RESETTLEMENT PLAN

SUPPLEMENTARY APPENDIX TO THE Report and Recommendation of the President to the Board of Directors

on the

National Highway Corridor Sector I Project

in

INDIA

National Highways Authority of

This report was prepared by the Borrower and is not an ADB document.

December 2003

EXECUTIVE SUMMARY

Sector Loan Approach

1.1 With increased project development capability of NHAI and in response to the government request for increased flexibility to be incorporated in the selection of road sections to be financed by ADB, it was decided to apply sector loan modality for this year’s project. The sector loan needs to satisfy these criteria: (i) existence of sector investment plan;(ii) the institutional capability to implement the sector development plan; and (iii) the development of sector policies to improve its performance.

The sector loan approach has following features: (i) Project Roads were identified as sections to be included in the envisaged sector loan. (ii) From the sections of Project Roads a core subproject was selected, and appraised by ADB, setting an example for the appraisal of other subprojects by NHAI. (iii) NHAI has selected certain non-core subprojects, which meet the predetermined eligibility criteria. These subprojects would be appraised by NHAI in accordance with the guidelines and criteria set out by ADB. Those subprojects thus appraised would be sent, for approval, to ADB with use of a summary report format, together with necessary supportive documents. (iv) As a part of the Project Team, a technical group of experts has been established so as to strengthen capacity of NHAI to review technical reports, design and appraise the technical, financial, economical, environmental and social viability of subprojects.

Core and Non Core Subproject Road Description

1.1.1 Project Roads to be financed by ADB sector loan cover priority sections of the East-West Corridor located in the states of (RJ), (MP) and (UP). The total project length is 663 km, which are further divided into five consultancy packages for the purpose of preparation of DPR, EIA/EMP and RP. Table no. 1: Details of Sub Project Roads Sub Projects/ Core & Non Specific Length State Consultants packages Core Project location Road Section A Chittorgarh-Kota NH 76(222-397) 164km RJ ICT B Kota-RJ/MP NH76 (397-579) 173km RJ SPAN Border C RJ/MP Border- NH76 (579-610), 132km MP & UP Trans Asia (Excluding Bypass NH25 Jhansi Bypass) (12-92) D Jhansi-Orai Plus NH76 (104- 124km UP TBD 209) E Orai-Bhognipur- NH76 (209-255), 70km UP TBD and Barah NH2 (423-450) Craphts Source: ADB Aide Memoire for NHAI, 2003 N.B. Jhansi Bypass will be included in part D

I Among all subproject road sections, package C was selected as a Core subproject since it represents a typical set of project development issues, including technical, environmental and social issues.

1.2 The Core subproject under study which is known as National Highway Corridor (Sector) Project covers a priority section of East-West Corridor located in Madhya Pradesh and Uttar Pradesh involves improvements and upgrading of 132.4 Km (NH- 76, and NH-25) from Shivpuri to Jhansi. The entire stretch of the core subproject road section of NH76 (Km 579 to Km 610) and Km 0.00 to Km 80 of NH25 falls within the state of M.P. Km 80 (M.P./U.P. Border) to Km 91.4 is under the , UP state. The improvement activities include four-laning of the entire stretch, improved junctions, underpasses and one bypass, four major bridges, twenty-two minor bridges, five major junctions, one fly-over, one ROB two approaches & culverts. The National Highways Authority of India (NHAI) is the executing agency for the project.

1.3 The highway has sparingly inhabited area, flat/rolling agricultural terrain, deficient geometric alignments, and uncontrolled ribbon development at dozen locations with semi-permanent/ permanent settlements within the ROW and fair pavement condition as its characteristics. Alternative alignments were examined at the major built up areas namely townships of Shivpuri, and .

1.4 The Core project road section consists of three contract packages. The Core project road was surveyed and the data is compiled and presented district wise. The following tables describe all sections & corresponding districts.

Table no. 2: Core project road Section Passing Through Each District Core Description Length (Km) District Project Road I NH-76, Km. 579-610 & 54.4 Shivpuri Shivpuri Bypass (0-24 Km) II Km. 14-Km.40 26.0 Shivpuri Bridge New Approach III Km. 40- Km. 91.5 52.0 Shivpuri, & Jhansi Source: Technical data, Feasibility Report 2003

Table no. 3: Core project road Length in Each District District Length in Km. Shivpuri 116.97 Datia 3.43 Jhansi 12 Source: Census Survey, 2003

1.5 The Core project road traverses through 51 villages in the districts of Shivpuri, Datia in MP and Jhansi in UP. The average width of land to be acquired is restricted to 15 m beyond the existing ROW, except at the junctions, crossing and the proposed bypass. The length of the proposed bypass is 24 Km passing through forest area.

II The existing right-of-way (ROW) of the NH roads is varying from 30m-33m barring Dinara, Kharai & Raksha where it is 15m. The proposed four-lane facility would comprise of two 7m segregated carriage ways separated by medians of varying width and on an average 2X1.5m paved shoulder. The four-lane carriageway is designed for an average of 100km/hour speed.

1.6 The socio-economic survey has been carried out in three phases:

Phase-I (April 2003): Reconnaissance survey, social strip mapping;

Phase-II (May-June, 2003): 100% census survey & 25% SIA for Jhansi to Shivpuri section except the Shivpuri bypass & other realignments.

Phase-III (June-July, 2003): The additional survey was conducted for the remaining sections comprising of realignment & bypass, and updating Shivpuri-Jhansi section for squatters, structure losers and Agricultural land losers.

The survey numbers of all (100%) agricultural land losers along with extent of land loss is already available in the LA Plan. The LA plan for the entire stretch has been prepared on the basis of Khasra and Mouza maps.

1.7 The phase I survey in April 2003 was carried out prior to the fixing the project ROW. The reconnaissance survey & social strip mapping helped to establish the number of potentially affected persons, types of perceived impacts, peoples concerns, and ways of mitigation & socio-economic scenario of the project area.

Project Impacts

1.8 Findings of the baseline Socio-Economic survey give the following profile of the project corridor:

• Average annual income is ranging between Rs. 40,000-Rs.80, 000. • Major sources of livelihood are agriculture followed by trade and commerce. • Nearly half of the APs are literate. • Major Social groups are Hindus with OBCs the most dominant group. • STs, SCs and other Hindu and non-Hindu groups are all in the mainstream and hence no IPDP (Indigenous Peoples Development Program) is required. • Types of commercial activities pursued by affected persons (APs) losing commercial structures are dhabas, tea stalls, tyre and vehicle repair units, paan and cigarette shops, groceries, spare parts, tailors and saloons. • Average family size is 6. • Traditional skills found are bidi making, broom making, tendu leaves collection and weaving of mats etc.

1.9 Secondary sources reveal that the most important STs in the project area are Sahariyas. Socio-economic and occupational/income data clearly suggests that the project-affected ST households/SBEs have similar characteristics to the overall affected population and are largely assimilated into the local mainstream communities. In the project context, the vulnerable group consists of scheduled caste (SC), scheduled tribes (STs), Women-headed households (WHH), and those below the poverty line (BPL). BPL families according to MP Govt. notification have an annual income below Rs 18,000 and according to UP govt. it is upto Rs.20,000. III

1.10 Major community development needs expressed by the villagers are village approach roads, bus stands, toilets, drinking water facilities, health facilities, Irrigation, grade separated pedestrian passes and employment facilities.

LA Impacts

1.11 The land to be acquired for the widening of existing NH-25 & NH-76 is 332.12 ha. which includes 85.53 ha. of forestland and 34.47 ha. of Govt. land. The type and the quantum of land to be acquired are as follows. As a result of widening, a total of 2302 families of titleholders and 546 families of non-titleholders will be affected, the details of which are summarized below in table 4 and table 5.

Table no.4: Overall Type & Quantum of Losses Land Acquisition Area in Ha. Agricultural Land 206.82 Non-Agricultural Land 5.3 Govt. Land 34.475 Forest Land 85.53 Sub Total 332.12 Source: Census Survey, 2003

The category-wise affect on the families is summarized below:

Table no.5: Project Affected Families Project Affected Families Nos. Agricultural Land Loser families 1443 Number of person losing agricultural land 8658 Title Holders Structure Owners 859 Residential 283 Commercial 287 Residential- cum-Commercial 289 No. of titleholder families affected (land and 2302 structures) No. of titleholder persons affected (land and 13812 structures) Squatters 304 Encroachers 70 Kiosks 30 Tenants 142 No. of non-titleholder families affected 546 No. of non-titleholder persons affected 3276 Total Affected Families 2848 Total Affected Population 17088 Source: Census Survey, 2003

Resettlement Principles

1.12 The Resettlement policy of ADB, NHAI and Madhya Pradesh State has been consulted and compared to prepare the RP for core subproject-Package C. The RP for core subproject is based on R&R framework adopted by NHAI for the projects IV funded by ADB, complying with the ADB guidelines. The Entitlement policy recognizes all types of affected persons such as squatters, encroachers, vulnerable, titleholders, kiosks, etc. Squatters who are present prior to cut off date are considered for R&R Assistance. They will be paid replacement cost of structures, shifting & transition allowances. Training would be given to EPs loosing commercial activities. The titleholder structure losers will be paid replacement cost of structure including homestead land & cost of trees, shifting & transition allowances. The land losers will be paid replacement costs of land lost & transitional allowance as per the entitlement matrix. The tenants will receive shifting allowance, rental allowance, deposits & compensation for erected structures if any. All incidental costs will be borne by the project. The project will rebuild the community utilities & infrastructures if any, which is to be dismantled. The policy also asserts an integrated income restoration strategy for PAFs losing their source of income and income opportunity. The vulnerable EPs will get one time Economic Rehabilitation Grant to establish their businesses, livelihood etc.

Consultation and Disclosures

1.13 Around 15 public consultations were held with various sections of the project- affected population such as traders, women, village elders, panchayat members and other inhabitants’ etc. People in general agreed on the need for widening the highway and strengthening the same. The process of information was highly appreciated by the local inhabitants. During public consultation issues related to safety, compensation, income restoration, employment generation, HIV/AIDS, trafficking of women, information flow, grievance redressal, role of administration etc were discussed. Issues were also raised about the transparency in the project implementation process. The RP for core subproject addresses all issues raised during public consultation and recommends institutional strengthening measure as well. RP for core subproject has been disclosed and not many queries have come up so far.

Institutional Mechanism & Grievance Redressal

1.14 The RP for core subproject strongly recommends all efforts shall be made to settle grievances of the PAPs as amicably as possible. Out of court settlement shall be preferred since that expedites dispute settlement on one hand & help timely project implementation on the other. Grievance Redressal Committees will be set up at district level to resolve the concerns of the PAPs. Through investigations shall be done so that PAPs are satisfied.

1.15 The NHAI will establish an R&R Cell under the Project Implementation Unit (PIU). The Project Director will head the R&R Cell (PIU), who will be supported by two Resettlement and Rehabilitation officers (Technical Manager), one for Shivpuri and Datia and other for Jhansi district. The NHAI will engage experienced NGOs for implementation of RP activities & to coordinate with other departments, which are stakeholders in the project. The NGOs will also be involved to organize & conduct training programs, awareness campaigns, verification of PAFs & their assets, help in settling the disputes etc. The PIU-R&R Cell will be assisted by committees at district levels in resolving issues of disputes & in implementing the Resettlement Plan (RP for core subproject).

Income Restoration Strategies

V 1.16 While preparing the RP for core subproject, lessons from other studies on income restoration has been drawn. Attempts have been made in this RP to improve upon the past experiences on income restoration measures. NGOs have been identified for smooth RP implementation, providing livelihood solutions, training and up gradation of skills. NGOs will be responsible for ensuring improved quality of life of APs, along with NHAI

Based on the consultation and existing Govt. schemes an employment-generating scheme have been worked out for the PAPs. The suggested schemes are attached as annexure in Vol.II of the RP for core subproject. The Training program has been suggested based on rapid market surveys (conducted by the R&R Consultants) and interests shown by the APs; its aim will be up gradation of skills linked to employment opportunities & income generation/restoration. The duration of training will depend upon the training program chosen by the EPs.

Implementation Schedule

1.17 The RP for core subproject implementation period has been taken as 36 months. Planning, surveying, assessing, policy development, institution identification, APs participation, income restoration & implementation and typical RP related activities, which have been considered. However, sequence may change as delays witnessed due to circumstances beyond the control of the project.

RP Implementation Budget for Core Subproject

1.18 The budget of Rs. 379.65 million covers all components of compensation, assistance, entitlements & contingencies. Broad break up of R&R budget is as below: -

Table 8.8: Summary Budget for Resettlement and Rehabilitation Activities Sl.No. Item Amount (million.) 1 Compensation cost 194.15 2 Assistance 125.77 3 Community infrastructure 18.85

4 RP implementation cost 24.02

5 Contingency 16.86 6 Total 379.65

Monitoring & Evaluation

1.19 Monitoring will be continuous through out the implementation of the RP. An external M&E agency will be hired by NHAI to monitor the implementation of RP. The PIU will submit periodic monthly progress reports to the NHAI HQ, which will then submit them to the ADB. The monitoring will be carried on for a period of three years from the date of the implementation of the RP. The project will be evaluated from time to time from both internal and external mechanism. Monitoring and evaluation indicators are given in Volume-II of the Report.

VI

1

THE PROJECT BACKGROUND AND SCOPE OF LAND ACQUISITION

1.1 Introduction

The National Highway Corridor (Sector) Project includes a priority section of East- West Corridor located in the states of Rajasthan, Madhya Pradesh and Uttar Pradesh. The project is being funded by ADB under its Loan Assistance Program. The total project length is 663 km, which has been divided into five subprojects (“Core” and “non-core”) under the sector approach (Table no.1.1):

Table no. 1.1: Details of Sub Projects Sub Projects Core & Non Specific Length State Consultants Core Project location Road Section A Chittorgarh-Kota NH 76(222-397) 164km RJ ICT B Kota-RJ/MP NH76 (397-579) 173km RJ SPAN Border C RJ/MP Border- NH76 (579-610), 132km MP & UP Trans Asia Jhansi Shivpuri (Excluding Bypass NH25 Jhansi Bypass) (12-92) D Jhansi-Orai Plus NH76 (104- 124km UP TBD 209) E Orai-Bhognipur- NH76 (209-255), 70km UP TBD and Barah NH2 (423-450) Craphts Source: ADB Aide Memoire for NHAI, 2003 N.B. Jhansi Bypass will be included in part D

Among all subproject road sections, package C was selected as a core subproject since it represents a typical set of project development issues, including technical, environmental and social issues. The core project (Package C) covers a stretch of 132.4 Kms includes Shivpuri bypass, from Rajasthan/Madhya Pradesh border to Jhansi through Kms 579 to Kms 610 of NH-76 and Kms 00.00 to Kms 102.00 of NH- 25. While most of the NH-25 has two lanes, NH-76 has single lane facility.

1.2 Core Project Road Description

The Core project under study covers a length of 30.4 km. from Rajasthan-MP Border on NH-76 and a length of 102 kms. from Madhya Pradesh to Uttar Pradesh on NH- 25. The entire stretch of 132.4 km of the Core Project Road is sub-divided into the following three sections as shown in table no. 1.2.

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Table no. 1.2: Core Project Road Section-wise Roads Length Core Project Road Section

NH-76, Km 579 – Km 610 MP Border with Shivpuri Bypass (24 54.4 Km Section 1 km) Km 15 – Km 40.0 included Sind River Bridge new approach 26.0 Km Section 2

Km 40.0 – Km 91.5 included River Mahuar Bridge new 52.0 Km Section 3 approach 132.4 Km Total Source: Phase-I Survey, 2003

A major part of the project is in the jurisdiction of Shivpuri and Karera block within Shivpuri Dist. of MP. While a few settlements along NH-25 are in Datia district of M.P and rest are in Jhansi district of UP bordering Jhansi Development Authority Area. The following table illustrates the length of the Core Project Road passing through each District.

Table no. 1.3: Core Project Road Length in Each District District Length in Km. Shivpuri 116.97 Datia 3.43 Jhansi 12 Total 132.4 Source: Phase-I Survey, 2003

The Core Project Road traverses through 51 villages, which are getting partially affected. Two villages Amola & Mitloni out of these 51 villages would be submerged due to Madhikhera dam being constructed by the Irrigation Department, Govt. of MP on River Sind. The district wise numbers of Tehsil, Blocks & Villages are given in the following table no. 1.4.

Table no. 1.4: District wise no. of villages Name of the Number of Tehsils No. of Blocks No. of Villages District Shivpuri 3 2 44 Datia 1 1 2 Jhansi 1 1 5 Total 5 4 51 Source: Land Acquisition Plan, 2003.

NH-76 and NH-25 will be improved to a four-lane facility comprising 7.25m- segregated carriageway and an average 2 to 1.5 m paved shoulder. The four-lane carriageway is designed for an average of 100-km/hr Speed. The facilities proposed are shown in the following table no. 1.5.

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Table no. 1.5: Details of Proposed Facilities Facilities Number Location Length Remarks Bypass 1 Shivpuri 24km To avoid Madav National Park and Starts at Km 14.00 of congested Shivpuri NH-25 and joins Km Town 610 of NH-76

Flyover 1 NH-3, Padora in 60 m Through corridor Shivpuri dist. traffic and junction improvement for traffic channelisation ROB 1 Km. 605.5 at Guna- Free flow of road Rly. Line traffic Junction 3 NH-76 and NH-3 Junction improvement junction (Km. 610 on improvement for NH-76) traffic channelisation

Shivpuri Bypass and NH-25 Junction at Km. 14

NH-25 and Jhansi Bypass at Km. 92 Major Realignment 2 Across Sindh River at To Facilitate free flow (Approach Road) Km. 29.2-Km. 33.4 of Highway Traffic.

Across Mahuar River at KM 50.0 – Km. 55.0 Underpasses 6 1 At Karai 6 m To facilitate local villagers as well 2 At Dinara 6 m cattle’s to cross the National Highway 3 At Rakhsa 6 m (Safety measure)

Truck Terminal 1 At Raksa (85.5 Km.) Facilities to truckers to park their vehicles without interrupting free flow of highway traffic Service Roads 3 At Karai 500m To facilitate local traffic movement At Dinara 800m

At Raksha 1000m Bus Bays 20 At 20 different For villagers to catch location buses and other modes of transport Toll Plaza 2 At km 608.5 (NH-76) To collect toll from road users At Km. 84.5 (NH-25)

Source: Technical Data, Feasibility Report 2003.

1.3 Available ROW and Project Impact

The available Right of Way (ROW) along the entire stretch of the Core Project Road is detailed in the table no. 1.6. 30 m ROW is available over majority of the project stretch (112.4 KM). For a length of about 11.0 KM on NH-76 and 8.0 KM on NH-25, 50 m ROW is available. The ROW is generally clear of encroachments except in village/town limits where temporary / katchha constructions exist within the ROW, but 3

10m away from the road centerline. Only in Dinara, Kharai and Raksa village about a length of 9 KM, the encroachments have come much closer to the road edge.

Table no. 1.6: Available ROW Chainage Right of Way (m) NH-76, KM 579 – KM 589 30 NH-76, KM 589- KM 592 15 NH-76, KM 592 – KM 595 50 NH-76, KM 595 – KM 610 30 NH-25, KM 0 – KM 34 30 NH-25, KM 34 – KM 38 50 NH-25, KM 38 – KM 39 30 NH-25, KM 39 – KM 43 50 NH-25, KM 43 – KM 70 30 NH-25, KM 70- KM 73.315 15 NH-25, KM 73.315-KM 84 33 NH-25, KM 84-KM 87.6 15 NH-25, KM 87.6-KM-KM 102 30 Source: Technical Data, Feasibility Survey, 2003

The project is expected to improve the road transport corridors; road network connectivity; management of road sector institutions; accessibility to workplaces, market places; better access to education and medical facilities; rural prosperity, along the project corridor. The project would also benefit economically by savings in vehicle operating costs, time savings for passengers and goods in transit, savings in road maintenance costs.

This document comprises of the Resettlement Plan (RP) for Core subproject i.e. package C. The RP complies with all applicable (GOI) and ADB resettlement-related requirements, regulations, policies, and procedures including those on public participation, social assessment and indigenous people.

National Highways Authority of India will implement the RP with assistance from other government agencies, non-governmental, community-based organisations, and consultants.

1.3.1 Social Impact Assessment

The social impact assessment and resettlement planning component has following elements:

• Census and baseline socio-economic survey of the potentially affected Families; • Consultations at village, district and state level; • Preparation of a time-bound Resettlement Plan (RP).

A full census has been undertaken to register and document the status of the potentially affected population within the project impact area, their assets, and sources of livelihood. Baseline data was collected within a strip of 45 m to get information about the proposed corridor of impact. Start of 100% census survey provides the basis for establishing a cut-off date for non-title holders in order to determine who may be entitled to relocation assistance or other benefits from the project. The LA Plan has been prepared based on the actual survey numbers, Khasra and Mouza Maps for the entire project stretch. 4

Socio-Economic survey for in depth analysis was carried out on 25 percent of the total affected households. 25% agricultural households identified have been used to estimate the number of affected households due to land acquisition. This survey provides a baseline against which mitigation measures and support will be evaluated & measured. SES includes comprehensive examination of people’s assets, incomes, important cultural or religious networks or sites, and other sources of support such as common property resources. Analyses of survey results cover the needs and resources of different groups and individuals, including intra-household and gender analysis.

1.4 Land Acquisition and Project Impact

The impacts of the present project include loss of land (agriculture, residential and commercial); structure (residential, commercial and community, income and livelihood (owners, tenants, encroachers and squatters), community and cultural sites. The details of such losses are discussed in chapter-2.

Census of all the structures lying within 45 mt. width, i.e. 22.5 mt on either side from the center line along the Core Project Road has been undertaken to ascertain the project impact on the population for displacement, resettlement and rehabilitation. Bypass has been proposed to avoid the impact on involuntary resettlement along the most congested settlement i.e.; Shivpuri and also to avoid passing through Madhav National Park. The existing ROW for the NHAI in this corridor is varying between 30 to 33 m along most stretches except in Dinara, Raksa and Kharai, where structures have come within ROW leaving hardly 8 to 10m from central line. 15 m width of land will be acquired for most of the stretch. A considerable amount of land will be acquired for a bypass on NH-76 and for improvement of junctions to avoid congestion in urban stretches and reduce accidents at the major intersections respectively. The UP road tax Booth for Commercial vehicle is at Raksa where all trucks and commercial vehicles stops and parks their vehicle for paying taxes and other formalities. The highway is congested due to these parked vehicles on both sides of the road. During Public Consultation with the Shopkeepers and local residents, the need for constructing a truck terminal and lay- bye near Raksha came up to avoid road congestion and accidents. The requirement of land for all facilities is shown in table no. 1.7.

Table no. 1.7: Land Requirement for various facilities (Ha.) Section Junction/Imp Widening of Realignmen Rest Area Developme Toll Total rovements Existing ts/ nt of Plaza Alignment Bypass Resettleme nt Sites

Section-I, 6.0 37.73 140.08 6.0 3 1.5 195.03 NH-76 Section-II, - 32.44 13.73 - - - 46.17 NH-25 Section-III, 3.0 52.64 22.78 6.0 5 1.5 90.92 NH-25 Total 9 122.81 177.31 12.0 8 3.0 332.12 Source: Technical Data, Feasibility Report 2003

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The Total requirement of land section-wise for the project is given in Table no.1.8.

Table 1.8: Section-wise Total Requirement of Land Road Sections Road Area in sqm Area in Ha

Section 1 NH 76: km579 to 610 & 1950300 195.03 Shivpuri Bypass Section 2 NH 25: km 14-40 including 460217 46.17 Sind Bridge Section 3 NH 25: km 40-92, 909200 90.92 including Mahuar Realignment TOTAL 3321200 332.12 ha Source: Technical Data, Feasibility Report & LA Plan, 2003

1.5 Measures to Minimize Impacts

Efforts have been undertaken by adopting appropriate engineering design while finalizing the road alignment to minimize the resettlement impact on the existing structures and additional land acquisition. To minimize displacement and to reduce disruption of livelihoods, concentric widening in urban section, bypasses to avoid settlement and raised carriageway have been proposed. Public consultations and field visits helped in getting better planning and designing inputs towards minimizing negative social impacts. Measures taken to minimize social impacts of the projects has been shown in the table no. 1.9.

Table no. 1.9: Measures to Minimize Resettlement and Impacts Location Affected Mitigation Expected Remarks Families before measures affected the mitigation families after measures solution Kharai 200 Detour 15 There was strong resentment amongst inhabitants of Kharai village, who during the updating of the data and SIA created hue & cry. An immediate public consultation meeting was held with the local people, whereby a detour is proposed as mitigation measure. Shivpuri Town 10,000 Bypass Only Since the number of affected families Proposed agricultural and the project impact due to all built up land town area were enormous, therefore a bypass was proposed. Presently in the proposed bypass no structure will be affected, only few agricultural lands will be affected. Madhav It passes Bypass None The stretch is passing through the forest National Park through the Proposed area, therefore to avoid the Reserve and forest area. Protected forest area, a bypass is being Endangered proposed. species of wild animals were getting affected. Karera Town ITBP Site Re-alignment None The stretch was passing through the and Mahuar Proposed ITBP site, Karera Town and Old Mahuar River Approach River Bridge therefore re-alignment is proposed Source: Phase-I Survey & Technical Data, 2003

1.6 Benefits to the Project Region Populace 6

The following additional actions have been taken for improved project design to benefit the road users as well as the local populace.

(i) Separate service lanes for slow moving local traffic; (ii) Addition of truck parking for improved road safety and reduced road congestion; (iii) Provision for adequate road signs on the Core Project Roads, including cross walks, underpasses; (iv) Provision for improved infrastructure for roadside rural markets (v) Public amenities such as rest rooms, telephone booths, and facilities for public conveniences (cooperation of the Private sector would be sought).

The proposed project would also facilitate in faster and smooth vehicular movement without traffic congestion, ensure road safety and will increase the connectivity of interior resource hinterland with the major market centers. With the better connectivity and increased mobility, access to quality consumer products would be ensured. As per the people’s perception the improved highway will contribute directly to more vibrant market economy and hence increase the potential of roadside markets provided the major markets are properly relocated beyond corridor of impact.

Besides, there will be adequate road signs on the road including cross walks in the busy settlements. The project will also provide improved infrastructure for roadside rural market, including raised platforms, drains, solid waste management system and water stand posts. Public amenities such as telephone booths, medicine shops with emergency kits/first aid kits, rest rooms etc. would also be provided in major clusters or select locations. Project will also provide basic civic amenities for the highway truckers/road users such as bathroom/toilet, rest rooms etc.

In an area of acute under employment and poverty some employment will be generated during the road construction period for the unskilled construction laborers who migrate from interior villages. This way they can be assured of employment for a substantial period of a year as well as for getting an opportunity to enhance their skill.

1.7 Objectives of the Resettlement Plan

The Resettlement Plan has been prepared keeping the following broad objectives:

ƒ The negative impact on persons affected by the project would be avoided or minimized. ƒ Affected people and the beneficiary population will be informed and consulted about the project and its design. ƒ Where the negative impacts are unavoidable, the project-affected persons will be assisted in improving or regaining their standard of living. Vulnerable groups will be identified and assisted in improving their standard of living. ƒ People’s participation will be undertaken in planning and implementation of the project. ƒ All information related to resettlement plan and implementation will be disclosed to APs.

Resettlement plan (RP) is based on socio-economic assessments of the potentially affected businesses, households and agricultural land due to widening & 7 strengthening of NH25 & NH76. In view of the human dimension involved the possible social impacts have been integrated into the improved alternative engineering designs to minimize resettlement and displacement. These benefits have been achieved by adopting engineering solutions like underpasses, bypasses, raised pavement, service roads, ROB’s and reduced median at congested segments. A key prerequisite of the RP is a policy framework for resettlement containing categories of impacts and their corresponding entitlements. The RP provides detailed guidance on how to implement provisions in the policy framework, including institutional arrangements and budgets based on enumeration of project-affected people with entitlements under the framework. The RP identifies (i) type and extent of loss of assets, including land and houses; (ii) type and extent of loss of livelihood or income opportunities; (iii) collective losses, such as common property resources and social infrastructure; (iv) framework for mitigation of losses; (v) entitlements and provisions for relocation assistance and restoration of businesses/income; (vi) payments of compensation; cost estimates of the affected assets; relocation sites. Besides the above points additional features of RP would be the Income restoration of the affected families, institutional framework for implementation and monitoring of resettlement activities and procedures for monitoring of the RP.

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2

SOCIO-ECONOMIC PROFILE

2.1 The Project Region

The project region is located in the region of the Central India. Politically the region is divided between the states of Uttar Pradesh and Madhya Pradesh.

Three types of soils are found in the district namely Mar, a dark soil, alluvium soil, locally known as Parwa & Kabar. Mar soil is fertile and excellent for wheat production. Kabar becomes sticky during rains and is unsuitable for agriculture. Much of the forest area is covered under this land, although it produces poor timber, which fulfills the fuel wood need of the villagers in the neighborhood, as well as some quality bamboo for export.

The rainfall pattern shows significant variation in the project area. The area is drought and suffers from extremes of temperature variation. Poor rainfall, high runoff due to rocky terrain with low infiltration rate and limited retaining capacity of the rocky aquifer results in water scarcity. Environment endowments are thus, not conducive to support a large population base. Yet there has been significant growth of population and activities recently.

The minerals found in the project area are Steatite, Pyrophylite and Feldspar. Apart from Vindhyan sandstone, there also exist granites and quartzite.

2.1.1 General Description about the Project Area

As indicated earlier, the project roads passes through two administrative districts of MP and one of UP. A wide range of services from various local communities, which typically include roadside stall/kiosks, hotel/restaurants, small retail businesses, mechanics/vehicle repairs shops, petrol stations, and bus/truck stops or dhabas is seen along the corridor. The economic activities performed by these distinct communities provide amenities for the benefit of traveling public and thus play critical role both in community life and local economies. The proposed improvements of the corridor will directly affect the roadside communities, particularly small shop owners and squatters, who largely derive their livelihoods from such activities.

In addition, the road has also attracted, as they always do, the development of roadside periodic hat or markets as nodal points for trade and commercial activities, particularly agricultural products by local farmers. Typically, these activities along the road sections are being carried out by unauthorized occupants and are found in built-up areas, bus stops, local markets, and busy intersections, where traffic congestion are already high. As a result, the traffic flows conflict with road safety and pedestrians, including users of non-motorized transport.

9 2.2. Socio Economic & Census Surveys

The survey was conducted in three phases.

Phase-I (April 2003): Reconnaissance survey, social strip mapping;

Phase-II (May-June, 2003): 100% census survey & 25% SIA for Jhansi to Shivpuri section except the Shivpuri bypass & other realignments.

Phase-III (June-July, 2003): The additional survey was conducted for the remaining sections comprising of realignment & bypass, and updating Shivpuri-Jhansi section for squatters, structure losers and 25% details of the total Agricultural land losers.

However, the survey numbers of all (100%) agricultural land losers along with extent of land loss is already available in the LA Plan.

Phase-I Survey: The survey was done basically to establish the corridor of impact, number of affected persons, type of perceived impacts, people’s concern, ways of mitigation, socio- economic scenario of the area and the basic situation analysis. It also helped in establishing the types of affected persons and types of loss.

• Secondary data was collected from various sources viz.; State Government information department, Public Works Department (PWD), Deputy Commissioner’s (DC) office and the local Non-Governmental Organizations (NGO), ADB’s and NHAI publications. • Reconnaissance survey was conducted in April 2003 on 45m wide strip on either side of the NH-76&25 centerline in the absence of defined ROW; titled structure owners and squatters falling within the 45m wide corridor were captured in the survey. Structures partly or wholly within the corridor were surveyed. Social strip mapping involved capturing all structures and constructions partly or wholly within the ROW. This helped in discussing alignments with people and design team. • Sample socio-economic survey was conducted in the area traversed by the project to understand the conditions of the people. This helped in establishing the monitoring parameters, which would be used to study the project impact on the socio-economic conditions of the people.

Phase-II Survey:

The 100% Census Survey of structures, squatters, and kiosks other than Shivpuri bypass & other realignments falling in the proposed ROW was carried out in the month of May-June 2003 by a team of 25 trained enumerators.

The objectives of the census survey are: (1) To collect information regarding likely project impacts in order to facilitate design of various components of the RP. (2) To set up cut off date to check influx of new people and (3) To disaggregate affected properties by type & identification of possible categories of entitlements.

10

The objectives of Socio-Economic Survey for 25% of the affected households are:

(1) To attach actual values to key indicators of the PAPs Social & economic Status & their vulnerability to socio-economic change due to the project. (2) To assess use of CPRs (3) To provide benchmark to monitor & evaluate (4) Additional inputs to RP

The cut off date for eligibility for entitlements for non-titleholders is the date of the commencement of census namely 7th May 2003. The surveys for new alignments, realignments etc. were carried out later in late June 2003.

The Additional Phase-III survey in June-July, 2003 for the Shivpuri-Jhansi, Shivpuri Bypass along with the other sections yielded additional data for land losers, structure losers and livelihood loss including squatters etc. The following methodology was adopted while conducting the structure and agriculture survey.

Structure Survey: Methodology

National Highways widening affects different types of roadside structures. The owners of these structures would need to be compensated for their lost structures. For this purpose, a structure survey was undertaken through an authorized evaluator to estimate the replacement cost of the lost residential, commercial and other structures. An inventory of the roadside structures was prepared considering the following details:

• Construction material used for roof, walls and floor • Different storey’s of structures • Land area of each structure

Agricultural Land Survey:

Like structure survey, an authorized property evaluator determined the market cost of likely to be acquired agricultural land of the affected families. This information shall become an important input in land acquisition plan. Detailed information on the following aspects were collected: • Survey number of each plot, • Division number of each plot, • Landowners and sharecroppers were identified, • Information on their family size, income levels was ascertained, • Land holding size and area lost to the project was ascertained for each landowner or sharecropper, • Type of land (irrigated or Unirrigated) was identified, • Information on land values was collected through two sources: (a) market value of land as quoted by sellers, buyers and agents (b) Government rate of land from Land Registration Office, • Compensation preference and • Details of 25% of individual land Owner were also ascertained.

11 Source of Data: Data and information were collected from: • Household level with 100% of project affected families losing structures and ownership details of land losers; • Contacts with private contractors and business persons to collect cost data; • Focus group meetings with Panchayat members; • Focus group meetings with villagers; • Certified assessors for assessment of structures and cost estimates.

Other relevant information and documents were gathered from the Revenue officials, the Statistical Department of MP, Census records and the NGO in the project Districts.

2.3 Database

The baseline and census survey collected a wide range of data including demography, ethnicity, religion, social stratification, loss of assets, present usage of structures, education, occupation, income, expenditure patterns, tenure/ownership, access to public amenities, preference for compensation etc. The database provides a detailed picture of the social and economic conditions and the likely impact that the people may have to sustain due to the project.

2.4 Socio-economic Profile of the Project Districts

The land use is predominantly agriculture. In general, commerce & Industry are run by family members. Very few are working as wage earners. The survey identified that the livelihood of the agricultural labours will not be affected as they work seasonally and can be engaged in residual plots & that they also work elsewhere as well.

In the bypass area the proposed alignment passes through the government land primarily grazing, few agricultural stretches and forest. Quantum of private agricultural land to be acquired will be less significant especially in the bypass and new alignment sections. The strip acquisition will not reduce the availability of grazing land in any way. However, near the settlements or villages there is a need for couple of under passes so that the grazing land is not fragmented and to provide safe passage for the herd/livestock. There will not be any further land acquisition due to underpasses.

The survey conducted in July 2003 for landowners identified some tenants under informal arrangements with landowners (as declared by the owners). However, these owners declined to divulge names of their tenants, hence the details of the tenants cannot be elicited. It is felt that the impact on the tenants will be minimal since most of the plots rented is large and only a tiny portion is proposed to be acquired. However, it is suggested that NGO responsible for implementing RP shall conduct social mapping and resource mapping exercise to identify tenants.

2.4 Markets

The major markets in the project area are Raksha in Jhansi district, Karera, Dinara and Kharai in Shivpuri district. The Products traded and sold in these markets range from

12 vegetables, cereals, animals, cloths and other necessity of life. There is weekly haat bazaar1 as well which spills over the highway.

2.6 Demography

The abstract of census Data of 2001 on demography is being used for the purpose of analysis. The decadal growth data has been taken from 1991 census survey, as this information is not available in census data of 2001. A brief description of the population composition and related demographic characteristics of the three districts in the project area, namely Jhansi, Datia and Shivpuri based on 2001 census are shown in Table 2.1.

Table no. 2.1: Demographic Characteristics State/ Population 2001 Decadal growth Sex Ratio Density Distt. Persons Male Female 1981 1991 1991 2001 1991 2001 Jhansi 1746715 934118 812597 24.66 23.23 864 870 282 384 Datia 627818 337842 289976 26.01 21.82 847 858 192 233 Shivpuri 1440666 775473 665193 30.84 27.16 849 858 110 140 Source: Census of India, 2001 & 1991.

It appears that Jhansi district has recorded a phenomenal growth of population as indicated by the higher density figure of 2001, although decadal growth in population has decreased slightly. Density of Shivpuri, on the other hand, is low and has only increased marginally in 2001. Sex ratio, that determines proportion of female population as compared to male population, is low in all the three districts indicating an unfavorable situation for the women. The significantly low sex ratio in the project area may have some attributes from the prevalent socio-cultural background in a backward region such as gender selective abortion, female infanticide, women trafficking and malnutrition among the women – all of which may have contributed to a very low sex ratio.

2.7 Economy

The project road passes through two districts of Madhya Pradesh viz. Shivpuri & Datia and Jhansi in Uttar Pradesh. Shivpuri is mainly an agricultural district and cultivation is the main occupation of the people. The average landholding size is 2.5 ha which is barely above the land holding of a small farmer. The dependence on cultivation can be viewed from the fact that 83.38 percent of the total workers of district are engaged in agriculture either as cultivators (70.40%) or as agriculture laborers (12.98%). Rice, Jowar, Bajra, Maize, Wheat and Barley are the main cereal crops. Gram & Tur (Arhar) are the main pulses grown in the district (Table 5). Sugarcane, condiments and spices, sesame (til) and linseed are other crops grown. About 40% of the total cultivated land is irrigated. Table no.2.2: Productivity of the Major Crops in the Project Region Sl. No. Main crops Productivity (Kg./ ha) 1 Wheat 1483 2 Rice 923 3 Gram 1126 4 Ground nut 1222 5 Jower 650 Source: State Economic & Statistical Bureau, Govt. of MP

1 Haat/Bazaar: Local weekly/daily market where vegetables and other consumables are sold.

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Though agriculture is the main occupation, the drought situation prevailed in the last few consecutive years, which has severe impact on the livelihood of the people particularly on those who have no other alternative livelihood. Drought has hit most the people with less or no landholding than with average landholding.

Only about 12 Km. area of the Jhansi district falls under the project strip. Barring a few settlements like Raksha, which is an important trade and transport nodal point, the rest of the area is primarily a scrubland with pockets of cultivated zones. The area under cultivation is mostly un-irrigated but canal irrigation can substantially increase the productivity. The main crops are wheat, Jower and Bajra. Transporting tractor loads of paddy husk for animal fodder is a common trade through out the project area.

The Jhansi urban area attracts quite a good number of industrial workers from the settlements around the project area for employment in the engineering workshops and chemical and pharmaceutical factories. Another major source of employment is the transport sector. About 500 tractors, auto rickshaws, and jeeps ply (carrying passengers) between main nodal points like Jhansi, Dinara, Karera and Shivpuri.

The project district is endowed with mineral products such as china clay, limestone, canker, murrum, sand and stones mostly found in Madhya Pradesh. Important industrial goods produced include jute, cement, newsprint, vanaspati ghee, lac, yarn iron and steel.

In the project region some families are still engaged in collection and sale of minor forest produces. The trend shows that they are now migrating towards various urban centers where they are opting for livelihood primarily as construction laborers. In the relatively congested areas along the project road, the settlement dwellers are mostly dependent on small business enterprises of varied types.

2.8 District wise Profile of Project Corridor

The socio-economic study narrated below is the output of two level of survey. First is a Census Survey and second is the Socio-economic survey administered at the individual household level. The data analyzed here would serve as the baseline for monitoring.

The three project affected districts are Shivpuri, Datia & Jhansi.

2.8.1 Project Affected Persons (APs)

The following section elaborates the type of losses that the people either residing or working on the National Highway would incur in view of the loss of land (agricultural, commercial and residential), loss of structures (agricultural, commercial and residential), loss of assets (agricultural, commercial and residential), loss of income (squatters, Small business enterprise and moving businesses such as kiosks) and community resources. A total of 17,088 persons will be affected by the project. The census survey has been conducted for all the households which identifies 2848 families affected. Based on the socio-economic survey, the average family size works out to six, therefore, a total of 17,088 persons will be affected by the project

14 Table no. 2.3: Project Affected Persons District No. of Affected Families APs Shivpuri 2114 12684 Datia 78 468 Jhansi 656 3936 Total 2848 17088 Source: Census Survey, 2003

2.8.2 Family Size

Types of family i.e. nuclear, joint or extended have an impact on the resettlement of the PAFs. The average size of each family in the project area is 6 members. The total affected family in the project area is 2848. For impact assessment, entitlement and other analysis family is taken as a unit.

2.9 Social Profile

2.9.1 Literacy Rate District Wise

The total literacy rate in Datia district is more than Shivpuri and Jhansi according to census data of 2001. The district wise literacy rate is given in the table no. 2.4

Table no. 2.4: Literacy Rate District wise District Total Persons Male Female Shivpuri 59.55 74.78 41.54 Datia 73.51 82.94 62.48 Jhansi 57.82 73.44 33.55 Source: District Census Handbook, 2001

2.9.2 Educational Levels of the Head of Affected Families

Around 797 head of affected families are illiterate which is 28% of the total affected head of families, whereas 3% of the affected head of families have studied upto graduation and post graduation level. Around 26% of the head of affected families have studied upto primary level. Since the education level of the head of affected families are not high therefore various training program for income restoration will become important part of the rehabilitation measures.

Table No. 2.5: Educational Levels of the Head of Affected Families Total District Affected Education Levels of HoAF Families Higher Post High Graduat Illiterate Primary Middle Seconda Graduat Total School e ry e Shivpuri 2114 592 549 423 317 169 42 22 2114 Datia 78 22 20 16 11 6 2 1 78 Jhansi 656 183 170 131 98 52 13 9 656 Total 2848 797 739 570 426 227 57 32 2848 Source: Census Survey, 2003

2.9.2.1 Educational Levels of the APs

A total of 4614 persons are illiterate which is 27% of the total affected persons. 29% of the APs have studied upto the primary level. These two categories put together constitute over half of the total affected persons (refer table 2.6).

15 Table No. 2.6: Educational Levels of the APs Total Education Levels of APs District Populatio n. Higher Post High Graduat Illiterate Primary Middle Seconda Graduat Total School e ry e Shivpuri 12684 3424 3678 2537 1902 635 381 127 12684 Datia 468 126 136 93 70 23 14 6 468 Jhansi 3936 1064 1141 787 590 197 118 39 3936 Total 17088 4614 4955 3417 2562 855 513 172 17088 Source: Census Survey, 2003

2.9.3 Social Vulnerability of PAF

The social vulnerable groups are those who are below the poverty line (BPL), those who belong to Scheduled Caste (SC), Scheduled Tribes (ST) and Women Headed households (WHH). Special considerations have been made to ensure that they do not become more vulnerable because of the project. Rather, measures have been adopted in the RP so that they have a living, which is better than their pre-project days.

Among the three districts Shivpuri hosts 76% of BPL families and 54% of the SC population in the surveyed corridor. The ST population is only found in Shivpuri district. The project area has only 5 Women Headed Household (WHH) out of which 3 are found in Shivpuri and 2 in Jhansi.

According to the MP Govt. notification BPL families are those, whose average annual income is less than Rs.18,000. According to U.P Govt. notification families under BPL category are whose annual average income is less than Rs. 20,000.

Table No. 2.7: Social Vulnerability of PAF’s Districts Vulnerability Components BPL SC ST WHH PH Total Shivpuri 324 74 13 3 33 447 Datia 12 1 0 0 4 17 Jhansi 91 63 0 2 24 180 Total 427 138 13 5 61 644 Source: Census Survey, 2003 X BPL: Below poverty line; SC: Scheduled caste; ST: Scheduled Tribe; WHH: Woman Headed Household; PH: Physically handicapped

It is evident from the above table that Shivpuri district will experience the biggest impact where 2114 families are affected. As the individual land holding in Shivpuri district is quite high, i.e., approximately 2.5 ha, so as a result of land loss the remaining land will remain viable. However, all the agricultural land losers will be provided training on agricultural practices to maximize the returns from the residual land.

2.9.3.1 ST Population

The purpose of this section is to illustrate the typical profile and traits of the scheduled tribe population inhabiting the corridor to demonstrate whether the affected ST population meets the ADB definition of “Indigenous People” and whether an IPDP is required for the project.

16 The ADB Operations Manual specifies that if Indigenous People are likely to be significantly or adversely affected by the project an Indigenous Peoples Development Plan (IPDP) will be required.

ADB defines “indigenous peoples” by two significant characteristics:

‰ Descent from population groups present in a given area before modern states or territories were created, and ‰ Maintenance of social or cultural identities distinct from the dominant or mainstream society.

It should be noted that the Indian definition of ST according to the constitution is based upon descent from specific tribal groups. If a person classified as ST by the Indian Constitution has been assimilated into mainstream society the second ADB defining characteristic of “Indigenous Peoples” is not met, and such a person is not strictly “Indigenous” for the purposes of the ADB assessment.

2.9.3.2 Tribal Population in the Project Area The 1991 census reveals that the state of Madhya Pradesh is home to 9.68 million members of Scheduled Tribes. The districts, through which the project road passes, namely Shivpuri and Datia together constitute about 1.4% of the Scheduled Tribe (ST) population of the State of Madhya Pradesh. The census also indicates that the districts of Shivpuri and Datia each have approximately 11% and 1.5% respectively of the population classified as Scheduled Tribe out of the total population as per 1991 census (Table 2.8). The most important Scheduled Tribes of the project region are Saharaiya, which are only identified in the Shivpuri District. (M.P. Govt. notification is annexed in the Vol.-II). Table No.2.8: Total population and SC/ST breakup of three Districts District Total Population Schedule Caste Schedule Tribe Shivpuri 1132977 219384 127762 Datia 515360 128001 7605 Jhansi 1746715 550460 151 Total 3395052 897845 135518 Source: Census of Madhya Pradesh (Abstract), 2001 and Census of District Jhansi, 1991.

2.9.3.3 Project Affected ST Families: General Profile

Though there is large tribal population in the districts through which the corridor is passing, but only 13 ST families will be affected in the project area out of 127762 ST populations in the entire Shivpuri district. There are total 13 ST families in the project area out of 127762 ST populations in the entire Shivpuri district. Out of these 13 families, 3 are involved in the commercial establishments and run small shops on the roadside. An important characteristic of these tribal groups is that their economic systems is oriented towards traditional systems of production but it is also clear from the table that the tribal population of the project area have assimilated themselves completely with the mainstream population or dominant societies and have taken on the production behavior (SBEs) of the mainstream people. The following table illustrates the project affected ST families in the project area.

17 Table no. 2.9: Project Affected Scheduled Tribe Families Total No. No. of Types of ST Families of Affected Residence- cum- District Affected Residential Commercial Families ST Commercial Families ST ST ST Shivpuri 2114 13 5 3 5 Datia 78 0 0 0 0 Jhansi 656 0 0 0 0 2848 Total 13 5 3 5 Source: Census Survey 2003.

Out of the total affected family in the project area, the ST families’ accounts for only 0.45%. There are only 3 ST families on Shivpuri bypass whose land is getting affected. Apparently, the ST families are generally poor, however they are not significantly different on poverty ratios from other vulnerable groups like SCs and OBCs, who are considered part of the mainstream population.

2.9.3.4 Summary

The results of the primary survey indicate that 13 ST households comprising approximately 78 persons are impacted by the project. The project affected ST’s, and AP’s in general, are engaged in labour or small business in small towns within the ROW. The fact that the majority of project affected ST people are engaged in small commercial activities like vegetable selling, road side stalls, etc. supports the contention that the impacted ST population have adopted similar characteristics to other inhabitants of the road reserve.

The overall conclusion from the census survey and other data sources as analyzed above is that the Scheduled Tribe population directly impacted by the project has very similar characteristics to the overall affected population. They are assimilated into the local communities and do not maintain a district cultural identity. While, they therefore meet the first requirement of the ADB to be classified as indigenous, namely descent from a specific population group, they do not maintain social or cultural identities distinct from the dominant or mainstream society.

The tribal groups of the project area have a free social interaction with the mainstream population. The tribes share their source of water, folklore, food, infrastructure and other belongings with outside community. Not only this, these groups are also open to the new ideas like family planning, formal education. Most of these tribes have a nuclear family norm. Thus, it is undeniably established that in their social behavior and interactions they are not disconnected from the mainstream population but are assimilated with them.

The conclusion from an independent study carried out in the project region “is that the Scheduled Tribe population of the project area directly affected by the project can be considered as assimilated into mainstream society and does not display a distinct demographic, locational, cultural and social identity. The views of the dominant groups and the tribal population on anticipated project impacts and resettlement options are very similar. It is therefore, proposed that an Indigenous Peoples Development Plan is not required, however ST and other vulnerable groups should receive additional support in accordance with the proposed entitlement framework”. Source: Indigenous People’s Mainstreaming & Need for IPDP, Prof. S.Agarwal, 2003.

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2.10 Economic Profile

2.10.1 Occupational background of household Small business establishments (SBEs) dominate the project area apart from agriculture. About 34.46% of APs are small traders and vendors. The other main sector of the economy is agriculture. The occupational pattern of the population is not diversified and thus efforts at income restoration would be directed at enhancing business opportunities of the displaced population.

2.10.2 Category of Project affected family in terms of Project impact such as land, structures, squatters, tenants and ambulatories According to the census survey, owners of land and structures form the largest group of the affected families. 64% of the owners are affected in Shivpuri and 14% in Jhansi.

Table No.2.10: Category of PAFs in terms of project impacts District Land Structur Squatte Tenants Ambulat Total es rs & ory/ encroac Kiosks hers Shivpuri 1324 511 171 90 18 2114 Datia 36 15 23 0 4 78 Jhansi 83 333 180 52 8 656 Total 1443 859 374 142 30 2848 Source: Census Survey, 2003

2.10.2.1 Structure Ownership Status According to the census data structures owners form the second largest group of the affected apart from agricultural landowners. 59.4% of the structures are affected in Shivpuri out of 859 total structures. In Jhansi about 39% of the structures are affected and remaining 1.6% in Datia. The encroachers are the residential and commercial structure owners who have extended their structures close to the edge of the road in the project area. However, encroachers are included in the entitlement matrix of the RP. 70 structures are in the encroachment category especially in Raksha, Dinara and Kharai market area.

Table No. 2.11: Structure Ownership Status District Owners Squatters Encroachers Total (including tenants) Shivpuri 511 126 45 682 Datia 15 23 0 38 Jhansi 333 155 25 513 Total 859 304 70 1233 Source: Census Survey, 2003

There are 859 titleholders, 304 squatters and 70 encroachers. The encroachers are those who have extended their property line onto govt. land; and therefore have been categorized as Non-titleholders. It is only the portion of the property on the Govt. land which is getting affected.

19 2.10.3 Profile of Affected Structures (Titleholders)

Various categories of structure were enumerated. Large portion of the affected structures are under residence-commercial category.

Table No. 2.12: Loss of different category of Structures (Titleholders) District Residential Commercial Residence- Religious Common Total Commercial Property/ Govt. Structures Shivpuri 189 145 177 18 17 546 Datia 4 3 8 2 2 19 Jhansi 90 139 104 3 3 339 Total 283 287 289 23 22 904 Source: Census Survey, 2003

2.10.4 Structures by Type

Type of structures also indicates about the economic conditions of the residents. Out of the total 859 structures (excluding religious and Govt.), 67% of the structures are permanent and only 8% of the structures are temporary. 59% of the permanent structures are in Shivpuri only.

Table No. 2.13: Types of Structures (Titleholders) District Permanent/Pucca Semi- Temporary/Kuchha Total Permanent/Semi- Pucca Shivpuri 335 130 46 511 Datia 8 4 3 15 Jhansi 233 80 20 333 Total 576 214 69 859 Source: Census Survey, 2003

2.11 Types of Project Impacts

1259 families are losing their source of income which covers agricultural land owners loosing more than 10% of their holding, squatters, kiosks, businesses, shops, tenants and wage earners. About 965 families are loosing agricultural land and business establishment. Around 950 families are losing their business establishment, which includes squatters and kiosks. Around 283 families are losing their residential structures and 289 families are loosing their residence-commercial structures along with source of income. Some of the project impacts under column 3,4,5,8 are common to all such as loss of drinking water facility etc.

Table No. 2.14: Types of Project Impacts District 1 2 3 4 5 6 7 8 9 10 11 12 Total Shivpuri 15 1309 3 Nil 300 493 189 736 Nil 5 145 177 3372 Datia Nil 36 Nil Nil Nil 34 4 38 Nil 0 3 8 123 Jhansi Nil 83 Nil Nil 150 423 90 485 Nil 3 139 104 1477 Total 15 1428 3 Nil 450 950 283 1259 Nil 8 287 289 4972 Source: Census Survey, 2003 1: Loosing entire agricultural land; 2: Loosing part of agricultural land; 3: Loosing only tree; 4: Loosing only Irrigation unit; 5: Loosing only drinking water facility; 6: Loosing business establishment; 7: Loosing residential structure; 8: Loss of Livelihood only; 9: Loosing land other than agricultural/homestead/commercial; 10: Loosing residential structure and source of income; 11: Loosing commercial establishment and source of income; 12: Loosing residential and commercial structure and source of income.

20 2.12 Rehabilitation Options

People by and large were not clear about their rehabilitation options. Nevertheless, the most preferred option that 1993 families opted for was cash compensation with self relocation (with eligible entitlements). The cash compensation choice has been taken into consideration while providing assistance to the affected people. Provision of land at resettlement sites and cash compensation in the form of transitional allowance, shifting allowance, etc. has been included in the RP. About 521 families opted for commercial development/training and 319 families who are likely to be displaced opted for resettlement site. During the public consultations, squatters and encroachers opted for self relocation option.

Table No. 2.15: Rehabilitation Options for the PAF’s and PDFs District Cash Commercial Land Part Property Resettlement Total Compensation Development/ for Property/la for Site Training Land nd & Part Property Cash Shivpuri 1494 387 No 15 No 218 2114 Datia 62 14 No No No 2 78 Jhansi 437 120 No No No 99 656 Total 1993 521 NIL 15 Nil 319 2848 Source: Census Survey, 2003

The R&R policy for the project has inbuilt safeguard measures for optimum utilization of compensation and other assistances; such as, counseling and continuous monitoring by NGO, third party external monitoring and evaluation, and, DRRO to release installment based on completion of activity and production of utilization certificate.

2.13 Summary Profile of Project Corridor Population

Description Units Project Affected Families 2848 Project Affected Persons 17088 Average Household Size 6 SC 138 ST 13 SCs & STs 151 WHH 5 Main Occupations Agriculture, Small Business Enterprise Type of Structure Pucca, Semi-Pucca, Kuchha Source: Census Survey, 2003.

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3

Land Acquisition, Types of Losses and Relocation

3.1 Land Acquisition and Type of Losses

In the present project stretch average ROW available varies from 30-33 m baring few locations where ROW is 50 m as well as 15 m. Land acquisition will be required in those locations where available land width is less than the minimum technical requirement. The project ROW is 45 m. The cut off date for eligibility for entitlements for non-titleholders is the date of the commencement of census surveys i.e. 7th May 2003 and publication of Notification under section 3A (i) of NH Act for landowners and titleholder structure owners.

3.2 Impact of Land Acquisition The analysis of the impact of land acquisition can be categorized into following sub heads: ƒ Loss of land (private and government) ƒ Loss of livelihood ƒ Loss of farm produces (standing crops) ƒ Loss of structures ƒ Loss of institutional buildings and community infrastructures and assets. Land acquisition has been restricted to only 15 meters incase of 30 meter available ROW, but in case of new alignments, bypass and junctions etc. it is 45 meters according to the technical report. The widening of NH-76 & 25 will be concentric with narrow median in built up and urban area.

3.2.1 Loss of Land (Private and Government)

The project will aquire the acquisition of agricultural land, pastureland and other land in different sections of the project area. Existing right of way (ROW) of the project road is varying between 30 m to 33 m as per the PWD boundary stones and village land maps. It is contemplated to acquire land for a width of 45.0 m ROW. The land acquisition plan has been prepared for the entire project stretch. Private land acquisition is more in Shivpuri district. The private land to be acquired is mostly un- irrigated agricultural land. About 190.810 ha of private land have to be acquired in Shivpuri, which accounts for 57% of the total land to be acquired for this project.

22 Table no.3.1: Land Acquisition within Project ROW District Wise Chainage No. No. of Total Land in Ha. Village Land Affected Acquisit Private Land Govt. Land ion in Forest Non Forest Ha RF PF Shivpuri Km. 579-Km. 44 305.825 190.810 85.53 - 29.485 610, NH-76 and Km. 15-Km. 76.570, NH-25 Datia Km.80-Km. 2 5.78 3.180 - - 2.60 76.570, NH-25 Jhansi Km. 92- 5 20.515 18.125 - - 2.39 Km.78.080, NH- 25 Total 51 332.12 212.115 85.53 - 34.475

Source: Land Acquisition Plan, 2003 Around 115 ha of Government and Forestland will be acquired in Shivpuri district for construction of ROB, junction improvement, bypasses and two segregated carriageways. Acquisition of these lands will be organized through government procedures of inter departmental transfers.

Though a total of 1443 plots will be affected, only 15 of such plots will be severed more than 50%. The owners of the landholdings to be acquired may have other source of income but it is likely that this acquisition would cause negligible or partial loss in incomes for these families. The replacement cost/compensation will be paid as per the entitlement matrix by the competent authority. Total landholding details are given in Table 3.2. Table 3.2: Extent of Loss of Private Agricultural Land and Quantum of Residual land

District Number of land Number of land Number of land Total holdings getting holdings getting holdings getting affected less than affected more than affected more than 10% 10% 50%

Shivpuri 1184 125 15 1324

Datia 36 - - 36

Jhansi 78 5 - 83

Total 1298 130 15 1443

Source: Land Acquisition Survey, 2003

23 3.2.2 Loss of Farm Produces

Acquisition of land for the project will result in loss of farm produces especially the Guava farm etc. There are very few guava farms falling on the project stretch especially in Shivpuri district. The total area under guava farm is less than 0.5 Ha. The owners of such farm land will be compensated/assisted as per section 2c of the entitlement framework.

3.2.3 Loss of Structures

In the project stretch, mainly residential, commercial, residential cum commercial structures are likely to be affected. Table no. 3.3 summarizes the loss of such structures. For the Shivpuri-Jhansi Section a total of 904 including religious and government structures will be affected. These include the titleholders of structures surveyed, structures, which were locked during the surveys, structures having tenants, & those for which the holder refused to respond to the questions. Out of total 1233 structures, 859 are permanent in nature, and 374 are temporary. Table 3.3 illustrates the category and types of structure loss.

Table no. 3.3: Category and Type of Structure Loss

District Type of Residenti Resident Commercial Religious Government Total Structure al ial- Structures Commer cial Permanent 142 102 91 11 17 363 Shivpuri Temporary 9 18 19 2 Nil 48

Semi- 38 57 35 5 Nil 135 Permanent Total 189 177 145 18 17 546 Permanent 2 5 1 1 2 11 Datia Temporary 1 1 1 Nil Nil 3 Semi- 1 2 1 1 Nil 5 Permanent Total 4 8 3 2 2 19

Permanent 55 73 105 2 3 238 Jhansi Temporary 6 5 9 Nil Nil 20 Semi- 29 26 25 1 Nil 81 Permanent Total 90 104 139 3 3 339

Grand Total 283 289 287 23 22 904

Source: Census Survey, 2003

Out of the total 859 structures excluding government and religious, 60% structures are affected on right hand side of the project road from Jhansi-Shivpuri. District wise details of only private structure losses excluding government and religious on both sides are given in Table no. 3.4.

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Table no. 3.4: District wise Structure Losers District Residential Residential Cum Commercial Total Structures Commercial LHS RHS All LHS RHS All LHS RHS All LHS RHS All Shivpuri 65 124 189 79 98 177 62 83 145 206 305 511 Datia - 4 4 - 8 8 1 2 3 1 14 15 Jhansi 31 59 90 47 57 104 56 83 139 134 199 333 Total 96 183 283 126 163 289 119 168 287 341 518 859 Source: Census Survey, 2003

Following types of structural combinations were found for the titleholder’s structures:

1. Temporary • Wooden walls, roof, floor • Wooden walls, corrugated sheets/tile roof • Thatched walls, floor mud, tiled roof • Mud wall and floor, thatched roof 2. Semi-Permanent • Brick wall, concrete floor roof • Stone masonry wall, floor stone/concrete • Asbestos/tiled roof 3. Permanent • All concrete works • Floor mosaic tiles, brick wall, concrete roof • Floor concrete/stone, brick wall, concrete roof 3.2.4 Loss of squatters/informal dwellings For the squatters, most of the dwellings are of temporary and semi permanent nature the materials used in most of the structures seemed easily transferable to other location. Most of these structures are small and used for commercial and commercial cum dwelling purposes. These are small wooden/tin sheets cabins of approx. 4’X4’ and 6’X6’. 100% squatters use their dwelling spaces for commercial purposes; these are primarily paan shops, cycle repair shops, STD Booths, Dhabas, teashops etc. District wise details of the squatters are given in the table no. 3.5. Table no.3.5: District wise details of the squatters District Nature of shop Size of the shop Total Shivpuri Cycle repair, pan, 4’ X 4’ and 6’X6’ 171 Vegetable, auto repair, teal stall Datia Cycle repair, pan, 4’ X 4’ and 6’X6’ 23 Vegetable, auto repair, teal stall Jhansi Cycle repair, pan, 4’ X 4’ and 6’X6’ 180 Vegetable, auto repair, teal stall Total 374 Source: Phase III Survey, 2003

25 3.2.5 Compensation for Structures All titleholders will be compensated at the replacement value of the structure .For squatters no compensation for land is given. According to ADB policy compensation for structure loss is provided in the form of rehabilitation assistance to all project affected families. 3.3 Loss of Livelihood The project probably will not hit the service and skilled labour class, as they are not dependent upon land for their livelihood. But due to relocation of residences or work place, the distance between home and work place might become longer. Nevertheless, a considerable no. of structure losers and squatters who are using their structure for commercial and resi-cum-commercial purposes will lose their primary livelihood. Those loosing garden/plantation or agricultural land or commercial structure will incur loss of income opportunity. Provision has been made in the policy entitlements for Transitional Allowances. The policy also provides for alternate income generation opportunities if the PAF so desires. There are total 1114 Families losing their livelihood. Another 145 families losing their income opportunity out of total 1259 loss of livelihood category. The district wise loss of livelihood is shown in table no. 3.6. Table no.3.6: District wise loss of livelihood

District Business (Comm. Agriculture Total Squatter, Resi-Comm, rental income& Kiosks) Shivpuri 596 140 736 Datia 38 Nil 38 Jhansi 480 5 485 Total 1114 145 1259 Source: Census Survey, 2003 During the preparation of RP, detailed consultations were carried out with the District level revenue officials, and certain parcels of land were identified for resettlement sites. The NGO TOR clearly specifies that NGO shall arrange for APs’ site visit before finalization of resettlement site. The rental value was arrived at based on market scenario and in consultation with the APs. All APs agreed to the options provided in R&R policy. 3.4 Impact on Women Women were concern about the widening of the existing road especially about the high-speed vehicles, which might increase accidents. They also felt that crossing to the other side is important because the grazing land might be on the other side of the village and it may be difficult to take the animals for a long walk just to cross the NH-76 and NH-25. The underpass option was discussed during public consultation and later being considered in the final design. There are only 5 women headed households in the project area. Their economic activity and livelihood is not affected by the project. They are working as labourer in the nearby quarrying area.

26 3.5 Vulnerable Groups Social vulnerability of PAFs has been already discussed in chapter 2. Families below poverty line, SC families, ST families, Women headed households and physically handicapped are considered under this category. District wise loss of livelihood of such vulnerable groups is shown in table no. 3.7.

Table no.3.7: District wise loss of livelihood of vulnerable groups Categories Shivpuri Datia Jhansi Total BPL 210 7 59 276 SC families 48 1 41 90 ST families 8 0 0 8 WHH 3 0 2 5 PH 21 2 15 38 Total 290 10 117 417 Source: Census Survey, 2003

3.6 Community Infrastructure and Assets Apart from the demolition of private residential and commercial buildings as described above, some govt. buildings, bridges, culverts, service roads, bore wells and wells, shrines and temples, police station, bus stops, Clinics, cattle sheds etc. will also be lost. These lost public structures will be replaced, prior to their actual demolition at new sites as per community decision subject to the allotment of land by the village Panchayat. During preparation of RP, consultations were carried out with local Panchayat officials and they agreed for transfer of Panchayat land for the purpose of relocation of CPRs. Further, NGO will continue the dialogue with Panchayat officials and will procure No Objection Certificate. District wise details of community structures such as temples, shrines etc and government Structure are shown in the table no. 3.8. Table no. 3.8:District wise details of Community & Govt. Structures District Religious Structure Govt. Structure Hand Pumps Shivpuri 18 17 40 Datia 2 2 6 Jhansi 3 3 20 Total 23 22 66 Source: Census Survey, 2003

3.7 Land Acquisition Plan

Land surveys for the payment of compensation is to be done on the basis of updated official records and ground facts. The LA Plan for the project has been prepared and submitted based on the Khasra and Mouza Maps. The details of 25% of the landowners have been incorporated in this RP. However, the remaining landowner details will be updated containing information relating to title, land classification, and current use of land. This updating would be done expeditiously for ensuring timely distribution of cost compensation and allotment of land to the entitled persons (EPs).

27 Proposed land acquisition will be done according to NH Act (Amendment 1997). According to the Act if the Central Government is satisfied that any land is required for the building, maintenance, management or operation of a national highway or part thereof, it may, by notification in the Official Gazette, declare its intention to acquire such land.

Consultant has prepared the Land Acquisition Plan with the help of field map of the villages. The marked region along with the details of area to be acquired shall be verified by the Revenue Officers of each village and will be submitted by Project Implementation Unit (PIU) to the Competent Authority (District Administration). The District Authority will issue notification under this Act.

Any person interested in the land may, within twenty-one days from the date of publication of the notification under sub-section [1] of Section 3A, object to the use of the land for the purpose or purposes mentioned in that sub-section.

Every objection under sub-section [1] shall be made to the competent authority in writing and shall set out the grounds thereof and the competent authority shall give the objector an opportunity of being heard, either in person or by a legal practitioner, and may, after hearing all such objections and after making such further inquiry, if any, as the competent authority thinks necessary, by order, either allow or disallow the objections. Where no objection has been made to the competent authority within the period specified therein or where the competent authority has disallowed the objection the competent authority shall, as soon as may be, submit a report accordingly to the Central Government and on receipt of such report, the Central Government shall declare, by notification in the Official Gazette, that these lands should be acquired under section 3D of the Act. 3.8 Relocation 3.8.1 Development of Relocation Site

Restoring livelihood and relocating structures of affected persons to pre-project level is an important task of resettlement plan. In the present project stretch displacements are concentrated only at Dinara at 72.500 km and Raksha at 85 km, keeping in view the length of the project stretch of 132.4 Km. On-site relocation plans will be preferred for the displaced persons, which will not alter the social organization of Affected Persons (APs). They are petty traders and are solely dependent on their commercial structures falling on the project corridor. Two resettlement sites has been identified which is within 1.75 km radius from the existing market on NH-25. For Dinara one at 69.400 km. and the second at 73.315 km at Awas. For Raksha one at 85.500 km and the other at 87.500 km. Selection of these sites has been done in consultation with the affected families. The likely project affected persons are numbering 17088 but out of this around 4158 persons would be displaced.

28 Table 3.9: Relocation Sites at Dinara and Raksha

Item Location I Location II

Dinara Raksha Dinara Raksha

Land Owner Private Private Govt. Govt.

Cost of land High High Relatively low Relatively Low

Opportunity Not disturbed Maximum Not disturbed Not disturbed Of work Social fabric and Not disturbed Not disturbed Not disturbed Not disturbed cultural networks Distance from the present location 1 500 m 3 2.5 (Km)

Host Population Not significant Not significant 4-5 encroachers Not significant

Chances of accident Medium Medium Medium Medium Source: Phase III survey & Technical Data, 2003

Large number of affected families would be displaced in Dinara and Raksha. The following table gives the details of district wise project displaced families.

Table 3.10: District wise Project Displaced Families (PDF’S)

DISTRICT COMM RESI RESICOMM SQUATERS TOTAL

JHANSI 64 21 14 180 279

DATIA 1 0 1 23 25

SHIVPURI 85 83 50 171 389

TOTAL 150 104 65 374 693 Source: Phase-I Survey, 2003

3.8.2 Strategies for Relocation Options

The relocation and resettlement sites will be for housing and small business. NHAI has worked out various options to be offered to APs, and with mutual agreement with APs the options will be finalized. During implementation the following options will be explored. These options are:

For Housing

Option I: To develop the relocation site with all basic civic amenities like road, water, electricity, sanitation etc and do the plotting on agreed norms for each AP and hand over the plots to APs. The APs will construct their own houses as per their need and design and NHAI will pay the replacement cost of the demolished structure in three installments. But this cost will be equivalent to the actual cash compensation amount and difference in the amount on total construction will be borne by AP. NGOs will help in facilitating the housing loans for APs from Banks and other financial Institutes.

29 Option II: To develop the relocation site with all basic civic amenities like road, water, electricity, sanitation etc and also to construct the houses for APs. APs will bear the difference in the compensation amount and actual cost of construction.

Option III: To pay cash compensation in a joint account of spouses and the AP decides for self-relocation.

For Small Business Enterprises (SBE)

Option I: To develop the vendor market and hand over to APs.

Option II: To develop the shopping complex and hand over proper shops to APs. But these shops will be on rent and for first 6 months no rent will be charged to APs. After six month each AP needs to pay the agreed rent and if he/she wishes to own the same can pay the total amount and own the shop.

3.8.3 Self Relocation

Affected households particularly titleholders will be given option of self-relocation in nearby or same village. The affected household will receive the required support from the project during the process of relocation and receive compensation for structure, shifting and income assistance to resettle and rehabilitate the households. Where required, PIU can provide additional support through provision of civic amenities such as, well, tube well for drinking water, sanitary facilities, community halls to facilitate resettlers / host relationship.

The vulnerable titleholder will be given land for land option and in case of non- availability of land; they will be assisted by PIU to purchase land. Legal owners suffering losses due to acquisition of structure will be paid replacement value. The titleholders are eligible for compensation as per the Entitlement matrix.

3.8.4 Relocation of Informal/ Squatter Households

The affected squatter households will receive compensation for their structures only and other resettlement assistance in full prior to dislocation to facilitate the process of in-situ relocation. They are also entitled to cash assistance to support lost income due to relocation. Households, which are vulnerable, will receive special assistance of one time grant economic rehabilitation grant as additional support for relocation and income restoration.

3.8.5 Host Communities Developing host communities did not occur since the displacements are linear and no village people would be displacing in large numbers except Dinara. The district wise details of the project-displaced families are show in table no. 3.11.

30 Table no. 3.11: District wise details of the Project Displaced Families District Losing Losing Losing Total Squatters Grand Residence Commercial Residential- Total Structure Commercial TH T TH T TH T TH T Shivpuri 75 8 77 8 45 5 197 21 171 389 Datia 0 0 1 0 1 0 2 0 23 25 Jhansi 19 2 58 6 13 1 90 9 180 279 Total 94 10 136 14 59 6 289 30 374 693 Source: Census Survey, 2003

3.8.6 Income Restoration Assistance

Income restoration assistance will be provided to restore the economic status of all the eligible persons during project period immediately after relocation. These activities focus on ensuring that adequate compensation such as transitional allowance etc. is paid before relocation of APs who may suffer temporarily due to loss of working days and disruption in business. It is expected that within this time period they would be able to find out alternative livelihood options.

3.8.7 Assistance to Re-establish SBEs

All SBEs, titled or non titled including vulnerable encroachers will receive cash compensation at replacement cost for the loss of their business premises, shifting assistance, one time economic grant as income assistance. The SBEs owners who operated from rented premises will also receive income assistance.

3.8.8 Relocation and Resettlement Guidelines for PAFs

1. All the displaced titleholders and squatters loosing residential/commercial properties may opt for resettlement sites. The PDPs will be resettled preferably in a place close to the area where they were residing prior to the project. The resettlement plan will address the requirement for residential plots of all squatters. This will be implemented on the basis of providing options for relocation which include, option 1. Squatters may choose self- relocation with compensation for their strucxtures and related assistance and option 2. for squatters who are unable to self-relocate, PIU/NGO will examine on a case by case basis each households access and ability to find appropriate replacement land for dwelling and if they are unable to find or afford land themselves, then NHAI will provide the required suitable land for this purpose. 2. In case the group has already identified a potential site, NGO shall visit the site along with representatives of the community for assessing the adequacy and suitability of the site. NGO shall also collect information regarding its title and availability from local revenue department. In case the identified land is government/community land, NGO shall have to obtain No Objection Certificate from Revenue Dept.

31 3. NGO will also collect information on Government/community land available in the vicinity of project road, from the office of Circle Officer/ Circle Inspector. 4. NGO shall prepare a consolidated village wise list of government and community land. For relocation of PDPs, NGO shall ensure that PDPs are relocated along with their peers so as to maintain the existing social fabric. 5. The size of the plots will be equal to 35 Sq. mtrs. for houses and 15 Sq. mtrs. for shops. 6. Site selection will be assisted from the point of view of the impact on host communities. Issues like land quality, carrying capacity of the site, common property resources, and social infrastructure will be considered for selection of the site. 7. Prior to acquisition of the land, a resettlement plan will be developed and the consent of the PDPs will be taken in writing. 8. In case where government land is not available the certificate for the same will be obtained from the District Collector and then NHAI will purchase land for development of resettlement site/shopping complex. 9. At the new settlement centers, civic amenities like drinking water, internal link roads, drains, electricity will be provided along with any other amenities with PDPs had at their abandoned place. Any facilities provided by the Govt. & all common resources properties being availed by the displaced and affected persons prior to the project will as far as possible be provided/continued at Government cost at the new place of their resettlement or at the old place, as the case may be. 10. If the construction of shops/houses at the resettlement sites is done through NHAI, then NGOs will facilitate the process of arranging loans for PDPs through financial institutions for meeting the expenditure of the houses/shops over and above the entitlement amount. The financial institution will provide loan to the individual PDPs, and the loan recovery will be done by the institution, as per the arrangement agreed between the PDPs and the financial institution. 11. The other option will be to do the plotting on the resettlement site and providing infrastructure facilities. The construction of house and shops will then be left the PDPs. NGO will facilitate the process of arranging loans through financial institutions for the PDPs. 12. Once the site is developed, and then the houses/shops/plots will be distributed to the PDPs on the basis of local draw in presence of EPs. 13. As described above, plots for houses/shops at the new resettlement sites will be provided to the PDPs on payment basis except for the vulnerable person. The allotment of plot for house/shop will be in the joint name of husband and wife. Cost of registration to that effect would be borne by the project authority. 14. Customary right and land tenure system of the tribal PDPs and APs would be protected. 15. Any facilities provided by the Govt. & all common resource properties being availed by the displaced and affected persons prior to the project will as far as possible be provided/continued at project cost at the new place of their resettlement or at the old place, as the case may be. All resettlement planning would consider increased costs resulting from relocation. Such cost may be related to changes in occupation, absence of subsistence crops transportation.

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4

R & R PRINCIPLES, POLICY FRAME WORK AND ENTITLEMENT MATRIX

4.1 Introduction

This RP document describes the principles and approach to be followed in minimizing and mitigating negative social and economic impacts by the projects. The guidelines are prepared for addressing the issues limited to Package-C (Shivpuri-Jhansi) East West Corridor projects for resettlement and rehabilitation of the PAPs. The Resettlement Plan has been developed based on guidelines of Asian Development Bank on Involuntary Resettlement and NH ACT.

4.2 Broad Principles

The broad principles of the R&R are as below:

• The negative impact on persons affected by the project would be avoided or minimized.

• Where the negative impacts are unavoidable, the project-affected persons will be assisted in improving or regaining their standard of living. Vulnerable groups will be identified and assisted to improving their standard of living.

• All information related to resettlement preparation and implementation will be disclosed to all concerned, and people’s participation is being ensured in planning and implementation of the project.

• All acquisition of land would be under National Highways Act, 1956, which provides for compensation for properties to be acquired. Support would be extended for meeting the replacement value of the property. The persons affected by the project who does not own land or other properties but who have economic interest or lose their livelihoods will be assisted as per the broad principles brought out in this policy.

• Most of the widening and strengthening work will take place by the side of the existing National Highway except at locations where the existing alignment may involve shifting to accommodate bypasses, geo-metrics and other cost effective improvements.

• Before taking possession of the acquired lands and properties, compensation and R&R assistance will be made in accordance with this policy.

• There would be no/or minimum adverse social, economic and environmental effects of displacement on the host communities and specific measures would be provided in the Resettlement Plan.

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34

• Broad entitlement framework of different categories of project-affected people has been assessed and is given in the entitlement matrix. Provisions will be kept in the budget for those who were not present at the time of enumeration. However, anyone moving into the project area after the cut-off date will not be entitled to assistance.

• Appropriate grievance redress 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 involvement of women. Efforts will also be made to ensure that vulnerable groups are included.

• All consultations with APs have been documented. Summary results are appended to the RP. Consultations will continue during the implementation of resettlement and rehabilitation works.

• The Resettlement Plan includes a fully itemized budget and an implementation schedule linked to the civil works contract.

4.3. ADB Policy, NH ACT and Madhya Pradesh R&R Policy requirements and Short Comings

The ADB policy, NH ACT and and Madhya Pradesh Act are described below:

ADB Policy

The ADB's policy on involuntary resettlement was adopted in November 1995. ADB policy requires to (i) avoid or minimize project impacts where possible; (ii) consultation with affected people in project planning and implementation, including disclosure of RP and project-related information; (iii) payment of compensation for acquired assets at the market/replacement value; (iv) resettlement assistance to affected people, including non- titled persons (e.g., informal dwellers/squatters, and encroachers; (v) income restoration and rehabilitation program; and (vi) special attention to vulnerable people and groups. The objectives and principles of the policy, related to income restoration or having a bearing on it, are as follows: People unavoidably displaced should be compensated and assisted, so that their economic and social future would be generally as favourable as it would have been in the absence of the project. Any involuntary resettlement should, as far as possible, be conceived and executed as a part of a development project or program and resettlement plans should be prepared as appropriate time bound actions and budgets. Resettlers should be provided sufficient resources and opportunities to re- establish their homes and livelihoods as soon as possible. People affected should be informed fully and consulted on resettlement and compensation options.

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35 Existing social and cultural institutions of resettlers and their hosts should be supported and used to the greatest extent possible, and resettlers should be integrated economically and socially into host communities.

NH ACT

In India, compensation for land acquisition and resettlement assistance for project- affected people are governed by the Land Acquisition Act (1894), which has been amended from time to time. However, for the purpose of maintenance, sustenance and management of National Highways, a special act, The National Highways Act (NH Act), 1956 has been promulgated. Land acquisition in this project will be carried out under the NH Act, 1956. This Act provides for acquiring the land through "competent authority" which means any person or authority authorized by the Central Govt. by notification in the official Gazette to perform functions of the competent authority for such areas as may be specified in the notifications. For LA, the Act defines the various procedures as follows: (I) section 3A – intention of Central Govt. to acquire land, (ii) 3B - power to enter for survey, (iii) 3C - hearing of objections (iv) 3D - declaration of acquisition, (v) 3E - power to take possession, (vi) 3F - power to enter into the land where land has vested in the central government, (vii) 3G - determination of compensation and (viii) 3F - deposit and payment of the amount. The act requires that the processes must be completed within a year from 3A to 3D. Although NH act significantly reduces the timeframe for acquisition, the rules and principles of compensation have been derived from the LA Act of 1894. The Act covers only legal titleholders and provides for (i) market value of the land; (ii) additional amount for trees, crops, houses or other immovable properties; (iii) damage due to severing of land, residence, place of business.

Limitation of NH ACT:

• NH ACT does not include any non-titleholder with respect to entitlement matrix. • It provides compensation for the acquired properties & structures only • It does not specify loss of income due to the acquisition of commercial establishment & agricultural land. • It does not provide Economic Rehabilitation Grant to any vulnerable category.

Madhya Pradesh R&R Policy

Madhya Pradesh passed a law in 1985. This is known as ‘Madhya Pradesh Pariyojna Ke Karan Visthapit Vyakti (Punarsthapan) Adhiniyam, 1985. It was enacted purportedly to 'provide for the resettlement of certain persons displaced from lands which are acquired for irrigation projects, power projects or public utility projects and for matters connected therewith or incidental thereto'.

Some of the features of the Act are:

The Act recognizes that cash compensation alone is not sufficient and that more elaborate steps have to be taken to rehabilitate PAPs. It provides that the Rehabilitation Officer shall identify land suitable both for housing and for cultivation.

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36 Land for housing will be chosen in such a way as to ensure that the basic amenities like water and roads are provided. It provides that, if necessary, Government forestland shall be deforested and made available for cultivation. It provides for the preparation of a draft resettlement plan covering all aspects from identification of alternative land to the schedule of resettlement. The plan has to be finalized only after the oustees have been heard. The Collector has been entrusted with the task of constructing alternate resettlement sites and the government has been constrained to ensure that sufficient funds are made available to the former for the purpose.

Some of the shortcomings and inconsistencies in the Act are:

The term ‘displaced person’ has been defined as any tenure holder, tenant, Government lessee or owner of other property, who on account of the acquisition of his land or other property has been displaced from such property. There is no clarification as to the status of major sons or daughters. Hence, the risk of omission of deprivation of many a oustee of resettlement.

The provision of making forestland available (after deforestation) for cultivation violates the provision of the Forest Conservation Act, 1980 later amended in 1988. It prohibits the diversion of forestlands for non-forest use.

Section 17(2) of the Act provides for the compulsory acquisition of land for the purpose of resettlement, but subsequently in section 17(4), this is diluted by stating that excess land in the benefited zone in the command area of irrigation projects should be acquired as far as practicable.

Section 18 provides that compensation for the land acquired will be paid according to the provisions of the Land Acquisition Act, 1894 and will be adjusted towards the market value of the land allotted to the oustee. This is against the interests of tribal oustees, who generally reside in remote areas and whose land has little market value.

However, a project-specific resettlement framework has been prepared consistent with the existing norms and guidelines of the State Government and ADB policy on Involuntary Resettlement to cover losses and categories identified in this project. This framework reflects the borrowers land acquisition laws/ regulations, State Policy on resettlement and ADB’s policy on Involuntary Resettlement and other social safeguard guidelines. It stipulates eligibility and provisions for all types of losses (land, crops/ trees, structures, business/ employment and workdays/ wages). Since land-for-land may not be a feasible option, the APs will be compensated at full replacement costs. Affected families to be compensated by the Competent Authority, following the NH Act, 1956, for lost assets will also receive additional assistance such as shifting allowance, compensation for loss of workdays/ income due to dislocation.

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37 4.4. Compensation and Resettlement Assistance

In general terms, the affected persons in the project will be entitled to five types of compensation and assistance: (i) Compensation for loss of land, crops/trees; (ii) Compensation for structures (residential/commercial) and other immovable assets; (iii) Assistance for loss of business/wage income; (iv) Assistance for shifting; and, (V) Assistance for re-building and/or restoration of community resources/facilities. A detailed description of each compensation measures and assistance is provided in the entitlement matrix. The affected SBEs/households may be entitled to a combination of compensation measures and resettlement assistance, depending on the nature of ownership rights of lost assets and scope of the impact, including social and economic vulnerability of the affected persons.

The broad entitlement framework for the different categories of PAPs is presented below:

4.4.1 Agricultural titleholders

Land records in India are not updated properly, leading to complications in deciding the actual ownership, particularly the share of legal heirs of the titleholder. Therefore, one of the major areas where NGOs can effectively facilitate the work of land acquisition is updating of land records. To achieve this, NGO will undertake verification of land records followed by verification on the spot related to identified plots and owners.

Once the land records are updated, calculation of replacement value of land will be done by the following three methods and the highest value of the three shall be considered:

(i) Taking into account such prescribed rates or the average of the actual transaction rates of similar lands for contemporary years for which sale deeds are registered. (ii) Taking into consideration 20 times of the annual value of gross production of the concerned land, averaged over preceding five years. For this purpose, authentic secondary data from the district statistical Handbook, the data from the local agricultural produce samities, and agricultural department should be used. (iii) Fixing up market value of land equal to the minimum land value if so prescribed by the State Govt. under Indian Stamp Act for the purpose of registration of sale deeds under Indian Registration Act of 1908.

In cases where agricultural land has not been alienated but is being physically used for residential/commercial purpose including where plotting has been done for residential/commercial purpose, than the replacement value will be worked out on the basis of the transaction rates, provided the development of residential/commercial plots is in cluster. Isolated cases of alienation of agricultural land will not be considered as change in land use.

The replacement value for the land will be the highest of the values arrived by the above three methods. If the compensation decided by the competent authority is less than the replacement cost, the difference will be paid to the EP in the form of assistance.

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38 In some cases it may so happen that after acquisition the remaining plot of the EP may not be viable (the remaining land holding is below average land holding of the district). In such cases, the EP will have the option of either keeping the remaining land or getting the replacement value of the entire land, including the remaining unviable piece of land that shall also be acquired by NHAI. If EP is from vulnerable group, compensation for the entire land may be provided by means of land for land, if so wished by the EP, provided that the land of equal or more productive value is available.

The Agricultural titleholder EPs will also be entitled for the transitional allowance of Rs.2000 per month for 9 months if the land acquired is 75 % or more of the EPs land holding. In case where the land acquired is less than 75%, then the EP will be entitled for transitional allowance at the rate of Rs. 2000 for 3 months. In cases where a plot is in the name of two or three family members, then the transitional allowance will be distributed among them, as per the entitlement given above.

In case of severance of agricultural land, an additional grant of 10% of the amount will be paid to the titleholder.

If the titleholder EP becomes landless or falls below the Poverty line, then training would be provided for upgradation of skills @ Rs. 1500/= per family. Such EPs would also be provided one-time Economic Rehabilitation Grant (ERG) @ Rs. 3000/= per family, in the form of productive assets. From a titleholder household, only such families will be entitled for ERG and training, those who are actually dependent on the acquired piece of land. This information will be derived from the census survey undertaken by the Consultant/NGO during verification.

The absentee landlords will receive only the compensation at “replacement cost”.

In cases where, in the revenue records, the land is in the name of the head of the household, but actually possessed by some other member of the household, then the assistance amount (difference between the replacement value and compensation), transitional allowance, additional grant of 10% for severance (if applicable), and Training/ERG (if vulnerable) will be paid to the person who is actually loosing the land. In such cases though, as per revenue records, the compensation will be paid to the titleholder, but NGO will do the facilitation for convincing the titleholder to transfer the compensation amount to the person who is actually loosing the land.

In cases of disputes such as where land records are not updated/mutated or where the EPs are unable to produce the desired documents, then the compensation amount will be deposited with the competent authority till the disposal of the case.

All fees, taxes and other charges, as applicable under the relevant laws, incurred in the relocation and resource establishment will be borne by the project.

4.4.2 Non-agricultural Titleholders

The determination of replacement cost of the homestead/residential/commercial land will be done as per the procedure. The replacement cost of the residential or commercial structure (part or full), will be calculated as per the prevailing basic schedule of rates without depreciation, subject to relevant “quality standards” of BSR as maintained by Government/ Local Bodies/ Authorities. The evaluation of assets will be done by the

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39 NGO with the help of a registered Government approved valuer. If the compensation for the structures decided by the competent authority is less than the replacement cost, the difference will be paid to the EP in the form of assistance.

The EPs under this category will be given the transitional assistance of Rs.2000 per month in the form of grant to cover a maximum nine months rental accommodation. A lump sum shifting allowance will also be paid to the EPs. The EPs loosing temporary structures will be paid Rs.700, whereas those loosing semi-permanent and permanent structures will be paid Rs.1200 and Rs.2200, respectively. The EPs will have the right to take away the salvaged materials from the demolished structure. The absentee landlords will receive only the compensation at “replacement cost”.

All the EPs who loose their commercial properties (and hence their livelihood) would be provided training for upgradation of skills at the rate of Rs. 1500/= per family. Vulnerable persons amongst such EPs would also be provided one-time Economic Rehabilitation Grant (ERG) of Rs. 3000/= per family, in the form of productive assets.

In cases where the property is under mortgage, the outstanding amount will be paid to the lending agency from the entitlements due to this.

4.4.3 Tenants

The tenants will be compensated for any structure that they might have erected on the property of the landlord. They will also be paid the amount of deposit or advance payment paid by them to the landlord or the remaining amount at the time of expropriation. All such amounts paid to the tenants will be deducted from the payment due to the landlord. The tenants will also be entitled for a sum equal to nine months rental @ Rs. 2000/= per month in consideration of disruption caused to them. A lump- sum shifting allowance of Rs.800 will also be paid to them for shifting their assets. The figure for rental assistance has been worked out in consultation with the tenant APs, and as per the market scenario.

All the tenants whose livelihood activity is affected would be provided training for upgradation of skills at the rate of Rs. 1500/=. Vulnerable persons amongst such EPs would also be provided one-time ERG of Rs. 3000/=, in the form of productive assets.

4.4.4 Wage earners and Share-croppers

Wage earners and sharecroppers are whose livelihood is affected due to the displacement of the employer. Therefore, they will be paid a flat sum of Rs. 2000.00 as transitional assistance. If the wage earner is willing to undertake training for acquiring new skill or for upgradation of skills then he will be provided training @ Rs 1500/=. In cases of vulnerable groups, one time ERG of Rs. 3000/= will also be provided in the form of assets.

4.4.5 Encroachers

Encroachers will be notified in time, preferable two months in advance in which to remove their assets (except trees) and harvest their crops. The encroachers will receive no compensation for land. The vulnerable encroachers will be paid Compensation for

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40 structures at replacement cost, calculated by the method described above. All the encroachers will have right to salvage their materials from the demolished structures.

All the encroachers, whose commercial structures are demolished for the project, would be provided training for upgradation of skills at the rate of Rs. 1500/=. Vulnerable persons amongst such EPs would also be provided one-time ERG of Rs. 3000/=, in the form of productive assets.

4.4.6 Squatters

The squatters will receive no compensation for land. They will, however, be Compensated for loss of structures at replacement cost. A lump sum shifting allowance will also be paid to the squatters. The EPs loosing temporary structures will be paid Rs.700, whereas those loosing semi-permanent and permanent structures will be paid Rs.1200 and Rs.2200, respectively. The EPs will have the right to salvage their materials from the demolished structure. The EPs under this category will also be given a lump-sum transitional assistance of Rs.2000.

All the squatters, whose commercial structures are demolished for the project, would be provided training for upgradation of skills at the rate of Rs. 1500/=. Vulnerable persons amongst such EPs would also be provided one-time ERG of Rs. 3000/=, in the form of productive assets.

4.4.7 Kiosks

Ambulatory vendors will be considered as kiosks. They will receive lump sum shifting assistance of Rs. 2000.00

4.4.8 Common Properties

During the design phase, all efforts have been made to avoid acquisition of common properties. However, in unavoidable cases, some common properties need to be acquired for the project. All such properties that can be replaced, will be relocated at a nearest available site, in consultation with the local communities. The loss of common properties, like forest areas, which are impossible to relocate, will be compensated as per the established Government procedures. Efforts will be made to enhance the relocated common properties, and also other such properties abetting the highway.

In case where common properties are to be located with assistance from local bodies there NHAI will provide replacement cost of the common properties to these bodies. NHAI will also ensure that both Supervision Consultants and Contractors give utmost priority to the preparation of the drawings and construction of CPRs.

4.5 Disposal of Acquired Properties and Eviction of the SBEs / households

The acquired land and properties would vest with the project paying compensation for such lands / properties. However, the APs will be allowed to take away the materials salvaged from their houses and shops etc. A notice to that effect will be issued to take away the materials so salvaged within 48 hours of their demolition. If the material is not removed within the stipulated time, then the project authority without giving further notice will dispose the same.

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After the expiry of the deadline, NHAI can take action to demolish structures on the project corridor of impact. NHAI can also evict structures on the corridor of impact if it is established that those were constructed on the ROW after the “cut-off” date. Any grievances and objections will be referred to the Grievances Redressal Committee.

4.6. RESETTLEMENT SITE

Following procedure will be adopted for selection and development of the resettlement site.

1. All the displaced titleholders and squatters loosing residential/commercial properties may opt for resettlement sites. The PDPs will be resettled preferably in a place close to the area where they were residing prior to the project. The resettlement plan will address the requirement for residential plots of all squatters. This will be implemented on the basis of providing options for relocation which include: option 1. Squatters may choose self- relocation with compensation for their structures and related assistance and, option 2. for squatters who are unable to self- relocate, PIU/NGO will examine on a case by case basis each households access and ability to find appropriate replacement land for dwelling and if they are unable to find or afford land themselves, then NHAI will provide the required suitable land for this purpose. 2. In case the group has already identified a potential site, NGO shall visit the site along with representatives of the community for assessing the adequacy and suitability of the site. NGO shall also collect information regarding its title and availability from local revenue department. In case the identified land is government/community land, NGO shall have to obtain No Objection Certificate from Revenue Dept. 3. NGO will also collect information on Government/community land available in the vicinity of project road, from the office of Circle Officer/ Circle Inspector. 4. NGO shall prepare a consolidated village wise list of government and community land. For relocation of PDPs, NGO shall ensure that PDPs are relocated along with their peers so as to maintain the existing social fabric. 5. The size of the plots will be equal to 35 Sq. mtr. for houses and 15 Sq. mtr. for shops.

6. Site selection will be assisted from the point of view of the impact on host communities. Issues like land quality, carrying capacity of the site, common property resources, social infrastructure will be considered for selection of the site. 7. Prior to acquisition of the land, a resettlement plan will be developed and the consent of the PDPs will be taken in writing. 8. In case where government land is not available the certificate for the same will be obtained from the District Collector and then NHAI will purchase land for development of resettlement site/shopping complex.

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42 9. At the new settlement centers, civic amenities like drinking water, internal link roads, drains, electricity will be provided along with any other amenities with PDPs had at their abandoned place. Any facilities provided by the Govt. & all common resources properties being availed by the displaced and affected persons prior to the project will as far as possible be provided/continued at Government cost at the new place of their resettlement or at the old place, as the case may be. 10. If the construction of shops/houses at the resettlement sites is done through NHAI, then NGOs will facilitate the process of arranging loans for PDPs through financial institutions for meeting the expenditure of the houses/shops over and above the entitlement amount. The financial institution will provide loan to the individual PDPs, and the loan recovery will be done by the institution, as per the arrangement agreed between the PDPs and the financial institution.

11. The other option will be to do the plotting on the resettlement site and providing infrastructure facilities as given in para…… The construction of house and shops will then be left the PDPs. NGO will facilitate the process of arranging loans through financial institutions for the PDPs. 12. Once the site is developed, then the houses/shops/plots will be distributed to the PDPs on the basis of local draw in presence of EPs. 13. As a yet another alternative, wherever possible, PDPs may be resettled in colonies being developed by local Government agencies. In this case also the additional amount over and above the entitlements may be borrowed by the PDPs from the financial institutions with the help of the NGOs.

14. As described above, plots for houses/shops at the new resettlement sites will be provided to the PDPs on payment basis except for the vulnerable person. The allotment of plot for house/shop will be in the joint name of husband and wife. Cost of registration to that effect would be borne by the project authority. 15. Customary right and land tenure system of the tribal PDPs and APs would be protected. 16. Any facilities provided by the Govt. & all common resource properties being availed by the displaced and affected persons prior to the project will as far as possible be provided/continued at project cost at the new place of their resettlement or at the old place, as the case may be. All resettlement planning would consider increased costs resulting from relocation. Such cost may be related to changes in occupation, absence of subsistence crops transportation.

4.7 Entitlement Matrix

The Entitlement Matrix provides category-wise details regarding the entitlements in relation to the R&R principles enumerated above. The following table presents the entitlement matrix for the project:

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43 Table no. 4.1: Detailed Entitlement Matrix

S.No Category Type of Loss Unit of Entitlement Details Entitlement 1A Private Agricultural Titleholder Compensation 1. If the replacement cost (determined as per para 5.7.1 of the policy framework) is more than the Property land and at compensation, as determined by the Competent Authority, then the difference is to be paid by assets the project in the form of “assistance”. “replacement 2. If the residual plot(s) is (are) not viable, i.e., less than average land holding of the district, the cost” or following options will be given to the EP. “actual market • The EP keeps the remaining land, and the compensation and assistance is paid to the EP for value” the land to be acquired. • Compensation and “assistance” are given for the entire plot including residual plot, if the owner of such land wishes that the project authority should also acquire his residual plot. The project authority will acquire the residual plot so paid. • If EP is from vulnerable group, compensation for the entire land is by means of land for land if so wished by EP provided that the land of equal or more productive value is available. 3. Transitional allowance of Rs.2000 per month for 9 months if the residual land is not viable (less than average district holding or land acquired is 75% or more of the total land holding of the titleholder)or for 3 months if the residual land is viable 4. In case of severance of agricultural land, an additional grant of 10% of the amount paid for land acquisition. 5. All fees, taxes and other charges, as applicable under the relevant laws, incurred in the relocation and resource establishment, are to be borne by the project. 6. If the EP becomes landless or falls below the Poverty line, then: • Training would be provided for up-gradation of skills @ Rs. 1500/= per family • Such EPs would be provided one-time Economic Rehabilitation Grant @ Rs. 3000/= per family, in the form of productive assets 1B Private Non- Titleholder / Compensation at 1. EP will be provided replacement cost of the residential structure (part or full), which will be Property agricultural owner: “replacement calculated as per the prevailing basic schedule of rates without depreciation, subject to relevant land and Residential cost” “quality standards” of BSR as maintained by Government/Local Bodies Authorities. assets 2. Compensation for the loss of residential land will be paid at replacement value 3. If replacement cost is more than the compensation (as determined by the Competent Authority), then the difference is to be paid by the project in the form of “assistance”. 4. Transitional assistance of Rs.2000 per month in the form of grant to cover a maximum nine months rental accommodation. 5. A lump sum shifting allowance of Rs.700 for temporary, Rs.1200 for semi-permanent and Rs.2200 for permanent structures. 6. Absentee landlords will receive only the compensation at “replacement cost”. 7. Right to salvage materials from the demolished structure. Titleholder / 1. EP will be provided replacement cost of the commercial structure (part or full), which will be owner: calculated as per the prevailing basic schedule of rates without depreciation, subject to relevant Commercial “quality standards” of BSR as maintained by Government/Local Bodies Authorities. 2. Compensation for the loss of commercial land will be paid at replacement value 3. If replacement cost is more than the compensation (as determined by the Competent Authority), then the difference is to be paid by the project in the form of “assistance”.

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44 S.No Category Type of Loss Unit of Entitlement Details Entitlement 4. Transitional assistance of Rs.2000 per month in the form of grant to cover a maximum nine months rental accommodation. 5. A lump sum shifting allowance of Rs.700 for temporary, Rs.1200 for semi-permanent and Rs.2200 for permanent structures. 6. Absentee landlords will receive only the compensation at “replacement cost”. 7. Right to salvage materials from the demolished structure. 8. Training would be provided for upgradation of skills @ Rs. 1500/= per family 9. Vulnerable EPs would be provided one-time Economic Rehabilitation Grant @ Rs. 3000/= per family, in the form of productive assets Tenant: 1. The amount of deposit or advance payment paid by the tenant to the landlord or the remaining Residential amount at the time of expropriation. (This will be deducted from the payment to the landlord). 2. A sum equal to nine months rental @ Rs. 2000/= per month in consideration of disruption caused. 3. Compensation for any structure the tenant has erected on the property. (This will be deducted from the payment to the landlord). 4. Shifting allowance of Rs.800 lump sum for shifting. Tenant: 1. The amount of deposit or advance payment paid by the tenant to the landlord or the remaining Commercial amount at the time of expropriation. (This will be deducted from the payment to the landlord). 2. A sum equal to nine months rental @ Rs. 2000/= per month in consideration of disruption caused. 3. Compensation for any structure the tenant has erected on the property. (This will be deducted from the payment to the landlord). 4. Shifting allowance of Rs.800 lump sum for shifting. 5. Training would be provided for upgradation of skills @ Rs. 1500/= per family 6. Vulnerable EPs would be provided one-time Economic Rehabilitation Grant @ Rs. 3000/= per family, in the form of productive assets 2 Others 2A Livelihood Wage earners Individual Lump sum They will be paid a flat sum of Rs. 2000.00 as transitional assistance. Training would be provided for upgradation of skills @ Rs. 1500/= Vulnerable EPs would be provided one-time Economic Rehabilitation Grant @ Rs. 3000/=, in the form of productive assets 2B Non-perennial Family Notice to harvest They are entitled to be given a notice substantially 4 months in advance. corps standing crops Grant towards crop lost before harvest due to forced relocation, equal to market value of crop lost plus cost of replacement of seeds for the next season’s harvest. 2C Perennial Family Compensation at Compensation for perennial crops and trees, calculated as annual produce value for one season. crops such as “market value” fruit trees 3 Illegal Use of the ROW 3A Illegal use of Encroachers Family Will receive no 1. Encroachers will be notified in time in which to remove their assets (except trees) and harvest the ROW compensation for their crops. land but 2. Compensation for structures at replacement cost to the vulnerable person. assistance for 3. Training would be provided for upgradation of skills @ Rs. 1500/= per family to the EPs loosing assets to the commercial activities vulnerable 4. Vulnerable EPs loosing commercial activities would be provided one-time Economic Rehabilitation Grant @ Rs. 3000/= per family, in the form of productive assets 5. Right to salvage materials from the demolished structure.

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45 S.No Category Type of Loss Unit of Entitlement Details Entitlement 3B Squatters Family Will receive no 1. Compensation for loss of structure at replacement cost. compensation for 2. A lump sum shifting allowance of Rs.700 for temporary, Rs.1200 for semi-permanent, and land but Rs.2200 for permanent structures. assistance for 3. Transitional allowance @ Rs.2000 per family lump sum. assets. 4. 3. Training would be provided for upgradation of skills @ Rs. 1500/= per family to the EPs loosing commercial activities 5. Vulnerable EPs loosing commercial activities would be provided one-time Economic Rehabilitation Grant @ Rs. 3000/= per family, in the form of productive assets 6. Right to salvage materials from the demolished structure. 3C Shifting Mobile and Family They are not Ambulatory vendors licensed for fixed locations will be considered as kiosks. Business ambulatory eligible for They will receive lump sum shifting assistance of Rs. 2000.00 vendors compensation or (Kiosks) “assistance” 4. Community Common Community Conservation, Easily replaced resources, such as cultural properties will be conserved (by means of special infrastructure, property protection, protection, relocation, replacement, etc.) in consultation with the community. cohesion and resources compensatory Loss of access to firewood, etc. will be compensated by involving the communities in a social amenities replacement forestry scheme, in co-ordination with the Department of Forests, wherever possible. Adequate safety measures, particularly for pedestrians and children; Landscaping of community common areas; improved drainage; roadside rest areas, etc. are all provided in the design of the highways. Employment opportunities in the project, if possible. Loss of trees will be replaced by compensatory afforestation. 4 A Any other Unforeseen impacts will be documented and mitigated based on the principles agreed upon in this impact not yet policy framework. identified, whether loss of asset or livelihood

Note on Amola Village: Amola village will be submerged due to Madikhera Dam being constructed by the Irrigation Department. This village will also be affected marginally due to widening of the project road. The project-affected families of Amola have already been included in the RP entitlement matrix. However, if there is any displacement due to the project road widening, they will be resettled in consultation with the irrigation department. The issue would be further reviewed during implementation.

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5

PUBLIC CONSULTATION & PARTICIPATION

5.1 Introduction

Public participation was undertaken to make explicit the social factors that will affect the development impacts of planned highway improvements and mediate project results. Through public participation, stakeholders and key social issues were identified and strategy was formulated. It included socio-cultural analysis and design of social strategy, institutional analysis and specifically addressed the issue of how poor and vulnerable groups may benefit from the project.

Experience indicates that involuntary resettlement generally gives rise to severe problems for the affected population. These problems may be reduced if, as a part of RP implementation, people are properly informed and consulted about the project, about their situation and preferences, and are allowed to make meaningful choices. This serves to reduce the insecurity and opposition to the project which otherwise are likely to occur.

The project will therefore ensure that the affected population and other stakeholders are informed, consulted, and allowed to participate actively in the development process. This will be done throughout the project, both during preparation, implementation, and monitoring of project results and impacts.

During implementation and monitoring stage, information will be disseminated to project affected persons and other key stakeholders in appropriate ways. This information will be prepared in and local languages as required, describing the main project features including the entitlement framework. Consultation will be carried out in ways appropriate for cultural, gender-based, and other differences among the stakeholders. Where groups or individuals have different views/opinions, particular emphasis will be laid on the views and needs of the vulnerable groups.

5.2 Method of Public Consultation

Public consultations in the project area were held at village and Panchayat level. The following methodology has been adopted for carrying out public consultations in this project:

• Disseminating information and requesting villagers to attend the public consulting meetings. • Sharing the opinions and preferences of the APs. • Involving the APs in decision-making including RP implementation.

The different techniques of consultation with stakeholders were used during project preparation, viz., in-depth interviews, public meetings, group discussions etc. To understand the socio-economic profile of the society, questionnaires were designed 46

and information was collected from the individuals on one-to-one basis. The consultations have also been carried out with special emphasis on the vulnerable and women groups. The key informants during the project preparation phase included both individuals and groups namely:

• Head and members of the Households likely to be affected. • Groups/clusters of APs. • Village Panchayats: Sarpanch and members. • Local voluntary organizations and NGOs. • Government agencies and departments. • Other project stakeholders with special focus on women and PAPs belonging to the vulnerable group.

The various levels at which the consultation were held is shown in figure-5.1:

Figure-5.1: Various Level of Consultation

Various levels of Consultations

Local /village level Target group-Women folk District Level -SC/ ST -Other vulnerable

Panchayat Level Block Level

5.3 Consultation Prior to Resettlement

Preliminary discussions were conducted by the consultant through Group Discussions (GDs) and mass meetings with the APs as well as the general public in the villages and towns.

Methods used for local level consultations

• Individual household level consultation as part of census and socio- economic survey. • Group discussions with men and women group separately. • Formal public consultations involving all the sections of the society at strategic location, which includes group discussions with shopkeepers/traders, squatters, residential affected persons, land affected persons etc.

At the village / block level, PAPs and local public representatives had been 47

consulted. During the consultations, efforts were made to:

• Understand the views of the people affected, with reference to acquisition of land and selection of alignment of the bypass.

• Understand views of people on Resettlement options and Rehabilitation, R&R issues and Land Acquisition Act / Procedure.

• Identify and assess all major economic and sociological characteristics of the villages to enable effective planning and implementation;

• Resolve issues related to the impacts on community property and relocation of the same.

• Examine PAPs’ opinion on road safety issues and selection of locations of pedestrian crossings, underpasses / overpasses.

• Identify people's expectations regarding public conveniences and roadside amenities such as segregated median along the bypass.

• Perception of community on environmental issues / environmental enhancements and highway related diseases.

• Identify levels and extent of community participation in project implementation and monitoring.

• Finally, to establish an understanding for identification of overall developmental goals and benefits of the project.

GDs were conducted primarily in settlements with problems of traffic congestion, intense squatting, and multiple intersections closely located, major road intersections and with high concentration of APs. Public consultations were held with large number of people in every affected village during the survey and suggestions and comments of APs have been incorporated in the project design as far as possible keeping in view the technical feasibility. All issues raised during public consultation has been dealt with and incorporated in relevant chapters.

5.4 Key findings of the consultation

Major findings related to key issues such as: general perception about the project, suggestions to mitigate hardships resulting from dislocation and loss of livelihood are presented below.

• Many people were not aware about the project. • People were convinced about the importance of four-laning of the national highways in their region since it will reduce the incidence of accidents and enhance economic opportunities. • People consented to cooperate if adequate compensation is given. • Most people preferred to resettle near their previous place of business and residence. • Cultivators prefer cash compensation at market rate. Land for land option was least preferred.

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• Requests for facilities and amenities like underpasses, by passes, auto stand and safer accessibility at points of congestion and intersections. • On site relocation for small business enterprise within the ROW at the edges of the carriageway were suggested. SBEs are not interested to relocate at far-off locations from their present site. They perceive low business growth at such locations. However, SBEs suggested relocation within 2-3 km from their present business site. • Overall people were not opposed to their relocation. • APs suggested local representation in the Grievance Redressal Committee. • People came forward with suggestions on construction of bypasses at Shivpuri and Madav National Park, service roads at Kharai, Dinara and Raksha, and other social amenities such as bus bays at 20 different locations for the villagers to catch buses and other modes of transport. • Panchayat officials came forward to provide information about government schemes such as Swarn Jayanti Swa Rojgar Yojana, etc. for income restoration of the affected persons. • APs wanted to know about the exact period when the work will start. • People requested about creation of employment opportunities during road construction and later phases of the project. • Some of them asked about the tender of the construction, as they were willing to be part of it. • Some participants opined that four lane is not essential as high-speed vehicle will cause more accidents. • People suggested adequate safety measures should be provided such as speed breakers, signage’s etc. near the inhabited area.

Details of the outcomes of village and Panchayat level consultations are given as annex in Volume-II.

5.5 Continuation of Public Consultations

The effectiveness of the R&R program is directly related to the degree of continuing involvement of those affected by the project. During the preparatory stage, consultations were held at local level as documented above. Several additional rounds of consultations with APs have been planned in the action plan through partner NGO during RP implementation. Consultations during RP implementation will involve agreements on compensation, assistance options, and entitlement package and income restoration. The other round of consultations will occur when compensation and assistance are provided and actual resettlement begins.

Information Disclosure is pursued for effective implementation and timely execution of RP. For the benefit of the community in general and APs in particular, RP and R&R policy will be translated in local language (Hindi) to be kept at:

• Panchayat level • Block Development Office • Tehsil Office • District Magistrate Office

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• PIU Office

The PIU offices will provide information on R&R policies and features of the rehabilitation action plan to the people in continuous manner. For continued consultations, following steps have been envisaged in the project:

• The NGOs to be involved in implementation of the RP will organize public meetings and will appraise the communities about the progress in the implementation of R & R works. • There will be Grievance Redressal Committees (GRCs) for each district. The PAPs will be associated with such committees (each of the committees will include representative of the PAPs). • The resettlement sites, and other amenities and facilities to be made available to the PAPs will be decided in consultation with the communities. • The NGOs will organize public meetings to inform the community about the compensation and assistance to be paid. Regular update of the progress of resettlement component of the project will be placed for public display at the PIU office. • All monitoring and evaluation reports of the R & R components of the project will be disclosed in the same manner as that of the RP report suggested above. • Key features of the entitlements will be displayed in billboards on the project corridor. • Together with the NGO, PIU will conduct information dissemination sessions in major intersections and solicit the help of the local community/business leaders to encourage the participation of the APs in RP implementation. • Attempt to ensure that vulnerable groups understand the process and their needs are specifically taken into consideration.

For effective implementation of RP it is essential to involve communities and APs in the process. The mechanism of involving APs, NGOs, Host population, Project and local officials is suggested below:

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5.5.1 Mechanism for Continued Participation

Project APs NGOs Host Project and local Stage Officials Planning • Participate in public • Assist in impact • Provide information on • Provide information on meetings assessment various aspects of AP skills etc. • Identify alternatives to • Assist in census and host communities • Suggest ways to avoid or minimize SE survey • Assist in data minimize impacts displacement • Participate in collection and design • Indicate local staff and • Assist in developing coordination • Provide inputs to site budget capacity for and choosing committee selection relocation alternative options for • Participate in group • Identify possible • Assist NGO in relocation and income meetings conflict areas with APs information generation • Design and implement • Identify social and dissemination • Help to choose information campaigns cultural facilities • Participate in resettlement sites • Support group needed at consultations • Participate in survey formation, problem resettlement sites • Examine the feasibility • Provide inputs to identification and • Assist in identification of IG discuss with APs entitlement provision planning for APs and of income generating • Help documentation • Assist in preparation hosts, (IG) schemes and consultations. of action plan • Suggest mechanism • Provide inputs for • Suggest mechanism for grievance design of IG schemes for grievance redressal of conflict • Help develop a redressal resolution process of • Conflict resolution and • Assist in preparation consultation between participate in of action Plan hosts and APs grievance redressal • Suggest mechanism • Participate in for grievance coordination redressal and conflict committee resolution Implementati • Participate in • Provide ongoing • Assist APO in • Process IG proposals on implementation information for PAPs relocation • Participate in support activities and hosts • Manage common grievance redressal • Participation in local • Support in group property at site • Provide assistance decision making management • Participate in local under local schemes activities • Monitor entitlement committees • Participate as member • Decide on provision by • Assist APs in of implementation management of implementation of IG integration with hosts. committee common properties schemes. • Assist APs in use of • Participate in • Training to eligible new production grievance redressal PAPs system mechanism • Support to vulnerable • Use established • Monitor provision of groups mechanisms for entitlements • Evaluate community grievance redressal • Labour and other participation inputs at site • Provide advice on • Credit and other group grievance redressal scheme management • O&M of sites and project inputs • Members of implementation committee M&E • Participate in • Provide information to • Provide inputs to M&E • Ongoing interaction grievance tribunals project staff on of R&R with PAPs to identify • Report to PD on IG vulnerable groups problems in IG schemes • Act as M&E agency programme • Report on service for project • Participant in quality of sites • Act as external correctional strategies. monitors for project (where not previously involved)

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5.6 RP Public Disclosure

The Draft Resettlement Plan has been disclosed to the affected persons and other stakeholders on 27th June 2003 for review and comments on various mechanisms and entitlement suggested for the implementation of the RP. Intention of this procedure was to receive comments from the APs in particular so as to incorporate the appropriate suggestions albeit technically feasible. NHAI will conduct an IEC workshop in Shivpuri at the office of DC to be attended by various stakeholders. The RP was translated into Hindi and placed at various public places listed in subheading 5.5. Meanwhile NHAI would organize further public consultation meetings and workshops in sections I, II, III separately to share the views of public on the RP for all possible clarifications. Concerns, raised, would be addressed appropriately by adjusting the road design and improved compensation and resettlement policy measures and entitlements.

5.7 Information Campaign & Future Plans

APs will be invited to the proposed redressal system for a quick, inexpensive and amicable settlement of claims. They will also be advised to get their records of rights updated. All possible efforts will be put forth to motivate the affected landowners and structure owners for a voluntary and amicable settlement of their claims outside the court.

Most of the issues will be settled out of court as far as possible. Handouts will be distributed by NGOs among all the affected person highlighting the prospects of amicable settlement of disputes outside the court, speedy and at lesser expense along with the timetable of inquires and spot inspections of the committee. Besides, public announcements will be made in affected areas. Press notes will be released in local newspapers to aid publicity.

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6

INSTITUTIONAL FRAMEWORK AND GRIEVANCE REDRESS MECHANISM

6.1 Introduction

Institutions for planning & implementation of RP vary substantially in terms of their respective roles & capacity. Timely establishment & involvement of appropriate R&R institutions would significantly facilitate achievement of objectives of the R&R programe. The main R&R institution would include: - NHAI - Local Administration - Line departments - NGO - DLC/GRC - Training Institutions - M&E Agency 6.2 Resettlement Institutions and Framework NHAI has an Environmental and Social Development Unit (ESDU) at the corporate level. The ESDU at apex level has overall responsibility for policy guidance, coordination and planning, internal monitoring and overall reporting. The ESDU headed by General Manager (GM) (Environment), has one Deputy General Manager (DGM) (Environment) and one R&R Manager. An Independent Monitoring and Evaluation Agency would be appointed which will work in close association with ESDU/PIU. One Project Implementation Unit (PIU), headed by one Project Director (GM/DGM Level officer) at Jhansi would be set up. Two Resettlement and Rehabilitation officers (Technical Manager), one responsible for Shivpuri & Datia districts and the other for Jhansi will support the PD. Independent Monitoring and Evaluation Consultants will also be hired and engaged by March 2004 to monitor and evaluate the implementation of RP independently. Three NGOs would be selected to work in close association with the Project Implementation Unit for smooth functioning of RP implementation, R& R, providing livelihood solutions, training/ up gradation of skills and providing preventive measures for HIV/AIDS etc.

6.3 The Process

NHAI will initiate the following activities to commence and implement the RP:

• Establish PIU and field offices by October 2003; • Select NGO by Dec.2003 with proven track records for the smooth implementation of R&R activities as stated; • Orientation and awareness seminars for project implementation Unit (PIU).

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• Appointment of external monitoring and evaluation consultants by March 2004.

Effective RP implementation will require institutional relationships & responsibilities, rapid organizational development & collaborative efforts by NHAI, state govt. & partnering NGO. The ESDU will establish operational links within NHAI (for e.g. finance for release of money on approval of micro plan) & with other agencies of govt. involved in project induced settlement. It will provide means & mechanism for coordinating the delivery of the compensation & assistance entitled to those who will suffer loss. On behalf of NHAI, ESDU will assure the responsibility for representing the social impact & resettlement component of the project. The ESDU will also be responsible for disseminating the information to the public & providing additional opportunities for public comment.

The ESDU at the apex level will have overall responsibility for policy guidance, coordination, and contingency planning, monitoring and overall reporting during RP implementation. .

The Organogram for the R&R cell is given in Figure no.6.1:

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Figure 6.1: The Organogram for R&R cell will be as follows:

Member

Chief General Manager

General Manager ESDU

Manager (R&R) Manager (Environment.)

Independent M &E Project Director PIU, Agency Shivpuri & Jhansi

District Rehabilitation NGO’s (3) Officer, Jhansi

District level Committee, Shivpuri & Jhansi

Grievance Redressal Committee

Project Affected Persons (PAPs)

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6.4 Roles and Responsibilities The role and responsibilities of the various offices in R&R implementation is presented below: At Corporate Level

The Chief General Manager (CGM) In-charge of overall project activities; Participate in the State Level Committees to facilitate land acquisition, pre- construction activities and implementation of R&R activities. ESDU-General Manager shall

• Co-ordinate the implementation of R&R activities with corporate and field staff; • Appoint NGO for R&R implementation and M&E consultants for monitoring and evaluation; • Plan and conduct training programs for staff capacity building as well as capacity of field level NGOs and partner agencies; • Review the micro plans prepared by the NGO; • Review monthly progress report; • Monitor the progress on R&R and land acquisition; • Advice PIU/NGO/M&E Agency on policy related issues during implementation; and • Ensure early release of money to PIUs for R&R activities.

6.4.1 Project Implementation Unit (PIU)

This unit will coordinate the process for land acquisition. Relocation and rehabilitation, distribution of project provided assistance and APs access to government programs. Three NGO would be selected who would be working in close association with the Project Implementation Unit.

RP Implementation Field Offices and Tasks

The PD-PIU will be responsible to carry the following task concerning resettlement of the project:

• Overall responsibility of Implementation of R&R activities of RP; • Responsible for land acquisition and R&R activities in the field; • Ensure availability of budget for R&R activities; • Liaison with district administration for support foreland acquisition and implementation of R&R; and • Participate in the district level committees.

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District R3esettlement and Rehabilitation Officer (DRRO)

• Co-ordinate with district administration and NGO for land acquisition and R&R; • Translation of R&R policy in local language; • Prepare pamphlets of the policy; • Printing of the policy and identity cards for the APs; • Ensure the development of resettlement sites, wherever required; • Participate in the allotment of residential, commercial and agricultural plots; • Liaison with district administration for dovetailing government’s income generating and developmental programs for the APs; • Ensure the inclusion of those APs who may have not been covered during the census survey; facilitate the opening of joint accounts in local banks to transfer assistance for R&R for PAFs, and organize the disbursement of cheques for assistance in the affected area in public; • Monitor physical and financial progress on land acquisition and R&R activities; • Participate in regular meetings; • Organize Bi-monthly meetings with the NGO to review the progress on R&R; and • Review micro plan & monthly reports submitted by NGO.

NGO will be principally responsible for the day-to-day implementation work.

• Survey and verification of the PAFs; • Verification of land records followed by verification on the spot related to identified plots and owners; • Develop rapport with the APs; • Photograph of each AP for ID cards; • Assist to issue identity cards to the PAFs; • Co-ordinate with the DRO to implement R&R activities; • Conduct market feasibility study; • Valuation of properties/assets for finalization of replacement value; • Participate with the DRO to undertake public information campaign at the commencement of the projects; • Distribute the pamphlets of R&R policy to the APs; • Assist the APs in receiving the compensation; • Facilitate the process of arranging loans for PDPs • Facilitate the opening of joint accounts • Generate awareness about the alternate economic livelihood and enable the PAFs to make informed choice; • Prepare micro-plans for R&R; • Enable the PAFs to identify the alternate sites for agriculture, residential and commercial plots; • Participate in the consultation on allotment of shops and residential plots; • Ensure the APs have received their entitlements; • Ensure the preparation of rehabilitation sites; • Participate in the meetings organized by the PIU;

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• Submit monthly progress reports; • Identify training needs and institutions for the APs for income generating activities; • Participate in the disbursement of cheques for the assistance at public places; • Coordinate the training programs of the APs for income generating activities; • Coordinate the meeting of District Level Committees; • Accompany EP to GRC; • Awareness campaigns for highway related diseases; and • Ensure the AP judiciously uses compensation and R&R assistance.

District Level Committee (DLC)

RP will be implemented through District Level Committees that will be established in each district i.e. Shivpuri and Jhansi. The committee would include District Magistrate or his representative, District Land Acquisition Officer, Pradhans of Panchayat Samities, representative of affected villages including women, representative of revenue department, line departments, PWD, people’s representatives, NGO and representatives of affected population. The formation of DLCs would be facilitated by NGOs. . The functions of the DLC will be as follows: (i) to meet regularly to review the progress of land acquisition/ R&R; (ii) approval of the micro-plan on the basis of methodology defined in the RP; and (iii) facilitate the implementation of the RP programs in the project-affected area.

The DLC would also: (i) meet regularly at pre-decided dated specifically for grievance redressing purpose; (ii) help in amicable settlement of disputes at community level; (iii) carry forward the ones which are not reconciled to the Grievance Redressal Committee (iv) coordination with local govt. authorities & field offices.

6.5 Coordination with Other Agencies and Organizations

R&R Cell will establish networking relationships with line departments and other govt. & non-govt. organizations. The Revenue Department has an influencing role in Land Acquisition proceedings, and initiation of resettlement process. Unless the compensation process is prompt and efficient, implementation process will get delayed. R&R Cell will coordinate with the Project Land Acquisition Officer to expedite the land acquisition process.

Income restoration will be sole responsibility of the Project Authority. NGO will facilitate linkages to be established with the agencies implementing centrally sponsored poverty alleviation programs to restore the income of APs.

Restoration of community assets such as handpumps, borewells will require help from PHED. NHAI will extensively work on developing lateral linkages for mobilization of resources to benefit the APs and to achieve the desired results expected from implementation of RP. 58

The Revenue Department is responsible for providing land records, acquiring land and other properties and handing them over to the proper authorities. The District Rural Development Agency (DRDA) will extend the IRDP and other developmental schemes to include the APs. The representative of these departments/agencies will be in contact with the R&R Cell, which will facilitate the integration of the various agencies, involved in the R&R process.

6.6 NGO Participation

Need for NGO: Involuntary resettlement is a sensitive issue and experience in R&R matters will be required by the PIU, R&R Cell. A good rapport with the affected community will facilitate a satisfactory R&R of the APs and minimize disturbance particularly physical and economic. To overcome this deficiency, experience and well-qualified NGO in this field will be engaged to assist the NHAI in the implementation of the RP. Three NGOs will be hired, two for RP implementation and one for HIV/AIDS, women trafficking etc. The third NGO should have core competence in addressing social issues such as HIV/AIDS; child labour, women empowerment, anti- trafficking and other right based issues.

The NGO, in this sense, will have to ensure that the due entitlements flow to the APs in the most effective and transparent manner. The success of the NGO inputs will largely depend on their liaison with the APs and other concerned government agencies. Other involved agencies are expected to collaborate with Project, based on instructions from the NHAI, in accordance with the policy framework and the RP. These arrangements have to be made during the first month of Project implementation in order to set up the various committees and implementation mechanisms required for the project.

Role of NGO: The role of NGO would be of a facilitator. The NGO will work as a link between the PIU - R&R Cell and the affected community. They will educate the APs on the need to implement the Project, on aspects relating to LA and R&R measures and ensures proper utilization of various compensations extended to the APs under the R&R entitlement package. After the approval of the microplans, the NGO will issue identity cards to the entitled persons.

NGO Consultancy will be to facilitate the resettlement process. Its broad objectives will be to:

• Build rapport with APs & PIU • Educate APs on their rights, entitlements, and obligations under the RAP; • Ensuring that APs receive their full entitlements; • Where options are available, the NGO shall provide advice to APs on relative benefits of each option; • Assist APs on grievance redressal through the established system; • Collect data as required to help PIU to monitor and assess progress;

Briefly, its activities will be to:

• Develop rapport between the APs and the NHAI; • Develop project level plans for R&R in consultation with the APs and communicate same to NHAI; 59

• Explain to the APs about the options available for their land and properties acquired for the Project; • Assist the APs to identify suitable land for agricultural purposes; • Assist NHAI in making arrangements for the smooth relocation of the APs; • Ensure proper utilization by the APs of various compensations available under the R&R package; • Assist the APs in getting benefits from various government development programs; • Help the APs in the redressal of their grievances at the Grievance Redressal Committee; • Train the APs, if necessary, in acquiring literacy and income- generation related schemes; • Provide appropriate field staff; and • Any other responsibility that may be assigned by the NHAI for the welfare of the affected communities.

In assisting the APs to choose among different options available to them, analysis must first be made of likely benefits and potential risks for each of the options. Conducting this analysis is the responsibility of the NHAI, in collaboration with the agencies (government or NGO) engaged in implementing the various activities. Following such an analysis, the risks and benefits shall be explained to the APs and sufficient time given to them to make an informed choice.

In choosing between different options, whether it is cash compensation or various rehabilitation schemes, the NHAI shall make use of the baseline socio-economic survey data, and ensure that those APs considered vulnerable are encouraged to choose the options entailing the lowest risk.

As a general principle for the RP, individual APs will be monitored to ensure that are able to regain or improve their former socio-economic status and quality of life. If it becomes clear that the assistance given under the Project is insufficient to obtain this goal within the life of the resettlement program, then consideration should be given to whether additional assistance or support towards different activities need be given.

In order to carry out such tasks, the employees of the NGO are to be stationed in the project area. Besides contacting the APs on an individual basis to regularly update the baseline information group meetings and village- level meetings will be conducted by the NGO on a regular basis. The frequencies of such meetings will depend on the requirements of the APs but should occur at least once a month. The NGO will have to encourage participation of individual APs in such meeting by discussing their problems regarding LA, R&R and other aspects relating to their socio-economic lives. Such participation will make it easier to find a solution acceptable to all involved.

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The NGOs identified during the socio-economic survey at each district is shown in table no. 6.1. NGOs brochure etc., are attached in Volume-II of the Report.

Table no. 6.1: List of NGOs &Opinion Leader District NGOs Area of Specialization Opinion Leaders /influential persons other than NGOs Shivpuri Sambhav Social Service Organization, Child Education Shri Yashpal Singh Rawat Shivpuri Community Health Shri R.K.Srivastava HIV/AIDS Awareness Micro Enterprise Gender sensitization & Training Tribal Issues Datia Mayshree Charitable Trust, Jhansi Gender Equality Shri R.K. Srivastava Training Program PRI Strengthening Health Program Child Education Environmental Program Jhansi Vidha Mahila Sansthan, Jhansi Gender Sensitization Shri Sanjeev Sharma Child education Health Integrated Rural Development Source: Primary Survey, 2003

6.7 Selection of NGO

It is extremely important for the success of the RP to select NGO that are capable, genuine and committed to the tasks assigned. Key quality criteria include:

• Experience in direct implementation of programs in local, similar and/or neighboring districts; • Availability of trained staff capable of including APs into their programs; • Competence, transparency and accountability based on neutral evaluations, internal reports, and audited accounts; and • Integrity to represent vulnerable groups against abuses; experience in representing vulnerable groups, demonstrable mandate to represent local groups. In addition to above, taking into consideration the risks of HIV/AIDS during the project period and road safety and anti trafficking issues, specialized NGOs will be invited to undertake activities related to their core competencies. The focus will be more on prevention as well as referral services on curative aspects. The major activities of such NGO will include awareness generation, information dissemination and mobilization of communities to act on the issues towards safer behavior.

The NGO chosen will have to agree to the terms and conditions under the RP. Hence, the selection of a committed NGO is very crucial for implementation of the Project. The selection process and TORs will be reviewed by the ESDU.

The NGO will be involved through mutually agreed terms and conditions with specific responsibilities and in-built accountability. A contract will be signed with the NGO 61

indicating the tasks to be performed and the amount to be paid for their services. The payment to the NGO will be linked to performance of the tasks assigned and the time period. Their payment will be arranged as per contract agreement. The NGO will submit a monthly progress report to the project level PIU-R&R Cell, which in turn will send the summarized version of their reports with comments to the NHAI HQ. The monitoring and evaluation component of the RRP will include the performance of the contracted NGO. The NGO services will be required for 36 months for which provision has been made in the budget.

Terms of Reference along with the NGO profile are appended as annex in Volume-II.

6.8 NGO Staffing and Personnel

The NGO shall have offices at the three districts for implementation for duration of 36 months. The NGO, therefore, shall have adequate support staff for carrying out the R&R activities. One Key Professional (Social) for each district and also one Key Professional (Technical) for two districts will be required. Overall supervision will be under a Team Leader assigned specifically for this project.

6.8.1 Team Leader

The Team Leader should be post-graduate, preferably in social sciences, and should have experience of implementing R&R activities for linear projects. She/he should have at least 5 years experience in implementation of R&R and rural development works. She/he should have held responsible position in the previous assignments should possess participatory management skills and should have good knowledge of the region and the local language.

6.8.2 Key Professionals (Technical)

Should be at least a diploma holder in civil engineering. She/he should have at least 10 years experience in fieldwork. She/he should have participated in at least one project involving R&R activities, should have participatory knowledge of land measurement, and should be conversant with land valuation methods. Knowledge of local language is a necessary qualification.

6.8.3 Key Professional (Social)

Should be at least a graduate in social sciences. She/he should have at least 5 years of working experience of which at least 2 years in R&R or rural development projects. Should have sound understanding of the land acquisition process, experience in developing, implementing vocational training and participatory management. Knowledge of local language is a necessary qualification.

6.8.4 Key Professional (HIV/AIDS)

Since HIV/AIDS will be one of the major implementation concerns, the team will have professional with expertise to work on issues of HIV AIDS with an objective to generate awareness on the issue and work towards its prevention. Professional with 62

at least 3-5 years of experience on HIV AIDS awareness and communication techniques will be qualified to fill up the position.

6.8.5 Technical Support Professionals

Should be graduate or equivalent in social sciences. Knowledge of local language and experience of working in the region desired.

6.8.6 Other Support Professional

No minimum qualification is desired.

Additionally, the following conditions shall apply to the team proposed by the NGO:

• That the proposal should accompany a personnel deployment schedule, clearly indicating whether the deployment is home-office based or in the field; • That the NGO must propose at least one woman as part of the key personnel. The person-month deployment of the woman key personnel shall constitute at least 33% of the person month deployment of all key professionals (including the Team leader) in the assignment. • That the women key persons, if selected for the contract, may be replaced during the period of contract, only with women key persons of equivalent qualifications and experience; and • That the NGO will depute a ‘technical support’ team to work at the site, which will consist of women members. Junior support personnel and / or administrative staff will not be considered as ‘technical support’ professionals, as far as this condition is concerned.

6.9 Grievance Redress Cell

There is a need for an efficient grievance redressal mechanism, which will assist the APs in resolving queries and complaints. Any disputes will be addressed through the grievance redressal mechanism.

Formation of Grievance Redressal Cell (GRC) is most important for grievance redressal and it is anticipated that most, if not all grievance, are settled by the GRC. Detailed investigation will be undertaken which may involve field investigation with the concerned APs. The GRCs are expected to resolve the grievances of the eligible persons within a stipulated time. The decision of the GRCs is binding, unless vacated by court of law.

The GRCs will continue to function, for the benefit of the APs, during the entire life of the project including the defects liability periods. The response time prescribed for the GRCs is 15 days. The GRC will meet once in a fortnight to expedite redressal of grievances.

People are not debarred from moving to the court for issues including those related to R&R Entitlement. However, it is expected that the GRCs will play a very crucial

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role in redressing grievances of the APs, and will help the implementation of the project as scheduled.

6.9.1 Constitution of Grievance Redressal Committee (GRC)

The committee will comprise of representatives of local NGOs; public representatives (viz., Member of Parliament, Member of Legislative Assembly, etc) from respective district; representative of women group, squatters and vulnerable PAFs; line department and affected persons especially women as well as the representative of respective district administration. Minimum participation of women in GRC will be 33%. At least two persons from each group will be there in the GRC. The functions of the GRC will be:

• To provide support for the APs on problems arising out of Land/ Property acquisition; • To record the grievances of the APs, categorizes and prioritize and solve them within a month; • To inform PIU of serious cases within an appropriate time frame; and • To report to the aggrieved parties about the development regarding their grievance and decision of PIU.

6.9.2 Operational Mechanism

It is proposed that GRC will meet regularly (at least once in 15 days) on a pre-fixed date (preferably on first 7th day of the month). The committee will look into the grievances of the people and will assign the responsibilities to implement the decisions of the committee. The committee will deliver its decision within a month of the case registration.

The mechanism will be based on existing laws. The Grievance Redressal Cell (GRC) will be set up at each district. Grievance not resolved amicably at the district level will be routed through NGO to the GRC. Arbitrator may also be appointed for unresolved cases. Arbitrator will be selected by PIU. Minimum litigation will be the prime effort and going to judiciary will be avoided as far as possible.

The various queries, complaints and problems that are likely to be generated among the APs will primarily relate to disputes of ownership of assets, identification of legal heirs of deceased property owner and other non-land related issues.

The PIU and office of NHAI will act as Public Information Centers, which will be in possession of all documents relating to the Project including compensation packages and grievance redressal procedures, and will provide any information regarding compensation and grievance redressal.

Through public consultations, the APs will be informed that they have a right to grievance redressal. The APs can call upon the support of NGO to assist them in presenting their grievances or queries to the GRC. The NGO will act as an in-built grievance redressal body.

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6.9.3 Grievance Redressal Steps

The successive grievance redressal stages are illustrated in the flow chart Figure-6.2 District Level Committees: The first stage will be District level Committees (DLCs) and the NGOs. The APs will be encouraged to be part of DLCs composed of:

• Representatives of affected persons; • Panchayat members of the affected villages; and • NGO field worker

33% participation of women from affected families and full participation of women from the women headed households will also be encouraged.

The DLCs and the NGOs will meet at regular intervals as decided by the community, specifically for grievance redressing purposes at a pre-decided date, time and place. The APs can be formally present in these meetings and discuss their queries and grievances. At the community level, the committee will have the power to resolve matters either by providing information or agreeing on a follow-up action. It may also reject some grievances for not being legitimate. However, it will have to explain to the AP the premise for not recording the grievance. Legitimate grievances, which the DLC is unable to resolve, will be taken to the GRC, which will then take the necessary action after reviewing the findings of a thorough investigation. The DLC will maintain a register of all queries and grievances, and the subsequent action taken.

The APs will present their grievance, concerning compensation for structures / land and R&R assistance to the DLC/NGO. The DLC and NGO will examine the grievance, and where required will review with DRO/CA and will do utmost to reach an amicable settlement to the satisfaction of the APs.

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Figure 6.2: Levels of Grievance Redressal

APs

Grievances

Structures Land Acquisition

Redressed DLC / NGO Competent Redressed Authority

Not Redressed Not Redressed

Redressed GRC GRC Redressed

Not Not Redressed Redressed

Redressed NHAI / PIU, NHAI / PIU, Redressed HQ HQ

Not Not Redressed Redressed

Redressed Arbitration Arbitration Redressed

Not Not Redressed Redressed

Judiciary Judiciary

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6.9.4 Role of NHAI/PIU Headquarters

The APs, who would not be satisfied with the decision of the GRC, will have the right to take the grievance to the NHAI/PIU Head Office for its redressal. Failing the redressal of grievance at NHAI/PIU, the APs will take the case to Arbitration. The Arbitrator(s) will be independent but appointed by NHAI. Taking grievances to arbitration and Judiciary will be avoided as far possible and the NGO will make utmost efforts at reconciliation at the GRC level.

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7

INCOME RESTORATION MEASURES

7.1 Introduction

The Development projects have an adverse impact on the income of project-affected persons. They also have a negative impact on the socio- cultural systems of affected communities. Restoration of pre-project levels of income is an important part of rehabilitating socio-economic and cultural systems in affected communities.

As indicated by the Income Restoration Study in road sector projects, income restoration interventions are much more complex due to occupational diversity of PAPs. For example, there may be a mix of a large number of land title holders (big, small and marginal farmers) and share croppers due to bypass option and non-title holders engaged in small business enterprises (vehicle repairing shops, small hotels, other rural/semi urban small activity based shops, commercial squatters etc.) as displaced people. This complex nature of occupational diversity poses a problem for mitigation measures in the context of economic rehabilitation. The task becomes even more challenging due to the inherent pressure of completion of road construction work in a time bound manneri.

However, the R&R framework proposed for the project has adequate provisions for restoration of livelihood of the affected communities. Attempts have been made towards improving the Income restoration strategies. The focus of restoration of livelihood is to ensure that the Affected Persons (APs) are able to at least "regain their previous living standards". To restore and enhance the economic conditions of the APs, certain income generation and income restoration programs are incorporated in the RP. To begin with providing employment to the local people during construction phase will enable them to participate in the benefits of the project, reduce the size of intrusive work forces & keep more of the resources spent on the project in the local economy. It will also give the local communities a greater stake & sense of ownership in the project.

The R&R framework of the project provides that the loss of livelihood which would mainly result from the loss of land, will be compensated by way of:

• Alternate economic rehabilitation support and training for up-gradation of skills or imparting new skills; and various R&R assistances such as Transitional Allowance, Economic rehabilitation grant for vulnerable. • Preference of providing employment through the contractors for road works specially to those belonging to vulnerable groups.

Alternate village income sources such as village based industries will be promoted by the project in association with the local NGOs/CBOs. Villagers will be supported & encouraged to develop industries that are suited to their resources, skills and interests. Support in the form of technical assistance and training, marketing, 66 business management and coordination will be provided by the appointed NGOs. The project affected families eligible for Income Restoration is shown in table no.7.1.

Table no. 7.1: Project Affected Families Eligible for Income Restoration Assistance Type Allowance/assistan Quantity Amount in ce per family (Millions) Rs. Transitional Rs.2000 p.m. for 9 2668 48.02 allowance months Assistance to Rs.2000 p.m. for 9 143 2.57 tenants months Economic Rs.3000 lump sum 1188 3.56 Rehabilitation Assistance to vulnerable Training/up Rs.1000 per family 2874 2.87 gradation of skills Total 6873 57.02 Source: Census Survey, 2003

The project will assist the PAFs in liaison with NGO, to encourage the PAFs to work in the road construction services. The project will:

• Assist to establish contact with the construction contractors for road works;

• Encourage to enlist labour for work to handle road related contract services;

• Skill improvement, training & employment opportunities to compensate them for the loss of livelihood and income resulting from land acquisition;

• Identify training needs & modules;

• Assist access to poverty alleviation programs of the govt. such as Swarnjayanti Gram Swa Rojgar Yojna especially for those below poverty line.

• Also assist to identify self-employment options.

7.2 Options in Income Generation & Restoration

The labour force required for the construction activities will be mostly of high-skill nature since a lot of machine work is envisaged for this fast-track construction of the highway. As a result the construction contractors are expected to bring along their labour force. Thus, in most cases the labourers, both male and female, will be migratory labourers. But, the involvement of local labour force, especially for unskilled activities, cannot be fully ruled out. To ensure participation of local population as labour, NHAI shall have to take following steps: 1. DRRO and NGO shall ensure that the list contains name of both male and female APs. At the same time care shall be taken that APs less than the age of 14 years are not included in the list; in accordance with the Child labour (abolition and regulation) Act, 1986. 2. DRRO and NGO through continuous monitoring shall ensure that equal wages are given to both male and female workers

67 3. The contractor will give preference in jobs for the people affected due to the project

7.3 Self-Employment Generation Scheme

PAPs will be encouraged to take up training for income generating activities, with active support from the project through the NGO, in self-employment schemes.

Besides the land losers, other PAPs namely homestead losers; daily wage labourers and PAP in the vulnerable category are eligible for enrolment into the training program. For training and upgradation of skills Rs. 1500 per family has been worked out as per the entitlement matrix. The NGOs will take the initiative to make necessary arrangements for providing infrastructure and other institutional support that will be required, to assist the PAP to get financial support through local bank and government program. The said activities will be facilitated in collaboration with the PIU. The NGO would generate awareness among the PAPs about the different income earning opportunities and facilitate and training among EPs. The PIU-R&R cell will not only take the initiative for self employment generating schemes and also arrange for appropriate training programmes so that the trained PAPs will be eligible for others jobs.

Table no. 7.2: Loss of Livelihood District Commercial Squatter Agriculture Total Shivpuri 327 171 132 630

Datia 11 23 - 34 Jhansi 246 180 5 431 Total 584 374 137 1095 Source: Census Survey, 2003

About 958 (commercial and Squatters) PAFs would lose livelihood through loss of commercial structures. The principle governing the resettlement and rehabilitation will take into consideration:

• Rehabilitation assistance in the form of shop space if opted by 50 people or more; • Transitional allowance; • Women, handicapped and BPLs will be in the vulnerable category, will be given priority in allotment of shops; • Only occupiers at the time of eviction will be considered for assistance for squatters; • Compensation for those who don’t want shops space, these PAFs will assisted for alternate livelihood scheme till then the amount paid for assistance will be kept in banks as joint account with the project authority; • Only one shop per PAF will be considered, multiple occupation will not be considered; • Only those PAFs will be eligible for such compensation whose primary source of income is from shops that will be lost;

68 • Conditions for shop allotments to PAFs will be laid down which will include formation of market committees with PAF participation, representative of this committee for smooth operation and maintenance of the complex. A nominal license fee will be charged; • Shops of size of 15 sqmt. Will be provided • Access to loans will be facilitated by the project authority; • Shops will be allotted based on the type of business carried out priority eviction; • Since wide variation in claims was found in areas for shops, areas for similar types of shops have been broadly categorized in table no.7.3.

Table no. 7.3: Broad Categories of Shops Type of Shop Area in Sq.m Type A, Wooden/Tin Cabin 8 Type B, Thatched Structure 12 Type C, Semi-Permanent Structure 20 Type D, Permanent Structure 25 Source: Phase III Survey, 2003

According to the study carried out by Dr. Hari Mohan Mathur on Western Transport corridor, too much reliance on skills training often results in failure of income restoration schemes. Instead NGO should identify the government sponsored schemes and training program to assist the project affected families. Government of India along with the state governments runs various poverty alleviation programmes through DRDA. Participation of APs in those schemes will be helpful for short- term IR gains. NHAI and partnering NGO can tie up with DRDA and help/facilitate PAPs to participate in poverty alleviation programmes. The options available under skill related schemes are tailoring, carpentry, masonry, goldsmith, black smith, motor winding, auto-repair, driving (Auto/Matador etc.), watch repairing, pottery, leather works etc. APs who are in such trades can undergo training for skill up gradation to supplement their annual income.

Option of self-employment and NHAI’s Assistance

It is perceived that the NHAI will be unable to provide direct employment to the PAPs; hence, alternative programmes are proposed as outlined in the above sections. Training for self-employment and assistance in setting up micro- enterprises is the primary vehicle of rehabilitation.

The following order of priority would be considered for the EPs entitled for self- employment:

• Have the requisite educational qualification; • Have taken training in some micro-enterprise scheme and appeals to the NHAI for assistance; and • Possess previous experience in running micro-enterprises;

However, relaxation will be made for women, those below poverty line, and minorities and vulnerable PAPs who have taken training, but may not have

69 requisite educational qualifications and experience. In both cases, the R&R cell in consultation with the NGO and the DLCs will vet appeals.

The key parameters of the NHAI level of assistance in setting up of micro- enterprises are as follows:

• Survey of marketing opportunities by the NGO and information on EPs under the supervision of R&R Cell; • Identification of training needs and modules that matches market opportunities. This will be done by the NGO; • NGO to assist the EPs to form groups/cooperatives that can bid for contracts tendered by the construction contractors or its sub-contractors; Activity to be supervised by R&R Cell • R&R cell through the NGO will assist the EPs to get access to capital by facilitating formation of a credit window affordable to the EPs as individuals or groups in the local bank. • NHAI will co-ordinate with the local bank to extend credit to the EPs. NHAI will extend a letter of introduction to the bank; • Encourage the EPs to service loans and through awareness generation and training programmes by the NGO; • R&R cell in collaboration with the NGO will also facilitate the EPs access to poverty alleviation programmes of the Government; and R&R cell will monitor the ventures established and incomes derived from these programmes; the information will be fed into the R&R database. The ventures and incomes derived will again be monitored by an independent agency and the leading institute vides the reports submitted by the PIU-R&R cell.

7.5 Market Feasibility Study

No business enterprise or income restoration program will sustain until and unless it is based on the market need and demand. Hence NHAI through its PIU and contracted NGO who will undertake the detailed market feasibility study to clearly prepare the list of all viable and feasible enterprises. The scope of this study covers service and non-service based enterprises, the raw material availability and assured consumer market. The findings of the study will also be matched with the profile of the APs and accordingly the options will be offered to the APs. However R&R consultants in the local district and village markets to make reconnaissance of the existing demand and supply situation conducted rapid market survey. The survey reveals that more than 75% of the products available in Shivpuri come from , Kota and Gwalior. In Jhansi the products come from Mumbai and Kanpur. The local district markets comprise of all types of shops; hardware, construction materials, general store, vegetable markets, cloth stores, auto repair shops etc. The development of the project is expected to increase urbanization and commercialization of the society in particular along the project corridor. Demand for consumer goods in the area would consequently increase. Initiation of road construction activities will also result in a heavy spree of construction activities in and around the project area. This would consequently increase cash flow in the area.

The chance of some local products as mentioned herein finding ready market is quite high like local bakery and sweetmeat products. Products like ropes, nails, bidi from tendu leaf, sericulture, leaf cups and plates, mats, baskets, eggs, poultry bird and mutton and so on have a good market. Co-operatives of women markets on 70 DWCRA guidelines can be setup for preparation of jams and pickles, basket making and moulding of leaf cups and plates. Poultry and animal husbandry units can also be set up in these villages. Nursery to raise plants could also be quite viable since NHAI is committed to plant trees, as they would be felling many for the project. Not many traditional handicrafts were found except weaving and rope making. PIU through NGO will facilitate marketing facilities support through backward and forward linkages in order to make the self-employment schemes successful. It is perceived that the NGO will take care of the marketing needs of these products. The NGO will conduct periodical monitoring of these units over the implementation period and will take mid term correction measures if required. For marketing purposes, the NGO may tie these units up with khadi and village industries cooperatives (KVIC) or with the export promotion board or similar organizations. After establishment of the initial marketing linkages, the NGO will have to be gradually phased out their involvement.

7.6 Training Needs of PAPs

Very few PAPs posses any professional skills in the project area. Hence a large scale and intensive training programme need to be undertaken. The PAPs eligible for training will either be trained in the training institutes identified by NGOs or by individual trainers, either in Jhansi or Shivpuri. Training will be provided to vulnerable EPs as per the entitlement matrix. It is expected that such training will be organized within 12 months of property acquisition. Some of the preferred areas of training, the time required, indicative budget, potential sources of fund along with suggested schemes based on the market survey done by R&R consultants are annexed in volume –II. NGO shall carry out the detail exercise of skill mapping and training need assessment before finalization of any training schemes.

7.7 Comprehensive Training Policy

Training is an important part of RAP. Following training modules will be developed;

7.7.1 Training for NGO Personnel

The NGO will be trained to upgrade their skills so as to deliver the R&R components more effectively. Since reporting and documentation is an essential component of NGO activity, NGO will be provided with NHAI/ADB Guidelines to prepare the formats etc. during orientation, which will be conducted just after signing of the contract.

7.7.2 Training of PAPs

The training imparted will be essentially of two types: a technical training relevant for jobs and the other for non-land and land based self-employment and skill development schemes. The policy is devised under the following parameters:

• Eligible PAPs will get training assistance, • Provision for training has already been made in the RP budget. This amount is not redeemable in cash. It is based on an estimate of a minimum of 6 weeks of training per person, which may be stretch to a maximum of one year, which could allow daily allowance to EP, cost of experts, trainers and other incidental expenses. In case where the type of training requested by the EPs exceeds the budgeted amount, the NHAI will review the request on a

71 case-by-case basis through the R&R cell or the shortfall will be met from ERG incase EP is eligible for that. • EPs will have the right to participate in institutional form of training at existing institutions facilitated by NGO. • EPs will have the right to transfer his/her training entitlement to his/her immediate family member if the EP desires to do so. The nodal NGO will coordinate the process, • EPs shall request the NHAI for participation in a particular training in consultation with the NGO. The NHAI will approve and pay the training institution directly and the cost will be deducted from the EPs training entitlement, • Eligibility criteria for training will feature on the ID card. • On completion of training EPs will receive an introductory letter/certificate from the NHAI. This will assist the PAPs in approaching the bank for loans to start micro enterprises.

7.8 Training Mechanism

The implementation of the training procedure would involve the following steps:

• R&R cell in consultation with the Rehabilitation officers will prepare TOR for the NGO vis-à-vis its role in the training program. Facilitation training for EPs will be in the TOR of NGOs; • Once the NGO is selected it will map all relevant existing institutions/programs in the area that would impart training; • Regular survey of perceived training needs of EPs by NGO in collaboration with the R&R cell and Panchayat level committees will lead to prioritizing and selection of schemes for training; • Identification of training institutes/individuals/experts by the NGO can be subcontracted to conducted relevant training demanded by EPs within the financial means of the entitlement and preparation of TOR for the same by the NGO; • Preparation of list of trainees (phase wise) by the NGO in collaboration with the DLCs and R&R Cell; • Awareness generation and information dissemination on the schemes by the NGO to the selected trainees to ensure transparency about the training schemes and the entitles amounts; and • Registration of the EPs, payment of courses and maintenance of all records, regarding portion of entitlement used by EP for a particular course, will be done by the NGO. The NGO will submit the information to the R&R cell, for inclusion in the R&R database.

The PIU, NHAI will co-ordinate with the different recognized training organization, including professionals who will be engaged by the NHAI, to impart training in different trades to the PAPs either in the project area or any other place fixed by the institutes. Care shall be taken by the R&R cell and NGO that the funds for training are utilized in best possible ways.

72 7.9 Women’s Needs & Participation

In the process of R&R, women require special attention. Change caused by relocation does not have equal implications for members of both the sexes and may result in greater inconvenience to women. Due to disturbance in production system, reduction in assets like land and livestock, women may have to face the challenge of running a large household in limited income and resources. This in turn may force woman as well as children to participate in work for supplementing the household income. In contrast to this, due to changes that are likely to take places for any development project, especially changes in environment and land labour ratio, those women who at present are engaged in activities like agriculture labour, or collection and sale of forest produce may find themselves unemployed and dependent.

NHAI would, therefore, make efforts to maintain the social support network for women headed households as far as possible so that they remain closer to their locations and /or provide special services at the new sites. Special assistance would consist of the following:

• Allowing them priority in site selection • Relocating them near site wherever possible • Arranging with the contractor to construct their houses • Providing assistance with dismantling salvageable materials from their original home • Providing them priority access to all other mitigation and development assistance, and • Monitoring their nutritional & health status

Some examples of meeting practical needs of women that will be implemented by NHAI through NGO:

a. Reduced women’s workloads by providing standpipes, toilet facilities, and the like b. Improve health services by providing safe drinking water, family planning and HIV/AIDS counseling, sanitation training, immunization, etc. c. Assist in childcare services for wage earning mothers, primary schools, inputs in kitchen gardening etc. d. Increase access to productive resources e. Promote equal opportunities for women’s employment

Encouraging women’s participation in development projects is a policy being followed by GOI. There are several ways in which women will be able to participate in the implementation programme.

• At least 50 percent of the NGO personnel involved must be women and recruited form the local area specifically from among the PAPs. • The independent agency for monitoring and evaluation will have 33% representation of women key professionals and technical support team.

7.10 Measures towards income restoration and uplift of vulnerable people

NHAI has evolved a number of measures towards resettlement and rehabilitation of the vulnerable families including the women headed households, SC/ST below

73 poverty line and the poor (BPL in general) getting affected by it’s projects. The considerations therein have been compiled as follows:

• All the affected families falling under the vulnerable category including the BPL are going to be assisted to uplift their economic status irrespective of their ownership status. Thus it implies that, whether they do or do not possess legal title of the lands/assets, whether they are tenants or encroachers or squatters, they will be assisted in restoring their livelihood.

• If the type of loss is agricultural land and assets for an entitled person (EP) from the vulnerable group, he/she can claim the compensation for the entire land by means of land-for-land instead of accepting pecuniary compensation to the loss at replacement value, provided land of equal quality or more productive value is available. All the other assistance remain the same as those for others including transitional allowances, additional grant for severance of land, residual plots, expenses on fees, taxes, etc. and alternative economic rehabilitation support and training for up-gradation of the skills.

• In case of loss of non-agricultural private property, option for residential/commercial plot at resettlement site will be provided free of cost to vulnerable families if so opted by a group of them apart from all other considerations like compensation at replacement value, transitional allowance, shifting allowance, rental allowance for disruption caused to BPL tenants, compensation for advance rental deposits, right to salvage materials for the demolished site, etc.

• Even In case of illegal use of the ROW, the vulnerable encroachers and all squatters are to be assisted in accordance with the entitlement matrix by considering relevant facts on family income and existing assets only in the case of the person being under the poverty line. A vulnerable person in this case is eligible to receive assistance for structures at replacement cost. He/she will also have the right to salvage materials for the demolished structure.

• There is a provision for additional support to the vulnerable people who have been affected by the loss of livelihood / primary source of income. The assistance will be the economic rehabilitation grant supported with vocational training of EPs choice. The training will include starting of a suitable production or service activity. In case the money is not spent on the training program, the equivalent amount is to be paid as per EPs choice.

• Inter agency linkages for income restoration.

Majority of the eligible families for income restoration earn their livelihood from marginal agriculture or petty businesses, and it is imperative to ensure that the APs are able to reconstruct their livelihood. Based on the market feasibility study, the list of livelihood schemes will be developed, and based on felt needs of the target group population the activities will be prioritized through people’s participation. Further, these options will be tested for their viability against availability of skill, raw material and available appropriate technology. Suitable alternative livelihood schemes will be 74 finally selected, where training on skill up gradation, capital assistance and assistance in the form of backward-forward linkages (with respect to the selected livelihood schemes) can be provided for making these pursuits sustainable for the beneficiaries, of the target group. Income generation schemes will be developed in consultation with the project affected/displaced families. The grants received for such purpose for the project, will be used for the skill development training to upgrade their existing skill, purchase of small scales capital assets etc. While developing the enterprise development or the income generation activities, the NGOs will contact the NABARD, SIDBI and other local financial institutions for financing the economic ventures. The marketing and milk federations will also be contacted for planning sustainable economic development opportunities.

7.11 Short-Term Income Restoration Activities

Short term IR activities means restoring APs’ income during periods immediately before and after relocation. Such activities will focus on the following:

• Ensuring that adequate compensation is paid before relocation. • Transit allowances. • Providing short term, welfare based grants and allowances such as: One time relocation allowance or free transport to resettlement areas or assistance for transport. • Free or subsidized items. • Special allowance for vulnerable groups as per entitlement framework.

i Special studies on project preparation, Income restoration and Resettlement Projects by Arup Khan, June 2003.

75

8

RESETTLEMENT AND REHABILITATION BUDGET

8.1 Introduction

A consolidated overview of the budget is provided and the cost estimates given below shall be viewed accordingly. The cost estimates for land and structures are based on data collected during the survey and contingency provisions have been made to take into account variations from this data. The compensation amount for the acquisition of land and structures will be determined by the Competent Authority appointed under NH Act 1956. Over and above, the EPs will be entitled for R&R assistance as per the entitlement framework given in chapter 4.

The budget is indicative of outlays for the different expenditure categories and is calculated at the 2003 price index. These costs will be updated and adjusted to the inflation rate as the project continues and in respect of more specific information such as extra number of APs during the implementation, unit cost will be updated if the findings of the district level committee on market value assessment justify it.

Some of the features of this cost estimate are outlined below:

• The agricultural land will be compensated at replacement value worked out based on the methods given in the entitlement framework. • NHAI will compensate the structures at replacement value to the legal titleholders and to the squatters/encroachers, assisted by the NGO.

8.2 Unit Costs

8.2.1 Value of Land

The compensation of the land has been worked out after extensive survey of the APs, verification of local market rates from local people and government rates prevalent in this region.

The rates are calculated in the following manner:

For bypasses, mostly private property will be acquired, thus a detailed rate analysis was undertaken whereby an authorized evaluator made verification of local market rates from local people (based on land transactions done in the area in last three years) and provided with a replacement value of the land. Also, the government- registered price was ascertained from the registry papers. The difference between these market and govt. rate is to be given as assistance to the people.

The Government registered price was taken as the price at which the acquisition of Govt. land would be done. 78

8.2.1.1 Titleholder Agricultural Land loss and Replacement value

As a result of widening a total of 206.82 ha. of agricultural land will be acquired in all three districts. The market value of the land has been assessed by the valuer engaged by the consultant. In Shivpuri district, the unit rate per ha. comes out to Rs. seven lakhs per ha, whereas Jhansi has a highest unit rate of Rs. eight lakhs per ha. This rate has been used for calculating the replacement value of the land. 33% of the replacement value has been taken as assistance over and above the compensation.

The following table summarizes the district-wise breakup of the replacement value of land

Table 8.1 Titleholder Agricultural Land loss and Replacement value

District Extent of land loss Unit rate Replacement value Total in ha. in million Rs. Compensation Assistance in million Rs. Shivpuri 186.55 0.70 91.41 39.18 130.59 Datia 2.87 0.60 1.21 0.52 1.72 Jhansi 17.4 0.80 9.74 4.18 13.92 206.82 102.36 43.87 146.23

8.2.1.2 Titleholder non-agricultural land loss and replacement value

A total of 5.3 ha of private land will be acquired in all three districts. The market value of the land has been assessed by the valuer engaged by the consultant. Jhansi being more developed as compared to other two districts, therefore the rates there are slightly higher. This rate has been used for calculating the replacement value of the land. 33% of the replacement value has been taken as assistance over and above the compensation.

Table 8.2 Titleholder non-agricultural land loss and replacement value

Extent of land District loss Unit rate Replacement value Total in million in million in ha. Rs. Compensation Assistance Rs. Shivpuri 4.04 0.80 2.26 0.97 3.23 Datia 0.26 0.70 0.13 0.05 0.18 Jhansi 1.00 0.90 0.63 0.27 0.90 5.30 3.02 1.29 4.31

8.3 Value of Building Structures

For the loss of building structures, either commercial or residential, the titleholders, squatters and vulnerable encroacher will be compensated at replacement cost. A Govt. approved Valuer has evaluated the replacement cost.

79 Compensation for structure has been worked out by the Govt. approved valuer on the basis of BSR of PWD. Data about different material used in the structure have been calculated during structure identification survey in the project area. The Government approved valuer has estimated the cost of structure based on the material used in the construction on sample basis. The average rate for the Semi- Permanent Structure has been calculated @Rs. 2500/Sq.m, the Permanent Structure has been calculated @ Rs. 3500/Sq.m and the temporary structure has been calculated at the rate of Rs. 1400/Sq.m.

8.3.1 Compensation for titleholder structures

The following Table indicates the compensation for acquisition of residential/commercial/resi-comm structures excluding the cost of the land.

Table no. 8.3: Compensation for Acquisition of Structures of titleholders District Residential Commercial Residential- Total Commercial. Area Amoun Area Amount Area Amoun Area Amount (Sq.mts) t (Sq.mts) (Million) (Sq.mts) t (Sq.mts.) (Million) (Million (Million compens ) ) ation plus assistan ce Shivpuri 25120 62.80 6037 15.09 12828 32.07 43985 109.96

Datia 12.00 0.03 32.00 0.08 236.00 0.59 280 0.70

Jhansi 2913 7.28 2143 5.35 3679 9.19 8735 21.82

Total 28045 70.11 8212 20.52 16743 41.85 53000 132.48 Source: Phase III Survey, 2003 The total replacement value works out to Rs. 132.48 million; out of which Rs. 88.77 million (70% of replacement value) is compensation and Rs. 43.71 million is assistance.

8.3.2 Compensation for Non-titleholder structures including kiosks

The following Table indicates the compensation for acquisition of structures of the non titleholders excluding the cost of the land. Rs 1400 per sq. M. has been considered for calculating the replacement value for the structure as the structures are semi permanent in nature. For kiosks, flat sum of Rs 2000 will be given as shifting allowance.

80 Table 8.4: Compensation for Non-titleholder structures including kiosks

District NTH catefory Area Unit Cost Replacement Value in Sq. M./no. per Sq.M for sq & Enc Shivpuri SQ. & ENC. 1368 1400 1.92 Kiosk* 18 2000 0.04 Datia SQ. & ENC. 184 1400 0.26 Kiosk* 4 2000 0.01 Jhansi SQ. & ENC. 1490 1400 2.09 Kiosk* 8 2000 0.02 4.32 Note: * For kiosks, flat sum of Rs. 2000 has been considered.

In addition to replacement value of land and structure, following other assistance has to be provided to the affected persons. The allowances to be provided are as per the entitlement matrix. The details of other R&R assistance are given below;

Table no. 8.5: Estimates of Entitlements Assistance Type Allowance/assistan Quantity Amount in ce per family (Millions) Rs. Transitional Rs.2000 p.m. for 9 999 17.98 allowance months Transitional Rs.2000 p.m. for 3 1303 7.81 allowance months Transitional Rs. 2000 lump sum 374 0.74 Allowance for Squatters Shifting Allowance Rs. 2200 lump sum 270 0.59 for permanent structure Rs. 1200 lump sum 49 0.05 for semi-permanent Rs. 800 lump sum for 142 0.11 tenant Rs. 700 lump sum for 374 0.26 temporary structure Rs. 2000 lump sum 30 0.06 kiosks Assistance to Rs.2000 p.m. for 9 142 2.55 tenants months Economic Rs.3000 lump sum 417 1.25 Rehabilitation Assistance to vulnerable Training/up Rs.1500 per family 1259 1.88 gradation of skills Total 5347 33.28 Source: Phase III Survey, 2003

81 8.3.3 Provision for Development of Community Structures

Table no. 8.6: Relocation of Community Structures Unit Rate Cost (in S.No Description Number (Rs.) million Rs.) 1 Temple/Mosque 1,00,000 23 2.30 2 Community Structure 100,000 5 0.500 3 Government Structure 150,000 17 2.550 Total 45 5.35 Source: Phase III Survey, 2003

8.3.4 Improving Community Infrastructures

These works will be identified by the PIU-R&R Cell in consultation with the village Panchayat of the project area and will be executed only with prior approval of NHAI Headquarters. A lumpsum provision of 1million is made for community infrastructure improvements such as public sanitation blocks in villages, community halls, primary schools, improvement of village approach road, drains etc.

Summary • Relocation of community infrastructure = Rs. 5.35 Million • Improving Community infrastructure = Rs. 1 Million

Rs. 6.35 Million

8.4 NGOs

The involvement of NGOs is described in the chapter on Institutional Arrangements. The lumpsum budget for two NGOs for 36 months is Rs. 15 million.

8.5 Resettlement Sites (Site Development Costs)

The Entitlement Framework includes the provision of resettlement sites complete with infrastructure and amenities. Site development Costs for proposed commercial areas has been considered as Rs.5 Million (approx.), which is inclusive of land leveling, clearing and creating footpaths and access roads. For residential areas, the site development cost is Rs.7.5 Million (approx), which includes land leveling, clearance, providing access and inner roads, boundary walls, community spaces including toilets, water supply, drainage, sold waste disposal facilities, street lights etc.

8.6 Budget

The budgets for the proposed RP work out to Rs. 379.65 Million. Details are given in Table no. 8.11. Uncertainties underline the budget:

• Training of project affected adult persons; actual no. could be different if EPs opt out of training options or do not fulfill the criteria • Replacement costs of land and the land price will vary if the category of the land existing in the govt. register does not match with the assertion of the land holder/him or herself

82 • Contingency provision would cover non-identified and other costs during the R&R implementation.

Table no. 8.7: Project RR Budget Unit Rates R&R Compensation Rs Item (Rs. Quantity Costs Rs. (in million) Lakhs) (Millions) A: Compensation for Acquisition of Private Properties Refer 206.82 1 Agriculture Land Table no. Rs. 102.36 Ha. 8.1 2 Refer Private Non-Agricultural Land Table no. 5.3 ha. Rs. 3.02 8.2 3 Refer 28045 Residential structure Table no. sqm. 8.3 4 Refer Commercial Structure Table no. 8212 sqm. Rs. 88.77 8.3 5 Refer 16743 Resi/Commercial Table no. sqm. 8.3 Total 194.15 R&R costs B: Assistance Land Acquisition (Agriculture) Refer Table 8.1 43.87 Land acquisition (non-agriculture) Refer table 8.2 1.29 Residential Structure Refer Table 8.3 43.71 Squatters/encroachers/kiosks Refer Table 8.4 4.32 Transitional allowance Rs.2000 999 Refer Table 8.5 17.98 p.m. for 9 months Rs. 2000 1303 7.81 p.m. for 3 months Transitional allowance for Rs. 2000 374 Refer table 8.5 0.74 squatters and encroachers lump sum

83 Shifting Allowance Rs. 2200 270 0.59 lump sum for permanen Refer Table 8.5 t structure

Rs. 1200 49 0.05 lump sum for semi- permanen t Rs. 800 142 0.11 lump sum for tenant Rs. 700 374 0.26 lump sum for temporary structure Rs. 2000 30 0.06 lump sum kiosks Assistance to tenants Rs.2000 142 Refer Table 8.5 p.m. for 9 2.55 months Economic Rehabilitation Rs.3000 417 Refer Table 8.5 1.25 Assistance to vulnerable lump sum Training/up gradation of skills Rs.1500 1259 Refer Table 8.5 1.88 per family Total of B 2 125.77 C: Community Infrastructure Replacement & Improvement including Agency Charge Refer section 8.5 12.5

Development of Resettlement

site

Community Infrastructure Refer section 8.3.4 1.00 Improvement Religious Refer Table 8.6 5.35 Community Government Buildings 18.85 Sub-Total 3

D: Support Implementation of RP Social Cell at PIU and Corporate 0.5

Office Rs 30,000 1*36 PD PIU R&R Cell 1.08 p.m. Months Rs 30,000 2*24 District R&R cells 1.44 p.m. Months Independent Monitoring & Lumpsum 0.50 Evaluation Agency Training 5.00 Purchase of Vehicle and transport 0.50 NGOs Assistance for RP 2 NGOs * 15.00 84 Implementation 36 Months Sub-Total 4 24.02 5. Total (2+3+4) 168.64 6. Contingency (10% of Total) 16.86 7. Total R&R Cost (5+6) 185.50 Grand Total (1+7) 379.65 Source: Phase III Survey, 2003

Table 8.8: Summary Budget for Resettlement and Rehabilitation Activities

Sl.No. Item Amount (million.)

1 Compensation cost 194.15

2 Assistance 125.77 3 Community infrastructure 18.85 4 RP implementation cost 24.02 5 Contingency 16.86

6 Total 379.65

85

9

IMPLEMENTATION SCHEDULE

9.1 Introduction

Implementation of RP consists of Land Acquisition, Rehabilitation and Resettlement activities. The project section traverses through three districts i.e; Shivpuri, Datia and Jhansi and is divided into three sections. As per the conditions in the civil works contracts, land free from all encumbrances is to be made available to the contractors in a phased manner for each of the contract package. Time frame for implementation of RP will be synchronized with the project implementation in a way that commencement and progress of civil works is not adversely affected.

The R&R officers in the corporate office and PIU R&R cells will receive training for implementation and the capacity building will be accomplished prior to commencement of the civil works. The NGOs will be trained to upgrade their skills to deliver the R&R components more effectively over time. The documentation and reporting of the process of implementation, monitoring and evaluation is to be done by the NGO and therefore, NGO staff will be trained for such process. The NHAI staff will also be trained in order to ensure smooth implementation of RP. The following components will be covered:

• Understanding the Policy Guidelines • Understanding the Implementation Schedule activities step-by-step • Understanding of the Land Acquisition Act and NH Act • Preparation of micro plans • Monitoring and reporting • Understanding of the economic rehabilitation schemes

9.2 Schedules for Project Implementation

Civil works contracts for all the sections are proposed to be awarded simultaneously, and a uniform time period of 40 months is being proposed for completion from the date of commencement.

9.3 Schedules for Land Acquisition and RP Implementation

The implementation of the RP consists of land acquisition and R&R activities and the timeframe for various activities are given under table no.9.1

86 Table no.9.1: LA & RP Activities and Implementation Schedule Task Status Timeline Responsibility

Step 1 Project Preparation Phase 1. Finalization of bypass alignment and estimates of losses and Done Sept 2003 NHAI, and consultants number of APs 2. Finalization of draft resettlement plan Ongoing Sept 2003 NHAI, and consultants 3. Review and approval of RP Sept 2003 NHAI 4. Disclosure of RP Sept 2003 NHAI/ PIU 5. Formation of DLC and GRCs Nov 2003 NHAI/ PIU Step 2 Land Acquisition Activity 1. Publication of notification under section 3a of the NHAI Act – Oct 2003 NHAI/ PIU appointment of competent authority 2. Publication of notification under section 3A(I) – intention to Dec 2003 NHAI/ PIU acquire land 3. Receipt of objections from public Jan 2004 NHAI/ APs 4. Hearing of objections by competent authority Feb 2004 NHAI/ PIU/ District Authority 5.Publication of notification under section 3D – declaration of Mar2004 NHAI/ PIU/ District acquisition Authority 6Determination of compensation and issue of award by July 2004 NHAI/PIU competent authority 7. Payment of compensation for land and structures March to NHAI/Dist.Auth. Nov..2004 Step3 Procurement of NGO/M&E Consultants/ R&R Officer 1. Appointment of R & R Officer Oct. 2003 NHAI/PIU 2.Resettlement Field Office for RP implementation Feb. 2004 PIU 3. Appointment of IA/NGO Dec.2003 NHAI/PIU 4. NGO/ staff Training on RP Implementation Feb. 2004 EA 5. Appointment of M & E Consultants March 2004 NHAI/ PIU 6. NGOs activities such as verification, need Assessment, Market Mar.2004 to NHAI/PIU Survey Aug.2004 6. Preparation and Approval of micro-plan and development for Aug. 2004 to NHAI/PIU relocation of SBEs Jan. 2005 Project Implementation Phase Step 4 For Non Title-Holder 1.Complete physical verification of APs on ROW/COI Feb. 2004 to IA/PIU/NGO June 2004 2.ID Card Distribution March .2004 PIU/NGO onwards 3.Payments of compensation, and other RP related assistance March to Nov. PIU/NGO 2004 onwards 4. Relocation of SBEs/APs and clearance of the Corridor of May 2004 PIU/NGO Improvement for construction work onwards 5.Relocation of Common Property Resources March to Oct. PIU/NGO/Contractor 2004 onwards For Title holder

1.Verification of PAPs March 2004 to PIU/NGO Oct.2004 2.Distribution of ID Cards June to Aug PIU/NGO 2004 onwards 3.Preparation and approval of Micro-Plan July to Dec. PIU/NGO 2004 onwards 4.Payments of R&R compensation and assistance Oct. 2004 to PIU/NGO March2005 onwards

9.4 Necessary Actions for Implementation

• APs will be prepared for relocation through panchayat level consultations. This will include community-based meetings, dissemination of information,

87 individual counseling, written and verbal messages and information. This will also include consultations on explaining the entitlement framework. Also the process of grievance redressal will be explained.

• All properties will be subject to verification for finalization of land acquisition (LA). The verification procedure includes checking of recorded addresses, identification of surveyed properties and estimation of level of loss by type of property.

• An Identity card will be prepared for each AP with an identification code and issued to them.

Finally, they will be relocated after they have been paid compensation. Relocation sites are developed as per the need and various other arrangements like bank accounts in joint names of APs and spouse / other family members etc. are in place. ID Number for each permanent structure is already given during structure loss survey

9.5 Activities for R&R and Implementation Schedule

The period for implementation of RP has been taken as 36 months. However, monitoring and evaluation will continue beyond the period of implementation. Planning, surveying, assessing, policy development, institution identification, AP participation, income restoration and implementation are typical RAP related activities, which have been considered. However, sometimes sequence may change or delays witnessed due to circumstances beyond the control of the Project. The RP Implementation is given in Figure no.9.1.

88

Figure no. 9.1: RP Implementation Schedule

Activity 2003 2004 2005 2006 2007

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 & Q2 I. LA and Resettlement Planning Census/surveys of the project ROW Draft RP Review and approval of RP LA Proposal for bypasses Establishment of PIU-RO for RP implementation Hiring of NGO for resettlement-related work NGO/Staff Training on RP Implementation Disclosure of RP Information campaign and community consultation II. Preparation for RP Implementation RO Field Offices in all 4 Contracts & staff training LA completion and preparation of award Updating inventory of APs based on road plan-profile Final list of APs and Distribution ID cards Valuation of shops/structures for compensation LA payments by DC Office Development of R&R Site Payments of compensation to shops/SBEs by RO Formation of DLC and GRC Relocation of shops/businesses Payments of all other eligible assistance Clearance of COI and handover of sites, and acquired land III. Monitoring and Evaluation Appointment of Monitoring and Evaluation Agency Internal monitoring External Monitoring

89

10

MONITORING, EVALUATION AND REPORTING

10.1 Need for Monitoring

Monitoring and Evaluation (M&E) are critical activities in involuntary resettlement in order to ameliorate problems faced by the PAPs and develop solutions immediately. Monitoring is a periodic assessment of planned activities providing midway inputs, facilitates changes and gives necessary feedback of activities and the directions on which they are going, whereas Evaluation is a summing up activity at the end of the project assessing whether the activities have actually achieved their intended goals and purposes. The M&E mechanism will measure project performance and fulfillment of the project objectives.

RP implementation for the Project Highway will be closely monitored by PIU through its R&R Cell and will be at the helm of all activities related to the RP implementation.

Components of monitoring will include performance monitoring, impact monitoring and external evaluation. Two broad categories of indicators will be monitored during the project are: 1) input and output indicators and ii) outcome and impact indicators.

Input and output indicators related to physical progress of the work will include items as:

• Training of PIU, ROs and other staff completed • Public meetings held • Census, assets inventories, assessments and socio-economic studies completed • NGO recruited and trained • Meeting of DLCs • Meeting of GRCs • Grievance redress procedures in-place & functioning • Compensation payments disbursed • Shops space allotted • Relocation of PAPs completed • Employment provided to PAPs • Community development activities completed • Infrastructure repaired, bus stands, water & sanitation facilities provided • Village roads repaired • Training of PAPs initiated • Income restoration activities initiated • Number of families displaced and resettled • Extent of government land identified and allotted to the PAPs • Monitoring and evaluation reports submitted

The PIU-R&R Cell with the help of the NGO will carry out internal monitoring. Impact indicators relate to the overall project objectives as stated in the R&R Policy and in the 90 entitlement matrix. An external agency will be engaged to monitor and proactively evaluate the RAP objectives. The external agency will submit monthly and quarterly monitoring reports. Mid term (after 12 months) and final evaluation will be done by the agency to find out if the R&R objectives have been achieved as against the performance impact indicators.

10.2 Methodology for Monitoring

• Random sample of 25 percent of PAPs will be interviewed by M&E consultants; • Participatory rapid appraisal of the RAP implementation will be done in every village; • Public consultations will be conducted; • Observation checklist will be used for witnessing eviction & resettlement processes; • Grievance appeals will be reviewed & discussed with PAPs about the satisfaction regarding the process; and • Standard of living of the PAPs before & after implementation will be reviewed using base line information collected earlier.

10.3 Monitoring Project Input and Outputs

Internal monitoring will be the responsibility of the R&R Cell, which will report on the progress of the R&R activities to the Project Director on a monthly basis in prescribed monitoring formats. The R&R Cell will report on each of the project indicators stated herein and others that might emerge as the project implementation progresses. The reports will cover the progress of the project on the targets set at the commencement of the project by the NHAI with the help of the NGO.

Based on the reports, the PIU will monitor and evaluate every three (3) months the overall progress on each R&R component within the project and determine actions to be taken by the PIU in situations where the set objectives are not being met.

PIU will also monitor the following activities:

1 Verification exercise No. of PAP/PAF 2 LA Notification Date/s 3 Consultations on Entitlement No. of consultation, no. of PAPs/PAFs attended 4 ID cards distribution No. of consultation, no. of PAPs/PAFs attended 5 Training of staff, NGO & PAPs No. of staff trained 6 Establishment Staff recruited, equipment purchased, vehicles brought 7 Appointments of i) NGO ii) M&E Agency

Broadly, monitoring & evaluation system will involve:

• Administrative monitoring: daily planning, implementation, trouble shooting, feed back & trouble shooting, individual PAP file maintaining, progress reports • Socio-economic monitoring: case studies, using baseline information for comparing PAP socio-economic conditions, evacuation, demolition, salvaging materials,

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morbidity & mortality, communal harmony, dates for consultations, number of appeals placed, etc. • Impact evaluation monitoring: Income standards restored/improved, situation of self- relocaters, etc.

10.4 Set of key monitors to be used

A set of indicators will be used to monitor the project objectives. These indicators will form the basis of the monitoring and evaluation of the implementation of the RP. The information collected through the household survey carried out for this study will provide benchmarks for comparison on the socio-economic status of the PAPs in the project implementation period. The indicators to be monitored will include vulnerable groups and their progress in resetting, and income restoration of PAPs.

All monitoring data, both internal and externals will be disaggregated by gender.

This monitoring will give information about whether the project objectives are being met. A key objective will be the estimation of the affected people’s incomes and quality of lives. If the monitoring and documentation done during the first 6 months in service of the Project indicate that these objectives are not being achieved, more resources should be allocated towards it.

During implementation, benchmarks and indicators will be monitored to ensure that comparison is made against the socio-economic status including income streams, not just the fixed assets lost to the project.

10.5 Role of Independent Agency

The NHAI will requisition the services of an independent agency not associated with the project execution to carry out monitoring and evaluation of the project. The M & E Consultants will be appointed (with ADB concurrence) within three months of the loan effectiveness. Criteria for selecting an external agency for M&E should be based on their experience in the field and comprehensive knowledge of R&R needs of the PAPs.

The NHAI, through the PIU, would continue to monitor quarterly the R&R activities through R&R Cell. The independent agency will carryout monthly monitoring; however, the impact evaluation will be undertaken on a sample basis by the independent agency twice in the cycle of the project: mid term and final.

Each evaluation will help to plan for corrective measures before the final evaluation. These will provide a basis for changes in approach to the problems relating to involuntary resettlement arising out of the project.

The independent agency will also evaluate the performance of the NGO and the R&R Cell. The agency will report its findings simultaneously to the NHAI and the ADB.

Provisions have been made in the budget for engaging the independent agency. The monitoring, evaluating format and reporting format are given as annexure in Volume-II.

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Monitoring will also include:

• Reactions from PAPs • Information from PAPs on entitlement policies, options, alternatives & relocation related issues • Visits to sites • Valuation of property • Use of grievance procedure • Disbursement of compensation • Behavior of staff

Developing early warning system to alert PIU & ROs is essential. Sensitive indicators and regular monitoring apart from those already suggested will accomplish this. Examples of some of these will be:

• Law & order situation in the area, • Vigilance during eviction & demolition.

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Figure 10.1 Tentative Time Schedule for Monitoring & Evaluation

Year 1 Year 2 Year 3 Year 4

Activities Agency to Monitor Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8 Month 9 Month 10 Month 11 Month 12 Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8 Month 9 Month 10 Month 11 Month 12 Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8 Month 9 Month 10 Month 11 Month 12 Month 1 Month 2 Month 3 Month Physical PIU & External M&E Agency Economic M & E Agency Financial PIU Social External M & E Agency Establishmen PIU t Grievance External M & E Agency Overall PIU & External M&E progress Agency

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