Resettlement Plan October 2011

IND: Uttarakhand State Roads Investment Program (Project 3) Raitoli-Jasholi Road Subproject

Prepared by Public Works Department, Government of Uttarakhand for the Asian Development Bank.

CURRENCY EQUIVALENTS (as of 29 November 2011)

Currency unit – Indian rupee (Rs) Rs1.00 = $0.0192178342

$1.00 = Rs52.035000

ABBREVIATIONS

ADB – Asian Development Bank DH – Displaced Household DP – Displaced Person BPL – Below Poverty Line EA – Executing Agency FGD – Focus Group Discussions GOI – Government of India GRC – Grievance Redressal Committee HH – Household IPSA – Initial Poverty & Social Assessment IP – Indigenous People IPP – Indigenous Peoples Plan LA – Land Acquisition NGO – Non-Government Organization NRRP – National Rehabilitation and Resettlement Policy PIU – Project Implementation Unit PMU – Project Management Unit PRA – Participatory Rural Appraisal PWD – Public Works Department RF – Resettlement Framework RO – Resettlement Officer R&R – Resettlement & Rehabilitation SC – Schedule Caste SPS – ADB Safeguard Policy Statement, 2009 ST – Schedule Tribe TOR – Terms of Reference

WEIGHTS AND MEASURES

km – kilometer m – meter

GLOSSARY

Displaced Household (DH)

– project affected household consisting of such persons, his or her spouse, minor sons, unmarried daughters, minor brothers or unmarried sister, father, mother and other members residing with him/her and dependent on him/her for their livelihood.

Displaced Person (DP)

– In the context of involuntary resettlement, displaced persons are those who are physically displaced (relocation, loss of residential land, or loss of shelter) and/or economically displaced (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of

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land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas

Compensation – payment in cash or in kind of the replacement value of the acquired property

Grievance Redressal Committee

– the committee established under the subproject to resolve the local grievances

Involuntary resettlement

– addresses social and economic impacts that are permanent or temporary and are (i) caused by acquisition of land and other fixed assets, (ii) by change in the use of land, or (iii) restrictions imposed on land as a result of an ADB Project.

Land Acquisition

– the process whereby land and properties are acquired for the purpose of the project construction

Rehabilitation – the measures provided under the resettlement plan other than payment of the compensation of acquired property.

Replacement Cost

– the method of valuing assets to replace the loss at market value before the project or dispossession, or its nearest equivalent, plus any transaction costs such as administrative charges, taxes, registration, and titling costs. Replacement cost is based on market value before the project or dispossession, whichever is higher.

Resettlement – all the measures taken to mitigate all or any adverse impacts of the project on the DPs property and/or livelihoods including compensation, relocation (where relevant), and rehabilitation

NOTE

In this report, "$" refers to US dollars. This 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. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

TABLE OF CONTENTS

EXECUTIVE SUMMARY...................................................................................................... i

I. RESETTLEMENT PLAN ............................................................................................. 1

A. Project Description................................................................................................... 1

B. Scope of Land Acquisition and Resettlement .......................................................... 3

C. Socio-economic Information and Profile .................................................................. 5

D. Information Disclosure, Consultation and Participation ........................................... 7

E. Grievance Redress Mechanisms............................................................................. 8

F. Legal Framework ..................................................................................................... 9

G. Entitlement Assistance and Benefits ..................................................................... 10

H. Relocation of Housing and Settlements................................................................. 13

I. Income Restoration and Rehabilitation.................................................................. 13

J. Resettlement Budget and Financing Plan ............................................................. 13

K. Institutional Arrangements ..................................................................................... 14

L. Implementation Schedule ...................................................................................... 15

M. Monitoring and Reporting ...................................................................................... 15

ANNEXURES

Annexure I : List of Displaced Persons 16Annexure II: Public Consultation Participants 23Annexure III: Public Consultation and Disclosure Plan 25Annexure IV: Terms of reference for NGO/agency 27Annexure V: Terms of Reference for an External Monitoring & Reporting

Agency/Consultant 31

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EXECUTIVE SUMMARY A. Project Description 1. Under the Uttarakhand State Road Investment Program (USRIP) Phase III, the Raitoli- Jasholi Road located in Agustmuni block of Rudraprayag district is one of the subprojects in Package III, selected for improvement funded by the Asian Development Bank (ADB). USRIP is intended to support the State’s ‘infrastructure vision’ under ADB’s multitranche financing facility. The focus in the third tranche is on improving the condition of the existing road by carrying out rehabilitation and reconstruction works that are mostly confined within edge-to-edge of the road, as decided by the Public Works Department (PWD). The selected road is a Light Vehicle Road with single road specification and is proposed to be upgraded to village road with the carriageway of 3.75 meters. The existing carriageway varies between 2.7 meters to 4.0 meters. Since the existing ROW is only 6 meters further 3 meters land is need to be acquired throughout the road length ( 4.63 km) in order to improve the curves and establish total formation width as 5.95 meters. Therefore, width of 9.0 metres in open area and 6.0 meters in settlement area has been taken for conducting census and socio-economic survey. 2. The key benefits envisaged out of the Project mainly comprise of improved connectivity and accessibility to access to Raitoli, Panchbahiyakhal, Loli, Beeron, Gwad-Thapli, Peeda and villages around famous Hariyali Devi, besides better transport facility to Rudraparyag, Srinagar and Rishikesh towns. Indirect benefits will be available in the form of improved living conditions, a healthier living environment and the prospect of improved health status of the population in addition to improved employment opportunities. 3. In keeping with ADB’s MFF loan procedures, this Resettlement Plan (RP) has been prepared in accordance with approved Resettlement Framework (RF). This RP identifies the broad scope of the subproject and outlines the policy, procedures for acquisition of land, compensation and other assistance measures for displaced persons and institutional requirements for this subproject under the loan. B. Scope of Land Acquisition and Resettlement 4. This Resettlement Plan is prepared to deal with impacts of land acquisition and resettlement issues resulting from the rehabilitation of the said road subproject. The Plan provides an analysis of the impacts, identifies the nature and types of losses, and establishes an entitlement matrix as a guide to payments for compensation and resettlement benefits. The primary objective of this RP is to prepare a plan, restoring the income and living standards of the displaced persons (DPs) if any, due to land acquisition within a short period of time without any disruptions in their own economic and social environment. 5. The Project has its objectives of avoiding involuntary resettlement wherever possible, by means of adopting an appropriate technical design, which leads to minimization of the resettlement impact. In keeping with this objective, the technical design aims at minimization of the resettlement impact by means of best utilization of the available space by avoiding private and public assets and land acquisition as far as possible. The social assessment was undertaken between 4-19 November 2008. On this basis, the resettlement impact in this subproject is classified as Category B1. Based on the preliminary technical design and census survey, the nature of resettlement impacts

1 In accordance to ADB’s SPS, a project is classified as category B if it includes involuntary

resettlement impacts that are not deemed significant. A resettlement plan, including assessment of social impacts, is required.

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identified in the subproject mainly comprise of (i) loss of agricultural land and (ii) a few structures. After minimizing the impacts, 22 agricultural plots owned by 10 households and 5 private structures of various type and use are affected. Out of 5 structures four are permanent and one is semi-permanent. A total of 11 households will be affected, with a total population of 28. C. Socio-economic Information and Profile 6. The census survey identified religious and social categories of the displaced households. All 11 displaced households are Hindu households. Out of 11 displaced households only one household belong to schedule caste category. Literacy level among the displaced households was recorded at 78.5%. About 27.2 percent of the displaced households have annual income less than Rs.25000. Only 2 households falls in the vulnerable category. . 7. In the State of Uttarakhand, the scheduled tribe (ST) population constitutes only 3 percent of the total population. In this road subproject, not a single affected household belong to ST category. Therefore, no separate Indigenous peoples plan has been prepared for this road subproject. 8. As a part of the social assessment, FGDs with women provided information on the status and needs of women in the subproject area and the potential impact of the Project on them. The subproject as per the women’s group will benefit them indirectly by means of better access to nearby urban centers, better access to health facilities and educational institutions. In their view, the probable negative impact may include increase in accidents due to greater speed of vehicles. Overall, they felt that the proposed rehabilitation would lead to the greater prosperity in their area. D. Information Disclosure, Consultation and Participation 9. Meaningful consultations were carried out with the project displaced persons in the subproject area. The list of displaced persons duly signed is enclosed as Annexure II. Due consideration was also given for Stakeholder consultations and community participation at different levels in the preparation of the RP. The RP will be translated into Hindi and will be made available to the displaced persons by the Executing Agency (EA) for review and comments. Copies of the RP will also be made available at the local level public offices such as revenue offices to stakeholders for local inputs prior to award of civil work contract. For illiterate people, other suitable communication methods will be used. The final RP will also be disclosed on the ADB website and PWD website. E. Grievance Redress Mechanisms 10. A Grievance Redressal Committee (GRC) will be established at the subproject level with the primary objective of providing a mechanism to mediate conflict and disputes concerning compensation payments and cut down on lengthy litigation. Headed by the District Collector, the GRC shall comprise of members from the District Land and Revenue Department, representatives of displaced persons, including women and vulnerable groups. Grievances will be redressed within two to four weeks from the date of lodging the complaints. 11. All compensation and other assistances will be paid to all DPs prior to commencement of civil works. A detailed implementation schedule for the various activities is provided in the main text.

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F. Legal Framework 12. The resettlement principles adopted for this subproject recognize the Government of India’s Land Acquisition (LA) Act of 1894 and the entitlement benefits as listed in the National Rehabilitation and Resettlement Policy of 2007, and the Safeguard Policy Statement,2009 of ADB. 13. The RP is based on the general findings of the census survey, field visits, and meetings with various displaced persons in the subproject area. Taking into account the type of losses, the Entitlement Matrix provides for compensation and resettlement assistance to all displaced persons including the non-titleholders in the subproject area. In general terms, the people affected by the Project will be entitled to the following types of compensation and assistance - (i) Compensation for loss of structure at replacement value; and (ii) Additional assistance to vulnerable groups namely - women-headed households, Scheduled Castes (SC), Scheduled Tribes (ST), those below poverty line, elderly and disabled. A detailed Entitlement Matrix for the subproject is provided in the main text. G. Entitlement Assistance and Benefits 14. An Entitlement Matrix specific to the road has been developed, which recognizes and lists various types of losses and the compensation and resettlement packages presented in Table 14 of the main text. H. Relocation of Housing and Settlements 15. In this subproject, no relocation of households is envisaged as there is no total loss of any residential or commercial structures. Out of total 5 affected structures only one commercial, one residential cum commercial and 3 other structures consisting of cowsheds, partially completed structure and Government Building will be affected partially. Compensation should be given for private agricultural land as per the entitlement matrix. In this subproject none of the DPs will be displaced. All displaced households indicated for cash compensation according to existing Government circle rate for partial loss of their structures. I. Income Restoration and Rehabilitation 16. In this subproject, no major impact is envisaged on income of displaced persons and hence no rehabilitation activities are required. J. Resettlement Budget and Financing Plan 17. The total estimated cost for resettlement operation and management for the Project is Rs. 5922407.50 (Rupees Fifty Nine Lac Twenty Two Thousand Four Hundred Seven Rupees and Fifty Paisa Only). K. Institutional Arrangements 18. PWD of the State Government of Uttarakhand will be the Executing Agency (EA) for the Project. The Project Management Unit (PMU) with assistance of Social Development & Resettlement specialist, and experienced NGO/agency will have the primary responsibility of the RP implementation. The PMU would ensure monitoring any changes to subproject design which may require re-evaluation of the need for and adequacy of the RP. The PMU will ensure resettlement budgets are delivered on time to the for timely RP implementation.

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L. Implementation Schedule 19. The various resettlement activities will be implemented within a time frame of 9 months. M. Monitoring & Reporting 20. Both internal and external monitoring will form part of the implementation process. Internal monitoring will be the responsibility of the concerned PIU and PMU. This will include: administrative monitoring, socio-economic monitoring and impact evaluation monitoring. The Supervision Consultant would be responsible for external monitoring and reporting of the implementation of the RP. For this, relevant provisions have been made in the terms of reference (TOR) of the Supervision Consultants- namely Every Supervision Consultant would be required to have an R&R expert who will be responsible for monitoring as well as reviewing the implementation of the Resettlement Plans. The external monitoring report will be submitted to the EA and ADB on a semi-annual basis.

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I. RESETTLEMENT PLAN

A. Project Description 1. Uttarakhand is a state located in the Northern part of India. The state has a total geographical area of 51,125 sq.km. of which 93% is mountainous and 64% is covered by forest. According to provisional data of census 2011 India census, Uttarakhand has a population of 10.11 million. The native people of Uttarakhand are generally called either ‘Kumaoni or Garhwali’ depending on their place of origin in either the Garhwal or Kumaon region. Colloquially they are also referred to as ‘Pahari’ meaning “hill person”. Hindus form the majority of the population at 85.0%, Muslims form 12.0%, Sikhs 2.5% Christians, Buddhists and Jains and others about 0.5%. It has male-female ratio of 963 and has a literacy rate of 79.63 %. People living below the poverty line as per census 2002 can be estimated around 2.9 million (34.1%), much higher than the national average of 26.1%. 2. The district Rudraparayag came into existence on 18 September 1997. Parts of Chamoli, Tehri Garhwal and Pauri were included to form this new district. Geographically it is situated between latitude N 30°10'and N 30°48'36"and longitude E 78°49' and E 79° 22'.The district has an area of 2328 Sq.m. The district is surrounded by Uttarkhasi district in North –West, Chamoli district in East Pauri in South and Tehri in West. The district is 185 Km away from state capital Dehradun. The highest point above the sea level in this district is 3886 M at Tungnath and the lowest being 610 M. Of the total geographical area 80% falls under Mandakini river system while 20% falls under Alaknanda River System. Administratively the district is divided into 3 tehsils and 3 development blocks namely Agustmuni, Jakholi and Ukhimath. As per provisional data of India Census 2011 the total population of the district is 236857, in which males are 111747 and females 125110. The sex ratio is 1120. Out of total population of state 82.09 % are literate. The literacy rate for males is 94.97 % and for females it is 70.94. 3. The total geographical area of the Agustmuni block of Rudraprayag district, in which the subproject is located, is 30209.18 hectare. There are 367 village inhabited by 25987 rural households. The provisional data of Census 2011 at block level is not yet available. According to the Census 2001, the block had a total population of 120411 persons. The male and female composition of the population was 46.5% and 53.5% respectively. The composition of schedule caste in total population was 19.1 %. 100 schedule tribe people mainly belong to Bhotia sub origin had been recorded in the block. The number of literate person accounts for 63.7 % of total population and the literacy rates for males and females was 75.5% and 53.4% respectively. According to BPL survey 2002, the block has 46.7 % households living below poverty line. 4. The state roads of Uttarakhand have deteriorated over the years due to heavy rains and floods in some areas of the state and failure of sub grade and sub base courses under rapidly increasing traffic load and paucity of funds and resources for the timely and adequate maintenance of such roads. The improvement proposals have been considered in Phase-III, Package-III of USRIP scheme. The selected road is a Light Vehicle Road with single road specification and is proposed to be upgraded to village road with the carriageway of 3.75 meters. The existing carriageway varies between 2.7 meters to 4.0 meters. Since the existing ROW is only 6 meter further 3 meter land need to be acquired throughout the road length (4.63 KM) in order to improve the curves and establish formation width as 5.95 meter. Therefore, width of 9.0 metres in open area and 6.0 meters in settlement area has been taken for conducting census and socio-economic survey 5. Under the Uttarakhand State Road Investment Program (USRIP) Phase III, the Raitoli-Jasholi road subproject located in Agustmuni block of Rudraprayag district is one of the subprojects in Package III, selected for improvement funded by the Asian

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Development Bank. USRIP is intended to support the State’s ‘infrastructure vision’ under ADB’s multitranche financing facility (MFF). The focus in the third tranche is on improving the condition of the existing road by carrying out rehabilitation and reconstruction works that are mostly confined within edge-to-edge of the road, as decided by the Public Works Department (PWD) to be applicable in the hilly areas. 6. A 20.03 km unpaved light vehicle road starts from Rishikesh – Badrinath Highway before 5 km from Rudraprayag town and moves upward to the Peeda village. The villages in the corridor of this road are Raitoli, Panchbayiyakhal, Loli, Beeron, Gwad Thapli and Peeda. To avoid large number of private and forest land acquisition and minimize the impact on structures, It has been decided to improve only 4.63 km of this road.under Phase III of USRIP. Hence, households in only one village called Raitoli will have some impact due to land acquisition. 7. The Raitoli village has a total geographical area of 150.83 hectare and population of 1775 persons as per the census 2001 (Table 1). Agriculture is the primary occupation. Joining army and search for private jobs is another choice for village youths. Many of them also work as taxi drivers.

Table 1: Demographic Profile of the Affected Village

Total Population Literate S.N.

Village Area (Hec)

No. of Household T M F

Total SC

Total ST M F

1 Raitoli 150.83 29 184 127 57 5 0 70 25

Source: Census of India, 2001 8. The private land that needs to be acquired for road is mainly agriculture land. After assessing the need for land required for up-gradation of this road, it was revealed that only 5.91% of the total agriculture land will need to be acquired (Table 2). Most of them, 78.5% are barren and un-irrigated fields in terraced farming mode. In remaining 21.5%, people used to cultivate wheat, rice and millets..

Table 2: Village wise details of land to be acquired for road construction S.N. Village Total Agriculture

land (ha)

Land to be acquired for Road (ha)

% of total agriculture land to be acquired

1 Ratoli 10.221 0.605 5.91

Source: Ruderkosh 2002; Census Survey, November 2008 9. The key benefits envisaged out of the Project mainly comprise of improved connectivity and accessibility to access to the villages like Raitoli, Panchbahiyakhal, Loli, Beeron, Gwad-Thapli, Peeda and villages around famous Hariyali Devi, besides better transport facility to Ruderparyag, Srinagar and Rishikesh towns. Indirect benefits will be available in the form of improved living conditions, a healthier living environment and the prospect of improved health status of the population plus an improved economic climate with employment opportunities. However, the surveys and assessments undertaken during Project Preparation also indicate that the subprojects will entail some degree of resettlement impacts. 10. In keeping with ADB’s MFF loan procedures; this Resettlement Plan (RP) has been prepared for this subproject based on the technical design for Raitoli-Jasoli road. Land acquisition is required for this road and hence, there will be legal titleholders to be

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affected. Overall, the resettlement impact of this subproject is classified as Category B2. This RP identifies the broad scope of the subproject and outlines the policy, compensation and other assistance measures for displaced households and institutional requirements for this subproject under the loan. 11. The Public Works Department (PWD) of the State government is the Executing Agency (EA), of the subproject and will be responsible, through its Project Management Unit (PMU), for overall strategic guidance. The Project Management Unit (PMU) will have the primary responsibility for RP implementation. B. Scope of Land Acquisition and Resettlement 12. This Resettlement Plan is prepared to deal with the resettlement impact resulting from the improvement of the said road subproject. The plan has been prepared on the basis of survey findings and consultations with various stakeholders in accordance with the Government of India’s Land Acquisition Act of 1894 and the entitlement benefits as listed in the National Rehabilitation and Resettlement Policy of 2007, and ADB’s Safeguard Policy Statement, 2009 (SPS), and Operations Manual F1 (Safeguard Policy Statement, 2010). The following issues have been identified and discussed in this RP:

Type and extent of loss of assets, loss of income and livelihood opportunities, common property resources and other social assets, if any.

Impact on vulnerable groups and identification of indigenous groups and impact on women, if any.

Identification of issues through consultation with displaced persons and other stakeholders.

Existing policies and guidelines and legal framework and formulation of project specific entitlements.

Entitlement matrix with provisions for relocation assistance. Estimation of cost for implementation of R&R activities. Institutional framework for the implementation of plan and including monitoring

and reporting mechanism, and grievance redress mechanism. 13. The Project has its objectives of avoiding involuntary resettlement wherever possible, by means of adopting an appropriate technical design, which leads to minimization of the resettlement impact. In keeping with this objective, the technical design aims at minimization of the resettlement impact by means of best utilization of the available space by avoiding private and public assets. Based on the available width and likely improvement strategy, it was agreed in consultation with the PIU to confine the improvement within the existing formation width. Hence, the minimization of resettlement was achieved mainly by reducing the corridor of impact. 14. In keeping with the technical design, the census survey was undertaken in November 2008. Based on the preliminary technical design and census survey, the nature of resettlement impacts identified in the subproject mainly comprise of – (i) impact on land and (ii) a few structures. Overall 22 agricultural plots, 4 private structures of various type and use, and one Government institute (ITI) will be affected. In terms of impact on households, a total of 11 households will be affected, with a total population of 28. Out of 5 structures impacted, four are permanent and one is semi-permanent. Type and use of various structures with number of households and project displaced persons as

2 In accordance to ADB’s SPS, a project is classified as category B if it includes involuntary

resettlement impacts that are not deemed significant. A resettlement plan, including assessment of social impacts, is required.

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enumerated during the census survey are summarized in Table 4. From the table it becomes apparent that only two commercial structures are getting impacted. Out of total 11 affected household details of only 7 households are available which reveals that the average family size is 4 members each. Types and uses of displaced households are given in Table 3, and list of displaced households with their location and legal status is provided in Annexure 1 of this report.

Table 3: Ownership and No. of Assets to be Affected Types of Assets No. of Assets Private 26 Community 00 Government 01 Total 27

Source: Census Survey, November 2008

Table 4: Types and Uses of Affected Private Assets Types of Assets No. of Assets No. of

Households No. of Displaced

persons Agricultural Plots 223 9 21+86= 107 Residential cum Commercial 1 1 5 Commercial 1 1 2 Other (cattle sheds, old structure, temple, Government, toilet.)

3 Owners of these assets also own agricultural land

Total 27 11 114 Source: Census Survey, November 2008

15. Out of 9 agricultural land owners, one khata (record) is owned by 86 owners collectively. These 86 owners could not be traced during the census survey as they have moved out of the village long back. The consultations with Patwari, Tehsildar and Kanungo and verification of their records brought forth the difficulty in identifying shares of each shareholder pin pointedly. In the revenue record, such a record is known as ‘Gol Khaataa’, menaing collective ownership and no clear cut demarcation. In this case, 0.4752 ha of land in Raitoli village need to be acquired owned by 86 persons as shown in the revenue record. This list, as given in revenue record is given as Annexure 2. 16. Titleholders and Non-titleholders details: Most of the private land and structures likely to be affected belong to titleholders. Only one Squatter has a commercial structure to be impacted. The details of ownership by various types of impacts are given in Table 5.

Table 5: Legal Status of Affected Assets Categories of losses Encroachers Squatters Titleholders Total Residential 00 00 00 00 Residential cum Commercial 00 00 01 01 Commercial 00 01 00 01 Agriculture land 00 00 09 09 (cattle sheds, old structure, toilet.Government)

00 00 02 ( these households are also owners of agriculture land.)

Total 00 01 10 11 Source: Census Survey, November 2008 17. Agricultural land will be marginally affected. No relocation is required. The extent of losses of various kinds is provided in Table 6 as given below.

3 Nine land parcels are collectively owned by 86 households, which cannot be clearly identified on the ground.

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Table 6: Extent of Impact Categories of losses Upto

10% 10 to 30

% 30 to 50

% 50 to 70%

Above 70%

Residential 0 0 0 0 0 Residential cum Commercial 1 0 0 0 0 Commercial 0 0 0 0 0 Agriculture land (plots) 22 0 0 0 0 Other ( Boundary walls, old structure, open land, Government, etc.)

5 0 0 0 0

Total 27 0 0 0 0 Source: Census Survey, November. 2008. 18. Out of 4 private structures, 3 are permanent and 1 is semi permanent, as shown in Table-7.

Table 7: Type of Construction Type of Construction No. of Structures No. of Households Permanent 3 3 Semi permanent 1 1 Temporary - - Total 4 4

Source: Census Survey, Nov. 2008.

19. Besides private assets, one government structure (ITI) will also be affected. Impact on Industrial Training Institute (ITI) will be marginal. The impact on this structure can be minimized by reducing the formation width. C. Socio-economic Information and Profile 20. The average size of displaced households works out to be 4.. The size of displaced households has been summarized in Table 8.

Table 8: Family Size of Households Number of Family Members No. of Households Less than 5 05 5-7 02 7-10 00 10-15 00 Not Available 04 Total 11

Source: Census Survey, November 2008. 21. The survey also identified social composition of the displaced households. Out of total 11 households, 10 belong to General caste and one belong to scheduled Caste, as shown in Table 9.

Table 9: Social Composition of DHs Sl. No. Social Category No. of Households 1. General Caste 10 2. SC 01 3. ST 00 4. OBC 00 Total 11

Source: Census Survey, November 2008 22. Literacy among the displaced persons was found at 78.5 %. Out of total 28 DPs available at the time of survey, only 6 were found to be illiterate. The composition of

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graduate people is 13.6 % only. The educational attainment and literacy is detailed out in Table 10.

Table 10: Educational Attainment of DPs Sl. No. Educational Attainment No. of DPs 1. Functional Literate 05 2. Primary 05 3. Middle 01 4. Higher Secondary 08 5. Senior Secondary/ graduate 03 6 Technical 00 7. Illiterate 06 Total 28

Note: The children below the age of 14 years are not included. Source: Census Survey, November 2008. 23. Except one squatter, all other 10 displaced households were primarily reported to be engaged in cultivation. Besides agriculture, the displaced persons are found engaged in business, private service and getting pensions. The details are summarized in Table 11.

Table 11: Occupation of Displaced households Sl. No. Occupation Category Main Occupation

(DH) Secondary Occupation

(DPs) 1. Cultivators 10 00 2. Agricultural/ Labours 00 00 3. Trade/ Business 00 02 4. Government Service, Pensioner 00 12 5. Private Service 00 00 Total 10 14

Source: Census Survey, November 2008. 24. The annual income of displaced households varies between less than Rs. 25000.00 to above Rs. One lac. Around 27.2% household earns less than Rs. 25000.00 per year. Only one household earn above Rs. 100000. The details are given in Table 12.

Table 12: Annual Income of Households

Sl. No. Annual Income (in Rs.) No. of Households 1. Less than 25000 03 2. 25000-50000 01 3. 50000-100000 02 4. Above 100000 01 5 No Response 04 Total 11

Source: Census Survey, November 2008. 25. The survey also aimed to identify the socially and economically vulnerable groups amongst those affected, needing special consideration so that they can benefit from the project namely - (a) those who are below the poverty line (BPL); (b) those who belong to Scheduled Castes (SC), (c) Scheduled Tribes (ST); (c) female-headed households (FHH); (d) elderly-headed household and (e) disabled person headed households. According to the census survey, only 2 households in the subproject comprised of these socio-economically vulnerable groups. The details are provided in Table 13.

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Table 13: Vulnerable Households being Affected Sl No. Vulnerable Category No. of Households 1. BPL (General category) 00 2. SC 01 3. ST 00 4. WHH 00 5. PH 01 6. Elderly-headed 00

Total 02 Source: Census Survey, November 2008 26. In the State of Uttarakhand, the scheduled tribe (ST) population constitutes only 3% of the total population. In this road subproject, not a single household belong to ST category. Therefore, no separate Indigenous peoples plan has been prepared for this road subproject. 27. As a part of the social assessment, FGDs with women provided information on the status and needs of women in the subproject area and the potential impact of the Project on them. Not a single female-headed household will be affected due to this subproject. In general, during FGDs, it came to the fore that adequate compensation will mitigate the adverse impact and further they added that the improvement of this road will benefit most of the people, those who reside in close proximity. 28. In general, the subproject, as per the women groups will benefit them indirectly by means of better access to nearby urban centers, better access to health facilities and educational institutions. In their view, the probable negative impact may include increase in accidents due to greater speed of vehicles. Therefore they suggested that near settlements appropriate measures should be taken. Overall, they felt that the proposed improvement would help ushering in greater prosperity in their area. 29. In case there is any change in the subproject design during project implementation, it will necessitate updating of the project impact and preparation of the final RP for implementation purposes by the EA. The final RP will be submitted to ADB prior to award of civil works contract. D. Information Disclosure, Consultation and Participation 30. Meaningful consultations were carried out with both primary and secondary stakeholders including directly displaced persons, executing agency, local administrative departments and elected representatives. Directly affected population was consulted to disseminate information regarding the project, understand their concerns and take their suggestions on the types of mitigation measures that should be addressed. 31. The community consultations revealed that people do not have objection to give their agriculture land for road widening but according to them proper compensation as per the circle rates should be given to the all displaced households. They believe road widening and improvement would benefit them. It will not only provide smooth transportation but also reduce drudgery related to fuel and fodder collection and also help in getting medical care at time. Time saved in reaching one place to other will help them in doing other important things. They requested to extend the length of road upto Jasoli so that people inhabiting along the corridor can avail transportation facility. Further as the area is known for famous Hariyali Devi temple more people and tourist will come to visit and help in contributing to the local economy.

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32. Local Representative Mr. Sankar Lal, Village Pradhan, Loli, appreciated the improvement of the existing road, which will have positive bearing on this region. He told that people have made several round of agitation for this. Now they are happy to hear that the road is being taken to improve. The Pradhan requested to provide compensation to those SC families also who have lost their land provided by government on Patta for agriculture and residential purposes. Important discussion with him was on the issue of compensation to Gol Khaataa shareholders. An attempt was made by to convene a meeting of such shareholders, which did not materialise. It came to the fore that the shareholders are spread over three villages of this Panchayat and some of them have even moved away from their ancestral villages. However, it was agreed that compensation amount for that that land should be kept within the project budget and it will be given by the officials, to the claimant after producing documents. It was voiced that the amount be given as per respective shares of shareholders. 33. Consultation with Mr. M.C. Kutiyal, CDO, Rudraprayag brought out the significance of road for hill economy. Besides, improving road there should be budgetary provisions for regular maintenance because road network in hills often paralyzed during rainy seasons and transportation remains closed for longer periods. Especially, there should be more powerful mechanism for road maintenance. Discussion was also held with the revenue officials Mr. Shafique Ahmed Siddiqui, and Karim Baksh (Kanungo) and the B Negi, Tehsildar on the Gol Khaataa issue. According to them since the land cannot be identified for individual shareholders, it should be distributed and given to the claimant as per respective share as mentioned in the revenue record. According to Mr. Dhami Lal koswal, Block Development Officer, Agustmuni Block, improvement in this road is a long awaiting demand of the people of Sumerpur patti. This road is the single one that connects this remote area to Rishikesh – Badrinath highway and Rudraparyag town. The road is quite dangerous to travel as it is narrow and roughly built. However, around 10 Jeeps are regularly transporting passengers and luggage from Peeda to Rudraparayag on their own risk. Being tough to travel the Jeep driver ask for high rates i.e. Rs. 80 to 100/- per passenger to travel 20 km. However, no major accident had been recorded so far on this road. The area is rich in producing pulses, beans and citrus fruits. Improvement of road would lead to more opportunities for rural employment and prosperity of the region. 34. The consultations and discussions with the project displaced persons will be a continuing activity throughout the implementation of the project and PIU will be assisted by local NGO for it. The NGO involved in the implementation activities will keep the displaced persons informed about the impacts, the compensation and assistances proposed for them and facilitate addressing any grievances. A public consultation and disclosure plan has been prepared and attached as Annexure III. 35. The summary of this Resettlement Plan and the entitlement matrix will be translated in Hindi and will be disclosed to the displaced persons and made available at offices of PWD, PMU and ADB website. For illiterate people, suitable other communication methods will be used. E. Grievance Redress Mechanisms 36. A Grievance Redressal Committee (GRC) will be established at the PIU level with the primary objective of providing a mechanism to mediate conflict and disputes concerning compensation payments and cut down on lengthy litigation. The GRC, headed by the district collector (DC), shall comprise of members from the District Land and Revenue Department, representatives of displaced persons, including women and vulnerable groups. Other than disputes relating to ownership rights under the court of law, GRC will review grievances involving all resettlement benefits, compensation and other assistance. The GRC will meet as and when grievances are referred it for redress.

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9

37. All compensation and other assistances will be paid to all DPs prior to commencement of civil works. A detailed implementation schedule for the various activities is provided in the main text. F. Legal Framework 38. The resettlement principles adopted for this Project recognize the Government of India’s Land Acquisition Act (1894), National Rehabilitation and Resettlement Policy (2007), and the ADB’s Safeguard Policy Statement (2009), and Operations Manual F1 (2010). 39. Under the Land Acquisition Act of 1894, the compensation is paid only to the legal titleholders and does include non-titleholders for any kind of compensation. However, the National Rehabilitation and Resettlement Policy (2007) addresses development induced resettlement. The revised policy includes poor and deprived groups including small and marginal farmers, SC/STs and women-headed households. For linear acquisition, the ex-gratia proposed is Rs. 20,000/- per household. Still, as far as encroachers are concerned, this policy falls short as no transitional allowance is provided to them. Based on the above analysis and ADB’s SPS, the project specific resettlement and rehabilitation measures have been formulated as given below:

The negative impact on persons affected by the project would be avoided or minimized as far as possible;

For negatively impacted households, the persons affected by the project and vulnerable groups will be identified and assisted in improving or regaining their standard of living;

Information related to the preparation and implementation of resettlement plan will be disclosed to the stakeholders and people’s participation will be ensured in all stages;

No land acquisition is envisaged, as this project would follow the existing formation width. However, in case required due to curve improvement etc. it will be done as per the Land Acquisition Act, 1894 and National Rehabilitation and Resettlement Policy (2007);

Before taking possession of the acquired assets, compensation and R&R assistance will be paid in accordance with the provisions described in this document;

An entitlement matrix for different categories of people affected by the project has been prepared and provisions will be kept in the budget for those who were not present at the time of the census survey. However, people moving in the project area after the cut-off date. For non-titleholders the date of the census survey or a similar designated by the EA will be considered as cut-off date;

Appropriate grievance redressal mechanism will be established at the district level to ensure speedy resolution of disputes;

All resettlement activities at different stages would ensure the involvement of women and other vulnerable groups; and

Meaningful consultation with DPs will be a continuous process during the implementation.

40. The primary objective of this RP is to identify impacts and to plan measures to mitigate various losses due to the implementation of the subproject. The RP is based on the general findings of the census survey, field visits, and meetings with various project-displaced persons in the subproject area. Taking into account the various losses, the

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Entitlement Matrix provides for compensation and resettlement assistance to all displaced persons including the non-titleholders in the subproject area. 41. The displaced persons will be entitled to the following types of compensation and assistance:

(i) Compensation for loss of land and crops/trees at replacement value; (ii) Compensation for loss of structures (residential/commercial); (iii) Assistance for restoration of income and livelihoods/ business loss/wage

loss (iv) Assistance for shifting; (v) Additional assistance to vulnerable groups namely - women-headed

households, Scheduled Castes (SC), Scheduled Tribes (ST), Other Backward Classes (OBC), those below poverty line, elderly and disabled; and

(vi) Rebuilding or restoration of community assets/facilities. 42. The cutoff date for those who have legal titles of their land/asset is the date of notification of acquisition under the State Land Acquisition Act 1990 and for those without titles the cut-off will be the date of the census survey as undertaken on 4-19 November 2008. People moving into the subproject area after this date will not be entitled for support or otherwise stated above. G. Entitlement Assistance and Benefits 43. An Entitlement Matrix specific to the road has been developed, which recognizes and lists various types of losses and the compensation and resettlement packages presented in Table 14.

Table 14: Entitlement Matrix

S. N.

Type of Loss

Unit of Entitlement

Entitlement Details

A. LOSS OF LAND & ASSETS

1 Loss of Agricultural land and assets

a) Titleholder b) DPs with

customary land right

c) Permit from local authority

Compensation at replacement value Resettlement

Assistance Transitional

allowance Special provision

for vulnerable group

a) Compensation will be paid as per the LA act. b) If the compensation determined by the

Competent Authority/DC as per LAA is less than the replacement value”, then the difference is to be paid by the EA as assistance.

c) If the residual plot(s) is (are) not viable, i.e., the DP becomes a marginal farmer, any of the following three options are to be given to the DP, subject to his acceptance: The DP remains on the plot, and the

compensation and assistance paid to the tune of required amount of land to be acquired.

Compensation and assistance are to be provided for the entire plot including residual part, if the owner of such land wishes that his residual plot should also be acquired by the EA, the EA will acquire the residual plot and pay the compensation for it.

If DP is from vulnerable group, compensation for the entire land by means of land for land will be provided if DP wishes so, provided that the land of equal or more productive value is available.

d) Transitional allowance of Rs. 3000/- per

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Table 14: Entitlement Matrix S. N.

Type of Loss

Unit of Entitlement

Entitlement Details

month for 6 months if the residual land is not viable or for 3 months when the residual land is viable. This will be calculated by prevalent daily wage rate.

e) All fees, stamp duties, taxes and other charges, as applicable under the relevant laws, incurred in the relocation and rehabilitation process, are to be borne by the EA.

2 Loss of non-agricultural land (i.e.-homestead and residential structures)

a) Titleholder/ Owner (Residential land and structure)

b) DPs with customary land rights

c) Permits from local authority

Compensation at replacement value Resettlement

Assistance Transitional

allowance Shifting

assistance

a) Compensation for land and structure will be paid as per LA act.

b) If replacement cost for land and structure is more than the compensation determined by the Competent Authority/DC, then difference is to be paid by the EA in the form of ‘’assistance’’.

c) Replacement value for residential structure (part or full), which will be calculated as per the prevailing basic schedule of rates (BSR) without depreciation, subject to relevant ‘’quality standards’’ of BSR as maintained by Government /Local Body.

d) Transitional assistance of Rs. 3000/- per month in the form of grant to cover a maximum nine months rental accommodation.

e) A lump sum shifting allowance of Rs. 1500 to 2500/- depending on the type of structure and extent of impact.

f) Right to salvage material from demolished structure and frontage etc.

g) Project assisted relocation option will be provided to those whose residential structures becomes non-liveable as a result of Project impacts and a relocation site will be developed in consultation with these displaced households (subject to availability of land)

3 Loss of non-agricultural land (i.e.-loss of Commercial land and structures)

a) Titleholder/ Owner (Commercial land and structure)

b) DPs with Customary land right

c) Permits from Local Authority

Compensation at Market rate or Replacement value Resettlement

Assistance Transitional

allowance Shifting

assistance

a) Compensation for the loss of land and structure will be paid at the replacement value.

b) If replacement cost for land and structure is more than the compensation determined by the Competent Authority, then difference is to be paid by the EA in the form of ‘’assistance’’.

c) DP will be provided replacement cost of the commercial structure (part or full), which will be calculated as per the prevailing basic schedule of rates (BSR) without depreciation, subject to relevant ‘’quality standards’’ of BSR as maintained by Government /Local Bodies.

d) Transitional assistance of Rs. 3000/- per month in the form of grant for maximum period of nine months.

e) A lump sum shifting allowance of Rs. 1500 to 2500/- depending on the type of structure and extent of impact.

f) Right to salvage material from demolished structure and frontage etc.

g) Training would be provided for upgradation of skills.

h) Project assisted relocation option will be

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Table 14: Entitlement Matrix S. N.

Type of Loss

Unit of Entitlement

Entitlement Details

provided to those commercial structures can no longer be used as a commercial enterprise as a result of the Project and a relocation site will be developed in consultation with these displaced households (subject to availability of land)

B. LOSSES OF NON-TITLEHOLDERS

4 Loss of agricultural land, residential and commercial structure by encroachers

Households who have illegally extended their legally owned land/ property onto public or other private land

No compensation for land Compensation for

structures to only vulnerable household Shifting

assistance for vulnerable encroachers R&R Assistance

only to vulnerable households Right to salvage

materials

a) Encroachers will be notified and given a time in which they will be required to remove their assets and harvest their crops.

b) Compensation for structures at replacement cost to the vulnerable households.

c) Training would be provided for upgradation of skills to the DPs belonging to vulnerable groups and loosing their commercial structures.

d) Shifting allowance of Rs. 1500 to 2500/- lump sum for shifting depending on the type of structure and extent of impact.

e) Right to salvage materials from the demolished structure.

5 Loss of residential and commercial structure by Squatters/ Informal settlers

Households living /earning their livelihood by illegally occupying public or private land.

No compensation for land Compensation for

structures. Shifting

assistance R&R Assistance Right to salvage

materials

a) Compensation for loss of structure at replacement cost.

b) A lump sum shifting amount of Rs. 1500 to Rs. 2500 depending on the type of structure.

c) Squatters/informal settlers will be notified and given a time in which they will be required to remove their assets.

d) Transitional allowance of Rs. 3000 for a period of 3 to a maximum of 6 months depending on the extent of impact.

e) Training would be provided for upgradation of skills to the DPs loosing their commercial structures.

f) Right to salvage material from the demolished structure.

g) Project assisted relocation option will be provided to those whose residential / commercial structures become non-livable as a result of project impacts and relocation site will be developed in consultation with these displaced households (subject to availability of land)

C. ADDITIONAL SUPPORT TO VULNERABLE GROUP

6. Primary source of income

Vulnerable households including BPL, SC, ST, WHH, disabled and elderly

Additional assistance to vulnerable groups

One time lump sum assistance of Rs. 5000/ to vulnerable households. This will be paid above and over the other assistance(s) as per this framework.

D. LOSS OF COMMUNITY INFRASTRUCTURE/COMMON PROPERTY RESOURCES

7. Common Property Resources

Community Compensatory replacement

Cash compensation or reconstruction of the community structure in consultation with the community.

8. Temporary impact during construction

Community / Individual

Compensation The contractor shall bear the cost of any

impact on structure or land due to movement of machinery during construction

All temporary use of lands outside proposed

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Table 14: Entitlement Matrix S. N.

Type of Loss

Unit of Entitlement

Entitlement Details

include disruption of normal traffic, increased noise levels, and damage to adjacent parcel of land / assets due to movement of heavy machinery

RoW to be through written approval of the landowner and contractor.

Location of Construction camps by contractors in consultation with PWD.

E. ANY OTHER IMPACT

9. Unforeseen impacts if any

Unforeseen impacts will be assessed on case by case basis and suitable compensation/ assistance will be paid as deemed fit by the Executive Agency/ State government.

H. Relocation of Housing and Settlements 44. In this subproject, no relocation of households is envisaged as there is no total loss of any residential or commercial structures. Out of nine private structures eight will be affected partially while one structure (small shop) that is being affected fully is belong to squatter who have his house nearby. The compensation for agricultural land will be given as per the entitlement matrix and the prevailing circle rates at the site. However, in this subproject none of the DPs will be displaced. All displaced households indicated for cash compensation for partial loss of their assets. Regarding compensation for ‘Gol Khata’ land, it is recommended that the designated amount should be kept with the PWD and it should be given to the owners after they put their have claimed their share with documents duly verified by the Patwari. 45. The impact will not affect the income and livelihood of the displaced households. One squatter and one titleholder households, who operates small shop on road side, will not lose any significant income due to the improvement of this road. Overall, the displaced households will remain where they are. I. Income Restoration and Rehabilitation 46. In this subproject no major impact is envisaged on income of displaced persons and hence no rehabilitation activities are required. J. Resettlement Budget and Financing Plan 47. The total estimated cost for resettlement operation and management for the Project is Rs. 5922407.50 (Rupees Fifty Nine Lac Twenty Two Thousand Four Hundred Seven Rupees and Fifty Paisa Only). The R&R cost will be borne by the Government of Uttarakhand. The estimate includes all costs related to compensation other benefits as per the entitlement benefits. The itemized subproject budget is enumerated in Table 15.

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Table 15: Itemized Subproject Budget S.N Item Total Unit Unit Cost (Rs) Total (in Rs.)

A: Compensation

1 Structures –Pucca 153.9 sq. mtr. 4500 692550

2 Semi-pucca 26.52 sq. mtr. 3500 92820

3 Kutcha - - -

4 Land ( Un-irrigated) 6051 sq.mtr 600 3630600

5 Solatium @ 30 % of total land value

1089180

Sub-total 5,505,150

B: Assistance 6 Shifting Allowance 4 2500 10000

7 Assistance to Vulnerable Households

2 5000 10000

8 Training to owners of commercial structures

2 10000 20000

Sub-total 40000 TOTAL A+B 5,545,150

9 Contingency *(15% of the total) 277257.50 SUB TOTAL 5,822,407.50

C: R P Implementation 10 Engaging of NGO for RP

implementation Lump sump 100000

GRAND TOTAL 5,922,407.50 * Cost of Consultations and community preparation and other administrative costs. Note: Unit cost for land is calculated on the basis of current circle rates for different types of land- Rs. 120000/- for unirrigated and Rs. 140000/- for Irrigated land within a range of 0.5 km from highway, Rs. 10000/- for unirrigated and Rs. 14000/- for irrigated in all other conditions. K. Institutional Arrangements 48. PWD, Government of Uttarakhand will be the Executing Agency (EA) for the Project. The Project Management Unit (PMU) in Dehradun will have the primary responsibility of the RP implementation. For resettlement activities, PMU will do the overall coordination, planning and implementation. PMU has already appointed one R&R Officer look after these activities. The R&R Officer will be assisted by the consultant appointed by PWD for supervision during implementation. This will include on social development/ resettlement specialist, primarily responsible for implementation. PMU will coordinate with PIUs for road level RP related activities, and each PIU will designate one senior staff (not below the rank of Executive Engineer) to coordinate the resettlement activities. The PIU, if required, depending on the workload, will also appoint one Assistant Resettlement Officer (ARO) in rank of assistant engineer. The staff at the PIU level will be provided training by the social development/resettlement specialist of the supervision consultants for implementation of the RP. 49. The PIU will maintain databases, work closely with DPs and other qualified NGO in this field engaged to assist the PIUs in the implementation of RP. Keeping in view the minimum resettlement impacts that occurred from the project, only one NGO can be hired for Package II roads. The NGO would play the role of a facilitator and will work as a link between the PIU and affected community. An outlined term of reference (ToR) for NGO is attached as Annexure V.

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L. Implementation Schedule 50. The timeframe for various activities of RP are shown in Figure-1.

Figure-1: RP Implementation Schedule

Month Activity

1 2 3 4 5 6 7 8 9

Selection and training of RO

Selection of NGO to assist in Implementation

Selection of Supervisory Consultant

Census of DPs and impacts (updating exercise as per the RP)

Advice to District Revenue Offices

Information dissemination campaign Preparation of final compensation awards Disputes

di ti

Disbursement of compensation

Internal resettlement performance monitoring

External monitoring

Civil Work

M. Monitoring and Reporting 51. Both internal and external monitoring will form part of implementation process. Internal monitoring will be the responsibility of the PIU. The Supervision Consultant would be responsible for external monitoring and reporting of the implementation of RP. The Supervision Consultant would be required to have experience in resettlement activities and familiarity with Government of India policy and ADB’s SPS 2009. The R&R Expert with the Supervision Consultant will monitor and verify RP implementation to determine whether resettlement goals have been achieved, livelihood and living standards have been restored and provide recommendation for improvement. The mandate of the external monitor will also include site survey, compensation-evaluation and disbursement, grievance redressal procedures, assess the performance of PIU and NGO. The PMU will submit semi-annual progress report to ADB. The relevant provision has been made in the terms of reference (TOR) of the Supervision Consultants. The terms of reference for External Monitoring Agency i.e. the Supervision Consultants are enclosed as Annexure V.

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ANNEXURE I

List of Displaced Households

Area Affected Sq.m

Sl No.

Head of the Household

Father’s Name

Location

Chainage Km. Land Structure

Social Category

Legal Status

Compensation for land only ( in Rs. )

1 Bharat Singh Rawat

- Raitoli 0.2- 1.5

40 Gen Sqatter 180000 ( in this case for structure only)

2 Sanjay Singh Mahendra Singh

Raitoli -do- 120.6 Gen Titleholder 94068

3 Kamal Singh Ragunath Singh

Raitoli -do- 120 Gen Titleholder 93600

4 Dharam Singh

Aalam Singh Raitoli -do- 167.4 27.8 Gen Titleholder 255672

5 Kalam Singh Ram Singh Raitoli -do- 162..8 112.62 Gen Titleholder 607254 6 Surendra

Singh Avtar Singh Raitoli -do- 211.2 Gen Titleholder 164736

7 Roshan Lal Krishan Lal Raitoli -do- 150 SC/ BPL Titleholder 117000 8 Ranjeet

Singh Kalam Singh Raitoli -do- 177 Gen Titleholder 138060

9 Beerbal Singh

Bhopal Singh Raitoli -do- 90 Gen Titleholder 70200

10 Dharshan Singh

Dharban Singh

Raitoli -do- 100 Gen Titleholder 78000

11* Sunder Singh Avtar Singh Raitoli -do- 4752 Gen Titleholder 3706560 Total 5505150

52. This particular Khata (Gol Khata) has more than 86 owners who could not be traced during the census survey as they have moved out of the village long back and the total land is further divided into 1994 parts based on the living members of the 86 owners. The Khata is called GOL because it becomes difficult for one to locate his/her share on ground. For practical purposes this khata will be considered as one unit.

53. After a discussion with revenue officials and Panchayat Pradhan it was decided to keep the amount of compensation for this group in a separate bank account with the revenue dapartment which shall be distributed as per their share as mentioned in the revenue record. The compensation will be distributed to the concern person only after producing sufficient proof of his/her land. The details of this particular Khata (land record) have been attached here with.

The details will be verified again by the NGO during RP implementation.

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List of Gol Khata Shareholders

18

19

19

20

21

21

22

23

23

Annexure II

Public Consultation Participants

24

25

25

ANNEXURE III

Public Consultation and Disclosure Plan

Activity Task Timing (Date /Period)

No of People

Agencies Feedback/Issues/ Concerns Raised

Stakeholder Identification

Reconnaissance and Mapping of the project area

Octuber 2008 - SMEC India

-

Project information Dissemination

Informal Meetings with displaced persons (DPs)

Octuber 2008

28 people SMEC India to disclose the Project and share its key social issues and impacts.

Socio-Economic Survey

Collect socio-economic information of DP’s and their perception on the project

November 2008 11 households

SMEC India Information was collected on – Socio-economic profile of the

households; Access to services Awareness & perception of the

households on the Project and its impact

Consultative Meetings on Resettlement Mitigation Measures

Discuss entitlements, compensation rates, grievance redress mechanisms

Octuber 2011 11 displaced households and other people

SMEC India The displaced households voiced the need for adequate compensation for their asset at the prevalent market rate.

Publicize the resettlement plan (RP)

Distribute Leaflets or Booklets in local language

Nov. 2011 Amongst the displaced households and communities

PWD/PIU

Full Disclosure of the RP to DPs

Distribute RP in local language to DPs

Dec. 2011 Amongst the displaced households and communities

PWD/PIU

Web Disclosure of the RP

RP posted on ADB and/or EA website

Dec 2011 - PWD, GoU

To share with those affected the project impact and the entitlement provisions, timeline and grievance redress procedures under the Project.

Web Disclosure of the Updated RP

Updated RP posted on ADB and/or EA website

Dec.2011 - PWD, GoU -

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Posting RP on ADB Website

1. Schedule for the Resettlement Plan S. No. RP Start Date of Public

Consultation/ dissemination of information

Start date of RP disclosure to the entitled DPs

Close date of public consultation/ dissemination of information

1. Raitoli- Jasholi road subproject

Nov. 2008 Dec. 2011 Jan. 2012

2. Prepared by : Public Works Department, Government of Uttarakhand, India. 3. Consultant: SMEC India Pvt Ltd, Gurgaon, India. 3. Project: Asian Development Bank Loan No. 38255 -IND, Uttarakhand State Road Investment Project.

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ANNEXURE IV

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

I. Project description

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

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

II. Scope of work

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

(i) Information Campaign on Resettlement Entitlements

The NGO will design, plan and implement an information campaign in the affected areas primarily to inform the DPs about the entitlement policy and how to avail their respective entitlements. In particular, the agency will be responsible for undertaking a public information campaign at the project areas to inform the displaced persons regarding:-

The likely consequences of the project on the communities; The R&R policy and entitlements; Assist DPs in getting the compensation for their land and properties acquired for

the project; Ensure proper utilization by the DPs of various grants available under the R&R

package. The agency will be responsible for advising the DPs on how best to utilize any cash that may be provided under the RP, with emphasis placed on using such funds in sustainable way e.g. purchasing replacement land for that acquired.

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

(ii) Identification of DPs and Issuance of Identity (ID) Cards

The agency will identify and verify DPs, on the basis of the resettlement census survey carried out and will facilitate the distribution of ID cards.

This work will include identification of DPs based on a census survey, preparation of ID

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cards, taking photograph of DPs in the field, issuance of ID cards to DPs and updating of ID cards, if required. An identity card would include a photograph of the DP, his/her socio-economic profile and vulnerability, the nature and extent of loss suffered due to the project construction, and the choice of DP with regard to the mode of compensation and assistance (if applies, as per the RP).

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

(iii) Updating of DP Database and Creation/Computerization of Database and DP

Files

The agency will be responsible for updating and preparing a comprehensive computerised database containing the data on land, structure, trees and other affected properties of the DPs which will be used to prepare DP files and entitlements cards (EC). The database will contain information from land records and resettlement census data. The DP and EC files will be used for making payments of entitlements to the DPs and monitoring the progress of resettlement work.

(iv) Participation in Grievance Redress

The NGO will be a part of the Panchayat level committee and will try to resolve the grievances at the Panchayat level. If the dispute remains unresolved at the Panchayat level. The agency will play a key role in assisting the DPs in presenting their grievances or queries to the Grievance Redress Committee (GRC) which will be established at the PIU level with the primary objective of providing a mechanism to mediate conflict and cut down on lengthy litigation.

(v) Income Restoration

The agency will also play a key role in providing income restoration assistance to the displaced households losing their primary sources of livelihood/income as a result of the Project. Emphasis will be laid on the vulnerable groups such as female headed households, SC & ST households, poor etc. In addition, the development agency would also be responsible for liaising with the various government departments, in order to create a link up between the existing government schemes and the affected groups.

(vi) Relocation assistance

The development agency shall facilitate the transfer of shifting allowance to the displaced persons in a timely manner, ie, before the before the actual shifting.

(vii) Community Participation

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

29

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the community and organize focus group discussions (FGDs)4 at the subproject level, with community leaders, eminent citizens, Community based Organization (CBOs), as well as women and other socio-economically vulnerable groups such as Indigenous groups, scheduled caste and poor households, in order to establish direct public contact. The FGDs will aim at sharing information regarding the Project in each of the subproject area so as to ascertain views of the various groups in the community on their priorities, choice of technology, their views and concerns on the Project design and any other concern on safety and other issues. In particular the NGO will undertake the following:

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

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

Capacity Building Component: Under this component, training and sensitization inputs would be provided to the NGOs, community based organizations and groups such as women’s groups in leadership and management of the asset created under the subprojects. In addition, maintenance skills trainings would also be conducted.

III. Selection criteria, Staffing, Implementation Plan

The NGO/agency to be selected for the tasks must have proven experience in resettlement planning and implementation. Specifically, key quality criteria include: -

Experience in direct implementation of programs in local, similar and/or other states; Availability of trained staff Competence, transparency and accountability based on neutral evaluations, internal

reports, and audited accounts; and Integrity and experience to represent vulnerable groups against abuses and

demonstrable mandate to represent local groups. Demonstrated experience in computerizing and managing resettlement-related

database, Experience in resettlement survey, planning, monitoring and evaluation.

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

Team Leader ; Field coordinator ; Resettlement Implementation Worker

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

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Interested agency should submit proposal for the work with a brief statement of the approach, methodology, and field plan to carry out the tasks. The proposal should include:-

(i) Relevant information concerning previous experience on resettlement implementation and preparation of reports.

(ii) The proposal should also include samples of ID cards, information brochures, DP files etc. to be used during the implementation phase.

(iii) The field plan must address training and mobilization of resettlement workers.

Full CVs (2-3 pages) of key personnel (for e.g. the Team Leader, Field Co-coordinator) must be submitted along with the proposal. The Team Leader must have degree in social science (preferably economics, sociology, anthropology, development studies). The Field coordinator must have prior experience in resettlement operation and management.

The agency must be an established organization registered with the Government of India.

IV. Budget

The budget should include all expenses such as staff salary, training, computer/ database, transport, field and any other logistics necessary for resettlement implementation. Additional expense claims whatsoever outside the budget will not be entertained copies of the proposal - both technical and financial - should be submitted.

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ANNEXURE V

TERMS OF REFERENCE FOR EXTERNAL MONITORING & REPORTING AGENCY

I. Project description

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

The Project includes a provision for monitoring and reporting of the implementation of the subproject resettlement plan by an external monitoring agency i.e Supervision Consultants. Therefore, the Project Management Unit (PMU), requires services of a reputed individual/consultancy firm for monitoring and reporting of RP implementation.

II. Scope of work - Generic To review and verify the progress in resettlement implementation as outlined in the

RP; To monitor the effectiveness and efficiency of PIU and NGO in RP implementation. To assess whether resettlement objectives, particularly livelihoods and living

standards of the Displaced Persons (DPs) have been restored or enhanced; To assess the efforts of PIU & NGO in implementation of the ‘Community

Participation strategy’ with particular attention on participation of vulnerable groups namely (a) those who are below the poverty line (BPL); (b) those who belong to scheduled castes (SC), scheduled tribes (ST); (c) female-headed households (FHH); (d) elderly and (e) disabled persons.

To assess resettlement efficiency, effectiveness, impact and sustainability, drawing both on policies and practices and to suggest any corrective measures, if necessary.

To review the project impacts on Indigenous People and groups and assess the effectiveness of the mitigation measures adopted;

III. Scope of work- Specific An external monitoring agency i.e Supervision consultant will be involved for monitoring the resettlement efforts by the EA/IA. The major tasks expected from the external monitor are: 1. To develop specific monitoring indicators for undertaking monitoring for implementation of Resettlement Plans. 2. To review results of internal monitoring and verify claims through random checking at the field level to assess whether resettlement objectives have been generally met. 3. Identify the strengths and weaknesses of the resettlement objectives and approaches, implementation strategies. 4. To review and verify the progress in resettlement implementation of subproject on a sample basis and prepare quarterly reports for the EA/IA and ADB. 5. To assess the adequacy of compensation given to the DPs and the livelihood opportunities and incomes as well as the quality of life of DPs of project-induced changes. 6. To assess the adequacy and effectiveness of the consultative process with affected DPs, particularly those vulnerable, including the adequacy and effectiveness of grievance procedures and legal redress available to the affected parties, and dissemination of information about these.

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IV. Time Frame and Reporting The external monitoring agency will be responsible for overall monitoring of the Executing Agency (EA) and will submit semi-annual report directly to ADB and determine whether resettlement goals have been achieved, more importantly whether livelihoods and living standards have been restored/ enhanced and suggest suitable recommendations for improvement. V. Qualifications The monitoring agency will have significant experience in resettlement policy analysis and RP implementation. Further, work experience and familiarity with all aspects of resettlement operations would be desirable. Candidates with degrees in anthropology, sociology, and development studies will be preferred. Interested agencies/consultants should submit proposal for the work with a brief statement of the approach, methodology, and relevant information concerning previous experience on Monitoring of resettlement implementation and preparation of reports. The profile of agency along with full CV of monitors to be engaged must be submitted along with the proposal. The agency must be an established organization registered with the Government of India. VI. Budget and Logistics The proposal - both technical and financial - should be submitted and the budget should include all cost and any other logistics details necessary for resettlement monitoring. Additional expense claims whatsoever outside the budget will not be entertained.