Dec. 2007), LN 2509-IND (approved on 24 Feb. 2009), LN 2586-IND

(approved on 27 Nov. 2009) are required to comply with the Environment Policy 2002, Policy on Involuntary Resettlement (1995), and Policy on Indigenous Peoples (1998). Subprojects approved under LN 2717-IND (approved on 7 Dec. 2010) are required to comply with ADB Safeguard Policy Statement 2009.

SUB-PROJECT 1. Institutional Arrangements 1a. Financing and budget, Are the provisions adequate, timely? Do they

address the concerns/issues adequately?

The provisions are made adequately and timely as per the applicable national policies. The compensation rates for loss of land have been paid entirely under the mandate of NHAI considering the market value obtained from the Revenue Department of the state. Public consultation has been conducted at the design stage to know the opinion of the people. These meetings were attended by the district officials, representatives from local bodies, opinion leader and large number of project affected persons.

1b Has the Environmental and Social Safeguards Management Unit at IIFCL been staffed and trained adequately regarding involuntary resettlement and Indigenous Peoples safeguards matters?

Yes, the ESMU has its own professional staffs and trained as regards involuntary resettlement and/or Indigenous Peoples.

2. Resettlement Planning based on Detailed Design

2a Has the RP been revised following detailed design and detailed measurement survey?

The Social issues and their mitigation measures were included in the Detailed Project Report after a detailed survey. During the construction stage, many additional provisions were made in the design, which were not originally there in the scope of work, based on the demands and concerns raised by the local people.

2b Have the compensation rates been disclosed and/or updated in the RP?

Yes, the gazette notification has been published as per the applicable act and the compensation rate has been finalized by the competent authority as per NH Act 1956.

3. Indigenous Peoples Planning based on Detailed Design

3a Has Indigenous Peoples Plan been updated / finalized?

The sub-project does not have any negative impact on Indigenous Peoples.

3b Is there a budget for implementing mitigation actions, if any, and to distribute beneficial measures, if any, to Indigenous Peoples provided?

Not Applicable

3c Whether above measures implemented with the participation of affected Indigenous Peoples?

Not Applicable

3d Whether Indigenous Peoples participate in monitoring the project and IPP activities?

Not Applicable

4. Consultations, Disclosure and Grievance Redress

4a Have the affected persons been consulted and discussions properly documented?

Public consultation has been conducted at the design stage to know the opinion of the people. These meetings were attended by the district officials, representatives from local bodies, opinion leader and large number of project affected persons.

4b Was the RP or updated RP disclosed to the affected persons? Made available in local language? Disclosed in ADB or other websites?

The details of land acquisition were published in gazette notification.

4c Were meaningful consultations with affected Indigenous Peoples communities conducted and the process and outcomes documented?

Not Applicable

4d Did a Grievance Redress Committee/Mechanism established? Is it functioning?

Yes, an effective grievance redress mechanism is followed to deal with environmental and social issues.

4e What were the main social, involuntary resettlement and Indigenous Peoples issues associated with this subproject that were identified through due diligence conducted by IIFCL, and how were the issues dealt with (i.e., outcome of due diligence)?

• All eligible compensation and assistances are already paid to the APs as per provision of NH Act 1956.

• There were few pending litigation cases which are being dealt by the Competent Authority. As informed by the Concessionaire, the project has not been affected due to these pending land acquisition cases (which is between Chainage km. 45+950 to Km 49+770).

• The project does not involve any issue related to indigenous people.

5. Compensation, Relocation and Rehabilitation

5a Has cash compensation paid to APs at replacement cost?

All eligible compensation and assistances are paid to the APs as per provision of NH Act 1956.

5b Were physically displaced persons

relocated? Has project authorities identified relocation sites? Any houses at relocation sites constructed for the physically displaced?

No physical relocation has taken place under the sub-project.

5c In case of Indigenous Peoples, are there resettlement options which are culturally-appropriate? Are there any relocation sites for them? In choosing such sites did affected Indigenous Peoples consulted to know whether they consider such sites as appropriate.

Not Applicable

5d Was there a detailed income restoration or livelihood development plan with a budget and time frame as part of the resettlement plan? What is the current status of its implementation?

The Concessionaire has engaged local people in various activities related to Operation of the project. These local people are involved in semi-skilled and skilled activities as well as in administrative department.

5e Are income restoration and livelihood development activities culturally appropriate in case of affected Indigenous Peoples communities?

Not Applicable

6. Monitoring and Reporting 6a Does the subproject have quantitative and

qualitative indicators to monitor the performance of social safeguards identified? Have they been monitored regularly?

The performance of social safeguard is monitored through the number of employment opportunities provided to the local people, number of grievances reported and number of such grievances resolved. These indicators are monitored regularly with the concessionaire. The status of land acquisition is also a major quantitative indicator which is being monitored by Lender Engineer in their monthly progress report. Apart from this, the concessionaire is also involved in various CSR activities which includes donation to schools, Tree-preneur Program for empowering village people and enriching the green environment, sponsoring the education of labourer’s children, health check-up camps including HIV tests.

6b Is there an external monitor of the social safeguards of the subproject? Has the expert regularly monitor safeguard compliance?

Yes, the external expert for periodic monitoring has been appointed.

6c Has Monitoring reporting done on agreed frequency?

Yes

• D Conclusion on social safeguard compliance status of subproject

This sub-project was prepared by NHAI as per its own funding requirement and not anticipation to ADB operation. Overall the sub-project is in compliance with the applicable government and ADB safeguard requirements.

•

• Names of audit team members: Ms. Rumita Chowdhury, Social Safeguard Specialist, IIFCL Reviewed by: Mr. Sanjeev Ghai, CGM- ESMU, IIFCL

Date of subproject audit: This annual audit is based upon site visit on 7th – 9th November 2012 and subsequent discussion with the project concessionaire.

Date of Submission 14 January 2013 (Initial Submission) 06 March 2013 (First Revised) 10 April 2013 (Second Revised)

SUMMARY ASSESSMENT OF SOCIAL SAFEGUARDS COMPLIANCE FOR IIPFF-II, TRANCHES I and II

A. Social Safeguard

No. Company Name

Subproject Name Social Safeguard Due Diligence Compliance Status vis-à-vis ADB Safeguard

Policies

Social Safeguard Compliance

Monitoring and Review by ADB

Action Required by

IIFCL to Ensure Compliance

1. Pune-Solapur Expressway Pvt. Ltd.

Widening and Up gradation of NH-9 section between Pune-Solapur Section in the state of Maharashtra, India.

• With regards to land acquisition and R&R there is no major issues in the sub-project.

• The land acquisition is done by the Concessioning Authority as per the National Highway Act 1956.

• Public consultations were conducted during the design and construction phase of the project and the suggestions of the people were considered during both the phases.

The sub-project has been processed by NHAI as per its own funding arrangements and not in anticipation of ADB assistance. Overall the sub-project is in compliance with the applicable state and government regulations and ADB safeguard policy requirements.

SOCIAL AUDIT RECORDING SHEET ON



Comments and Observations


Six laning of the existing road from Km 364.125 to Km 58.245 on the kishangarh-ajmer-beawar Section of NH-8

2. Name of Concessionaire / SPV: and address with contact numbers

Soma-Isolux Kishangarh Beawer Toll way Private Ltd.


Central Bank of India as Senior Lenders along with the other lenders India Infrastructure Finance Company Ltd., Bank of Maharashtra, the State Bank of Bikaner and Jaipur , Corporation Bank, Dena Bank, Indian Overseas Bank, Panjab National Bank, State bank of Travencore and UCO Bank.


Mr. Sanjeev Ghai, CGM- ESMU, IIFCL, [email protected]


Kishangarh, Ajmer & Beawar section of NH-8

6. Sector / Sub-Sector as per ADB Guidelines: Highway Roads (Widening and Strengthening)

7. Subloan (US$ mn):


8. Status of Subproject Implementation:

The project is under construction and physical progress is 86.26% (September 2012)


Policy on Involuntary Resettlement (1995): Applicable Policy on Indigenous Peoples (1998): Not Applicable Safeguard Policy Statement (2009): Not Applicable corrigendum




Yes, the environmental & social safeguard due diligence was carried out by IIFCL.


Site visit was undertaken on 15th and 16th of September 2010 by IIFCL’s Environment and Social Safeguard Specialist. Again as a part of Annual compliance monitoring on 28th and 29th of August 2012. In addition to the safeguards site visits, The Lenders Engineers (LE) undertake Quarterly site visit to sub-project for monitoring the following aspects of the project.

• Physical Progress; • Financial progress; • Land acquisition status of the project, • Overall review and assessment of the project

1 Subprojects approved under LN 2404-IND (approved on 20 Dec. 2007), LN 2509-IND (approved on 24 Feb. 2009), LN 2586-IND (approved

on 27 Nov. 2009) are required to comply with the Environment Policy 2002, Policy on Involuntary Resettlement (1995), and Policy on Indigenous Peoples (1998). Subprojects approved under LN 2717-IND (approved on 7 Dec. 2010) are required to comply with ADB Safeguard Policy Statement 2009.

mailto:[email protected]�

13. History of Previous Annual Audits This is the first audit.

14. Products Placed for Audit in the Current Year Social Safeguard Implementation Monitoring

C. ENGAGEMENT DOCUMENTS WITH LEAD BANK/SPV

1. Institutional Arrangements 1a. Financing and budget, Are the provisions adequate, timely? Do they


Yes, the provisions were mad adequately and timely. The compensation for the loss of land has been paid entirely under the mandate of NHAI considering the market value obtained from the Revenue Department of the state. As informed by the Concessionaire, there is no such issue pending.


Yes, the ESMU has its own professional staffs who have been trained in the fields of involuntary resettlement and Indigenous People.



Yes, the RP may be revised following detailed design and detailed measurement and survey, during the project planning and efforts have been made to minimize the social impact.


Yes, the gazette notification has been published as per the applicable act and the compensation has been finalized by the competent authority as per the applicable policy of NH Act 1956.



No separate IPP was prepared for the subproject since there are only 15 Schedule Tribes families are affected due to the project. However they are not significantly different from other project affected families, who are considered part to the mainstream population and does not display a distinct demographic, vocational and cultural and social identity.


Yes the budget is provided for all the project affected people, but no separate Indigenous peoples plan has prepared for the project. This is a part of RP budget.


Yes, the affected ST families were consulted during the project planning and preparation stage of the project.


Yes the institutional requirement for monitoring the project and participation of project affected people has been considered.



Yes, during the public consultation, the affected persons have been consulted and proceedings properly documented during the project planning and design stage.


The impact of the project on the land and the affected properties is published in 3D notification as per NH Act 1956. This notification is published in English as well as in local language.

4c Were meaningful consultations with affected Yes, the meaningful consultations with the affected Indigenous

Indigenous Peoples communities conducted and the process and outcomes documented?

People communities conducted and process and outcomes documented.


Yes, an effective grievance redress mechanism is being followed by the developer to deal with environmental and social issues as informed by the Concessionaire.

4e What were the main social, involuntary

resettlement and Indigenous Peoples issues associated with this subproject that were identified through due diligence conducted by IIFCL, and how were the issues dealt with (i.e., outcome of due diligence)?

The social, involuntary resettlement issues identified during the DDR is as follows:

• The project is under implementation • All the APs were provided with compensation as per the

applicable policy. • All the affected religious and community structures have been

relocated after prior consultation with the local people. • There are only 15 Schedule Tribes families are affected. • Overall the sub-project is in compliance with the applicable

government and ADB safeguard requirements.



NHAI has prepared this project for its own funding requirement and not in anticipation to ADB’s operation, Thus the land acquisition has been done by NHAI and the compensation has been paid for loss of properties as determined by the Competent Authority. Compensation was paid at the market value after a thorough analysis and verification of local market rates and registered land values at the Land Registry.

5b Were physically displaced persons relocated? Has project authorities identified relocation sites? Any houses at relocation sites constructed

No physical relocation of affected families required for the project.


As informed by the developer there are only 15 families losing their land partially in this subproject and the type of impact on schedule tribe is not different than the impact on other affected peoples and their customary rights on livelihood is not changing due to the subproject impact.


As the subproject is a linear project, due to land acquisition the APs are losing only a part of their land. However in addition to compensation solatium is paid as assistance for land acquisition to APs for mitigating the loss to income or livelihood. Further to restore and enhance the economic conditions of the APs, local people are employed as unskilled labour during the construction period through the contractors/subcontractors.

5e Are income restoration and livelihood

development activities culturally appropriate in case of affected Indigenous Peoples communities?

Not Applicable



Yes, the qualitative and quantitative indicators like status of land acquisition/handing over of site and removal of encroachments and sifting of utilities/common properties resources have been monitored by LE and the quarterly monitor report is submitted to the lenders.

Further the developer is proactively engaged in CSR activities, which is directly monitored by Project Manager Some of the social safeguards indicators are health camp, technical support to school, employment to local men and women, support to religious festivals and up gradation and construction of community development facility and structures.


Monitoring and periodic reporting is done by the Lenders Engineer. M/s Halcrow Consulting India Pvt. Ltd.


Yes, the agreed frequency is Quarterly.


• The sub-project is under implementation • The affected people have been compensated for loss of

land and structures as per the applicable policies and procedures.

• All the affected religious and community structures have been relocated after prior consultation with the local people.

• The sub-project has no major significant social

issues/concern identified during the site visit;

• The project also do not have much public grievances involved;

• Overall the sub-project is in compliance with the applicable government and ADB safeguard requirements.

• Names of audit team members: Mr. Krupasindhu Guru, Social Development Specialist, IIFCL

Reviewed by:

Sh. Sanjeev Ghai, CGM- ESMU, IIFCL

Date of subproject audit: Audit is based on site visit during 28th and 29th of August 2012 and subsequent discussion with the project concessionaire.



A. Social Safeguard

No. Company Name

Subproject Name Social Safeguard Due Diligence

Compliance Status vis-à-vis ADB Safeguard

Policies

Social Safeguard

Compliance Monitoring and Review

by ADB

Action Required by IIFCL to Ensure

Compliance

1.

Soma-Isolux Kishangarh Beawer Toll way Private Ltd.

Six laning of the existing road from Km 364.125 to Km 58.245 on the kishangarh-ajmer-beawar Section of NH-8

• The sub-project is under implementation

• The affected people have been compensated for loss of land and structures as per NHAI Act-1956


• There are only 15 Schedule Tribe families are losing their land partially in this subproject

• The sub-project has no

major significant social issues/concern identified during the site visit;

The sub-project has been prepared by NHAI as per its own funding requirement and not anticipation to ADB operation. Overall the sub-project is in compliance with the applicable government and ADB safeguard requirements

• The project also do not

have much public grievances involved;


SOCIAL AUDIT RECORDING SHEET FOR

THE APPLICATION OF THE SOCIAL SAFEGUARD SYSTEM (The form will continue for the project life)




Six lane Expressway between Noida and Agra with Service Roads and associated facilities on BOT basis in the state of Uttar Pradesh.


M/s. Jaypee Infratech Limited - Yamuna Expressway(JIL)


Panjab National Bank, as Senior Lenders along with the other lenders Dena Bank, UCO Bank, SBP, Axis Bank, Corporation Bank, India Infrastructure Finance Company Ltd, Oriental Bank of Commerce, Punjab &Sin Bank, SREI, State bank of Hyderabad, Union Bank of India and ICICI Bank.




Noida to Agra


Highway Roads (Expressway)



8. Status of Subproject Implementation: The sub-project has become operational since August 2012


Policy on Involuntary Resettlement (1995): Applicable Policy on Indigenous Peoples (1998): Not Applicable Safeguard Policy Statement (2009): Not Applicable






Site visit was undertaken on 27th of August 2012 by IIFCL’s Social Safeguard Specialist. Apart from Annual Safeguards site visit a site visit was also organized during the month of November 2012


14. Products Placed for Audit in the Current Year Social Safeguard Implementation Monitoring


1. Institutional Arrangements 1a. Financing and budget, On financing and budget the provisions are made adequately as per the




Are the provisions adequate, timely? Do they address the concerns/issues adequately?

applicable policies of Yamuna Expressway Industrial Development Authority (YEIDA), a statutory body of the Govt. of Uttar Pradesh.


Yes, ESMU has its own professional staffs that have been trained in the field of involuntary resettlement and Indigenous Peoples.



No separate RP has been prepared for the project The social impact of the project has been covered under the EIA study report.


Yes, the gazette notification has been published and the compensation was paid to the affected people as per the applicable policy of Yamuna Expressway Industrial Development Authority (YEIDA)



No Indigenous people are being affected; therefore no Indigenous people plan is required.


Not Applicable


Not Applicable


Not Applicable



Yes, the affected person has been consulted during the project planning and preparation stage of the project., and the proceedings properly documented.


No separate RP has been prepared for the project. But the local people were informed about the project and the notification details of the land acquisition were published in two local newspapers.


Not Applicable.


Yes, an effective grievance redress mechanism is being followed to deal with environmental and social issues. Any grievances received by concessionaire are directly brought to the notice of YEIDA.


The social, involuntary resettlement issues identified during the DDR is as follows:

• The land acquisition for the project has been carried out by

YEIDA as per the Land Acquisition Act 1894 • The project has achieved COD on 16th August 2012 • In addition to compensation R&R assistance has been paid to

the affected people • Local people have been engaged for unskilled activities in the

project site. To mitigate the identified issues following measure was adopted:

Most of the skilled and unskilled construction labourers are recruited from the local area to create employment opportunities and sense of wellbeing of the local people.



No, as identified during the due diligence study, the sub-project has been prepared by NHAI as per its own funding requirement and not anticipation to ADB operation. Thus the land acquisition has also been carried out by the YEIDA, and the compensation has been paid as decided by the Competent Authority considering the market value obtained from the Revenue Department of the state.

5b Were physically displaced persons relocated? Has project authorities identified relocation sites? Any houses at relocation sites constructed for the physically displaced?

No relocation of affected families required for the project.


Not Applicable


As the subproject is a linear project, due to land acquisition the APs are losing part of their land and the developer has also engaged local people in various construction activities.The developer has recruited skilled and unskilled construction labourers from the local area.


Not Applicable.



Yes, the qualitative and quantitative indicators like status of land acquisition/handing over of site and removal of encroachments and sifting of utilities/common properties resources have been monitored by LE and the monthly monitor report is submitted to the lenders.


Monitoring and periodic reporting is done by the Lenders Engineer,


Yes, the agreed frequency is Monthly.


• The sub-project has become operational since 16th August 2012,

• The sub-project sanction was given by IIFCL prior to ESSF adoption;

• The sub-project has no major significant social issues/concern identified during the site visit;

• The land acquisition for the project has been carried out by YEIDA as per the Land Acquisition Act 1894


• Names of audit team members: Mr. Krupasindhu Guru, Social Development Specialist, IIFCL

Reviewed by:


Date of subproject audit: The audit is based on the site visit on 27th of August 2012 and the information received from the developer

Date of Submission

14 January 2013 (Initial Submission) 06 March 2013 (First Revised) 10 April 2013 (Second Revised)


A. Social Safeguard

No. Company Name

Subproject Name Social Safeguard Due Diligence Compliance Status vis-à-vis ADB Safeguard Policies




Compliance

Jaypee Infratech Limited - Yamuna Expressway(JIL)

Six lane Expressway between Noida and Agra with Service Roads and associated facilities on BOT basis in the state of Uttar Pradesh.

• The sub-project has become operational since 16th August 2012,

• The sub-project sanction was given by IIFCL prior to ESSF adoption;

• The sub-project has no major significant social issues/concern identified during the site visit;

• The land acquisition for the project has been carried out by YEIDA as per the Land Acquisition Act 1894

• Overall the sub-project is in

compliance with the applicable government and ADB safeguard requirements.

• No Indigenous people are

being affected; therefore no Indigenous people plan is required.

• Ambulance with round the clock service is also provided at toll plaza site to provide free medical services to the people.

The sub-project has been prepared by YEIDA as per its own funding requirement and not anticipation to ADB operation Overall the sub-project is in compliance with the applicable government and ADB safeguard requirements

SOCIAL AUDIT RECORDING SHEET ON

THE APPLICATION OF THE SOCIAL SAFEGUARD SYSTEM (The form will continue for the project life)




Design, Engineering, Finance, Construction, Operation and Maintenance of Khalghat – MP/Maharastra Border Section on NH 3 from Km.84.700 to Km 167.500 in Madhya Pradesh under NHDP Phase IIIA on Build, Operate & Transfer (BOT) Basis.


M/s. SEW Navayuga Barwani Tollways Pvt. Ltd.


State Bank of India as Senior Lenders along with the other lenders Andhra Bank, the State Bank of Bikaner and Jaipur, State Bank of Mysore, Union Bank of India and India Infrastructure Finance Company Ltd.


Mr. Sanjeev Ghai, CGM, & ESMU, IIFCL, [email protected]


Khalghat-Madhya Pradesh/Maharashtra boarder of section NH-3


Highway Roads (Widening and Strengthening)



8. Status of Subproject Implementation: The sub-project has become operational effective from April 2011




Involuntary Resettlement: Category A Indigenous Peoples: A


Yes, an Environment & Social Due Diligence has been conducted for the sub-project by in the month of January 2010


Site visit was undertaken during 2nd week of 2009 by the ADB consultants on Environment and Social Safeguards during the due diligence of the sub project. Moreover ,the Lenders Engineers (LE) undertake Quarterly site visit to sub-project for monitoring the following aspects of the project. Physical Progress; Financial progress; Land acquisition status of the project, Overall review and assessment of the project






The financing and budgeting for the project adequately covers the resettlement and rehabilitation concerns/issues. The compensation rates for loss of land have been paid entirely under the mandate of NHAI considering on the basis of the latest highest registered sale deed in the area.





Yes, the ESMU has its own professional staffs who have been trained in the fields of involuntary resettlement and Indigenous Peoples.



Efforts have been undertaken by providing bypasses, realignment and underpasses for the project. The competent authority (NHAI) by adopting appropriate design, public consultation, measurement survey and minimizing resettlement impact while finalizing the RP.


Yes, the gazette notification has been published as per the NH Act.-1956



• There is no separate Indigenous Peoples Plan is prepared for the subproject.

• All the affected schedule tribe can be considered as assimilated into mainstream society and does not display a distinct demographic, vocational, cultural and social identity.

• There are 173 families losing their land or structures

partially in this subproject and the type of impact on schedule tribe is not different than the impact on other affected peoples and their customary rights on livelihood is not changing due to the subproject impact.


Yes the budget is provided for all the affected people, but no separate Indigenous peoples plan has prepared for the project.


Yes, the affected ST families were consulted during the project planning and preparation stage of the project.


Yes the institutional requirement for monitoring the project and participation of project affected people has been considered.



Yes, public consultations have been conducted during project planning and preparation stage of the project. Informal consultations were also arranged with the stakeholders along the project road, villages, shopkeepers and the people of the different section of the society to understand opinions of the affected persons.




Yes, the meaningful consultations with the affected Indigenous people communities conducted and the process and outcomes documented.


Yes, an effective grievance redress mechanism is being followed to deal with environmental and social issues by the developer.


• The rate of compensation for the land is decided by revenue department on the basis of the latest highest registered sale deed in the area.

• The value of crops & fruit bearing trees is calculated on the annual productive value, finalized by department of horticulture and agriculture, Govt. of Madhya Pradesh.

• Land acquisition and payment of compensation is completed and there is no issues observed.

• There are 173 families losing their land or structures partially in this subproject and the type of impact on schedule tribe is not different than the impact on other affected peoples and their customary rights on livelihood is not changing due to the subproject impact.



NHAI has prepared this project for its own funding requirement and not in anticipation to ADB’s operation, Thus the land acquisition has been done by NHAI and the compensation for the loss of properties is decided by the Competent Authority. Hence the compensation paid to the APs is at market value and the rate analysis was undertaken after verification of local market rates from local people and the government – registered prices were ascertained from the revenue department on the basis of the latest highest registered sale deed in the area.




There are 173 families losing their land or structures partially in this subproject and the type of impact on schedule tribe is not different than the impact on other affected peoples and their customary rights on livelihood is not changing due to the subproject impact.


As the subproject is a linear project, due to land acquisition the APs are losing part of their land. However in addition to compensation for land and structures 30% solatium is paid as assistance for land acquisition to APs for mitigating the loss to income or livelihood if any and not to offset any other incidental losses, provision for an ex-gratia amount of Rs. 10,000 to all APs is made in the RAP.

About 40 - 50 local people are employed in Toll Operations and Road Management


Not Applicable.



The developer is proactively engaged in CSR activities, which is directly monitored by the General Manager Project, followed by the Project Managers and safety officer. Some of the social safeguards indicators are eye camp, blood donation camp, safety training road safety awareness technical support to school, employment to local men and women, support to religious festivals and up gradation and construction of community development facility and structures.


Monitoring and periodic reporting i.e. quarterly is done by the Lenders Engineer, M/S Frischmann Prabhu

6c Has Monitoring reporting done on agreed Yes the agreed frequency is quarterly.

frequency? • D Conclusion on social safeguard

compliance status of subproject • The sub-project has become operational effective from April

2011; • With regards to land acquisition and compensation there is no

major outstanding issues in the subproject. • The affected people have been compensated for loss of land

and structures as per the applicable policies and procedures of NH Act- 1956.


• Focus group discussions were conducted at different locations.

• About 40 - 50 local people are employed in Toll Operations and Road Management;

• In addition to compensation for land and structures 30% solatium is paid as assistance for land acquisition and Rs. 10,000 to all APs as ex-gratia.

• All the affected schedule tribe can be considered as assimilated into mainstream society and does not display a distinct demographic, vocational, cultural and social identity.

• Names of audit team members: Sh. Krupasindhu Guru Social Safeguard Specialist, IIFCL Reviewed by:

Sh. Sanjeev Ghai, CGM

Date of subproject audit: This annual audit is based on the information and document received from the developer.

Date of Submission


SUMMARY ASSESSMENT OF ENVIRONMENTAL AND SOCIAL SAFEGUARDS COMPLIANCE FOR IIPFF-II, TRANCHES I and II

A. Social Safeguard

No. Company Name Subproject Name Social Safeguard Due Diligence Compliance Status vis-à-vis ADB

Safeguard Policies




Compliance

SEW Navayuga Barwani Tollways Pvt. Ltd.

Design, Engineering, Finance, Construction, Operation and Maintenance of Khalghat – MP/Maharastra Border Section on NH 3 from Km.84.700 to Km 167.500 in Madhya Pradesh under NHDP Phase IIIA on Build, Operate & Transfer (BOT) Basis.

• The sub-project has become operational effective from April 2011

• The affected people have been compensated for loss of land and structures as per the applicable policies and procedures of NH Act- 1956.


• With regards to land acquisition and compensation there is no major outstanding issues in the subproject.

• About 40 - 50 local people are

employed in Toll Operations and Road Management;

• In addition to compensation for land

and structures 30% solatium is paid as assistance for land acquisition and Rs. 10,000 to all APs as ex-gratia.

• All the affected schedule tribe can be

considered as assimilated into mainstream society and does not display a distinct demographic, vocational, cultural and social identity.


SOCIAL AUDIT RECORDING SHEET FOR

IMPLEMENTATION OF SOCIAL SAFEGUARD SYSTEMS (The form will continue for the project life)



Badarpur Elevated Highway


Badarpur-Faridabad Tollway Ltd.


Canara Bank (Lead Bank), Oriental Bank of Commerce, IIFCL, Axis Bank, Bank of Baroda, State Bank of Bikaner and Jaipur


Mr. Sanjeev Ghai, Chief General Manager- ESMU, IIFCL, [email protected], Tel no.- 011-23450261


Located in the state of Delhi and Haryana


Highway

7. Subloan (US$):


8. Status of Subproject Implementation: The project has achieved Provisional Commercial Operations Date (COD) on 29th November, 2010 and Toll collection has been started from 30th November, 2010.




Involuntary Resettlement: Category B Indigenous Peoples: Category C


Yes, Environment & Social due diligence study has been undertaken for the sub-project by Mr. Saumyasib Mukhopadhyay (Environmental Safeguard Specialist) and Ms. Rumita Chowdhury (Social Safeguard Specialist) from IIFCL and Mr. Hari Prakash, ADB Consultant on 14th April 2010.


A site visit was undertaken on 14th April 2010 by IIFCL’s Environment and Social Safeguard Specialist along with the ADB-Auditor. As part of annual audit, site visit was undertaken in June 2011.

13. History of Previous Annual Audits This is the second annual audit. 14. Products Placed for Audit in the Current Year


C. DOCUMENTS AND ACTIVITIES FOR THE




SUB-PROJECT 1. Institutional Arrangements 1a. Financing and budget, Are the provisions adequate, timely? Do they


As informed by the concessionaire, no issue related to social safeguards is pending. It has also been confirmed by the concessionaire that no litigation case is pending for private land acquisition.


Yes, the ESMU has its own professional staffs, who have been trained in the fields of involuntary resettlement and Indigenous Peoples.



The social impact of the project has been covered under the EIA study. Detailed survey has been conducted to report the social impact during the EIA study. No separate Resettlement Plan has been prepared for the project.


Yes, the compensation rates were disclosed to the local and the same has been revised after consultation with the affected people.



As confirmed by the concessionaire, no Indigenous people are being affected; therefore no Indigenous people plan was not prepared for the sub-project.


Not Applicable


Not Applicable


Not Applicable



Yes, the affected people have been consulted and their grievances were addressed during public meeting related to land acquisition.


No separate Resettlement Plan has been prepared for the project. But the local people were informed about the project and the details of land acquisition were published in two local newspapers.


Not Applicable


Any grievances received by concessionaire are brought to the notice of Concessioning authority. The grievances are directly dealt by Concessioning authority.


• There are no pending issues for the project and the affected people have been informed and consulted for deciding the compensation for the loss of assets.

• As informed by the Concessionaire, only one land acquisition case is pending for the sub-project which is only 0.0078% of the total land acquisition and this has not hampered the operation of the project. The pending land belongs to Ministry of Defense and the case is being dealt by the Competent Authority.

• The project involved only partial land acquisition and an assistance amount was paid to the affected people to help them to restore their livelihood.

• The project does not have any impacts on indigenous people. 5. Compensation, Relocation and Rehabilitation


The compensation has been paid to the affected families. The rate of compensation for land is fixed by Additional District Magistrate by issue of office order as per the latest Registry rate of the land in that area. In this regard a public consultation was also held to take their opinion.


No relocation of affected families required for the project.


Not Applicable


As the subproject is a linear project, due to land acquisition the APs are losing only a part of their land and are not getting economically displaced. However in addition to compensation 10% Solatium is paid as assistance for land acquisition to APs for mitigating the loss to income or livelihood, if any.


Not Applicable



The project is in operation stage and the performance of social safeguard is being monitored based on the indicators which include the number of local people employed in the project, any pending or grievances received. As informed by the concessionaire, there is no pending litigation cases for the project and local people have been employed for various operational activities in the project.


The project is in operation and there are no Social safeguard issues in the sub-project.


The agreed Monthly reporting is done by Lenders Engineer Frischmann Prabhu (India) Pvt. Ltd.


• The sub-project has achieved COD in November 2010. • The subproject involves land acquisition and the affected people

are losing their land partially. • The compensation has been paid to the affected families after

prior consultation. • The subproject has not triggered indigenous people’s policy

safeguards as there is no any tribal issue within the project area. • Overall the sub-project is in compliance with the applicable

government and ADB safeguard requirements.

• Names of audit team members: Ms. Rumita Chowdhury, Social Safeguard Specialist, IIFCL Reviewed by:

Mr. Sanjeev Ghai, CGM- ESMU, IIFCL

Date of subproject audit: This annual audit is based the documents made available by the Concessionaire.

Date of Submission 10th April 2013


A. Social Safeguard

No. Company Name


Policies



Action Required by


1. Badarpur-Faridabad Tollway Ltd.

Badarpur Elevated Highway

• The subproject involves land acquisition and the affected people are losing their land partially.

• The compensation has been paid to the affected families after prior consultation.

• The subproject will not trigger indigenous people’s policy safeguards as there is no any tribal issue within the project area.

The sub-project has achieved COD in November 2010. Overall the sub-project is in compliance with the applicable government and ADB safeguard requirements

DRAFT SOCIAL AUDIT RECORDING SHEET

FOR IMPLEMENTATION OF SOCIAL SAFEGUARD SYSTEMS

(The form will continue for the project life)


1. Name of the Sub-Project: 4-laning of Gujarat/Maharashtra border-Surat-Hazira port section of NH-6 in the state of Gujarat to be executed as BOT (Toll) on DBFOT basis.


Soma Isolux Surat-Hazira Tollways Private Limited


Oriental Bank of Commerce as Senior Lenders along with the other lenders Union Bank of India, the State Bank of Bikaner and Jaipur , the Andhra Bank, Bank of Borada, Central Bank of India, Corporation Bank, Dena Bank, Indian Overseas Bank, Panjab National Bank, State bank of Hyderabad, State Bank of Travencore, UCO Bank and Union Bank of India.




Gujarat/Maharashtra border section of NH-6 and ends near Hazira Port in the State of Gujarat.




Till date disbursed amount is US$ 15628410.03

8. Status of Subproject Implementation:

As per the status of June 2012,49% of physical progress has been achieved. The Commercial Operation Date (COD) is expected to be achieved shortly




Involuntary Resettlement: Category A Indigenous Peoples: Category B




Site visit was undertaken on 21st and 22nd of March 2011 by IIFCL’s Environment and Social Safeguard Specialist. Again during the Annual compliance monitoring on 3rd and 4th of September 2012. In addition to the safeguards site visits, The Lenders Engineers (LE) undertake Quarterly site visit to sub-project for monitoring the following aspects of the project.

• Physical Progress; • Financial progress; • Land acquisition status of the project, • Overall review and assessment of the project





14. Products Placed for Audit in the Current Year



1. Institutional Arrangements 1a. Financing and budget, Are the provisions adequate, timely? Do

they address the concerns/issues adequately?

Yes, on financing and budget the provisions are made adequate. As informed by the Concessionaire, there are two issues pending before the High Court, Ahmedabad, hence the concessionaire is hopeful regarding the early settlement of issues.. As informed by the concessionaire, the budgeted amount is already deposited with the district administration.


Yes



• Yes, during the construction phase of the subproject, few additional provisions were included in the design based on the requests and concerns of affected persons.


The details of the affected land were published in Gazette notification as per the applicable National Highway Act 1956.



• No indigenous peoples plan is prepared for this project since the affected people are very few which only 11 numbers of affected households

• As informed by the concessionaire two villages inhabited by Schedule Tribes are affected due to the subproject namely Afva and Saroli village.

• The main village, Afva village which is away from the road but a hamlet

belong to Schedul Tribes families is affected and all the 11 families located between Chainage 37+600 to 37+700 are allotted houses under Indira Avas Yojna.

• All the affected scheduled tribes can be considered as assimilated into mainstream society and does not display a distinct demographic, vocational, cultural and social identity.

• Thus no separate IPP was prepared for the project, however provisions for R&R assistance has been included in the RP for these affected families also.

3b Is there a budget for implementing

mitigation actions, if any, and to distribute beneficial measures, if any, to Indigenous Peoples provided?

Yes the budget is provided for the affected people, but not separately mentioned in the RP.


Yes.


Not Applicable, since the project does not involve any IPP.


4a Have the affected persons been Yes, During project planning and preparation stage, public hearing was

consulted and discussions properly documented?

made on 13th October 2009 and 21st October 2009. Further local level public consultations have been done at Hazira, Songarh, Ena and Bhatia villages.


• Yes, RP was disclosed to the affected people, • Yes, the deliberation and notification is made available in local

language.


Yes, the meaningful consultations with the affected indigenous people communities conducted and the process and outcomes documented.


• Yes, the NHAI has established an R&R Cell under the Project Implementation Unit (PIU) headed by Project Director.

• The PIU-R&R Cell will be assisted by committees at district level in resolving issues of disputes & in implementing the Resettlement Plan.

• In addition to this the concessionaire has formed his own grievance cell to monitor/resolve the issue to expedite the process headed by Chief Operating Officer followed by project manager.


The social, involuntary resettlement and Indigenous Peoples issues identified during the DDR is as follows:

• There are 11 Scheduled Tribe families are losing their land or structures partially in this subproject

To mitigate the identified issues following measures were adopted:

• All the APs were provided with compensation as per the applicable policy.

• The affected Schedule Tribe families (11 nos) were allotted houses under Indira Avas Yojna.




The payment of compensation is made to all the displaced persons as per the applicable policy of NHAI.


Not Applicable.


Not Applicable


The income restoration measures were identified and implemented by Concessioning Authority. To restore and enhance the economic conditions of the APs, local people are employed as unskilled labour during the construction period through the contractors/subcontractors.

5e Are income restoration and The developer has carried out several social welfare and livelihood development activities which is culturally appropriate in the vicinity of the

livelihood development activities culturally appropriate in case of affected Indigenous Peoples communities?

project area. Some of the activities like enhancement of village roads, supply of drinking water to the local villages through tankers, etc.

6. Monitoring and Reporting 6a Does the subproject have

quantitative and qualitative indicators to monitor the performance of social safeguards identified? Have they been monitored regularly?

Yes, the developer is proactively engaged in CSR activities, which is directly monitored by Chief Operating Officer, followed by Public Relation Officer and Managers and road safety officer. Some of the social safeguards indicators are health camp, technical support to school, employment to local men and women, support to religious festivals and up gradation and construction of community development facility and structures.


Yes, Monitoring and periodic reporting is done by the Lenders Engineer, M/S Halcrow Consulting India Pvt. Ltd.


Yes, the agreed frequency is Quarterly.


The sub-project is under implementation • The project is under implementation • The affected persons have been compensated for loss of land and

structures as per the applicable policies and procedures of NH Act- 1956.


• As informed by the concessionaire there are two litigation cases are pending before the Court of Law.



• Public consultations have been made along the project road villages, like at Hazira, Songarh, Ena and Bhatia.

• Names of audit team members: Mr. Krupasindhu Guru, Social Safeguard Specialist, IIFCL

Reviewed by:


Date of subproject audit: 3rd and 4th of September 2012

Date of Submission



A. Social Safeguard


Safeguard Policies




Compliance

Soma Isolux Surat-Hazira Tollways Private Limited

4-laning of Gujarat/Maharashtra border-Surat-Hazira port section of NH-6 in the state of Gujarat to be executed as BOT (Toll) on DBFOT basis.

• The project is under implementation • The affected people have been

compensated for loss of land and structures as per the applicable policies and procedures of NH Act- 1956.


• As informed by the concessionaire there are two litigation cases are pending before the Court of Law.



• Public consultations have been made along the project road villages, like at Hazira, Songarh, Ena and Bhatia.


SOCIAL AUDIT RECORD SHEET ON



COMMENTS AND OBSERVATIONS


Widening and Up gradation of NH-3 section between Dhule-Palasner in the state of Maharashtra, India.


M/s Dhule-Palasner Tollways Ltd.


Punjab National Bank as Senior Lender along with the other lenders i.e. India Infrastructure Finance Company Limited, Allahabad Bank, Bank of Baroda, Corporation Bank, Dena Bank, Indian Overseas Bank, Oriental Bank of Commerce, State Bank of Bikaner and Jaipur, State Bank of Patiala and Syndicate Bank.




Dhule-Palasner section of NH-3 in the State of Maharashtra


Highways and Road Widening and Strengthening

7. Subloan (US$):


8. Status of Subproject Implementation: The sub-project has become operational since February 2012 9. What are the applicable ADB safeguard

policies in case of this subproject?1 Policy on Involuntary Resettlement (1995): Not Applicable Policy on Indigenous Peoples (1998): Not Applicable Safeguard Policy Statement (2009): Applicable


Involuntary Resettlement: Category A Indigenous Peoples: Category FI


Yes, an Environment & Social due diligence study has been undertaken for the sub-project by Ms. Ruchi Malik (Environmental Safeguard Specialist) and Ms. Rumita Chowdhury (Social Safeguard Specialist) during 16th-17th of March 2011.


A site visit was undertaken by Environmental and Social Safeguard specialists during 16th-17th of March 2011. Second site visit was undertaken on 21st to 22nd August 2012 as part of annual audit.



C. DOCUMENTS AND ACTIVITIES FOR THE SUB-PROJECT






The provisions are made adequately and timely as per the applicable national policies. The compensation rates for loss of properties have been decided by the Competent Authority and the land acquisition has been done as per The National Highways Act, 1956. Public consultations have been conducted at the design phase to understand opinions of the affected persons.


Yes, ESMU has its own professional staffs who have been trained in the field of involuntary resettlement and Indigenous Peoples.



Yes, during the project planning stage efforts has been taken to minimize the social impacts due to the project. Mitigation measures which include provision of bypasses and realignment have been considered to minimize the social impact during the planning and designing stage of the project.


Yes, the gazette notification has been published as per the applicable National Highway Act 1956, to disclose the land acquisition for the project. The compensation for the land acquisition has been decided by the Competent Authority.



The ST families as identified during the project planning stage had actually mainstreamed with the local population. They are mainly involved in the road side petty business. As per information provided by the concessionaire, the sub-project does not have any kind of negative impact on their ST families.


In addition to the compensation for loss of assets to the ST families, affected ST families have also been provided with the resettlement site near their existing village. The resettlement site was provided for free to the affected ST families apart from the compensation for the loss of land and structure. This identified resettlement site is government land and has been selected by the District Collector after consultation with the affected families.


Yes, the affected ST families were consulted during the allotment of land and accordingly as demanded they have been allotted the land near their existing village.


The land has already been allotted to the affected families.



Public consultations have been conducted at the design phase to understand opinions of the affected persons. Many provisions have been incorporated into project design during the construction phase to address their concerns and requests.



4c Were meaningful consultations with affected Indigenous Peoples communities

The affected ST families were consulted during the allotment of land and accordingly as demanded they have been allotted the

conducted and the process and outcomes documented?

land near their existing village.


Yes, an effective grievance redress mechanism is being followed to deal with environmental and social issues.


Following issues related to involuntary resettlement and indigenous people issues were identified during the due diligence study by IIFCL: • The land acquisition has been done by NHAI and the

compensation has been paid to the affected families. • Land allocation to the affected ST families after consultation

with them.



As identified during the due diligence study, the sub-project has been prepared by NHAI as per its own funding requirement and not anticipation to ADB operation. Thus the land acquisition has also been carried out by the Concessioning Authority, which is National Highway Authority of India, as per the National Highway Act 1956 and the compensation has been paid as decided by the Competent Authority considering the market value obtained from the Revenue Department of the state.


The affected ST families were provided with a resettlement site which was identified by the District Collector.


The resettlement site was provided for free to the affected ST families apart from the compensation for the loss of land and structure. This identified resettlement site is government land and has been selected by the District Collector after consultation with the affected families.


The income restoration measures were identified during the preparation of Resettlement Action Plan and implemented by Concessioning Authority. As informed during the site visit, the Concessionaire has also engaged local people in various construction activities.


Not Applicable



The performance of social safeguard is monitored through the number of employment opportunities provided to the local people, number of grievances reported and number of such grievances resolved. These indicators are monitored regularly with the concessionaire.

6b Is there an external monitor of the social safeguards of the subproject? Has the expert regularly monitor safeguard

Yes, the external expert for periodic monitoring has been appointed.

compliance? 6c Has Monitoring reporting done on agreed

frequency? Yes







A. Social Safeguard

No. Company Name


Policies



Action Required by


1. M/s Dhule-Palasner Tollways Ltd.

Widening and Up gradation of NH-3 section between Dhule-Palasner in the state of Maharashtra, India.

• The land acquisition has been done by NHAI under NH Act 1956 and the compensation has been paid to the affected families before handing over the land to the concessionaire.

• Public Consultation was conducted during the design and construction phase.

• The affected religious properties have been relocated by the concessionaire after consultation with the local people.






Construction of additional two lanes on Halol Godhra Shamlaji Road to make it four-lanedivided carriageway facility on BOT Basis


L&T Halol Shamlaji Tollway Pvt. Ltd


Allahabad Bank (Lead Bank), UCO Bank, Oriental Bank of Commerce, Syndicate Bank, IIFCL, Indian Bank, HDFC Bank, Indus Ind Bank



5. Location of the Subproject??:

Halol, Kalol, Godhra, Sehera and Lunawada of Panchmahal districts of Gujarat


Highway

7. Subloan (US$):


8. Status of Subproject Implementation: The Provisional COD has been declared on 4th April 2012. 9. What are the applicable ADB safeguard

policies in case of this subproject?1 Policy on Involuntary Resettlement (1995): Applicable Policy on Indigenous Peoples (1998): Applicable Safeguard Policy Statement (2009): Not Applicable




Yes, an Environment & Social Due Diligence has been conducted for the sub-project by Ms. Ruchi Malik (Environmental Safeguards) and Ms. Rumita Chowdhury (Social Safeguards) during the 4th week of May 2011.


A site visit was undertaken by Environmental and Social Safeguard specialists during the 4th week of May 2011. As part of Annual Audit, site visit was undertaken on 5th & 6th September 2012.




1. Institutional Arrangements 1a. Financing and budget, The provisions are made adequately and timely as per the

applicable national policies. The compensation rates for loss of




Are the provisions adequate, timely? Do they


properties have been decided by the Competent Authority of GSRDC. As per land acquisition procedures the total compensation package includes 30% Solatium payment. Public consultations have been conducted at the subproject design phase in order to understand opinions of the affected persons on the subproject. Based on consultations, several provisions have been introduced during the construction phase of the subproject to address the issues raised by the APs.





The Social issues and their mitigation measures were included in the Detailed Project Report after the detailed survey. During the construction phase of the subproject, several additional provisions were included in the design based on the requests and concerns of affected persons. These requests for an additional underpass near a school and access roads to the village along the project road were incorporated in the subproject design.


Yes, the gazette notification has been published as per the applicable act.



The sub-project does not have any impact on Indigenous Peoples.


Not Applicable


Not Applicable


Not Applicable



Public consultations have been conducted at the design phase to understand opinions of the affected persons. Many provisions have been incorporated into project design during the construction phase to address their concerns and requests.




No indigenous people is being affected due to the sub-project.

4d Dida Grievance Redress Yes, an effective grievance redress mechanism is being followed to

Committee/Mechanism established? Is it functioning?

deal with environmental and social issues.


Following issues related to involuntary resettlement and indigenous people issues were identified during the due diligence study by IIFCL: • The land acquisition has been done by GSRDC and the

compensation has been paid to the affected families. • There are no indigenous people’s issues.



As identified during the due diligence study, the sub-project has been prepared by NHAI as per its own funding requirement and not anticipation to ADB operation. Thus the land acquisition has also been carried out by the Concessioning Authority, which is GSRDC, and the compensation has been paid as decided by the Competent Authority considering the market value obtained from the Revenue Department of the state.



5c In case of Indigenous Peoples, are there resettlement options which are culturally-appropriate? Are there any relocation sites for them? In choosing such sites did affected Indigenous Peoples consulted to know whether they consider such sites as appropriate?

No indigenous household was affected by the subproject


The Concessionaire has engaged local people in various construction activities.


Not Applicable





The social safeguards issues are monitored by the Lender Engineer.


Yes


This sub-project was prepared by GSRDC as per its own funding requirement and not anticipation to ADB operation. Overall the sub-project is in compliance with the applicable government and ADB safeguard requirements.


Date of subproject audit: This annual audit is based upon site visit on 5th & 6th September 2012 and subsequent discussion with the project developer.



A. Social Safeguard

No. Company Name


Policies



Action Required by


1. L&T Halol Shamlaji Tollway Pvt. Ltd

Construction of additional two lanes on Halol Godhra Shamlaji Road to make it four-lanedivided carriageway facility on BOT Basis

• The land acquisition has been done by GSRDC and the compensation has been paid to the affected families before handing over the land to the concessionaire.

• Adequate measures have been adopted for the minimization of social impacts during the planning stage of the sub-project.

• affected religious properties have been relocated by the concessionaire after consultation with the local people.

• The project does not have impact on indigenous people.

The sub-project has been prepared by GSRDC as per its own funding requirement and not anticipation to ADB operation. Overall the sub-project is in compliance with the applicable government and ADB safeguard requirements





Four Laning of Pathankot-Amritsar section of NH-15 under NHDP Phase- III on DBFOT Basis


IRB Pathankot Amritsar Toll Road Pvt. Ltd.


IDFC, ICICI, IIFCL, Canada Bank, Bank of Baroda, Union Bank of India




Gurdaspur and Amritsar districts of Punjab


Highways

7. Subloan (US$): Till date disbursed amount is US$ 18,223,643.20

8. Status of Subproject Implementation: As per Lender Engineer’s report, physical progress achieved till November 2012 is approximately 70.08% and the Scheduled COD of the project is in Jun 2013.


Policy on Involuntary Resettlement (1995): Not Applicable Policy on Indigenous Peoples (1998): Not Applicable Safeguard Policy Statement (2009): Applicable




Yes, an Environment & Social Due Diligence has been conducted for the sub-project by Ms. Ruchi Malik (Environmental Safeguard Specialist) and Ms. Rumita Chowdhury (Social Safeguard Specialist) in November 2011.


A site visit was undertaken by Environmental and Social Safeguard specialists during 11th-12th of August 2011.




1. Institutional Arrangements 1a. Financing and budget,

Yes, the provisions were made adequately and timely. The compensation for the loss of land has been paid entirely under the




Are the provisions adequate, timely? Do they address the concerns/issues adequately?

mandate of NHAI considering the market value obtained from the Revenue Department of the state. Public consultations have been conducted at the subproject design phase in order to understand opinions of the affected persons on the subproject. Based on consultations, several provisions have been introduced to address the issues raised by the APs.





The Social issues were identified during the designing stage after a detailed survey and the mitigation measures were adopted accordingly to minimize the social impact.





As informed by the concessionaire, the sub-project does not have any impact on indigenous people.


Not Applicable


Not Applicable


Not Applicable



Affected persons were consulted during the project planning stage. The details of the discussions at these public consultations have been captured in the Resettlement Action plan.




Not Applicable


Yes, an effective grievance Redressal mechanism is followed to deal with environment and social issues. As informed by the Concessionaire, as per the procedure, if any grievances received then they are being forwarded to NHAI for appropriate action.


As informed by the concessionaire, there is one pending case related to a disputed land. The status of pending litigation cases is being monitored through Lender Engineer.







No indigenous people are being affected due to the sub-project.


The income restoration measures were identified and implemented by Concessioning Authority. As informed by the Concessionaire, they have employed 400 local labours in the construction activities.


Not Applicable





The project is being monitored by Independent Engineer who is appointed by Concessioning Agency. The social safeguards issues are also monitored by the Lender Engineer.


Yes, the monitoring reporting is done by lender Engineer on agreed frequency.


• Names of audit team members: Ms. Rumita Chowdhury, Social Safeguard Specialist, IIFCL

Reviewed by:


Date of subproject audit: This annual audit is based upon the information received from the Concessionaire.



A. Social Safeguard

No. Company Name


Policies



Action Required by


1. IRB Pathankot Amritsar Toll Road Pvt. Ltd.

Four Laning of Pathankot-Amritsar section of NH-15 under NHDP Phase- III on DBFOT Basis

• The land acquisition has been done by NHAI and the compensation has been paid to the affected families before handing over the land to the concessionaire.

• Adequate measures have

been adopted for the minimization of social impacts during the planning stage of the sub-project.

• Local people’s view have been

given due consideration during the implementation of the project. The affected religious properties have been relocated by the concessionaire after consultation with the local people.

• Local labour is being engaged

in the construction activities for skilled as well as unskilled activities.

• As informed by the

concessionaire, there is one pending case related to a disputed land.

The sub-project has been prepared by NHAI as per its own funding requirement and not anticipation to ADB operation. Overall the sub-project is in compliance with the applicable government and ADB safeguard requirements.


THE APPLICATION OF THE SOCIAL SAFEGUARD SYSTEMS (The form will continue for the project life)



Four Laning of Cuddapah- Kurnool section of NH 18 / (Approx. Length 188.752.00 km) in the State of Andhra Pradesh on Build, Operate and Transfer (“BOT”) basis


M/s. Rayalseema Private Ltd.


IDFC (Lead Bank), IIFCL, Bank of Baroda




Cuddapah and Kurnool districts of Andhra Pradesh


Highway

7. Subloan (US$):

Till date disbursed amount is US$ 3,73,38,206.38

8. Status of Subproject Implementation: The project is under construction and about 57.66% of the physical work has been completed.






Yes, an Environment & Social Due Diligence has been conducted for the sub-project by Ms. Ruchi Malik (Environmental Safeguard Specialist) and Ms. Rumita Chowdhury (Social Safeguard Specialist).


A site visit was undertaken by Environmental and Social Safeguard specialists during 19th -20th of January 2012.




1. Institutional Arrangements 1a. Financing and budget, The provisions are made adequately and timely as per the




Are the provisions adequate, timely? Do they


applicable national policies. The compensation rates for loss of land have been paid entirely under the mandate of NHAI considering the market value obtained from the Revenue Department of the state. Public consultations have been conducted at the subproject design phase in order to understand opinions of the affected persons on the subproject. Based on consultations, several provisions have been introduced during the construction phase of the subproject to address the issues raised by the APs.





The Social issues were identified during the designing stage after a detailed survey and the mitigation measures were adopted during the design stage to minimize the social impact. During the construction phase of the subproject, several additional provisions were included in the design based on the requests and concerns of affected persons.





Only 5 schedule tribe families are being affected due to the project and it was informed by the concessionaire that these families are residing along the project road and have merged into the mainstream population of the local area. Thus, no separate Indigenous Peoples Plan has been prepared for the sub-project.


These families have been compensated for the loss of assets as per the NH Act 1956.


The details of the affected land were published in Gazette notification as per the applicable National Highway Act 1956. Public consultations have been conducted at the subproject design phase to understand the opinion of the people.


Not Applicable



Public consultations have been conducted at the subproject design phase in order to understand opinions of the affected persons on the subproject. Based on consultations, several provisions have been introduced during the construction phase of the subproject to address the issues raised by the APs.



4c Were meaningful consultations with Only 5 schedule tribe families are being affected due to the project.

affected Indigenous Peoples communities conducted and the process and outcomes documented?

It was informed by the concessionaire that these families are residing along the project road and have merged into the mainstream population of the local area and thus they were also a part of public consultations conducted during the design stage. The suggestions given on such consultations were documented in the Resettlement Action Plan.


Yes, an effective grievance Redressal mechanism is followed to deal with environment and social issues. The grievances received from the affected people are dealt by the Competent Authority.


Following issues related to involuntary resettlement and indigenous people issues were identified during the due diligence study by IIFCL: • There are few pending litigation cases which are being dealt by

the Competent Authority. • Only 5 ST families are affected due to the sub-project who has

been compensated for their loss of assets. IIFCL has obtained the status report of the pending litigation cases from the developer.



As identified during the due diligence study, the sub-project has been prepared by NHAI as per its own funding requirement and not anticipation to ADB operation. Thus the land acquisition has also been carried out by the Concessioning Authority, which is National Highway Authority of India, as per the National Highway Act 1956 and the compensation has been paid as decided by the Competent Authority.


No relocation of the affected families is involved in this sub-project.


No relocation of the affected families is involved in this sub-project.


The income restoration measures were identified and implemented by Concessioning Authority. As informed by the concessionaire during the site visit, they have also generated job opportunity for 160 skilled and 255 unskilled labourers in the construction activities. They are employed as labours for various construction activities and also for the job of as security guards and office assistants.


The affected ST families have become a part of mainstream population and thus cannot be distinguished separately. The local people who are employed in the construction activities also include such ST families.


qualitative indicators to monitor the performance of social safeguards

The performance of social safeguard is monitored through the number of employment opportunities provided to the local people, number of grievances reported and number of such grievances

identified? Have they been monitored regularly?

resolved. These indicators are monitored regularly with the concessionaire.


The project is being monitored Aarvee Associates which has been appointed as the Independent Engineer by Concessioning Agency. The social safeguards issues are also monitored by the Lender Engineer.


Yes, the monitoring reporting is done in consensus with the concessionaire.




Date of subproject audit: This annual audit is based the documents made available by the Concessionaire.



A. Social Safeguard

No. Company Name


Policies



Action Required by


1. M/s. Rayalseema Private Ltd.

Four Laning of Cuddapah- Kurnool section of NH 18 / (Approx. Length 188.752.00 km) in the State of Andhra Pradesh on Build, Operate and Transfer (“BOT”) basis


• There are few pending litigation cases which are being dealt by the Competent Authority.




THE APPLICATION OF THE SOCIAL SAFEGUARD SYSTEMS (The form will continue for the project life)




Four Laning of 15.350 Km. Quazigund to Banihal Section from Km 189.350 to Km. 204.700 including two tunnels (2 lane) of 0.690Kms. And 8.450Kms of NH-1A in the state of Jammu & Kashmir on DBFOT (Annuity) basis in the state of Jammu & Kashmir.v


M/s Navayuga Quazigund Expressway Private Limited


State Bank of India as the senior Lender and other Co-Lenders are Punjab National Bank, Central Bank of India, Bank of India, Andhra Bank, State Bank of Hyderabad, Oriental Bank of Commerce, Corporation Bank and India Infrastructure Finance Company Limited (IIFCL).




Ramban and Anantnag District Section of Jammu and Kashmir State





8. Status of Subproject Implementation: The subproject is under construction, the physical Progress up to October 2012 is 26.52%.




Involuntary Resettlement: Category A Indigenous Peoples: Category c


Yes, Environmental and Social Due Diligence (ESDD) was completed on March 2012.


Due Diligence site visit was undertaken by IIFCL’s Environmental and Social Safeguard specialists during 12th -14th of March, 2012 to review the implementation status of the project on social safeguards.

In addition to the safeguards site visits, The Lenders Engineers (LE) undertake site visits to sub-project for monitoring the following aspects of the project.

- Physical Progress; - Financial progress; - Land acquisition status of the project, - Overall review and assessment of the project




1. Institutional Arrangements




1a. Financing and budget, Are the provisions adequate, timely? Do they


The provisions are made adequately and timely as per the applicable national policies. The compensation rates for loss of properties have been decided by the Competent Authority and the land acquisition has been done as per The National Highways Act, 1956. Public consultations have been conducted at the design phase to understand opinions of the affected persons.





Yes,during project planning and preparation stage of the project efforts have been undertaken by providing bypasses, realignment and underpasses for the project. The competent authority (NHAI) has taken due consideration by adopting appropriate design, public consultation, measurement survey and minimizing resettlement impact while finalizing the RP.


Yes, the gazette notification has been published as per the NH Act.-1956



Not Applicable


Not Applicable







Yes, public consultations and village level focus group discussion have been conducted during project planning and preparation stage of the project. District Level Consultation was organized by State Pollution Control Board, Jammu and Kashmir under the Guidance of District Authorities and with the support of National Highway Authority of India.


During the environmental examination and social assessment, APs were consulted pertaining to various issues like road widening problem and prospect of resettlement plan. The 3D notification is published in English and local vernacular language.


Yes, the meaningful consultations with the affected people communities conducted and the process and outcomes documented. The various points raised in the meeting were mostly related to alignment modifications, landslides, snow avalanches zone, and employment to local people, loss of productive land and compensation criteria at market rates. All those attended the meetings are unanimously in favor of the project.


Yes, an effective grievance redress mechanism is being followed to deal with environmental and social issues.


• As informed by the concessionaire, land acquisition is being done by the NHAI through the help of District Administration

• All the 26 affected families and one Mosque over tunnel -2 at Gund Thatar village under Banihal Tahasil, of Ramban District have been compensated by the District Collector.

• In addition to the land and structures compensation crop

compensation was also given to the affected land holders for disruption of crop during the period of construction as well as acquisition of land.



NHAI has prepared this project for its own funding requirement and not in anticipation to ADB’s operation, Thus the land acquisition has been done by NHAI and the compensation for the loss of properties and structures are decided by the Competent Authority. Hence the compensation paid to the APs is at market value and the rate analysis was undertaken after verification of local market rates from the Revenue Department of the state.


All the 26 affected families and one Mosque over tunnel -2 at Gund Thatar village under Banihal Tahasil, of Ramban District have been compensated by the District Collector.


No indigenous household was affected by the subproject


In addition to the land and structures compensation crop compensation was also given to the affected land holders for disruption of crop during the period of construction as well as acquisition of land. Further, the Concessionaire has also engaged local people in various construction activities.


Not Applicable



The developer is proactively engaged in CSR activities, like giving vocational training to the affected women, technical training to the mail folk, distribution of sewing machines, constructions of toilets, ambulance service to surrounding villages, etc., Some of the social safeguards indicators are eye camp, blood donation camp, safety training road safety awareness technical support to school, employment to local men and women, support to religious festivals and up gradation and construction of community development facility and structures.


Monitoring and periodic reporting i.e. monthly is done by the Lenders Engineer, M/S LEA Associates South Asia Pvt. Ltd.


Yes the agreed frequency is monthly.


• The subproject is under construction, and the likely date of completion is June 2013.

• All the 26 affected families and one Mosque over tunnel -2 at Gund Thatar village under Banihal Tahasil, of Ramban District have been compensated by the District Collector.

• As informed by the developer 400 local people are employed in the construction activity of the project as per the qualification and experiences.

• As informed by the concessionaire, land acquisition has been done by the NHAI with the help of District Administration

• The affected people is being compensated for loss of land and structures as per the applicable policies and procedures of NH Act- 1956.


• Focus group discussions were also conducted at different locations.

• Names of audit team members: Sh. Krupasindhu Guru Social Safeguard Specialist, IIFCL Reviewed by:


Date of subproject audit: This annual audit is based on the information and document received from the developer.

Date of Submission



A. Social Safeguard


Safeguard Policies




Compliance

M/s Navayuga Quazigund Expressway Private Limited

Four Laning of 15.350 Km. Quazigund to Banihal Section from Km 189.350 to Km. 204.700 including two tunnels (2 lane) of 0.690Kms. And 8.450Kms of NH-1A in the state of Jammu & Kashmir on DBFOT (Annuity) basis in the state of Jammu & Kashmir.v

• The subproject is under construction, and the likely date of completion is June 2013.

• All the 26 affected families and one Mosque over tunnel -2 at Gund Thatar village under Banihal Tahasil, of Ramban District have been compensated by the District Collector

• The affected people have been compensated for loss of land and structures as per the applicable policies and procedures of NH Act- 1956.


• More than 400 local people are

employed in the construction activity of the project as per the qualification and experiences.






6-Laning of Chilakaluripet to Nellore section of National Highway No.5 from Km 1182.802 to Km. 1366.547 (Including 10.125 km long New Ongole bypass) in the State of Andhra Pradesh on DBFOT pattern


Simhapuri Expressway Ltd. (SEL)


State Bank of India, State Bank of Hyderabad, State Bank of Maharashtra, State Bank of Patiala, State Bank of Bikaner and Jaipur, IDFC, IIFCL, ICICI Bank, Allahabad Bank, Tamilnad Mercantile Bank Ltd.




Guntur, Prakasam and Nellore Districts in the state of Andhra Pradesh


Highway

7. Subloan (US$):


8. Status of Subproject Implementation: The scheduled Commercial Operation Date (COD) is 20th May 2014.






Yes, an Environment & Social Due Diligence has been conducted for the sub-project by Ms. Ruchi Malik (Environmental Safeguard Specialist) and Mr. Krupasindhu Guru (Social Safeguard Specialist) in March 2012.


A site visit was undertaken by Environmental and Social Safeguard specialists during 18th-20th of June 2012. As part of Annual Audit, site visit was undertaken on 7th – 9th November 2012.









The provisions are made adequately and timely as per the applicable national policies. The compensation for the loss of land has been paid entirely under the mandate of NHAI considering the market value obtained from the Revenue Department of the state. Public consultations have been conducted at the subproject design phase in order to understand opinions of the affected persons on the subproject. Based on consultations, several provisions have been introduced during the construction phase of the subproject to address the issues raised by the APs.





The Social issues were identified during the designing stage after a detailed survey and the mitigation measures were adopted during the design stage to minimize the social impact. During the construction phase of the subproject, several additional provisions were included in the design based on the requests and concerns of affected persons.







Not Applicable


Not Applicable


Not Applicable



Affected persons were consulted during the project planning stage. The details of the discussions at these public consultations have been captured in the Resettlement Action plan. As informed by the concessionaire during the site visit, various informal consultations are also carried out during the construction stage. At one location, public objected to the construction activities as they thought that construction activities were disturbing the existing pond which is used for supply of drinking water. Accordingly, It was mutually agreed with the villagers to shift the tank from the existing location and extend it beyond the proposed ROW. The work for the same is under progress.

4b Was the RP or updated RP disclosed to the affected persons? Made available in local language? Disclosed in ADB or other


websites? 4c Were meaningful consultations with

affected Indigenous Peoples communities conducted and the process and outcomes documented?



Yes, an effective grievance Redressal mechanism is followed to deal with environment and social issues.


Following issues related to involuntary resettlement and indigenous people issues were identified during the due diligence study by IIFCL: • There are few pending litigation cases which are being dealt by

the Competent Authority. • The sub-project does not affect any Schedule Tribe family.









The income restoration measures were identified and implemented by Concessioning Authority. As informed by the concessionaire during the site visit, they have also generated job opportunity for 700 peoples who include local people, people from villages outside the project area and the project affected people. They are employed as labours for various construction activities and also for the job of as security guards and office assistants.




qualitative indicators to monitor the performance of social safeguards identified? Have they been monitored

The performance of social safeguard is monitored through the number of employment opportunities provided to the local people, number of grievances reported and number of such grievances resolved. These indicators are monitored regularly with the

regularly? concessionaire. 6b Is there an external monitor of the social

safeguards of the subproject? Has the expert regularly monitor safeguard compliance?

The project is being monitored by M/S Intercontinental Technocrats Pvt. Ltd. in JV with SNC Lavalin Infrastructure Pvt. Ltd., which has been appointed as the Independent Engineer by Concessioning Agency. The social safeguards issues are also monitored by the Lender Engineer.


Yes, the monitoring reporting is done in consensus with the concessionaire.



• Names of audit team members: Ms. Rumita Chowdhury, Social Safeguard Specialist, IIFCL Reviewed by:





A. Social Safeguard

No. Company Name


Policies



Action Required by


1. Simhapuri Expressway Ltd. (SEL)

6-Laning of Chilakaluripet to Nellore section of National Highway No.5 from Km 1182.802 to Km. 1366.547 (Including 10.125 km long New Ongole bypass) in the State of Andhra Pradesh on DBFOT pattern


• There are few pending litigation cases which are being dealt by the Competent Authority.



Social Safeguards Monitoring Report - Asian Development Bank

Documents

Transcript of Social Safeguards Monitoring Report - Asian Development Bank