UTTARAKHAND STATE ROAD INVESTMENT PROGRAM Pangot

Home , Almora, Bageshwar, Betalghat, Nainital, Pangot

Resettlement Planning Document

Resettlement Plan for Pangot-Bagartalla Road Subproject Document Stage: Final Project Number: 38255 May 2008

India: Uttarakhand State Road Investment Program

Prepared by Public Works Department, Government of Uttarakhand.

The resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature.

INDIA: UTTARAKHAND STATE ROAD INVESTMENT PROGRAM

Pangot- Bagartalla Road Subproject

SHORT RESETTLEMENT PLAN

Public Works Department Government of Uttarakhand India

MAY 2008 SHORT RESETTLEMENT PLAN

TABLE OF CONTENTS

DESCRIPTION Page No.

List of Abbreviation 2

Executive Summary 3

A Introduction 6

B Description of the Project Road 6

C Scope and Objectives of SRP 7

D Resettlement Impact 7

E Socio-Economic Profile of the Affected Persons 9

F Relocation and Compensation 10

G Issues Related with Indigenous People 10

H Gender Issues in the Road 11

I Policy Framework 11

J Consultation and Public Participation 14

K Institutional Arrangements 14

L Monitoring and Evaluation 15

M Grievance Redressal Committee 15

N R&R Cost Estimate 15

O Implementation Schedule 16

LIST OF ANNEXES Annexure I: List of Affected Persons

Annexure II: Public Consultation Participants

Annexure III: Terms of Reference for NGO/Agency

Annexure IV: Terms of Reference for an External Monitoring &

Evaluation Agency/Consultant

- 1 -

LIST OF ABBREVIATIONS

ADB Asian Development Bank AP Affected Person BPL Below Poverty Line EA Executing Agency FGD Focus Group Discussions GOI Government of India GRC Grievance Redressal Committee HH Household IPSA Initial Poverty & Social Assessment IP Indigenous Peoples LA Land Acquisition NGO Non-Government Organizations NPRR National Policy on Resettlement & Rehabilitation PIU Project Implementation Unit PMU Project Management Unit PRA Participatory Rural Appraisal PWD Public Works Department RF Resettlement Framework RO Resettlement Officer RP Resettlement Plan R&R Resettlement & Rehabilitation SC Schedule Caste ST Schedule Tribe TORs Terms of Reference

- 2 - Executive Summary of the Short Resettlement Plan

A. Description of the Project

1. The proposed Uttarakhand State Road Improvement Program is part of state’s infrastructure vision, which covers improvement of existing road network for about 287 km of selected MDR/ODR/VR/LVR located in 6 districts namely Udham Singh Nagar, Nainital, Almora, Bageshwar, Pithoragarh and Champawat in the Kumaon zone (Package I). The road improvement program will benefit directly the poor living in the region , as road transport is the primary—and often the only— form of transport. Thus, an efficient road network linking villages, towns, and cities will provide stronger links between remote and poor regions and more developed markets. Infrastructure development encourages other development initiatives, which together considerably stimulate economic growth. Thus, the project is expected to improve the socioeconomic situation significantly, and enhance poverty reduction.

2. This Short Resettlement Plan has been prepared based on detailed design for Pangot to Bagartalla road (6+000 km) in Nainital district. There are 21 structures found on the project road. Of the total 21 structures, 16 structures were saved in the designing of the road, however 3 residential structures belong to titleholders are likely to be affected. 2 Toilets will be affected. The project does not make any impact on livelihood of any affected family. There are no non titleholders found on the project.

B. Objectives of the Short Resettlement Plan

3. This Short Resettlement Plan is prepared to deal with impacts of land acquisition and resettlement issues resulting from the rehabilitation of the said road subproject. The Plan provides an analysis of the impacts, identifies the nature and types of losses, and establishes an entitlement matrix as a guide to payments for compensation and resettlement benefits. The primary objective of this short RP is to prepare a plan, restoring the income and living standards of the affected persons (APs) if any, due to land acquisition within a short period of time without any disruptions in their own economic and social environment.

C. Resettlement Impacts

4. Minimization of resettlement was achieved mainly by reducing the corridor of impact. Based on the availability of RoW and likely improvement strategy, it was agreed in consultation with PWD to reduce the corridor of impact to 5.75 m. In keeping in view, the technical design aims at minimization of the resettlement impact by means of best utilization of the available space by avoiding private and public assets and land acquisition as far as possible. Census and socio-economic survey and public consultations have been undertaken in the month of February 2008 .After minimizing the negative resettlement impacts, 3 residential structures would be affected with minor loss. 2 Toilets will be affected. The private structures likely to be affected belongs to titleholders .There are no non titleholders are likely to be impacted. No relocation of the structures is required; no impact on livelihood is envisaged.

D. Socio-economic Profile of Affected Households

5. The census survey identified socio-economic characteristics of the affected households. In general the economy of the area is agrarian. There is only one household works as a labor and 5 households are engaged in agriculture or related field. The average annual income of the affected households is between Rs. 20000- 50000 annually. Of 6 affected households, one household belongs to Below Poverty Line (BPL) category likely to be impacted by the project. The average size of affecting household works out to be 3.6.

E. Relocation and Compensation

6. There are no relocation of household is envisaged in this road section as there is no total loss of any residential structure or commercial structures. So far as the relocation needs, none of the

- 3 - structure will be displaced. Thus none of the APs will be displaced. No relocation of the structures is required; no impact on livelihood is envisaged.

F. Issues related with Indigenous People

7. In the state of Uttarakhand, the tribal (scheduled tribe) population constitutes only 3% of the total population. There is no any scheduled tribe (ST) population being negatively affected by the Sub- road. Keeping in view above facts, no separate Indigenous People Development Plan (IPDP) has been prepared for this road.

G. Gender impacts

8. Women in the region are largely involved in household work, cultivation and other agricultural activities. They use the road for their routine household activities and economic activities such as agriculture and marketing etc. Availability of all weather roads with safe connectivity with better transport services will benefit the women folk of the area. Their mobility will be augmented both in terms of access to social services, higher levels of schooling and better health facility etc. There are no women headed households will be affected as a result of the project.

H. Policy Framework

9. The resettlement principles adopted for this subproject recognize the Land Acquisition (LA) Act 1894 and the entitlement benefits as listed in the National Policy on R&R, (Govt of India) 2006, and the relevant Asian Development Bank’s (ADB) policies and operations manuals, in particular the policy on Involuntary Resettlement (1995), and Operations Manual F2 on Involuntary Resettlement (2006).

10. The RP is based on the general findings of the census survey, field visits, and meetings with various project-affected persons in the subproject area. Taking into account the various losses, the Entitlement Matrix provides for compensation and resettlement assistance to all affected persons. Compensation will be paid to all APs for the lost assets on the basis of current replacement cost. An Entitlement Matrix specific to the road has been developed, which recognizes and lists various types of losses resulting out of the project and the compensation and resettlement packages is provided in main SRP.

I. Stakeholder Participation and Disclosure of RP

11. In the road consultation, the people provided suggestions on R&R (Resettlement and Rehabilitation) issues e.g. how the adverse impacts can be minimized, kind of compensation, shifting allowances and other allowances to be provided to them that helps them to rebuild their structures, if they would be affected. The participants were of the opinion that i) project activities should be carried out within available land and avoid further acquisition; ii) Where unavoidable, proper price of land at current market rate should be given to the affected owners; iii) CPR should be relocated in consultation with the community.. Further, the consultations and discussions with the project affected people will be a continuing activity throughout the implementation of the project and PIU will be assisted by local NGO for it. The NGO involved in the implementation activities will keep the affected people informed about the impacts, the compensation and assistances proposed for them and facilitate addressing any grievances. The summary of short resettlement plan and the entitlement matrix will be translated into the local language and will be disclosed to affected persons and made available at offices of PWD, PMU and ADB website.

J. Implementation Arrangements

12. PWD will be the Executing Agency (EA) for the Project. The Project Management Unit (PMU) with assistance of Social Development & Resettlement specialist, & experienced NGO/agency will have the primary responsibility of the RP preparation and implementation. The PMU would ensure monitoring any changes to subproject design which may require re-evaluation of the need for and adequacy of the RP. The PMU will ensure resettlement budgets are delivered on time to the for timely RP implementation.

- 4 - K. Grievance Redressal

13. A Grievance Redressal Committee (GRC) will be established at the subproject level with the primary objective of providing a mechanism to mediate conflict and disputes concerning compensation payments and cut down on lengthy litigation. Headed by the District Collector, the GRC shall comprise of members from the District Land and Revenue Department, representatives of affected people, including women and vulnerable groups. GRC will meet as and when grievances are referred it for redress. Grievances will be redressed within two to four weeks from the date of lodging the complaints. All costs incurred in resolving the complaints will be borne by the projects.

14. All compensation and other assistances will be paid to all APs prior to commencement of civil works. A detailed implementation schedule for the various activities is provided in the SRP.

L. Monitoring and Evaluation

15. Both internal and external monitoring will form as the part of implementation process. Internal monitoring will be the responsibility of the PIU. This will include: administrative monitoring, socio- economic monitoring and impact evaluation monitoring. For external monitoring and evaluation, the PMU will engage an independent monitoring and evaluation specialist. The specialist should have the experience in resettlement activities and familiarity with government and ADB resettlement policy. The external monitoring will be done independently and the report by the external expert will be submitted to the ADB.

M. Budget

16. The total estimated R&R cost of the project is Rs. 289018. (Rupees Two Lacs Eighty Nine Thousand Eighteen only).

- 5 - Short Resettlement Plan

A. Introduction

1. Uttarakhand state has already taken action to study and priorities the road network for improvement/upgradation based on traffic, socio-economic and environmental criteria of the total of about 16,000 km of state roads of various categories of which about 8000 km have been identified as core network. The project roads are spread across all the 6 districts of Uttarakhand namely Udham Singh Nagar, Nainital, Almora, Bageshwar, Pithoragarh and Champawat in the Kumaon zone The proposed Uttarakhand State Road Improvement Program is part of state’s infrastructure vision, which covers improvement of existing road network for about 287 km of selected MDR/ODR/VR/LVR located in 6 districts of Kumaon Zone (Package I). The road improvement program will benefit directly the poor living in the region , as road transport is the primary—and often the only—form of transport. Thus, an efficient road network linking villages, towns, and cities will provide stronger links between remote and poor regions and more developed markets. Infrastructure development encourages other development initiatives, which together considerably stimulate economic growth. Thus, the project is expected to improve the socioeconomic situation significantly, and enhance poverty reduction. 2. This Short Resettlement Plan has been prepared based on detailed design for Pangot to Bagartalla road (6+000 km) in Nainital district. There are 21 structures found on the project road. Of the total 21 structures, 16 structures were saved in the designing of the road, however 3 residential structures belong to titleholders are likely to be affected. 2 Toilets will be affected. Detail analysis of the affected structures has been provided in Annexure I. The project does not make any impact on livelihood of any affected family. There are no non titleholders found on the project.

B. Description of the Project Road

3. The project roads comprise State Highways (SH), Major District Roads (MDR), Other District Roads (ODR) and Village Roads (VR), spread in the districts Udham Singh Nagar, Nainital, Almora, Bageshwar, Pithoragarh and Champawat in the Kumaon zone. Some of ODR’s and VR’s could not be marked in the Index Map due to the unavailability of their geographic orientation.

4. Pangot to Bagartalla road is Light Vehicle Road (LVR) situated in Kotabagh block, Nainital district. The total length of the project road is 6+000 km. The project road starts from Km 0+000 to Km 6+000; hence length of the project road would be 6+000 km. The existing alignment will be widened to 5.75 meters with shoulders of 1 meter each on both sides and their geometric design will be improved. The description of the road is provided in Table 1.

Table 1: Description of Project Road Leng Improveme Road th to nt Cate Total be District Block gory length impr Fro From To To oved m (Km) Nainital Kotabagh VR Pangot Bagartalla 6.000 6.000 Full length

- 6 - C. Scope and Objectives of SRP

5. The aim of this Short Resettlement Plan (SRP) is to mitigate all unavoidable negative social and resettlement specific impacts caused due to the up gradation of the road. The SRP has been prepared based on census survey findings and consultation with various stakeholders conducted in February 2008. SRP has been prepared in accordance with approved resettlement framework, ADB’s policy on Involuntary Resettlement (1995). The issues identified and addressed in this SRP are:

• Type and extent of loss of land and non-land assets, loss of livelihood or income opportunities and collective losses such as common property resources and social infrastructure; if any • Impacts on Indigenous people, vulnerable groups specifically women; if any • Consultation with stakeholders and scope of peoples participation in the project; • Existing legal and administrative framework and formulation of project specific entitlements; • Entitlement matrix with provisions for relocation assistance and restoration of Businesses/income; • Estimation of cost for implementation of R&R activities; • Institutional framework for the implementation of plan including monitoring and evaluation mechanism

D. Resettlement Impact

6. The proposed work for this road section includes widening of existing single lane carriageway to intermediate lane and strengthening of existing intermediate lane. The required formation width is 5.75 meters. The sub-project corridor passes through hilly terrain. As per the instructions given by PWD officials, the available Right of Way (RoW) is 12 meters in rural areas, and in built up areas, RoW would be considered within available land (wall to wall).

7. Minimization of resettlement was achieved mainly by reducing the corridor of impact. Based on the availability of RoW and likely improvement strategy, it was agreed in consultation with PWD to reduce the corridor of impact to 5.75 m. This helped in bringing down the resettlement impact considerably and in some locations up to 100 per cent as presented in Table 2. Table 2: Minimization of Resettlement Impact Location No. of Structures saved No. of affected Structure Before mitigation After mitigation Pangot 12 2 10 Bagartalla 9 3 06 Total 21 5 16 Source: Census survey, February 2008

8. After minimizing the negative resettlement impacts, 3 residential structures would be affected with minor loss. 2 Toilets will be affected. No relocation of the structures is required; no impact on livelihood is envisaged .The type and uses of structures is enumerated in the Table 3.

- 7 -

Table-3: Types and Uses of Structures to be Affected

Type of Losses No of No. of Affected Affected Persons Affected Household Structure s Residential structures 3 4 16 Residential cum Commercial 0 0 0 structures Commercial Structure 0 0 0 Other Property Unit (Toilet) 2 2 13 Religious Structure ( Temple) 0 0 0 Total 5 6 29 Source: Census survey, February 2008

9. The private structures likely to be affected belongs to titleholders .There are no non titleholders are likely to be impacted as summarized in the Table 4.

Table-4: Ownership Status of Affected Structures

Categories of Losses Encroachers Squatters Titleholders Total

Residential structure 0 0 3 3 Residential cum commercial 0 0 0 0 structure Commercial Structure 0 0 0 0 Others (Toilet) 0 0 2 2 Common Property Resource(CPR) 0 0 1 1 Total 0 0 6 6 Source: Census survey, February 2008

10. Out of 3 affected residential structures, one room of one double storey building, frontage of second structure and wooden & tin shed of the third structure are likely to be affected. 15-20% of 3 residential structures and 2 toilets will be fully impacted as mentioned in the Table 5.

Table – 5: Extent of Impact of the Structures Categories of Up to 10% 10 to 30% 30 to 50% 50 to 70% > 70% Losses Residential structure 0 3 0 0 0 Residential cum 0 0 0 0 0 commercial structure Commercial 0 0 0 0 0 Structure Other Structures 0 0 0 0 2 (Toilet) Religious structure 0 0 0 0 0 (Temple) Total 0 3 0 0 2 Source: Census survey, February 2008

11. There are 3 permanent structures followed by one semi permanent and one temporary structure likely to be affected as shown in the Table 6.

- 8 -

Table - 6: Type of Construction of the Affected Structures

Type of Construction No. of Structures Number of Households Permanent 3 4 Semi Permanent 1 1 Temporary 1 1 Total 5 6 Source: Census survey, February 2008

12. Of 6 affected households, one household belongs to Below Poverty Line (BPL) category is likely to be impacted by the project as described in the Table 7.

Table - 7: Vulnerable Households Being Affected

Categories Vulnerable Households No. of Affected Households Households Below Poverty Line (BPL) 1 Scheduled Caste (SC) Households 0 Scheduled Tribe (ST) Households 0 Women Headed Households (WHH) 0 Physically Handicapped Headed Households (PHH) 0 Total 1 Source: Census survey, February 2008

E. Socio-Economic Profile of the Affected Persons

13. Only one household have more than 10 family members and the average size of affecting household works out to be 3.6. The size of affected household has been summarized in Table 8. Table - 8: Size of Affected Household

Number of Family Members Number of Affected Households < 5 2 >5 and < 7 1 > 7 and <10 2 >10 and < 15 1 Not Available 0 Total 6 Source: Census survey, February 2008

14. There is only one household works as a labor and 5 households are engaged in agriculture or related field. In general the economy of the area is agrarian .The income source of the affected households is presented in the Table 9.

- 9 - Table - 9: Main Source of Income by Affected Households

Source of income Number of HHs Agriculture 3 Allied Agriculture 2 Forestry 0 Orchards 0 Trade Business 0 Govt. Service 0 Private Service 0 Profession 0 HH Industry 0 Agricultural Labor 0 Ex-Serviceman 0 Non-Agricultural Labor 1 Total 6 Source: Census survey, February 2008

15. The average annual income of the affected households is between Rs. 20000- 50000 annually as shown in the Table 10.

Table - 10: Annual Income Pattern

Range of Income (Annual) Number of Households <20000 0 20000 – 50000 5 50000 – 75000 1 75000 – 100000 0 > 100000 0 Total 6 Source: Census survey, February 2008

F. Relocation and Compensation

16. There are no relocation of household is envisaged in this road section as there is no total loss of any residential structure or commercial structures. There are 21 structures found on the project road. Of the total 21 structures, 16 structures were saved, however 3 residential structures with minor loss and 2 toilets are being affected. All these structures belong to titleholders. There is no non titleholder would be affected by the project.

17. So far as the relocation needs, none of the structure will be displaced. Thus none of the APs will be displaced. No relocation of the structures is required; no impact on livelihood is envisaged. All affected families opted for cash compensation for the partial loss of their structures.

G. Issues Related with Indigenous People

18. In the state of Uttarakhand, the tribal (scheduled tribe) population constitutes only 3% of the total population. There is no any scheduled tribe (ST) population being negatively affected by the Sub-road.

- 10 - 19. The tribal population in Uttarakhand and road affected area is not distinctive in the sense that they are inherently integrated with the modern and dominant population of the state. Tribal groups in the road area freely interact and share their sources of water, folklore, food, infrastructure and other belongings with the mainstream population and outside community. Moreover, these groups have nuclear families and are open to new ideas like family planning and formal education. Therefore, the socio-economic impacts due to road will not be different for these people when compared with mainstream population. Keeping in view above facts, no separate Indigenous People Development Plan (IPDP) has been prepared for this road.

H. Gender Issues in the Road

20. As indicated earlier, no women headed households will be affected as a result of the project. Women in the region are largely involved in household work, cultivation and other agricultural activities. They use the road for their routine household activities and economic activities such as agriculture and marketing etc. Availability of all weather roads with safe connectivity with better transport services will benefit the women folk of the area. Their mobility will be augmented both in terms of access to social services, higher levels of schooling and better health facility etc.

I. Policy Framework

21. In India, compensation for land acquisition (LA) and resettlement assistance for project-affected people is governed by the Land Acquisition Act (1894), which has been amended from time to time. The State Government, at present does not have any policy on Resettlement and Rehabilitation. Under the Land Acquisition Act of 1894, compensation is paid only to the legal titleholders and does not provide any compensation package to the non-title holders like encroachers, squatters etc. However, a National Policy on Resettlement and Rehabilitation of project Affected Families, 2004 known as NPRR-2004 has been adopted by the GOI to address development-induced resettlement. The policy essentially addresses the need to provide succor to the asset less rural poor, support the rehabilitation efforts of the resource poor sections namely small and marginal farmers, SCs/ STs and women who have been displaced. For acquisition of strips of land for railway lines, highways, transmission lines and pipelines, only an ex-gratia payment of Rs 10,000/= per family is to be paid under NPRR. This policy does not recognize squatters and encroachers and there is no provision of resettlement assistance and transitional allowances etc. However, despite these provisions, the policy does not define that the compensation of lost assets must be on the basis of replacement cost. Based on the above analysis of government provisions and ADB’s policy on Involuntary Resettlement, project specific resettlement and rehabilitation (R&R) measures have been formulated.

◊ Based on the above analysis of government provisions and ADB policy the broad resettlement principle for this project shall be the following: ◊ The negative impact on persons affected by the project would be avoided or minimized as much as possible; ◊ Where the negative impacts are unavoidable, the persons affected by the project and vulnerable groups will be identified and assisted in improving or regaining their standard of living. ◊ Information related to the preparation and implementation of resettlement plan will be disclosed to all stakeholders and people’s participation will be ensured in planning and implementation; ◊ Land acquisition for the project would be done as per the Land Acquisition Act, 1894. The Act specifies payment of adequate compensation for the properties to be acquired. Additional support would be extended for meeting the replacement value

- 11 - of the property. The affected persons who does not own land or other properties, but have economic interests or lose their livelihoods will be assisted as per the broad principles described in this document; ◊ Widening and strengthening work will take place mostly on the existing alignment except at locations where the existing alignment may require shifting to accommodate bridges reconstructed in new locations adjacent to existing structures ◊ Before taking possession of the acquired lands and properties, compensation and R&R assistance will be paid in accordance with the provision described in this document; ◊ An entitlement matrix for different categories of people affected by the project has been prepared and provisions will be kept in the budget for those who were not present at the time of census survey. However, people moving in the project area after the cut-off date will not be entitled to any assistance. In case of land acquisition the date of notification for acquisition will be treated as cut-off date. For nontitle holders such as squatters and encroachers the date of project census survey or a similar designated date declared by the executing agency will be considered as cut off date; ◊ Appropriate grievance redressal mechanism will be established at the district level to ensure speedy resolution of disputes; ◊ All activities related to resettlement planning, implementation, and monitoring would ensure the involvement of women and other vulnerable groups; ◊ Consultations with the APs will continue during the implementation of resettlement and rehabilitation works.

22. In accordance with the resettlement and rehabilitation (R&R) measures suggested for the project, all affected households and persons will be entitled to a combination of compensation packages and resettlement assistance depending on the nature of ownership rights on lost assets and scope of the impacts including socio-economic vulnerability of the affected persons. The affected persons will be entitled to the following five types of compensation and assistance packages (i) compensation for the loss of land at their replacement value; (ii) compensation for structures (residential/ commercial) and other immovable assets at their replacement value; (iv) assistance for shifting, and (v) rebuilding or restoration of community resources/facilities.

23. Compensation will be paid to all APs for the lost assets on the basis of current replacement cost. The “Vulnerable Group” comprises of 1) APs below poverty line (BPL); 2) APs belong to SC and ST category; 3) women headed households (WHH); 4) elderly distressed persons; and 5) disabled persons. An Entitlement Matrix specific to the road has been developed, which recognizes and lists various types of losses resulting out of the project and the compensation and resettlement packages presented in Table - 11. Further, all compensation and assistance will be paid to all APs in the first section of each contract package prior to commencement of civil works in first section and displacement or dispossession of assets. The subsequent sections under each contract package will be handed over to the contractor only after payment of compensation/assistance to the APs is completed for each of the sections. The IA will provide satisfactory evidences of payment of compensation and assistances for each section prior to commencement of civil works in the respective sections. All compensation and assistance will be paid at least two months prior to commencement of civil works.

- 12 - Table 11-Entitlement Matrix

S. Type of Unit of Entitlement Details N. Loss Entitlement

A. LOSS OF LAND & ASSETS Loss of a) Compensation a) Compensation for land and structure will be 1 non- Titleholder/ at paid as per LA act. agricultural Owner replacement b) If replacement cost for land and structure is land (i.e.- Residential value more than the compensation determined by the homestead land and Resettlement Competent Authority/DC, then difference is to be and structure) Assistance paid by the EA in the form of ‘’assistance’’. residential Transitional c) Replacement value for residential structure structures) b) APs with allowance (part or full), which will be calculated as per the customary Shifting prevailing basic schedule of rates (BSR) without land rights assistance depreciation, subject to relevant ‘’quality standards’’ of BSR as maintained by Govt. /Local c) Permits Body. from local d)Transitional ssistance of Rs. 3000/- per month authority in the form of grant to cover a maximum nine months rental accommodation. e) A lump sum shifting allowance of Rs. 1500 to 2500/- depending on the type of structure and extent of impact. f) Right to salvage material from demolished structure and frontage etc. g) Project assisted relocation option will be provided to those whose residential structures becomes non-livable as a result of Project impacts and a relocation site will be developed in consultation with these affected households (subject to availability of land) B. ADDITIONAL SUPPORT TO VULNERABLE GROUP 2. Primary Vulnerable Additional One time lump sum assistance of Rs. 5000/ to source of households assistance to vulnerable households. income including vulnerable groups This will be paid above and over the other BPL, SC, assistance(s) as per this framework. ST, WHH, disabled and elderly C. LOSS OF COMMUNITY INFRASTRUCTURE/COMMON PROPERTY RESOURCES

3. Common Community Compensatory Cash compensation or reconstruction of the Property replacement community structure in consultation with the Resources community. • The contractor shall bear the cost of any 4. Temporary Community Compensation impact on structure or land due to movement impact / Individual of machinery during construction during • All temporary use of lands outside proposed construction RoW to be through written approval of the include landowner and contractor. disruption of normal • Location of Construction camps by contractors traffic, in consultation with PWD. increased noise levels, and damage to adjacent parcel of land / assets due to movement of heavy machinery

- 13 - S. Type of Unit of Entitlement Details N. Loss Entitlement

D. ANY OTHER IMPACT 5. Unforeseen impacts if Unforeseen impacts will be assessed on case by case basis and suitable any compensation/ assistance will be paid as deemed fit by the Executive Agency/ State government.

J. Consultation and Public Participation

24. This SRP was prepared in consultation with both primary and secondary stakeholders including directly affected people, executing agency, implementing agency and various other local administrative agencies and departments etc. Directly affected population was consulted in February 2008 to understand their concerns and suggestions on the types of mitigation measures that should be considered to address their concerns.

25. In the road consultation, the people provided suggestions on R&R (Resettlement and Rehabilitation) issues e.g. how the adverse impacts can be minimized, kind of compensation, shifting allowances and other allowances to be provided to them that helps them to rebuild their structures, if they would be affected. The participants were of the opinion that i) project activities should be carried out within available land and avoid further acquisition; ii) Where unavoidable, proper price of land at current market rate should be given to the affected owners; iii) CPR should be relocated in consultation with the community. The list of participants attended the meeting has been provided in Annexure II. 26. Further, the consultations and discussions with the project affected people will be a continuing activity throughout the implementation of the project and PIU will be assisted by local NGO for it. The NGO involved in the implementation activities will keep the affected people informed about the impacts, the compensation and assistances proposed for them and facilitate addressing any grievances.

27. The summary of this short resettlement plan and the entitlement matrix will be translated into the local language and will be disclosed to affected persons and made available at offices of PWD, PMU and ADB website.

K. Institutional Arrangements 28. PWD, Government of Uttarakhand will be the Executing Agency (EA) for the Project. The Project Management Unit (PMU) in Dehradun will have the primary responsibility of the RP implementation. For resettlement activities, PMU will do the overall coordination, planning and implementation. PMU has already appointed one R&R Officer look after these activities. The R&R Officer will be assisted by the consultant appointed by PWD for supervision during implementation. This will include on social development/ resettlement specialist, primarily responsible for implementation. PMU will coordinate with PIUs for road level RP related activities, and each PIU will designate one senior staff (not below the rank of Executive Engineer) to coordinate the resettlement activities. The PIU, if required, depending on the workload, will also appoint one Assistant Resettlement Officer (ARO) in rank of assistant engineer. The staff at the PIU level will be provided training by the social development/ resettlement specialist of the supervision consultants for implementation of the RP.

29. The PIU will maintain databases, work closely with APs and other qualified NGO in this field engaged to assist the PIUs in the implementation of RP. Keeping in view the minimum resettlement impacts that occurred from the project, only one NGO can be hired for Project 2 roads. The NGO would play the role of a facilitator and will wok as a link between

- 14 - the PIU and affected community. An outlined term of reference (ToR) for NGO is attached as Annexure-III.

L. Grievance Redressal Committee

30. A Grievance Redressal Committee (GRC) will be established at the subproject level with the primary objective of providing a mechanism to mediate conflict and disputes concerning compensation payments and cut down on lengthy litigation. Headed by the District Collector, the GRC shall comprise of members from the district Land and Revenue Department, representatives of affected people, including women and vulnerable groups. GRC will meet as and when grievances are referred it for redress. Grievances will be redressed within two to four weeks from the date of lodging the complaints. All costs incurred in resolving the complaints will be borne by the projects.

M. Monitoring and Evaluation 31. Internal monitoring will be the responsibility of the PIU and NGO. The internal monitoring by PIU will include: ◊ administrative monitoring: daily planning, implementation, feedback and trouble shooting, individual AP database maintenance, and progress reports; ◊ socio-economic monitoring: case studies, using baseline information for comparing AP socio-economic conditions, evacuation, demolition, salvaging materials, morbidity and mortality, community relationships, dates for consultations, and number of appeals placed; and ◊ Impact evaluation monitoring: Income standards restored/improved, and socioeconomic conditions of the affected persons. Monitoring and evaluation reports documenting progress on resettlement implementation and RP completion reports will be provided by the PIU to PMU for review and approval from ADB.

32. For external project monitoring and evaluation, the PMU will engage an individual Independent Monitoring and Evaluation Consultant (IMEC). The person, with previous experience in resettlement activities and familiarity with Government and ADB resettlement policy, will be engaged with ADB concurrence within three months of the loan effectiveness. The IMEC will monitor and verify RP implementation to determine whether resettlement goals have been achieved, livelihood and living standards have been restored, and provide recommendations for improvement. Monitoring will also ensure recording of AP’s views on resettlement issues such as; AP’s understanding of entitlement policies, options, and alternatives; site conditions; compensation valuation and disbursement; grievance redress procedures; and staff competencies. The IMEC will also evaluate the performance of the PIU and NGOs. PMU will submit quarterly progress reports and the IMEC will report its findings simultaneously to the EA and to ADB twice a year. An outlined ToR for the IMEC is attached as Annexure- IV to this RP. Financial provisions will be made under the project budget for above suggested institutional arrangement such as establishing RC, appointment of RO, hiring of NGO and hiring of IMEC etc.

N. R&R Cost Estimate

33. The R&R cost estimate for this sub-project includes eligible compensation and resettlement assistance only. The establishment, staffing requirement, training, transportation, monitoring and evaluation, involvement of NGO in project implementation and other administrative expenses etc included in the overall project management cost and presented in Project Summary Resettlement Plan. R&R budget will be borne by Government of Uttarakhand.

- 15 - 34. The cost of structure that has been used in the cost estimates in this plan has been derived through rapid field appraisal and consultation with affected households and relevant local authorities. This will be updated during the implementation and to cover up such updated cost estimates additional provision has been made with 15% contingency.

35. The total estimated R&R cost of the project is Rs. 289018. The R&R cost estimated for the project is presented in the Table: 12.

Table 12: R&R Cost Area/ S No. Particulars Unit Per Unit Rate Total Amount No A. Compensation * Compensation for - 1 Permanent structures Sq.m 68 2000 136000 Compensation for Semi - 2 Permanent structures Sq.m 30 1500 45000 Compensation for Temporary 3 structures Sq.m 16.6 200 3320 Sub Total A 184320 B. Assistance Family (Lump 1 Shifting assistance sum) 6 2000 12000 Family (Lump 2 Assistance For vulnerable sum) 1 5000 5000 Sub Total B 17000 C Others 1 Hiring of NGO Charge Lump sum 1 50000 50000 Sub Total C 50000 D Total R&R Cost (A+B+C) 251320 Contingency** (15 % of the E total R&R Cost) 37698 F Grand Total (D+E) 289018 *The cost denotes prevailing market rates as obtained from the field. ** Cost of Consultations and community preparation and other administrative costs.

O. Implementation Schedule

36. The timeframe for various activities of RP are shown in Figure-1.

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Figure-1: RP Implementation Schedule Months 1 2 3 4 5 6 7 8 9 Activity Selection and training of RO Selection of NGO to assist in Implementation Selection of Supervisory Consultant Census of APs and impacts (updating exercise as per the SRP) Advice to District Revenue Offices Information dissemination campaign Preparation of final compensation awards Disputes mediation Disbursement of compensation Internal resettlement performance monitoring Civil Work Commences

- 17 - ANNEXURE I: LIST OF AFFECTED HOUSEHOLDS Perp endic Along Extent

S. No. S. Centre Number Severity Topology ular the of Chainage Present use* of the of of loss Category of struc. of road impact* Local Revenue road Storey **** Side Tehsil District of Name of household road (M) ** Place Village owenership (M) To From 2 25% Main Keshaw Datta s/o Dera Semi structur 1 0 1 Left Pangot Pangot Betalghat Nainital Titleholder Balla Residential Pucca 2.25 2 7.5 Double e Livable 100% Wooden Shed Dinesh Chand s/o and Tin 2 0 1 Left Pangot Pangot Betalghat Nainital Titleholder Bhuband Chand Residential Shed 2.25 1.5 5.5 Double Livable 100% Wooden Shed Yamuna Dutt s/o and Tin 3 0 1 Left Pangot Pangot Betalghat Nainital Titleholder Bhuband Chand Residential Shed 2.25 1.5 5.5 Double Livable 20% main N.D.Budhlaloti s/o Late structur 4 2 3 Right Baggartala Baggartala Betalghat Nainital Titleholder Shri Ganga Dutt Residential Pucca 2.5 3 18 Single e Livable 100% Jagdish Chand s/o Laxmi Toliet 5 2 3 Left Baggartala Baggartala Betalghat Nainital Titleholder Dutt Residential Pucca 2.5 4 4 Single Livable 100% Harish Chandra s/o Laxmi Toliet 6 2 3 Right Baggartala Baggartala Betalghat Nainital Titleholder Dutt Residential Pucca 2.5 2 3 Single Livable

ANNEXURE II

PUBLIC CONSULTATION PARTICIPANTS

ANNEXURE III

TERMS OF REFERENCE FOR THE NON-GOVERNMENT ORGANIZATION (NGO)/AGENCY

I. Project description 1. The Uttarakhand State Road Sector Investment Project (USRIP) Phase II is the State Government’s initiative to support economic growth and reduce poverty by improving connectivity and access to development opportunities and social services, including health and education. The Project also supports state government’s initiative to improve the effectiveness and efficiency of state road sector management, and provide the sector with the capacity to ensure efficiency of road investments and sustainable road development impacts to support Uttarakhand’s social and economic development.

2. The Project Implementation Unit (PIU) intends to engage an experienced agency to assist with the implementation of the social and resettlement aspects of the project namely the subproject Resettlement Plan (RP), Project Community Participation Strategy and implementation of the IPDP.

II. Scope of work 3. In general, the NGO / Agency will be responsible for the effective, timely and efficient execution of the RP. The key tasks of the selected organization will be responsible for the following: -

(i) Information Campaign on Resettlement Entitlements 4. The NGO will design, plan and implement an information campaign in the affected areas primarily to inform the APs about the entitlement policy and how to avail their respective entitlements. In particular, the agency will be responsible for undertaking a public information campaign at the project areas to inform the affected persons regarding:

• The likely consequences of the project on the communities; • The R&R policy and entitlements; • Assist APs in getting the compensation for their land and properties acquired for the project; • Ensure proper utilization by the APs of various grants available under the R&R package. The agency will be responsible for advising the APs on how best to utilize any cash that may be provided under the RP, with emphasis placed on using such funds in sustainable way e.g. purchasing replacement land for that acquired.

5. The campaign would include measures such as distribution of information booklets, leaflets, notices and other materials among the APs, community meetings, public announcements, and any other measures necessary to provide information to all the APs.

(ii) Identification of APs and Issuance of Identity (ID) Cards 6. The agency will identify and verify APs, on the basis of the resettlement census survey carried out and will facilitate the distribution of ID cards.

7. This work will include identification of APs based on a census survey, preparation of ID cards, taking photograph of APs in the field, issuance of ID cards to APs and updating of ID cards, if required. An identity card would include a photograph of the AP, his/her socio- economic profile and vulnerability, the nature and extent of loss suffered due to the project construction, and the choice of AP with regard to the mode of compensation and assistance (if applies, as per the RP).

8. The agency shall prepare a list of APs, enlisting the losses and the entitlements as per the RP, after verification. During the identification and verification of the eligible APs, agency shall ensure that each of the APs are contacted and consulted either in groups or individually. The agency shall especially ensure consultation with vulnerable groups namely (a) those who are below the poverty line (BPL); (b) those who belong to scheduled castes (SC), scheduled tribes (ST); (c) female-headed households (FHH); (d) elderly and (e) disabled persons.

(iii) Updating of AP Database and Creation/Computerization of Database and AP Files 9. The agency will be responsible for updating and preparing a comprehensive computerised database containing the data on land, structure, trees and other affected properties of the APs which will be used to prepare AP files and entitlements cards (EC). The database will contain information from land records and resettlement census data. The AP and EC files will be used for making payments of entitlements to the APs and monitoring the progress of resettlement work.

(iv) Participation in Grievance Redress 10. The NGO will be a part of the Panchayat level committee and will try to resolve the grievances at the Panchayat level. If the dispute remains unresolved at the panchayat level. the agency will play a key role in assisting the APs in presenting their grievances or queries to the Grievance Redress Committee (GRC) which will be established at the PIU level with the primary objective of providing a mechanism to mediate conflict and cut down on lengthy litigation. (v) Income Restoration 11. The agency will also play a key role in providing income restoration assistance to the affected households losing their primary sources of livelihood/income as a result of the Project. Emphasis will be laid on the vulnerable groups such as female headed households, SC & ST households, poor etc. In addition, the development agency would also be responsible for liasoning with the various government departments, in order to create a link up between the existing government schemes and the affected groups. (vi) Relocation assistance 12. The development agency shall facilitate the transfer of shifting allowance to the affected persons in a timely manner, i.e., before the before the actual shifting.

(vii) Community Participation 13. In addition to the resettlement activities, the NGO will implement ‘Community Participation Strategy’ for the Project. As part of this, the NGO will mobilize the various

stakeholders in the community and organize focus group discussions (FGDs)1 at the subproject level, with community leaders, eminent citizens, Community based Organization (CBOs), as well as women and other socio-economically vulnerable groups such as Indigenous groups, scheduled caste and poor households, in order to establish direct public contact. The FGDs will aim at sharing information regarding the Project in each of the subproject area so as to ascertain views of the various groups in the community on their priorities, choice of technology, their views and concerns on the Project design and any other concern on safety and other issues. In particular the NGO will undertake the following:

14. Formation of Community based groups in the subproject areas so as promote organized community participation and representation. Special focus will be made on formation of women’s groups representing women belonging to various socio-economic groups to act as active agents and change makers in the process of participation thereby leading to their empowerment.

15. Awareness Building Component would focus on conducting public awareness campaigns like awareness building campaigns would be undertaken on road safety especially in case of areas where road alignment is passing through built-up areas. Women would be especially encouraged in playing an active role as Community Action Groups in raising awareness and disseminating information of road safety measures.

16. Capacity Building Component: Under this component, training and sensitization inputs would be provided to the NGOs, community based organizations and groups such as women’s groups in leadership and management of the asset created under the subprojects. In addition, maintenance skills trainings would also be conducted. III. Selection criteria, Staffing, Implementation Plan 17. The NGO/agency to be selected for the tasks must have proven experience in resettlement planning and implementation. Specifically, key quality criteria include:

• Experience in direct implementation of programs in local, similar and/or other states; • Availability of trained staff; • Competence, transparency and accountability based on neutral evaluations, internal reports, and audited accounts; • Integrity and experience to represent vulnerable groups against abuses and demonstrable mandate to represent local groups; • Demonstrated experience in computerizing and managing resettlement-related database; and • Experience in resettlement survey, planning, monitoring and evaluation.

18. The agency chosen will have to agree to the terms and conditions under the RP. The following staffing provision may be necessary for smooth and effective implementation of the RP within the time frame:

1 Focus Group Discussion (FGD) is a qualitative method of in-depth interview with a small number from a homogeneous group, brought together to discuss various topics. Some examples of focused groups are – men, women, youth, farmers, panchayat representatives etc.

• Team Leader • Field coordinator • Resettlement Implementation Worker 19. Interested agency should submit proposal for the work with a brief statement of the approach, methodology, and field plan to carry out the tasks. The proposal should include: (i) Relevant information concerning previous experience on resettlement implementation and preparation of reports. (ii) The proposal should also include samples of ID cards, information brochures, AP files etc. to be used during the implementation phase. (iii) The field plan must address training and mobilization of resettlement workers. 20. Full CVs (2-3 pages) of key personnel (for e.g. the Team Leader, Field Co- coordinator) must be submitted along with the proposal. The Team Leader must have degree in social science (preferably economics, sociology, anthropology, development studies). The Field coordinator must have prior experience in resettlement operation and management.

21. The agency must be an established organization registered with the Government of India. IV. Budget 22. The budget should include all expenses such as staff salary, training, computer/ database, transport, field and any other logistics necessary for resettlement implementation. Additional expense claims whatsoever outside the budget will not be entertained copies of the proposal - both technical and financial - should be submitted.

ANNEXURE IV TERMS OF REFERENCE FOR AN EXTERNAL MONITORING & EVALUATION CONSULTANT/AGENCY

2. The Project includes a provision for monitoring and evaluation of the implementation of the subproject resettlement plan by an external monitoring agency. Therefore, the PIU for this project, requires services of a reputed individual/consultancy firm for monitoring and evaluation of RP implementation.

II. Scope of work - Generic

• To review and verify the progress in resettlement implementation as outlined in the RP. • To monitor the effectiveness and efficiency of PIU and NGO in RP implementation. • To assess whether resettlement objectives, particularly livelihoods and living standards of the Affected Persons (APs) have been restored or enhanced; • To assess the efforts of PIU & NGO in implementation of the ‘Community Participation strategy’ with particular attention on participation of vulnerable groups namely (a) those who are below the poverty line (BPL); (b) those who belong to scheduled castes (SC), scheduled tribes (ST); (c) female-headed households (FHH); (d) elderly and (e) disabled persons. • To assess resettlement efficiency, effectiveness, impact and sustainability, drawing both on policies and practices and to suggest any corrective measures, if necessary. • To review the project impacts on Indigenous People and groups and assess the effectiveness of the mitigation measures adopted.

III. Scope of work- Specific

3. An independent monitoring agency will be involved in ongoing monitoring of the resettlement efforts by the EA/IA. The major tasks expected from the external monitor are:

1. To develop specific monitoring indicators for undertaking monitoring for implementation of Resettlement Plans.

2. Review results of internal monitoring and verify claims through random checking at the field level to assess whether resettlement objectives have been generally met.

3. Identify the strengths and weaknesses of the resettlement objectives and approaches, implementation strategies.

4. To review and verify the progress in resettlement implementation of subproject on a sample basis and prepare quarterly reports for the EA/IA and ADB.

5. Evaluate and assess the adequacy of compensation given to the APs and the livelihood opportunities and incomes as well as the quality of life of APs of project-induced changes.

6. To evaluate and assess the adequacy and effectiveness of the consultative process with affected APs, particularly those vulnerable, including the adequacy and effectiveness of grievance procedures and legal redress available to the affected parties, and dissemination of information about these.

IV. Time Frame and Reporting

4. The independent monitoring agency will be responsible for overall monitoring of the Executing Agency (EA) and will submit quarterly review directly to ADB and determine whether resettlement goals have been achieved, more importantly whether livelihoods and living standards have been restored/ enhanced and suggest suitable recommendations for improvement. V. Qualifications

5. The monitoring agency will have significant experience in resettlement policy analysis and RP implementation. Further, work experience and familiarity with all aspects of resettlement operations would be desirable. Candidates with degrees in anthropology, sociology, and development studies will be preferred.

6. Interested agencies/consultants should submit proposal for the work with a brief statement of the approach, methodology, and relevant information concerning previous experience on Monitoring of resettlement implementation and preparation of reports.

7. The profile of agency along with full CV of monitors to be engaged must be submitted along with the proposal. The agency must be an established organization registered with the Government of India.

VI. Budget and Logistics

8. The proposal - both technical and financial - should be submitted and the budget should include all cost and any other logistics details necessary for resettlement monitoring. Additional expense claims whatsoever outside the budget will not be entertained.