North Karnataka Urban Sector Investment Program

Resettlement Planning Document

Short Resettlement Plan for Haveri Sub-projects Document Stage: Revised Project Number: 38254-01 August 2006

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.

Currency Equivalent

Currency Unity : Indian Rupee/s (Re/Rs) Re. 1.00 : US$ 0.022 US$ 1.00 : Rs. 45 : :

Abbreviations and Acronyms

ADB : Asian Development Bank AP : affected person BPL : below poverty line CBO : community based organization CDO : Community Development Officer DC : Deputy Commissioner DLVC : District Level Valuation Committee EA : Executing Agency GoK : Government of Karnataka GRC : Grievance Redress Committee ha : hectare IA : Implementing Agency 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 : nongovernmental organization NKUSIP : North Karnataka Urban Sector Investment Program NPRR : National Policy for Resettlement and Rehabilitation PC : Investment Program Consultants IPMU : Investment Program Management Unit RF : resettlement framework RP : resettlement plan STP : sewage treatment plant ULB : Urban Local Body

Contents

Executive Summary 1

I. Scope of Land Acquisition and Resettlement 3 A. Socioeconomic Information of Affected Persons 6 B. Consultations 8 C. Cut-Off Date 8

II. Objective, Framework and Entitlements 8

III. Consultation and Grievance Redress Participation 21 A. Information Dissemination, Consultation, and Disclosure Requirement 21 B. Grievance Redressal Mechanism 22

IV. Compensation and Income Restoration 23 A. Compensation 23 B. Income Restoration 23

V. Institutional Framework 24

VI. Resettlement Budget and Financing 25

VII. Implementation Schedule 26

VIII. Monitoring and Evaluation 27

iii

Annexure

Annex A: Socio-economic Data of Affected Persons………………………………………………….1 Annex B: List of Participants / Officials Consulted……………………………………………………3 Annex C: Gender Action Plan………………………………………………………………………….4 Annex D: Outline Terms of Reference for Implementing NGO ………………………………………8

Tables

Table 1: Proposed Sub-Project Components in Haveri...... 4 Table 2: Details of Land Proposed for Acquisition ...... 5 Table 3: Resettlement Budget...... 26 Table 4: Implementation Schedule ...... 28

Maps

Map 1: Location of STP, Haveri Map 2: STP Layout, Haveri

Executive Summary

The Investment Program will facilitate economic growth in 25 towns of North Karnataka and cause urban infrastructure development through urban basic services in an environmentally sound and operationally sustainable manner. The Investment Program will finance investment in the sectors of (i) water supply; (ii) sewerage and sanitation; (iii) urban drainage; (iv) urban roads; (v) poverty alleviation; (vi) non-municipal infrastructure inclusive of development/conservation of lakes, expansion of fire services, development of tourism facilities; (vii) institutional development; and (viii) investment program assistance.

The Investment Program is designed to minimize land acquisition and resettlement impacts. Subprojects involving rehabilitation will be accommodated within the existing facilities’ premises and will not involve land acquisition and resettlement. Sub-projects involving construction of water supply systems, sewage treatment plants, and non-municipal infrastructure are proposed on Government land wherever possible. The overall resettlement impacts are to be further avoided or minimized through careful sub-project siting and alignment during detailed design and sub-project implementation.

Scope of Land Acquisition and Resettlement. This resettlement plan (RP) was prepared for Haveri sample sub-projects. Of 13 hectares (ha) required for the sewage treatment plant (STP), 4 ha is Government land. Permanent land acquisition of 9 ha is required for the STP. There are no structures in the 9 ha currently used only for agriculture. Four households cultivating the land will be affected. No permanent or temporary land acquisition is anticipated for the road resurfacing component. Laying of pipes may affect roadside hawkers and vendors for short periods. The Investment Program will identify suitable temporary alternative sites during detail design to enable APs continue their activities during construction. Upon construction completion, APs will be able to resume their activties at their original locations. Further detail will be provided in updated RPs to be prepared following detailed design.

Policy Framework and Entitlements. The policy framework 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.

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 will be constituted with representation from the Deputy Commissioner (DC), Land Acquisition Officer (LAO), Accounts Officer of the Collectorate, Haveri Urban Local Body (ULB) Resettlement Officer (RO), Investment Program Management Unit (IPMU), affected persons (APs), nongovernmental organizations (NGOs), and community based organizations (CBOs) to determine the replacement value of land and assets to be acquired. Vulnerable households will be provided additional assistance in the form of land-for-land replacement options, priority in employment for sub-project activities, skills and livelihood training, and income generating assets. Short-term income restoration activities include the provision of short-term allowances such as (i) subsistence allowances (three months); and (ii) shifting assistance. Medium-term income restoration activities such as provision of income generating assets, and longer-term skills training will also be provided by the Investment Program.

Information Dissemination, Consultation, Disclosure and Grievance Redress. The RP was prepared in consultation with stakeholders. Discussions and meetings were held involving stakeholders, particularly affected households; and a socio-economic survey was conducted to determine the potential impacts of land acquisition. Information has been and continues to be

disseminated to APs. Local language versions of the RP and the resettlement framework have been made available in the Haveri ULB and disclosed in the executing agency’s (EA’s) website. The RP will be disclosed in ADB’s website, and information dissemination and consultation will continue throughout program implementation.

Grievances of APs will first be brought to the attention of the implementing NGO or Haveri ULB RO. Grievances not redressed by the NGO or RO will be brought to the grievance redress committee (GRC), established in the District. GRCs will have representation from APs (including vulnerable households), Haveri ULB, EA, NGOs, and CBOs. The GRC will determine the merit of each grievance, and resolve grievances within a month of receiving the complaint; failing which the grievance will be addressed by the DC. The DC will hear appeals against decisions of the GRC. Further grievances will be referred by APs to appropriate courts of law.

Institutional Framework, Resettlement Costs, and Implementation Schedule. The Karnataka Urban Infrastructure Development and Finance Corporation is the EA responsible for implementing the Investment Program. The Haveri ULB will act as an implementing agency. A special LAO at the IPMU and LAOs at the divisional offices, will coordinate land acquisition and resettlement activities. The ROs and implementing NGO will be responsible for RP implementation. The total cost for land acquisition and resettlement for the Haveri sample sub- project is estimated at Rs 9 million. The budget will be available for disbursement upon approval of the Investment Program.

Monitoring and Evaluation. RP implementation will be closely monitored to provide the IPMU with an effective basis for assessing resettlement progress and identifying potential difficulties and problems. Internal monitoring will be undertaken by the Haveri ULB to track 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 given to the RO. The job charts will indicate the targets to be achieved during the month. Monthly progress report shall be prepared and submitted to the IPMU, reporting actual achievements against the targets fixed in their respective job charts and reasons for shortfalls, if any. The IPMU will be responsible for managing and maintaining AP databases, documenting results of AP census, and verifying asset and socio-economic survey data which will be used as the baseline for assessing RP implementation impacts. The IPMU will appoint an independent agency to undertake external monitoring to document: (i) restoration of income levels; (ii) changes and shifts in occupation pattern; (iii) changes in AP type of housing; (iv) assessment of APs access to amenities, such as water, electricity, and transportation; and (v) performance of NGO, Haveri ULB, and IPMU in resettlement implementation. The independent agency will monitor the sub-projects twice a year and submit reports directly to the IPMU. The IPMU will submit all reports to ADB for review.

I. Scope of Land Acquisition and Resettlement

1. The North Karnataka Urban Sector Investment Program (NKUSIP) will finance investment in the sectors of (i) water supply; (ii) sewerage and sanitation; (iii) urban drainage; (iv) urban roads; (v) poverty alleviation; (vi) non-municipal infrastructure inclusive of development/conservation of lakes, expansion of fire services, development of tourism facilities; (vii) institutional development; and (viii) investment program assistance. 1 The overall development goal of the NKUSIP is to facilitate economic growth in the towns of North Karnataka and bring about urban development through equitable distribution of urban basic services to the citizens that are environmentally sound and operationally sustainable. The development purpose is designed to assist Urban Local Bodies (ULBs) to “promote good urban management, and develop and expand urban infrastructure to increase economic opportunities and to reduce vulnerability to environmental degradation and urban poverty”.

2. The NKUSIP covers a total of 25 sub-project towns. Sub-project interventions are proposed in the sectors of water supply, sewerage and sanitation, drainage, and roads. Table 1 detail out the sub-project components and scope of LA and Resettlement in Haveri sample sub-projects. Land Acquisition/transfer is envisaged in the sectors of sewerage and sanitation.

3. Haveri ULB has identified 13 hectares (ha) of rainfed agricultural land, free of any structures/settlements and vegetation, in Siddhadevpur village. Of the 13 ha of land identified, 4 ha is Government land, while the remaining 9 ha needs to be acquired from private landowners.

4. Temporary disruption to mobile/ambulatory hawkers and vendors is possible during laying/rehabilitation of sewer and water pipelines and improvement to roads, which will be determined at detailed design stage. The disrupted hawkers and vendors will be provided with suitable temporary alternate sites to continue with their economic activities and will be allowed to come back to original sites soon after the completion of construction works.

1 Covering the construction of the KUIDFC building in vacant government land.

Table 1: Proposed Sub-Project Components in Haveri Sr. Sector Sub-Project Components Scope of LA and Resettlement Involuntary No. Resettlement Category

(i) Water Supply Provision of additional clear water Site for pump house will be identified on government land, free of Sc pumps of 60 HP capacity settlement, at detailed design stage. No LA and Resettlement envisaged.

Laying of distribution network of Pipe laying for distribution network will be within road corridors. Sb 38 km length to cater to 2011 Temporary LA and Relocation possible population

(ii) Sewerage and Laying of sewer network of 53 km Pipe laying for sewers will be within road corridors, possibly Sb Sanitation length to cater 67,000 population by requiring temporary relocation of hawkers– to be determined at 2011 detailed design stage. Temporary LA and Relocation possible

Developing a sewage treatment Site of 13 ha is identified at Siddhadevpur village, Partly Haveri Sb plant of 6.5 MLD to cater 74,000 ULB land, partly under private ownership. Currently under rainfed population by 2015 agricultural use, clear of any settlements. LA required, No Displacement envisaged.

(iii) Drainage Provision of outlets for secondary No LA and Resettlement envisaged. drains Sc

(iv) Roads Strengthening of following roads No LA and Resettlement envisaged. Sc a) Road From P-B Road to Devagiri - 5.25 Km b) Ganjur Road - 2.5 Km c) Railway Station Road - 1.3 Km

Sb-insignificant, Sc-none

A. Socio-economic Information of Affected Persons

1. Type of Loss and Ownership

5. For establishing the sewage treatment plant (STP), Haveri ULB has identified survey nos 33/1 (5 ha) and 33/2 (4 ha) in Siddhadevpur Village, which are currently under private ownership and are adjacent to the survey no. 32/1/1+2+3/A, ownership of which is with the Revenue Department. To assess the LA impacts in detail on these private landowners, a socio-economic survey was conducted on 23rd May 2005. Land records were also checked to verify the details of ownership. Map 1 indicates the STP location and Map 2 gives a detailed STP layout. A socio-economic database of affected persons (APs) is given in Annex A.

6. Survey no. 33/2 has a joint ownership in the name of two brothers, while the landowner of Survey no. 33/1 passed-away recently; the ownership transfer in the names of his two sons is currently underway. Table 2 gives the details of land proposed for acquisition.

Table 2: Details of Land Proposed for Acquisition Sr. Survey Owner Name Cultivator Name Land Soil Land Crop No. No. Extent Type Type Name 1 33/1 Akkai Akkai 5 Ha Black Dry Maize/ Gousemodinsaheb bin Gousemodinsaheb bin Cotton Doddagosaheb (Died Doddagosaheb (Died recently) recently) Land will transferred Land is currently in the name of his two cultivated by his two sons sons 1. Bahajan 1. Bahajan Gousemodinsaheb Gousemodinsaheb Akkai and Akkai and 2. Bashiramat 2. Bashiramat Gousemodinsaheb Gousemodinsaheb Akkai Akkai 2 33/ 2 1. Tuppada Suresh urf 1. Tuppada Suresh urf 4 Ha Black Dry Maize/ Panchaksharappa bin Panchaksharappa bin Cotton Chandrashekerappa. Chandrashekerappa. 2. Tuppada Suresh urf 2. Tuppada Suresh urf Jagadish bin Jagadish bin Chandrashekerappa Chandrashekerappa Note: The Investment Program will provide information and legal assistance to to ensure inheritance procedures are followed to ensure the sons' eligibility to receive compensation is formalized. The legal procedures to followed by the heirs are: (i) presentation of the deceased father’s / owner’s will stating who the heir is, or, in the absence of a will, (ii) a Mutation Extract from the Revenue Department or Taluk office, a “Phani” showing the extent, name of owner and nature of land, a tax paid receipt, a family tree, No Objection Certificates from other legal heirs for change of title to the claimant’s name, and, in case of lack of availability of original title deed, an advertisement in a local publication.

2. Household Details and Social Structure

7. Though the identified survey numbers are under joint ownership, families of affected landowners are of a nuclear nature. Hence, proposed land acquisition affects a total of four Households. The average family size is 6 and total Household members are 24. Two Households are Muslims (Survey 33/1) while the other two Households belong to the Hindu General Category (Survey 33/2). Of the four landowners, two landowners belonging to Muslim community are illiterate while among the Hindu landowners, one is a Bachelor of Commerce graduate and the other has a professional (Bachelor of Engineering) qualification. Among other family members, 4 are illiterates2, 5 are undertaking primary education, 9 are undertaking secondary education, and two are graduates. All the households have ration cards and eligible members of the households are included in the voters list.

3. Income and Occupational Pattern

8. Of the total household members 12 fall under non-working category3 while the remaining 12 fall in the working category. However, only the landowners are employed or engaged in income generating activities, which accounts for a dependency ratio of 1:5 for each household.

9. Survey no 33/1 landowners have agriculture as primary source of income and possess the only land, which is proposed for acquisition. Both the landowners have a Below Poverty Line (BPL) ration card. Landowners cultivate one crop (Maize or Cotton) annually – from May to October. These landowners reside in Haveri and engage themselves in construction activities during non-cropping season, November to April. The average annual income estimated from agriculture, deducting the cost of cultivation is approximately Rs.55,000 per acre. Income from subsidiary construction activities ranges from Rs. 1,500-2,500 per month, based on the work availability. As a vulnerable household, the household is entitled to additional assistance in the form of land-for-land replacement options, priority in employment for sub-project activities, skills and livelihood training, and income generating assets (Entitlement Matrix item 7).

10. Two Hindu landowners also cultivate one crop (Maize or Cotton) annually. However, agriculture is a subsidiary occupation for both of them. One landowner is a permanent employee of the Government of Karnataka (GoK) as a IInd Division Clerk, and his duty station changes every 3-4 years. Currently he is settled in Gadag. The joint landowner is settled with his family in Australia and is employed in a private company.

4. Crop Loan

11. All affected landowners obtain crop loans from banks on yearly basis to cultivate the land. The average loan size is Rs. 50,000. The loan is taken in the month of May and repaid in the month of April next year.

2 Literacy is measured for persons above 6 years age. 3 Persons below age of 14 years and above age of 60 years.

5. Employees

12. Landowners themselves cultivate the land with the help of labourers, who are employed seasonally depending on the crop(s) cultivated. There are no regular (continuously working for two or more years) agricultural labourers employed by surveyed landowners as agricultural labourers are migrant workers. Generally, three to four persons will be appointed for one season. Each person will be paid an average of Rs. 100 per day for assigned tasks with the average duration of employment being one month. The stated wages are decided based on labour required, and are accepted throughout the town. The Haveri ULB will acquire the land during non-harvesting (November to April) or post harvesting period, to minimize impacts on agricultural labourers in the Investment Program site and allow more time for them to seek employment in other agricultural lands..

B. Consultations with APs

13. The Haveri STP location was determined based on a detailed topographic survey undertaken by the Karnataka Urban Water Supply and Drainage Board (KUWSDB). A site south of the current site situated along a similar gradient was initially selected. However, the current site was chosen as it minimized losses and impacts to people. The Haveri ULB then identified likely survey nos and a socio-economic survey was conducted for landowners of identified survey nos. Annex A provides the list of all landowners covered by the socio-economic survey.

14. 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.

C. Cut-Off Date

15. A socio-economic survey was conducted to determine the likely impacts of land acquisition. The survey also helped confirm the Resettlement Framework and Entitlement Matrix. However, the date of 4 (1) notification, issued through DC to intimate landowners about the Haveri subproject and land acquisition, will be considered as cut-off date to finalize the list of 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 Investment Program Management Unit (IPMU) is responsible for such verification and adjustment.

II. Objective, Framework and Entitlements

16. The NKUSIP Resettlement Framework outlines the objectives, principles and procedures for land acquisition, compensation and other assistance measures for APs. 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 whenever feasible4.

(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 re- establish 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.

4 All viable options in sub-project design are to be explored.

(x) The full resettlement costs are to be included in the presentation of project costs and benefits.

17. 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 persons).5 However, people moving into the project area after the cut-off date 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 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.

5 While there are no encroachers and squatters affected by permanent land acquisition for the STP, there is a possibility of non-titled APs and other vulnerable APs in laying pipes and resurfacing roads which cannot be identified till detailed design.

Entitlement Matrix6 Sl Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person

1 Loss of Homestead Owner(s) 1. Replacement/market value of land or land- If land-for-land is offered, ownership DLVC11 will determine private land, with legal for-land where feasible (including will be in the name of original replacement value. land agricultural title compensation for non-viable residual landowner(s).10 land, or portions). Charges will be limited to those for land ULB will confirm vacant plot 2. Subsistence allowance7 based on three purchased within a year of compensation minimum wage rates months minimum wage rates. payment and for land of equivalent size. during detailed socio- 3. Free transport facility or shifting assistance8; Vulnerable households will be identified economic surveys 4. Provision of all fees, taxes, and other charges during the census conducted as a part of conducted as part of the (registration, etc.) incurred for replacement the RP. RP, determine shifting land. assistance, verify all 5. Additional compensation for vulnerable9 charges, and identify households (Item 7). vulnerable households.

6 Entitlement Matrix defines following terms as Subsistence Allowance: Subsistence allowance may be described as a transitional allowance which will be offered to all those APs whose livelihood is getting affected due to sub- project and which AP may utilize/consume till he/she finds another source of livelihood. The subsistence allowance will be decided based on minimum wage rates (refer Annex F of the Resettlement Framework on Minimum Wages in Karnataka) and will be paid for a maximum period of three months within which AP can look for another source of livelihood. In case of vulnerable households, the subsistence allowance for three months will be supplemented by livelihoods related skill training. Shifting Assistance: Shifting Assistance will be provided to APs to move from place proposed for acquisition to new place decided by AP. The shifting assistance will be decided depending upon the quantum of material/assets to be shifted and the distance. ULB may provide free transport facility for this. 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 the 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.

Sl Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person

1-a Loss of Homestead Tenants and 1. Subsistence allowance based on three months • Land owners will reimburse tenants and ULB will confirm land private land, leaseholders of land rental. leaseholders land rental deposit or rental and ensure tenants land agricultural 2. Additional compensation for vulnerable unexpired lease. and leaseholders receive land, or households (Item 7). • Vulnerable households will be identified reimbursement for land vacant plot during the census conducted as a part of rental deposit or the RP. unexpired lease.

ULB will identify vulnerable households. 1-b Loss of Homestead Share cropper 1. Notice to harvest standing seasonal crops. Harvesting prior to acquisition will be ULB will ensure private land, 2. If notice for harvest cannot be given, accommodated to the extent possible. provision of notice. land agricultural compensation for share of crops will be Work schedule will avoid harvest land, or provided (Item 6). season. DLVC will request vacant plot 3. Additional compensation for vulnerable Vulnerable households will be identified relevant Departments households (Item 7). during the census conducted as a part of (Item 6) to undertake the RP. crop valuation.

ULB will identify vulnerable households.

1-c Loss of Homestead Encroachers 1. 60 days advance notice to shift from o Vulnerable households will be identified ULB will ensure private land, encroached land. during the census conducted as a part of provision of notice. land agricultural 2. Additional compensation for vulnerable the RP. land, or households (Item 7). ULB will identify vacant plot vulnerable households.

1-d Loss of Homestead Squatters 1. 60 days advance notice to shift from o Vulnerable households will be identified ULB will ensure private land, occupied land. during the census conducted as a part of provision of notice. land agricultural 2. Additional compensation for vulnerable the RP. land, or households (Item 7). ULB will identify vacant plot vulnerable households.

2 Loss of Homestead Fixed-term 1. Subsistence allowance based on three months Vulnerable households will be identified ULB will confirm land Governme land, leaseholder of land rental. during the census conducted as a part of the rental.

Sl Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person

nt land agricultural 2. Reimbursement of unexpired lease. RP land, or 3. Additional compensation for vulnerable ULB will identify vacant plot households (Item 7). vulnerable households.

2-a Loss of Homestead Encroachers 1. 60 days advance notice to shift from Vulnerable households will be identified ULB will ensure Governme land, and squatters encroached land. during the census conducted as a part of the provision of notice. nt land agricultural 2. Additional compensation for vulnerable RP land, or households (Item 7). ULB will identify vacant plot vulnerable households.

3 Loss of Residential Owner(s) of 1. Replacement value of structure and other Vulnerable households will be identified DLVC will determine residential structure and residential assets (or part of structure and other assets if during the census conducted as a part of replacement value based structure other structures remainder is viable). the RP. on the BSR.13 assets12 with legal 2. Free transport facility or shifting assistance. title 3. All fees, taxes and other charges ULB will determine (registration, etc.) incurred for replacement shifting assistance, structure. verify all charges, 4. Rights to salvage material from structure and confirm minimum wage other assets. rates during detailed 5. Subsistence allowance based on three months socio-economic surveys minimum wage rates. conducted as part of the 6. Additional compensation for vulnerable RP, and identify households (Item 7). vulnerable households.

3-a Loss of Residential Tenants and 1. Replacement value of structure and other Vulnerable households will be identified DLVC will determine residential structure and leaseholders assets (or part of structure and other assets if during the census conducted as a part of replacement value based structure other assets remainder is viable) constructed by the AP. the RP. on the BSR. 2. Free transport facility or shifting assistance. Structure owners will reimburse tenants 3. All fees, taxes and other charges and leaseholders rental deposit or ULB will determine (registration, etc.) incurred for replacement unexpired lease. shifting assistance,

12 Other assets includes but is not limited to walls and fences, sheds, and wells. 13 Basic Schedule of Rates are rates for civil works determined by the Public Works Department, Government of Karnataka and revised on an annual basis.

Sl Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person

structure. verify all charges, 4. Rights to salvage material from structure and confirm minimum other assets constructed by the AP. wage rates during 5. Subsistence allowance based on three months detailed socio- minimum wage rates. economic surveys 6. Additional compensation for vulnerable conducted as part of the households (Item 7). RP, identify vulnerable households, and ensure tenants and leaseholders receive reimbursement for rental deposit or unexpired lease.

3-b Loss of Residential Encroachers 1. Replacement value of structure and other Vulnerable households will be identified DLVC will determine residential structure and and squatters assets (or part of structure and other assets if during the census conducted as a part of the replacement value based structure other assets remainder is viable) constructed by the AP. RP. on the BSR. 2. Free transport facility or shifting assistance. 3. All fees, taxes and other charges ULB will determine (registration, etc.) incurred for replacement shifting assistance, structure. verify all charges, 4. Rights to salvage material from structure and confirm minimum wage other assets constructed by the AP. rates during detailed 5. Subsistence allowance based on three months socio-economic surveys minimum wage rates. conducted as part of the 6. Additional compensation for vulnerable RP, and identify households (Item 7). vulnerable households.

4 Loss of Commercial Owner(s) of 1. Replacement value of structure and other Vulnerable households will be DLVC will determine commerci structure and commercial assets (or part of structure and other assets if identified during the census conducted replacement value based al other assets structure with remainder is viable). as a part of the RP. on the BSR. structure legal title 2. Free transport facility or shifting assistance. 3. All fees, taxes and other charges ULB will determine (registration, etc.) incurred for replacement shifting assistance, structure. verify all charges,

Sl Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person

4. Rights to salvage material from structure and confirm minimum wage other assets. rates during detailed 5. Subsistence allowance based on three months socio-economic surveys minimum wage rates. conducted as part of the 6. Additional compensation for vulnerable RP, and identify households (Item 7). vulnerable households.

4-a Loss of Commercial Tenants and 1. Replacement value of structure and other Vulnerable households will be identified DLVC will determine commerci structure and Leaseholders assets (or part of structure and other assets if during the census conducted as a part of the replacement value based al other assets remainder is viable) constructed by the AP. RP. on the BSR. structure 2. Free transport facility or shifting assistance. 3. All fees, taxes and other charges ULB will determine (registration, etc.) incurred for replacement shifting assistance, structure. verify all charges, 4. Rights to salvage material from structure and confirm minimum other assets constructed by the AP. wage rates during 5. Subsistence allowance for three months detailed socio- based on minimum wage rates. economic surveys 6. Additional compensation for vulnerable conducted as part of the households (Item 7). RP, identify vulnerable households, and ensure tenants and leaseholders receive reimbursement for rental deposit or unexpired lease. 4-b Loss of Commercial Encroachers 1. Replacement value of structure and other Vulnerable households will be identified DLVC will determine commerci structure and and squatters assets (or part of structure and other assets if during the census conducted as a part of the replacement value based al other assets remainder is viable) constructed by the AP. RP. on the BSR. structure 2. Free transport facility or shifting assistance. 3. All fees, taxes and other charges ULB will determine (registration, etc.) incurred for replacement shifting assistance, structure. verify all charges, 4. Rights to salvage material from structure and confirm minimum wage

Sl Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person

other assets constructed by the AP. rates during detailed 5. Subsistence allowance based on three months socio-economic surveys minimum wage rates. conducted as part of the 6. Additional compensation for vulnerable RP, and identify households (Item 7). vulnerable households.

5 Loss of Livelihood Business 1. Assistance for lost income based on three Vulnerable households will be identified ULB will confirm Livelihoo owner, months minimum wage rates. during the census conducted as a part of minimum wage rates d tenant, 2. Additional compensation for vulnerable the RP. during detailed socio- leaseholder, households (Item 7). economic surveys or employee/ conducted as part of the agricultural RP, and through NGOs worker will determine assistance for loss of business, and will identify vulnerable households. 6 Loss of Standing Owner/ 1. Notice to harvest standing seasonal crops. Harvesting prior to acquisition will be ULB will ensure trees and trees and farmer with 2. If notice cannot be provided, compensation accommodated to the extent possible provision of notice. crops crop legal title, for standing crop (or share of crop for Work schedules will avoid harvest tenants, sharecroppers) at market value. season. DLVC will request the leaseholders, 3. Compensation for perennial crops and fruit Market value of trees/crops has to be Departments of sharecroppers bearing trees at annual net product market determined. Agriculture, Forest, and , encroachers value multiplied by remaining productive Horticulture to or squatters years. undertake valuation of 4. Compensation for non-fruit trees at market standing crops, value of timber. perennial crops and 5. Subsistence allowance for one cropping trees. cycle in case of seasonal crops. DLVC will finalize compensation rates in consultation with APs.

Sl Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person

7 Impacts All impacts Vulnerable 1. Land. Further to Item 1, in case of loss of Vulnerable households will be identified ULB will identify on APs private land, land-for-land compensation if during the census conducted as a part of vulnerable households, Vulnerabl feasible/available. the RP. confirm minimum e APs14 2. Residential Structure. Further to Item 3, in If land-for-land is offered, ownership in wages, and through case of loss of residential structure, the name of original landowner(s). NGOs will determine subsistence allowance for three months based assistance for loss of on minimum wage rates, and skill training business. for vulnerable households. 3. Commercial Structure. Further to Item 4, in case of loss of commercial structure, subsistence allowance based on three months minimum wage rates, and skill training for vulnerable households including assistance up to a maximum limit of Rs.30,000 for purchase of income generating assets. 4. Livelihood. Vulnerable households will be prioritized in project employment. Skills training and subsistence allowance based on three months minimum wage rates to augment current livelihood. Assistance up to a maximum limit of Rs.30,000 for purchase of income generating assets.15

8 Temporar Land Owner(s) 1. 60 days advance notice - DLVC will determine y loss of temporarily with legal 2. Provision of land and structure rental value rental value and land required for title, tenants, during the duration of temporary acquisition duration of lost income project leaseholders, 3. Compensate any lost income during though survey and activities sharecroppers temporary acquisition based on minimum consultation with APs. , wage rates. employee/agr ULB will confirm

14 Vulnerable household comprise female-headed household, disabled-headed household, indigenous person-headed households and Below Poverty Line households. 15 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.

Sl Type of Application Definition of Compensation Policy Implementation Issues Responsible Agency No. Loss Entitled Person

icultural minimum wage. workers, encroachers or squatters. 9 Temporar Commercial Owners, 1. Provision of alternative sites for hawkers and During construction, the ULB will ULB will identify y and tenants, vendors for continued economic activity will identify alternative temporary sites for alternative sites for disruption agricultural leaseholders, be part of project design where possible. vendors and hawkers to continue economic activity, and of activities sharecroppers 2. In case alternative sites cannot be provided, economic activity. will confirm minimum livelihood , allowance based on minimum wage rate will ULB and IIPMU will ensure civil works wage. employee/agr be provided. will be phased to minimize disruption icultural 3. Free transport facility or shifting assistance. workers, 4. Compensation for agricultural losses (Item hawkers or 6). vendors. 10 Loss and Loss or Community 1. Replacement or restoration of affected - ULB, IIPMU and temporary disruption to or local body community facilities such as public water Contractor. impacts common pumps, sanitation and drainage facilities, on resources schools, hospitals, temples and shrines, and common cultural resources. resources 2. Enhancement of community resources.

11 Any other - - 1. Unanticipated involuntary impacts shall be - ULB loss not documented and mitigated based on the identified principles provided in the ADB IR Policy.

18. Gender Impacts. The NKUSIP is designed to have a positive impact on women, resulting from better service delivery systems in water supply; and sewerage and sanitation facilities, at the city level and in low income/below poverty line households.

19. None of the (land) survey numbers proposed for acquisition belong to women/female- headed households. The proposed land acquisition however will have potential impacts on 11 female members of Households.

20. The socio-economic status of the selected (land) survey numbers indicates no direct negative impacts of the sub-project in Haveri, on women. A Gender Action Plan (Annex C) for the Investment Program has been developed. The Plan ensures women participate in NKUSIP implementation. The Plan details actions to be taken to ensure gender issues are addressed in various stages of the Investment Program.

III. Consultation and Grievance Redress Participation

A. Information Dissemination, Consultation, and Disclosure Requirement

21. A consultation program was conducted with all APs. Haveri ULB officials disclosed the information about the Investment Program and the sub-project proposed in Haveri. Suitability of identified land for setting up a new STP was also explained to all affected landowners by KUWSDB officials. It was noted during the consultations that landowners were highly aware about the procedures of land acquisition and the compensation packages offered in other development projects in Haveri. Hence, landowners expressed interest in knowing the approximate amount of compensation which will be offered to them under the Investment Program. It was communicated during consultations that the Haveri ULB will disclose all relevant information about land acquisition procedures to APs, and that it is mandatory under the Investment Program.

22. 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 involves similar commuting patterns and costs as the land to be acquired. All APs indicated preference for cash compensation instead of land-for-land option. BPL/vulnerable APs expressed that they would like to receive income generating assets and related skilled training, for themselves and their spouse as a part of economic rehabilitation. Purchase of sewing machine and training was preferred be wives; landowners preferred skills training for construction activities.

23. The implementing nongovernmental organization (NGO) will ensure each AP is consulted further 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 Resettlement Framework and RP will be made available both in English and Kannada at the Haveri ULB Office for reference. The RP shall be brought to the notice of all APs with the help of the implementing NGO. The Executing Agency (EA) will prepare a resettlement booklet elaborating AP entitlements and the sub-project implementation timetable.

B. Grievance Redressal Mechanisms

24. 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/Haveri ULB, Investment Program Officials—DPD 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.16 The grievance redressal process is shown in Figure 1. The first level of screening of grievances shall be undertaken by the implementing NGO and the Haveri 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 Courts of Law. All costs incurred in resolving the complaints will be borne by the Haveri ULB.

Figure 1: Grievance Redressal Process

Affected Persons

Minor Grievances Implementing Grievance NGO and RO Addressed

Major Grievances

GRC Not Addressed

Grievance Addressed Not Addressed

Deputy Commissioner Grievance Addressed Not Addressed

COURT

16 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 how to access the GRC.

IV. Compensation and Income Restoration

A. Compensation

25. All APs will be entitled to resettlement benefits. In case of land acquisition, the replacement cost will form the compensation. Loss of income/livelihood will be compensated within the overall resettlement package in accordance with the entitlement matrix. A DLVC will determine the replacement value of the land. Compensation and Resettlement package entitlements will be paid before taking the possession of land. Acquisition, to the extent possible, will be timed after cropping season. In case there remains a crop loan or any other 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.

26. 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 Haveri ULB deposits the amount with the DC.

B. Income Restoration

27. APs affected by permanent land acquisition for the proposed STP site have been identified. The Investment Program will provide the 4 affected households subsistence/transitional allowance for three months based on minimum wages and will provide free transport facilities/shifting assistance. Since all 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 (November to April), to minimize the negative economic impacts on APs.

28. The survey identified two vulnerable households at the proposed STP site. These vulnerable APs will receive an additional subsistence allowance for three months based on minimum wages. These APs have been consulted during the socio-economic survey. The ULB will identify if land-for-land compensation is feasible, and if feasible will provide the option to APs. Implementing NGOs will also provide information to vulnerable as well as non-vulnerable households on available land in the community. Should APs acquire replacement land, the ULB will provide all fees, taxes, and other charges incurred for the replacement land. If the AP decides on replacement land, an income restoration strategy will focus on restoring agricultural activity previously undertaken by the AP, and assistance in productivity improvements (such as provision of agricultural inputs required for improved yields, and training on improved post-harvest practices) production. Vulnerable APs are also entitled to additional skills training. Based on consultation with the vulnerable APs skills training will be provided for upgrading construction skills. Both household heads expressed interest in upgrading their construction skills, as they currently rely on construction work as off-farm income. Upgrading skills will result in increased off- farm income. In addition, the vulnerable households requested sewing machines and

related training to help start a household business of cloth stitching/embroidery which is a successful enterprise in the community. The Investment Program will provide the required equipment, while the implementing NGO will provide the training on cloth stitching and embroidery. In addition, the Investment Program will facilitate the employment of the vulnerable household heads in Investment Program construction.

29. APs for other components of the subproject 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. Updated RPs will provide details on the income restoration scheme specific to each subproject after detailed design and the identification of APs and their characteristics through the census, socio-economic survey, and consultations. The Strategy for Income Restoration will be prepared prior to land acquisition. 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. Beyond the very short-term, the Investment Program will restore the APs source of income prior to land acquisition, and/or increase existing sources of income.

30. Longer term options depend on the characteristics of APs (age, educational attainment, access to work opportunities), and realistic employment or income earning opportunities. These will be derived from the detailed socio-economic survey information, census, and consultations conducted as a part of RP. The experience of NGOs in Karnataka show that particularly in rural areas, APs benefit most from agriculture-related skills training and the provision of small agricultural enterprises. The skills-training to be provided will focus on upgrading current skills, or providing skills related to current sources of income. This can be supplemented by the provision of income generating assets related to the skills training. It will be ensured by the implementing NGO that employment opportunities for skills being developed are available in the community prior to providing the skills training. The time frame shall be decided based on the training to be provided, which shall also be outlined in the RP. Implementing NGO will be responsible for assessing appropriate income restoration strategies, providing the required training, and providing market information for APs to benefit from the income restoration strategies. The implementing NGO will examine potential collaboration with SHGs, CBOs, local institutions etc. The RP budget shall reflect the cost of income restoration. The implementing NGO will also assess the benefits of AP access to Government schemes. If found beneficial, the EA will assist the implementing NGO in ensuring that APs will have access to such Government programs. One example is access to Government training institutions. It should be noted that Government schemes will not substitute but instead supplement the income restoration strategy of the Investment Program. Additional income restoration assistance will be provided to vulnerable households (defined as female/disabled headed household or IP/BPL households) consistent with the RF’s entitlement matrix.

31. Vulnerable households will be prioritized in project employment. An additional subsistence allowance based on three months minimum wage rates to augment current livelihood. Assistance up to a maximum limit of Rs.30,000 will be provided for the purchase of income generating assets. The implementing NGO will assist the ULB in beneficiary identification and, purchasing income generating assets. Examples of income

generating assets are tools for carpenters or mechanics, and sewing machines for tailors, which would be AP-specific. One member of each affected, vulnerable household who has the capacity and willingness to acquire a new set of skills would be eligible for skills training. The idea is to ensure that vulnerable households are not unfairly disadvantaged as a result of project intervention. A Detailed Training Plan will be prepared during design stage, once the vulnerable population affected by each sub-project component is identified and training needs assessment conducted.

VI. Institutional Framework

32. Effective Resettlement Plan preparation and implementation will be ensured through coordination between the District Authorities, the Haveri ULB as requisitioning authority, and the IIPMU. The Haveri ULB will have the responsibility of ensuring that RPs 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 RP. The Haveri ULB will hire an experienced NGO to assist in the preparation and implementation of the RP. The implementing NGO’s main activities will include AP counseling and encouraging productive utilization of compensation and rehabilitation grants. The Terms of Reference (ToR) for the implementing NGO is given in Annex D. The Haveri ULB will also designate the 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 AP’s properties and Empowered Committee decision on purchase/acquisition.

33. The IIPMU 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 IIPMU will undertake the census and detail socio-economic surveys. A Special Land Acquisition Officer (Revenue Department) at the IIPMU will monitor the process of RP implementation. Figure 2 illustrates the RP implementation arrangements.

Figure 2: Implementation Arrangements

Project Apex Management NGO, CAPP Unit

Special Land Acquisition Officer

DO, Dharwad

Land Acquisition

Resettlement Officer at ULB

Implementing NGO

VI. Resettlement Budget and Financing

34. The unit costs for compensation and assistance have been broadly estimated. These include replacement cost of land, subsistence allowance and economic rehabilitation grants. The sub-project component budget for land acquisition and resettlement is Rs. 8.73 million (excluding NGO services). Table 3: Resettlement Budget Sl. Type of Loss and Compensation Quantity Unit Rate Total No. Offered Amount (in Rs.) A LA Cost 1 Loss of agricultural land 9 Ha ~ Rs. 550,997 4,958,970 2 Loss of revenue land (including 4 Ha ~ Rs. 616,688 2,466,750 Resettlement cost paid to original landowners) Sub Total A 7,425,720 B Resettlement Cost for Private Land 3 Assistance for economic 3 APs Included in overall 90,000 rehabilitation of vulnerable NKUSIP Cost

Sl. Type of Loss and Compensation Quantity Unit Rate Total No. Offered Amount (in Rs.) households 4 Subsistence allowance for three 4 HHs Rs. 100 per day 36,000 months for households whose residual land is unavailable Sub Total B 126,000 C Others 5 Registration cost of transferred 4 Nos Approx upto 10% of 600,000 Land Total Land Cost 6 Implementing NGO – seven months LS Included in overall 528,000 NKUSIP Cost 7 Contingency LS 575,800 Sub Total C 1,703,800 Grand Total 9,255,520

VII. Implementation Schedule

35. 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 commencement of civil works. 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.

36. Timing of Resettlement. The number of permanently affected households (STP site) is 4 and the process of LA and resettlement is expected to be completed within a maximum period of seven months (210 days) 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 is given in Table 4.

Table 4: Implementation Schedule Sl. Land Acquisition and Start Date Completion Duration No. Resettlement Activities Date (Days)

1 Recruitment of NGO 1st of Month 1 15th of Month 1 15 2 Design and development of RP implementation tools and 15th of Month 1 1st of Month 2 15 formation of RP implementation committees 3 Information sharing, consultations and disclosure All through the RP implementation period meetings 4 Land survey and 1st of Month 2 15th of Month 2 15 identification of plots 5 Socio-economic survey and identification of affected 15th of Month 2 30th of Month 2 15 persons 6 Issue of identity cards 1st of Month 3 15th of Month 3 15 7 Preparation of LA Plan 1st of Month 3 15th of Month 3 15 8 RP Approval 15th of Month 3 15th of Month 4 30 9 Payment compensation and 15th of Month 4 15th of Month 5 30 assistance for relocation 10 Relocation and resettlement 1st of Month 5 30th of Month 5 30 of affected persons 11 Training of vulnerable groups 1st of Month 5 30th of Month 6 60 / income restoration activities 12 Takeover the possession of 1st Month 6 30th of Month 6 30 acquired property 13 Internal monitoring All through the RP implementation period 14 External monitoring All through the RP implementation period 15 Hand over acquired lands to 15th of Month 7 contractors for construction 16 Start of civil works 1st of Month 8 onwards

37. 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 Haveri ULB would need to coordinate with the relevant Government of Karnataka Department – in this case the DC’s office and the Revenue Department.

38. 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.

VII. Monitoring and Evaluation

39. The implementing NGO will submit quarterly reports to IPMU. Haveri ULB officials will

carry out internal monitoring. Job charts will be given to the RO. The job charts will indicate the targets to be achieved during the month. Monthly progress report shall be prepared and submitted to IPMU, reporting actual achievements against the targets fixed in their respective job charts and reasons for shortfalls, if any.

40. RP implementation will be closely monitored to provide IPMU with an effective basis for assessing resettlement progress and identifying potential difficulties and problems. For monitoring and evaluation (M&E), the IPMU 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 Haveri ULB to oversee Investment Program implementation). The independent agency/Apex NGO will conduct mid term review and review on completion of RP activities and submit its reports directly to the IPMU. The IPMU will submit all M&E reports to the ADB for review.

Annex A: Socio-economic Data of Affected Persons Sr. Name of Household Age Sex Education Main Subsidiary Total extent Total extent Average Average Household No. Landowner members - Occupation Occupation of Land of Land annual annual Assets Relation under proposed for income of income from with Possession Acquisition Household affected Landowner Land (In Ha) (In Ha) (In Rs.) (In Rs.) 1 Bahajan Self 47 M Illiterate Agriculture Construction 2.50 2.50 149,500 137,500 TV Gousemodinsaheb labour Akkai Mother 80 F Illiterate Wife 45 F Illiterate Daughter-1 17 F Secondary Daughter-2 16 F Secondary Daughter-3 15 F Secondary Son-1 13 M Secondary Son-2 11 M Secondary Son-3 10 M Primary Son-4 9 M Primary Son-5 8 M Primary 2 Bashiramat Self 38 M Illiterate Agriculture Construction 2.50 2.50 149,500 137,500 TV Gousemodinsaheb labour Akkai Wife 35 F Illiterate Son-1 8 M Primary Son-2 4 M Illiterate

3 Tuppada Suresh urf Self 45 M Graduate Government Agriculture 2.00 2.00 Above 110,000 TV, 2 Panchaksharappa Service 300,000 Wheeler bin Chandrashekerappa Wife 38 F Graduate Mother 78 F Secondary

Sr. Name of Household Age Sex Education Main Subsidiary Total extent Total extent Average Average Household No. Landowner members - Occupation Occupation of Land of Land annual annual Assets Relation under proposed for income of income from with Possession Acquisition Household affected Landowner Land (In Ha) (In Ha) (In Rs.) (In Rs.) Daughter 15 F Secondary Son 10 M Secondary 4 Tuppada Suresh urf Self 42 M Professional Private Agriculture 2.00 2.00 Above 110,000 TV, 2 and 4 Jagadish bin Qualificatio Service 500,000 Wheeler, Chandrashekerappa n Fridge (Engineer) Wife 40 F Graduate Son 13 M Secondary Daughter 9 F Primary

Annex B: List of Participants / Officials Consulted

Landowners/ Members of landowner’s family participated in pilot socio-economic Survey

1. Mrs. Gowdar Rudravva 2. Mr. Yellappa Bharmappa Uppar 3. Mr. Nagappa 4. Mrs. Basvavva 5. Mr. Akkai Bahajan Gousemohioddin 6. Mr. Akkai Bashiramat Gousemohioddin 7. Mr. Tupat Suresh 8. Mr. S.S. Mushti, Chairman, Hukkeri Mutt and Chairman, Cooperative Bank

Haveri ULB officials participated in pilot socio-economic Survey

1. Mr. Commissioner, CMC, Haveri 2. Mr. Pujar, A.E.E., CMC, Haveri 3. Mr. Shankara Murthy, A. E, CMC Haveri

Other Government Officials Consulted for identification of survey no.s and for conducting pilot socio-economic survey

1. Mr. Aziz Ullah Beg, IAS, DC, Haveri 2. Mr. H. P Shellikeri, Deputy Investment Program Director, KUIDFC 3. Mr. NRN Simha, AGM Technical, KUIDFC (NKUID Investment Program Coordinator) 4. Mr. Puttaswamy, A.E.E, KUWSDB Ranebennur Division 5. Mr. Raju, A. E, KUWSDB Ranebennur Division

Annex C: Gender Action Plan Area of Focus Objective Activities Task Target Group Indicator Verification Action by Investment a) To integrate Proactively seek Train Community Women living in Gender Specialists involved Investment Program Local NGOs and Program gender women from Infrastructure Volunteers slums in from start of Investment Design Reports Apex NGO Design perspective in disadvantaged (CIVs), Community Savings Investment Program design Investment families as target Volunteers (CSVs), and Program towns Progress Reports Social and Program design beneficiaries, Community Development NHGs formed by 2007 Community and to empower ensuring one-third Officers ULB Investment Program Development women by giving representation in Councillors and Percentage representation of Monitoring Reports Experts, IPMU, them Neighbourhood Conduct participatory Staff disadvantaged HHs Dharwad, and opportunities to Groups planning exercises in Random checks by DOs at participate in the prioritized slums organized Karnataka Slum Regularity of meetings held Apex NGO in slums / GulbaraA and Investment Formation of by CIVs and local NGOs Clearance Board attending Bellary, and Program from NHGs, Ward-level Employees Reports include record of weekly/monthly Investment the very Committees Identify infrastructure participatory planning and meetings to gauge level Program beginning (WLCs) and City priorities of neighbourhood women’s participation of participation Consultants Level Community groups (PCs) Development Views influence design Assessment and Societies (CDS) Formulate neighbourhood outcomes training conducted at with women level, ward level and city community level members level plans incorporating Schemes respond to community inputs women’s needs / priorities Feedback from women Participatory beneficiaries planning at Investment Program sites b) To ensure Conduct pre- Prepare and implement Town residents, 20% of women interviewed CAPP Consultant’s CAPP women’s project awareness communications strategy targeting women in Investment Program towns Reports Consultants awareness on campaigns on using gender sensitive at the end of pre-project project benefits project benefits language awareness campaign are Local NGO (Survey) Apex NGO and need to aware of Investment Program Reports support ULB and its benefits Local NGOs reforms Progress Reports Percentage households paying connection charges at Review Reports design stage

c) To integrate Provide gender Prepare training materials for KSCB Workshops conducted Workshop Reports DMA, identified

Area of Focus Objective Activities Task Target Group Indicator Verification Action by gender within sensitization gender sensitization employees training institute ULB’s/ KSCB’s training for all workshops Number of employees Feedback Forms (e.g. ATI /ASCI) areas of work, regional level trained and Social and with specific KSCB employees Review Reports Community focus on and ULB staff Feedback from employees on Development Investment usefulness of training Experts (Apex Program design programs NGOs and IPMUs) d) Empowerment of Initiation of thrift Identification of CSVs Women living in SHGs formed by 2007 Feedback from women Local NGOs, women from and credit slums in beneficiaries NHGs / SHGs poor families in activities Formulation of rules and Investment Size of revolving fund Investment regulations by SHGs Program towns created Program towns Training of women on Micro-enterprises created accounting procedures, and managed independently management etc. by women

Skill training and micro- enterprise development/management training

Creation of revolving fund

e) To ensure that Collection of Designing questionnaire to Woman headed Gender disaggregated data Resettlement Plan(s) PC/NGO needs of women gender ensure coverage of issues households, analysis undertaken to arrive involved in RP headed disaggregated data like women’s access to women members at compensation and preparation households, during socio- resources, household division of Investment assistance packages in RP widows, elderly economic surveys of labour, women’s Program Social and and single for Resettlement contribution to family Affected RP takes note of Community women are Plan preparation income, decision-making on Households compensation and Development addressed in finance and resources; resettlement options selected Experts-(IPMU Resettlement expressed needs and by women and Apex NGO) Plans preferences of women related to compensation and RP addresses concerns of resettlement options. woman headed households, widows, elderly and single Using female enumerators or women trained, gender sensitive enumerators.

Area of Focus Objective Activities Task Target Group Indicator Verification Action by

Investment a) To mainstream Conduct gender Prepare materials for gender IPMU, ULB Workshops for all target Workshop reports Social and Program gender awareness awareness workshop staff and PCs. groups Community Implementation perspective in workshops with Review reports Development and Monitoring Investment all Investment Experts (IPMU, Program Program ULB and PCs) implementation consultants, IPMU staff and ULB staff

b) To ensure Conduct project Prepare and implement Women living in 40% of women interviewed CAPP Consultant’s CAPP women’s full awareness, communications strategy Investment in Investment Program towns Reports Consultants, awareness and hygiene education defining message, target Program towns, at the end of second year of Social and involvement in and water and audience and media, using including those Investment Program Local NGO Reports Community Investment waste gender sensitive language living in slums implementation and women Development Program management are aware of Investment Progress Reports Experts (IPMU, implementation campaigns with Program and its benefits (IPMU and Apex NGO) PCs, Apex NGO and benefits specific targeting and local of women Investment Program NGOs). Monitoring Reports

c) To ensure Contractors Preparation of contract Contractors Percentage of women Contract invoicing Construction women gain required to engage documents employed by contractors (to supervision benefits from sizeable female total workers) Investment Program expert, PC construction labor and ensure Orientation of Contractors Monitoring Report process equal wages Women employed at equal Municipal between male and wages for equal work Engineer female labour for equal work

d) To ensure that Establish a system Develop gender IPMU and ULB Progress Reports Community Monitoring IPMU Investment of monitoring and disaggregated indicators staff Reports (NHGs, CDS) Program benefits evaluation which (qualitative and quantitative, Reviews and impact positively impact can track / report e.g., health benefits, reduced assessments are able to Progress Reports women and that impact of the burden on women and report gender impact of (IPMU and Apex NGO) Social and benefits are Investment employment opportunities) project community equitable Program on Investment Program development women Develop systems for Monitoring Reports experts (IPMU measurement, analysis and and Apex NGO) reporting of benefits

Area of Focus Objective Activities Task Target Group Indicator Verification Action by Develop mechanisms to include women in monitoring and evaluation

e) To ensure that Monitoring Develop mechanisms to Woman headed Percentage of compensation Resettlement NGO/agency resettlement resettlement include project affected households, packages and resettlement Monitoring and involved in RP implementation implementation women in monitoring of women members options addressing women Evaluation Reports implementation addresses resettlement implementation of Investment implemented women’s Program Social and concerns Develop indicators to track Affected community resettlement impact on Households development women experts (IPMU and Apex NGO)

Institutional a) To promote Incorporate Review institutional Elected Changes made in Institutional reform DMA, identified Development gender awareness gender perspective development program Officials, State institutional development measures are gender training institute in institutional in all aspects of and Municipal program, training curricula sensitive (e.g. ATI /ASCI) development institutional Incorporate gender aspects in Officers etc. and Social and program development all training programs for Each training program Community program State and ULB officials Target training contains a gender Development group as per perspective Experts (IPMU program and PCs)

b) Monitor Tracking use of Review impact of Gender Investment Gender Action Plan used and Review Reports Social and usefulness of Gender Action Action Plan Program reported upon at regular Community Gender Action Plan stakeholders intervals Progress Reports Development Plan Experts (IPMU Increased number of gender and PCs) mainstreaming training activities planned and completed

Increased number of projects reflecting community needs by using a participatory and gender focused approach

Area of Focus Objective Activities Task Target Group Indicator Verification Action by Strengthened capacity of stakeholder agencies to promote, design and implement projects that support gender equality

Annex D: Outline Terms of Reference for Implementing NGO

A. Background of the Investment Program

1. The North Karnataka Urban Infrastructure Sector Investment Program (NKUSIP) will finance investment in the sectors of (i) water supply; (ii) sewerage and sanitation; (iii) urban drainage; (iv) roads and transportation; (v) poverty alleviation; (vi) social infrastructure inclusive of development/conservation of lakes, expansion of fire services, development of tourism facilities. The overall development goal of the NKUSIP is to facilitate economic growth in the towns of North Karnataka and bring about urban development through equitable distribution of urban basic services to the citizens that are environmentally sound and operationally sustainable. The development purpose is designed to assist Urban Local Bodies (ULBs) to “promote good urban management, and develop and expand urban infrastructure to increase economic opportunities and to reduce vulnerability to environmental degradation and urban poverty”.

2. The Haveri ULB will be the Implementing Agency for the Investment Program and will be responsible for preparing social analysis and resettlement plans for all sub-projects, and in accordance with this framework. The Haveri ULB would prepare a Resettlement Plan (RP) and submit the same to Investment Program Management Unit (IPMU) for review and approval prior to commencement of Investment Program component implementation.

B. Scope of Work

3. The objectives of the NGO appointed for the implementation of the Resettlement Plan is:

(i) To provide the Haveri ULB with grass-root skills and capacity for field activity in the implementation of the Resettlement Plan;

(ii) Identify through survey, Investment Program beneficiaries and distribute identification cards to Investment Program beneficiaries and the Affected Persons, and educate them regarding their entitlements and obligations under the Resettlement Plan;

(iii) Ensure that Affected Persons obtain their full entitlements under the Resettlement Plan. Where options are available, the NGO shall provide advice to Affected Persons on the relative benefits of each option and link the Affected Persons to the respective employment and housing program;

(iv) Assist the Affected Persons in the redressal of grievances through the system implemented as part of the Resettlement Plan; and

(v) Monitor and evaluate the implementation of the RP on the Affected Persons.

C. Tasks

4. The NGO will work as a link between the Haveri ULB, the APs’ representatives and the affected APs. The NGO will be responsible for assisting the APs during the resettlement and rehabilitation process and shall ensure that all of the provisions of ADB’s IR Policy and the RP with regard to the well being of the APs, are implemented appropriately and effectively. The NGO will:

(i) Develop rapport between the APs and the Investment Program authorities. This will be achieved through regular meeting with both the Haveri ULB representatives and the APs. Meetings with the Haveri ULB will be held at least fortnightly and meetings with APs will be held at least monthly. All meetings and decisions taken are to be documented.

(ii) Assist Haveri ULB to undertake public information campaign in Kannada, at the commencement of the Investment Program to inform the affected communities of:

• The need for shifting of Squatters and Encroachers; and • The need for LA; • The IR Policy, Resettlement Framework and entitlement packages; • The likely consequences of the Investment Program on the communities/persons economic livelihood.

(iii) Identify and verify Investment Program beneficiaries through survey and distribute identity cards to beneficiaries only.

(iv) Assist APs in getting the compensation for their land and properties acquired for the Investment Program.

(v) Ensure benefits due to the APs under the RF and RP are provided to the APs. The NGO will determine the entitlements of each AP and compare it to the offer being made by the Investment Program. If there is a discrepancy, between the two, the NGO will be responsible for assisting the AP in coming to some agreement with the Haveri ULB and, if necessary, pursuing the matter through the grievance redressal mechanism.

(vi) Assist APs identify suitable land for relocation, wherever necessary. Where suitable government land is not available, the NGO will assist the AP to locate a landowner willing to sell his land and will assist in the negotiation of the purchase price.

(vii) Assist Investment Program authorities in making arrangements for the smooth relocation of the APs and their business. This will involve close consultation with the APs to ensure that the arrangements are acceptable to them.

(viii) Ensure proper utilization by the APs of various grants available under the resettlement package. The NGO will be responsible for advising the APs on how best to use any cash that may be provided under the RP.

(ix) Assist APs in getting benefits from various government development programs particularly for house construction. There are a number of government housing and training programs for livelihood programs that can be used by APs. The NGOs will investigate the availability of places in these programs and shall inform the APs of the opportunities that exist and their relative merits. The NGO will co-ordinate the training programs for sustainable livelihood and assist in developing the required skills for livelihood rehabilitation. The NGO shall coordinate with other government departments and other NGOs working in the area to ensure that all the options available to the AP are known and can be communicated to them.

(x) Assist APs in the redressal of their grievances. The NGO shall make APs aware of the grievance mechanism set out in the RP and shall assist APs who have grievances to pursue a suitable remedy.

(xi) Develop micro level plans for resettlement and rehabilitation in consultation with the APs and the Haveri ULB where relevant. A plan shall be prepared and agreed for each AP and will include:

• List of options open to and the choices made by the AP. The NGOs will explain to the APs the options available for their resettlement and assist them in making their choices; • List of benefits due to the AP; • Arrangements for shifting: • Involvement of AP in existing Government Development Programs; • Update information available on APs and collect information on APs coming in the Investment Program due to any changes. Haveri ULB will be monitoring the implementation of the RP and will require data from the NGO to monitor input, output and impact indicators; and • Any other responsibility as may be assigned for the welfare of the affected Households.

(xii) Assist in the identification of sites for the relocation of cultural properties and community assets. This is to be done in consultation with the affected community and the Haveri ULB.

D. Methodology

5. In order to carry out the above tasks, employees of NGOs are to be stationed in the sub- project area. Besides contacting APs on an individual basis to regularly update the baseline information, group meetings will be conducted by the NGOs on a regular basis. The frequency of such meetings will depend on the requirements of the APs but should occur at least once a month, to allow the APs to remain up to date on project developments. NGOs will encourage participation of individual APs in such meetings by discussing their problems regarding LA, resettlement and other aspects relating to their socio-economic lives. Such participation will make it easier to find a solution acceptable to all involved.

E. Reporting

6. The NGO shall submit an inception report-detailing plan of action, manpower deployment, time schedule, and detailed methodology within 30 days of the commencement of the assignment. The NGO should also submit quarterly progress reports on the activities carried out and proposed activities for the coming month. The quarterly progress reports will include data on indicators as required by the Haveri ULB.

(i) Updated data on APs and data on additional APs coming due to changes will be submitted within two months of the commencement of the assignment;

(ii) Data on APs for monitoring of impact indicators will be submitted to the Haveri ULB as required;

(iii) Micro level plans for each AP on the Investment Program will be submitted to the Haveri ULB for information within 3 months of the commencement of the services. Where changes occur during the Investment Program requiring changes to the micro level plans, the NGO will update the relevant plans and resubmit them to the Haveri ULB; and

(iv) On completion of the assignment the NGO shall submit a final report summarizing the actions taken during the sub-project implementation, the methodology and manpower used to carry out the work, and a summary of assistance given to each AP under the sub-project.

F. Time Schedule

7. It is estimated that the NGO services will be required for sixty months for participating in the implementation of RP. However, this may be rescheduled based on the exact nature of the activity, with greater inputs in the initial three years and reduced inputs in the subsequent two years of NGO involvement.

G. Key Personnel

8. A Team Leader, a Gender Specialist and a Social Development Specialist will be required to carry-out the activities. The key professionals should have combined professional experience in the areas of socio-economic surveys, resettlement and rehabilitation, participation, community development and training for economic rehabilitation activities. The staffing requirements may be reviewed based on field requirement.