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E2886 v4

Social Management Framework

Draft Report: Appendix 1

November 15, 2011

Social Management Framework Draft ReportSocial Assessment and Social Management Framework (SMF)

Proposed Metro Colombo Urban Development Project

Appendix I

MCUDP: Sub-project Sites - Stage I

SRI LANKA LAND RECLAMATION AND DEVELOPMENT CORPORATIONSR. No PROJECT DESCRIPTION STAGE

01 Embankment Protection of main canals & demarcation of reservations. (St. Sebastian North, St. Sebastian South, Wellawatta, Dehiwela, Kolonnawa canals, Heen Ela & Main Drain)

Stage-I

02 Reconstruction of Aluth Mawatha Culvert Stage-I03 Improvements to Mutwal Outfall Stage-I04 Madiwela East Diversion:

- Improvements to Madiwela Diversion canal upto Athurugiriya Road

- Additional opening to Amaragoda Culvert- Design of Control Gates at Spillway of Talangama Tank

Stage-I&

Stage-II

05 Restoration and Creation of Lakes in Parliament Catchment – Lake 4,6,7 (1,8,9, and 10 if possible)

Stage-I &Stage-II

06 Improvements to Secondary Canals. Sethsiripaya, Sarana Mawatha, Poorwarama Canal, Sri Wickrema Canal

Stage-I

07 Restoration of Beira Lake. Lake dredging, embankment Stage-I08 Improvements to Galle Road Bridge across Wellawatte Canal Stage-I or

Stage-IILOCALISED FLOOD ISSUES

01 Flood prevention at Kimbula Ela Housing Scheme Stage-I02 Flood prevention at Armour Street, Jethawana Road opposite DIMO Plc

and Prince of Wales AvenueStage-I

03 Flood prevention at Green Lane, George R. De Silva Mw. and Ratnam Playground Area

Stage-I

04 Prevention of Flooding at Norris Canal Stage-I05 Storm Water improvement of Wijerama-Horton Place Junction and

surrounding area Stage-I

06 Flood Prevention at High Level Rd., Kirulapone Junction and Robert Gunawardene Mawatha

Stage-I

07 Upper Catchment of Torrington North Canal Stage-I08 Marine Drive development from Dehiwela Bridge up to Bambalapitiya

Station Road

Resources Development Consultants (Pvt) Ltd /A4555-2/1 Galle Road Colombo 03



SRI JAYAWARDENEPURA KOTTE MUNICIPAL COUNCILSR. No PROJECT DESCRIPTION IMPLEMENTATION

STAGEPHYSICAL INFRASTRUCTURE

01 Rehabilitation of Jambugasmulla Road Stage-I02 Rehabilitation of Santhanampitiya Road Stage-I03 Rehabilitation of Jeswell Place Stage-I04 Rehabilitation of Edirisinghe Road Stage-I05 Rehabilitation of Dewala Road Stage-I06 Rehabilitation of Maliban Arama Road Stage-I07 Rehabilitation of Wijayaba Mawatha & Kandawatte Lane Stage-I08 Rehabilitation of Meda Welikada Road Stage-I09 Rehabilitation of Dharmapala Mawatha Stage-I10 Rehabilitation of Kamathawatte Road Stage-I11 Rehabilitation of Nanayakkara Mawatha Stage-I12 Rehabilitation of Arunodaya Mawatha Stage-I13 Rehabilitation of Walter Gunasekara Mawatha Stage-I14 Rehabilitation of Kolombathantree Mawatha Stage-I15 Rehabilitation of D M Colombage Mawatha Stage-I16 Rehabilitation of Nugegoda – Pagoda Road – 1st Cross

StreeetStage-I

17 Rehabilitation of Nugegoda – Janathapola Road – 1st Lane Stage-I

18 Culvert at Pengiriwatte 1st Lane across the Railway Line Stage-I19 Rehabilitation of Canal from Waththa No. 60 to

Arunodaya Mawatha CanalStage-I

DEHIWALA MT. LAVINIA MUNCIPAL COUNCILROAD AND DRAINS REHABILITATION

Dehiwela DE’s AreaSR. No PROJECT DESCRIPTION STAGE

01 Rehabilitation of Peiris Road, Kalubowila Stage-I02 Rehabilitation of Bhatiya Mawatha Stage-I03 Rehabilitation of De Silva Cross Road Stage-I04 Rehabilitation of Sri Mahabodhi Road Stage-I05 Rehabilitation of Malwatte Road – Hill Street to Liyanage

RoadStage-I

06 Rehabilitation of Sunandarama Road Stage-I07 Rehabilitation of Woodland Mawatha Stage-I08 Rehabilitation of Prathibimbarama Road Stage-I09 Rehabilitation of Sri Maha Vihara Road Stage-I10 Rehabilitation of Perera Mawatha, Kalubowila Stage-I11 Rehabilitation of Malwatta Road, Kalubowila Stage-I




12 Rehabilitation of Malwatta Road, Dehiwela Stage-I13 Rehabilitation of Melder Place Stage-I14 Rehabilitation of Raymond Road and Arthur’s Place Stage-I15 Rehabilitation of Waidya Road and Park Avenue Stage-I16 Rehabilitation of Vanderwert Road Stage-I17 Rehabilitation of De Silva Road Stage-I18 Rehabilitation of Capt. Sumudu Rajapaksha Mw. Stage-I19 Rehabilitation of Sri Gnanendra Road Stage-I20 Rehabilitation of Jayasumanarama Mawatha Stage-I21 Rehabilitation of St. Rita’s Road Stage-I22 Rehabilitation of Circular Road Housing Scheme, Badowita Stage-I23 Construction of Storm Water Drain from Ratmalana SLTB

Depot to Lunawa CanalStage-I

24 Rehabilitation of Sumanarama Road Stage-I25 Rehabilitation of Dharmarama Road (Drains) Stage-I26 Construction of Hangar for heavy vehicles and utility centre

for Ratmalana DEStage-I

27 Construction of Office for DE-Ratmalana Stage-I28 Development of Ratmalana Pola Stage-I

KOLONNAWA URBAN COUNCILSR. No PROJECT DESCRIPTION STAGE

01 Dredging of Minor Canal at Wadullawatte02 Dredging of Kambikotuwawatte Canal03 Dredging of Canal near United Motors, Orugodawatte04 Dredging of Minor Canal at Wadugodawatte05 Construction of first floor of Library Building 06 Renovation of Playground at Umagiliya Park07 Construction of Playground at Salamulla08 Construction of Proposed Conference Room09 Construction of Maternity Home10 Construction of Crematorium at Kolonnawa Public Library11 Rehabilitation of Vihara Mawatha (Kolonnawa Road to CTB

Road)12 Nagahamulla Road to Kolonnawa Rajamaha Viharaya13 CTB Road (Vihara Mawatha upto CTB Road)

MACHINE REQUIREMENTBackhoe loaderRoad RollerAmbulanceCompactors (Garbage Collectors) – 06 Nos.Waste Disposal Plastic Bin (10000 Nos.)Office EquipmentResources Development Consultants (Pvt) Ltd /A4555-2/1 Galle Road Colombo 03



COLOMBO MUNICIPAL COUNCILSR. No PROJECT DESCRIPTION STAGE

01 Model Zone – Development of Town Hall Square Stage-I

02 Pedestrian Overhead Bridges at Kollupitiya and Bambalapitiya Intersection with Galle Road

Stage-I

03 Walkability Improvements in City of Colombo – Foot Walks Stage-I04 Asphalt Overlaying of Roads in City of Colombo Stage-I05 Rehabilitation of Roads in City of Colombo-Galle Road and

R A De Mel MawathaStage-I

06 Improving Public Conveniences Stage-I

URBAN DEVELOPMENT AUTHORITY

SR. No PROJECT DESCRIPTION STAGE01 Beddagana Bio-Diversity Park Stage-I02 Linear Park along Beira Lake Stage-II




Appendix II

MCUDP: Sub-project Sites - Stage II

SRI LANKA LAND RECLAMATION AND DEVELOPMENT CORPORATION

SR. No PROJECT DESCRIPTION STAGE01 North Lock widening, widening of flood gate at North Lock.

(Confluence of St. Sebastian North Canal to Kelani River)Stage-II

02 Improvements to Main Drain Crossings at Ports Access Road & Railway

Stage-II

03 Madiwela East Diversion:- Improvements to Madiwela Diversion canal upto

Athurugiriya Road- Additional opening to Amaragoda Culvert- Design of Control Gates at Spillway of Talangama

Tank

Stage-I&

Stage-II

04 Restoration and Creation of Lakes in Parliament Catchment – Lake 4,6,7 (1,8,9, and 10 if possible)

Stage-I &Stage-II

05 Upgrade of set of North Lock Gates & downstream improvement with embankment protection – continuation from Stage I

Stage-II

06 Improvements to Galle Road Bridge across Wellawatte Canal Stage-I or Stage-II

07 Restoration and Creation of lakes around Parliament lake – continuation from Stage I

Stage-II

08 Design of Control gates at Spillway of Talangama tank – continuation from Stage I

Stage-II

09 Pumping Station at North Lock (10m3/s) Stage-II10 Rehabilitation of Pumping Station at South Locks & renovation

of gatesStage-II

11 St. Sebastian South Diversion canal by passing Beira Lake (excluding upstream part of the Norris canal) including treatment at outlet

Stage-II

12 Restoration of Kolonnawa retention area and pumping station at Gothatuwa (30m3/s)

Stage-II

13 Implementation of Water-based transport services for better usage and management & investment for maintenance of water bodies – Bridge improvements

Stage-II

14 Improvement of the neighbourhood of water bodies (canals & lakes) for recreational purposes – Foot Bridges

Stage-II

15 Detailed designs for implementation of Real time Flood Monitoring & Forecasting System for Colombo Basin

Stage-II




LOCALISED FLOOD ISSUES

01 Flood prevention at Garden No. 175 and 211 at Nagalagam Street and Garden No. 75 at Ferguson Road

Stage-II

02 Flood prevention along K. Cyril C. Perera Mw. from George R. De Silva Mw. upto Arthur De Silva Mw. Junction

Stage-II

03 Prevention of Flooding at Saunders Place Stage-II04 Prevention of Flooding at Maligawatte Housing Scheme Stage-II05 Storm Water improvements of Siridhamma Mawatha and

surrounding area Stage-II

06 Flood Prevention at Poorwarama Road and Kandawatte Road Stage-II07 Flood Prevention at Park Road Stage-II

SRI JAYAWARDENEPURA KOTTE MUNICIPAL COUNCILSR. No PROJECT DESCRIPTION IMPLEMENTATION

STAGESOCIAL INFRASTRUCTURE

01 Development of Chandra Silva Recreational Park at Rajagiriya

Stage-II

02 Redevelopment of Arunodaya Mawatha Community Centre

Stage-II

03 Redevelopment of Obeysekarapura Community Centre Stage-II04 Redevelopment of Polwatta Community Centre Stage-II

PHYSICAL INFRASTRUCTURE05 Construction of Pitakotte Market and Medical Centre Stage-II

ENVIRONMENT INFRASTRUCTURE06 Redevelopment of Bandaranayakapura Open Space Stage-II07 Redevelopment of Rajagiriya Junction Open Space Stage-II08 Redevelopment of Esala Uyana Open Space Stage-II09 Redevelopment of Palliya Patumaga Open Space Stage-II10 Redevelopment of Senanayaka Mawatha Open Space Stage-II11 Redevelopment of Kolonnawa Road Open Space Stage-II

DEHIWALA MT. LAVINIA MUNCIPAL COUNCILROAD AND DRAINS REHABILITATIONSR. No PROJECT DESCRIPTION STAGE

01 Redevelopment of Attidiya Grounds Stage-II02 Improvements to Mini Market Dehiwela Stage-II03 Construction of New Office Complex at Dehiwela Stage-II04 Construction of Maternity Clinic and Reading Room,

Woodland MawathaStage-II

05 Construction of Multi-purpose Utility Building Stage-II06 Canal Improvement au Auburn Side Stage-II




KOLONNAWA URBAN COUNCIL




SR. No PROJECT DESCRIPTION STAGE01 Dredging of Minor Canal at Wadullawatte02 Dredging of Kambikotuwawatte Canal03 Dredging of Canal near United Motors, Orugodawatte04 Dredging of Minor Canal at Wadugodawatte05 Construction of first floor of Library Building 06 Renovation of Playground at Umagiliya Park07 Construction of Playground at Salamulla08 Construction of Proposed Conference Room09 Construction of Maternity Home10 Construction of Crematorium at Kolonnawa Public

Library11 Rehabilitation of Vihara Mawatha (Kolonnawa Road to

CTB Road)12 Nagahamulla Road to Kolonnawa Rajamaha Viharaya13 CTB Road (Vihara Mawatha upto CTB Road)

MACHINE REQUIREMENTBackhoe loaderRoad RollerAmbulanceCompactors (Garbage Collectors) – 06 Nos.Waste Disposal Plastic Bin (10000 Nos.)Office Equipment

COLOMBO MUNICIPAL COUNCIL

SR. No PROJECT DESCRIPTION STAGE01 Proposed Water Front Recreational Park at Crow Island Stage-II02 Marine Drive Promenade with Beach Front Leisure Park Stage-II

URBAN DEVELOPMENT AUTHORITY

SR. No PROJECT DESCRIPTION STAGE01 Nodal Parks along Beira Lake Stage-II

Appendix III

Sri Lanka National Involuntary Resettlement Policy (NIRP)Resources Development Consultants (Pvt) Ltd /A4555-2/1 Galle Road Colombo 03



Review and Approval Process

Discussed and approved by Working Groups on November 2nd 2000

Discussed and approved by Steering Committee on December 4th 2000

Distributed to Stakeholders December 2000

Stakeholders written comments incorporated at National Workshop

Discussed and finalized NIRP at Second National Workshop January 26th-28th 2001

Distributed NIRP to National Workshop Participants and Steering Committee on February 1st 2001

Reviewed and approved by Steering Committee on March 5, 2001

Approved by Cabinet of Ministers on May 24,2001

1. Rationale

Public and private sector development projects increasingly involve acquisition of land. People whose homes and lands are acquired then have to move elsewhere and resettle in locations that may be unfamiliar. In general, resettlement has not been very successful and there are several recent examples in Sri Lanka where people have shown resistance to projects that cause displacement. Among the significant consequences of poor resettlement has been impoverishment of affected people due to landlessness, homelessness, joblessness, relatively higher mortality and morbidity, food insecurity, lack of access to common property and public services, and disruption of the existing social organization. International, regional and national experience with resettlement has generated considerable knowledge on the planning and implementation of involuntary resettlement and this experience if used effectively can ensure that adverse impacts on affected people are fully addressed in terms of established policy objectives.

In Sri Lanka the Land Acquisition Act of 1950 as amended from time to time only provides for compensation for land, structures and crops. It does not require project executing agencies (PEA) to address key resettlement issues such as (a) exploring alternative project options that avoid or minimize impacts on people; (b) compensating those who do not have title to land; (c) consulting affected people and hosts on resettlement options; (d) providing for successful social and economic integration of the affected people and their hosts, and (e) full social and economic rehabilitation of the affected people.

The National Environmental Act (NEA), No. 47 of 1980, amended by Act, No. 56 of 1988 has some provisions relevant to involuntary settlement. The Minister has by gazette notification No. 859/14 of 23.2.1995 determined the projects and undertakings for which Central Environmental Authority (CEA) approval is needed in terms of Part IV C of the NEA. The schedule includes item 12, which refers to involuntary resettlement exceeding 100 families,




other than resettlement resulting from emergency situations. However these provisions do not adequately address key resettlement issues mentioned in paragraph 2 above.

To ensure that people affected by development projects are treated in a fair and equitable manner, and that they are not impoverished in the process, it is necessary that Sri Lanka adopts a NIRP. Such a policy would establish the framework for project planning and implementation. Subsequently, it will be necessary to prepare guidelines on resettlement planning and implementation to be used by PEAs.

People have moved voluntarily, mainly to the dry zone, starting from colonial days. These were state sponsored settlement programmes aimed at developing and exploiting land resources in that region, while relieving pressure on land in the wet zone. There are many commonalties in the objectives and implementation of voluntary and involuntary settlement and re-settlement programmes.

Nonetheless, the policy proposed here refers only to development-induced involuntary resettlement, where the option to stay behind does not exist. It does, however, also apply to cases where people do not have to be physically relocated.

2. Objectives of the Policy

To avoid, minimize and mitigate negative impacts of involuntary resettlement by facilitating the reestablishment of the affected people on a productive and self-sustaining basis. The policy should also facilitate the development of the project-affected people and the project.

To ensure that people adversely affected by development projects are fully and promptly compensated and successfully resettled. The livelihoods of the displaced persons should be reestablished and the standard of living improved.

To ensure that no impoverishment of people shall result as a consequence of compulsory land acquisition for development purposes by the State.

To assist adversely affected people in dealing with the psychological, cultural, social and other stresses caused by compulsory land acquisition.

To make all affected people aware of processes available for the redress of grievances that are easily accessible and immediately responsive.

To have in place a consultative, transparent and accountable involuntary resettlement process with a time frame agreed to by the PEA and the affected people.

3. Scope

The policy will apply to all development-induced land acquisition or recovery of possession by the State.

A comprehensive Resettlement Action Plan will be required where 20 or more families are affected.




If less than 20 families are affected the policy still applies but a plan can be prepared to a lesser level of detail.

The policy will apply to all projects regardless of source of funding.

The policy will apply to all projects in the planning phase on the date this policy comes into effect, and all future projects.

4. Policy Principles

Involuntary resettlement should be avoided or reduced as much as possible by reviewing alternatives to the project as well as alternatives within the project.

Where involuntary resettlement is unavoidable, affected people should be assisted to re-establish themselves and improve their quality of life.

Gender equality and equity should be ensured and adhered to throughout the policy.

Affected persons should be fully involved in the selection of relocation sites, livelihood compensation and development options at the earliest opportunity.

Replacement land should be an option for compensation in the case of loss of land; in the absence of replacement land cash compensation should be an option for all affected persons

Compensation for loss of land, structures, other assets and income should be based on full replacement cost and should be paid promptly. This should include transaction costs.

Resettlement should be planned and implemented with full participation of the provincial and local authorities.

To assist those affected to be economically and socially integrated into the host communities, participatory measures should be designed and implemented.

Common property resources and community and public services should be provided to affected people.

Resettlement should be planned as a development activity for the affected people.

Affected persons who do not have documented title to land should receive fair and just treatment.

Vulnerable groups should be identified and given appropriate assistance to substantially improve their living standards.

Project Executing Agencies should bear the full costs of compensation and resettlement.

5. Institutional Responsibilities

The Ministry of Land Development (MLD) will be responsible for the implementation of the NIRP.

The Project Executing Agencies (PEAs) will be responsible for complying with all the requirements for planning and implementing resettlement according to the NIRP.




The PEAs (like the Road Development Authority) that have significant resettlement in their projects will establish Resettlement Units with adequately trained staff.

The CEA will be responsible for the review of impacts and mitigating measures of projects involving involuntary resettlement.

The CEA’s capacity will be strengthened so that it could provide the necessary guidance to public and private sector agencies undertaking projects that have involuntary resettlement impacts.

The MLD will prepare regulations and guidelines on involuntary resettlement planning, implementation and monitoring.

The MLD and the CEA will conduct training courses in resettlement planning, implementation, monitoring.

The CEA will review and approve the Resettlement Action Plans prepared by PEAs, and make plans publicly available.

The MLD will draft amendments to the Land Acquisition Act in order to bring the law in line with NIRP

Following consultations with stakeholders, MLD will submit a final draft of the amended Land Acquisition Act for government approval

MLD will prepare the necessary implementation guidelines based on the amended LAA

A Steering Committee will be formed comprising the MLD, CEA, PEAs and other relevant agencies to exchange experience on resettlement, and coordinate and oversee the implementation of the policy

6. Monitoring and Evaluation

A system of internal monitoring should be established by PEAs to monitor implementation of Resettlement Action Plans, including budget, schedule, and delivery of entitlements, consultation, grievances and benefits.

PEAs should make adequate resources available for monitoring and evaluation.

A further system of external monitoring and evaluation by an independent party should be established to assess the overall outcome of resettlement activities.

Monitoring and evaluation reports should be reviewed by the PEA, CEA and MLD and action taken to make improvements where indicated.

Affected persons and other stakeholders should be consulted in monitoring and evaluation.

Lessons thus learned from resettlement experiences should be used to improve resettlement policy and practice.

Summary of Institutional Responsibilities for Involuntary Resettlement




Function ResponsibilityOverall Policy Implementation MLD

Preparation (Planning) Project Proponent (can be contracted to consultants, Universities, NGOs)

Review of Resettlement Plans Project Approving Agency (PAA) and CEAApproval of RAPs PAA and CEA

Implementation (PEA), Divisional Administration, Provincial Administration, Local Government

Monitoring PEA, with review by CEA and MLD

Evaluation Independent organization on behalf of MLD, PEA and CEA

7. Definitions of Terms Used

Affected Person – person affected by changes to use of land, water or other resources caused by development projects

Compensation – cash or payment in kind made to affected persons to replace assets, resources or income.

Emergency Situation – natural disasters, civil and political conflict situations.

Expropriation – government taking possession of property or changing property rights in order to execute or facilitate development projects.

Entitlements – a variety of measures including compensation, income restoration and interim support, transfer assistance, relocation and other benefits that are due to affected people, depending on the nature of their losses, to improve their economic and social base.

Gender Equity – recognition of both genders in the provision of entitlements, treatment and other measures under the Resettlement Action Plan.

Host Population – households and communities residing in or near the area to which affected people are to be relocated.

Income Restoration – re-establishing income sources and livelihoods of people affected.

Involuntary Resettlement – unavoidable displacement of people arising from development projects that creates the need for rebuilding their livelihoods, incomes and asset bases in another location.

Rehabilitation – re-establishing and improving incomes, livelihoods, living, and social systems.

Relocation – moving affected persons and their moveable assets and rebuilding housing, structures, improvements to land, and public infrastructure in another location.

Replacement Cost – the level of valuation for expropriated property sufficient to actually replace lost assets, or to acquire substitutes of equal value or comparable productivity or use; transaction costs are to be included




Resettlement Action Plan – a time-bound action plan with budget setting out resettlement strategy, objectives, options, entitlements, actions, approvals, responsibilities, monitoring and evaluation.

Resettlement Budget – a detailed breakdown of all the costs of a resettlement action plan phased over the implementation period

Resettlement Effect –loss of physical and non physical assets including homes, communities, productive land, income earning assets and sources, subsistence, resources, cultural sites, social structures, networks and ties, cultural identity and mutual help mechanisms.

Settlement – voluntary movement of people to a new site where they re-establish their livelihoods as in the case of the Mahaweli Scheme

Social Preparation – process of consultation with affected people undertaken before key resettlement decisions are made; measures to build their capacity to deal with resettlement, taking into account existing social and cultural institutions.

Vulnerable Groups – distinct groups of people who might suffer disproportionately from resettlement effects such as the old, the young, the handicapped, the poor, isolated groups and single parent households

Appendix IV

Social Screening Checklist Form

A. Project Data

Proposed Activity :

Brief Description :




Location :

Implementing Agency:

B. Screening Questions For Resettlement Categorization

Probable Involuntary Resettlement Effects Yes No Not Known Possible Remarks

1 Will the sub project include any physical construction work?

2 Does the sub project include upgrading or rehabilitation of existing physical facilities?

3 Are any sub project effects likely to cause any damage/loss of housing, other assets, and resource use?

4 Is the site for chosen for this work free encumbrances and is in possession of the government/Municipality/

5 If the site is privately owned, will this be purchased or obtained through voluntary donation?

6 If the Land parcel has to be acquired, is the actual plot size and ownership status known?

7 Is land for material mobilization or transport for the civil work available within the existing plot/right of way?

8 Are there any non titled people who living/doing business on the proposed site for civil work?

9 Will there be loss of/ damage to agricultural lands, standing crops, trees?

10 Will there be loss of income and livelihoods?

11 Will people lose access to facilities, services, or natural resources?

12 Are any vulnerable households affected?

13 Whether the affected land/structure owners likely to lose less than 10% of their land/structure area

14 If so, are these land/structure owners willing to voluntarily donate the required land for this sub project?




Probable Involuntary Resettlement Effects Yes No Not Known Possible Remarks

15 Is any temporary impact likely?

C. Estimates of Specific Impacts

Components of the Sub Project

Private land required in Sq,mts.

No of land owners losing more than 10% of land area

Government land required in Sq,mts

Forest land required in Sq mts

No of houses affected

No of shops affected

No of other structures affected

No of squatters affected

Public utilities affected

D. Information on Affected persons


Any estimate of the likely number of households that will be affected by the sub project?

[ ] No. [ ] Yes. If yes, approximately how many? ………………………………….

No. of HHs losing <10% of their productive assets (land/cowshed/shops/economic units)

………………………

No. of HHs losing 10% or more of their productive assets?...................................

Are any of them poor, female-headed households, or vulnerable to poverty risks? [ ] No. [ ]Yes. If yes, please briefly describe their situation with estimate numbers of HHs?

Are any vulnerable households affected? [ ] No. [ ]Yes. If yes, please briefly describe their situation with estimate numbers of HHs?

What are the needs and priorities for social and economic betterment of vulnerable people who are affected by this project?



E. Decision on categorization

After reviewing the answers above, it is determined that the sub project is:

Categorized as an A project, a full resettlement plan is required

Categorized as an B project, a short resettlement plan is required

Categorized as an C project, no RP is required

Appendix V

Outline of Abbreviated Resettlement Plan

Topic Contents


………………………………………….Prepared by:(Screening Consultant, RDC)

Date:

…………………………………………….Approved by:(Authorized Person, MC,UC, SLLRDC )

Date:



1. Project Description and Location

- Basic explanation of the Project and its’ location.

2. A Census Survey of Displaced Persons and Valuation of Assets

- Potential displacement due to proposed sub-project, assets lost and people displaced from homes or livelihood, and valuation of assets.

3. Description of Land Acquisition Policy Framework

- Describe key national acquisition, compensation policies and donor policies, entitlements. Explain how NIRP and WB safeguard policies will be achieved.

4. Consultation and Grievance Redress, Participation

- Discuss the Consultation and Participation Process that will be followed in achieving NIRP and safeguard requirements.

5. Institutional Responsibility for Implementation

- How grievance redress mechanism works in planning, implementation and monitoring framework.

6. Resettlement Budget and Financing

- Identify land acquisition and resettlement costs and funding sources.

7. Implementing Schedule - Provide Time Schedule, showing how people affected will be provided with entitlements before demolition begins

8. Monitoring and Evaluation - Specify arrangements for M and E.

Appendix VI

Outline of a Full Resettlement Plan

Topic Content1. Project Description - General description of the Project.

Identification of project area with map.Resources Development Consultants (Pvt) Ltd /A4555-2/1 Galle Road Colombo 03



List project components which create resettlement. Describe the alternatives considered to avoid or minimize resettlement. Explain the main objectives of the Resettlement Plan.

2. Potential Impacts of the Project (Socio-economic Studies)

- Project components and activities which give rise to resettlement, with maps of the area and subproject locations.

- Conduct DMS, Socio Economic Survey, collect Demographic Data and prepare a Register of affected persons at all levels including vulnerable persons such as Women, women headed households, elders, disabled etc.

- Prepare an Inventory of affected households and movable and immovable assets of the households and community..

- Gender impacts.

- Consultation and participation of affected persons in the planning process from the very beginning of the planning exercises.

3. Legal and Policy Frameworks - Land acquisition, compensation and safeguard policies of GOSL and World Bank Explain how NIRP and World Bank safeguard policies will be implemented.

4. Entitlements - Define eligibility, and entitlements for the potential losses that affected persons will receive. Entitlement Matrix.

5. Consultation and Public Participation and Grievance Redress Procedure

- Describe the Consultation and Participation process which need to commence from the planning stage. Establishment of Grievance Redress Mechanism.

6. Relocation of Housing Settlements - Relocation options after con and, site




selection with the participation of APs. Host population and their participation.

7. Income Restoration Strategies - Identify income and livelihoods at risk. Develop income restoration and rehabilitation strategy. Specify job opportunities for youth, women and others whose livelihoods are affected.

8. Institutional Framework - Identify main tasks and responsibilities in planning, negotiating, consulting, approving, coordinating, implementing, financing, monitoring and evaluation of resettlement.

9. Resettlement Budget and Financing

10. Implementation Schedule

- Identify resettlement costs, annual budget and specify timing for release of funds. Identify the source of funding

- Provide a time schedule showing the start and finish dates for major resettlement tasks. Show how affected people will be provided with entitlements before they shift to the new relocation sites.

11. Monitoring and Evaluation - Prepare a plan for internal monitoring of financial and physical resettlement targets. Specify key indicators of progress. Prepare an evaluation plan with provisions for external monitoring . Specify participation of APs in both monitoring and evaluation.

Appendix VII

Questionnaire of Socio-Economic Survey

Sub Project Location:…………………………………………..Type of Land Use




Residential Commercial Industrial

1. Administrative Unit the Household is Located

1.1 DS Division

1.2 GN Division

1.3 House No.

1.4 Village/Ward

2. Household Information ( General information of the household & Willingness to Relocate)

2.1 Name of the Chief Occupant

2.2 Name of the Respondent

2.3 Respondent’s Relationship to Chief Occupant

1. Chief Occupant 2. Husband 3. Wife 4. Father

5. Mother 6. Brother 7. Sister 8. Son

9. Daughter 10. In-law

(F-M-B-Si-Sn-D)

11. Other Relative 12. Other (Specify)

2.4 Religion

1. Buddist 2. Hindu 3. Islam 4. Roman Catholic

5. Angkican or Other 6. Other (Specify)

2.5 Ethnicity

1. Sinhala 2. Tamil 3. Muslim/Maly 4. Burger

5. Other (Specify)

2.6 Total No. of Permanent Residents Male

Female

TOTAL

2.7 Total No. of Disabled Persons




2.8 Total Pregnant/Lactating Mothers

2.9 Total No. of Schooling Children

Distance to School (in Km)

2.10 Total No. in following AGE Groups

1. < 1 Year 2. Between 1 and 13 years

3. Between 14 and 55 years 4. > 55 years

2.11 Family’s Consent to Relocation

1. Within the City 2. Outside the City 3. Not Willing to Relocate

3. House Condition

3.1 How long occupying the house

1. Less than 5 years 2. 6-10 Years 3. 10-20 Years 4. Over 20 years

3.2 Tenure status of the house

1. Land lord 2. Tenant/Lessee 3. Illegal Occupant of Titled land

4. Illegal Occupant of State Land

3.3. Floor Area of the house

1. Less than 250 sq.ft 2. 250-500 sq.ft 3. 500-1000 sq.ft 4. More than 1000 sq.ft

3.4. Type of the WALLS of the house

1. Clay/Wattle & Daub 2. Timber Planks 3. Bricks/Cement Blocks (Not plastered)

4. Bricks/Cement Blocks (Plastered) 5. Other (Specify)

3.5. Type of the FLOOR of the house

1. Clay Floor 2. Cement Floor 3. Tiled Floor 4. Other (Specify)

3.6. Type of the ROOF of the house

1. Cadjan Roof 2. Tin Sheet Roof 3. Asbestos Roof




4. Tile Roof 5. Other (Specify)

3.7. Power Supply of the house the

1. CEB 2. Solar Power 3. Generator 4. No Electricity

3.8. Distance to the Canal / Lake

1. 0-6.5 Meters 2. More than 6.5 meters

3.9. Distance to the Main Road (Locational Status)

Km

4. Water Supply

4.1 Drinking Water Supply

1. Pipe into House 2. Pipe into Yard or Plot 3. Public Tap 4. Protected Dug Well

5. Unprotected Dug Well 6. Rainwater Collection 7. Other (Specify)

5. Sanitary Facilities

5.1 Are there available lavatories?

1. YES 2. NO

5.2 If “YES” Type

1. Public 2. Neighbor 3. Owned 4. Other (Specify)

5.3 Type of the Laterine

1. Primary Pit 2. Water Sealed (Squatting Pan) 4. Commode

6. Land Use

6.1 Agricultural Land (Keera Gardens) Extent in Perches

Ownership


1. Deed 2. Permit 3. Rented



Income of the Land (Monthly) in Rs.

6.2 Land use for Animal Husbandry Extent in Perches

Ownership


6.3 Land use for Fish Ponds Extent in Perches

Ownership


6.4 Land use for Yard/ Industry Workshop Extent in Perches

Ownership


7. Value of the Immovable Property in the Present Location

Property Area (Perch) Present Value (Rs)

1. Land

Cultivated Land

Other Land

2. House

8. Value of the Movable Property in the Present Location

ITEM DESCRIPTIONNo. of Units

Present Value(Rs)

ITEM DESCRIPTIONNo. of Units

Present Value(Rs)

7.1 Trade

1. Shops 2. Canteen/Hotel

3. Bicycle Repairs 4. Mill

5. Garage







7.2 Agriculture

1. Two-Wheeled Tractor 2. Trailers

3. Others

7.3 Fishing Instruments

1. Fishing Boats 2. Fishing Nets

3. Others

7.4 Household Appliances

1. Television 2. Radio

3. Refrigerator 4. Sewing Machine

5. Petrol Lamp 6. Plastic Chair

7. Settees 8. Air-conditioner

9. Fan 10. Telephone

11. Washing Machine 12. Other

7.5 Cooking Stoves

1. Harth 2. Kerosene Oven

3. Gas Stove 4. Electric Oven

5. Other

7.6 Conveyance

1. Bicycle 2. Motor Bike

3. Three-wheeler 4. Car/Van

5. Bus 6. Hand Tractor/Cart

7. Other

9. Income and Employment

9.1 Family Income and Employment Details




Name

Relationship to the Chief Occupant

(Use Codes below)

Occupation

(Use Codes below)

Distance to work place

(in Kms)

Total Monthly

Earnings (Rs.)

1.

2.

3.

4.

5.

6.

7.

CODES for Relationship

1. Chief Occupant 2. Husband 3. Wife 4. Father

5. Mother 6. Brother 7. Sister 8. Son

9. Daughter 10. In-law (F-M-B-Si-Sn-D)

11. Other Relative 12. Other (Specify)

CODES for Occupation

1. Farmer 2. Unskilled Labourer 3. Skilled Labourer

(Mason, Carpenter etc.)

4. Self-Employed (Trade etc.) 5. Private Sector Employed 6. Public Sector Employed

7. Other (Specify) 8. Foreign Employment

Other Income Sources

Source Annual Income (Rs.)

1 Samurdhi

2 Gifts received from government

3Gifts received from Non-Government Organizations or Donors




4 Foreign Remittances

5 Other (Specify)…………..................................................

10. To be filled by the researcher.

NATURE OF IMPACT (in a Priority Order)No. in Priority

Complete damage to the houseComplete damage to the business establishment

Partial damage to the housePartial damage to the business establishment

Loss of Livelihood Loss of access to the house/property/business

Cultural damage (religious place/cemetery/social disintegration) Damage to Common amenities (Play ground/park)

Appendix VIII

Tasks identified and Agencies responsible to execute the Tasks

Task Agencies

1 Social Screening…………………………………….

PPAs –: SLLRDC, UDA, LAs,

PMU




Review and Approval……………………………….

2 Social impact Assessment; Social Survey and Social assessment…………………………………..

Land survey and impact maps……………………

NGO/Consultants engaged for implementation support

PPA, Social and Environmental Management Unit (SEMU).The survey cell at UDA can be used.

3 RAP Preparation Resettlement of Underserved Settlement Project (RUSP)NGO/ConsultantsPPAs

4 RAP Finalisation and disclosureAwareness Programmes, Group discussions on resettlement and rehabilitation benefits to APS and other Safeguard implementation Partners

RUSPNGO/Consultants.SEMUSocial Development Officers (SDO)PPAs

5 Eligibility finalization and DisclosureList of eligible APS based on SIA Disclosure of the list to the communityOrganise Group Discussions

PPAsSDOsLocal Resettlement Committees (LRCs)

6 Finalisation of the eligibility list and approval for payment of entitlements

PMU

7 Final disclosure through Website, Settlements, LRCIssue of family cards

PPAs , SEMUSocial Development Officers (SDO)Implementing partner NGOs

8 Payment of RR benefits PPAs. SDOs.

9 Land acquisition based on impact assessment PPAs, PMU, MOD, MOL, DSSpecial Land Acquisition Officer (SLAO) of the PMU similar to that of Lunawa project

10

Compensation for land acquisition Divisional Secretaries (DS)

11

Establishment of PMU EA

12

Establishment of LRCs PPAs

1 Establishment of GRCs PPAs


Metro Development Stakeholders Forum

National Project Steering Committee Chaired by S/MOD



314

Recruitment and deployment of staff PMU & PPAs

15

Monitoring and Evaluation PMU & PPAs

Appendix IX

The Project Management System





Project Management Unit headed by

Project Director

Dy. Director

Financial Controller

Procurement Specialist

Environment Specialist

Social Specialist

PPA Implementation UnitsTechnical/Social

SDOs

Sub-Project CellsSDO – Liaison Officer

State Sector Service Providers

Local Bodies LRC NGO CBO

APs

Engineering Specialist I

Engineering Specialist II

Monitoring & Evaluation

Social Management Framework Draft ReportSocial Assessment and Social Management Framework (SMF) Proposed Metro Colombo Urban Development

Project

Appendix X

Proposed Implementation Structure for Project Management Unit - MCUDP

Level A

Level B

Level B Financial Controller

Procurement Specialist

Environmental Specialist

Social Specialist

Engineering Specialist 1

Engineering Specialist 2

Level CProject Accountant

Senior Engineer - Procurement

Level DAssistant Accountant - 04 Nos.

Engineers - 02 Nos. Engineer Engineer

Administrative Offi cer

Project Secretary

Level DEngineering Assistants 01 Nos.

Engineering Assistants 01 No.

Engineering Assistants 01 No.

Draught man 01 No.

Draught man 01 No.

Draught man 01 No.

Accounts Clerks - 02 Nos. Clerks - 02 Nos.

Computer Operator 01 & Clerk 01

Computer Operator 01 & Clerk 01

Clerks - 02 Nos.

Clerks - 02 Nos.

Computer Operators - 02 Nos. Clerks - 03 Nos.

Clerks - 02 Nos.

Other Assistants StaffPeons 5Drivers 10

Project Steering Committee { Chaired by Secretary (MOD&UD)}

Deputy Project Director

Project Director - (Metro Colombo Urban Development Project)




Appendix XI

Scope of Activities and Work of PMU

1) Planning: Each PPA will prepare implementation plans for the subproject activities coming under their purview. The PMU will coordinate and prepare the final detailed implementation plan.

2) Project coordination: Integrate all stakeholders into a smooth working group. 3) Staffing: Recruiting of staff required for PMU and PPAs. Some staff such as

consultants will be selected in accordance with Government and WB procedures. 4) Enhancing Capacity; Training of PMU staff. Sub component 2.2 of the project

provides for the enhancement of the capacity of the PPAs.5) Project implementation: Supervising project activities, including managing physical

and financial progress.6) Project Management Control: Implementing cost, schedule, and technical

performance control system; and framing reporting procedures. Issuing implementation guidelines to the staff of the PMU and PPAs.

7) Management Information System: Establishment of a Management Information System to track the physical and financial progress.

8) Linkages: Establishing procedures for interacting and cooperating with other agencies involved in project implementation.

9) Financial Management: Managing disbursement of Project funds, ensuring that such funds are utilized for approved activities by establishing and maintaining an effective financial monitoring system. Ensure timely allocation of funds for payment of entitlements. Preparation and submission of Withdrawal applications to the WB for reimbursement.

10) Monitoring: Monitor the project activities with identifiable indicators.11) Gender concern: Develop a plan to address Gender concern.12) Covenants: Ensuring compliance with all requirements and covenants in the

agreements with WB.13) No cost or time overrun: Ensure that the Project is implemented without Cost or

Time overrun.14) Removal of bottlenecks: Identification of issues, problems and resolution.15) Reporting: Submitting the required periodical reports to EA, NPSC, MDSF and WB. 16) Coordination: Coordinate with related Agencies to restore / improve the income

and living standard of the APs:17) Grievance Redress: Coordinate the activities of all the grievance redress

instruments including GRCs.




Appendix XII

MCUDP: Sub Project Proposal Format (Sample)

Implementing Agency:

Name :

Address :

Project No. :

District :

D.S Division : .

G.N. Division : .

Sector :

01. Project Title:

02. Problem to be addressed:

03. Brief description and scope of the Project:PROJECT impacts:

a) Social ,b) Economical c)Technical, d) Environmental

04. Project justification:

05. Beneficiaries:

06. Is the proposed project also financed by others? No.

07. Who of the beneficiaries participated in project selection and design?

08. Who of the beneficiaries will participate in implementation?

09. How do women benefit?

10. Who will be responsible for operation and maintenance in the future?

11. (A) Are funds available in the budget for operation and maintenance?




(B) Estimated cost of O&M for 3 years from the date of completion of Project.

2013 2014 2015

Rs. Rs. Rs.

12. Is adequate staff available to operate the proposed project?

13. Size / capacity of project:

14. Follows sector criteria:

15. Risk that works/facilities may be damaged or destroyed:

16. Can delays in supplies be expected? :-

17. Is involuntary resettlement applicable :-

18. Land :- Is land available :-

Is the land suitable or does it needs any improvements such as filling of Land :-

Name of the Owner of the land :-

Is the sketch of the land attached :-

A letter from an appropriate authority certifying that the said land belongs to the said owner:-

19. Does the location of the sub project falls within the costal buffer zone :- If it falls within the buffer zone justifications and evidence of approval by the

appropriate authority should be presented?

20. Is the location of the sub project free of UXO and Land mines :-

21. Impact of the project on environment:




22. Are private contractors available in the area?

23. Cost and Budget:

No DetailsTotal

Estimate CostsRs. in Mn

Amount required2011 & 2012

4th Qtr. 1st Qtr.

A Preparation Cost

B Capital Cost

C Supervision Cost – 5%D Contingency 5%E 1. Price Escalation – 2.5%

2. Physical – 2.5%F Taxes – VAT – 12%GRAND TOTAL

24. a. Financing Plan (Rs.Mn)

TEC WORLD BANK /GOSL Beneficiaries

b. Quarterly Financial Requirement

2011 20124th Qtr 1st Qtr




25. Implementation schedule: sample construction activity.

Activity2011 2012

Sep Oct Nov Dec Jan Feb MarInvestigation and Preparation of EstimatesCalling for TendersTender EvaluationTender Board Decision, Award of TendersPhysical Activities(a) Foundation(b) Super Structure (c) Roof(d) Carpentry(e) Electrical Work (f) Plumping & Water Supply(g) Finishing Touches & Landscaping(i) Handing Over to Client

Prepared by : Approved :

Signature : Signature :

Name of officer: Name :

Project Director:




Appendix XIII

Family Card for Relocation Assistance (Sample Format)

Number of the family card:

Name of Sub project:

National Identity card Number:

Name of the chief occupant :

Name of Spouse:

District:

Divisional Secretary /A.G.A Division Area:

a) Original place of residence:

b) Relocated place of residence:

Grama Niladari Division & Number:

a) Original place of residence:

b) Relocated place of residence:Address of Applicants:

Number of Family members:

Occupation:

A) Chief occupant:

B) Spouse

C) Any other member of the family:

Entitlements and Payments

S.No Entitlements Amount (Rs) Received Signature

Date

1 House2 Transportation 5,000/=3 Lost of structures & Immoveable Asset 456

NB: In a APs Family Card only eligible entitlements will be entered


Ministry of DefenceFamily Card for Relocation Assistance under Berira Lake Development Project



Appendix XIV

Functions of the SDO

a) Conducting awareness programmes for sector agencies, NGOs, CBOs and private sector organization providing services to support safeguard programmes.

b) Dissemination of information regarding social safeguards among all stakeholders specifically among APs.

c) Arrangement for the delivery of social safeguards.d) Coordinate with NGOs, CBOs and Private Sector agencies to assist the APs in

resettlement activities. e) Assist APs on resettlement in new locations.f) Assist vulnerable groups through a social preparation plan developed before the

commencement of relocations. g) Develop a plan to address Gender concern. h) Resolving the grievances of the APs.i) Recording of data in regard to implementation of the project and submission to PPA.j) Facilitating the monitoring of the project.k) Function as Secretary to the GRC.l) Function as Liaison Officer of the sub-project cell




Appendix XV

Checklist for Involuntary Resettlement

Conduct social survey, assess social impacts and identify the scope of involuntary displacement and resettlement.

Establish a Project Management Unit to deal with policy, planning, implementation and monitoring of resettlement related issues.

Calculate detailed cost of each resettlement components such as entitlements housing, allowances, land acquisition income & livelihood restoration, management cost and make provision for budgets.

Share information on a continuous basis with APs, implementing partners and post community.

Establish management and coordination committees such as MDSF, NPSC LRC at various levels of the project.

Continuous communication with the APs, implementing partners, host community in all stages of resettlement planning and implementation.

Recording of all proceedings of activities to enhance the institutional memory and knowledge about implementation process.

Computerize the database for implementation and monitoring purposes. Establishment of GRC Capacity building for resettlement management.




Appendix XVI

Grievance Redress Process

Appendix XVIIResources Development Consultants (Pvt) Ltd /A4555-2/1 Galle Road Colombo 03



Proposed Composition of the GRCs

(1) GRCs for sub-projects coming under the purview of UDA.

(a) Director General UDA or his nominee (Chairman)(b) Chairman of the LRC of the location.(c) GN of the location.(d) SDO (Secretary) and(a) Two eminent persons in society nominated by UDA, one of whom should be a

woman

(2) GRCs for subprojects coming under the purview of SLLRDC

(a) Director General of SLLRDC or his nominee(b) Chairman of the LRC of the location.(c) GN of the location.(d) SDO (Secretary) and(e) Two eminent persons in society nominated by SLLRDC one of whom should be a

woman

(3)GRCs for subprojects coming under the purview of Municipal councils

(a) Municipal Commissioner (Chairman)(b) Chairman of the LRC of the location(c) GN of the location(d) SDO (Secretary) and(e) Two eminent persons in society nominated by the Municipality; one of whom should be a woman

(4) GRCs for subprojects coming under the purview of UC/KOTTE.

(a)Secretary, UC (Chairman)(b)Chairman of the LRC of the location(c)GN of the location(d)SDO (Secretary) and(e)Two eminent persons in society nominated by the Municipality one of whom should be a woman

Appendix XVIII




Application for Grievance Redress

CHAIRMAN GRC ----------------- Date:……………

APPLICATON FOR GRIVEVANCE REDRESS

Name of Sub project: District:

National Identity card Number:

Number of the family card: a. Original place of residence: …………………..

Divisional Secretary /A.G.A Division

Name of the chief occupant: b. Relocated place of residence:………………….

Divisional Secretary /A.G.A DivisionName of Spouse:

a. Original place of residence:…………………..

Address of Applicant: Grama Niladari Division & Number:

Number of Family members: b. Relocated place of residence:………………..

Grama Niladari Division & Number:

Occupation :

A) Chief occupant:

B) Spouse

C) Any other member of the family:

………………………………………………………………………………………………………

A. GRIEVANCES

1

2

3

B. EXPECTED REDRESS




1

2

3

……………………….. …………………..…

SIGNATURE OF APPLICANTS

NOTE: Both spouses should sign the application

Appendix XIX




Sample Format for Monitoring

Monitoring Format : Delivery of Entitlements (sample) ME1 Project Name:……………………………….. Location:………………………….……….. Reporting Period From …./…./……….. to …./…./………..

Report date …./…./………. Reported by:…………………………………………

S.No Activity Date Quantity (Specify Unit)*

Cost (In local currency)

Recommended Action / Remarks

Expected/

Planned Actual Reason for

difference Expected/ Planned

Actual Reason for difference

Expected/ Planned

Actual Reason for difference

01 Transportation Allowances

02 Income Restoration

*All data to be given in terms of both amount and unit




Monitoring Format - Delivery of Entitlements ME2

Observation and Assessment

Activity Good Satisfactory

Poor Not satisfactory

Recommendations Made

1

2

3

4

5

6

7

Performance: >=80% - Good50-79% - Satisfactory40-49% - Poor<39% - Not satisfactory

Monitoring Format - Delivery of Entitlements ME 3





Follow-up on Previous Recommendations

Recommendation Made Action taken

1

2

3

4

5

6

7

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