North Karnataka Urban Sector Investment Program

Resettlement Planning Document

Short Resettlement Plan for Shahabad Subprojects Stage: Draft for Consultation Project Number: 38254-04 October 2009

IND: North Karnataka Urban Sector Investment Program

Prepared by Karnataka Urban Infrastructure Development and Finance Corporation (KUIDFC).

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

ABBREVIATIONS

ADB – Asian Development Bank APs – Affected Persons BPL – Below Poverty Line CC City Corporation CBO Community Based Organization CDP Community Development Plan CDO Community Development Officer CMC City Municipal Corporation DC Deputy Commissioner DLVC District Level Valuation Committee DMA Directorate of Municipal Administration DSWO District Social Welfare Officer DoSW Department of Social Welfare DoTW Department of Tribal Welfare DTWO District Tribal Welfare Officer EA Executing Agency Gol Government of India GoK Government of Karnataka GRC Grievance Redressal Committee HH House Holds IA Implementing Agency IEE Initial Environmental Examination IP Indigenous People IPDF Indigenous People Development Framework IPDP Indigenous People Development Plan KUIDFC Karnataka Urban Infrastructure Development and Finance Corporation KUWSDB Karnataka Urban Water Supply and Drainage Board LA Land Acquisition LAA Land Acquisition Act M&E Monitoring and Evaluation NGO Non-Government Organization NOC No Objection Certificate NKUSIP North Karnataka Urban Sector Investment Program IPMU Investment Project Management Unit PMU Project Management Unit PWD Public work Department RF Resettlement Framework RO Resettlement Officer RP Resettlement Plan SA Social Assessment SC Schedule Caste ST Schedule Tribe WTP Water Treatment Plant TMC Town Municipal Council ULB Urban Local Body

TABLE OF CONTENTS

EXECUTIVE SUMMARY

I. SCOPE OF LAND ACQUISITION AND RESETTLEMENT 1 A. Introduction 1 B. Scope of Land Acquisition and Resettlement 1

II. SOCIOECONOMIC INFORMATION/PROFILE OF AFFECTED PEOPLE 5 A. Household Size, Sex, and Gender 5 B. Vulnerable Groups 5 C. Unit Costs for Land 5 D. Income, Employment, Education, and other Household Details 5 E. Seasonal Laborers 6

III. OBJECTIVE, FRAMEWORK AND ENTITLEMENTS 8

IV. CONSULTATION AND GRIEVANCE REDRESS PARTICIPATION 13 A. Information Dissemination, Consultation, and Disclosure Requirement 13 B. Grievance Redressal Mechanisms 13

V. COMPENSATION AND INCOME RESTORATION 16 A. Compensation 16 B. Income Restoration 16

VI. INSTITUTIONAL FRAMEWORK 16

VII. RESETTLEMENT BUDGET AND FINANCING 19

VIII. IMPLEMENTATION SCHEDULE 20

IX. MONITORING AND EVALUATION 20

BASAVAKALYAN BIDAR

R A T S H A A R GULBARGA H M A SHAHABAD YADGIR BIJAPUR

Jamakandi Nippani BAGALKOTE RAICHUR

BELGAUM G O A

DHARWAD GADAG Dandeli KOPPAL

BELLARY

Karwar HAVERI A A R U.KANNADA N A D H B R I A A P R N DAVANAGERE A D S E S E CHITRADURGA H A

SHIMOGA

TUMKUR UDUPI CHIKMAGALUR

BANGALORE RURAL KOLAR HASSAN BANGALORE L Mangalore URBAN A K S H D.KANNADA A MANDYA D W TAMILNADU

E KODAGU E MYSORE P

E K E A R A CHAMARAJANAGAR L A

Figure 1. Location Map

ATOR OCUL IFL ARR E CL ROPOSED WTP SIT P

2.00 ACRE

ER FILT ND ID SA RAP

⌧ MP SU R ATE FLASH MIXER E W PUR

AERATOR

Client Karnataka urban Infrastructure Develpoment & Finance Corporation Consultant DHV India Pvt. Ltd GDA Complex, Veerandra Patil Layout Sedam Road Gulbarga Checked by: ☺

Figure 2. Site plan for proposed Water Treatment Plant (2.0 acres on private land)

TOWN : SHAHABAD JACK WELL CUM PUMP HOUSE

SLAB INVERT LEVEL 390.00

RCC CHEJJA INVERT LEVEL 387.00 RCC CHEJJA 8.00 RCC CHEJJA

1.20

1.20 .00 PUMP HOUSE FLOOR LEVEL 384 1.00 0.50

H F L 382.50 GL 383.00

ACCESS LADER

PIPE INVERT LEVEL 365.39 0.70 PIPE INVERT LEVEL 365.793

PUMP SUCTION LEVEL 362.39

0.65 BOTTOM INVERT LEVEL 360.39 1.00

0.65

6.00 0.20 SECTION

PUMP HOUSE WALL

JACK WELL RCC WALL

MOTORS

U WINDOW

Figure: 6

North Karnataka Urban Sector Investment Program (ADB Loan No. Project IND-2312)

Client Karnataka urban Infrastructure Develpoment & Finance Corporation

Consultant DHV India Pvt. Ltd. Opp. GDA Complex Veerendra Patil Layout PLAN Sedam Road Gulbarga

Title General Drawing of Jack well cum Pump House

Drawing no: DHV/SBD/WS/DPR/JW-001 Rew.:0 Date: 31.03.2009

Drawn by: Checked: Approved: Scale: A V J 1:150

Figure 3. Proposed Jack Well cum Pump House (0.25 acres on private land)

Figure 4. Proposed Elevated Storage Reservoir I (ELSR) (0.25 acres on private land)

TOWN : SHAHABAD

30000 2000

INLET ELSR 30000

TO DISTRIBUTION

RCC Column

North Karnataka Urban Sector Investment Program (ADB Loan No. Project M.S GATE IND-2312) 3000X1500 Client Karnataka urban Infrastructure Develpoment & Finance Corporation

Consultant DHV India Pvt. Ltd. Opp. GDA Complex Veerendra Patil Layout Sedam Road Gulbarga

Title LAY OUT OF PROPOSED ELSR AT UPPER MADDI

Drawing no: DHV/SBD/WS/DPR/ELSR Rew.:0 Date: 02.04.2009

Drawn by: Checked: Approved: Scale: A V J NTS

Figure 5. Proposed Elevated Storage Reservoir II (ELSR) (0.25 acres on government land)

TOWN : SHAHABAD

30000 2000

INLET ELSR 30000

TO DISTRIBUTION

RCC Column

North Karnataka Urban Sector Investment Program (ADB Loan No. Project M.S GATE IND-2312) 3000X1500 Client Karnataka urban Infrastructure Develpoment & Finance Corporation

Consultant DHV India Pvt. Ltd. Opp. GDA Complex Veerendra Patil Layout Sedam Road Gulbarga

Title LAY OUT OF PROPOSED ELSR AT OLD SHAHABAD

Drawing no: DHV/SBD/WS/DPR/ELSR Rew.: 0 Date: 02.04.2009

Drawn by: Checked: Approved: Scale: A V J NTS

EXECUTIVE SUMMARY

1. The Investment Program will facilitate economic growth in 25 selected towns of North Karnataka and bring about urban development by means of equitable distribution of urban services in an environmentally sound and operationally sustainable manner. Tranche II improvements focus on rehabilitation and construction of water supply, sewerage, and urban drainage infrastructure as well as slum improvements and procurement of firefighting and emergency services equipment. Shahabad subprojects include water supply and slum improvements. The Investment Program is designed to minimize land acquisition and resettlement impacts.

2. The Project is designed to minimize land acquisition and resettlement impacts. Subprojects involving construction of water supply, sewerage and sanitation systems, and drainage improvements are proposed on vacant government land wherever possible, and any rehabilitation is proposed within the existing facilities’ premises to avoid land acquisition and resettlement. Overall impacts will be further minimized through careful siting and alignment during detailed design and subproject implementation.

3. The Shahabad subproject is Category B as per ADB Policy. Permanent land acquisition is required for a water treatment, elevated storage, and pumping facilities (total 2.50 acres of private land acquisition). As indicated in this RP, the nature of land acquisition will impact 2 households, 20 APs, and one institution. The RP was prepared in accordance with the agreed upon Resettlement Framework (RF) designed for the MFF.

4. Table 1 provides the summary of the resettlement impacts. Table 2 provides a summary of the sub-project components and land acquisition requirements. Table 3 provides a detailed summary of land acquisition and ownership. Impacts in Shahabad occur to vacant dry land (for WTP) or agricultural plots (for elevated storage tanks and jack well/pump house) with no structures or illegal settlers. The land takings account for only a partial amount of the title- holders total landholding. APs in Shahabad are characterized as follows: (i) one vulnerable (BPL) agricultural titled household; (ii) one ex-government official titled household; (iii) one institutional titled owner, the Hyderabad Karnataka Education Society; and (iv) seven seasonal farm laborers. There is one below-poverty-line (BPL) vulnerable household. The RP includes socio-economic profiles of the affected persons (to be updated at detailed design stage) and provides for appropriate compensation/mitigation measures for loss of land, crops, and income in accordance with the entitlement matrix (Table 7). No permanent or temporary land acquisition is anticipated for the laying of distribution networks as works are proposed within the existing roads. Any temporary impacts will be finalized during detailed design and minimized through careful siting, alignment, and site sensitive construction practices during subproject implementation.

5. Policy Framework and Entitlements. The policy frame work and entitlements for the Investment Program are based on National laws. The Land Acquisition Act 1894 (amended in 1984) and the National Policy on Resettlement and Rehabilitation for Investment Program Affected persons 2003 and ADB’s policy on Involuntary Resettlement, 1995.

6. Compensation and Income Restoration. Loss of land, structures, trees and crops and other assets will be compensated at replacement cost. A District Level Valuation Committee (DLVC) will be constituted with the representation from the Deputy Commissioner (DC), Land Acquisition Officer (LAO) Accounts officer of the Deputy Commissioner (DC), Shahabad Urban Local Body (ULB), Resettlement Officer (RO), Program Management Unit (PMU), Affected Persons (AP), Non Governmental Organizations (NGO) and Community Based Organizations (CBOs) to determine the replacement value of land and assets to be acquired. Vulnerable

households will be provided skills and livelihood trainings and income generating assets as per the Entitlement Matrix.

7. Information Dissemination, Consultation, disclosure and grievance redress. The RP was prepared in consultation with the stakeholders. Discussions and meetings were held involving stake holders, particularly the affected house holds, to determine the potential impacts of land acquisition. Information has to be continuously disseminated to the affected persons. The RP will be disclosed in ADB’s and KUIDFC’s website, and information dissemination and consultation will continue throughout program implementation.

8. Grievances will be brought first to the attention of implementing NGO or Shahabad ULB R.O. Grievances not redressed by the NGO or RO will be brought to Grievances Redressal Committee (GRC), established at Shahabad District HQ. GRCs will have representation from AP households (including vulnerable), Shahabad ULB, EA, NGOs and CBOs. The GRC will determine the merit of each grievance and resolve the grievance within a month of receiving the complaint, failing which the grievance will be addressed by the DC. The DC will hear appeals against the decisions of the GRC. Further if not resolved the grievance will be referred by APs to appropriate Court of Law.

9. Institutional framework, resettlement costs, and implementation schedule. The Karnataka Urban Infrastructure Development and Finance Corporation (KUIDFC) is the EA responsible for implementing the investment program. Shahabad ULB will act as implementing agency (IA). A dedicated officer at the PMU and LAOs at the subdivisional offices will coordinate land acquisition and resettlement activities. The RO, Shahabad ULB and Implementing NGO will be responsible for the Resettlement Plan Implementation. District Level Valuation Committee (DLVC) will decide the cost of Land Acquisition and Resettlement for Water Treatment Plant (WTP) in HKE society land, one ELSR in old Shahabad and another ELSR in Upper Maddi area and Jack Well Cum Pump House near Hungunta village of Shahabad.

10. Monitoring and Evaluation. SRP implementation will be closely monitored to provide the PMU with an effective basis for assessing the resettlement progress and identifying potential difficulties and problems. Internal monitoring will be undertaken by the Shahabad ULB to track the indicators such as the number of families affected, resettled, assistance extended, infrastructure facilities provided and financial aspects such as compensation paid and grant extended. Job charts will be prepared and these job charts will indicate the targets to be achieved during the month. Monthly progress report shall be prepared and submitted by the NGO to the PMU, reporting actual achievements against the targets fixed in their respective job charts and reasons for shortfalls, if any. The PMU will be responsible for managing and maintaining AP databases, documenting result of AP census and verifying the asset for assessing the SRP implantation impacts. The PMU will appoint an independent agency to undertake external monitoring to document: (i) restoration of income levels; (ii) changes and shifts in occupation pattern; (iii) performance of NGO/ Shahabad ULB, and PMU in resettlement implementation. The independent agency will monitor the sub-projects twice a year and submit reports directly to the PMU. The PMU will submit all reports to ADB for review on a quarterly basis.

I. SCOPE OF LAND ACQUISITION AND RESETTLEMENT

A. Introduction

B. Scope of Land Acquisition and Resettlement

3. The Shahabad subproject is Category B as per ADB Policy. Permanent land acquisition is required for a water treatment plant (WTP), two elevated storage tanks, and a jack well facility with pump house. One elevated storage tank is proposed on government owned land. The total area of private land acquisition is 2.50 acres. As indicated by this Shahabad RP, the nature of land acquisition is not significant (2 households, 20 APs, and one institution).1 The RP was prepared in accordance with the agreed upon Resettlement Framework (RF).

4. Table 1 provides the summary of the resettlement impacts. Table 2 provides a summary of the sub-project components and land acquisition requirements. Table 3 provides a detailed summary of land acquisition and ownership. Impacts in Shahabad occur to vacant dry land (for WTP) or agricultural plots (for elevated storage tanks and jack well/pump house) with no structures or illegal settlers. The land takings account for only a partial amount of the title- holders total landholding. APs in Shahabad are characterized as follows: (i) one agricultural titled household; (ii) one ex-government official titled household; (iii) one institutional titled owner, the Hyderabad Karnataka Education Society; and (iv) seven seasonal farm laborers. There is one below-poverty-line (BPL) vulnerable household. The RP includes socio-economic profiles of the affected persons2 (to be updated) and provides for appropriate compensation/mitigation measures for loss of land, crops, and income in accordance with the entitlement matrix (Table 7). No permanent or temporary land acquisition is anticipated for the laying of distribution networks as works are proposed within the existing roads. Any temporary impacts will be finalized during detailed design and minimized through careful siting, alignment, and site sensitive construction practices3 during subproject implementation.

1 One of the land owners (for the 2.0 acres of land acquisition for the WTP in Shahabad) is an institution, the Hyderabad Karnataka Education Society. The area of land for acquisition accounts for only a small portion of their total landholding and is considered unoccupied, vacant, dry land. 2 As official 4(1) notification was not issued at the time of survey, not all socioeconomic information could be obtained from APs. The RP is to be updated/revised with detailed socioeconomic information where any gaps in information exist. 3 Each civil contract includes an environmental management plan (EMP) with the following site sensitive construction practices to be adhered to by the contractor to minimize temporary impacts: Leave spaces for access between mounds of soil; Provide walkways and metal sheets to maintain access across trenches for people and vehicles

Table 1: Proposed Subproject Components and Scope of LA in Shahabad Impact Shahabad Water Supply and Slums Subprojects Permanent Land Acquisition (ha) 2.50 Permanently Affected Households (AHs) 2 (20 APs) and 1 institution Titled AHs 2 Non-titled AHs 0 BPL AH 1 Female-headed AH 0 IP/Schedule Caste AH 0 Affected Trees/Crops 0 trees Crops – Jowar, green gram Affected Common Structures 0 Average Family Size 10 Income Sources Permanently affected Farming persons

Table 2: Proposed Subproject Components and Scope of LA in Shahabad Involuntary SN. Sector Sub-Project Components Scope of LA and Resettlement Resettlement No. Category Laying of water network for 3 Zones 1, 2 and 3 of Pipe laying for water will be within road corridors, possibly requiring 30 km length to cater to a future 2041 population temporary relocation of hawkers. Temporary impacts possible. To size of 116,480 be determined at detailed design WTP to be constructed on 2.0 acres of private land owned by Developing a Water Treatment Plant of 14.5 MLD institutional body, the HKE Society LA required. No Displacement to cater to a future 2041 population size of 116,480. envisaged. (i) Water supply Jack Well Cum Pump House 0.25 Acre private agriculture land B Jack Well Cum Pump House near Hungunta village. LA required. No Displacement envisaged. For one ELSR 0.25 acres required on private agriculture land near Upper Maddi area LA required. No Displacement envisaged. 2 Elevated Storage Reservoirs of 5 lakh liters

capacity for each ELSR The other ELSR, 0.25 acres required on government owned land. No LA or resettlement required. Total Private Land Acquisition 2.50 acres

Table 3: Details of Land Proposed for Acquisition of WTP, Jack Well cum Pump House, and two ELSRs

Public/ # of APs Owner Name (names Proposed Sl. Survey Private owned Soil Component removed to protect Land for Land Type Crops No. No. Type privacy) acquisition

1 184 WTP Private 2.00 acres Black Dis-integrate Open land NA rock 2 53 Jackwell Pump Private 0.25 Acre Black Dry Jowar and 19 Green gram

3 CMC ELSR Public 0.25 Acre Black Dry Open land NA 157 4 215/1aa ELSR Private 0.25 Acre Black Dry Jowar and 1 green gram

Table 4: Socio-Economic Data of Affected Persons Sex Age Sl. No. Sl. in acres in acres privacy) income of Education Subsidiary Subsidiary Household Household Occupation income form affected Land Name of Land owner (Names Total Extent of Average annual Average annual Main Occupation with Land Owner Total area of land Members Relation Relation Members Household Assets Assets Household Land Proposed for Acquisition in acre removed to protect Jackwell Pump Site (0.25 acre) 1 Owner 55 Male 5th Agriculture Agriculture 0.34 acre 0.25 acre 12000 4000 TV 2 Wife 50 Female Illiterate Agriculture Agriculture

3 Son-1 30 Male Illiterate Agriculture Coolie 4 Daughter in law 25 Female Illiterate Agriculture Coolie

5 Grand son 8 Male - - - 6 Grand Daughter 6 Female 1st Studying -

7 Grand Daughter 5 Female - - - 8 Son-2 28 Male Illiterate Agriculture Coolie

9 Daughter in law 26 Female Illiterate Agriculture Coolie

10 Grand Daughter 7 Female 1st Studying -

11 Grand Son 5 Male - - - 12 Grand Daughter 3 Female - - - 13 Grand Son 1 Male - - - 14 Son -3 27 Male PUC Agriculture Coolie 15 Daughter in law 25 Female PUC Agriculture Coolie 16 Son -4 25 Male Illiterate Agriculture Coolie 17 Daughter in law 23 Female Illiterate Agriculture Coolie

18 Son -5 19 Male PUC Studying

19 Daughter 18 Female PUC Studying

ELSR (0.25 acre) 20 4 Owner Male Retired 0.25 acre government

4 The socioeconomic profile of this owner is to be updated after official government 4(1) notification.

employee

II. SOCIOECONOMIC INFORMATION/PROFILE OF AFFECTED PEOPLE

5. The land owners of Shahabad are identified in survey no. 184, 53, CMC 157, 215/1aa in old Shahabad, Upper Maddi and near Hungunta village. A survey of the two subproject affected households (20 APs) was carried in 2nd and 27th June 2009. The survey will need to be updated as detailed designs are finalized by the technical design team and subsequent government 4(1) notifications are issued. Table 4 provides the socioeconomic data of the 20 APs. At the time of survey, one land owner (proposed ELSR near upper Maddi) was unwilling to give socioeconomic data as 4(1) had not been issued. The president of HKE Society has given the details regarding society land. Land records were also checked to verify the details of ownership. The government expressed an interest to engage in direct negotiations with the land owners, if the owners are willing. The land owners indicated that Government should consider the existing market price of land and compensate accordingly. Land owners believe that the proposed WTP land and one ELSR land is in the city limit which is going to fetch them a good market price and the proposed Jackwell cum pump house land is 12 kms from Shahabad City.

A. Household Size, Sex, and Gender

6. The average family size amongst the surveyed affected households (AH) is 10. The one affected household with 19 members, 9 are men and 10 are women. The other affected household consists of one male. Both affected households live in their own homes away from the proposed land for acquisition.

7. Gender Impacts. The NKUSIP is designed to have a positive impact on women, resulting from better service delivery systems in water supply facilities at the city level and in low income/below poverty line households. None of the (land) survey numbers proposed for acquisition belongs to women/female headed households. The proposed land acquisition however will not have any potential impacts on female members of affected households. The socio-economic status of households affected by the selection of (land) survey numbers of the sub-project in Shahabad indicates no direct negative impacts, on women. A Gender Action Plan (GAP) will be implemented as part of the project to increase female participation.

B. Vulnerable Groups

8. One affected household qualifies as vulnerable under the project as they are below the poverty line (BPL). The Urban Poverty line for entire Urban Karnataka as prescribed by the Swarna Jayanthi Shahari Rozgar Yojane (National Poverty Alleviation programme) and followed by the ULBs is Rs. 23,124/- is considered as Below Poverty Line families. According to Table 4, the annual income of the affected BPL household is Rs 12000/yr.

C. Unit Costs for Land

9. The unit cost for per acre of WTP land is Rs. 83750, for Jackwell Cum Pump House site costs Rs. 72500 and the ELSR site costs Rs. 72500 as per Government rates. The land owners are interested to give up/sell the land as per the existing market price. The residual land of both households is still considered viable for agricultural production.

D. Income, Employment, Education, and other Household Details

Proposed Jackwell land owner family has an agriculture source of income and the family members are not working in any public/government/private institutions. It is found that the land

8 proposed to be acquired forms a part of their total holdings. For the Jackwell site owner, the acquired land consists of nearly 70% of the total land acquired. Both households own other land, which is also used for agricultural purposes. All affected persons speak the same language (Kannada) as that of mainstream society. They belong to Hindu religion, Talwar caste and it is found that they do not practice or possess any traditional knowledge, different from the main stream society. Of the APs, 16% are found to be literate and the children are found to be studying in primary level and youth undergoing PUC education. The proposed Jackwell land owner has ration cards and all the APs are enrolled in the voters list. The land owners grow jowar and green gram. No fruit bearing trees were found. Proposed Jackwell land owner cultivate the land with their own resources and it is found that surveyed landowner has not withstanding crop loan. For the Jack well (0.25 ac) - the land owner is losing 0.73% of his total land. For one ELSR (0.25 ac) - the land owner is losing 0.45% of his total land. It can be noted that both the owners are losing less than 1% of their total land (see Table 5 below.

Table 5. Extent & percentage of private land acquired in case of Shahabad WTP for Jack well and ELSR

Sl. Component Name of the land owner Total land Total land Percentage of No. (names removed to holding Acquired for WTP land acquired protect privacy) 1. Jackwell 34 acre 0.25 acre 0.73

2. ELSR 55 acre 0.25 acre 0.45

E. Seasonal Laborers

10. The discussion with the proposed Jackwell land owner, reveals that they cultivate the land with the help of about 7 part-time/seasonal agriculture labors. 5 It is found that as the extent of land proposed for acquisition is small, there is no major agricultural activity in this land. However, Shahabad ULB will acquire the land during non-harvesting or post harvesting period, to minimize impacts on agricultural labor in the Investment Program site. Also, advanced notice will be provided, to the extent possible, for seasonal laborers who farm affected lands in order to provide them sufficient time to seek alternative farming opportunities.

5 Seasonal labor are considered transient, therefore not working in the same plot year to year. Impacts to these people is therefore considered limited.

Table 6: Checklist followed for identification of IPs – Shahabad WTP, ELSR and Jack Well cum Pump House site

Impact on indigenous peoples (Ips)/ Not Yes No Remarks or identified problems, if any Ethnic minority (EM) Known Are there Ips or EM groups present in Investment Program ADB’s Indigenous Policy uses the following characteristics to define locations? indigenous people (i) descent from population groups present in a Do they maintain distinctive customs or economic activities that given area before territories were defined; (ii) maintenance of cultural may make them vulnerable to hardship? and social identities separate from dominant societies and cultures; Will the Investment Program restrict their economic and social (iii) self-identification and identification by others as being part of a activity and make them particularly vulnerable in the context of distinct cultural group; linguistic identity different from that of Investment Program? dominant society; (v) social, cultural, economic, and political Will the Investment Program change their socioeconomic and traditions and institutions distinct from dominant culture; (vi) cultural integrity? economic systems oriented more towards traditional production Will the Investment Program disrupt their community life? systems rather than mainstream; and (vii) unique ties and attachments to traditional habitats and ancestral territories. Will the Investment Program positively affect their health, education, livelihood or social security status? Likewise, the President of India under Article 342 of the Constitution Will the Investment Program negatively affect their health, education, livelihood or social security status? uses the following characteristics to define indigenous peoples [Scheduled Tribes (ST)], (i) tribes’ primitive traits; (ii) distinctive Will the Investment Program alter or undermine the recognition culture; (iii) shyness with the public at large;(iv) geographical of their knowledge, preclude customary behaviors or undermine isolation; and (v) social and economic backwardness before notifying customary institutions? them as a Scheduled Tribe. Essentially, indigenous people have a In case no disruption of indigenous community life as a whole, social and cultural identity distinct from the ‘mainstream’ society that will there be loss of housing, strip of land, crops, trees and other makes them vulnerable to being overlooked or marginalized in the fixed assets owned or controlled by individual indigenous development processes. households?

No AP possesses the characteristics of indigenous people based on government or ADB’s policy. The LA and resettlement impacts on indigenous people, if found during detailed design, are addressed in the RF for NKUSIP.

III. OBJECTIVE, FRAMEWORK AND ENTITLEMENTS

11. The NKUSIP Resettlement Framework outlines the objectives, principles and procedures for land acquisition, compensation and other assistance measures for affected persons. For the formulation of this Short Resettlement Plan (RP), the resettlement principles outlined in the Resettlement Framework (RF) are adopted.

(i) Involuntary resettlement should be avoided wherever feasible. (ii) Where population displacement is unavoidable, it should be minimized by providing viable livelihood options. (iii) If individuals or a community must lose all or part of their land, means of livelihood, or social support systems, so that a project might proceed, they will be compensated and assisted through replacement of land, housing, infrastructure, resources, income sources, and services, in cash or kind, so that their economic and social circumstances will be at least restored to the pre-project level. All compensation is based on the principle of replacement cost. (iv) Each involuntary resettlement is conceived and executed as part of a development project or program. The APs need to be provided with sufficient resources to reestablish their livelihoods and homes with time-bound action in co-ordination with civil works. (v) The affected people are to be fully informed and closely consulted. Affected people are to be identified and recorded as early as possible in order to establish their eligibility through a population record or census that serves as an eligibility cutoff date, preferably at the project identification stage, to prevent a subsequent influx of encroachers or others who wish to take advantage of such benefits. (vi) Institutions of the affected people, and, where relevant, of their hosts, are to be protected and supported. Affected people are to be assisted to integrate economically and socially into host communities so that adverse impacts on the host communities are minimized and social harmony is promoted. (vii) The absence of a formal title to land is not a bar to ADB policy entitlements. (viii) Affected people are to be identified and recorded as early as possible in order to establish their eligibility through a population record or census that serves as an eligibility cutoff date, preferably at the project identification stage, to prevent a subsequent influx of encroachers or others who wish to take advantage of such benefits. (ix) Particular attention must be paid to the needs of the poorest affected people, and vulnerable groups that may be at high risk of impoverishment. This may include those without legal title to land or other assets, households headed by females, the elderly or disabled and other vulnerable groups, particularly indigenous peoples. Appropriate assistance must be provided to help them improve their socio-economic status. (x) The full resettlement costs are to be included in the presentation of project costs and benefits.

12. Entitlements. The entitlement matrix provides guidance for compensation, resettlement, and rehabilitation assistance planning. Lack of title / customary rights recognized under law will not be a bar to entitlement. Hence, non-titled encroachers and squatters as well as indigenous or other groups with customary rights over land or resources, if present in the project area, will be eligible for compensation (the Entitlement Matrix provides additional entitlements to vulnerable person).

13. However, people moving into the project area after the cut-off date6 are not entitled to compensation or other assistance. The Entitlement Matrix lists various types of losses, identification/eligibility and entitlements and provides basic parameters for preparation of compensation and resettlement benefits. The Entitlement Matrix provides for all possible categories of losses to ensure that all resettlement impacts of all sub-project components to be finalized during detailed design will be addressed. The Entitlement Matrix is provided below.

6 The date of 4(1) notification, issued through DC to intimate landowners bout the Shahabad sub-project and land acquisition, will be considered as cut-off date to finalize the list of titled APs. Any person who was not enumerated but can show documentation or evidence that he/she is rightfully an entitled person will be included in the list of APs. The Program Management Unit (PMU) is responsible for such verification and adjustment.

Table 7: Entitlement Matrix SI Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person 1 Loss of Homestead Owner (s) with legal 1. Replacement/market value of land or If land-for-land is DLVC11 will determine private land land, title land-for-land where feasible (including offered, ownership replacement value. agricultural compensation for non-viable residual will be in the name of land, or portions). original ULB will confirm vacant plot 2. Subsistence allowance7 based on three landowner(s).10 minimum wage rates months minimum wage rates. Charges will be during detailed socio- 3. Free transport facility or shifting limited to those for economic surveys assistance; 8 land purchased within conducted as part of the 4. Provision of all fees, taxes, and other a year of RP, determine shifting charges (registration, etc.) incurred for compensation assistance, verify all replacement land. payment and for land charges, and identify 5. Additional compensation for vulnerable9 of equivalent size. vulnerable households. households (Item 4). Vulnerable households will be identified during the census conducted as a part of the RP. 2 Loss of Livelihood Business owner, 1. Assistance for lost income based on Vulnerable ULB will confirm livelihood tenant, leaseholder, three months minimum wage rates. households will be minimum wage rates or 2. Additional compensation for identified during the during detailed socio- employee/agricultural vulnerable households (Item 4). census conducted as economic surveys worker a part of the RP. conducted as part of the RP, and through NGOs will determine assistance for loss of business, and will identify vulnerable households. 3 Loss of Standing Owner/ farmer with 1. Notice to harvest standing seasonal Harvesting prior to ULB will ensure trees and trees and legal title, tenants, crops. acquisition will be provision of notice. crops crop leaseholders, 2. If notice cannot be provided, accommodated to the sharecroppers, compensation for standing crop (or extent possible DLVC will request the

7 Subsistence allowance is a transitional allowance for APs provided for utilization/consumption until an alternate source of livelihood is obtained. 8 Shifting assistance will be a one-time payment decided based on the amount of material/assets to be shifted and the distance. Alternatively the ULB may provide free transport facilities. 9 Vulnerable household comprise female-headed household, disabled-headed household, indigenous person-headed households and Below Poverty Line households. 10 Joint ownership in the name of husband and wife will be offered in case of non-female-headed households. 11 The District Level Valuation Committee (DLVC) chaired by Deputy Commissioner will be responsible for determining the Replacement Value of land and structures. Other members of the DLVC shall comprise the Land Acquisition Officer of the Project Management Unit (IPMU), the ULB’s Resettlement Officer, representative of the Affected Persons, and the implementing NGO.

SI Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person encroachers or share of crop for sharecroppers) at Work schedules will Departments of squatters market value. avoid harvest season. Agriculture, Forest, and 3. Compensation for perennial crops and Market value of Horticulture to undertake fruit bearing trees at annual net trees/crops has to be valuation of standing product market value multiplied by determined. crops, perennial crops remaining productive years. and trees. 4. Compensation for non-fruit trees at market value of timber. DLVC will finalize 5. Subsistence allowance for one compensation rates in cropping cycle in case of seasonal consultation with APs. crops. 4 Impacts on All impacts Vulnerable APs 1. Land. Further to Item 1, in case of loss Vulnerable ULB will identify Vulnerable of private land, land-for-land households will be vulnerable households, APs12 compensation if feasible/available. identified during the confirm minimum wages, 2. Livelihood. Vulnerable households will census conducted as and through NGOs will be prioritized in Investment Program a part of the RP. determine assistance for employment. Skills training and If land-for-land is loss of business. subsistence allowance based on three offered, ownership in months minimum wage rates to the name of original augment current livelihood. landowner(s). Assistance up to a maximum limit of Rs.30,000 for purchase of income generating assets. 13 5 Temporary Commercial Owners, tenants, 1. Provision of alternative sites for During construction, ULB will identify disruption and leaseholders, hawkers and vendors for continued the ULB will identify alternative sites for of agricultural sharecroppers, economic activity will be part of project alternative temporary economic activity, and livelihood activities employee/agricultural design where possible. sites for vendors and will confirm minimum workers, hawkers or 2. In case alternative sites cannot be hawkers to continue wage. vendors. provided, allowance based on economic activity. minimum wage rate will be provided. 3. Free transport facility or shifting ULB and IPMU will assistance. ensure civil works will 4. Compensation for agricultural losses be phased to (Item 3). minimize disruption. 6 Any other 1. Unanticipated involuntary impacts ULB loss not shall be documented and mitigated identified based on the principles provided in

12 Vulnerable household comprise female-headed household, disabled-headed household, indigenous person-headed households and Below Poverty Line households. 13 NGO will assist the ULB in beneficiary identification, purchasing income generating assets etc. Examples of income generating assets are tools for carpenters or mechanics, sewing machines for tailors etc., which would be AP-specific.

SI Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person the ADB IR Policy.

Table 8: Statement for the proposed 2.50 Acres of Land Acquisition for proposed WTP, ELSR, Jack Well Cum Pump House for Shahabad town

Sl No Details For 2.75 Acres of Land Remarks 1 No of Land Owners 3 One site belongs to an institution, the HKE society 2 No of Affected Farming Families 2 3 No of Affected persons 20 (Proposed Jackwell land Socioeconomic to owner and ex-government be updated during official) detailed design and after 4(1) notification 4 Crops impacted Yes (no fruit bearing trees) - 5 Budget - a Compensation to be paid to the land Owners Based on the Land Acquisition As per the Act, 1894(Amended in 1984) and Entitlement Matrix the National Policy on Resettlement for Investment Program Affected Persons, 2003. Compensation to ensure replacement value. b Registration charges for the Land As per the Govt Rate As per the Entitlement Matrix c Subsistence Allowance to be paid to the As per the directions of Govt for As per the Affected Persons including additional 10 members Subsistence Entitlement Matrix provisions for vulnerable persons allowances based on three months minimum wage rates.

d NGO Charges As per the Project Norms Note: Based on the Land Acquisition Act, 1894 (Amended in 1984) and the Nation Policy on Resettlement for Investment Program Affected Persons, 2003.DLVC: The District Level Valuation Committee chaired by Deputy Commissioner will be responsible for determining the Replacement Value of land and structures. Other members of the DLVC shall comprise the Land Acquisition Officer of the Project Management Unit (PMU), the ULB’s Resettlement Officer, representative of the Affected Persons, and the implementing NGO.

IV. CONSULTATION AND GRIEVANCE REDRESS PARTICIPATION

A. Information Dissemination, Consultation, and Disclosure Requirement

1. Discussions were held with land owners of identified survey numbers occurred on 2nd and 27th of June 2009. The existing WTP locations at HKE society, Jack Well Cum Pump House near Hungunta village and one ELSR at Upper Maddi area and another one ELSR at old Shahabad were determined based on a detailed topographic survey and further consultation with City Municipal council.

2. Shahabad ULB officials disclosed the information about the Investment Program and the sub project proposed in Shahabad. Suitability of identified land for WTP was also explained to all affected landowners. However, landowners expressed interest in knowing the procedures for land acquisition and the approximate amount of compensation which will be offered to them under the Investment Program. It was communicated during consultations that the Shahabad ULB will disclose all relevant information about land acquisition to APs, and that it is mandatory under the Investment Program.

3. Consultations with APs indicate that the APs wanted compensation that will permit them to buy land of similar area and potential in the open market and possibly involve similar commuting patterns and costs as the land to be acquired. All APs indicated preference for cash compensation instead of land-for-land option.

4. Further, during SRP implementation, the implementing Non Governmental Organization (NGO) will ensure each AP is consulted to inform them about the outcome of the decision- making process, and confirm how their views were incorporated in sub-project design. Copies of the relevant project information will be made available both in English and Kannada at the Shahabad ULB Office for reference. The SRP shall be brought to the notice of all APs with the help of the implementing NGO. The NGO will also implement rehabilitation activities as per the Resettlement Plan, and develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status.

5. Consultations with APs indicate that they prefer compensation at replacement value which can permit them to buy land of similar area and potential in the open market possibly involving similar commuting requirements and costs as their current land. The Investment Program ensures compensation at replacement value through the District Level Valuation Committee (DLVC). The Investment Program will also pay for all fees, taxes, and other charges (registration, etc.) incurred for replacement land. All APs indicated preference for cash compensation instead of land-for-land option.

B. Grievance Redressal Mechanisms

6. A Grievance Redressal Committee (GRC) will be formed to ensure that grievances are addressed in a timely manner, facilitating timely project implementation. The GRC will comprise representatives from APs (ensuring representation of vulnerable households), local government/Shahabad ULB, Investment Program Officials – Deputy Project Director of NKUSIP, and NGOs/ community based organizations (CBOs). The GRC will redress grievances at the local-level in a consultative manner and with the participation of the affected households, or their representatives. GRC meetings will be convened as necessary to address complaints as they arise. The time and date of GRC meetings will be announced to APs by the implementing NGO and RO a week in advance. To further ensure GRC accessibility to APs, the implementing NGO and RO will inform APs on grievance redressal procedures, the functions of the GRC, and

17 how to access the GRC. The grievance redressal process is shown in Figure 6. The first level of screening of grievances shall be undertaken by the implementing NGO and the Shahabad ULB Resettlement Officer (RO). Only major grievances shall be placed before the GRC. The GRC will determine the merit of each grievance and attempt to resolve the same within a month from the date of lodging of complaints, failing which the grievance shall be addressed to the Deputy Commissioner (DC). The GRC shall forward grievances of serious nature immediately on receipt of complaint to the DC. The DC will hear appeals against the decisions of GRC. The decision of DC is final and cannot be contested in any other forum except in the Court of Law. All costs incurred in resolving the complaints will be borne by the Shahabad ULB.

Figure 6: Grievance Redressal Process

Affected Persons

Major Grievances Implementing Grievance

NGO and RO Addressed

Not Addressed Major Grievances

GRC

Grievance Addressed

Not Addressed

Deputy Commissioner Grievance Addressed

Not Addressed

COURT

V. COMPENSATION AND INCOME RESTORATION

A. Compensation

7. All Affected Persons will be entitled to resettlement and rehabilitation benefits as per the Entitlement Matrix. In case of land acquisition, the replacement cost will form the compensation. DLVC will determine the replacement value of the land. Loss of income/livelihood will be compensated within the overall resettlement package in accordance with the entitlement matrix. Compensation and Resettlement package entitlements will be paid before taking the possession of land. In case there remains an outstanding loan taken on the land proposed for acquisition, if not repaid till the time of acquisition, a portion will be deducted from the total compensation, and the rest will be settled in a phased-manner, in consultation with the AP.

8. Payment of land price and other approved package of assistance will be made to the titleholder through the issuance of a bank cheque to ensure a transparent disbursement process. The cheque will be issued by the DC, after the Shahabad ULB deposits the amount with the DC. Payment to APs is to be done before contract award, or by latest before commencement of civil works.

B. Income Restoration

9. APs affected by permanent land acquisition for the proposed WTP sites have been identified. The Investment Program will provide the two affected households subsistence/transitional allowance for three months based on minimum wages and will provide free transport facilities/shifting assistance since the land to be acquired from the APs is a source of income, APs will be provided assistance for lost income based on three months minimum wage rates. Land is proposed for acquisition during the non cropping season, to minimize the negative economic impacts on APs, including season (part-time) farm laborers.

10. APs have been consulted during the discussion and socio-economic survey. The Shahabad ULB will identify if land-for-land compensation is feasible for 2.50 Acre of land and will provide the option to APs. If, APs go for replacement land option; the Shahabad ULB will provide all fees, taxes, and other charges incurred for the replacement land.

11. APs for other components of the sub-project which are anticipated to experience temporary impacts from laying of pipes and road improvement will be provided assistance in restoring their income in accordance with the Entitlement Matrix. Income restoration schemes will be designed in consultation with APs. Income restoration schemes will be tailored to the needs, capabilities and preferences of APs, and the absorptive capacity of the local economy. The Strategy for Income Restoration will be prepared prior to land acquisition. The NGO will implement all rehabilitation measures with APs.

12. The Investment Program will provide APs with (i) subsistence/transitional allowance, and (ii) shifting assistance to restore the APs income in the very short-term.

VI. INSTITUTIONAL FRAMEWORK

13. Effective Short Resettlement Plan preparation and implementation will be ensured through coordination between Gulbarga District Authorities, the Shahabad ULB as acquisition authority and the PMU. The Shahabad ULB will have the responsibility of ensuring that SRPs are finalized and approved prior to award of contracts for the sub-project, and for monitoring any changes to project design, which may require re-evaluation of the need for and adequacy of the SRP. The Shahabad ULB will hire an experienced NGO to assist in the implementation of the

Resettlement Plan. The Implementing NGO’s main activities will include AP counseling and encouraging productive utilization of compensation and rehabilitation grants. The NGO will also implement rehabilitation activities as per the Resettlement Plan, and develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status. The Shahabad ULB will also designate a Tahsildar as RO to supervise and conduct internal monitoring of the implementation work. The RO will be adequately supported by the DLVC in terms of all valuations, due diligence carried out on affected persons, properties and Empowered Committee decision on acquisition.

14. The PMU will ensure that the land acquisition and rehabilitation processes followed under the Investment Program comply with ADB’s Involuntary Resettlement Policy. The Investment Program consultant (PC) appointed by PMU will undertake the census and detailed socio-economic surveys. A Special Land Acquisition Officer (Revenue Department) at the PMU will monitor the process of SRP implementation. Figure 7 illustrates the resettlement plan implementation arrangements.

Figure 7: Implementation Arrangements

Project

Apex Management

NGO, CAPP Unit

Special Land Acquisition Officer

DO,

Bellary

Land Acquisition Officer

Resettlement Officer at ULB

Implementing NGO

VII. RESETTLEMENT BUDGET AND FINANCING

15. The unit costs for compensation and assistance have been broadly estimated. These include replacement cost of land, subsistence allowance, registration costs etc. The sub project component (WTP, Jack Well Cum Pump House and one ELSR (another one ELSR belongs to ULB land) budget for permanent land acquisition and resettlement will be decided by DLVC.

Table 9: Estimated Resettlement Budget Total No Unit Rate/acre Impact Quantity Amount Remark (estimated) (In Rs.) A. Land Acquisition Cost 1. 83,750 DLVC will 1. WTP 2.00 acre 1. 167,500 Loss of private 2. 72,500 determine 1. 2. Jackwell 0.25 Acre 2. 18,125 agricultural land (WTP ) 3. 72,500 replacement value 3. ELSR 0.25 Acre 3. 18,125 of the land.

Sub Total A 203,750 B. Resettlement Cost There is one BPL household. Additional assistance Rs. 100 per day X Minimum wage rate 2. for vulnerable 1 HH 9,000 90days will be confirmed by households PMU at time of compensation. ULB will confirm Assistance for lost Rs. 100 per day X minimum wage income based on three 11 working persons 3. 90days 99,000 rates as part of the months minimum wage SRP, verify all rates. charges. 1. WTP 2.00 acre 1. 16,750 Registration cost of 2. Jackwell 0.25 Acre Approximately 10% of 2. 1,813 4. transferred land 3. ELSR 0.25 Acre Total Land Cost 3. 1,813

Sub Total B 128,376 C. Implementation Implementing NGO – Including over all 5. seven months (Included LS 210,000 NKUSIP Cost in the NKUSIP Cost) Contingency 10% of the 6. 21,000 total cost Sub Total C 231,000 Grand Total 563,126

**Based on the Land Acquisition Act, 1894(Amended in 1984) and the Nation Policy on Resettlement for Investment Program Affected Persons, 2003. DLVC: The District Level Valuation Committee chaired by Deputy Commissioner will be responsible for determining the Replacement Value of land and structures. Other members of the DLVC shall comprise the Land Acquisition Officer of the Project Management Unit (PMU), the ULB’s Resettlement Officer, representative of the Affected Persons, and the implementing NGO.

VIII. IMPLEMENTATION SCHEDULE

16. All land has to be provided free of any encumbrances before the start of civil work. All land acquisition and resettlement of APs is to be completed before the award of civil contracts. The implementation process will cover (i) identification of cut-off date and notification; (ii) verification of properties of APs and estimation of their type and level of losses and distribution of identity cards; (iii) consultations with APs to address their needs, and priorities; and (iv) economic rehabilitation of the APs.

17. Timing of Resettlement. The number of permanently affected households in the sub- project is four and the process of LA and resettlement is expected to be completed within a maximum period of seven months from the date of notification. APs will have to be given sufficient notice to vacate their property before civil works begin. No civil works will begin till APs receives the approved compensation package, a broad implementation schedule for resettlement and rehabilitation.

18. Land Acquisition. Civil works are linked with the completion of land acquisition. In this case all land transfers from the Government have to be completed. Depending on the ownership, the Shahabad ULB would need to coordinate with the relevant Government of Karnataka, in this case the DC’s office and the Revenue Department.

19. Affected Person’s Identity Card. All eligible APs will be issued identity cards, giving details of the type of losses and type of entitlements. This card will be verified by IPMU, NGO and the AP, and signed by all parties. Each AP will be given a copy. The IPMU should issue identity cards to all APs, at the earliest possible time to ensure that opportunistic squatters and encroachers are not encouraged.

Table 10: Tentative Implementation Schedule Sl. Land Acquisition & Resettlement Start Date Completion No. Activities Date 1 Detailed Land identification & Survey, Dec 08 Feb 09 Marking of plots 2 Consultation & Disclosure Jun 09 July 09 3 Verification of Socio-economic survey and May 09 May 09 APs 4 Preparation of LA Plan April 09 April 09 5 Preparation of SRP June 09 June 09 6 Revision in SRP and approval Aug 09 Sept 09 7 Payment of compensation and Oct 09 Nov 09 engagement of implementing NGO 8 Possession of acquired property Nov 09 Nov 09 9 Internal Monitoring Aug 09 Dec 09 10 Handing over acquired lands to Dec 09 Dec 09 contractors for construction 11 Start of Civil works Dec 09 / Jan 2010 -

IX. MONITORING AND EVALUATION

20. The implementing NGO will submit monthly reports to PMU. Shahabad ULB officials will carry out internal monitoring. Job charts will be given to the RO. The job charts will indicate the

25 targets to be achieved during the month. Monthly progress report shall be prepared and submitted to PMU, reporting actual achievements against the targets fixed in their respective job charts and reasons for shortfalls, if any. SRP implementation will be closely monitored to provide PMU with an effective basis for assessing resettlement progress and identifying potential difficulties and problems. For monitoring and evaluation (M&E), the PMU will appoint an independent agency/Apex NGO to undertake external monitoring for the entire sub-project (this agency will provide an independent view of the Investment Program progress and should not be confused with the implementing NGO appointed by the Shahabad ULB to oversee Investment Program implementation). The independent agency/Apex NGO will conduct mid term review and review on completion of SRP activities and submit its reports directly to the PMU. The PMU will submit all M&E reports to the ADB for review on quarterly basis.

Annex A: List of Participants / Officials Consulted

(A survey was carried out on 2nd and 27th June 2009)

LANDOWNERS/ MEMBERS OF LANDOWNER’S FAMILY PARTICIPATED IN SOCIO-ECONOMIC SURVEY

1. President of HKE Society 2. Sidram Saibanna Karolli 3. Gurunath Ex MLA

SHAHABADULB Officials Consulted for identification of survey no’s and for conducting Socio-Economic survey

1. Mr. Commissioner, CMC, Shahabad 2. Mr. A.E.E., CMC, Shahabad 3. Mr., A. E, CMC Shahabad

Other Government Officials Consulted for identification of survey no’s and for conductingSocio-Economic survey

1. Mr., Deputy Project Director, KUIDFC Gulbarga 2. Mr. Chandrshekhar E. E KUIDFC Gulbarga 3. Mr. Shyamrao, A.E.E, KUIDFC Gulbarga