Government of Kerala Local Self Government Department Kerala Sustainable Urban Development Project (PPTA 4106 – IND) FINAL REPORT VOLUME 8 – SOCIAL AND ENVIRONMENTAL SAFEGUARD FRAMEWORKS MAY 2005 COPYRIGHT: The concepts and information contained in this document are the property of ADB & Government of Kerala. Use or copying of this document in whole or in part without the written permission of either ADB or Government of Kerala constitutes an infringement of copyright. FINAL REPORT VOLUME 8 Social and Environmental Safeguard Frameworks Summary of Contents This Volume of the Report is divided up into three Parts. Part 1 includes the Draft Resettlement Framework for the Project and the Kerala Local Government Development Fund (KLGDF) Part 2 includes the Indigenous People’s Development Framework applicable for KLGDF Part 3 includes the Environmental Assessment Framework applicable for KLGDF. FINAL REPORT VOLUME 8 – SOCIAL AND ENVIRONMENTAL SAFEGUARD FRAMEWORKS PART – 1 DRAFT RESETTLEMENT FRAMEWORK TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation FINAL REPORT VOLUME 8 SOCIAL AND ENVIRONMENTAL SAFEGUARD FRAMEWORKS Contents Part 1 – Draft Resettlement Framework 2 1. Introduction 2 1.1 Background 2 1.2 Framework Principles and Entitlements 2 1.3 Abbreviations and Acronyms 2 1.4 Definitions 2 2. Resettlement Plan (RP) Preparation 2 2.1 Surveys 2 2.2 Resettlement Plan 2 3. Consultation and Disclosure 2 3.1 Consultation 2 3.2 Disclosure 2 3.3 Complaints and Grievance 2 4. Compensations and Rehabilitation 2 4.1 Compensations 2 4.2 Rehabilitation 2 5. Institutional Arrangements and Responsibilities 2 6. Resettlement Plan Implementation and Monitoring 2 6.1 Budgeting and Fund Flow Mechanism 2 6.2 Implementation Arrangements and Schedule 2 6.3 Monitoring and Evaluation 2 FR Volume 8 - Draft Resettlement Framework PART 1 PAGE i TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Annex A Legal Framework 2 A.1 Existing Indian Legal Framework 2 A.2 ADB’s Involuntary Resettlement Policy 2 A.3 Comparison of Borrower’s Policy and ADB’s IR Policy 2 Annex B Entitlement Matrix 2 Annex C Census and Baseline Socio-Economic Survey Guidelines 2 C.1 Cut-Off Date 2 C.2 Census Requirement and Contents 2 C.3 Census Procedures 2 C.4 Database Management 2 Annex D Consultations and Dissemination 2 D.1 Consultations 2 D.2 Information Dissemination Campaign 2 Annex E Outline TOR for NGO 2 E.1 Background of the Project 2 E.2 Objectives 2 E.3 Tasks of the NGO 2 E.4 Methodology 2 E.5 Reporting 2 E.6 Time Schedule 2 E.7 Key Personnel 2 FR Volume 8 - Draft Resettlement Framework PART 1 PAGE ii TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation List of Abbreviations and Acronyms ADB Asian Development Bank ADS Area Development Society BOT Build Operate Transfer BOO Build Own Operate BOOT Build Own Operate and Transfer CBO Community Based Organization CDS Community Development Society DFID Department for International Development DPC District Planning Committee DWCUA Development of Women and Children in Urban Areas EIA Environmental Impact Assessment EDII Entrepreneurship Development Institute of India GDP Gross Domestic Product GIS Geographical Information System GoI Government of India HRD Human Resources Development HUDCO Housing and Urban Development Corporation IEE Initial Environmental Examination IKM Information Kerala Mission IMA Indian Medical Association IMR Infant Mortality Rate IT Information Technology JBIC Japan Bank for International Cooperation KocMC Kochi Municipal Corporation KolMC Kollam Municipal Corporation KozMC Kozhikode Municipal Corporation KSEB Kerala State Electricity Board KSPCB Kerala State Pollution Control Board KSRTC Kerala State Road Transport Corporation KSUDP Kerala Sustainable Urban Development Project KUDFC Kerala Urban Development Finance Corporation KUDP Kerala Urban Development Project KWA Kerala Water Authority LFS Land Fill Site Lpcd Litre Per Capita Per Day LSGD Local Self Government Department FR Volume 8 - Draft Resettlement Framework PART 1 PAGE iii TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation MFI Micro Finance Institutions MGP Modernizing Government Program MIS Management Information System MLD Million Litre Per day MSL Mean Sea Level NABARD National Agricultural Bank for Rural Development NATPAC National Transportation Planning and Research Centre NGO Non Government Organization NH National Highways NHG Neighborhood Group NRY Nehru Rojgar Yojna NSDP National Slum Development Program O&M Operation and Maintenance PIU Project Implementation Unit PMO Project Management Office PPP Public Private Partnership PPTA Project Preparation Technical Assistance PWD Public Works Department RIS Repayment Information System SC/ST Schedule Caste and Schedule Tribe SHG Self Help Groups SJSRY Swarna Jayanti Shahari Rozgar Yojna STP Sewage Treatment Plant SWM Solid Waste Management TCPO Town and Country Planning Organization ThMC Thiruvananthapuram Municipal Corporation TMC Thrissur Municipal Corporation TRIDA Thiruvananthapuram Development Authority TUDP Trivandrum Urban Development Project UFW Unaccounted Water USEP Urban Self Employment Program UBSP Urban Services for the Poor VAMBAY Valmiki Ambedkar Awaz Yojna WTP Willingness to Pay FR Volume 8 - Draft Resettlement Framework PART 1 PAGE iv TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Part 1 – Draft Resettlement Framework 1. Introduction 1.1 Background The Kerala Sustainable Urban Development Project (KSUDP) will finance investment in the sectors of (i) water supply; (ii) sewerage and sanitation; (iii) urban drainage; (iv) solid waste management; (v) roads and transportation; and (vi) poverty alleviation. The overall development goal of the KSUDP is to provide sustainable growth and poverty reduction in Kerala’s Local Self Governments (LSGs). The development purpose is designed to assist LSGs 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”. The KSUDP Draft Resettlement Framework (hereinafter referred to as the Framework) has been prepared for use by all LSGs falling within the Project’s purview. It outlines the objectives, policy principles and procedures for acquisition of land, if any, compensation and other assistance measures for Affected Persons (APs), if any. This Resettlement Framework is also applicable for LSG’s wishing to access the Kerala Local Government Development Fund (KLGDF)1 for funding sub- projects in the LSG. The LSG will be the Implementing Agency for the Project and will be responsible for preparing social analysis and resettlement plans for all sub-projects, and in accordance with this framework. The LSG would prepare a Resettlement Plan (RP) and submit the same to the Project Management Office (PMO) for review and approval prior to commencement of Project component implementation. This Draft Resettlement Framework draws from (i) Government of Kerala - PWD’s Resettlement Policy for the Kerala State Transport Project, 2000; (ii) a recently issued GoK guideline for Fast Track Projects; (iii) The National Policy on Resettlement and Rehabilitation for Project Affected Persons, issued by the Ministry of Rural Development, 2003; (iv) The Land Acquisition Act 1894 (amended in 1984), which addresses land acquisition and resettlement issues; and (v) the Asian Development Bank’s Involuntary Resettlement Policy. A brief review of the legal framework for the Draft Resettlement Framework is presented in Annex A. 1.2 Framework Principles and Entitlements The Resettlement Framework (RF) is drafted based on ADB’s IR Policy and the principles of the RF include: Resettlement impact on persons affected by the sub-project should be avoided or minimized, exploring all viable alternative sub-project designs; Where the resettlement impacts are unavoidable, the Affected Persons should be assisted in improving or regaining their standard of living; FR Volume 8 - Draft Resettlement Framework PART 1 PAGE 1 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation People’s participation should be undertaken in the planning and implementation of the sub- project; and Positive impacts will be enhanced as far as possible. Sub-projects covered under the Resettlement Framework would broadly have three impacts that require mitigation measures; these include (i) loss of assets, including land and houses; (ii) loss of livelihood or income opportunities; and (iii) collective impacts on groups, such as loss of common property resources. The Resettlement Framework broadly covers the following: Impact Zone. Displacement under the sub-project will be limited to the area required for the sub- project and its safety zone. This area is referred to as the Impact Zone (IZ). Within this zone, there cannot be any structures or other hindrances. Every effort should be made during sub- project design and preparation to minimize acquisition of land and other assets and to reduce negative socio-economic impacts. The structures/assets falling outside the Impact Zone would as far as possible be left undisturbed. Compensation and Rehabilitation. All APs will be provided with compensation and rehabilitation, based on the replacement value, if their land is reduced, income source adversely affected, houses partially or fully demolished, and other properties such as crops, trees and other facilities